| Oronzo Anthony Triggiano | Gunnallen Financial, Inc unclassified | J P Turner & Company Capital Management, LLC other | Other | Mar 29, 2010 | May 12, 2010 (44 d) |
| Mark Andrew Wiacek | United Planners' Financial Services Of America A Limited Partner other | J P Turner & Company Capital Management, LLC other | Other | Mar 26, 2010 | Apr 1, 2010 |
| Brandon William Boyd | United Planners' Financial Services Of America A Limited Partner other | J P Turner & Company Capital Management, LLC other | Other | Mar 26, 2010 | Apr 5, 2010 |
| Jeffrey Carl Ingersoll | Insphere Securities, Inc. unclassified | J P Turner & Company Capital Management, LLC other | Other | Mar 4, 2010 | Mar 15, 2010 |
| Joel Davis Kamphuis | Gunnallen Financial, Inc unclassified | J P Turner & Company Capital Management, LLC other | Other | Feb 18, 2010 | Mar 4, 2010 |
| Kevin Michael Hurley | Hurley Investments, LLC unclassified | J P Turner & Company Capital Management, LLC other | Other | Jan 14, 2010 | Jan 15, 2010 |
| George Reynolds Howard | Bolton Global Asset Management other | J P Turner & Company Capital Management, LLC other | Other | Jan 5, 2010 | Dec 18, 2009 |
| Peter Kevin Johnson | B Riley Wealth Management other | J P Turner & Company Capital Management, LLC other | Other | Dec 15, 2009 | Jan 5, 2010 |
| Michael B Beecher | New England Securities Corporation other | J P Turner & Company Capital Management, LLC other | Other | Dec 9, 2009 | Jan 26, 2010 (48 d) |
| Virginia Frances Thompson | Janney Montgomery Scott LLC other | J P Turner & Company Capital Management, LLC other | Other | Nov 24, 2009 | Jan 26, 2012 (793 d) |
| Joanna Correa | LPL Financial LLC other | J P Turner & Company Capital Management, LLC other | Other | Nov 17, 2009 | Oct 12, 2009 |
| Gwendolyn Sue O'Connell | Voya Financial Advisors, Inc. other | J P Turner & Company Capital Management, LLC other | Other | Nov 2, 2009 | Nov 10, 2009 |
| Larry Joseph Michaels | Crown Capital Securities, L.P. other | J P Turner & Company Capital Management, LLC other | Other | Oct 9, 2009 | Oct 2, 2009 |
| Benedict Martin Maloney | Wbb Securities, LLC state registered | J P Turner & Company Capital Management, LLC other | Other | Aug 10, 2009 | Aug 10, 2009 |
| Harry Robert Bayard | Wells Fargo Advisors wirehouse | J P Turner & Company Capital Management, LLC other | Other | Aug 4, 2009 | Sep 4, 2009 (31 d) |
| Richard Allen Stocker | Wells Fargo Advisors wirehouse | J P Turner & Company Capital Management, LLC other | Other | Aug 3, 2009 | Aug 26, 2009 |
| Derek Nathan Eichenwald | Raymond James Financial Services Advisors, Inc other | J P Turner & Company Capital Management, LLC other | Other | Jul 16, 2009 | Jul 20, 2009 |
| Joshua H Kimbrough | E*Trade Capital Management, LLC other | J P Turner & Company Capital Management, LLC other | Other | May 15, 2009 | May 8, 2009 |
| Samuel Branch Laneave | Osaic Fa, Inc. other | J P Turner & Company Capital Management, LLC other | Other | Apr 1, 2009 | May 4, 2009 (33 d) |
| Lee Bishop Hudson | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | J P Turner & Company Capital Management, LLC other | Other | Feb 20, 2009 | Feb 23, 2009 |
| Guiseppi John Morabito | Fsc Securities Corporation other | J P Turner & Company Capital Management, LLC other | Other | Dec 31, 2008 | Jan 13, 2009 |
| Gustavo Anthony Delgado Alicea | Jesup & Lamont Advisors unclassified | J P Turner & Company Capital Management, LLC other | Other | Dec 12, 2008 | Jan 12, 2009 (31 d) |
| John Joseph Kostic | Osaic Wealth, Inc. other | J P Turner & Company Capital Management, LLC other | Other | Oct 24, 2008 | Oct 24, 2008 |
| Karen Meyer Holland | Voya Financial Advisors, Inc. other | J P Turner & Company Capital Management, LLC other | Other | Oct 14, 2008 | Apr 16, 2009 (184 d) |
| Shawn Michael Bragdon | Osaic Fs, Inc. other | J P Turner & Company Capital Management, LLC other | Other | Aug 22, 2008 | Nov 3, 2008 (73 d) |
| Steven Russel Dietz | First Montauk Securities Corp. unclassified | J P Turner & Company Capital Management, LLC other | Other | Aug 20, 2008 | Aug 28, 2008 |
| Royce Ryan Running | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | J P Turner & Company Capital Management, LLC other | Other | Jun 3, 2008 | Aug 18, 2009 (441 d) |
| Jason Steven Hawke | LPL Financial LLC other | J P Turner & Company Capital Management, LLC other | Other | May 22, 2008 | May 16, 2008 |
| Dennis Workman Ferguson | LPL Financial LLC other | J P Turner & Company Capital Management, LLC other | Other | May 22, 2008 | May 19, 2008 |
| Kevin Patrick Saia | Oppenheimer & Co. Inc. other | J P Turner & Company Capital Management, LLC other | Other | Feb 29, 2008 | Feb 28, 2008 |
| Paul William Murphy | Calton & Associates, Inc. other | J P Turner & Company Capital Management, LLC other | Other | Dec 14, 2007 | Jan 14, 2008 (31 d) |
| Robert Joseph Binkele | Brookstreet Securities Corporation unclassified | J P Turner & Company Capital Management, LLC other | Other | Jul 12, 2007 | Jul 11, 2007 |
| Timothy Patrick Sweeney | Brookstreet Securities Corporation unclassified | J P Turner & Company Capital Management, LLC other | Other | Jul 3, 2007 | Mar 6, 2009 (612 d) |
| Timothy John Sherer | Brookstreet Securities Corporation unclassified | J P Turner & Company Capital Management, LLC other | Other | Jul 3, 2007 | May 5, 2008 (307 d) |
| Lisa Storm Cyr | Citigroup Global Markets Inc. other | J P Turner & Company Capital Management, LLC other | Other | Jun 14, 2007 | Aug 22, 2007 (69 d) |
| Roger Joel Conde | Next Financial Group, Inc. other | J P Turner & Company Capital Management, LLC other | Other | Apr 16, 2007 | Sep 10, 2007 (147 d) |
| Robert Lloyd Omohundro | MML Investors Services, LLC other | J P Turner & Company Capital Management, LLC other | Other | Apr 5, 2007 | Apr 20, 2007 |
| Michael David Roberts | Carter And Carter Financial unclassified | J P Turner & Company Capital Management, LLC other | Other | Jan 19, 2007 | Mar 20, 2009 (791 d) |
| Max Zubiate | Ameriprise Advisor Services, Inc. unclassified | J P Turner & Company Capital Management, LLC other | Other | Oct 26, 2006 | Feb 16, 2007 (113 d) |
| Diane Marie Aurelio | Morgan Stanley Dw Inc. unclassified | J P Turner & Company Capital Management, LLC other | Other | Feb 24, 2006 | Aug 29, 2013 (2743 d) |
| Michael J. O'Callaghan | Cantella & Co., Inc. other | J P Turner & Company Capital Management, LLC other | Other | Feb 16, 2006 | Feb 1, 2008 (715 d) |
| Stanley Ira Cooper | Janney Montgomery Scott LLC other | J P Turner & Company Capital Management, LLC other | Other | Dec 16, 2005 | May 11, 2006 (146 d) |
| Nicholas Frank Saunders | Janney Montgomery Scott LLC other | J P Turner & Company Capital Management, LLC other | Other | Dec 16, 2005 | Jul 26, 2007 (587 d) |
| Christopher Joseph Urso | Ifmg Securities, Inc. unclassified | J P Turner & Company Capital Management, LLC other | Other | Oct 13, 2005 | May 9, 2007 (573 d) |
| Joseph Polanski | J.P. Morgan Securities LLC wirehouse | J P Turner & Company Capital Management, LLC other | Other | Jul 27, 2004 | Sep 21, 2007 (1151 d) |
| Howard Leon Dingle | Oneamerica Securities, Inc. other | J P Turner & Company Capital Management, LLC other | Other | Jun 21, 2004 | Sep 24, 2007 (1190 d) |
| Gary Frank Klaric | Oneamerica Securities, Inc. other | J P Turner & Company Capital Management, LLC other | Other | May 20, 2004 | Jun 18, 2004 |