| Richard Scott Ehrlich | Park Avenue Securities LLC other | Horter Investment Management, LLC other | Other | Dec 2, 2013 | Dec 26, 2013 |
| Lawrence Joseph Bedard | Meridian Financial Advisors, LLC unclassified | Horter Investment Management, LLC other | Other | Nov 11, 2013 | Nov 14, 2013 |
| Alan David Ragovin | Equitable Advisors, LLC national BD | Horter Investment Management, LLC other | Other | Nov 8, 2013 | Mar 5, 2014 (117 d) |
| Canaan Trace Penland | Redhawk Wealth Advisors, Inc. other | Horter Investment Management, LLC other | Other | Oct 21, 2013 | Nov 6, 2013 |
| Deborah Jean Detray | Advantage Investment Management, LLC other | Horter Investment Management, LLC other | Other | Oct 1, 2013 | Oct 29, 2013 |
| Fredric William Miller | Financial Education Centers, LLC unclassified | Horter Investment Management, LLC other | Other | May 9, 2013 | May 9, 2013 |
| John Thomas Turner | Southeast Investments, N.C., Inc. state registered | Horter Investment Management, LLC other | Other | Apr 10, 2013 | Oct 7, 2015 (910 d) |
| Gabriel Paul Janusa | Ameritas Advisory Services other | Horter Investment Management, LLC other | Other | Mar 22, 2013 | Mar 25, 2013 |
| Andrew Kent Toolson | Girard Securities, Inc. other | Horter Investment Management, LLC other | Other | Feb 1, 2013 | Feb 1, 2013 |
| Daniel Heaton Mann | Cornerstone Advisory Group, Inc. unclassified | Horter Investment Management, LLC other | Other | Jan 30, 2013 | Feb 26, 2013 |
| Michael John Lightfield | Precision Capital Management, LLC unclassified | Horter Investment Management, LLC other | Other | Dec 31, 2012 | May 29, 2012 |
| Susan Charlson Mcnamara Musil | Voya Financial Advisors, Inc. other | Horter Investment Management, LLC other | Other | Dec 31, 2012 | Jan 17, 2013 |
| William Daniel Brooks | Royal Fund Management, LLC other | Horter Investment Management, LLC other | Other | Dec 6, 2012 | Jul 12, 2013 (218 d) |
| Todd Childers | Woodbury Financial Services, Inc. other | Horter Investment Management, LLC other | Other | Nov 20, 2012 | Nov 26, 2012 |
| Richard Roy Kirk | Gradient Advisors, LLC other | Horter Investment Management, LLC independent RIA | Other | Nov 6, 2012 | Sep 17, 2018 (2141 d) |
| Mark Curtis Scott | Spc other | Horter Investment Management, LLC other | Other | Nov 2, 2012 | Jul 11, 2017 (1712 d) |
| Timothy Jon Sparks | Alphastar Capital Management other | Horter Investment Management, LLC other | Other | Oct 3, 2012 | Oct 5, 2012 |
| David Mersky | Integrity Alliance, LLC other | Horter Investment Management, LLC other | Other | Aug 1, 2012 | Jan 6, 2014 (523 d) |
| Myles Patrick O'Reilly | Brookstone Capital Management LLC other | Horter Investment Management, LLC other | Other | Jul 16, 2012 | Jul 20, 2012 |
| Michael J Lehrhaupt | Signator Investors, Inc. other | Horter Investment Management, LLC other | Other | Jun 4, 2012 | May 30, 2014 (725 d) |
| Claude Thomas Corbett | Regal Investment Advisors LLC other | Horter Investment Management, LLC other | Other | Mar 30, 2012 | Jan 15, 2014 (656 d) |
| Harry Earl Coussou | Principal Securities, Inc. other | Horter Investment Management, LLC other | Other | Feb 21, 2012 | Feb 27, 2012 |
| Craig Philip Misuradze | USA Wealth Management LLC other | Horter Investment Management, LLC other | Other | Jan 3, 2012 | Jan 18, 2012 |
| Mark Jackson Myers | Wfg Advisors, LP other | Horter Investment Management, LLC other | Other | Dec 7, 2011 | Dec 15, 2011 |
| James Scott Donewald | Redhawk Wealth Advisors, Inc. other | Horter Investment Management, LLC other | Other | Jul 20, 2011 | Aug 10, 2011 |
| Eric Gary Burstock | Preservation Of Wealth, Inc. unclassified | Horter Investment Management, LLC other | Other | Jul 12, 2011 | Aug 1, 2014 (1116 d) |
| Robert Travis Evans | Redhawk Wealth Advisors, Inc. other | Horter Investment Management, LLC other | Other | May 10, 2011 | May 17, 2011 |
| Ramona Ann Purvis | Woodbury Financial Services, Inc. other | Horter Investment Management, LLC other | Other | May 10, 2011 | Apr 27, 2011 |
| Kimberly Perry | Investment Advisors International, Inc. unclassified | Horter Investment Management, LLC independent RIA | Other | Jan 31, 2011 | Dec 13, 2018 (2873 d) |
| James Moore Mcclenny | Nationwide Securities, LLC no RAUM | Horter Investment Management, LLC other | Other | Dec 31, 2010 | Nov 30, 2012 (700 d) |
| Mark Stuart Billes | Berthel Fisher & Company Financial Services, Inc. other | Horter Investment Management, LLC other | Other | Dec 31, 2010 | Aug 27, 2015 (1700 d) |
| Christopher Kendall Abts | Brookstone Capital Management LLC other | Horter Investment Management, LLC other | Other | Aug 25, 2010 | Sep 1, 2010 |
| Mark David Kinney | Great American Advisors, Inc. other | Horter Investment Management, LLC other | Other | Aug 2, 2010 | Nov 24, 2014 (1575 d) |
| Troy Frazier | Integrity Alliance, LLC other | Horter Investment Management, LLC other | Other | Jul 2, 2010 | Jul 6, 2010 |
| Angelica Roxas | Brookstone Capital Management LLC other | Horter Investment Management, LLC other | Other | Apr 5, 2010 | May 4, 2015 (1855 d) |
| Douglas A Clancy | The Investment Advisor Alliance LLC other | Horter Investment Management, LLC other | Other | Jan 26, 2010 | Jan 25, 2010 |
| Daniel Thomas Dougherty | Cadaret Grant & Co Inc other | Horter Investment Management, LLC other | Other | Dec 31, 2009 | Feb 6, 2014 (1498 d) |
| Thomas Mclellan Davis | Aura Asset Management, Inc. unclassified | Horter Investment Management, LLC other | Other | Dec 17, 2009 | Dec 9, 2014 (1818 d) |
| Michelle Lea Phillips | Wells Fargo Investments, LLC unclassified | Horter Investment Management, LLC other | Other | Dec 16, 2009 | Apr 18, 2011 (488 d) |
| Jeffrey Thomas Cutter | Voya Financial Advisors, Inc. other | Horter Investment Management, LLC other | Other | Nov 16, 2009 | Oct 20, 2011 (703 d) |
| Veronica Osmonov | Waddell & Reed other | Horter Investment Management, LLC other | Other | Oct 19, 2009 | Apr 28, 2016 (2383 d) |
| Michael T Moore | Alphamark Advisors, LLC other | Horter Investment Management, LLC other | Other | Aug 5, 2009 | Aug 21, 2009 |
| Marvin Ray Reynolds | First Western Advisors other | Horter Investment Management, LLC other | Other | Jul 6, 2009 | Oct 13, 2016 (2656 d) |
| Jennifer Denise Morton | Ameriprise Financial Services, LLC national BD | Horter Investment Management, LLC other | Other | May 14, 2009 | Apr 13, 2011 (699 d) |
| Timothy James Spyrnal | Thrivent Investment Management Inc. other | Horter Investment Management, LLC other | Other | Mar 20, 2009 | Apr 28, 2009 (39 d) |
| Brent A Marshall | Kalos Management other | Horter Investment Management, LLC other | Other | Nov 3, 2008 | Oct 31, 2008 |
| Peter Jose' D'Arruda | Questar Asset Management, Inc. other | Horter Investment Management, LLC other | Other | Jun 5, 2008 | Jun 6, 2008 |
| Terry Lane Coleman | Spectrum Capital, LLC unclassified | Horter Investment Management, LLC other | Other | May 27, 2008 | May 31, 2012 (1465 d) |
| David P Antioho | J. W. Cole Advisors, Inc. other | Horter Investment Management, LLC other | Other | Apr 10, 2008 | Sep 7, 2007 |
| Mark Thomas Shelby | First Command Financial Planning, Inc. other | Horter Investment Management, LLC other | Other | Mar 19, 2008 | Jan 27, 2010 (679 d) |
| Don P Cloud | Crown Capital Securities, L.P. other | Horter Investment Management, LLC other | Other | Feb 14, 2008 | Feb 21, 2008 |
| Kyung Ho Choe | Equitable Advisors, LLC national BD | Horter Investment Management, LLC other | Other | Feb 5, 2008 | Dec 23, 2016 (3244 d) |
| Lawrence Courtney Tidmore | Planmember Securities Corporation other | Horter Investment Management, LLC independent RIA | Other | Dec 31, 2007 | Jul 16, 2018 (3850 d) |
| Diane Brewer | USA Wealth Management LLC other | Horter Investment Management, LLC other | Other | Dec 6, 2007 | Jan 16, 2008 (41 d) |
| Christopher Shawn Mcintire | Kalos Management other | Horter Investment Management, LLC other | Other | Oct 31, 2007 | Nov 29, 2007 |
| William Standley Eden | Eden & Associates, Inc. unclassified | Horter Investment Management, LLC other | Other | Jul 3, 2007 | Jul 3, 2007 |
| Ryan James Cravitz | Citicorp Investment Services unclassified | Horter Investment Management, LLC other | Other | Dec 7, 2006 | Oct 1, 2014 (2855 d) |
| Robert John Knox | Investors Capital Advisory other | Horter Investment Management, LLC other | Other | Dec 31, 2005 | Jan 2, 2008 (732 d) |
| Ross Frederick Browne | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Horter Investment Management, LLC other | Other | Oct 24, 2005 | Jun 22, 2015 (3528 d) |
| Brandon Webster Morgan | Morgan Financial Advisors unclassified | Horter Investment Management, LLC other | Other | Dec 31, 2002 | Jul 29, 2015 (4593 d) |