| Logan Cole Queck | Royal Fund Management, LLC other | Horter Investment Management, LLC other | Other | Apr 21, 2016 | May 4, 2016 |
| John King Mailander | Invest Financial Corporation other | Horter Investment Management, LLC other | Other | Apr 8, 2016 | Apr 11, 2016 |
| John M Little | D.H. Hill Advisors, Inc. independent RIA | Horter Investment Management, LLC other | Other | Apr 4, 2016 | Mar 16, 2016 |
| Daniel Sheldon Jewell | Jewell Financial Management unclassified | Horter Investment Management, LLC other | Other | Mar 15, 2016 | Feb 29, 2016 |
| Jason Todd Hill | Level Four Advisory Services other | Horter Investment Management, LLC other | Other | Mar 9, 2016 | Mar 23, 2016 |
| Alexis Nicole Vasquez | Planmember Securities Corporation other | Horter Investment Management, LLC other | Other | Mar 4, 2016 | May 5, 2017 (427 d) |
| Michael Kent Petticord | Global Financial Private Capital, Inc. other | Horter Investment Management, LLC other | Other | Feb 19, 2016 | Feb 28, 2017 (375 d) |
| Christopher D Kenney | Pruco Securities, LLC other | Horter Investment Management, LLC other | Other | Feb 17, 2016 | Jan 29, 2018 (712 d) |
| Michael Shannon Trent | Regal Investment Advisors LLC other | Horter Investment Management, LLC other | Other | Feb 3, 2016 | Feb 9, 2016 |
| August Henry Velten | Redhawk Wealth Advisors, Inc. other | Horter Investment Management, LLC other | Other | Jan 7, 2016 | Jan 25, 2016 |
| Robert Alan Parker | Spc other | Horter Investment Management, LLC other | Other | Dec 31, 2015 | Jan 29, 2016 |
| Jonathon Edward Armstrong | Center Street Advisors, Inc. no RAUM | Horter Investment Management, LLC other | Other | Dec 23, 2015 | Jan 5, 2016 |
| Phillip Leroy Ingle | Global Financial Private Capital, Inc. other | Horter Investment Management, LLC other | Other | Dec 21, 2015 | Jan 6, 2016 |
| Bruce Gary Kaserman | Regal Investment Advisors LLC other | Horter Investment Management, LLC other | Other | Dec 14, 2015 | Sep 26, 2016 (287 d) |
| Bryan Michael Rich | Redhawk Wealth Advisors, Inc. other | Horter Investment Management, LLC other | Other | Dec 3, 2015 | Dec 14, 2015 |
| David Jonathon Sears | Brookstone Capital Management LLC other | Horter Investment Management, LLC other | Other | Nov 17, 2015 | Dec 11, 2015 |
| Jeffrey Paul Vogan | Brookstone Capital Management LLC other | Horter Investment Management, LLC other | Other | Nov 6, 2015 | Nov 18, 2015 |
| Spenser Thomas Vago | Redhawk Wealth Advisors, Inc. other | Horter Investment Management, LLC other | Other | Nov 6, 2015 | Sep 5, 2017 (669 d) |
| Anil B Vazirani | Brookstone Capital Management LLC other | Horter Investment Management, LLC other | Other | Jul 2, 2015 | Jul 20, 2015 |
| R. Alan Kirby | Royal Fund Management, LLC other | Horter Investment Management, LLC other | Other | Jun 24, 2015 | Jun 25, 2015 |
| Stephen Paul Becker | F500 Advisory Services, Inc. other | Horter Investment Management, LLC other | Other | Jun 16, 2015 | Jun 16, 2015 |
| Julie Lynn Lesicki | Foresters Equity Services, Inc. other | Horter Investment Management, LLC other | Other | Jun 9, 2015 | Jun 19, 2015 |
| Ronald Carl Wiitala | Global Financial Private Capital, Inc. other | Horter Investment Management, LLC other | Other | Apr 29, 2015 | May 18, 2015 |
| Raymond Joseph Kozicki | First Advisors National, LLC other | Horter Investment Management, LLC other | Other | Mar 5, 2015 | Mar 16, 2015 |
| Gary Richard Loduca | Usaa Financial Planning Services no RAUM | Horter Investment Management, LLC other | Other | Feb 17, 2015 | Mar 19, 2015 |
| Mary Bridget Riley | Redhawk Wealth Advisors, Inc. other | Horter Investment Management, LLC other | Other | Feb 10, 2015 | Apr 28, 2015 (77 d) |
| Stephen Kent Brown | Sterling Advisor Group state registered | Horter Investment Management, LLC other | Other | Feb 10, 2015 | Mar 2, 2015 |
| Timothy Michael Fallon | Redhawk Wealth Advisors, Inc. other | Horter Investment Management, LLC other | Other | Feb 6, 2015 | Feb 13, 2015 |
| Lori Ann Day | Fidato Wealth LLC other | Horter Investment Management, LLC other | Other | Feb 3, 2015 | Feb 19, 2015 |
| Mark Jackson Myers | Wfg Advisors, LP other | Horter Investment Management, LLC other | Other | Feb 2, 2015 | Mar 27, 2013 |
| Casey S Croysdale | Touchstone Advisors Inc other | Horter Investment Management, LLC other | Other | Jan 22, 2015 | Sep 6, 2017 (958 d) |
| Carl Elgus Howe | Val-Trust Capital Partners, LLC unclassified | Horter Investment Management, LLC other | Other | Jan 2, 2015 | Jan 6, 2015 |
| Michael John Falco | Integrity Alliance, LLC other | Horter Investment Management, LLC other | Other | Dec 31, 2014 | Feb 12, 2015 (43 d) |
| Guy Philip Jones | Surety Wealth Management unclassified | Horter Investment Management, LLC other | Other | Dec 31, 2014 | Aug 9, 2013 |
| Jeffrey Jay Gollehon | Jg Financial Consulting unclassified | Horter Investment Management, LLC other | Other | Dec 1, 2014 | Dec 23, 2014 |
| Robert Edward Szymanski | E*Trade Capital Management, LLC other | Horter Investment Management, LLC other | Other | Nov 21, 2014 | Jan 6, 2015 (46 d) |
| Joseph Ivan Fishman | Gradient Advisors, LLC other | Horter Investment Management, LLC other | Other | Nov 20, 2014 | Dec 12, 2014 |
| Woodrow D Bowling | First Advisors National, LLC other | Horter Investment Management, LLC other | Other | Oct 17, 2014 | Oct 22, 2014 |
| John Blake Taylor | Kalos Management other | Horter Investment Management, LLC other | Other | Oct 13, 2014 | Oct 23, 2014 |
| Phillip Paul Putney | Centaurus Financial, Inc. other | Horter Investment Management, LLC other | Other | Sep 30, 2014 | Oct 6, 2014 |
| Bradley Ray Smith | Piedmont Investment Advisors, LLC other | Horter Investment Management, LLC other | Other | Sep 30, 2014 | Feb 18, 2014 |
| Brenton Lee Fewox | Monticello Investment Services, Inc. other | Horter Investment Management, LLC other | Other | Sep 17, 2014 | Sep 29, 2014 |
| Stephen David Dissette | Transamerica Financial Advisors, LLC other | Horter Investment Management, LLC other | Other | Sep 4, 2014 | Sep 8, 2014 |
| Mcgarry P Murray | First Advisors National, LLC other | Horter Investment Management, LLC other | Other | Aug 25, 2014 | Oct 8, 2014 (44 d) |
| Timothy Michael Fitzharris | J.P. Morgan Securities LLC wirehouse | Horter Investment Management, LLC other | Other | Jul 14, 2014 | Jul 11, 2014 |
| John Worden Coleman | Cetera Investment Advisers LLC other | Horter Investment Management, LLC other | Other | Jul 1, 2014 | Sep 9, 2014 (70 d) |
| Gary James Sipos | Spc other | Horter Investment Management, LLC other | Other | Jun 27, 2014 | Aug 27, 2014 (61 d) |
| Kerry Ray Morris | Redhawk Wealth Advisors, Inc. other | Horter Investment Management, LLC other | Other | Jun 9, 2014 | Jun 13, 2014 |
| Steven Lind Bowlds | Brookstone Capital Management LLC other | Horter Investment Management, LLC other | Other | May 27, 2014 | Jun 4, 2014 |
| Rusty Lee Miller | Gossett & Crozier Financial Advisers, Inc. unclassified | Horter Investment Management, LLC other | Other | May 5, 2014 | Mar 31, 2014 |
| Michael Jerry Snasel | Brookstone Capital Management LLC other | Horter Investment Management, LLC other | Other | Mar 24, 2014 | May 12, 2014 (49 d) |
| Dennis Eugene Kagel | Redhawk Wealth Advisors, Inc. other | Horter Investment Management, LLC other | Other | Mar 6, 2014 | Nov 14, 2016 (984 d) |
| Sean Randolph Stevens | MML Investors Services, LLC other | Horter Investment Management, LLC other | Other | Jan 30, 2014 | May 19, 2014 (109 d) |
| Glenn W. Mosseller | Jg Financial Consulting unclassified | Horter Investment Management, LLC other | Other | Jan 24, 2014 | Feb 7, 2014 |
| John Michael Keeley | Principal Securities, Inc. other | Horter Investment Management, LLC other | Other | Jan 6, 2014 | Nov 20, 2014 (318 d) |
| Lonnie Wayne Hood | Fa Advisor Network, LLC. other | Horter Investment Management, LLC other | Other | Dec 31, 2013 | Apr 14, 2014 (104 d) |
| Michael Emmett Williams | Fa Advisor Network, LLC. other | Horter Investment Management, LLC other | Other | Dec 31, 2013 | Jan 30, 2015 (395 d) |
| Joseph William Hamel | Hamel Advisory Services, LLC unclassified | Horter Investment Management, LLC other | Other | Dec 31, 2013 | Aug 28, 2013 |
| Joanne Fay Brown | Transamerica Financial Advisors, LLC other | Horter Investment Management, LLC other | Other | Dec 31, 2013 | Jun 1, 2015 (517 d) |
| Scott Edward Stooksbury | Synergy Wealth Partners, LLC. unclassified | Horter Investment Management, LLC other | Other | Dec 16, 2013 | Jan 2, 2014 |