| Craig Ryan Seligman | 1717 Capital Management Company unclassified | Triad Advisors, LLC other | Other | Apr 16, 2007 | Apr 18, 2007 |
| Cynthia Marshall Derso | 1717 Capital Management Company unclassified | Triad Advisors, LLC other | Other | Mar 9, 2007 | Mar 13, 2007 |
| Vance Blair Gray | Ameriprise Financial Services, LLC national BD | Triad Advisors, LLC other | Other | Jan 4, 2007 | Jan 3, 2007 |
| Richard Timothy Estes | Signal Securities, Inc. other | Triad Advisors, LLC other | Other | Dec 31, 2006 | Jan 3, 2007 |
| Earl Leigh Brooks | Venn Wealth & Benefit Services, LLC state registered | Triad Advisors, LLC other | Other | Dec 31, 2006 | Jan 7, 2008 (372 d) |
| Becky Lynn Walker | Independent Advisers Group Corp other | Triad Advisors, LLC other | Other | Nov 30, 2006 | Jan 22, 2013 (2245 d) |
| Scott Charles Sullivan | Independent Advisers Group Corp other | Triad Advisors, LLC other | Other | Nov 3, 2006 | Jan 28, 2010 (1182 d) |
| Richard Wayne Balhoff | Cetera Advisors LLC other | Triad Advisors, LLC other | Other | Nov 1, 2006 | Nov 1, 2006 |
| James William Frye | Qa3 Financial LLC unclassified | Triad Advisors, LLC other | Other | Oct 24, 2006 | Oct 25, 2006 |
| Edward Ashod Tiryakian | Anderson & Strudwick, Incorporated other | Triad Advisors, LLC other | Other | Oct 9, 2006 | Oct 6, 2006 |
| Jack Steven Richardson | Robert W. Baird & Co. Incorporated other | Triad Advisors, LLC other | Other | Sep 27, 2006 | Oct 3, 2006 |
| Karl Il Bong Kim | American General Securities Incorporated unclassified | Triad Advisors, LLC other | Other | Aug 16, 2006 | Aug 23, 2006 |
| James Clinton Nix | MML Investors Services, LLC other | Triad Advisors, LLC other | Other | Jun 3, 2006 | Jun 2, 2006 |
| Michael Clay Mashburn | MML Investors Services, LLC other | Triad Advisors, LLC other | Other | Jun 3, 2006 | Jun 2, 2006 |
| James Bryan Keith Ballentine | Wells Fargo Advisors wirehouse | Triad Advisors, LLC other | Other | May 19, 2006 | May 12, 2006 |
| Kevin Nobuo Terao | Sii Investments, Inc. other | Triad Advisors, LLC other | Other | May 15, 2006 | May 4, 2006 |
| Thomas Alan Gray | Sii Investments, Inc. other | Triad Advisors, LLC other | Other | May 8, 2006 | May 4, 2006 |
| Frank Larry Nudo | A. G. Edwards & Sons, Inc. unclassified | Triad Advisors, LLC other | Other | May 4, 2006 | Apr 28, 2006 |
| Andrea Mary Ritch | Tower Square Securities, Inc. other | Triad Advisors, LLC other | Other | Apr 26, 2006 | May 5, 2006 |
| Scott Anthony Marmo | Pruco Securities, LLC other | Triad Advisors, LLC other | Other | Apr 21, 2006 | Apr 17, 2006 |
| Marc Stephen Becker | Osaic Fs, Inc. other | Triad Advisors, LLC other | Other | Apr 12, 2006 | Mar 15, 2006 |
| Michael David Bean | 1717 Capital Management Company unclassified | Triad Advisors, LLC other | Other | Mar 30, 2006 | Mar 29, 2006 |
| Richard Todd Davis | Osaic Fs, Inc. other | Triad Advisors, LLC other | Other | Mar 15, 2006 | Mar 14, 2006 |
| Rebecca Higgins True | Advest, Inc. unclassified | Triad Advisors, LLC other | Other | Mar 8, 2006 | May 22, 2009 (1171 d) |
| David Neil Smith | Valmark Advisers, Inc. other | Triad Advisors, LLC other | Other | Feb 24, 2006 | Feb 22, 2006 |
| William Timothy Bourne | Wells Fargo Advisors wirehouse | Triad Advisors, LLC other | Other | Feb 3, 2006 | Dec 10, 2012 (2502 d) |
| Richard David Schechter | A. G. Edwards & Sons, Inc. unclassified | Triad Advisors, LLC other | Other | Jan 6, 2006 | Mar 19, 2007 (437 d) |
| Gregory Counts Wilson | American General Securities Incorporated unclassified | Triad Advisors, LLC other | Other | Feb 23, 2005 | Feb 17, 2005 |
| Dwayne Todd Ferguson | American General Securities Incorporated unclassified | Triad Advisors, LLC other | Other | Feb 23, 2005 | Feb 17, 2005 |
| Edward Reese Brooks | American General Securities Incorporated unclassified | Triad Advisors, LLC other | Other | Feb 23, 2005 | Feb 17, 2005 |
| Bryan Mark Hogan | American General Securities Incorporated unclassified | Triad Advisors, LLC other | Other | Feb 23, 2005 | Feb 17, 2005 |
| Richard Harvey Muncaster | Park Avenue Securities LLC other | Triad Advisors, LLC other | Other | Feb 10, 2005 | Feb 1, 2005 |
| Matthew Phillip Lankford | Osaic Fa, Inc. other | Triad Advisors, LLC other | Other | Dec 15, 2004 | Dec 15, 2004 |
| Jonathan Samuel Lindvig | Morgan Stanley Dw Inc. unclassified | Triad Advisors, LLC other | Other | Oct 26, 2004 | Oct 25, 2004 |
| Richard Joseph Osikowicz | T. Rowe Price Advisory Services, Inc. no RAUM | Triad Advisors, LLC other | Other | Aug 7, 2004 | Oct 11, 2011 (2621 d) |
| Stephen Winston Noffsinger | Securities America Advisors, Inc. other | Triad Advisors, LLC other | Other | Jun 16, 2004 | Jun 11, 2004 |
| Kevin Richard Rose | Tower Square Securities, Inc. other | Triad Advisors, LLC other | Other | Mar 23, 2004 | Aug 30, 2006 (890 d) |
| Richard Robert Rose | Tower Square Securities, Inc. other | Triad Advisors, LLC other | Other | Mar 23, 2004 | Aug 30, 2006 (890 d) |
| Timothy James Harrington | 1st Global Advisors Inc other | Triad Advisors, LLC other | Other | Feb 5, 2004 | Feb 13, 2004 |
| Richard John Brock | Cherry Bekaert Wealth Management LLC other | Triad Advisors, LLC other | Other | Oct 30, 2003 | Nov 4, 2003 |
| Sean Louis Defrehn | Morgan Stanley Dw Inc. unclassified | Triad Advisors, LLC other | Other | Sep 18, 2002 | Oct 2, 2002 |
| David Allen Dedman | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Triad Advisors, LLC other | Other | Jun 18, 2002 | Jun 14, 2002 |