| Victoria Marie Fisher | Morgan Stanley wirehouse | Usaa Financial Planning Services no RAUM | Wirehouse to a newly registered adviser (no RAUM reported yet) | Dec 21, 2011 | Apr 20, 2012 (121 d) |
| Howell Lewis Florence | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Usaa Financial Planning Services no RAUM | Wirehouse to a newly registered adviser (no RAUM reported yet) | Oct 18, 2011 | Nov 15, 2011 |
| Robert Merrill Seaman | Independent Financial Partners other | Usaa Financial Planning Services no RAUM | Other | Oct 3, 2011 | Oct 12, 2011 |
| Curtis Randall Brooks | Gerstein Fisher other | Usaa Financial Planning Services no RAUM | Other | Sep 20, 2011 | Sep 30, 2011 |
| Yolanda Tiffany Waters | Advice And Planning Services other | Usaa Financial Planning Services no RAUM | Other | Aug 24, 2011 | Aug 29, 2011 |
| Robert Glenn Mcgregor | Nfp Advisor Services, LLC other | Usaa Financial Planning Services no RAUM | Other | Aug 22, 2011 | Sep 6, 2011 |
| Raymond Albert Panquerne | Chase Investment Services Corp. other | Usaa Financial Planning Services no RAUM | Other | Aug 10, 2011 | Sep 1, 2011 |
| Robert Neal Davis | Wells Fargo Advisors wirehouse | Usaa Financial Planning Services no RAUM | Wirehouse to a newly registered adviser (no RAUM reported yet) | Aug 9, 2011 | Aug 24, 2011 |
| Bobby E Giles | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Usaa Financial Planning Services no RAUM | Wirehouse to a newly registered adviser (no RAUM reported yet) | Aug 8, 2011 | Aug 19, 2011 |
| Gregory James Pasler | Chase Investment Services Corp. other | Usaa Financial Planning Services no RAUM | Other | Aug 8, 2011 | Aug 18, 2011 |
| Andrew Chow Tang | Charles Schwab & Co., Inc. national BD | Usaa Financial Planning Services no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Aug 8, 2011 | Aug 18, 2011 |
| Janet Mccabe | Advice And Planning Services other | Usaa Financial Planning Services no RAUM | Other | Aug 5, 2011 | Aug 18, 2011 |
| Douglas Scott Mcduffie | Raymond James & Associates, Inc. national BD | Usaa Financial Planning Services no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Aug 4, 2011 | Aug 18, 2011 |
| Billy Worth Briggs | Chase Investment Services Corp. other | Usaa Financial Planning Services no RAUM | Other | Aug 2, 2011 | Sep 13, 2011 (42 d) |
| Joshua Adam Sanders | Edward Jones national BD | Usaa Financial Planning Services no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Aug 2, 2011 | Oct 11, 2011 (70 d) |
| Benjamin Robert Holguin | T. Rowe Price Advisory Services, Inc. no RAUM | Usaa Financial Planning Services no RAUM | Other | Jul 26, 2011 | Aug 25, 2011 |
| Matthew James Hollosy | Investors Capital Advisory other | Usaa Financial Planning Services no RAUM | Other | Jul 22, 2011 | Aug 19, 2011 |
| Kun Li | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Usaa Financial Planning Services no RAUM | Wirehouse to a newly registered adviser (no RAUM reported yet) | Jul 18, 2011 | Aug 18, 2011 (31 d) |
| Justin Hernandez | Ameriprise Financial Services, LLC national BD | Usaa Financial Planning Services no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Jul 15, 2011 | Jul 27, 2011 |
| Michael E Andrews | Advice And Planning Services other | Usaa Financial Planning Services no RAUM | Other | Jul 7, 2011 | Nov 3, 2011 (119 d) |
| Harold Emerson Scull | Td Ameritrade Investment Management, LLC other | Usaa Financial Planning Services no RAUM | Other | Jul 6, 2011 | Jul 29, 2011 |
| George Keener Gill | Wells Fargo Advisors wirehouse | Usaa Financial Planning Services no RAUM | Wirehouse to a newly registered adviser (no RAUM reported yet) | Jun 10, 2011 | Jul 18, 2011 (38 d) |
| Gameel Tannous | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Usaa Financial Planning Services no RAUM | Wirehouse to a newly registered adviser (no RAUM reported yet) | Jun 8, 2011 | Dec 23, 2011 (198 d) |
| Dominick Joseph Cristofaro | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Usaa Financial Planning Services no RAUM | Wirehouse to a newly registered adviser (no RAUM reported yet) | Jun 7, 2011 | Jul 7, 2011 |
| Travis Frederick Dauchy | Equitable Advisors, LLC national BD | Usaa Financial Planning Services no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | May 31, 2011 | Jun 8, 2011 |
| William Farup Hoffman | Ehlert Financial Group, Inc. unclassified | Usaa Financial Planning Services no RAUM | Other | May 25, 2011 | Jul 27, 2011 (63 d) |
| Nicholas James Barnwell | Mazars Wealth Advisors other | Usaa Financial Planning Services no RAUM | Other | May 23, 2011 | May 22, 2012 (365 d) |
| Phoebe Chao | Advice And Planning Services other | Usaa Financial Planning Services no RAUM | Other | May 23, 2011 | Jun 7, 2011 |
| Ryan Thomas Tomer | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Usaa Financial Planning Services no RAUM | Wirehouse to a newly registered adviser (no RAUM reported yet) | May 19, 2011 | Jun 6, 2011 |
| Annamarie Theresa Strickland | Td Ameritrade Investment Management, LLC other | Usaa Financial Planning Services no RAUM | Other | May 18, 2011 | Jun 24, 2011 (37 d) |
| Jonathan William Lennox | Riverstone Wealth Management other | Usaa Financial Planning Services no RAUM | Other | May 17, 2011 | May 25, 2011 |
| Judith Nobue Hirotaka | Destination Wealth Management other | Usaa Financial Planning Services no RAUM | Other | May 13, 2011 | Jun 7, 2011 |
| John Douglas Hill | Northwestern Mutual Investment Services,LLC other | Usaa Financial Planning Services no RAUM | Other | May 13, 2011 | Jun 2, 2011 |
| Paula Kay Heffron | LPL Financial LLC other | Usaa Financial Planning Services no RAUM | Other | May 12, 2011 | May 24, 2011 |
| Dineen Hughes | Chase Investment Services Corp. other | Usaa Financial Planning Services no RAUM | Other | May 11, 2011 | Jun 2, 2011 |
| Adam Perry Sanders | Advice And Planning Services other | Usaa Financial Planning Services no RAUM | Other | May 11, 2011 | Aug 25, 2011 (106 d) |
| Michele Suzette Arbogast | Citigroup Global Markets Inc. other | Usaa Financial Planning Services no RAUM | Other | May 10, 2011 | Jul 1, 2011 (52 d) |
| Margaret L Bilby | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Usaa Financial Planning Services no RAUM | Wirehouse to a newly registered adviser (no RAUM reported yet) | May 10, 2011 | Jun 21, 2011 (42 d) |
| Christy Meyer Martinich | Ameriprise Financial Services, LLC national BD | Usaa Financial Planning Services no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | May 10, 2011 | May 17, 2011 |
| Christopher R Johnson | Equitable Advisors, LLC national BD | Usaa Financial Planning Services no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | May 9, 2011 | May 24, 2011 |
| Nicholas Barnett | U.S. Bancorp Advisors, LLC other | Usaa Financial Planning Services no RAUM | Other | May 9, 2011 | Jun 7, 2011 |
| Jeffrey Richard Lockway | LPL Financial LLC other | Usaa Financial Planning Services no RAUM | Other | May 5, 2011 | May 23, 2011 |
| Johnathan Aaron Cherry | Fsc Securities Corporation other | Usaa Financial Planning Services no RAUM | Other | May 2, 2011 | May 20, 2011 |
| Carlos Jose Castro | Chase Investment Services Corp. other | Usaa Financial Planning Services no RAUM | Other | Apr 29, 2011 | Sep 12, 2011 (136 d) |
| Nicole S Neals | Edward Jones national BD | Usaa Financial Planning Services no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Apr 27, 2011 | Jul 7, 2011 (71 d) |
| Patrick Nugent | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Usaa Financial Planning Services no RAUM | Wirehouse to a newly registered adviser (no RAUM reported yet) | Apr 26, 2011 | Sep 27, 2012 (520 d) |
| Brian Matthew Pollard | Northwestern Mutual Investment Services,LLC other | Usaa Financial Planning Services no RAUM | Other | Apr 20, 2011 | May 3, 2011 |
| Jennifer Hollers | Wells Fargo Advisors wirehouse | Usaa Financial Planning Services no RAUM | Wirehouse to a newly registered adviser (no RAUM reported yet) | Apr 19, 2011 | May 12, 2011 |
| David Martinez | Strategic Advisers LLC national BD | Usaa Financial Planning Services no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Apr 19, 2011 | May 23, 2011 (34 d) |
| James Earl Staten | Edward Jones national BD | Usaa Financial Planning Services no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Apr 19, 2011 | May 11, 2011 |
| Youree Henry Mc Bride | Ameriprise Financial Services, LLC national BD | Usaa Financial Planning Services no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Apr 18, 2011 | May 17, 2011 |
| Robin Leighton Skillingberg | Commerce Wealth Advisers, LLC other | Usaa Financial Planning Services no RAUM | Other | Apr 15, 2011 | May 3, 2011 |
| Blake Courtney Glisson | Edward Jones national BD | Usaa Financial Planning Services no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Apr 14, 2011 | Jul 7, 2011 (84 d) |
| Andrew James Kelch | Wells Fargo Advisors wirehouse | Usaa Financial Planning Services no RAUM | Wirehouse to a newly registered adviser (no RAUM reported yet) | Apr 13, 2011 | Jun 13, 2011 (61 d) |
| Ardis Owens | Chase Investment Services Corp. other | Usaa Financial Planning Services no RAUM | Other | Apr 8, 2011 | May 4, 2011 |
| Brian Joseph Mcguire | Nfp Advisor Services, LLC other | Usaa Financial Planning Services no RAUM | Other | Apr 7, 2011 | May 23, 2011 (46 d) |
| David Belanger | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Usaa Financial Planning Services no RAUM | Wirehouse to a newly registered adviser (no RAUM reported yet) | Apr 6, 2011 | Apr 21, 2011 |
| Joseph A Cerreta | Wells Fargo Advisors wirehouse | Usaa Financial Planning Services no RAUM | Wirehouse to a newly registered adviser (no RAUM reported yet) | Apr 1, 2011 | May 6, 2011 (35 d) |
| Christopher Lee Giles Tave | 1st Global Advisors Inc other | Usaa Financial Planning Services no RAUM | Other | Mar 30, 2011 | Jun 1, 2011 (63 d) |
| Jessica Cafferata | Rosenthal Advisory Services, L.P. independent RIA | Usaa Financial Planning Services no RAUM | RIA to a newly registered adviser | Mar 30, 2011 | Apr 21, 2011 |