| Stephen John Donnelly | Investors Capital Advisory other | Questar Asset Management, Inc. other | Other | Sep 13, 2016 | Sep 12, 2016 |
| Michael Bruce Frischman | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Questar Asset Management, Inc. other | Other | Sep 6, 2016 | Sep 6, 2016 |
| Geoffrey Alan Johnson | Wealth Management Resources Advisors LLC unclassified | Questar Asset Management, Inc. other | Other | Aug 25, 2016 | Sep 9, 2016 |
| Charisse Lela Kirkley | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Questar Asset Management, Inc. other | Other | Aug 1, 2016 | Aug 16, 2016 |
| Deborah Waynell Andrews | Foundations Investment Advisors LLC other | Questar Asset Management, Inc. other | Other | Jul 28, 2016 | Jul 20, 2016 |
| James Marks Bower | Citizens Securities, Inc. other | Questar Asset Management, Inc. other | Other | Jul 27, 2016 | Jul 14, 2016 |
| Nicholas Martin Kolbenschlag | Visionquest Wealth Management, LLC other | Questar Asset Management, Inc. other | Other | Jul 13, 2016 | Sep 15, 2016 (64 d) |
| Tyler Joseph Kolbenschlag | Visionquest Wealth Management, LLC other | Questar Asset Management, Inc. other | Other | Jul 13, 2016 | Sep 15, 2016 (64 d) |
| Louis Joseph Zaccaro | Cambridge Investment Research Advisors, Inc. other | Questar Asset Management, Inc. other | Other | Jul 8, 2016 | Jun 14, 2016 |
| William Taber Brown | United Capital Financial Advisors other | Questar Asset Management, Inc. other | Other | Jun 27, 2016 | Jul 14, 2016 |
| Christopher Paul Prien | Financial Partners, LLC other | Questar Asset Management, Inc. other | Other | May 20, 2016 | Jul 8, 2016 (49 d) |
| Ronald Timothy Lopresti | Ameritas Advisory Services other | Questar Asset Management, Inc. other | Other | Apr 28, 2016 | Apr 18, 2016 |
| Jonathan Caplan Weiss | Ameritas Advisory Services other | Questar Asset Management, Inc. other | Other | Apr 28, 2016 | Apr 18, 2016 |
| Diana Michele Groh | Principal Securities, Inc. other | Questar Asset Management, Inc. other | Other | Mar 22, 2016 | May 25, 2016 (64 d) |
| Robert William Wood | Cetera Advisor Networks LLC other | Questar Asset Management, Inc. other | Other | Mar 21, 2016 | Mar 18, 2016 |
| Matthew Edward Herman | Concourse Financial Group Advisors other | Questar Asset Management, Inc. other | Other | Mar 10, 2016 | Feb 18, 2016 |
| Dwight Dai Lee | LPL Financial LLC other | Questar Asset Management, Inc. other | Other | Mar 8, 2016 | Feb 29, 2016 |
| Aaron Anton Milne | Concourse Financial Group Advisors other | Questar Asset Management, Inc. other | Other | Mar 3, 2016 | Feb 16, 2016 |
| Jason Henry Vieira | Wells Fargo Advisors wirehouse | Questar Asset Management, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Feb 4, 2016 | Nov 28, 2018 (1028 d) |
| John Worden Coleman | Sagepoint Financial, Inc. other | Questar Asset Management, Inc. other | Other | Jan 9, 2016 | Nov 10, 2016 (306 d) |
| James Ronald King | Centaurus Financial, Inc. other | Questar Asset Management, Inc. other | Other | Dec 28, 2015 | Jan 6, 2016 |
| Wesley Edward Labelle | Concourse Financial Group Advisors other | Questar Asset Management, Inc. other | Other | Dec 18, 2015 | Feb 16, 2016 (60 d) |
| David George Lindberg | Woodbury Financial Services, Inc. other | Questar Asset Management, Inc. other | Other | Nov 20, 2015 | Nov 18, 2015 |
| John Anderson Lemmermann | LPL Financial LLC other | Questar Asset Management, Inc. other | Other | Nov 17, 2015 | Nov 4, 2015 |
| Rikki Jr Foster | Waddell & Reed other | Questar Asset Management, Inc. other | Other | Nov 10, 2015 | Nov 2, 2015 |
| Dennis Gerard Peatrowsky | Manarin Investment Counsel Ltd other | Questar Asset Management, Inc. other | Other | Nov 2, 2015 | Dec 14, 2015 (42 d) |
| Gregory S Eastman | LPL Financial LLC other | Questar Asset Management, Inc. other | Other | Sep 25, 2015 | Sep 10, 2015 |
| Christopher David Buchanan | Ameriprise Financial Services, LLC national BD | Questar Asset Management, Inc. other | Other | Sep 14, 2015 | Sep 22, 2015 |
| Judy Lynn Copenbarger | Voya Financial Advisors, Inc. other | Questar Asset Management, Inc. other | Other | Aug 20, 2015 | Aug 26, 2015 |
| James Dennis Hough | Trustmont Advisory Group, Inc. other | Questar Asset Management, Inc. other | Other | Aug 3, 2015 | Aug 6, 2015 |
| Gilbert Ralph Hawkins | LPL Financial LLC other | Questar Asset Management, Inc. other | Other | Jul 23, 2015 | Jul 21, 2015 |
| Mandie Josephine Peters | Concourse Financial Group Advisors other | Questar Asset Management, Inc. other | Other | Jul 21, 2015 | Jul 15, 2015 |
| Brian Scott Young | Osaic Fa, Inc. other | Questar Asset Management, Inc. other | Other | Jul 17, 2015 | Jul 13, 2015 |
| Russell T Bigham | Edward Jones national BD | Questar Asset Management, Inc. other | Other | Jul 13, 2015 | Aug 17, 2015 (35 d) |
| Bruce A Garber | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Questar Asset Management, Inc. other | Other | Jul 6, 2015 | Jul 21, 2015 |
| James Frederick Schafer | Brooke & Schafer, LLC unclassified | Questar Asset Management, Inc. other | Other | May 21, 2015 | Jan 28, 2008 |
| Alan Louis Augulis | Augulis Financial Firm, L.L.C. state registered | Questar Asset Management, Inc. other | Other | May 5, 2015 | May 8, 2015 |
| G Scott Diddel | Spc other | Questar Asset Management, Inc. other | Other | May 4, 2015 | May 1, 2015 |
| Charles Joseph Doran | Spc other | Questar Asset Management, Inc. other | Other | May 4, 2015 | May 1, 2015 |
| Fernando Patricio Romero | On Investment Management Co other | Questar Asset Management, Inc. other | Other | Apr 30, 2015 | May 29, 2015 |
| James Kenneth Spann | Legend Advisory, LLC other | Questar Asset Management, Inc. other | Other | Apr 24, 2015 | Apr 30, 2015 |
| James William Frye | Next Financial Group, Inc. other | Questar Asset Management, Inc. other | Other | Apr 9, 2015 | Apr 3, 2015 |
| Shannon Lee Messersmith | Girard Securities, Inc. other | Questar Asset Management, Inc. other | Other | Mar 13, 2015 | Apr 10, 2015 |
| Bruce Edwin Johnson | Girard Securities, Inc. other | Questar Asset Management, Inc. other | Other | Mar 13, 2015 | Apr 8, 2015 |
| Tyson Raymond Owens | Girard Securities, Inc. other | Questar Asset Management, Inc. other | Other | Mar 13, 2015 | Mar 26, 2015 |
| Ryan Scott Ruth | Girard Securities, Inc. other | Questar Asset Management, Inc. other | Other | Mar 13, 2015 | Mar 31, 2015 |
| John William Challas | Associated Investment Services, Inc. other | Questar Asset Management, Inc. other | Other | Feb 19, 2015 | Mar 19, 2015 |
| Myron Anthony Owens | Girard Securities, Inc. other | Questar Asset Management, Inc. other | Other | Feb 19, 2015 | Mar 20, 2015 |
| Dwain Lee Owens | Girard Securities, Inc. other | Questar Asset Management, Inc. other | Other | Feb 19, 2015 | Mar 26, 2015 (35 d) |
| Royce Todd Ruth | Girard Securities, Inc. other | Questar Asset Management, Inc. other | Other | Feb 19, 2015 | Mar 25, 2015 (34 d) |
| Lisa Anne Johnson | Cambridge Investment Research Advisors, Inc. other | Questar Asset Management, Inc. other | Other | Jan 29, 2015 | Jan 16, 2015 |
| Kevin Krieg | Msi Financial Services, Inc. other | Questar Asset Management, Inc. other | Other | Jan 28, 2015 | Apr 1, 2015 (63 d) |
| Corey Edward Wagner | A.G.P / Alliance Global Partners other | Questar Asset Management, Inc. other | Other | Jan 28, 2015 | Sep 17, 2015 (232 d) |
| Cynthia S Spekhart | Voya Financial Advisors, Inc. other | Questar Asset Management, Inc. other | Other | Jan 23, 2015 | Jan 21, 2015 |
| Cory O Jobe | Equitable Advisors, LLC national BD | Questar Asset Management, Inc. other | Other | Jan 20, 2015 | Apr 24, 2015 (94 d) |
| Matthew Lawrence Kaas | Principal Securities, Inc. other | Questar Asset Management, Inc. other | Other | Jan 16, 2015 | May 31, 2016 (501 d) |
| Thomas Griffin | Global Investment Advisors, LLC unclassified | Questar Asset Management, Inc. other | Other | Jan 7, 2015 | Apr 7, 2016 (456 d) |
| Stuart Preston Vaughn | Ssn Advisory, Inc. other | Questar Asset Management, Inc. other | Other | Jan 7, 2015 | Jan 8, 2015 |
| Robert Frederick Schimeneck | Integrity Alliance, LLC other | Questar Asset Management, Inc. other | Other | Dec 11, 2014 | Dec 10, 2014 |
| Brian E Biehl | Meeder Advisory Services, Inc. other | Questar Asset Management, Inc. other | Other | Dec 4, 2014 | Apr 20, 2016 (503 d) |