| Paul Christopher Ranieri | Sorrento Pacific Financial, LLC other | Ssn Advisory, Inc. other | Other | Jan 13, 2015 | Feb 3, 2015 |
| Joseph Alphonse Fermano | Sorrento Pacific Financial, LLC other | Ssn Advisory, Inc. other | Other | Jan 9, 2015 | Jan 9, 2015 |
| Glennon Anthony Arnold | Signator Investors, Inc. other | Ssn Advisory, Inc. other | Other | Dec 22, 2014 | Dec 11, 2014 |
| Michelle Lynne Martinez | Voya Financial Advisors, Inc. other | Ssn Advisory, Inc. other | Other | Nov 11, 2014 | Nov 12, 2014 |
| Chani Marie Ronda Trench | Edward Jones national BD | Ssn Advisory, Inc. other | Other | Oct 28, 2014 | Oct 27, 2014 |
| Samuel Wilson Griggs | New England Securities Corporation other | Ssn Advisory, Inc. other | Other | Sep 15, 2014 | Sep 29, 2014 |
| Steven Craig Conners | Msi Financial Services, Inc. other | Ssn Advisory, Inc. other | Other | Sep 10, 2014 | Sep 15, 2014 |
| Rebecca Cokins Hammer | Edward Jones national BD | Ssn Advisory, Inc. other | Other | Sep 3, 2014 | Sep 3, 2014 |
| Peter Barry Wolk | LPL Financial LLC other | Ssn Advisory, Inc. other | Other | Aug 27, 2014 | Sep 2, 2014 |
| Brady Thomas O'Connor | Esi Financial Advisors other | Ssn Advisory, Inc. other | Other | Aug 15, 2014 | Aug 4, 2014 |
| D. Brent Fennema | Sea Financial Advisor Group, LLC unclassified | Ssn Advisory, Inc. other | Other | Aug 4, 2014 | Aug 27, 2014 |
| Ronald Leslie Dunk | Robert W. Baird & Co. Incorporated other | Ssn Advisory, Inc. other | Other | Jul 9, 2014 | Jul 2, 2014 |
| Larry Michael Rubenstein | Robert W. Baird & Co. Incorporated other | Ssn Advisory, Inc. other | Other | Jul 9, 2014 | Jul 2, 2014 |
| Thomas Randolph Hurt | Sterne Agee Investment Advisor Services, Inc. other | Ssn Advisory, Inc. other | Other | May 27, 2014 | May 15, 2014 |
| Adam Jacob Beierle | Charles Schwab & Co., Inc. national BD | Ssn Advisory, Inc. other | Other | Apr 22, 2014 | Apr 29, 2014 |
| James Daniel Longe | J.P. Morgan Securities LLC wirehouse | Ssn Advisory, Inc. other | Other | Feb 28, 2014 | Feb 27, 2014 |
| Richard Earle Sackett | Paragon Advisors LLC other | Ssn Advisory, Inc. other | Other | Jan 6, 2014 | Dec 9, 2013 |
| Francis Michael Zovistoski | Uhy Capital Advisors, LLC unclassified | Ssn Advisory, Inc. other | Other | Dec 26, 2013 | Aug 25, 2011 |
| Stuart Preston Vaughn | Raymond James & Associates, Inc. national BD | Ssn Advisory, Inc. other | Other | Dec 16, 2013 | Dec 3, 2013 |
| Brian Keith Dennis | Householder Group Financial Advisors, LLC other | Ssn Advisory, Inc. other | Other | Nov 26, 2013 | Oct 18, 2013 |
| Diane Robin Johnson | Householder Group Financial Advisors, LLC other | Ssn Advisory, Inc. other | Other | Nov 26, 2013 | Oct 30, 2013 |
| Scott David Vineberg | Householder Group Financial Advisors, LLC other | Ssn Advisory, Inc. other | Other | Nov 26, 2013 | Nov 5, 2013 |
| Kathryn Ellen Emling | Householder Group Financial Advisors, LLC other | Ssn Advisory, Inc. other | Other | Nov 20, 2013 | Oct 17, 2013 |
| Randolph Stephen Moore | Householder Group Estate & Retirement Specialists no RAUM | Ssn Advisory, Inc. other | Other | Nov 20, 2013 | Nov 29, 2013 |
| Tyra A Moore | Householder Group Financial Advisors, LLC other | Ssn Advisory, Inc. other | Other | Nov 20, 2013 | Nov 29, 2013 |
| Lori Marceil Barone | Householder Group Financial Advisors, LLC other | Ssn Advisory, Inc. other | Other | Nov 20, 2013 | Oct 28, 2013 |
| Patrick Keen | Concourse Financial Group Advisors other | Ssn Advisory, Inc. other | Other | Nov 19, 2013 | Nov 18, 2013 |
| Kyle Nathaniel Dishong | Concourse Financial Group Advisors other | Ssn Advisory, Inc. other | Other | Nov 19, 2013 | Nov 18, 2013 |
| Ryan Clayton Keen | Concourse Financial Group Advisors other | Ssn Advisory, Inc. other | Other | Nov 19, 2013 | Nov 18, 2013 |
| Eric Robert Ludvigsen | Capital Synergy Partners independent RIA | Ssn Advisory, Inc. other | Other | Oct 31, 2013 | Oct 31, 2013 |
| Kyle J Breitzman | Principal Securities, Inc. other | Ssn Advisory, Inc. other | Other | Aug 26, 2013 | Aug 2, 2013 |
| Vernon James Henry | J. W. Cole Advisors, Inc. other | Ssn Advisory, Inc. other | Other | Aug 16, 2013 | Aug 20, 2013 |
| Roger Lee Flueckiger | Concourse Financial Group Advisors other | Ssn Advisory, Inc. other | Other | Aug 16, 2013 | Jul 25, 2013 |
| Keith H Blythe | Concourse Financial Group Advisors other | Ssn Advisory, Inc. other | Other | Aug 16, 2013 | Jul 25, 2013 |
| Jason David Stucky | MML Investors Services, LLC other | Ssn Advisory, Inc. other | Other | Jul 3, 2013 | Jun 21, 2013 |
| Joseph Kolanowski | Walnut Street Securities, Inc. other | Ssn Advisory, Inc. other | Other | May 17, 2013 | May 16, 2013 |
| Donnel Miller Dickerson | Walnut Street Securities, Inc. other | Ssn Advisory, Inc. other | Other | May 17, 2013 | May 16, 2013 |
| Matthew M Kleczynski | Transamerica Financial Advisors, LLC other | Ssn Advisory, Inc. other | Other | Mar 1, 2013 | Feb 20, 2013 |
| Tim Eugene Ward | Concourse Financial Group Advisors other | Ssn Advisory, Inc. other | Other | Feb 22, 2013 | Feb 19, 2013 |
| Mark Brendan Sumner | Securities America Advisors, Inc. other | Ssn Advisory, Inc. other | Other | Feb 22, 2013 | Mar 4, 2013 |
| Paul Raymond Tingley | Concourse Financial Group Advisors other | Ssn Advisory, Inc. other | Other | Dec 21, 2012 | Dec 14, 2012 |
| Larry Jay Moss | Concourse Financial Group Advisors other | Ssn Advisory, Inc. other | Other | Dec 21, 2012 | Dec 14, 2012 |
| Grant Mitchell Schrock | Concourse Financial Group Advisors other | Ssn Advisory, Inc. other | Other | Dec 21, 2012 | Dec 7, 2012 |
| Jason Hand | Msi Financial Services, Inc. other | Ssn Advisory, Inc. other | Other | Dec 21, 2012 | Mar 11, 2013 (80 d) |
| Jon Raymond Winteregg | Concourse Financial Group Advisors other | Ssn Advisory, Inc. other | Other | Dec 19, 2012 | Dec 7, 2012 |
| Edwin Alexander Mcknight | Woodbury Financial Services, Inc. other | Ssn Advisory, Inc. other | Other | Nov 14, 2012 | Nov 13, 2012 |
| Eric John Zebrauskas | Concourse Financial Group Advisors other | Ssn Advisory, Inc. other | Other | Oct 11, 2012 | Oct 1, 2012 |
| Samuel A Julian | Concourse Financial Group Advisors other | Ssn Advisory, Inc. other | Other | Oct 11, 2012 | Oct 1, 2012 |
| Irina Vladimirovna Lueth | LPL Financial LLC other | Ssn Advisory, Inc. other | Other | Oct 8, 2012 | Sep 26, 2012 |
| Robert Michael Zyzo | LPL Financial LLC other | Ssn Advisory, Inc. other | Other | Oct 8, 2012 | Sep 18, 2012 |
| Shawn David Stites | Woodbury Financial Services, Inc. other | Ssn Advisory, Inc. other | Other | Sep 14, 2012 | Sep 11, 2012 |
| Melissa Nicole Osika | Waddell & Reed other | Ssn Advisory, Inc. other | Other | Sep 6, 2012 | Feb 18, 2014 (530 d) |
| Ross Daniel Cochrell | Hummel Wealth Management, LLC other | Ssn Advisory, Inc. other | Other | Jul 19, 2012 | May 6, 2013 (291 d) |
| Charles Mcclard Porter | 1st Global Advisors Inc other | Ssn Advisory, Inc. other | Other | Jul 13, 2012 | Jul 13, 2012 |
| Andrew Frederick Walter | New England Securities Corporation other | Ssn Advisory, Inc. other | Other | Jul 12, 2012 | Jul 10, 2012 |
| Matt Ryan Franklin | Raymond James Financial Services Advisors, Inc other | Ssn Advisory, Inc. other | Other | Jun 5, 2012 | Jun 5, 2012 |
| Jesse Kelin Giles | Ameriprise Financial Services, LLC national BD | Ssn Advisory, Inc. other | Other | Apr 25, 2012 | Feb 13, 2013 (294 d) |
| Bruce Allan Favorat | Securities America Advisors, Inc. other | Ssn Advisory, Inc. other | Other | Apr 4, 2012 | Apr 4, 2012 |
| Charles B Hagel | Questar Asset Management, Inc. other | Ssn Advisory, Inc. other | Other | Mar 19, 2012 | Mar 28, 2012 |
| Ryan Cole | Dawson James Asset Management, Inc. state registered | Ssn Advisory, Inc. other | Other | Mar 2, 2012 | Mar 9, 2012 |