| Charles William Ross | Msi Financial Services, Inc. other | On Investment Management Co other | Other | Jun 27, 2016 | May 3, 2017 (310 d) |
| Wendall Alan Kennedy | Signator Investors, Inc. other | On Investment Management Co other | Other | Jun 20, 2016 | Jun 10, 2016 |
| Klent Starks | Ameritas Advisory Services other | On Investment Management Co other | Other | Jun 7, 2016 | Jul 1, 2016 |
| Jeffrey Evan Nordt | Valic Financial Advisors, Inc. other | On Investment Management Co other | Other | May 19, 2016 | Jun 16, 2016 |
| Patty Kelley Scott | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | On Investment Management Co other | Other | Apr 7, 2016 | Apr 5, 2016 |
| Hardev Prempuri Goswami | Msi Financial Services, Inc. other | On Investment Management Co other | Other | Apr 6, 2016 | Mar 18, 2016 |
| Jonathon Patrick Krikie | Park Avenue Securities LLC other | On Investment Management Co other | Other | Mar 9, 2016 | Mar 1, 2016 |
| Tim Eugene Ward | Ssn Advisory, Inc. other | On Investment Management Co other | Other | Mar 2, 2016 | Mar 2, 2016 |
| Ann Marie Dupree Hindley | Woodbury Financial Services, Inc. other | On Investment Management Co other | Other | Feb 8, 2016 | Feb 4, 2016 |
| Jenny Lynn Paradis | Woodbury Financial Services, Inc. other | On Investment Management Co other | Other | Feb 8, 2016 | Feb 4, 2016 |
| Susan Michelle Fellman | U.S. Bancorp Investments, Inc. other | On Investment Management Co other | Other | Jan 28, 2016 | Feb 4, 2016 |
| Dale Edward Colclasure | Arvest Wealth Management other | On Investment Management Co other | Other | Jan 25, 2016 | Jan 22, 2016 |
| Peter Frederick Acquaro | Sagepoint Financial, Inc. other | On Investment Management Co other | Other | Jan 11, 2016 | Sep 7, 2016 (240 d) |
| Taylor W Lionberger | Pnc Wealth Management other | On Investment Management Co other | Other | Dec 9, 2015 | Dec 18, 2015 |
| Colin Thomas Wheeler | Dupree Financial Group, LLC other | On Investment Management Co other | Other | Oct 15, 2015 | Oct 28, 2015 |
| Aaron Christian Thierry | Oneamerica Securities, Inc. other | On Investment Management Co other | Other | Oct 7, 2015 | Sep 30, 2015 |
| Henry Snyder | Next Financial Group, Inc. other | On Investment Management Co other | Other | Sep 4, 2015 | Apr 21, 2016 (230 d) |
| Donald G Scully | MML Investors Services, LLC other | On Investment Management Co other | Other | Jul 2, 2015 | Jul 21, 2015 |
| Mitchell Paul Mercer | Mdt Advisers, A Division Of Federated Mdta LLC other | On Investment Management Co other | Other | May 19, 2015 | Jul 22, 2015 (64 d) |
| David James Williams | Usaa Financial Planning Services no RAUM | On Investment Management Co other | Other | Apr 24, 2015 | May 19, 2015 |
| James Robert Hegel | MML Investors Services, LLC other | On Investment Management Co other | Other | Mar 19, 2015 | Mar 9, 2017 (721 d) |
| William Louis Pfadt | Oneamerica Securities, Inc. other | On Investment Management Co other | Other | Mar 13, 2015 | Apr 6, 2015 |
| Clifford James Robison | Sagepoint Financial, Inc. other | On Investment Management Co other | Other | Feb 9, 2015 | Feb 12, 2015 |
| Marshall Marraccini | Pnc Wealth Management other | On Investment Management Co BD affiliated | Other | Jan 20, 2015 | Apr 20, 2018 (1186 d) |
| Michael Terrance Mahoney | Edward Jones national BD | On Investment Management Co other | Other | Jan 9, 2015 | Mar 17, 2015 (67 d) |
| Annette Patricia Shanks | Voya Financial Advisors, Inc. other | On Investment Management Co other | Other | Dec 31, 2014 | Jan 6, 2015 |
| Christopher Bradley Marlin | Mutual Of Omaha Investor Services, Inc. no RAUM | On Investment Management Co other | Other | Dec 31, 2014 | Feb 6, 2015 (37 d) |
| Homayoun Nekoorad | Mutual Of Omaha Investor Services, Inc. no RAUM | On Investment Management Co other | Other | Dec 22, 2014 | Jan 23, 2015 (32 d) |
| Kevin Edward Kemmerer | Oneamerica Securities, Inc. other | On Investment Management Co other | Other | Dec 8, 2014 | Dec 1, 2014 |
| Christopher David Heckadon | Oneamerica Securities, Inc. other | On Investment Management Co other | Other | Dec 8, 2014 | Nov 26, 2014 |
| Timothy William Alvarado | Oneamerica Securities, Inc. other | On Investment Management Co other | Other | Dec 8, 2014 | Dec 1, 2014 |
| Eustace Peter Fernandes | Voya Financial Advisors, Inc. other | On Investment Management Co other | Other | Nov 3, 2014 | Sep 6, 2017 (1038 d) |
| Nevine Magdy George | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | On Investment Management Co other | Other | Aug 25, 2014 | Aug 30, 2016 (736 d) |
| Mathew David Solomon | MML Investors Services, LLC other | On Investment Management Co other | Other | Jul 18, 2014 | Aug 15, 2014 |
| Brian David Kirk | Park Avenue Securities LLC other | On Investment Management Co other | Other | Jul 17, 2014 | Jul 7, 2014 |
| Richard Allen Sandman | Transamerica Financial Advisors, LLC other | On Investment Management Co other | Other | Jun 2, 2014 | Sep 12, 2014 (102 d) |
| Matthew James Collins | Lincoln Investment other | On Investment Management Co BD affiliated | Other | May 28, 2014 | Mar 21, 2023 (3219 d) |
| Richard Joseph Hamlin | Fai Advisors, Inc. independent RIA | On Investment Management Co other | Other | May 21, 2014 | Jun 23, 2010 |
| John James Gallia | Edward Jones national BD | On Investment Management Co other | Other | Mar 6, 2014 | Apr 9, 2014 (34 d) |
| Wayburn Allen Costellow | Brookstone Capital Management LLC other | On Investment Management Co other | Other | Mar 4, 2014 | May 7, 2014 (64 d) |
| John Christopher Head | Edward Jones national BD | On Investment Management Co other | Other | Mar 4, 2014 | Apr 2, 2014 |
| Brett Michelle Hamilton | New England Securities Corporation other | On Investment Management Co other | Other | Feb 24, 2014 | Feb 28, 2014 |
| Linwood Forrest Hamilton | New England Securities Corporation other | On Investment Management Co other | Other | Feb 24, 2014 | Feb 28, 2014 |
| Matthew Craig Queen | Lawing Financial Inc other | On Investment Management Co other | Other | Jan 31, 2014 | Sep 9, 2004 |
| Allen Randolph Bruce | H. Beck, Inc. other | On Investment Management Co other | Other | Jan 9, 2014 | Jan 14, 2014 |
| Daniel Ernest Goland | Ameriprise Financial Services, LLC national BD | On Investment Management Co other | Other | Dec 18, 2013 | Dec 9, 2013 |
| Michael Spencer Ledford | Nfp Advisor Services, LLC other | On Investment Management Co other | Other | Dec 17, 2013 | Mar 20, 2014 (93 d) |
| Chrystal Dawn Goland | Ameriprise Financial Services, LLC national BD | On Investment Management Co other | Other | Oct 3, 2013 | Jan 2, 2014 (91 d) |
| Daniel Patrick O'Keefe | Lincoln Investment other | On Investment Management Co BD affiliated | Other | Sep 5, 2013 | Feb 8, 2023 (3443 d) |
| John Francis Mckenna | Morgan Stanley wirehouse | On Investment Management Co other | Other | Aug 27, 2013 | Aug 6, 2013 |
| Byron Patricio Alvarado | MML Investors Services, LLC other | On Investment Management Co other | Other | Aug 21, 2013 | Aug 16, 2013 |
| Stephen Mcgoff | Money Concepts Advisory Service other | On Investment Management Co other | Other | Jul 31, 2013 | Jul 23, 2014 (357 d) |
| Jason C Sanger | Wisconsin Financial Advisors, LLC unclassified | On Investment Management Co other | Other | Jul 29, 2013 | Feb 28, 2013 |
| Arthur Peter Sanger | Wisconsin Financial Advisors, LLC unclassified | On Investment Management Co other | Other | Jul 29, 2013 | May 3, 2010 |
| Michael D Bird | LPL Financial LLC other | On Investment Management Co other | Other | Jul 16, 2013 | Aug 27, 2013 (42 d) |
| John Michael Moody | MML Investors Services, LLC other | On Investment Management Co other | Other | Jul 5, 2013 | Jul 30, 2013 |
| Jay Benjamin Dworsky | Wisconsin Financial Advisors, LLC unclassified | On Investment Management Co other | Other | Jun 18, 2013 | Apr 11, 2013 |
| Marisa Dietz Menzel | Wisconsin Financial Advisors, LLC unclassified | On Investment Management Co other | Other | Jun 18, 2013 | Oct 21, 2013 (125 d) |
| Richard Daniel Orred | Fortitude Advisory Group L.L.C. other | On Investment Management Co other | Other | May 30, 2013 | May 13, 2013 |
| Marvin L. Mitchell | Cornerstone Wealth Management, LLC other | On Investment Management Co other | Other | May 22, 2013 | May 22, 2013 |