| Marc Allan Silverman | Securities America Advisors, Inc. other | Geneos Wealth Management, Inc. other | Other | Jun 30, 2011 | Jul 5, 2011 |
| Dan Eugene Sanders | Next Financial Group, Inc. other | Geneos Wealth Management, Inc. other | Other | Apr 18, 2011 | Apr 14, 2011 |
| Keith Wayne Patterson | Next Financial Group, Inc. other | Geneos Wealth Management, Inc. other | Other | Apr 18, 2011 | Apr 21, 2011 |
| Brent Kenneth Donovan | Stifel, Nicolaus & Company, Incorporated national BD | Geneos Wealth Management, Inc. other | Other | Apr 18, 2011 | Jan 16, 2013 (639 d) |
| William Franklin Richardson | Next Financial Group, Inc. other | Geneos Wealth Management, Inc. other | Other | Apr 18, 2011 | Apr 20, 2011 |
| Eric Appleton Cheney | LPL Financial LLC other | Geneos Wealth Management, Inc. other | Other | Apr 14, 2011 | May 17, 2011 (33 d) |
| Marcos Ramon Lopez | Financial Telesis, Inc. other | Geneos Wealth Management, Inc. other | Other | Mar 31, 2011 | Mar 29, 2011 |
| Jonathan M. Wright | Nfp Advisor Services, LLC other | Geneos Wealth Management, Inc. other | Other | Mar 31, 2011 | Mar 17, 2011 |
| Tammie Moore Parran | Allstate Financial Advisors, LLC no RAUM | Geneos Wealth Management, Inc. other | Other | Mar 22, 2011 | Mar 10, 2011 |
| Carmen Diane Bohlke | Nations Financial Group, Inc. other | Geneos Wealth Management, Inc. other | Other | Mar 1, 2011 | Mar 18, 2011 |
| Ruth Elaine Delaney | Concourse Financial Group Advisors other | Geneos Wealth Management, Inc. other | Other | Dec 31, 2010 | Jan 12, 2011 |
| Craig John Tolzman | Schooner Financial Associates unclassified | Geneos Wealth Management, Inc. other | Other | Dec 31, 2010 | Jan 20, 2011 |
| Randall Kenneth Huntimer | Schooner Financial Associates unclassified | Geneos Wealth Management, Inc. other | Other | Dec 31, 2010 | Feb 22, 2005 |
| Ellis Nurogar Liddell | Securities America Advisors, Inc. other | Geneos Wealth Management, Inc. other | Other | Dec 10, 2010 | Jan 4, 2011 |
| Marcelle Gordon | Securities America Advisors, Inc. other | Geneos Wealth Management, Inc. other | Other | Nov 26, 2010 | Jan 27, 2011 (62 d) |
| Philip Jude Fogli | Raymond James Financial Services Advisors, Inc other | Geneos Wealth Management, Inc. other | Other | Sep 29, 2010 | Sep 27, 2010 |
| Jay Richard Cutrera | Citizens Securities, Inc. other | Geneos Wealth Management, Inc. other | Other | Jun 18, 2010 | Jun 14, 2010 |
| Chad Michael Harmon | Equitable Advisors, LLC national BD | Geneos Wealth Management, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 5, 2010 | Jan 1, 2025 (5385 d) |
| Alan David Holman | Clifton Gunderson Wealth Advisors other | Geneos Wealth Management, Inc. other | Other | Jan 4, 2010 | Jan 8, 2010 |
| Christopher Stephen Scott | Cscott Financial, Inc. unclassified | Geneos Wealth Management, Inc. other | Other | Dec 31, 2009 | Apr 1, 2008 |
| Ethan Alexander William Quirin | Voya Financial Advisors, Inc. other | Geneos Wealth Management, Inc. other | Other | Dec 17, 2009 | Jan 6, 2010 |
| Louis Blyth Llanes | Centric Investment Group Inc other | Geneos Wealth Management, Inc. other | Other | Nov 17, 2009 | Jan 10, 2003 |
| Dennis Shane Mcmillan | Insphere Securities, Inc. unclassified | Geneos Wealth Management, Inc. other | Other | Oct 29, 2009 | Nov 2, 2009 |
| Dennis Michael Spratt | Osaic Wealth, Inc. other | Geneos Wealth Management, Inc. other | Other | Sep 1, 2009 | Sep 1, 2009 |
| Gary Alvin Nagel | Osaic Wealth, Inc. other | Geneos Wealth Management, Inc. other | Other | Sep 1, 2009 | Sep 1, 2009 |
| Kristine Jane Witherow | Uvest Financial Services Group, Inc. unclassified | Geneos Wealth Management, Inc. other | Other | Aug 12, 2009 | Aug 11, 2009 |
| Brian Michael Pelling | Morgan Stanley wirehouse | Geneos Wealth Management, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Aug 3, 2009 | Oct 2, 2018 (3347 d) |
| Patrick Bryan Wallace | LPL Financial LLC other | Geneos Wealth Management, Inc. other | Other | Jul 21, 2009 | Jul 16, 2009 |
| Barbara Linn Hein | Wealth Advisors Of Iowa, LLC independent RIA | Geneos Wealth Management, Inc. other | Other | Jul 6, 2009 | Jun 16, 2009 |
| Tony Gene Griepentrog | Next Financial Group, Inc. other | Geneos Wealth Management, Inc. other | Other | Apr 2, 2009 | Sep 25, 2013 (1637 d) |
| Michael John Osland | Michael John Osland unclassified | Geneos Wealth Management, Inc. other | Other | Feb 5, 2009 | Dec 17, 2008 |
| Marina Alexandra Armbruster | Brecek & Young Advisors, Inc. other | Geneos Wealth Management, Inc. other | Other | Jan 23, 2009 | Oct 6, 2004 |
| Jay Robert Penney | Usf Advisors, LLC unclassified | Geneos Wealth Management, Inc. other | Other | Jan 7, 2009 | Jan 2, 2009 |
| Karen Wozniak Mcdade | Usf Advisors, LLC unclassified | Geneos Wealth Management, Inc. other | Other | Jan 7, 2009 | Jan 22, 2009 |
| Robert George Vail | Chase Investment Services Corp. other | Geneos Wealth Management, Inc. other | Other | Nov 4, 2008 | Oct 21, 2010 (716 d) |
| Eric Lee Souders | Valic Financial Advisors, Inc. other | Geneos Wealth Management, Inc. other | Other | Oct 22, 2008 | Oct 27, 2008 |
| Richard Mark Braverman | Fsc Securities Corporation other | Geneos Wealth Management, Inc. other | Other | Oct 10, 2008 | Oct 1, 2008 |
| Jack Edward Armstrong | Stambaugh Ness Financial Strategies unclassified | Geneos Wealth Management, Inc. other | Other | Sep 25, 2008 | Jul 1, 2008 |
| Paul Daniel Brick | Stambaugh Ness Financial Strategies unclassified | Geneos Wealth Management, Inc. other | Other | Sep 24, 2008 | Jul 1, 2008 |
| William Steven Mcarthur | Voya Financial Advisors, Inc. other | Geneos Wealth Management, Inc. other | Other | May 23, 2008 | May 15, 2008 |
| Wayne Edward Sprenger | Osaic Wealth, Inc. other | Geneos Wealth Management, Inc. other | Other | Apr 24, 2008 | Apr 1, 2008 |
| Dewayne Ray Nelson | Nrp Financial, Inc. unclassified | Geneos Wealth Management, Inc. other | Other | Mar 24, 2008 | Apr 4, 2008 |
| Dewayne Ray Nelson | Nrp Financial, Inc. unclassified | Geneos Wealth Management, Inc. other | Other | Mar 24, 2008 | Mar 24, 2008 |
| Rebecca Louise Eckert | Cuso Financial Services, L.P. other | Geneos Wealth Management, Inc. other | Other | Mar 11, 2008 | Mar 11, 2008 |
| Stephen Guy Shipp | Cue Financial Group, Inc. other | Geneos Wealth Management, Inc. other | Other | Dec 7, 2007 | Dec 13, 2007 |
| Vern Clarence Hayden | Hayden Financial Group, LLC unclassified | Geneos Wealth Management, Inc. other | Other | Nov 27, 2007 | Jan 3, 2006 |
| Gerard Gruber | Hayden Financial Group, LLC unclassified | Geneos Wealth Management, Inc. other | Other | Nov 27, 2007 | Oct 18, 2007 |
| David Aaron Obenberger | Securities America Advisors, Inc. other | Geneos Wealth Management, Inc. other | Other | Aug 21, 2007 | Aug 21, 2007 |
| William Austin Allen | Cuna Brokerage Services, Inc. other | Geneos Wealth Management, Inc. other | Other | Aug 7, 2007 | Aug 7, 2007 |
| Heather B Styles | Cambridge Investment Research Advisors, Inc. other | Geneos Wealth Management, Inc. other | Other | Jul 26, 2007 | Aug 7, 2007 |
| Kristin Janine Sesko | Citigroup Global Markets Inc. other | Geneos Wealth Management, Inc. other | Other | Jun 26, 2007 | Jun 4, 2007 |
| George Richard Truitt | Osaic Wealth, Inc. other | Geneos Wealth Management, Inc. other | Other | May 3, 2007 | Apr 19, 2007 |
| William Elton Leitch | Td Ameritrade Investment Management, LLC other | Geneos Wealth Management, Inc. other | Other | Mar 12, 2007 | May 1, 2007 (50 d) |
| Pamala Ann Reichert | United Securities Alliance, Inc. unclassified | Geneos Wealth Management, Inc. other | Other | Mar 2, 2007 | Mar 8, 2007 |
| Elizabeth Mary Gallen Mastromarino | Sterling Financial Advisors, LLC other | Geneos Wealth Management, Inc. other | Other | Jan 19, 2007 | Aug 7, 2006 |
| Charles Ryan Dunn | Park Avenue Securities LLC other | Geneos Wealth Management, Inc. other | Other | Jan 19, 2007 | Jan 19, 2007 |
| Kirk Nicholas Wilson | Sunset Financial Services, Inc. other | Geneos Wealth Management, Inc. other | Other | Jan 12, 2007 | Jan 23, 2007 |
| Jeffrey John Stenroos | Integrated Capital Planning, Inc. unclassified | Geneos Wealth Management, Inc. other | Other | Dec 31, 2006 | Dec 9, 2005 |
| Richard Paul Costner | Interfinancial Corporation unclassified | Geneos Wealth Management, Inc. other | Other | Dec 19, 2006 | Mar 20, 2006 |
| Robert Joe Bachman | Interfinancial Corporation unclassified | Geneos Wealth Management, Inc. other | Other | Dec 19, 2006 | Mar 20, 2006 |