| William Joseph Revoir | Corecap Advisors other | Global Financial Private Capital, Inc. other | Other | Jun 8, 2015 | Jun 9, 2015 |
| Kimberly A Douglas | Next Financial Group, Inc. other | Global Financial Private Capital, Inc. other | Other | May 22, 2015 | Jul 2, 2015 (41 d) |
| Joe Lee | J.P. Morgan Securities LLC wirehouse | Global Financial Private Capital, Inc. other | Other | May 12, 2015 | Nov 20, 2015 (192 d) |
| Daniel James Markese | Accurate Wealth Management, LLC unclassified | Global Financial Private Capital, Inc. other | Other | May 11, 2015 | Sep 14, 2015 (126 d) |
| Christopher David Drew | Accurate Wealth Management, LLC unclassified | Global Financial Private Capital, Inc. other | Other | May 11, 2015 | Sep 2, 2015 (114 d) |
| Jeffrey Allen Barnard | Brookstone Capital Management LLC other | Global Financial Private Capital, Inc. other | Other | May 5, 2015 | May 5, 2015 |
| Leslie Ann Corley | Mercer Global Advisors Inc. other | Global Financial Private Capital, Inc. other | Other | Apr 20, 2015 | May 25, 2016 (401 d) |
| Landon Mcrae Randall | Redhawk Wealth Advisors, Inc. other | Global Financial Private Capital, Inc. other | Other | Apr 15, 2015 | Apr 17, 2015 |
| Ryan Douglas Naugle | Advice And Planning Services other | Global Financial Private Capital, Inc. other | Other | Apr 6, 2015 | Apr 15, 2015 |
| David Ray Shucavage | Redhawk Wealth Advisors, Inc. other | Global Financial Private Capital, Inc. other | Other | Mar 9, 2015 | Mar 11, 2015 |
| Douglas Leonard Wright | Gradient Advisors, LLC other | Global Financial Private Capital, Inc. other | Other | Mar 4, 2015 | Mar 9, 2015 |
| Sheila Snowdon | Mowery Capital Management, LLC other | Global Financial Private Capital, Inc. other | Other | Feb 27, 2015 | Apr 29, 2016 (427 d) |
| Sharon Beth Evans | Horter Investment Management, LLC other | Global Financial Private Capital, Inc. other | Other | Feb 27, 2015 | Feb 25, 2015 |
| Craig Bennett Roth | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Global Financial Private Capital, Inc. other | Other | Feb 24, 2015 | Jul 6, 2015 (132 d) |
| Christopher Logan Burns | Morgan Stanley wirehouse | Global Financial Private Capital, Inc. other | Other | Feb 13, 2015 | Feb 26, 2015 |
| Charles Ragonese | Psp Financial Services LLC unclassified | Global Financial Private Capital, Inc. other | Other | Feb 4, 2015 | Jan 30, 2015 |
| Walter Edward Bak | Law Office Of Walter E Bak unclassified | Global Financial Private Capital, Inc. other | Other | Dec 31, 2014 | Jul 29, 2011 |
| Stuart Eric Raider | Nfp Advisor Services, LLC other | Global Financial Private Capital, Inc. other | Other | Nov 7, 2014 | Nov 10, 2014 |
| Peter Martin Mendler | Nfp Advisor Services, LLC other | Global Financial Private Capital, Inc. other | Other | Nov 7, 2014 | Nov 10, 2014 |
| John Joseph Navin | Trustmont Advisory Group, Inc. other | Global Financial Private Capital, Inc. other | Other | Oct 23, 2014 | Oct 21, 2014 |
| Tod Leighton Lenhoff | Capital Synergy Partners independent RIA | Global Financial Private Capital, Inc. other | Other | Oct 17, 2014 | Oct 17, 2014 |
| Corey Scott Sunstrom | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Global Financial Private Capital, Inc. other | Other | Sep 30, 2014 | Oct 15, 2014 |
| Christopher Andrew Barberini | Waddell & Reed other | Global Financial Private Capital, Inc. other | Other | Sep 29, 2014 | Sep 30, 2014 |
| John Francis Moran | MML Investors Services, LLC other | Global Financial Private Capital, Inc. other | Other | Sep 24, 2014 | Dec 5, 2014 (72 d) |
| Karen Meyer Holland | Kalos Management other | Global Financial Private Capital, Inc. other | Other | Sep 15, 2014 | Sep 16, 2014 |
| Christopher Marte Hoffman | Concourse Financial Group Advisors other | Global Financial Private Capital, Inc. other | Other | Aug 12, 2014 | Jul 14, 2014 |
| John Helms | Sarasota Capital Strategies,Inc. other | Global Financial Private Capital, Inc. BD affiliated | Other | Aug 7, 2014 | Jul 20, 2018 (1443 d) |
| John Stanley Thomas | Raymond James Financial Services Advisors, Inc other | Global Financial Private Capital, Inc. other | Other | Aug 1, 2014 | Aug 1, 2014 |
| Joseph Roe Wilson | Ameriprise Financial Services, LLC national BD | Global Financial Private Capital, Inc. other | Other | Jul 29, 2014 | Jul 18, 2014 |
| Michael Charles Reinhart | LPL Financial LLC other | Global Financial Private Capital, Inc. other | Other | Jul 15, 2014 | Jul 10, 2014 |
| James Harrison Waugh | Eagle Strategies LLC other | Global Financial Private Capital, Inc. other | Other | Jul 1, 2014 | Dec 16, 2014 (168 d) |
| Denise Ann Jaehnke | Lincoln Investment other | Global Financial Private Capital, Inc. other | Other | Jun 9, 2014 | Jun 9, 2014 |
| Andrew Scott Mcnair | Alphastar Capital Management other | Global Financial Private Capital, Inc. other | Other | Apr 21, 2014 | Apr 28, 2014 |
| Daniel Heaton Mann | Horter Investment Management, LLC other | Global Financial Private Capital, Inc. other | Other | Apr 14, 2014 | Apr 21, 2014 |
| Robert Lynn Hall | Brookstone Capital Management LLC other | Global Financial Private Capital, Inc. other | Other | Mar 26, 2014 | Nov 18, 2013 |
| Michael Vincent Mortellaro | Strategic Advisers LLC national BD | Global Financial Private Capital, Inc. other | Other | Mar 11, 2014 | Mar 16, 2016 (736 d) |
| Raymond Edwin Whitaker | Bfc Planning, Inc. other | Global Financial Private Capital, Inc. other | Other | Mar 3, 2014 | Mar 4, 2014 |
| Andrew Thomas Hansen | Integrity Alliance, LLC other | Global Financial Private Capital, Inc. other | Other | Feb 13, 2014 | Feb 11, 2014 |
| Dylan Edward Bond | Kalos Management other | Global Financial Private Capital, Inc. other | Other | Dec 31, 2013 | Jan 6, 2014 |
| Elizabeth Marie Torres | Eagle Strategies LLC other | Global Financial Private Capital, Inc. other | Other | Dec 20, 2013 | Dec 11, 2015 (721 d) |
| Gregory Joseph Garbeff | Gradient Advisors, LLC other | Global Financial Private Capital, Inc. other | Other | Nov 20, 2013 | Nov 19, 2013 |
| John Hanby Foard | Waddell & Reed other | Global Financial Private Capital, Inc. other | Other | Nov 4, 2013 | Nov 21, 2013 |
| Allison Anne Nathe | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Global Financial Private Capital, Inc. other | Other | Oct 16, 2013 | Mar 31, 2015 (531 d) |
| John Wallace Tonissen | American Financial Management Group, Ltd. other | Global Financial Private Capital, Inc. other | Other | Oct 1, 2013 | Aug 20, 2013 |
| David Scott Welton | Ifg Russell Advisors Inc other | Global Financial Private Capital, Inc. other | Other | Oct 1, 2013 | Aug 20, 2013 |
| Brent William Capehart | Esi Financial Advisors other | Global Financial Private Capital, Inc. other | Other | Sep 30, 2013 | Sep 25, 2013 |
| James Thomas Nelson | Independent Financial Partners other | Global Financial Private Capital, Inc. other | Other | Sep 23, 2013 | Sep 11, 2013 |
| Suzette Marie Porter | Psp Financial Services LLC unclassified | Global Financial Private Capital, Inc. other | Other | Sep 20, 2013 | Sep 19, 2013 |
| Adam Brennen Curran | Trustmont Advisory Group, Inc. other | Global Financial Private Capital, Inc. other | Other | Aug 26, 2013 | Aug 19, 2013 |
| Marshal Neil Johnson | The Mutual Fund Store other | Global Financial Private Capital, Inc. other | Other | Jul 24, 2013 | Sep 27, 2013 (65 d) |
| Samuel Gerald Coccia | Cl Wealth Management LLC other | Global Financial Private Capital, Inc. other | Other | Jun 21, 2013 | Jun 25, 2013 |
| Elizabeth C Bertelsen | Raymond James & Associates, Inc. national BD | Global Financial Private Capital, Inc. other | Other | Jun 18, 2013 | Jun 14, 2013 |
| Michael Bingham Ballard | Concourse Financial Group Advisors other | Global Financial Private Capital, Inc. other | Other | May 22, 2013 | May 22, 2013 |
| Jonathan Wardenburg | Hornor, Townsend & Kent, LLC other | Global Financial Private Capital, Inc. other | Other | May 2, 2013 | Aug 28, 2017 (1579 d) |
| James John Morrison | Spc other | Global Financial Private Capital, Inc. other | Other | May 1, 2013 | May 10, 2013 |
| Jeffrey Marshall Wadsworth | Invest Financial Corporation other | Global Financial Private Capital, Inc. other | Other | Apr 23, 2013 | Apr 22, 2013 |
| Tracy Diane Gangone | Ameriprise Financial Services, LLC national BD | Global Financial Private Capital, Inc. other | Other | Apr 16, 2013 | Jun 25, 2013 (70 d) |
| Linden Everett Gould | Mariner other | Global Financial Private Capital, Inc. other | Other | Mar 13, 2013 | Jul 23, 2013 (132 d) |
| Rocky Harold John Istvan | Spc other | Global Financial Private Capital, Inc. other | Other | Mar 1, 2013 | Apr 3, 2013 (33 d) |
| Daniel Martin Krug | Spc other | Global Financial Private Capital, Inc. other | Other | Mar 1, 2013 | Mar 4, 2013 |