| Gary Ovsak | Reliance Investing, Inc. state registered | Planmember Securities Corporation other | Other | Nov 19, 2014 | Feb 12, 2015 (85 d) |
| Susan Kay Mack | Morgan Stanley wirehouse | Planmember Securities Corporation other | Other | Nov 18, 2014 | Jul 6, 2015 (230 d) |
| Skyler Craig Fredrickson | Gwn Securities Inc. other | Planmember Securities Corporation other | Other | Nov 11, 2014 | Nov 12, 2014 |
| Joseph Brent Hill | Gwn Securities Inc. other | Planmember Securities Corporation other | Other | Nov 11, 2014 | Nov 12, 2014 |
| Gregory J Sagers | Gwn Securities Inc. other | Planmember Securities Corporation other | Other | Nov 4, 2014 | Nov 10, 2014 |
| Keith Francis Brady | Essex National Securities, Inc. other | Planmember Securities Corporation independent RIA | Other | Aug 28, 2014 | May 25, 2021 (2462 d) |
| Nila Marie Moore | Gwn Securities Inc. other | Planmember Securities Corporation other | Other | Aug 4, 2014 | Aug 1, 2014 |
| Martin Wayne Adams | Sagepoint Financial, Inc. other | Planmember Securities Corporation other | Other | Jun 30, 2014 | Jun 30, 2014 |
| Lisa Jean Gamble | Sagepoint Financial, Inc. other | Planmember Securities Corporation other | Other | Jun 30, 2014 | Jun 30, 2014 |
| Stuart Bruce Allen | Gwn Securities Inc. other | Planmember Securities Corporation other | Other | Jun 27, 2014 | Jun 27, 2014 |
| James Luther Patton | Gwn Securities Inc. other | Planmember Securities Corporation other | Other | Jun 25, 2014 | Jun 26, 2014 |
| Aaron Denon Bessonette | Raymond James Financial Services Advisors, Inc other | Planmember Securities Corporation other | Other | Jun 4, 2014 | Jun 9, 2014 |
| Graham Mcmurray Clement | Legend Advisory, LLC other | Planmember Securities Corporation other | Other | May 14, 2014 | May 28, 2014 |
| Richard Alex Becker | Valic Financial Advisors, Inc. other | Planmember Securities Corporation other | Other | May 14, 2014 | May 9, 2014 |
| Anton Tkachenko | Nfp Advisor Services, LLC other | Planmember Securities Corporation other | Other | Apr 24, 2014 | Apr 2, 2015 (343 d) |
| Martha Ann Brown | Oneamerica Securities, Inc. other | Planmember Securities Corporation other | Other | Jan 22, 2014 | Jan 23, 2014 |
| Clifford Ike Nichols | Gwn Securities Inc. other | Planmember Securities Corporation other | Other | Jan 14, 2014 | Jan 29, 2014 |
| James Bruce Brennan | Gwn Securities Inc. other | Planmember Securities Corporation other | Other | Jan 14, 2014 | Jan 23, 2014 |
| Paul Harney | Investment Advisors Asset Management, LLC other | Planmember Securities Corporation other | Other | Jan 6, 2014 | Jan 28, 2014 |
| Jon Robert Ferguson | Cambridge Investment Research Advisors, Inc. other | Planmember Securities Corporation other | Other | Dec 31, 2013 | Jan 8, 2014 |
| Geoffrey Allen Treat | Cambridge Investment Research Advisors, Inc. other | Planmember Securities Corporation independent RIA | Other | Dec 11, 2013 | Nov 5, 2025 (4347 d) |
| Dena Jean Mcsherry | Raymond James Financial Services Advisors, Inc other | Planmember Securities Corporation other | Other | Dec 5, 2013 | Apr 3, 2014 (119 d) |
| Danny Eugene Ward | Legend Advisory, LLC other | Planmember Securities Corporation other | Other | Nov 25, 2013 | Oct 5, 2015 (679 d) |
| Joy Soon Oh | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Planmember Securities Corporation other | Other | Oct 28, 2013 | Mar 5, 2014 (128 d) |
| William George Brennan | Veritrust Financial, LLC other | Planmember Securities Corporation other | Other | Oct 7, 2013 | Oct 7, 2013 |
| Joseph Charles Chalom | Veritrust Financial, LLC other | Planmember Securities Corporation other | Other | Oct 7, 2013 | Oct 21, 2013 |
| Terry Duhamel | Veritrust Financial, LLC other | Planmember Securities Corporation other | Other | Oct 7, 2013 | Oct 7, 2013 |
| Timothy Frank Mcfall | Veritrust Financial, LLC other | Planmember Securities Corporation other | Other | Oct 7, 2013 | Oct 7, 2013 |
| Hector Noe Hinojosa | Veritrust Financial, LLC other | Planmember Securities Corporation other | Other | Oct 7, 2013 | Oct 7, 2013 |
| Geoffrey Ballard Haynes | Veritrust Financial, LLC other | Planmember Securities Corporation other | Other | Oct 7, 2013 | Oct 7, 2013 |
| Richard Edward Bentel | Veritrust Financial, LLC other | Planmember Securities Corporation other | Other | Oct 7, 2013 | Oct 7, 2013 |
| Bradley Jay Easom | Veritrust Financial, LLC other | Planmember Securities Corporation other | Other | Oct 7, 2013 | Oct 29, 2013 |
| Constantin Dragomir Brancov | Veritrust Financial, LLC other | Planmember Securities Corporation other | Other | Oct 7, 2013 | Oct 7, 2013 |
| Fred Wayne Thomas | Veritrust Financial, LLC other | Planmember Securities Corporation other | Other | Oct 7, 2013 | Oct 7, 2013 |
| Nick Allen Edwards | Veritrust Financial, LLC other | Planmember Securities Corporation other | Other | Oct 7, 2013 | Oct 7, 2013 |
| Judith Angela Zeigler | Veritrust Financial, LLC other | Planmember Securities Corporation other | Other | Oct 7, 2013 | Oct 7, 2013 |
| Philip Detlefs | Veritrust Financial, LLC other | Planmember Securities Corporation other | Other | Oct 7, 2013 | Oct 7, 2013 |
| James William Snider | Veritrust Financial, LLC other | Planmember Securities Corporation other | Other | Oct 7, 2013 | Oct 7, 2013 |
| Katherine Jean Morris | Veritrust Financial, LLC other | Planmember Securities Corporation other | Other | Oct 7, 2013 | Oct 7, 2013 |
| Nathan Andrew Edwards | Veritrust Financial, LLC other | Planmember Securities Corporation other | Other | Oct 7, 2013 | Oct 29, 2013 |
| Quincy Deearl Caldwell | Veritrust Financial, LLC other | Planmember Securities Corporation other | Other | Oct 7, 2013 | Oct 7, 2013 |
| Scott Stephen Jacobs | Veritrust Financial, LLC other | Planmember Securities Corporation other | Other | Oct 7, 2013 | Oct 29, 2013 |
| Idolina Maria Shumway | Veritrust Financial, LLC other | Planmember Securities Corporation other | Other | Oct 7, 2013 | Oct 7, 2013 |
| Joseph Lauro | Equitable Advisors, LLC national BD | Planmember Securities Corporation other | Other | Sep 6, 2013 | Nov 8, 2013 (63 d) |
| Forrest Britt Barr | Equitable Advisors, LLC national BD | Planmember Securities Corporation other | Other | Jun 7, 2013 | Jun 10, 2013 |
| Greg Robert Hildebrand | Msi Financial Services, Inc. other | Planmember Securities Corporation other | Other | Feb 19, 2013 | Feb 27, 2013 |
| Jennifer Odin Cavalier | Waddell & Reed other | Planmember Securities Corporation other | Other | Jan 31, 2013 | Oct 2, 2013 (244 d) |
| Steve Utama Sarwono | Signator Financial Services, Inc. other | Planmember Securities Corporation other | Other | Jan 22, 2013 | Jan 28, 2013 |
| Joseph Vincent Murray | Signator Financial Services, Inc. other | Planmember Securities Corporation other | Other | Jan 18, 2013 | Jan 23, 2013 |
| Steven Craig Neustaedter | Independent Financial Partners other | Planmember Securities Corporation other | Other | Nov 28, 2012 | Dec 14, 2012 |
| Alexander Richard Hugues | Avantax Advisory Services other | Planmember Securities Corporation other | Other | Sep 17, 2012 | Sep 13, 2012 |
| Robert Jeffery Edwards | New England Securities Corporation other | Planmember Securities Corporation other | Other | Sep 7, 2012 | Sep 19, 2012 |
| Ronald Wayne Johnson | Cetera Advisor Networks LLC other | Planmember Securities Corporation other | Other | Aug 31, 2012 | Sep 6, 2012 |
| Steven R. Burgess | Cetera Advisor Networks LLC other | Planmember Securities Corporation other | Other | Aug 24, 2012 | Aug 24, 2012 |
| Susan Elaine Cole | Cetera Advisor Networks LLC other | Planmember Securities Corporation other | Other | Jul 26, 2012 | Jul 30, 2012 |
| Kristopher Brandel Ziskin | Morgan Stanley wirehouse | Planmember Securities Corporation other | Other | Jun 19, 2012 | Oct 9, 2012 (112 d) |
| Stephen Raymond | Bolton Global Asset Management other | Planmember Securities Corporation other | Other | Jun 12, 2012 | Jun 22, 2012 |
| Theodore Leonard Brooks | Retirement Plan Advisors, LLC other | Planmember Securities Corporation other | Other | May 17, 2012 | May 16, 2012 |
| Wendy P. Simmons | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Planmember Securities Corporation other | Other | May 10, 2012 | Oct 11, 2016 (1615 d) |
| Bryan Alan Hummel | Securities America Advisors, Inc. other | Planmember Securities Corporation other | Other | Apr 30, 2012 | May 4, 2012 |