| Ian E James | Raymond James Financial Services Advisors, Inc other | Summit Financial Group Inc other | Other | Sep 22, 2011 | Oct 4, 2011 |
| Michael Eric Fayed | Capital Guardian Wealth Management, LLC other | Summit Financial Group Inc other | Other | Sep 12, 2011 | Sep 9, 2011 |
| John James Meany | Financial Northeastern Securities, LLC unclassified | Summit Financial Group Inc other | Other | Aug 11, 2011 | Sep 16, 2015 (1497 d) |
| Marcus Anthony Arneaud | Investacorp Advisory Services Inc other | Summit Financial Group Inc other | Other | Jul 15, 2011 | Sep 22, 2011 (69 d) |
| Melissa Deann Proffitt | Commerce Brokerage Services, Inc other | Summit Financial Group Inc other | Other | Jun 15, 2011 | May 26, 2011 |
| James V Cairo | Fifth Third Securities, Inc. other | Summit Financial Group Inc other | Other | Jun 3, 2011 | Jun 8, 2011 |
| Kurt Louis Hoffer | Ic Advisory Services, Inc. other | Summit Financial Group Inc other | Other | May 4, 2011 | May 12, 2011 |
| Dan Lyndall Griggs | Securities America Advisors, Inc. other | Summit Financial Group Inc other | Other | Apr 28, 2011 | Apr 21, 2011 |
| Alison Marie Janke | Wells Fargo Advisors wirehouse | Summit Financial Group Inc other | Other | Apr 20, 2011 | May 6, 2011 |
| Frank Dominic Corto | MML Investors Services, LLC other | Summit Financial Group Inc other | Other | Apr 15, 2011 | Jun 16, 2011 (62 d) |
| Carl Frank Nicolosi | Commonwealth Financial Network national BD | Summit Financial Group Inc other | Other | Apr 11, 2011 | Jun 16, 2011 (66 d) |
| Gary Benjamin Penn | Edward Jones national BD | Summit Financial Group Inc other | Other | Apr 6, 2011 | Apr 29, 2011 |
| David Paul Folino | 1st Global Advisors Inc other | Summit Financial Group Inc other | Other | Apr 4, 2011 | Apr 1, 2011 |
| David Bradley Hooks | 1st Global Advisors Inc other | Summit Financial Group Inc other | Other | Apr 4, 2011 | Apr 1, 2011 |
| John Anthony Nicolosi | Commonwealth Financial Network national BD | Summit Financial Group Inc other | Other | Mar 28, 2011 | Apr 20, 2011 |
| Koorosh Zartoshty | Voya Financial Advisors, Inc. other | Summit Financial Group Inc other | Other | Mar 22, 2011 | Mar 17, 2011 |
| Innocent Bamituni Enaye | Equitable Advisors, LLC national BD | Summit Financial Group Inc other | Other | Mar 14, 2011 | Mar 29, 2011 |
| Ronald Allen Kramer | Ameritas Advisory Services other | Summit Financial Group Inc other | Other | Mar 7, 2011 | Feb 11, 2011 |
| David Lee Rhodes | Osaic Fa, Inc. other | Summit Financial Group Inc other | Other | Feb 23, 2011 | Mar 23, 2011 |
| David Kennedy Odell | Qa3 Financial LLC unclassified | Summit Financial Group Inc other | Other | Feb 11, 2011 | Feb 11, 2011 |
| Brian David Odell | Qa3 Financial LLC unclassified | Summit Financial Group Inc other | Other | Feb 11, 2011 | Feb 11, 2011 |
| Robert Evans Johnson | Raymond James Financial Services Advisors, Inc other | Summit Financial Group Inc other | Other | Jan 4, 2011 | Jan 4, 2011 |
| Jonathan Michael Rigoni | Cambridge Investment Research Advisors, Inc. other | Summit Financial Group Inc other | Other | Dec 7, 2010 | Nov 9, 2010 |
| Thomas Carlos Nieves | Voya Financial Advisors, Inc. other | Summit Financial Group Inc other | Other | Dec 1, 2010 | Mar 18, 2011 (107 d) |
| Frank Paul Barrella | Securian Financial Services, Inc. other | Summit Financial Group Inc other | Other | Nov 16, 2010 | Jan 3, 2011 (48 d) |
| Omar Rasmi Shalabi | Uvest Financial Services Group, Inc. unclassified | Summit Financial Group Inc other | Other | Oct 8, 2010 | Dec 1, 2010 (54 d) |
| Glen Edward Wright | Equitas America, LLC unclassified | Summit Financial Group Inc other | Other | Sep 17, 2010 | Sep 16, 2010 |
| Edward Joseph Barfield | Oneamerica Securities, Inc. other | Summit Financial Group Inc other | Other | Aug 16, 2010 | Sep 3, 2010 |
| Diana Lynn Plucienkowski | New Century Financial Group, LLC other | Summit Financial Group Inc other | Other | Jul 22, 2010 | Jul 8, 2010 |
| Melanie Anne Radcliff | Edward Jones national BD | Summit Financial Group Inc other | Other | Jul 20, 2010 | Jul 2, 2010 |
| Raelene Marie Aldridge | UBS Financial Services Inc. wirehouse | Summit Financial Group Inc other | Other | Jul 12, 2010 | Oct 29, 2010 (109 d) |
| Michael Lynn Woods | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Summit Financial Group Inc other | Other | Jun 30, 2010 | Oct 13, 2010 (105 d) |
| Jon Stephen Alin | Raymond James Financial Services Advisors, Inc other | Summit Financial Group Inc other | Other | Jun 30, 2010 | Jun 30, 2010 |
| Peter Richard News | LPL Financial LLC other | Summit Financial Group Inc other | Other | May 25, 2010 | May 20, 2010 |
| Douglas John Almeida | Wells Fargo Advisors wirehouse | Summit Financial Group Inc other | Other | May 4, 2010 | Sep 15, 2010 (134 d) |
| Ginevra Diana Basso-Laha | J.P. Morgan Securities LLC wirehouse | Summit Financial Group Inc other | Other | Apr 30, 2010 | Mar 22, 2011 (326 d) |
| William Joel Small | LPL Financial LLC other | Summit Financial Group Inc other | Other | Apr 7, 2010 | Apr 5, 2010 |
| Jean Ann Brown | Gunnallen Financial, Inc unclassified | Summit Financial Group Inc other | Other | Mar 26, 2010 | Jun 9, 2010 (75 d) |
| Brian Keith Music | Raymond James Financial Services Advisors, Inc other | Summit Financial Group Inc other | Other | Mar 10, 2010 | Mar 10, 2010 |
| Matthew Scrivener Agee | Ameriprise Financial Services, LLC national BD | Summit Financial Group Inc other | Other | Mar 2, 2010 | Jan 28, 2011 (332 d) |
| Jeremy Nathan Swank | LPL Financial LLC other | Summit Financial Group Inc other | Other | Feb 9, 2010 | Feb 1, 2010 |
| Frederick Gordon Fram | Stanford Group Company unclassified | Summit Financial Group Inc other | Other | Feb 4, 2010 | May 10, 2010 (95 d) |
| Kenneth Cassius Butterfield | 1st Discount Brokerage, Inc. other | Summit Financial Group Inc other | Other | Feb 3, 2010 | Feb 26, 2010 |
| Winston Wook Chung | Citigroup Global Markets Inc. other | Summit Financial Group Inc other | Other | Dec 17, 2009 | Nov 18, 2009 |
| Dennis Lynn Latham | Concourse Financial Group Advisors other | Summit Financial Group Inc other | Other | Dec 16, 2009 | Dec 21, 2009 |
| Jon Lewis Bowles | Citigroup Global Markets Inc. other | Summit Financial Group Inc other | Other | Dec 14, 2009 | Nov 30, 2009 |
| Richard William Heagen | LPL Financial LLC other | Summit Financial Group Inc other | Other | Dec 1, 2009 | Nov 28, 2011 (727 d) |
| Brian Scott Kovener | Mutual Service Corporation unclassified | Summit Financial Group Inc other | Other | Oct 13, 2009 | Oct 28, 2009 |
| John Charles Bland | LPL Financial LLC other | Summit Financial Group Inc other | Other | Oct 5, 2009 | Sep 22, 2009 |
| Richard Eugene Wilson | Steward Partners Investment Solutions, LLC other | Summit Financial Group Inc other | Other | Sep 8, 2009 | Sep 7, 2009 |
| Linda Lovern Fairchild | Mutual Service Corporation unclassified | Summit Financial Group Inc other | Other | Aug 25, 2009 | Aug 21, 2009 |
| Dudley E Labauve III | UBS Financial Services Inc. wirehouse | Summit Financial Group Inc other | Other | Aug 24, 2009 | Aug 14, 2009 |
| Thomas Roe Oldt | Mutual Service Corporation unclassified | Summit Financial Group Inc other | Other | Aug 14, 2009 | Sep 21, 2009 (38 d) |
| Michael Charles Cummings | Mutual Service Corporation unclassified | Summit Financial Group Inc other | Other | Aug 6, 2009 | Sep 1, 2009 |
| Hitesh M Patel | Wells Fargo Advisors wirehouse | Summit Financial Group Inc other | Other | Aug 5, 2009 | Jul 31, 2009 |
| Eric Bruce Botwinik | Mutual Service Corporation unclassified | Summit Financial Group Inc other | Other | Aug 4, 2009 | Aug 27, 2009 |
| Khuong Bao Chau | Lord, Abbett & Co. LLC other | Summit Financial Group Inc other | Other | Aug 3, 2009 | Jan 13, 2010 (163 d) |
| Paul M. Bailley | Msi Financial Services, Inc. other | Summit Financial Group Inc other | Other | Aug 3, 2009 | Oct 8, 2009 (66 d) |
| David Jeffrey Dicks | Wells Fargo Advisors wirehouse | Summit Financial Group Inc other | Other | Jul 15, 2009 | Aug 5, 2011 (751 d) |
| Justin Christopher Pagan | Flagstar Securities, Inc. other | Summit Financial Group Inc other | Other | Jul 7, 2009 | Jul 27, 2009 |