| Jeffrey Allen Barnard | Brookstone Capital Management LLC other | Alphastar Capital Management other | Other | Jan 5, 2012 | Jan 23, 2012 |
| Timothy Jon Sparks | Global Financial Private Capital, Inc. other | Alphastar Capital Management other | Other | Nov 30, 2011 | Dec 5, 2011 |
| Larry Dale Roby | Regal Investment Advisors LLC other | Alphastar Capital Management other | Other | Nov 28, 2011 | Dec 5, 2011 |
| Christine Carlton | Pgr Solutions, LLC other | Alphastar Capital Management other | Other | Nov 9, 2011 | Feb 3, 2012 (86 d) |
| James Raymond Seaman | Cetera Advisors LLC other | Alphastar Capital Management other | Other | Nov 4, 2011 | Nov 7, 2011 |
| Elizabeth Kathleen Skoglund | Voya Financial Advisors, Inc. other | Alphastar Capital Management other | Other | Nov 1, 2011 | Aug 19, 2013 (657 d) |
| David Dee Fullmer | Voya Financial Advisors, Inc. other | Alphastar Capital Management other | Other | Sep 23, 2011 | Oct 19, 2011 |
| Carol Lynn Ochoa | Brookstone Capital Management LLC other | Alphastar Capital Management other | Other | Aug 29, 2011 | Sep 1, 2011 |
| James Stephen Harper | Global Financial Private Capital, Inc. other | Alphastar Capital Management other | Other | Aug 26, 2011 | Aug 28, 2012 (368 d) |
| Patrick Jude Seaman | Cetera Advisors LLC other | Alphastar Capital Management other | Other | Aug 19, 2011 | Aug 25, 2011 |
| Troy Seiler | UBS Financial Services Inc. wirehouse | Alphastar Capital Management other | Other | Aug 18, 2011 | Jan 15, 2013 (516 d) |
| David Alan Lopez | Regal Investment Advisors LLC other | Alphastar Capital Management other | Other | Aug 11, 2011 | Aug 31, 2011 |
| Douglas A Clancy | Regal Investment Advisors LLC other | Alphastar Capital Management other | Other | Aug 9, 2011 | Aug 25, 2011 |
| William David Hudson | Regal Investment Advisors LLC other | Alphastar Capital Management other | Other | Aug 3, 2011 | Aug 2, 2011 |
| Richard Anthony Berry | Regal Investment Advisors LLC other | Alphastar Capital Management other | Other | Aug 2, 2011 | Aug 4, 2011 |
| Daniel J Robertson | Edward Jones national BD | Alphastar Capital Management other | Other | Jul 25, 2011 | Jul 3, 2013 (709 d) |
| Marcia Annette Miller | Regal Investment Advisors LLC other | Alphastar Capital Management other | Other | Jun 30, 2011 | Jul 6, 2011 |
| Kevin Michael Bucher | Regal Investment Advisors LLC other | Alphastar Capital Management other | Other | Jun 28, 2011 | Jun 29, 2011 |
| Shawn Patrick Lee | Regal Investment Advisors LLC other | Alphastar Capital Management other | Other | Jun 22, 2011 | Jun 22, 2011 |
| Steve Mark Osterink | Regal Investment Advisors LLC other | Alphastar Capital Management other | Other | Jun 7, 2011 | Jun 10, 2011 |
| Kevin James Burton | Regal Investment Advisors LLC other | Alphastar Capital Management other | Other | May 31, 2011 | Jun 1, 2011 |
| Daniel Edward Flamma | Lincoln Financial Distributors, Inc. unclassified | Alphastar Capital Management other | Other | May 28, 2010 | Aug 22, 2011 (451 d) |
| James Ryan Boggus | Equitable Advisors, LLC national BD | Alphastar Capital Management independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 5, 2010 | Mar 26, 2024 (5135 d) |
| Stephen Joseph Locke | Tower Square Securities, Inc. other | Alphastar Capital Management other | Other | Dec 20, 2006 | Nov 30, 2012 (2172 d) |