| Stuart Michael Simchowitz | American Portfolios Advisors, Inc other | Calton & Associates, Inc. other | Other | Apr 1, 2015 | Oct 16, 2014 |
| Matthew Brian Levens | Fmsi Advisers other | Calton & Associates, Inc. other | Other | Feb 23, 2015 | Feb 20, 2015 |
| Anthony Charles Smith | Newport Coast Asset Management other | Calton & Associates, Inc. other | Other | Feb 17, 2015 | Feb 20, 2015 |
| Paul William Murphy | Newport Coast Asset Management other | Calton & Associates, Inc. other | Other | Feb 17, 2015 | Feb 23, 2015 |
| Tim Evan Schaffer | Woodbury Financial Services, Inc. other | Calton & Associates, Inc. other | Other | Jan 9, 2015 | Jan 5, 2015 |
| Jeffrey Charles Babcock | World Equity Group, Inc. other | Calton & Associates, Inc. other | Other | Jan 2, 2015 | Jan 2, 2015 |
| Chano Jesse John Arellano | Creativeone Securities, LLC other | Calton & Associates, Inc. other | Other | Dec 31, 2014 | May 27, 2015 (147 d) |
| David Earl Hendershott | Oppenheimer & Co. Inc. other | Calton & Associates, Inc. other | Other | Dec 31, 2014 | Jan 2, 2015 |
| Raafat Ramzy Iskander | J.P. Morgan Securities LLC wirehouse | Calton & Associates, Inc. other | Other | Dec 19, 2014 | Jan 16, 2015 |
| Jeffrey Charles Ratti | Wells Fargo Advisors wirehouse | Calton & Associates, Inc. other | Other | Oct 6, 2014 | Oct 24, 2014 |
| Frank Charles Parlato | Lifemark Securities Corp. other | Calton & Associates, Inc. other | Other | Sep 17, 2014 | Sep 16, 2014 |
| Erik Erle Simmons | U.S. Bancorp Investments, Inc. other | Calton & Associates, Inc. other | Other | Sep 4, 2014 | Aug 29, 2014 |
| Jean Ann Brown | Sii Investments, Inc. other | Calton & Associates, Inc. other | Other | Aug 26, 2014 | Jul 26, 2016 (700 d) |
| Gary Lee Barton | Financial Telesis, Inc. other | Calton & Associates, Inc. other | Other | Aug 14, 2014 | Aug 15, 2014 |
| Ethan G Matkin | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Calton & Associates, Inc. other | Other | Jul 3, 2014 | Jul 16, 2014 |
| Leslie Jean Hale | Ridgeway Conger Advisory Services other | Calton & Associates, Inc. other | Other | Jun 19, 2014 | Jun 17, 2014 |
| Michael Scott Bloom | MML Investors Services, LLC other | Calton & Associates, Inc. other | Other | Apr 4, 2014 | Jun 27, 2014 (84 d) |
| Carol Jeanette Pipitone | Oppenheimer & Co. Inc. other | Calton & Associates, Inc. other | Other | Mar 17, 2014 | Mar 17, 2014 |
| Paul Lieu | J.P. Morgan Securities LLC wirehouse | Calton & Associates, Inc. other | Other | Jan 23, 2014 | Jan 14, 2014 |
| Ralph Donald Dexter | Cadaret Grant & Co Inc other | Calton & Associates, Inc. other | Other | Dec 31, 2013 | Jan 2, 2014 |
| Herbert Lee Nealy | Securities America Advisors, Inc. other | Calton & Associates, Inc. other | Other | Dec 23, 2013 | Feb 6, 2014 (45 d) |
| David Hughes Petry | LPL Financial LLC other | Calton & Associates, Inc. other | Other | Dec 23, 2013 | Jan 27, 2014 (35 d) |
| Ruben Gonzalez | J.P. Morgan Securities LLC wirehouse | Calton & Associates, Inc. other | Other | Dec 5, 2013 | Mar 4, 2014 (89 d) |
| Lynn Marie Le Goy | Gbs Advisors other | Calton & Associates, Inc. other | Other | Nov 26, 2013 | Dec 11, 2013 |
| Marc A Alvis | Edward Jones national BD | Calton & Associates, Inc. other | Other | Nov 25, 2013 | Jan 9, 2014 (45 d) |
| Charles Taylor Foss | Wall Advisors, Inc. other | Calton & Associates, Inc. other | Other | Nov 20, 2013 | Nov 19, 2013 |
| Nathan Harold Dunham | Wall Advisors, Inc. other | Calton & Associates, Inc. other | Other | Nov 20, 2013 | Nov 19, 2013 |
| Jason Edwards | Questar Asset Management, Inc. other | Calton & Associates, Inc. other | Other | Nov 19, 2013 | Nov 4, 2013 |
| James Edmund Ison | Hermening Financial Group LLC other | Calton & Associates, Inc. other | Other | Oct 1, 2013 | Oct 1, 2013 |
| Nicolas Shane Toadvine | Wall Advisors, Inc. other | Calton & Associates, Inc. other | Other | Sep 26, 2013 | Oct 2, 2013 |
| George Allen Martin | Capital Investment Advisory Services, LLC other | Calton & Associates, Inc. other | Other | Sep 11, 2013 | Sep 6, 2013 |
| Don Robert Guess | Waddell & Reed other | Calton & Associates, Inc. other | Other | Sep 5, 2013 | Oct 3, 2013 |
| Paul Reid Richardson | Cl Wealth Management, LLC no RAUM | Calton & Associates, Inc. other | Other | Aug 23, 2013 | Aug 13, 2013 |
| Christopher Blake Radford | 7twelve Advisors, LLC other | Calton & Associates, Inc. other | Other | Aug 23, 2013 | Aug 15, 2013 |
| Edgar Allen Thomas | Cl Wealth Management, LLC no RAUM | Calton & Associates, Inc. other | Other | Aug 23, 2013 | Aug 28, 2013 |
| Michael David Miller | Invest Financial Corporation other | Calton & Associates, Inc. other | Other | Aug 2, 2013 | Aug 13, 2013 |
| Ihechituru Kanu | Wells Fargo Advisors wirehouse | Calton & Associates, Inc. other | Other | Jul 12, 2013 | Jul 12, 2013 |
| William Charles Vourlas | Independent Financial Group, LLC other | Calton & Associates, Inc. other | Other | Jun 28, 2013 | Aug 15, 2013 (48 d) |
| Michael John Brandone | Questar Asset Management, Inc. other | Calton & Associates, Inc. other | Other | Apr 1, 2013 | May 24, 2013 (53 d) |
| Kevin Patrick Saia | J P Turner & Company Capital Management, LLC other | Calton & Associates, Inc. other | Other | Mar 22, 2013 | Mar 15, 2013 |
| Angela Kolb Cagwin | Neuberger Berman Bd LLC other | Calton & Associates, Inc. other | Other | Nov 14, 2012 | Dec 18, 2012 (34 d) |
| Jennifer Adele Aimone-Seiler | Cetera Advisor Networks LLC other | Calton & Associates, Inc. other | Other | Sep 5, 2012 | Aug 31, 2012 |
| Ryan Patrick Degrau | Cetera Advisor Networks LLC other | Calton & Associates, Inc. other | Other | Sep 5, 2012 | Aug 31, 2012 |
| Michael D Hans | Cetera Advisor Networks LLC other | Calton & Associates, Inc. other | Other | Sep 5, 2012 | Aug 31, 2012 |
| James Patrick Barrett | Cetera Advisor Networks LLC other | Calton & Associates, Inc. other | Other | Sep 4, 2012 | Aug 31, 2012 |
| Douglas Richard Roth | Cetera Advisor Networks LLC other | Calton & Associates, Inc. other | Other | Sep 4, 2012 | Aug 31, 2012 |
| Edward Albert Majtenyi | Cetera Advisor Networks LLC other | Calton & Associates, Inc. other | Other | Sep 4, 2012 | Aug 31, 2012 |
| Robert Russo | Cetera Advisor Networks LLC other | Calton & Associates, Inc. other | Other | Sep 4, 2012 | Aug 31, 2012 |
| David Charles Miller | Cetera Advisor Networks LLC other | Calton & Associates, Inc. other | Other | Sep 4, 2012 | Aug 31, 2012 |
| Joseph James Russo | Cetera Advisor Networks LLC other | Calton & Associates, Inc. other | Other | Sep 4, 2012 | Aug 31, 2012 |
| Jodi M Ehrlich | Cetera Advisor Networks LLC other | Calton & Associates, Inc. other | Other | Sep 4, 2012 | Oct 17, 2012 (43 d) |
| Kevin James Marsh | Arete Wealth Advisors, LLC other | Calton & Associates, Inc. other | Other | May 3, 2012 | Apr 23, 2013 (355 d) |
| Giovanni Todesco | Chase Investment Services Corp. other | Calton & Associates, Inc. other | Other | Jan 25, 2012 | Oct 1, 2014 (980 d) |
| Johana Huff | Choice Advisory Group, Inc. other | Calton & Associates, Inc. other | Other | Dec 31, 2011 | Jan 3, 2012 |
| Kevin Jason Nashbar | Gradient Advisors, LLC no RAUM | Calton & Associates, Inc. other | Other | Dec 20, 2011 | Dec 20, 2011 |
| James Daniel Mcafee | Summit Financial Group Inc other | Calton & Associates, Inc. other | Other | Aug 1, 2011 | Jul 28, 2011 |
| Carlos Alfredo Cortez | Jhs Capital Advisors, LLC other | Calton & Associates, Inc. other | Other | Feb 14, 2011 | Feb 18, 2011 |
| Ryan Paul O'Leary | Morgan Stanley wirehouse | Calton & Associates, Inc. other | Other | Dec 21, 2010 | Jan 11, 2011 |
| James Anthony Petkoson | Gunnallen Financial, Inc unclassified | Calton & Associates, Inc. other | Other | Mar 30, 2010 | Apr 7, 2010 |
| Norman Frank Hall | Wfg Advisors, LP other | Calton & Associates, Inc. other | Other | Aug 28, 2009 | Aug 26, 2009 |