| Mitchell Brad Pinheiro | Imperial Capital Asset Management LLC other | B Riley Wealth Management other | Other | Oct 28, 2015 | Oct 7, 2015 |
| Norman Bernard Loewenstern | Hilltop Securities Inc. other | B Riley Wealth Management other | Other | Oct 16, 2015 | Sep 18, 2015 |
| Rebecca Jean Earwood-Grant | Hilltop Securities Inc. other | B Riley Wealth Management other | Other | Oct 7, 2015 | Sep 8, 2015 |
| Jay Thoburn Brown | Hilltop Securities Inc. other | B Riley Wealth Management other | Other | Oct 7, 2015 | Sep 8, 2015 |
| Jeffrey Curtis Brindley | Foresters Equity Services, Inc. other | B Riley Wealth Management other | Other | Sep 25, 2015 | Sep 25, 2015 |
| Robert Emmett Lee | Vsr Advisory Services other | B Riley Wealth Management other | Other | Sep 23, 2015 | Sep 22, 2015 |
| Joseph Constantine Bernardi | Vsr Advisory Services other | B Riley Wealth Management other | Other | Sep 21, 2015 | Sep 21, 2015 |
| Taylor Renee Nobriga | Securian Financial Services, Inc. other | B Riley Wealth Management other | Other | Aug 11, 2015 | Aug 12, 2015 |
| Denise M Williams | Stephens other | B Riley Wealth Management other | Other | Jul 15, 2015 | Jul 23, 2015 |
| Kimberly Louise Jamieson | The Mutual Fund Store other | B Riley Wealth Management other | Other | Jul 9, 2015 | Oct 5, 2015 (88 d) |
| Charles Everett Bailey | Raymond James & Associates, Inc. national BD | B Riley Wealth Management other | Other | Jun 18, 2015 | Jul 28, 2015 (40 d) |
| Kenneth Michael Osler | Raymond James & Associates, Inc. national BD | B Riley Wealth Management other | Other | Jun 8, 2015 | May 29, 2015 |
| Achilleas Psihudakis | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | B Riley Wealth Management other | Other | May 15, 2015 | Jun 12, 2015 |
| Phillip Robert Rogers | Duncan-Williams, Inc. other | B Riley Wealth Management other | Other | Apr 21, 2015 | Apr 17, 2015 |
| Tyler Rieves Berry | Morgan Stanley wirehouse | B Riley Wealth Management other | Other | Mar 3, 2015 | Feb 13, 2015 |
| Rachel Elizabeth Pena | Morgan Stanley wirehouse | B Riley Wealth Management other | Other | Feb 27, 2015 | Feb 13, 2015 |
| Jonathan Greene | Dominick & Dominick LLC other | B Riley Wealth Management other | Other | Jan 28, 2015 | Jan 21, 2015 |
| Hal William Brown | Dominick & Dominick LLC other | B Riley Wealth Management other | Other | Jan 28, 2015 | Jan 21, 2015 |
| Eugene Joseph Mulvaney | Dominick & Dominick LLC other | B Riley Wealth Management other | Other | Jan 28, 2015 | Jan 30, 2015 |
| Marjorie Sue Samuels | Dominick & Dominick LLC other | B Riley Wealth Management other | Other | Jan 28, 2015 | Jan 21, 2015 |
| Andre Lamar Mcclure | Dominick & Dominick LLC other | B Riley Wealth Management other | Other | Jan 28, 2015 | Jan 20, 2015 |
| Gissette Cruz | Dominick & Dominick LLC other | B Riley Wealth Management other | Other | Jan 28, 2015 | Jan 30, 2015 |
| Lynn Renee Sperandeo | Dominick & Dominick LLC other | B Riley Wealth Management other | Other | Jan 28, 2015 | Jan 30, 2015 |
| Gary Steven Brochin | Dominick & Dominick LLC other | B Riley Wealth Management other | Other | Jan 26, 2015 | Feb 10, 2015 |
| Thomas John Coelho | Ameriprise Financial Services, LLC national BD | B Riley Wealth Management other | Other | Jan 26, 2015 | Jan 9, 2015 |
| Roberto Luis Lizama | Dominick & Dominick LLC other | B Riley Wealth Management other | Other | Jan 26, 2015 | Feb 12, 2015 |
| Edward Reed Laughlin | Dominick & Dominick LLC other | B Riley Wealth Management other | Other | Jan 26, 2015 | Feb 12, 2015 |
| John Mead Rust | Dominick & Dominick LLC other | B Riley Wealth Management other | Other | Jan 26, 2015 | Jan 21, 2015 |
| Gloria Luz Aneiros | Dominick & Dominick LLC other | B Riley Wealth Management other | Other | Jan 26, 2015 | Feb 12, 2015 |
| Mauricio U Assael | Dominick & Dominick LLC other | B Riley Wealth Management other | Other | Jan 26, 2015 | Feb 2, 2015 |
| Michael Edwin Crossley | Morgan Stanley wirehouse | B Riley Wealth Management other | Other | Jan 26, 2015 | Jan 15, 2015 |
| Dewitt Loomis Alexandre | Dominick & Dominick LLC other | B Riley Wealth Management other | Other | Jan 26, 2015 | Jan 28, 2015 |
| Rodolfo Eduardo Milani | Dominick & Dominick LLC other | B Riley Wealth Management other | Other | Jan 26, 2015 | Jan 22, 2015 |
| Edward A Cheatham | Principal Securities, Inc. other | B Riley Wealth Management other | Other | Jan 16, 2015 | Jan 9, 2015 |
| Ardian Hasko | Morgan Stanley wirehouse | B Riley Wealth Management other | Other | Dec 22, 2014 | Jan 28, 2015 (37 d) |
| David D Duvigneaud | Wells Fargo Advisors wirehouse | B Riley Wealth Management other | Other | Dec 15, 2014 | Dec 18, 2014 |
| Venera F Izant | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | B Riley Wealth Management other | Other | Oct 8, 2014 | Oct 6, 2014 |
| Mark Richard Loft | UBS Financial Services Inc. wirehouse | B Riley Wealth Management other | Other | Sep 2, 2014 | Aug 20, 2014 |
| Michael Grant Reisin | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | B Riley Wealth Management other | Other | Aug 8, 2014 | May 5, 2016 (636 d) |
| Deborah Edwards Tucker | Raymond James & Associates, Inc. national BD | B Riley Wealth Management other | Other | Aug 8, 2014 | Jul 29, 2014 |
| John Matsek | Raymond James & Associates, Inc. national BD | B Riley Wealth Management other | Other | Apr 28, 2014 | Apr 24, 2014 |
| Renee A Raymond | Stifel, Nicolaus & Company, Incorporated national BD | B Riley Wealth Management other | Other | Apr 22, 2014 | Apr 24, 2014 |
| James Andrew Buckner | Wells Fargo Advisors wirehouse | B Riley Wealth Management other | Other | Feb 26, 2014 | Mar 11, 2014 |
| Scott E. Dubin | Mcdonald Partners LLC other | B Riley Wealth Management other | Other | Feb 24, 2014 | Feb 24, 2014 |
| James Allen Tolbert | Sterne Agee Asset Management, Inc. other | B Riley Wealth Management other | Other | Jan 27, 2014 | Jan 22, 2014 |
| Richard F Colleoni | Raymond James & Associates, Inc. national BD | B Riley Wealth Management other | Other | Jan 15, 2014 | Jan 10, 2014 |
| Craig M Wiener | Aaron Capital Incorporated unclassified | B Riley Wealth Management other | Other | Jan 2, 2014 | Jan 2, 2014 |
| Myra Creasy Pierotti | Duncan-Williams, Inc. other | B Riley Wealth Management other | Other | Dec 18, 2013 | Jan 28, 2014 (41 d) |
| Brent Patrick Nicks | Raymond James & Associates, Inc. national BD | B Riley Wealth Management other | Other | Oct 30, 2013 | Oct 14, 2013 |
| Daniel Swift Edmunds | Sterne Agee Asset Management, Inc. other | B Riley Wealth Management other | Other | Oct 16, 2013 | Oct 7, 2013 |
| Mary Helen Jacobus | Morgan Stanley wirehouse | B Riley Wealth Management other | Other | Sep 16, 2013 | Oct 22, 2013 (36 d) |
| Eric Paul Zeitler | Alamo Asset Advisors other | B Riley Wealth Management other | Other | Aug 30, 2013 | Oct 13, 2008 |
| Andrew James Metcalf | Raymond James Financial Services Advisors, Inc other | B Riley Wealth Management other | Other | Aug 27, 2013 | Aug 26, 2013 |
| Gary Andrew Miller | Alamo Asset Advisors other | B Riley Wealth Management other | Other | Aug 14, 2013 | Oct 21, 2013 (68 d) |
| Constance Ann Etter | David A. Noyes & Company other | B Riley Wealth Management other | Other | Jul 16, 2013 | Jul 16, 2013 |
| James Edward Bashaw | James E.Bashaw & Co. unclassified | B Riley Wealth Management other | Other | Jul 10, 2013 | Sep 29, 2014 (446 d) |
| Kelly Glen Compton | Alamo Asset Advisors other | B Riley Wealth Management other | Other | May 28, 2013 | Oct 13, 2008 |
| Jennifer Allison King | Raymond James & Associates, Inc. national BD | B Riley Wealth Management other | Other | Feb 27, 2013 | Apr 15, 2013 (47 d) |
| Mark Varner | Wells Fargo Advisors wirehouse | B Riley Wealth Management other | Other | Feb 19, 2013 | Feb 19, 2013 |
| Erik Syver Klefos | Sanders Morris LLC other | B Riley Wealth Management other | Other | Dec 17, 2012 | Dec 14, 2012 |