| Sean Patrick Lee | Integrity Alliance, LLC other | Global Financial Private Capital, Inc. other | Other | Aug 13, 2010 | Aug 18, 2010 |
| Micheal J Stringham | Integrity Alliance, LLC other | Global Financial Private Capital, Inc. other | Other | Aug 13, 2010 | Aug 17, 2010 |
| Mark Alan Bigler | Waddell & Reed other | Global Financial Private Capital, Inc. other | Other | Aug 2, 2010 | Jun 18, 2012 (686 d) |
| Bryan Stuart Slovon | Gradient Advisors, LLC no RAUM | Global Financial Private Capital, Inc. other | Other | Jul 12, 2010 | Jul 29, 2010 |
| Megan Lea Jones | Jones Advisory Group, LLC unclassified | Global Financial Private Capital, Inc. other | Other | Jun 30, 2010 | Apr 27, 2010 |
| Eric Matthew Sholberg | Financial Telesis, Inc. other | Global Financial Private Capital, Inc. other | Other | Jun 28, 2010 | Jul 8, 2010 |
| Mark Scordato | Spc other | Global Financial Private Capital, Inc. other | Other | Jun 22, 2010 | Jun 24, 2010 |
| Richard Duane Loek | Horter Investment Management, LLC other | Global Financial Private Capital, Inc. other | Other | Jun 18, 2010 | Jun 22, 2010 |
| Ronald Albert Gelok | Spc other | Global Financial Private Capital, Inc. other | Other | Jun 17, 2010 | Jun 17, 2010 |
| Andrew James Beshuk | Investment Advisors Corp other | Global Financial Private Capital, Inc. other | Other | Jun 15, 2010 | Jun 21, 2010 |
| Thomas Woods Hill | Allegiant Financial Advisors, LLC state registered | Global Financial Private Capital, Inc. other | Other | Jun 2, 2010 | Jun 2, 2010 |
| William Standley Eden | Ridgeway Conger Advisory Services other | Global Financial Private Capital, Inc. other | Other | May 27, 2010 | Jun 30, 2010 (34 d) |
| John Ryan Heath | Tlg Advisors, Inc. other | Global Financial Private Capital, Inc. other | Other | May 27, 2010 | Jun 30, 2010 (34 d) |
| Evelyn Kay Duka | Questar Asset Management, Inc. other | Global Financial Private Capital, Inc. other | Other | May 17, 2010 | May 26, 2010 |
| Roy Lee Thrower, Jr. | Reap Financial Group, LLC independent RIA | Global Financial Private Capital, Inc. other | Other | Apr 14, 2010 | Apr 9, 2010 |
| Steven Craig Sovde | Allegiant Financial Advisors, LLC state registered | Global Financial Private Capital, Inc. other | Other | Apr 8, 2010 | Apr 9, 2010 |
| James Eric Jeansonne | Bft Financial Group, LLC other | Global Financial Private Capital, Inc. other | Other | Apr 5, 2010 | Mar 29, 2010 |
| Scott Mons Broadbent | Investment Advisors International, Inc. unclassified | Global Financial Private Capital, Inc. other | Other | Mar 25, 2010 | Feb 25, 2011 (337 d) |
| William Campbell Monroe III | D.H. Hill Advisors, Inc. independent RIA | Global Financial Private Capital, Inc. other | Other | Mar 17, 2010 | Mar 30, 2010 |
| David A Solomon | Solomon Financial Group, Inc. unclassified | Global Financial Private Capital, Inc. other | Other | Mar 17, 2010 | Mar 17, 2010 |
| Eric Jason Judy | Equitable Advisors, LLC national BD | Global Financial Private Capital, Inc. other | Other | Mar 3, 2010 | Jun 8, 2010 (97 d) |
| Martin Scott Rasmussen | Osaic Fa, Inc. other | Global Financial Private Capital, Inc. other | Other | Mar 3, 2010 | Mar 15, 2010 |
| Kenneth Joseph Mcguire | Redhawk Wealth Advisors, Inc. other | Global Financial Private Capital, Inc. other | Other | Feb 26, 2010 | Feb 4, 2010 |
| Steven Joseph Zanolli | American Investment Services other | Global Financial Private Capital, Inc. other | Other | Feb 23, 2010 | Oct 20, 2010 (239 d) |
| John Robert Deitrick | Horter Investment Management, LLC other | Global Financial Private Capital, Inc. other | Other | Feb 16, 2010 | Feb 18, 2010 |
| Joshua Daniel Stivers | USA Wealth Management LLC other | Global Financial Private Capital, Inc. other | Other | Jan 4, 2010 | Mar 10, 2010 (65 d) |
| Steven Jurich | American Investment Services other | Global Financial Private Capital, Inc. other | Other | Dec 22, 2009 | Jun 11, 2010 (171 d) |
| Nickie Todd Dally | Envision Investment Advisors, LLC unclassified | Global Financial Private Capital, Inc. other | Other | Jul 22, 2009 | Apr 19, 2010 (271 d) |
| Jimmy Sherrod Holland | Equitable Advisors, LLC national BD | Global Financial Private Capital, Inc. other | Other | May 26, 2009 | Oct 12, 2011 (869 d) |
| Roger Allen Rekate | Calton & Associates, Inc. other | Global Financial Private Capital, Inc. other | Other | May 7, 2009 | Mar 31, 2010 (328 d) |
| Peter James Conway | Synergy Investment Group, LLC other | Global Financial Private Capital, Inc. other | Other | Feb 9, 2009 | Apr 27, 2011 (807 d) |
| Peter Jose' D'Arruda | Capital Financial Advisory Group, LLC state registered | Global Financial Private Capital, Inc. other | Other | Dec 31, 2008 | Mar 17, 2010 (441 d) |
| Michael Stephen Costantini | Summit Financial Group Inc other | Global Financial Private Capital, Inc. other | Other | Oct 28, 2008 | Apr 4, 2017 (3080 d) |
| Jason Scott Nichols | LPL Financial LLC other | Global Financial Private Capital, Inc. other | Other | Sep 29, 2008 | Mar 26, 2010 (543 d) |
| Donald Leonard Ross | Park Avenue Securities LLC other | Global Financial Private Capital, Inc. other | Other | Jul 21, 2008 | Feb 18, 2010 (577 d) |
| Scott Edward Bretl | Gwn Securities Inc. other | Global Financial Private Capital, Inc. other | Other | Feb 27, 2008 | Oct 25, 2012 (1702 d) |
| Robert B Scott | Kalos Management other | Global Financial Private Capital, Inc. other | Other | Apr 25, 2006 | Jan 19, 2011 (1730 d) |
| Michael Ernest Demassa | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Global Financial Private Capital, Inc. other | Other | Aug 2, 2005 | Feb 10, 2006 (192 d) |
| Geoffrey Allen Frazier | Global Financial Asset Management, LLC unclassified | Global Financial Private Capital, Inc. other | Other | Sep 22, 2004 | Jun 10, 2005 (261 d) |
| Stephen Michael Fedak | T. Rowe Price Advisory Services, Inc. no RAUM | Global Financial Private Capital, Inc. other | Other | Jul 22, 2004 | Dec 6, 2007 (1232 d) |
| Michael Todd Reep | Uvest Financial Services Group, Inc. unclassified | Global Financial Private Capital, Inc. other | Other | May 18, 2004 | Jun 7, 2016 (4403 d) |
| Pelayo Nicholas Garcia | New England Securities Corporation other | Global Financial Private Capital, Inc. other | Other | May 1, 2003 | Feb 4, 2013 (3567 d) |
| Tyler Joseph Nagel | Pacific West Financial Consultants Inc other | Global Financial Private Capital, Inc. other | Other | Aug 8, 2002 | Sep 19, 2011 (3329 d) |