| William G Langenstein | Sii Investments, Inc. other | Nfp Advisor Services, LLC other | Other | Aug 20, 2014 | Aug 19, 2014 |
| Paul Joseph Mccolgan | Financial Telesis, Inc. other | Nfp Advisor Services, LLC other | Other | Aug 15, 2014 | Oct 19, 2015 (430 d) |
| Phillip Anthony Matheson | Financial Telesis, Inc. other | Nfp Advisor Services, LLC other | Other | Aug 12, 2014 | Aug 14, 2014 |
| James E Maulfair | Financial Telesis, Inc. other | Nfp Advisor Services, LLC other | Other | Aug 12, 2014 | Aug 12, 2014 |
| Frederick James Pieracci | Financial Telesis, Inc. other | Nfp Advisor Services, LLC other | Other | Aug 12, 2014 | Aug 8, 2014 |
| Mark Richard Forbes | Financial Telesis, Inc. other | Nfp Advisor Services, LLC other | Other | Aug 8, 2014 | Aug 8, 2014 |
| Kristen Ann Deevy | Financial Telesis, Inc. other | Nfp Advisor Services, LLC other | Other | Aug 8, 2014 | Aug 8, 2014 |
| Alexander Martin Groth | LPL Financial LLC other | Nfp Advisor Services, LLC other | Other | Aug 8, 2014 | Aug 25, 2014 |
| Denise Chisolm | Financial Telesis, Inc. other | Nfp Advisor Services, LLC other | Other | Aug 1, 2014 | Aug 1, 2014 |
| Marc Anthony Walker | Financial Telesis, Inc. other | Nfp Advisor Services, LLC other | Other | Aug 1, 2014 | Aug 1, 2014 |
| Rodryan Angeles Marayag | Financial Telesis, Inc. other | Nfp Advisor Services, LLC other | Other | Jul 31, 2014 | Jul 30, 2014 |
| Moira Margaret Hagy | Usi Advisors other | Nfp Advisor Services, LLC other | Other | Jul 31, 2014 | Sep 30, 2014 (61 d) |
| Christopher Curtis Kempton | Financial Telesis, Inc. other | Nfp Advisor Services, LLC other | Other | Jul 30, 2014 | Jul 31, 2014 |
| Michael C Kettner | Citigroup Global Markets Inc. other | Nfp Advisor Services, LLC other | Other | Jul 18, 2014 | Jul 15, 2014 |
| Richard Evan Thomas | Ameriprise Financial Services, LLC national BD | Nfp Advisor Services, LLC other | Other | Jul 7, 2014 | Jun 27, 2014 |
| Kimberly Dawn Pruitt | Financial Telesis, Inc. other | Nfp Advisor Services, LLC other | Other | Jun 24, 2014 | Jun 27, 2014 |
| Amalia Maryvonne Beer | Principal Securities, Inc. other | Nfp Advisor Services, LLC other | Other | Jun 18, 2014 | Jun 23, 2014 |
| Johnny Kang | E*Trade Capital Management, LLC other | Nfp Advisor Services, LLC other | Other | Jun 11, 2014 | Jun 5, 2014 |
| Mary Lynne Patch | Trademark Capital Management Inc other | Nfp Advisor Services, LLC other | Other | Jun 10, 2014 | Aug 28, 2014 (79 d) |
| Jordan Long | Edward Jones national BD | Nfp Advisor Services, LLC other | Other | May 19, 2014 | Jul 8, 2014 (50 d) |
| Kenneth Der | Cambridge Investment Research Advisors, Inc. other | Nfp Advisor Services, LLC other | Other | Apr 17, 2014 | Apr 15, 2014 |
| Garrett John Devine | Wells Fargo Advisors wirehouse | Nfp Advisor Services, LLC other | Other | Apr 9, 2014 | Mar 28, 2014 |
| John Francis Buckley | Independent Financial Partners other | Nfp Advisor Services, LLC other | Other | Apr 1, 2014 | Aug 6, 2014 (127 d) |
| Kendall Benjamin Storch | Independent Financial Partners other | Nfp Advisor Services, LLC other | Other | Apr 1, 2014 | Apr 8, 2014 |
| Adam John Miloro | Independent Financial Partners other | Nfp Advisor Services, LLC other | Other | Apr 1, 2014 | Apr 5, 2016 (735 d) |
| Shawn Francis Aulenbach | Independent Financial Partners other | Nfp Advisor Services, LLC other | Other | Apr 1, 2014 | Mar 23, 2016 (722 d) |
| Barry Solon | Strategic Advisers LLC national BD | Nfp Advisor Services, LLC other | Other | Mar 25, 2014 | Sep 22, 2014 (181 d) |
| Matthew Benjamin Terry | Cetera Investment Advisers LLC other | Nfp Advisor Services, LLC other | Other | Mar 24, 2014 | Mar 17, 2014 |
| David Allen Turner | Robert W. Baird & Co. Incorporated other | Nfp Advisor Services, LLC other | Other | Mar 13, 2014 | Apr 24, 2014 (42 d) |
| Kurt William Wiegert | Founders Financial Securities, LLC other | Nfp Advisor Services, LLC other | Other | Mar 4, 2014 | Mar 4, 2014 |
| Markus Gracen Byrd | Invest Financial Corporation other | Nfp Advisor Services, LLC other | Other | Feb 24, 2014 | Feb 21, 2014 |
| Ashlee Nicole Ogrzewalla | Cambridge Capital Management, LLC other | Nfp Advisor Services, LLC other | Other | Feb 4, 2014 | May 27, 2014 (112 d) |
| Michael James Callaway | Edward Jones national BD | Nfp Advisor Services, LLC other | Other | Jan 21, 2014 | Jun 6, 2014 (136 d) |
| Don F Morgan | Wells Fargo Advisors wirehouse | Nfp Advisor Services, LLC other | Other | Jan 17, 2014 | Jan 23, 2014 |
| Heather Alison Smith | Valic Financial Advisors, Inc. other | Nfp Advisor Services, LLC other | Other | Jan 17, 2014 | Dec 11, 2014 (328 d) |
| Jeffrey Thomas Gue | LPL Financial LLC other | Nfp Advisor Services, LLC other | Other | Jan 13, 2014 | Dec 13, 2013 |
| Bryan Christopher Beamer | Raymond James Financial Services Advisors, Inc other | Nfp Advisor Services, LLC other | Other | Jan 9, 2014 | Jan 28, 2014 |
| Christopher Todd Wilhoit | LPL Financial LLC other | Nfp Advisor Services, LLC other | Other | Dec 24, 2013 | Dec 11, 2013 |
| Anthony C Willoughby | Invest Financial Corporation other | Nfp Advisor Services, LLC other | Other | Dec 23, 2013 | Feb 4, 2014 (43 d) |
| Brian Thomas Lowery | Charles Schwab & Co., Inc. national BD | Nfp Advisor Services, LLC other | Other | Dec 13, 2013 | Dec 2, 2013 |
| James Wesley Battle | Stratwealth other | Nfp Advisor Services, LLC other | Other | Dec 5, 2013 | Jun 10, 2014 (187 d) |
| Jason John Bogaczyk | LPL Financial LLC other | Nfp Advisor Services, LLC other | Other | Nov 27, 2013 | Nov 18, 2013 |
| Lamont A. Brown | Newsquare Capital, LLC other | Nfp Advisor Services, LLC other | Other | Nov 19, 2013 | Aug 15, 2013 |
| Kyle Jordan Ladd | Morgan Stanley wirehouse | Nfp Advisor Services, LLC other | Other | Nov 14, 2013 | Jan 10, 2014 (57 d) |
| Steven E Bender | Osaic Fa, Inc. other | Nfp Advisor Services, LLC other | Other | Nov 5, 2013 | Nov 12, 2013 |
| Brett Michael Walters | Edward Jones national BD | Nfp Advisor Services, LLC other | Other | Oct 28, 2013 | Oct 28, 2013 |
| Mark Joseph Zraunig | Equitable Advisors, LLC national BD | Nfp Advisor Services, LLC other | Other | Oct 16, 2013 | Oct 15, 2013 |
| Nina Marie Dipalma | Raymond James Financial Services Advisors, Inc other | Nfp Advisor Services, LLC other | Other | Oct 11, 2013 | Dec 12, 2013 (62 d) |
| Tamekia Yolanda Thompson | First Tennessee Advisory Services, Inc. other | Nfp Advisor Services, LLC other | Other | Oct 10, 2013 | Nov 12, 2014 (398 d) |
| Tamara Leah Higgins | Fsc Securities Corporation other | Nfp Advisor Services, LLC other | Other | Oct 2, 2013 | Sep 30, 2013 |
| Anthony J. Falco | Fsc Securities Corporation other | Nfp Advisor Services, LLC other | Other | Oct 2, 2013 | Sep 30, 2013 |
| Christopher Dale Clark | Charles Schwab & Co., Inc. national BD | Nfp Advisor Services, LLC other | Other | Sep 24, 2013 | Sep 17, 2013 |
| Thomas R Hayden | Equitable Advisors, LLC national BD | Nfp Advisor Services, LLC other | Other | Sep 10, 2013 | Sep 6, 2013 |
| Elyse Annette Dornhecker Jensen | Northwestern Mutual Investment Services,LLC other | Nfp Advisor Services, LLC other | Other | Sep 3, 2013 | Oct 29, 2013 (56 d) |
| Jason A Snipe | New England Securities Corporation other | Nfp Advisor Services, LLC other | Other | Aug 20, 2013 | Aug 15, 2013 |
| Charles Tyler Brocato | Van Gilder Retirement Solutions, LLC other | Nfp Advisor Services, LLC other | Other | Aug 8, 2013 | Feb 2, 2015 (543 d) |
| Paul Joseph Melnick | MML Investors Services, LLC other | Nfp Advisor Services, LLC other | Other | Jul 24, 2013 | Jul 23, 2013 |
| Mark Albert Macumber | Cetera Advisor Networks LLC other | Nfp Advisor Services, LLC other | Other | Jul 23, 2013 | Aug 29, 2013 (37 d) |
| Pamela Kay Weaver | Russell Capital Management, LLC unclassified | Nfp Advisor Services, LLC other | Other | Jul 8, 2013 | Nov 5, 2013 (120 d) |
| John Patrick O'Connor | Msi Financial Services, Inc. other | Nfp Advisor Services, LLC other | Other | Jun 17, 2013 | Jun 14, 2013 |