| John Nelson Crook | Raymond James & Associates, Inc. national BD | Prospera Financial Services, Inc. other | Other | Aug 6, 2015 | Aug 13, 2015 |
| Brett Jason Walter | J.P. Morgan Securities LLC wirehouse | Prospera Financial Services, Inc. other | Other | Apr 29, 2015 | Apr 20, 2015 |
| Duke Paterson Cope | Raymond James & Associates, Inc. national BD | Prospera Financial Services, Inc. other | Other | Apr 22, 2015 | Apr 23, 2015 |
| Christopher Sean Flanagan | Citigroup Global Markets Inc. other | Prospera Financial Services, Inc. independent RIA | Other | Apr 10, 2015 | Feb 14, 2021 (2137 d) |
| Jenny Rebecca Elstein | Principal Securities, Inc. other | Prospera Financial Services, Inc. other | Other | Apr 6, 2015 | Apr 9, 2015 |
| Daniel Stephen Phillips | Edward Jones national BD | Prospera Financial Services, Inc. other | Other | Mar 2, 2015 | Mar 25, 2015 |
| Justin Charles Cramer | Edward Jones national BD | Prospera Financial Services, Inc. other | Other | Feb 26, 2015 | Feb 27, 2015 |
| Michael Scott Blanchard | Capital Guardian Wealth Management, LLC other | Prospera Financial Services, Inc. other | Other | Feb 13, 2015 | Feb 18, 2015 |
| Shanth David | Wfg Advisors, LP other | Prospera Financial Services, Inc. other | Other | Dec 1, 2014 | Dec 1, 2014 |
| Richard Edward Fennema | Wells Fargo Advisors wirehouse | Prospera Financial Services, Inc. other | Other | Nov 13, 2014 | Nov 7, 2014 |
| Jennifer Nicole Nichols | Phillips Capital Advisors, Inc. other | Prospera Financial Services, Inc. other | Other | Oct 29, 2014 | Oct 24, 2014 |
| Charles Leon Evans | Wells Fargo Advisors wirehouse | Prospera Financial Services, Inc. other | Other | Aug 6, 2014 | Jul 28, 2014 |
| Daniel William Mossakowski | Edward Jones national BD | Prospera Financial Services, Inc. other | Other | Aug 6, 2014 | Aug 4, 2014 |
| Jed Lee Kutzen | LPL Financial LLC other | Prospera Financial Services, Inc. other | Other | Jun 20, 2014 | Jul 1, 2014 |
| Thomas Norman Zirbel | Cabana Asset Management other | Prospera Financial Services, Inc. other | Other | Jun 11, 2014 | Jan 22, 2015 (225 d) |
| David Lee Shafranek | Citigroup Global Markets Inc. other | Prospera Financial Services, Inc. other | Other | Apr 3, 2014 | Apr 17, 2015 (379 d) |
| Harry Edward O'Conner | Equitable Advisors, LLC national BD | Prospera Financial Services, Inc. other | Other | Feb 14, 2014 | Feb 14, 2014 |
| Christopher James Wigington | Wells Fargo Advisors wirehouse | Prospera Financial Services, Inc. independent RIA | Wirehouse to independent RIA | Jan 2, 2014 | Nov 26, 2019 (2154 d) |
| Ronald Scott Pyle | Raymond James & Associates, Inc. national BD | Prospera Financial Services, Inc. other | Other | Nov 19, 2013 | Nov 6, 2013 |
| Michael William Townsend | Ameriprise Financial Services, LLC national BD | Prospera Financial Services, Inc. other | Other | Sep 26, 2013 | Sep 4, 2013 |
| Jason Eric Craig | Tca Financial Group, LLC unclassified | Prospera Financial Services, Inc. other | Other | Aug 12, 2013 | Nov 1, 2013 (81 d) |
| John P Cervantes | Tca Financial Group, LLC unclassified | Prospera Financial Services, Inc. other | Other | Jun 28, 2013 | Jul 3, 2013 |
| Richard Allen Yercheck | Tca Financial Group, LLC unclassified | Prospera Financial Services, Inc. other | Other | Jun 28, 2013 | Jul 3, 2013 |
| David Willingham Lentz | Tca Financial Group, LLC unclassified | Prospera Financial Services, Inc. other | Other | Jun 28, 2013 | Jul 3, 2013 |
| Katrina Kerr Hayes | Tca Financial Group, LLC unclassified | Prospera Financial Services, Inc. other | Other | Jun 28, 2013 | Jun 28, 2013 |
| Helen Mary Colon | LPL Financial LLC other | Prospera Financial Services, Inc. other | Other | Jun 20, 2013 | Jun 4, 2013 |
| William Eric Bishoff | LPL Financial LLC other | Prospera Financial Services, Inc. other | Other | Jun 20, 2013 | Jun 3, 2013 |
| Adam Edward Bray | LPL Financial LLC other | Prospera Financial Services, Inc. other | Other | Jun 20, 2013 | Jun 4, 2013 |
| Richard Paul Mills | LPL Financial LLC other | Prospera Financial Services, Inc. other | Other | Jun 19, 2013 | Jun 4, 2013 |
| Dana Greathouse | First Allied Advisory Services, Inc. other | Prospera Financial Services, Inc. other | Other | May 16, 2013 | Jul 22, 2013 (67 d) |
| Stephen Barnett Shipley | Morgan Stanley wirehouse | Prospera Financial Services, Inc. other | Other | Apr 12, 2013 | Mar 28, 2013 |
| John William Rubottom | Morgan Stanley wirehouse | Prospera Financial Services, Inc. other | Other | Apr 12, 2013 | Mar 28, 2013 |
| Preston Paul Mokris | Morgan Keegan & Company, LLC other | Prospera Financial Services, Inc. other | Other | Feb 5, 2013 | Jan 22, 2014 (351 d) |
| Thomas Kevin Ambrose | Ameriprise Financial Services, LLC national BD | Prospera Financial Services, Inc. other | Other | Nov 8, 2012 | Nov 7, 2012 |
| Hilary Elizabeth O'Malley | Wells Fargo Advisors wirehouse | Prospera Financial Services, Inc. other | Other | Oct 12, 2012 | Dec 11, 2012 (60 d) |
| Theophilous Henry Woods | LPL Financial LLC other | Prospera Financial Services, Inc. other | Other | Sep 25, 2012 | Sep 14, 2012 |
| Jimmy Rhea Day | Smh Capital Advisors LLC other | Prospera Financial Services, Inc. other | Other | Sep 11, 2012 | Aug 31, 2012 |
| Cindy Michelle Tamborello | Smh Capital Advisors LLC other | Prospera Financial Services, Inc. other | Other | Sep 11, 2012 | Sep 3, 2012 |
| Michael Alan Taylor | Edward Jones national BD | Prospera Financial Services, Inc. other | Other | Aug 16, 2012 | Aug 23, 2012 |
| Karen Marie Clerici | Raymond James Financial Services Advisors, Inc other | Prospera Financial Services, Inc. other | Other | Aug 7, 2012 | Aug 7, 2012 |
| Anthony Charles Montanari | Capital Guardian Wealth Management, LLC other | Prospera Financial Services, Inc. other | Other | Jul 16, 2012 | Jul 16, 2012 |
| Jason Leon Steele | Raymond James Financial Services Advisors, Inc other | Prospera Financial Services, Inc. other | Other | May 29, 2012 | May 29, 2012 |
| Alexander Patrick Kline | Huntington Financial Advisors other | Prospera Financial Services, Inc. other | Other | Nov 21, 2011 | Dec 14, 2011 |
| James Michael Hines | Chase Investment Services Corp. other | Prospera Financial Services, Inc. other | Other | Jul 6, 2011 | Jul 1, 2011 |
| Jerry Allen Klusener | Umb Financial Services, Inc. no RAUM | Prospera Financial Services, Inc. other | Other | May 9, 2011 | May 31, 2011 |
| Stacy Ray Brown | Edward Jones national BD | Prospera Financial Services, Inc. other | Other | Apr 27, 2011 | Apr 25, 2011 |
| Jeri D Barrientos | Edward Jones national BD | Prospera Financial Services, Inc. other | Other | Mar 15, 2011 | Mar 14, 2011 |
| William Larry Standridge | Morgan Stanley wirehouse | Prospera Financial Services, Inc. other | Other | Feb 11, 2011 | Feb 4, 2011 |
| Robert Ray Bennie | LPL Financial LLC other | Prospera Financial Services, Inc. other | Other | Dec 2, 2010 | Dec 17, 2010 |
| Ross Wayne Luekenga | Vsr Advisory Services other | Prospera Financial Services, Inc. other | Other | Oct 6, 2010 | Nov 15, 2010 (40 d) |
| Mark Dennie Howard | Vsr Advisory Services other | Prospera Financial Services, Inc. other | Other | Oct 1, 2010 | Nov 22, 2010 (52 d) |
| Peter Carmine Covino | Vsr Advisory Services other | Prospera Financial Services, Inc. other | Other | Sep 30, 2010 | Oct 12, 2010 |
| Matthew J Nielsen | Cetera Investment Advisers LLC other | Prospera Financial Services, Inc. other | Other | May 28, 2010 | May 25, 2010 |
| Robert Fremont Thorndike | Micg Investment Management, LLC unclassified | Prospera Financial Services, Inc. other | Other | May 12, 2010 | May 12, 2010 |
| William Terrial Roach | Micg Investment Management, LLC unclassified | Prospera Financial Services, Inc. other | Other | May 12, 2010 | May 12, 2010 |
| Jennifer Lee Nelson | Micg Investment Management, LLC unclassified | Prospera Financial Services, Inc. other | Other | May 12, 2010 | May 12, 2010 |
| Richard Joseph Testa | Jesup & Lamont Securities Corp unclassified | Prospera Financial Services, Inc. other | Other | Feb 9, 2010 | Feb 18, 2010 |
| Mark Devin Johnson | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Prospera Financial Services, Inc. other | Other | Jan 15, 2010 | Jan 15, 2010 |
| Jason Anton Bednarz | RBC Capital Markets, LLC national BD | Prospera Financial Services, Inc. other | Other | Nov 5, 2009 | Oct 30, 2009 |
| Thomas Spessard Cain | UBS Financial Services Inc. wirehouse | Prospera Financial Services, Inc. other | Other | Aug 3, 2009 | Jan 27, 2011 (542 d) |