| Jeffrey Giantonio | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Nfp Advisor Services, LLC other | Other | Jun 7, 2013 | Jun 13, 2013 |
| Mark Alan Melnychuk | Wells Fargo Advisors wirehouse | Nfp Advisor Services, LLC other | Other | May 24, 2013 | Nov 4, 2013 (164 d) |
| Julianne Marie Wenzlick | Wells Fargo Advisors wirehouse | Nfp Advisor Services, LLC other | Other | May 24, 2013 | Nov 4, 2013 (164 d) |
| Ryan Christopher Timmins | Wells Fargo Advisors wirehouse | Nfp Advisor Services, LLC other | Other | May 14, 2013 | Aug 22, 2013 (100 d) |
| William Clayton Smith | Centerpoint Advantage, LLC unclassified | Nfp Advisor Services, LLC other | Other | May 13, 2013 | May 13, 2013 |
| Keith Bartley Allen | Transamerica Financial Advisors, LLC other | Nfp Advisor Services, LLC other | Other | May 6, 2013 | Apr 29, 2013 |
| Christian Haas Corts | Concourse Financial Group Advisors other | Nfp Advisor Services, LLC other | Other | Apr 15, 2013 | Jun 18, 2013 (64 d) |
| Jason Matthew Zangmeister | Raymond James Financial Services Advisors, Inc other | Nfp Advisor Services, LLC other | Other | Apr 9, 2013 | Jun 3, 2014 (420 d) |
| Paul Helmut Auslander | Foothill Securities, Inc. other | Nfp Advisor Services, LLC other | Other | Mar 5, 2013 | Feb 25, 2014 (357 d) |
| Kurtis Andrew Polacek | Waddell & Reed other | Nfp Advisor Services, LLC other | Other | Feb 8, 2013 | Jun 23, 2014 (500 d) |
| Daniel Mark Schwamb | LPL Financial LLC other | Nfp Advisor Services, LLC other | Other | Jan 28, 2013 | May 15, 2013 (107 d) |
| Shannon Taylor | J.P. Morgan Securities LLC wirehouse | Nfp Advisor Services, LLC other | Other | Jan 25, 2013 | Dec 17, 2013 (326 d) |
| Michael Allen Iley | Wells Fargo Advisors wirehouse | Nfp Advisor Services, LLC other | Other | Jan 24, 2013 | Feb 7, 2013 |
| Amber Jean Bell | Couch Hallum Financial Group other | Nfp Advisor Services, LLC other | Other | Dec 31, 2012 | Feb 7, 2013 (38 d) |
| Bruce Stephen Udell | Asset Management Partners unclassified | Nfp Advisor Services, LLC other | Other | Dec 13, 2012 | Feb 27, 2004 |
| Patrick Lennon | Equitable Advisors, LLC national BD | Nfp Advisor Services, LLC other | Other | Dec 7, 2012 | Dec 9, 2013 (367 d) |
| Theodore Edward Boyes | Waddell & Reed other | Nfp Advisor Services, LLC other | Other | Nov 1, 2012 | Mar 10, 2014 (494 d) |
| Janice Marie Cackowski | Hudson Financial Advisors Inc state registered | Nfp Advisor Services, LLC other | Other | Oct 2, 2012 | Oct 18, 2012 |
| Amanda Lea Arthur | Investment Management Consultants, Ltd. other | Nfp Advisor Services, LLC other | Other | Sep 25, 2012 | Sep 11, 2014 (716 d) |
| Catherine Elizabeth Stieber | Waddell & Reed other | Nfp Advisor Services, LLC other | Other | Sep 19, 2012 | Sep 17, 2012 |
| James Ryan Reynolds | Ameriprise Financial Services, LLC national BD | Nfp Advisor Services, LLC other | Other | Sep 18, 2012 | Sep 27, 2012 |
| Devery Rustin Cagle | Securities America Advisors, Inc. other | Nfp Advisor Services, LLC other | Other | Aug 17, 2012 | Aug 21, 2012 |
| Matthew Jordan Van Name | Securities America Advisors, Inc. other | Nfp Advisor Services, LLC other | Other | Aug 17, 2012 | Jun 21, 2013 (308 d) |
| Graeme Lee | LPL Financial LLC other | Nfp Advisor Services, LLC other | Other | Aug 14, 2012 | Nov 30, 2012 (108 d) |
| Jessie Timmins | LPL Financial LLC other | Nfp Advisor Services, LLC other | Other | Jul 26, 2012 | Oct 17, 2012 (83 d) |
| Stephanie Devan Abee | Transamerica Financial Advisors, LLC other | Nfp Advisor Services, LLC other | Other | Jul 26, 2012 | Jul 24, 2012 |
| Patricia L Smith | Fintrust Investment Advisory Services, LLC other | Nfp Advisor Services, LLC other | Other | May 31, 2012 | May 3, 2012 |
| Amy Collier Garrison | Fintrust Investment Advisory Services, LLC other | Nfp Advisor Services, LLC other | Other | May 31, 2012 | May 2, 2012 |
| Robert Franklin | Sanders Morris LLC other | Nfp Advisor Services, LLC other | Other | May 31, 2012 | Jun 5, 2012 |
| Christian M Oconnor | Osaic Wealth, Inc. other | Nfp Advisor Services, LLC other | Other | May 25, 2012 | Jun 27, 2012 (33 d) |
| Corrine Nicole Fields | Ameriprise Financial Services, LLC national BD | Nfp Advisor Services, LLC other | Other | May 18, 2012 | May 31, 2012 |
| Anton Tkachenko | LPL Financial LLC other | Nfp Advisor Services, LLC other | Other | Apr 20, 2012 | Jun 20, 2012 (61 d) |
| Bradford Eugene Best | LPL Financial LLC other | Nfp Advisor Services, LLC other | Other | Mar 12, 2012 | May 7, 2012 (56 d) |
| James Nathaniel Meehan | Morgan Stanley wirehouse | Nfp Advisor Services, LLC other | Other | Feb 8, 2012 | May 1, 2012 (83 d) |
| Michael Ryan Duckett | Principal Securities, Inc. other | Nfp Advisor Services, LLC other | Other | Jan 23, 2012 | Aug 16, 2012 (206 d) |
| Corey Richard Walter | Ameriprise Financial Services, LLC national BD | Nfp Advisor Services, LLC other | Other | Jan 18, 2012 | Jan 6, 2012 |
| Jeremy Alan Schinder | Gsk Wealth Advisors, Inc. other | Nfp Advisor Services, LLC other | Other | Jan 18, 2012 | Sep 26, 2014 (982 d) |
| Jessica Marie Hejna | Edward Jones national BD | Nfp Advisor Services, LLC other | Other | Jan 18, 2012 | Jan 25, 2012 |
| Carlos Herman Lowenberg | Lowenberg Wealth Management Group, LLC unclassified | Nfp Advisor Services, LLC other | Other | Jan 17, 2012 | Oct 13, 2010 |
| Meredith Ruth Moore | Voya Financial Advisors, Inc. other | Nfp Advisor Services, LLC other | Other | Dec 31, 2011 | Mar 1, 2012 (61 d) |
| Alan Norman Beaulieu | Itr Capital Management, LLC unclassified | Nfp Advisor Services, LLC other | Other | Dec 31, 2011 | Jul 1, 2014 (913 d) |
| Brian Lucien Beaulieu | Itr Capital Management, LLC unclassified | Nfp Advisor Services, LLC other | Other | Dec 31, 2011 | Feb 7, 2014 (769 d) |
| William John Kosic | Suntrust Investment Services, Inc. other | Nfp Advisor Services, LLC other | Other | Dec 31, 2011 | Jan 13, 2012 |
| Stephen Lee Enoch | Suntrust Investment Services, Inc. other | Nfp Advisor Services, LLC other | Other | Dec 31, 2011 | Jan 24, 2012 |
| Scott Andrew Mccaskill | Independent Financial Partners other | Nfp Advisor Services, LLC other | Other | Dec 7, 2011 | May 22, 2012 (167 d) |
| Chris Chris Toomey | Weaver Wealth Management other | Nfp Advisor Services, LLC other | Other | Dec 6, 2011 | Dec 6, 2011 |
| Amy Renee Stone | Morgan Keegan & Company, LLC other | Nfp Advisor Services, LLC other | Other | Dec 1, 2011 | Jan 6, 2012 (36 d) |
| Helen Sarah Seestadt | Western Growers Financial Services state registered | Nfp Advisor Services, LLC other | Other | Nov 22, 2011 | Jun 23, 2015 (1309 d) |
| Morgan Lee Desalvo | Strategic Advisers LLC national BD | Nfp Advisor Services, LLC other | Other | Sep 20, 2011 | Oct 5, 2011 |
| Gregory Matthew Smithson | Investment Centers Of America, Inc. other | Nfp Advisor Services, LLC other | Other | Sep 14, 2011 | Sep 14, 2011 |
| Marc Roger Beausoleil | Principal Securities, Inc. other | Nfp Advisor Services, LLC other | Other | Sep 8, 2011 | Oct 26, 2011 (48 d) |
| Edward George Kollada | Ausdal Financial Partners, Inc. other | Nfp Advisor Services, LLC other | Other | Sep 6, 2011 | Sep 2, 2011 |
| Krista Allison Cavalieri | Morgan Stanley wirehouse | Nfp Advisor Services, LLC other | Other | Sep 6, 2011 | Oct 14, 2011 (38 d) |
| Julie Susannah Leggett | Charles Schwab & Co., Inc. national BD | Nfp Advisor Services, LLC other | Other | Aug 25, 2011 | May 9, 2012 (258 d) |
| Carole Ann Sarson | Cetera Advisor Networks LLC other | Nfp Advisor Services, LLC other | Other | Aug 10, 2011 | Aug 8, 2011 |
| Nita Chittchang | LPL Financial LLC other | Nfp Advisor Services, LLC other | Other | Aug 9, 2011 | Aug 12, 2011 |
| Shad Matthew Evans | MML Investors Services, LLC other | Nfp Advisor Services, LLC other | Other | Jul 21, 2011 | Jul 18, 2011 |
| Michael Joseph Murdock | Valic Financial Advisors, Inc. other | Nfp Advisor Services, LLC other | Other | Jun 28, 2011 | Jan 20, 2012 (206 d) |
| Shelly Ann Horwitz | Lockton Investment Advisors, LLC no RAUM | Nfp Advisor Services, LLC other | Other | Jun 10, 2011 | Jun 21, 2011 |
| Susan K Roth | Westport Resources Management Inc other | Nfp Advisor Services, LLC other | Other | May 13, 2011 | May 12, 2011 |