| Cheryl L Battung | Wells Fargo Advisors wirehouse | Investment Advisors Corp other | Other | Oct 21, 2009 | Oct 21, 2009 |
| Bryan James Lauriat | Morgan Stanley wirehouse | Investment Advisors Corp other | Other | Oct 8, 2009 | Apr 8, 2010 (182 d) |
| Craig James Snedden | Vsr Advisory Services other | Investment Advisors Corp other | Other | Aug 21, 2009 | Sep 3, 2009 |
| Gregory Patrick Klingler | Financial West Group other | Investment Advisors Corp other | Other | Jun 26, 2009 | Jul 16, 2009 |
| Millard Scott Norris | Esi Financial Advisors other | Investment Advisors Corp other | Other | Jun 10, 2009 | Jun 5, 2009 |
| Mark Ronald Roberts | Cutter & Company, Inc. other | Investment Advisors Corp other | Other | May 18, 2009 | May 19, 2009 |
| Kevin Ronald Manz | Voya Financial Advisors, Inc. other | Investment Advisors Corp other | Other | May 1, 2009 | May 8, 2009 |
| Francisco Chuck Martinez | Equitable Advisors, LLC national BD | Investment Advisors Corp other | Other | Apr 7, 2009 | May 28, 2009 (51 d) |
| Julie Ann Fuller | Deloitte Investment Advisors LLC unclassified | Investment Advisors Corp other | Other | Feb 5, 2009 | Apr 8, 2009 (62 d) |
| Richard Buel Bates | Stifel Independent Advisors, LLC other | Investment Advisors Corp other | Other | Nov 17, 2008 | Nov 13, 2008 |
| John Edward Mccartin | Woodstock Financial Group, Inc. other | Investment Advisors Corp other | Other | Nov 10, 2008 | Sep 17, 2009 (311 d) |
| John Michael Dombroski | Workman Securities Corporation unclassified | Investment Advisors Corp other | Other | Nov 4, 2008 | Dec 1, 2008 |
| Douglas Stephen Drelich | Principal Securities, Inc. other | Investment Advisors Corp other | Other | Nov 4, 2008 | Feb 12, 2009 (100 d) |
| Brian Wesley Low | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Investment Advisors Corp other | Other | Oct 30, 2008 | Oct 29, 2008 |
| James Merle Weiss | Principal Securities, Inc. other | Investment Advisors Corp other | Other | Jul 7, 2008 | Aug 31, 2009 (420 d) |
| Suman Sachdeva | Investment Advisors International, Inc. unclassified | Investment Advisors Corp other | Other | Jun 26, 2008 | Jan 3, 2014 (2017 d) |
| Todd Benjamin Wiswell | Uvest Financial Services Group, Inc. unclassified | Investment Advisors Corp other | Other | Jun 16, 2008 | Jun 9, 2008 |
| Kathryn E Kraft | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Investment Advisors Corp other | Other | Jun 4, 2008 | Jun 19, 2009 (380 d) |
| Erik R Holt | Park Avenue Securities LLC other | Investment Advisors Corp other | Other | May 8, 2008 | May 6, 2008 |
| Todd Marvin Honold | Fifth Third Securities, Inc. other | Investment Advisors Corp other | Other | Jan 11, 2008 | Jan 10, 2008 |
| Andrew James Beshuk | 1717 Capital Management Company unclassified | Investment Advisors Corp other | Other | Aug 1, 2007 | Aug 22, 2007 |
| Eric Alan Peterson | Successful Resource Management, Ltd. state registered | Investment Advisors Corp other | Other | May 22, 2007 | May 16, 2007 |
| Jason Allen Rockman | Sii Investments, Inc. other | Investment Advisors Corp other | Other | Apr 26, 2007 | Apr 25, 2007 |
| Jared Matthew Carlin | Ameriprise Financial Services, LLC national BD | Investment Advisors Corp other | Other | Mar 9, 2007 | Feb 23, 2009 (717 d) |
| Steven Charles Scaletty | Sii Investments, Inc. other | Investment Advisors Corp other | Other | Mar 1, 2007 | Mar 21, 2007 |
| Greg Charles Greer | Sii Investments, Inc. other | Investment Advisors Corp other | Other | Mar 1, 2007 | Mar 21, 2007 |
| Eric Lee Davis | Transamerica Financial Advisors, LLC other | Investment Advisors Corp other | Other | Dec 31, 2006 | Jan 8, 2007 |
| Lance Robin Monk | Sii Investments, Inc. other | Investment Advisors Corp other | Other | Nov 9, 2006 | Sep 11, 2008 (672 d) |
| Loren James Merkle | Principal Securities, Inc. other | Investment Advisors Corp other | Other | Sep 11, 2006 | Jul 8, 2011 (1761 d) |
| David Joseph Scranton | Osaic Fa, Inc. other | Investment Advisors Corp other | Other | Jul 21, 2006 | Oct 29, 2008 (831 d) |
| Matthew Carlin | Transamerica Financial Advisors, LLC other | Investment Advisors Corp other | Other | Jun 6, 2006 | Oct 8, 2008 (855 d) |
| Brandon Scott Slaughter | Morgan Stanley Dw Inc. unclassified | Investment Advisors Corp other | Other | Sep 14, 2005 | Sep 14, 2005 |
| Andrew Michael Wrightsman | Ameriprise Financial Services, LLC national BD | Investment Advisors Corp other | Other | Apr 1, 2005 | Nov 1, 2005 (214 d) |
| Laurie Ragnar Hackler | RBC Capital Markets, LLC national BD | Investment Advisors Corp other | Other | Nov 25, 2003 | Jan 20, 2004 (56 d) |