| Rami Sassoon | J.P. Morgan Securities LLC wirehouse | Cetera Advisors LLC other | Other | May 12, 2015 | May 5, 2015 |
| Charles Nathan Meeks | Waddell & Reed other | Cetera Advisors LLC other | Other | May 4, 2015 | Apr 29, 2015 |
| James Lawrence Brejcha | Momentum Independent Network Inc. other | Cetera Advisors LLC other | Other | May 1, 2015 | Apr 6, 2015 |
| Susan E. Whitlock-Mercado | Raymond James & Associates, Inc. national BD | Cetera Advisors LLC other | Other | Apr 10, 2015 | Apr 28, 2015 |
| Dawn Drewitz | Avantax Advisory Services other | Cetera Advisors LLC other | Other | Apr 6, 2015 | May 15, 2015 (39 d) |
| Laurence Buell Tipton | Capital Investment Advisory Services, LLC other | Cetera Advisors LLC other | Other | Apr 2, 2015 | Apr 2, 2015 |
| Clift Richard O'Byaw | Wells Fargo Advisors wirehouse | Cetera Advisors LLC other | Other | Apr 1, 2015 | Mar 30, 2015 |
| John Eugene Marty | Rb Capital Management, LLC other | Cetera Advisors LLC other | Other | Mar 25, 2015 | May 9, 2012 |
| Christie Ann Campanella | Capital Guardian Wealth Management, LLC other | Cetera Advisors LLC other | Other | Mar 2, 2015 | Feb 26, 2015 |
| Bradley Steven Williams | Sei Investments Management Corp other | Cetera Advisors LLC other | Other | Jan 29, 2015 | Jan 2, 2015 |
| Tyler R Price | Fisher Investments other | Cetera Advisors LLC other | Other | Jan 16, 2015 | Jan 20, 2015 |
| Michael Shawn Anthony | Primesolutions Securities, Inc. unclassified | Cetera Advisors LLC other | Other | Dec 31, 2014 | Jan 8, 2015 |
| Guy Larry Schoenborn | Madison Avenue Securities, LLC other | Cetera Advisors LLC other | Other | Dec 31, 2014 | Dec 10, 2014 |
| Kevin Melamed | Msi Financial Services, Inc. other | Cetera Advisors LLC other | Other | Dec 23, 2014 | Jan 26, 2017 (765 d) |
| Justin Dolan | Fifth Third Securities, Inc. other | Cetera Advisors LLC other | Other | Dec 8, 2014 | Dec 8, 2014 |
| Jimmy Dale Greene | Estate And Business Planning Group, Pa unclassified | Cetera Advisors LLC other | Other | Dec 5, 2014 | Jul 20, 2015 (227 d) |
| Shane Garret Yonston | Blue Summit Wealth Management independent RIA | Cetera Advisors LLC other | Other | Nov 28, 2014 | Feb 28, 2012 |
| Curtis C Randle El | Cambridge Investment Research Advisors, Inc. other | Cetera Advisors LLC other | Other | Nov 25, 2014 | Nov 24, 2014 |
| Gregory Michael Hoover | J.P. Morgan Securities LLC wirehouse | Cetera Advisors LLC other | Other | Nov 24, 2014 | Dec 1, 2014 |
| Terry Gene Hershey | Morgan Stanley wirehouse | Cetera Advisors LLC other | Other | Nov 6, 2014 | Nov 3, 2014 |
| Melissa Ann Logan | Morgan Stanley wirehouse | Cetera Advisors LLC other | Other | Nov 6, 2014 | Oct 30, 2014 |
| James William Mclellan | Nfsg Corporation other | Cetera Advisors LLC other | Other | Nov 5, 2014 | Nov 5, 2014 |
| Richard Patrick Biagiotti | Personal Financial Management Plus, Inc. unclassified | Cetera Advisors LLC other | Other | Oct 29, 2014 | Oct 3, 2016 (705 d) |
| Leslie Marvin Boyce | Huntington Financial Advisors other | Cetera Advisors LLC other | Other | Oct 17, 2014 | Oct 14, 2014 |
| Justin Carter Burgess | Osaic Institutions, Inc. other | Cetera Advisors LLC other | Other | Sep 15, 2014 | Sep 15, 2014 |
| Joseph Paul Montana | Abg Retirement Plan Investment Services no RAUM | Cetera Advisors LLC other | Other | Aug 29, 2014 | Mar 30, 2015 (213 d) |
| Todd Vernon Chaney | MML Investors Services, LLC other | Cetera Advisors LLC other | Other | Aug 20, 2014 | Aug 15, 2014 |
| Kevin James Walker | Edward Jones national BD | Cetera Advisors LLC other | Other | Aug 19, 2014 | Aug 18, 2014 |
| Michael Gerard Santoro | Sagepoint Financial, Inc. other | Cetera Advisors LLC other | Other | Aug 1, 2014 | Jul 31, 2014 |
| Matthew Kieran Byrne | Northwestern Mutual Investment Services,LLC other | Cetera Advisors LLC other | Other | Jul 24, 2014 | Aug 8, 2014 |
| David Ross Brinkley | Invest Financial Corporation other | Cetera Advisors LLC other | Other | Jul 22, 2014 | Oct 20, 2014 (90 d) |
| Bridget Aline Quijada | Jmb Financial Managers, Inc. state registered | Cetera Advisors LLC other | Other | Jun 27, 2014 | Jun 19, 2014 |
| George William Mulwee | Woodbury Financial Services, Inc. other | Cetera Advisors LLC other | Other | May 30, 2014 | Jun 2, 2014 |
| Joe Vidueira | Morgan Stanley wirehouse | Cetera Advisors LLC other | Other | May 14, 2014 | May 6, 2014 |
| Michael Werner Keller | Gilford Financial Corp. other | Cetera Advisors LLC other | Other | May 14, 2014 | Apr 21, 2014 |
| Timothy Ryan Boyle | Waddell & Reed other | Cetera Advisors LLC other | Other | Apr 11, 2014 | Apr 14, 2014 |
| David Andrew Schmidt | LPL Financial LLC other | Cetera Advisors LLC other | Other | Apr 8, 2014 | Apr 15, 2014 |
| David James Peckham | Msi Financial Services, Inc. other | Cetera Advisors LLC other | Other | Apr 8, 2014 | Apr 1, 2014 |
| Christopher Wayne Bordner | Msi Financial Services, Inc. other | Cetera Advisors LLC other | Other | Apr 8, 2014 | Apr 1, 2014 |
| Efrem D Jackson | Bancwest Investment Services, Inc. (Bwis) other | Cetera Advisors LLC other | Other | Apr 8, 2014 | Apr 11, 2014 |
| Connor Snook | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Cetera Advisors LLC other | Other | Mar 25, 2014 | Apr 28, 2014 (34 d) |
| Philip Alden Blankenship | LPL Financial LLC other | Cetera Advisors LLC other | Other | Mar 19, 2014 | Mar 17, 2014 |
| Dustin Neil Christopherson | Eide Bailly Advisors, LLC other | Cetera Advisors LLC other | Other | Feb 27, 2014 | Feb 24, 2014 |
| Kiran Naginbhai Patel | J.P. Morgan Securities LLC wirehouse | Cetera Advisors LLC other | Other | Feb 10, 2014 | Feb 10, 2014 |
| Michael C Kessel | David A. Noyes & Company other | Cetera Advisors LLC other | Other | Feb 6, 2014 | Jan 31, 2014 |
| Daniel Joseph Rudski | MML Investors Services, LLC other | Cetera Advisors LLC other | Other | Feb 3, 2014 | Jan 28, 2014 |
| Gerald Joseph Fasanella | Next Financial Group, Inc. other | Cetera Advisors LLC other | Other | Jan 22, 2014 | Jan 23, 2014 |
| Geoffrey Carson Aden | LPL Financial LLC other | Cetera Advisors LLC other | Other | Jan 21, 2014 | Jan 16, 2014 |
| Denton Jay Olde | Charles Schwab & Co., Inc. national BD | Cetera Advisors LLC other | Other | Jan 14, 2014 | Jan 28, 2014 |
| Roger Kent Ratliff | Edward Jones national BD | Cetera Advisors LLC other | Other | Jan 9, 2014 | Jan 10, 2014 |
| Michael Gerard Zeiger | Infinity Financial Services unclassified | Cetera Advisors LLC other | Other | Jan 7, 2014 | Dec 13, 2013 |
| Sabin Berg Alibrandi | C U Financial Partners, LLC unclassified | Cetera Advisors LLC other | Other | Dec 31, 2013 | Nov 4, 2013 |
| Brian T Spatola | Next Financial Group, Inc. other | Cetera Advisors LLC other | Other | Dec 26, 2013 | Jan 15, 2014 |
| Curtis Martin Hill | D.A. Davidson & Co. other | Cetera Advisors LLC other | Other | Dec 17, 2013 | Dec 13, 2013 |
| Jo Ellen Kearny | Concourse Financial Group Advisors other | Cetera Advisors LLC other | Other | Dec 17, 2013 | Dec 9, 2013 |
| Trent Arthur Yost | On Investment Management Co other | Cetera Advisors LLC other | Other | Dec 9, 2013 | Dec 10, 2013 |
| John Hyrum Koyle | On Investment Management Co other | Cetera Advisors LLC other | Other | Dec 9, 2013 | Dec 6, 2013 |
| Richard Dale Almond | On Investment Management Co other | Cetera Advisors LLC other | Other | Dec 9, 2013 | Dec 10, 2013 |
| Michael Douglas Weldy | Invest Financial Corporation other | Cetera Advisors LLC other | Other | Dec 6, 2013 | Dec 5, 2013 |
| Adam Richard Stalnaker | New England Securities Corporation other | Cetera Advisors LLC other | Other | Dec 5, 2013 | Dec 3, 2013 |