| Brian Wayne Mitchell | Sanders Morris LLC other | B Riley Wealth Management other | Other | Dec 17, 2012 | Dec 17, 2012 |
| Karen Jennifer Ginder | Sanders Morris LLC other | B Riley Wealth Management other | Other | Dec 17, 2012 | Dec 14, 2012 |
| William Hale Mildren | Sanders Morris LLC other | B Riley Wealth Management other | Other | Dec 17, 2012 | Dec 17, 2012 |
| Rune Medhus | Sanders Morris LLC other | B Riley Wealth Management other | Other | Dec 14, 2012 | Dec 17, 2012 |
| Lisa Gaye Marcelli | Sanders Morris LLC other | B Riley Wealth Management other | Other | Dec 14, 2012 | Dec 17, 2012 |
| Roger Preston Littlefield | Sanders Morris LLC other | B Riley Wealth Management other | Other | Dec 14, 2012 | Dec 14, 2012 |
| Jon R Wessels | Sanders Morris LLC other | B Riley Wealth Management other | Other | Dec 14, 2012 | Dec 17, 2012 |
| Brent Mark Howard | Sanders Morris LLC other | B Riley Wealth Management other | Other | Dec 14, 2012 | Dec 14, 2012 |
| Brede Currier Klefos | Sanders Morris LLC other | B Riley Wealth Management other | Other | Dec 14, 2012 | Dec 17, 2012 |
| Margaret Wade Johnson | Sanders Morris LLC other | B Riley Wealth Management other | Other | Dec 14, 2012 | Dec 14, 2012 |
| Chelsey Elaine Collins | Wells Fargo Advisors wirehouse | B Riley Wealth Management other | Other | Oct 15, 2012 | Oct 15, 2012 |
| Gary Steven Hall | Morgan Keegan & Company, LLC other | B Riley Wealth Management other | Other | Oct 8, 2012 | Oct 10, 2012 |
| Mark Kevin Sachse | Hilltop Securities Inc. other | B Riley Wealth Management other | Other | Aug 28, 2012 | Aug 24, 2012 |
| James Anthony Parrish | Research Financial Strategies other | B Riley Wealth Management other | Other | Jul 31, 2012 | Jul 9, 2012 |
| Andrew H Bloom | B. C. Ziegler And Company other | B Riley Wealth Management other | Other | May 29, 2012 | May 25, 2012 |
| Scott Elliott Poore | Morgan Keegan & Company, LLC other | B Riley Wealth Management other | Other | May 9, 2012 | May 10, 2012 |
| Jane Brokaw Lutz | Morgan Keegan & Company, LLC other | B Riley Wealth Management other | Other | Apr 30, 2012 | Apr 26, 2012 |
| Timothy Clyde Ballard | Morgan Keegan & Company, LLC other | B Riley Wealth Management other | Other | Apr 19, 2012 | May 1, 2012 |
| Matthew Salvador Houston | Hilltop Securities Inc. other | B Riley Wealth Management other | Other | Apr 18, 2012 | Mar 19, 2012 |
| Sally Chandler | Morgan Keegan & Company, LLC other | B Riley Wealth Management other | Other | Apr 17, 2012 | Jun 18, 2012 (62 d) |
| Mansoor Ahmed | UBS Financial Services Inc. wirehouse | B Riley Wealth Management other | Other | Feb 24, 2012 | Jun 9, 2012 (106 d) |
| Mark Robert Witthaus | Morgan Keegan & Company, LLC other | B Riley Wealth Management other | Other | Jan 13, 2012 | Jan 13, 2012 |
| Jana Rene Fryar | Morgan Keegan & Company, LLC other | B Riley Wealth Management other | Other | Dec 13, 2011 | Dec 2, 2011 |
| Michael John Dimitri | B. Riley Wealth Advisors, Inc. other | B Riley Wealth Management other | Other | Oct 18, 2011 | Nov 18, 2011 (31 d) |
| Dragi Paunovski | B. Riley Wealth Advisors, Inc. other | B Riley Wealth Management other | Other | Oct 18, 2011 | Dec 2, 2011 (45 d) |
| Jennifer Adams | Morgan Keegan & Company, LLC other | B Riley Wealth Management other | Other | Sep 12, 2011 | Jun 27, 2012 (289 d) |
| John Leslie Stanton | Morgan Stanley wirehouse | B Riley Wealth Management other | Other | Aug 12, 2011 | Jul 29, 2011 |
| Richard Montgomery Patrick | Charles Schwab & Co., Inc. national BD | B Riley Wealth Management other | Other | May 17, 2011 | Apr 26, 2011 |
| Christopher M. Gongola | Morgan Stanley wirehouse | B Riley Wealth Management other | Other | May 5, 2011 | Apr 29, 2011 |
| Boyd John Klingler | Howe Barnes Capital Management, Inc. unclassified | B Riley Wealth Management other | Other | Apr 1, 2011 | Apr 1, 2011 |
| Jason N Ginder | Sanders Morris LLC other | B Riley Wealth Management other | Other | Mar 25, 2011 | Mar 20, 2013 (726 d) |
| Bassam S Salem | UBS Financial Services Inc. wirehouse | B Riley Wealth Management other | Other | Jan 20, 2011 | Jan 14, 2011 |
| Lawrence Howard Levy | Ike Capital, LLC other | B Riley Wealth Management other | Other | Dec 2, 2010 | Jan 23, 2015 (1513 d) |
| Caterina Maria Defalco | Spc other | B Riley Wealth Management other | Other | Nov 11, 2010 | Nov 12, 2010 |
| Scott E Anderson | Morgan Keegan & Company, LLC other | B Riley Wealth Management other | Other | Nov 11, 2010 | Nov 12, 2010 |
| Thomas Lee Udelson | RBC Capital Markets, LLC national BD | B Riley Wealth Management other | Other | Oct 15, 2010 | Oct 27, 2010 |
| Anthony James Bove | RBC Capital Markets, LLC national BD | B Riley Wealth Management other | Other | Oct 15, 2010 | Oct 12, 2010 |
| Mark S Weaver | RBC Capital Markets, LLC national BD | B Riley Wealth Management other | Other | Oct 15, 2010 | Oct 27, 2010 |
| Robert Alan Apple | RBC Capital Markets, LLC national BD | B Riley Wealth Management other | Other | Oct 15, 2010 | Oct 27, 2010 |
| Wilfred Joseph Brockman | RBC Capital Markets, LLC national BD | B Riley Wealth Management other | Other | Oct 15, 2010 | Oct 12, 2010 |
| Christopher Dennis Warner | RBC Capital Markets, LLC national BD | B Riley Wealth Management other | Other | Oct 15, 2010 | Oct 12, 2010 |
| Christopher Saul Kelly | RBC Capital Markets, LLC national BD | B Riley Wealth Management other | Other | Oct 15, 2010 | Oct 12, 2010 |
| Aimee Marie Caraballo | RBC Capital Markets, LLC national BD | B Riley Wealth Management other | Other | Oct 15, 2010 | Oct 13, 2010 |
| Thomas Joseph O'Neil | RBC Capital Markets, LLC national BD | B Riley Wealth Management other | Other | Oct 15, 2010 | Oct 13, 2010 |
| Tod Ashley Siedell | Edward Jones national BD | B Riley Wealth Management other | Other | Sep 1, 2010 | Nov 18, 2010 (78 d) |
| James Michael Richard | Anderson & Strudwick, Incorporated other | B Riley Wealth Management other | Other | Jul 16, 2010 | Jul 19, 2010 |
| Michael John Kapp | Jesup & Lamont Securities Corp unclassified | B Riley Wealth Management other | Other | Jul 15, 2010 | Jul 19, 2010 |
| Daniel Michael Waddick | Stifel, Nicolaus & Company, Incorporated national BD | B Riley Wealth Management other | Other | Jul 14, 2010 | Jul 1, 2010 |
| Drew Moomaw | Gunnallen Financial, Inc unclassified | B Riley Wealth Management other | Other | Mar 29, 2010 | Apr 29, 2010 (31 d) |
| Patrick D Crowley | Howe Barnes Capital Management, Inc. unclassified | B Riley Wealth Management other | Other | Jan 12, 2010 | Dec 22, 2009 |
| John Joseph Morad | Chase Investment Services Corp. other | B Riley Wealth Management other | Other | Jan 11, 2010 | Jan 12, 2010 |
| Craig Joseph Freebersyser | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | B Riley Wealth Management other | Other | Nov 11, 2009 | Nov 6, 2009 |
| William A Paine | Stone & Youngberg LLC other | B Riley Wealth Management other | Other | Oct 26, 2009 | Sep 23, 2011 (697 d) |
| Daniel Orellano | Orellano Capital Management Company unclassified | B Riley Wealth Management other | Other | Jun 15, 2009 | Jun 18, 2009 |
| Robert Byron Stokes | UBS Financial Services Inc. wirehouse | B Riley Wealth Management other | Other | May 13, 2009 | Apr 28, 2009 |
| John E Wade | UBS Financial Services Inc. wirehouse | B Riley Wealth Management other | Other | May 13, 2009 | May 22, 2009 |
| Joshua Patrick Harness | Ameriprise Financial Services, LLC national BD | B Riley Wealth Management other | Other | Apr 15, 2009 | Apr 14, 2009 |
| Melissa Mary Moser | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | B Riley Wealth Management other | Other | Mar 24, 2009 | Sep 30, 2016 (2747 d) |
| Brown Burch Baine | Stanford Group Company unclassified | B Riley Wealth Management other | Other | Mar 12, 2009 | Mar 12, 2009 |
| Jason Johnson Fair | Stanford Group Company unclassified | B Riley Wealth Management other | Other | Mar 10, 2009 | Feb 26, 2009 |