| Andrew Christopher Baker | MML Investors Services, LLC other | Global Financial Private Capital, Inc. other | Other | Feb 22, 2013 | Feb 28, 2013 |
| Scott Foster Hoskins | Td Ameritrade Investment Management, LLC other | Global Financial Private Capital, Inc. other | Other | Jan 3, 2013 | Apr 23, 2013 (110 d) |
| Carol Ann Schmidlin | Spc other | Global Financial Private Capital, Inc. other | Other | Dec 31, 2012 | Jan 9, 2013 |
| Paul Jacob Kitzrow | LPL Financial LLC other | Global Financial Private Capital, Inc. other | Other | Dec 31, 2012 | Jun 23, 2014 (539 d) |
| David Aaron Campbell | Brookstone Capital Management LLC other | Global Financial Private Capital, Inc. other | Other | Dec 7, 2012 | Dec 7, 2012 |
| James Dean Kersey | Gradient Advisors, LLC other | Global Financial Private Capital, Inc. other | Other | Nov 21, 2012 | Nov 27, 2012 |
| Hilgardt Wilhelm Lamprecht | G. A. Repple & Company other | Global Financial Private Capital, Inc. other | Other | Nov 2, 2012 | Nov 5, 2012 |
| Philip Laurie Beytell | G. A. Repple & Company other | Global Financial Private Capital, Inc. other | Other | Nov 2, 2012 | Nov 8, 2012 |
| Bradley James Busbin | G. A. Repple & Company other | Global Financial Private Capital, Inc. other | Other | Nov 2, 2012 | Nov 8, 2012 |
| James Stephen Harper | Harper Wealth Advisory unclassified | Global Financial Private Capital, Inc. other | Other | Aug 17, 2012 | Jun 21, 2010 |
| Denise Ann-Marie Longshaw | Planmember Securities Corporation other | Global Financial Private Capital, Inc. other | Other | Aug 3, 2012 | Jan 2, 2014 (517 d) |
| Peter Craig Mendell | Brookstone Capital Management LLC other | Global Financial Private Capital, Inc. other | Other | Jun 25, 2012 | Jun 26, 2012 |
| Robert Harry Fugate | Kalos Management other | Global Financial Private Capital, Inc. other | Other | Jun 4, 2012 | Jun 11, 2012 |
| Kathleen Anne Nolan | Integrity Alliance, LLC other | Global Financial Private Capital, Inc. other | Other | May 4, 2012 | May 4, 2012 |
| Steven Andrew Greer | Kalos Management other | Global Financial Private Capital, Inc. other | Other | Apr 12, 2012 | Feb 2, 2012 |
| Justin Michael Struble | On Investment Management Co other | Global Financial Private Capital, Inc. other | Other | Apr 5, 2012 | Mar 27, 2012 |
| Christopher Scott Hobart | Kalos Management other | Global Financial Private Capital, Inc. other | Other | Mar 23, 2012 | Feb 2, 2012 |
| Timothy Todd Van Houten | Lifesmart Wealth Management, LLC unclassified | Global Financial Private Capital, Inc. other | Other | Mar 14, 2012 | Apr 20, 2012 (37 d) |
| John Christopher Schnorr | Creativeone Securities, LLC other | Global Financial Private Capital, Inc. other | Other | Feb 2, 2012 | Mar 13, 2012 (40 d) |
| Ronald John Campbell | USA Financial Securities LLC other | Global Financial Private Capital, Inc. other | Other | Jan 25, 2012 | Jan 17, 2012 |
| Wayburn Allen Costellow | Redhawk Wealth Advisors, Inc. other | Global Financial Private Capital, Inc. other | Other | Jan 5, 2012 | Feb 6, 2012 (32 d) |
| Leonard Martin Rhoades | Comprehensive Capital Management, Inc. other | Global Financial Private Capital, Inc. other | Other | Jan 3, 2012 | Jan 10, 2012 |
| Loren James Merkle | Investment Advisors Corp other | Global Financial Private Capital, Inc. other | Other | Dec 14, 2011 | Dec 2, 2011 |
| James Merle Weiss | Investment Advisors Corp other | Global Financial Private Capital, Inc. other | Other | Dec 14, 2011 | Dec 2, 2011 |
| Jeffrey Lynn Bangerter | Cetera Advisors LLC other | Global Financial Private Capital, Inc. other | Other | Nov 15, 2011 | Nov 28, 2011 |
| James R Holloway | Brookstone Capital Management LLC other | Global Financial Private Capital, Inc. other | Other | Oct 20, 2011 | Oct 20, 2011 |
| James Allen Neuenschwander | Sanders Morris LLC other | Global Financial Private Capital, Inc. other | Other | Sep 30, 2011 | Sep 30, 2011 |
| Michael Allen Neuenschwander | Sanders Morris LLC other | Global Financial Private Capital, Inc. other | Other | Sep 30, 2011 | Sep 30, 2011 |
| Mariafearlene Brown | Redhawk Wealth Advisors, Inc. other | Global Financial Private Capital, Inc. other | Other | Sep 26, 2011 | Aug 1, 2011 |
| Dennis Peter Notchick | Sanford C. Bernstein & Co., LLC no RAUM | Global Financial Private Capital, Inc. other | Other | Sep 6, 2011 | Feb 18, 2015 (1261 d) |
| Donald Alan Mercurio | First Allied Advisory Services, Inc. other | Global Financial Private Capital, Inc. other | Other | Aug 9, 2011 | Jul 26, 2011 |
| Casey Bailey Weade | H. Beck, Inc. other | Global Financial Private Capital, Inc. other | Other | Jul 25, 2011 | Jul 13, 2011 |
| Christopher Kendall Abts | Horter Investment Management, LLC other | Global Financial Private Capital, Inc. other | Other | Jun 17, 2011 | May 24, 2011 |
| Lisa Ann Bussenger | Horter Investment Management, LLC other | Global Financial Private Capital, Inc. other | Other | Jun 15, 2011 | May 31, 2011 |
| Timothy James Spyrnal | Horter Investment Management, LLC other | Global Financial Private Capital, Inc. other | Other | Jun 6, 2011 | Jun 8, 2011 |
| Beth Ann Andrews | Voya Financial Advisors, Inc. other | Global Financial Private Capital, Inc. other | Other | Jun 2, 2011 | Jun 3, 2011 |
| Jeffrey Dean Bliss | Wealthwise Technologies Advisory Group LLC unclassified | Global Financial Private Capital, Inc. other | Other | May 31, 2011 | Apr 20, 2011 |
| Jennifer Denise Morton | Horter Investment Management, LLC other | Global Financial Private Capital, Inc. other | Other | May 25, 2011 | May 13, 2011 |
| Leonard Paul Cole | Avantax Advisory Services other | Global Financial Private Capital, Inc. other | Other | May 13, 2011 | Sep 26, 2013 (867 d) |
| Michael William Tryon | American Investment Services other | Global Financial Private Capital, Inc. other | Other | May 11, 2011 | May 13, 2011 |
| Scott Kevin Warner | Voya Financial Advisors, Inc. other | Global Financial Private Capital, Inc. other | Other | Apr 13, 2011 | Apr 14, 2011 |
| Lance Reid Scott | H. Beck, Inc. other | Global Financial Private Capital, Inc. other | Other | Apr 4, 2011 | Apr 5, 2011 |
| Donald Eugene Bentley | Osaic Fs, Inc. other | Global Financial Private Capital, Inc. other | Other | Apr 1, 2011 | Apr 15, 2011 |
| James Gerald Perry | Park Avenue Securities LLC other | Global Financial Private Capital, Inc. other | Other | Mar 24, 2011 | Aug 17, 2011 (146 d) |
| Roger Lee Ford | Concourse Financial Group Advisors other | Global Financial Private Capital, Inc. other | Other | Mar 23, 2011 | Mar 23, 2011 |
| Michael Kent Petticord | Planmember Securities Corporation other | Global Financial Private Capital, Inc. other | Other | Dec 31, 2010 | Dec 5, 2012 (705 d) |
| Barry Scott Young | Whitestone Wealth Management LLC unclassified | Global Financial Private Capital, Inc. other | Other | Dec 10, 2010 | Mar 26, 2010 |
| Eric Alan Peterson | American Investment Services other | Global Financial Private Capital, Inc. other | Other | Nov 29, 2010 | Jan 5, 2011 (37 d) |
| Gregg Arthur Guinta | Chestnut Hill Financial Group LLC unclassified | Global Financial Private Capital, Inc. other | Other | Nov 26, 2010 | Mar 25, 2010 |
| Gerard Eugene Clark | Clark Wealth Management, L.L.C unclassified | Global Financial Private Capital, Inc. other | Other | Nov 17, 2010 | Feb 2, 2010 |
| Ashok Hiralal Sanghavi | American Investment Services other | Global Financial Private Capital, Inc. other | Other | Nov 11, 2010 | Oct 28, 2010 |
| Jimmy Elton Sloan | Kalos Management other | Global Financial Private Capital, Inc. other | Other | Nov 10, 2010 | Apr 9, 2010 |
| Soren Thomas Christensen | First Heartland Consultants, Inc. other | Global Financial Private Capital, Inc. other | Other | Oct 28, 2010 | Oct 27, 2010 |
| Nickolas Paul Sanchez | First Heartland Consultants, Inc. other | Global Financial Private Capital, Inc. other | Other | Oct 28, 2010 | Oct 27, 2010 |
| Jeffry Stephen Cole | Avantax Advisory Services other | Global Financial Private Capital, Inc. other | Other | Oct 15, 2010 | Sep 26, 2013 (1077 d) |
| Jon Michael Mccardle | Summit Financial Group Inc other | Global Financial Private Capital, Inc. other | Other | Oct 13, 2010 | Oct 11, 2010 |
| Randy Leon Floyd | Planmember Securities Corporation other | Global Financial Private Capital, Inc. other | Other | Sep 29, 2010 | Oct 5, 2010 |
| Craig Richard Cassidy | American Investment Services other | Global Financial Private Capital, Inc. other | Other | Sep 28, 2010 | Jun 9, 2011 (254 d) |
| Isaac Wade Wright | Redhawk Wealth Advisors, Inc. other | Global Financial Private Capital, Inc. other | Other | Sep 1, 2010 | Sep 1, 2010 |
| Gregory Nondas Roumpos | Integrity Alliance, LLC other | Global Financial Private Capital, Inc. other | Other | Aug 13, 2010 | Oct 5, 2010 (53 d) |