| Shawn Edward Mccutchan | The Mutual Fund Store - Charlotte other | Financial Engines Advisor Center, LLC other | Other | Jan 14, 2015 | Jan 13, 2015 |
| Kevin Logan | Stone Harbor Capital Managment, LLC unclassified | Financial Engines Advisor Center, LLC other | Other | Dec 31, 2014 | Apr 2, 2015 (92 d) |
| Matthew Charles Ulrick | Td Ameritrade Investment Management, LLC other | Financial Engines Advisor Center, LLC other | Other | Nov 10, 2014 | Nov 18, 2014 |
| Justin David Kattau | Pnc Wealth Management other | Financial Engines Advisor Center, LLC other | Other | Sep 8, 2014 | Sep 5, 2014 |
| Shawn David Keller | The Mutual Fund Store other | Financial Engines Advisor Center, LLC other | Other | Jul 2, 2014 | Jul 1, 2014 |
| Thomas Andrew Nemec | The Mutual Fund Store other | Financial Engines Advisor Center, LLC other | Other | Jul 2, 2014 | Jul 1, 2014 |
| Enid Maria Santiago | The Mutual Fund Store other | Financial Engines Advisor Center, LLC other | Other | Jul 2, 2014 | Jul 1, 2014 |
| Thomas Scott Wolford | The Mutual Fund Store other | Financial Engines Advisor Center, LLC other | Other | Feb 20, 2014 | Feb 20, 2014 |
| Norman Steven Thomson | The Mutual Fund Store other | Financial Engines Advisor Center, LLC other | Other | Feb 18, 2014 | Jan 23, 2014 |
| Don Richard Norris | The Mutual Fund Store other | Financial Engines Advisor Center, LLC other | Other | Feb 18, 2014 | Jan 23, 2014 |
| David J Fennell | The Mutual Fund Store other | Financial Engines Advisor Center, LLC other | Other | Feb 18, 2014 | Jan 23, 2014 |
| John Pershing Sayers | Msi Financial Services, Inc. other | Financial Engines Advisor Center, LLC other | Other | Feb 6, 2014 | Feb 3, 2014 |
| Tim James Dowden | The Mutual Fund Store unclassified | Financial Engines Advisor Center, LLC other | Other | Jan 16, 2014 | Jan 2, 2014 |
| Kevin Jaegers | Smart401k, LLC other | Financial Engines Advisor Center, LLC other | Other | Sep 24, 2013 | Sep 24, 2013 |
| Phillip Back Weinstein | The Mutual Fund Store other | Financial Engines Advisor Center, LLC other | Other | Jul 2, 2013 | Jul 1, 2013 |
| John Emerson Carey | The Mutual Fund Store other | Financial Engines Advisor Center, LLC other | Other | Jul 2, 2013 | Jul 1, 2013 |
| Eric Maxwell Shoenfeld | The Mutual Fund Store other | Financial Engines Advisor Center, LLC other | Other | Jul 2, 2013 | Jul 1, 2013 |
| Daniel Scott Henderson | The Mutual Fund Store other | Financial Engines Advisor Center, LLC other | Other | Jul 2, 2013 | Jul 1, 2013 |
| Sean Thomas O'Bannon | Tmfs-San Francisco-Oakland, LLC other | Financial Engines Advisor Center, LLC other | Other | Jul 2, 2013 | Jul 1, 2013 |
| Matthew Thomas Hickes | The Mutual Fund Store other | Financial Engines Advisor Center, LLC other | Other | Jul 2, 2013 | Jul 1, 2013 |
| Kenneth Delano Grier | The Mutual Fund Store other | Financial Engines Advisor Center, LLC other | Other | Jul 2, 2013 | Jul 1, 2013 |
| Andrew Scott Hedrick | The Mutual Fund Store other | Financial Engines Advisor Center, LLC other | Other | Jul 1, 2013 | Jul 1, 2013 |
| Jimmie Marlin Collicott | The Mutual Fund Store other | Financial Engines Advisor Center, LLC other | Other | Jul 1, 2013 | Jul 1, 2013 |
| Dale Jay Hansen | The Mutual Fund Store other | Financial Engines Advisor Center, LLC other | Other | Jul 1, 2013 | Jul 1, 2013 |
| Craig Michael Mottl | The Mutual Fund Store other | Financial Engines Advisor Center, LLC other | Other | Jul 1, 2013 | Jul 1, 2013 |
| Spencer Douglas Crow | The Mutual Fund Store other | Financial Engines Advisor Center, LLC other | Other | Jul 1, 2013 | Jul 1, 2013 |
| Eric Jesse Wasson | Hefty Wealth Partners other | Financial Engines Advisor Center, LLC other | Other | May 28, 2013 | Jul 1, 2013 (34 d) |
| Eric Ross Susi | The Mutual Fund Store other | Financial Engines Advisor Center, LLC other | Other | Sep 28, 2012 | Sep 28, 2012 |
| Matthew Joseph Lux | The Mutual Fund Store other | Financial Engines Advisor Center, LLC other | Other | Sep 28, 2012 | Sep 28, 2012 |
| Riley Deforest Larimore | The Mutual Fund Store other | Financial Engines Advisor Center, LLC other | Other | Sep 28, 2012 | Sep 28, 2012 |
| Donald Gerard Bertrand | Wealthtrust Arizona other | Financial Engines Advisor Center, LLC other | Other | Sep 24, 2012 | Nov 10, 2016 (1508 d) |
| Jeffrey Garth Cram | Cetera Advisors LLC other | Financial Engines Advisor Center, LLC other | Other | Nov 3, 2011 | Oct 31, 2011 |
| Patrick John Volk | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Financial Engines Advisor Center, LLC other | Other | Sep 20, 2010 | Jan 2, 2014 (1200 d) |
| Chad Ashton Kasper | E*Trade Capital Management, LLC other | Financial Engines Advisor Center, LLC other | Other | Jan 29, 2010 | Oct 10, 2016 (2446 d) |
| Eric Martin Peterson | The Mutual Fund Store unclassified | Financial Engines Advisor Center, LLC other | Other | Dec 9, 2008 | Aug 19, 2015 (2444 d) |
| Jason Matthew Lank | Northwestern Mutual Investment Services,LLC other | Financial Engines Advisor Center, LLC other | Other | Feb 12, 2008 | Feb 8, 2008 |
| Chang Shin | American Century Advisory Services, Inc. no RAUM | Financial Engines Advisor Center, LLC other | Other | Jun 6, 2007 | Jun 28, 2007 |
| Joshua John Britton | Waddell & Reed other | Financial Engines Advisor Center, LLC other | Other | Apr 18, 2005 | Jun 11, 2007 (784 d) |
| Clint Matthew Haynes | Morgan Stanley Dw Inc. unclassified | Financial Engines Advisor Center, LLC other | Other | Dec 5, 2002 | Jan 3, 2007 (1490 d) |