| John Francis Stohlman | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Ssn Advisory, Inc. other | Other | Nov 1, 2011 | Oct 18, 2011 |
| Thomas Daniel Searles | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Ssn Advisory, Inc. other | Other | Oct 25, 2011 | Oct 18, 2011 |
| Laura Searles Stohlman | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Ssn Advisory, Inc. other | Other | Oct 25, 2011 | Oct 18, 2011 |
| Saxon Thomas Knight | MML Investors Services, LLC other | Ssn Advisory, Inc. other | Other | Sep 23, 2011 | Sep 20, 2011 |
| Randal Steven Ellis | Questar Asset Management, Inc. other | Ssn Advisory, Inc. other | Other | Aug 26, 2011 | Aug 24, 2011 |
| Ronald Bryan Sultzbach | Brokersxpress LLC other | Ssn Advisory, Inc. other | Other | Jun 2, 2011 | Jun 2, 2011 |
| Daniel P Johnson | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Ssn Advisory, Inc. other | Other | May 26, 2011 | May 31, 2011 |
| Benjamin Todd Glenn | Edward Jones national BD | Ssn Advisory, Inc. other | Other | Mar 2, 2011 | May 13, 2011 (72 d) |
| Alex Joseph Kulka | Concourse Financial Group Advisors other | Ssn Advisory, Inc. other | Other | Mar 2, 2011 | Apr 8, 2015 (1498 d) |
| John Ross Nanni | Principal Securities, Inc. other | Ssn Advisory, Inc. other | Other | Feb 17, 2011 | Feb 25, 2011 |
| D. Brent Fennema | Qa3 Financial LLC unclassified | Ssn Advisory, Inc. other | Other | Feb 11, 2011 | Feb 18, 2011 |
| John Douglas Vandyke | Qa3 Financial LLC unclassified | Ssn Advisory, Inc. other | Other | Feb 11, 2011 | Feb 18, 2011 |
| Seth David Timmer | Qa3 Financial LLC unclassified | Ssn Advisory, Inc. other | Other | Feb 11, 2011 | Feb 18, 2011 |
| Matthew James Grotenhuis | Qa3 Financial LLC unclassified | Ssn Advisory, Inc. other | Other | Feb 11, 2011 | Feb 18, 2011 |
| Jeffrey John Kinzler | Northwestern Mutual Investment Services,LLC other | Ssn Advisory, Inc. other | Other | Jan 31, 2011 | Jan 27, 2011 |
| Cheryl Lynn Mccarthy | Asset & Financial Planning, Ltd other | Ssn Advisory, Inc. other | Other | Jan 28, 2011 | Mar 8, 2011 (39 d) |
| Eric Leonard Sjolund | Valic Financial Advisors, Inc. other | Ssn Advisory, Inc. other | Other | Nov 15, 2010 | Nov 17, 2010 |
| Richard Joseph Russillo | Equitable Advisors, LLC national BD | Ssn Advisory, Inc. other | Other | Aug 19, 2010 | Aug 16, 2010 |
| John Churchill Arata | Morgan Stanley wirehouse | Ssn Advisory, Inc. other | Other | Jun 3, 2010 | May 17, 2010 |
| John Douglas Roszell | Woodbury Financial Services, Inc. other | Ssn Advisory, Inc. other | Other | Mar 24, 2010 | Mar 23, 2010 |
| Melanie Wynne Anderson | Northwestern Mutual Investment Services,LLC other | Ssn Advisory, Inc. other | Other | Feb 1, 2010 | Apr 29, 2010 (87 d) |
| Marian F Geohegan | Woodbury Financial Services, Inc. other | Ssn Advisory, Inc. other | Other | Jan 22, 2010 | Jan 22, 2010 |
| Eva Valentine | Householder Group Financial Advisors, LLC other | Ssn Advisory, Inc. other | Other | Jan 11, 2010 | Feb 2, 2010 |
| James Samuel Burcham | Medallion Advisory Services, LLC unclassified | Ssn Advisory, Inc. other | Other | Dec 31, 2009 | Jan 14, 2010 |
| John Anthony Faggio | Medallion Advisory Services, LLC unclassified | Ssn Advisory, Inc. other | Other | Dec 31, 2009 | Feb 1, 2010 (32 d) |
| John Joseph Cvach | Medallion Advisory Services, LLC unclassified | Ssn Advisory, Inc. other | Other | Dec 31, 2009 | Jan 14, 2010 |
| Bryan Kelly Dowell | Medallion Advisory Services, LLC unclassified | Ssn Advisory, Inc. other | Other | Dec 31, 2009 | Jan 4, 2010 |
| Thomas Joseph Hake | Hake Investments, Inc. unclassified | Ssn Advisory, Inc. other | Other | Dec 31, 2009 | Mar 16, 2009 |
| Terry Michael Reinhart | Medallion Advisory Services, LLC unclassified | Ssn Advisory, Inc. other | Other | Dec 31, 2009 | Jan 11, 2010 |
| Jan Patrick Lee | Medallion Advisory Services, LLC unclassified | Ssn Advisory, Inc. other | Other | Dec 31, 2009 | Jan 5, 2010 |
| Larry Nelson Grogan | Medallion Advisory Services, LLC unclassified | Ssn Advisory, Inc. other | Other | Dec 31, 2009 | Jan 5, 2010 |
| Sharon Ann Merkle | Medallion Advisory Services, LLC unclassified | Ssn Advisory, Inc. other | Other | Dec 31, 2009 | Jan 6, 2010 |
| Howard S Goldson | Medallion Advisory Services, LLC unclassified | Ssn Advisory, Inc. other | Other | Dec 31, 2009 | Jan 5, 2010 |
| Frederick William Schmalkuche | Medallion Advisory Services, LLC unclassified | Ssn Advisory, Inc. other | Other | Dec 31, 2009 | Jan 6, 2010 |
| Christopher David Fagiolo | Medallion Advisory Services, LLC unclassified | Ssn Advisory, Inc. other | Other | Nov 10, 2009 | Jan 12, 2010 (63 d) |
| John Gerard Vertal | LPL Financial LLC other | Ssn Advisory, Inc. other | Other | Oct 22, 2009 | Nov 12, 2009 |
| Jack Burton Spencer | LPL Financial LLC other | Ssn Advisory, Inc. other | Other | Oct 22, 2009 | Oct 21, 2009 |
| David George Edgerton | Mutual Service Corporation unclassified | Ssn Advisory, Inc. other | Other | Sep 2, 2009 | Feb 7, 2011 (523 d) |
| Ronald Daniel Sklar | Keeler Thomas Management LLC other | Ssn Advisory, Inc. other | Other | Jun 18, 2009 | Mar 26, 2009 |
| Martin Lawrence Hearn | Securities America Advisors, Inc. other | Ssn Advisory, Inc. other | Other | Jun 5, 2009 | Mar 10, 2009 |
| Paul Woodson Abele | Abele Financial Group LLC unclassified | Ssn Advisory, Inc. other | Other | Mar 27, 2009 | Mar 27, 2009 |
| Jaret Dalin Perryman | Walnut Street Securities, Inc. other | Ssn Advisory, Inc. other | Other | Jan 28, 2009 | Feb 12, 2009 |
| Robert John Welsch | The Retirement Group unclassified | Ssn Advisory, Inc. other | Other | Dec 31, 2008 | Oct 10, 2008 |
| James Joseph Galante | The Retirement Group unclassified | Ssn Advisory, Inc. other | Other | Dec 31, 2008 | Sep 4, 2008 |
| Scott Wesley Mckay | The Retirement Group unclassified | Ssn Advisory, Inc. other | Other | Dec 31, 2008 | Sep 18, 2008 |
| Warren Sherman Williams | The Retirement Group, LLC other | Ssn Advisory, Inc. other | Other | Dec 15, 2008 | Dec 16, 2008 |
| Robert Richard Esposito | Equitable Advisors, LLC national BD | Ssn Advisory, Inc. other | Other | Nov 18, 2008 | Nov 13, 2008 |
| Michael Bruce Kaplowitz | Equitable Advisors, LLC national BD | Ssn Advisory, Inc. other | Other | Nov 6, 2008 | Nov 10, 2008 |
| James Thomas Bova | Equitable Advisors, LLC national BD | Ssn Advisory, Inc. other | Other | Nov 6, 2008 | Oct 31, 2008 |
| August John Perazzini | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Ssn Advisory, Inc. other | Other | Jul 16, 2008 | Jul 25, 2008 |
| Scott Kendall Branson | 1st Discount Brokerage, Inc. other | Ssn Advisory, Inc. other | Other | Apr 9, 2008 | Apr 18, 2008 |
| Raleigh Dayton Ryser | Natcity Investments, Inc. unclassified | Ssn Advisory, Inc. other | Other | Feb 8, 2008 | Feb 11, 2008 |
| Gerard Paul Mlinar | Securities America Advisors, Inc. other | Ssn Advisory, Inc. other | Other | Jan 24, 2008 | Feb 1, 2008 |
| Corey Bryan Winten | Securities America Advisors, Inc. other | Ssn Advisory, Inc. other | Other | Jan 24, 2008 | Feb 1, 2008 |
| Ronald Chrysler Hauf | Geneos Wealth Management, Inc. other | Ssn Advisory, Inc. other | Other | Oct 1, 2007 | Oct 2, 2007 |
| Charles John Potter | Geneos Wealth Management, Inc. other | Ssn Advisory, Inc. other | Other | Sep 7, 2007 | Aug 31, 2007 |
| Joshua John Potter | Geneos Wealth Management, Inc. other | Ssn Advisory, Inc. other | Other | Sep 6, 2007 | Aug 31, 2007 |
| Arthur Joseph Dietz | Legacy Advisory Services, Inc. unclassified | Ssn Advisory, Inc. other | Other | Jul 19, 2007 | Jul 16, 2007 |
| Jay Gershman | Adviceone Advisory Services, LLC other | Ssn Advisory, Inc. other | Other | Jul 2, 2007 | Jun 13, 2007 |
| Gary Robert Zoller | Cambridge Investment Research Advisors, Inc. other | Ssn Advisory, Inc. other | Other | Jun 29, 2007 | Jun 11, 2007 |