| Jeffrey David Hettinger | Mutual Securities, Inc. other | Mutual Advisors, LLC other | Other | Jul 9, 2013 | Jul 1, 2013 |
| Zahid Sadiq | Mutual Securities, Inc. other | Mutual Advisors, LLC other | Other | Jul 9, 2013 | Jun 25, 2013 |
| Dylan Daniel Brooks | Mutual Securities, Inc. other | Mutual Advisors, LLC other | Other | Jul 9, 2013 | Jun 10, 2013 |
| Sammy Kuo Chiang Sung | Mutual Securities, Inc. other | Mutual Advisors, LLC other | Other | Jul 2, 2013 | Jul 1, 2013 |
| Richard Spencer Peterson | Mutual Securities, Inc. other | Mutual Advisors, LLC BD affiliated | Other | Jul 2, 2013 | Mar 16, 2023 (3544 d) |
| Mark Nanamura | MML Investors Services, LLC other | Mutual Advisors, LLC other | Other | May 1, 2013 | Jul 1, 2013 (61 d) |
| James Craig Coleman | Cornerstone Asset Management, Inc. other | Mutual Advisors, LLC other | Other | Sep 14, 2012 | Jul 1, 2013 (290 d) |
| Randal Roy Carson | Kipp Financial Group, Inc. other | Mutual Advisors, LLC other | Other | Nov 3, 2011 | Jul 1, 2013 (606 d) |
| Eric Martin Campbell | LPL Financial LLC other | Mutual Advisors, LLC other | Other | Jun 6, 2011 | Jul 1, 2013 (756 d) |
| Andrew Lawrence Zinn | Citigroup Global Markets Inc. other | Mutual Advisors, LLC other | Other | Dec 7, 2009 | Jul 2, 2013 (1303 d) |
| Christopher J Barber | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Mutual Advisors, LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | May 14, 2009 | Jun 29, 2020 (4064 d) |
| Stephen Joseph Schwanke | Morgan Stanley & Co. LLC unclassified | Mutual Advisors, LLC BD affiliated | Other | Mar 2, 2009 | Sep 3, 2020 (4203 d) |
| Jay Allen Richardson | Wilmington Trust Investment Management other | Mutual Advisors, LLC BD affiliated | Other | Jan 14, 2008 | Mar 19, 2018 (3717 d) |