| James Francis Lohnes | Voya Financial Advisors, Inc. other | Planmember Securities Corporation other | Other | Jan 12, 2012 | Jun 7, 2012 (147 d) |
| James Ellis Kirk | Sagepoint Financial, Inc. other | Planmember Securities Corporation other | Other | Nov 1, 2011 | Oct 31, 2011 |
| Matthew Harold Hill | Voya Financial Advisors, Inc. other | Planmember Securities Corporation other | Other | Sep 8, 2011 | Dec 7, 2011 (90 d) |
| Stacie Anne Bowman | Cetera Advisor Networks LLC other | Planmember Securities Corporation other | Other | Aug 23, 2011 | Aug 19, 2011 |
| David T Kuga | Cetera Advisor Networks LLC other | Planmember Securities Corporation other | Other | Aug 23, 2011 | Aug 19, 2011 |
| Timothy Stephen Winterbottom | LPL Financial LLC other | Planmember Securities Corporation other | Other | Jul 1, 2011 | Apr 12, 2012 (286 d) |
| Martin Mitsuo Arinaga | Signator Financial Services, Inc. other | Planmember Securities Corporation other | Other | Jun 30, 2011 | Jul 1, 2011 |
| Alan Masanobu Chinen | Signator Financial Services, Inc. other | Planmember Securities Corporation other | Other | Jun 30, 2011 | Jul 1, 2011 |
| Layne Hiromi Takayama | Signator Financial Services, Inc. other | Planmember Securities Corporation other | Other | Jun 30, 2011 | Jul 1, 2011 |
| David Yoshikazu Arakaki | Signator Financial Services, Inc. other | Planmember Securities Corporation other | Other | Jun 30, 2011 | Jul 1, 2011 |
| Aran Keichi Hiromoto | Signator Financial Services, Inc. other | Planmember Securities Corporation other | Other | Jun 30, 2011 | Jul 1, 2011 |
| James Kenji Michishima | Signator Financial Services, Inc. other | Planmember Securities Corporation other | Other | Jun 30, 2011 | Jul 1, 2011 |
| John Wah Hin Au | Signator Financial Services, Inc. other | Planmember Securities Corporation other | Other | Jun 30, 2011 | Jul 1, 2011 |
| Cindy S. Asuncion | Signator Financial Services, Inc. other | Planmember Securities Corporation other | Other | Jun 30, 2011 | Jul 1, 2011 |
| Thomas John Cama | Investment Advisors Corp other | Planmember Securities Corporation other | Other | Jun 2, 2011 | Jun 10, 2011 |
| Paul Andrew Hynes | Sii Investments, Inc. other | Planmember Securities Corporation other | Other | Mar 29, 2011 | Mar 25, 2011 |
| Lynn Howard Morris | Signator Financial Services, Inc. other | Planmember Securities Corporation other | Other | Mar 2, 2011 | Mar 7, 2011 |
| Widmark De Jesus Cano | Signator Financial Services, Inc. other | Planmember Securities Corporation other | Other | Feb 25, 2011 | Mar 1, 2011 |
| Ernest Lino Jordan | Signator Financial Services, Inc. other | Planmember Securities Corporation other | Other | Feb 1, 2011 | Feb 2, 2011 |
| Geoff Colby Reed | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Planmember Securities Corporation other | Other | Jan 11, 2011 | Jan 5, 2012 (359 d) |
| William Earl Smith | Valic Financial Advisors, Inc. other | Planmember Securities Corporation other | Other | Jan 6, 2011 | Feb 17, 2011 (42 d) |
| Jasper Elwood Mallard | Cambridge Investment Research Advisors, Inc. other | Planmember Securities Corporation other | Other | Dec 31, 2010 | Jan 3, 2012 (368 d) |
| Allyn David Close | Signator Financial Services, Inc. other | Planmember Securities Corporation other | Other | Nov 3, 2010 | Nov 19, 2010 |
| Nicholas Cava | Asset & Financial Planning, Ltd other | Planmember Securities Corporation independent RIA | Other | Aug 19, 2010 | Jul 7, 2021 (3975 d) |
| Raymond Adam Menna | Asset & Financial Planning, Ltd other | Planmember Securities Corporation other | Other | Aug 19, 2010 | Aug 13, 2010 |
| Richard C Justino | Asset & Financial Planning, Ltd other | Planmember Securities Corporation independent RIA | Other | Aug 19, 2010 | Jun 30, 2021 (3968 d) |
| Sean Philip Bostwick | Asset & Financial Planning, Ltd other | Planmember Securities Corporation other | Other | Aug 19, 2010 | Aug 20, 2010 |
| Ross Lopez | Securities America Advisors, Inc. other | Planmember Securities Corporation other | Other | Apr 30, 2010 | May 17, 2010 |
| Randy Leon Floyd | American Investment Services other | Planmember Securities Corporation other | Other | Dec 22, 2009 | Jan 6, 2010 |
| Gregory Girard Mayernik | H.C.Meyer, Inc. unclassified | Planmember Securities Corporation other | Other | Nov 17, 2009 | Jan 25, 2007 |
| Edward Nelson Portelles | Source Capital Group, Inc. other | Planmember Securities Corporation other | Other | Oct 14, 2009 | Jun 27, 2012 (987 d) |
| Harvey Clark Atterbury | LPL Financial LLC other | Planmember Securities Corporation other | Other | Oct 7, 2009 | Sep 1, 2009 |
| Mark D Wendell | Wescom Financial Services, LLC independent RIA | Planmember Securities Corporation other | Other | Aug 17, 2009 | Aug 17, 2009 |
| Jennifer Lightcap Johnson | Lighthouse Wealth Management other | Planmember Securities Corporation other | Other | Jul 14, 2009 | Mar 25, 2011 (619 d) |
| James Nicholas Volpe | Securities America Advisors, Inc. other | Planmember Securities Corporation other | Other | Jul 9, 2009 | Aug 26, 2009 (48 d) |
| Roy Joseph Innella | The Wealth Advocate Investment Group, LLC unclassified | Planmember Securities Corporation other | Other | Apr 13, 2009 | Apr 8, 2009 |
| Debby J Minot | Voya Financial Partners, LLC other | Planmember Securities Corporation other | Other | Mar 3, 2009 | Jun 2, 2009 (91 d) |
| Hobert Marcus Witt | Capital Financial Services, Inc. other | Planmember Securities Corporation other | Other | Dec 12, 2008 | Dec 12, 2008 |
| Jared Severin Johnson | Banc Of America Investment Services, Inc. unclassified | Planmember Securities Corporation other | Other | Nov 18, 2008 | Jan 16, 2009 (59 d) |
| Steven Lewis Stillman | Retirement Income Advisors, LLC unclassified | Planmember Securities Corporation other | Other | Oct 28, 2008 | Aug 27, 2008 |
| Edith E Kase | Wells Fargo Advisors wirehouse | Planmember Securities Corporation other | Other | Sep 30, 2008 | Jan 12, 2009 (104 d) |
| Joseph Alexander Craw | Securities America Advisors, Inc. other | Planmember Securities Corporation other | Other | Sep 8, 2008 | Sep 12, 2008 |
| Benjamin Aaron Tyson | Next Financial Group, Inc. other | Planmember Securities Corporation other | Other | Aug 19, 2008 | Aug 11, 2008 |
| Phillip Arnold Calandra | Calandra Wealth Management, LLC unclassified | Planmember Securities Corporation other | Other | Aug 18, 2008 | Sep 4, 2008 |
| Glenn Ray Price | Investment Advisors Corp other | Planmember Securities Corporation other | Other | Aug 11, 2008 | Aug 19, 2008 |
| Filip Earl Wieland | Voya Financial Partners, LLC other | Planmember Securities Corporation other | Other | Aug 7, 2008 | Aug 5, 2008 |
| Bobby Earl Watson | Lincoln Investment other | Planmember Securities Corporation independent RIA | Other | Aug 4, 2008 | Jun 15, 2023 (5428 d) |
| David E Goodman | Park Avenue Securities LLC other | Planmember Securities Corporation independent RIA | Other | Jul 21, 2008 | Oct 28, 2024 (5943 d) |
| Julie A Prinkey | Argent Capital Management LLC other | Planmember Securities Corporation other | Other | Jun 13, 2008 | Jan 9, 2009 (210 d) |
| Bruce Romagnoli | Voya Financial Advisors, Inc. other | Planmember Securities Corporation other | Other | Jun 5, 2008 | Jun 5, 2008 |
| Larry Michael Whaley | Lincoln Investment other | Planmember Securities Corporation other | Other | May 15, 2008 | May 16, 2008 |
| Toni Eileen Whaley | Lincoln Investment other | Planmember Securities Corporation other | Other | May 15, 2008 | May 16, 2008 |
| Edward Dennis Griffin | LPL Financial LLC other | Planmember Securities Corporation other | Other | Apr 21, 2008 | Apr 22, 2008 |
| Richard Bernard Rush | Lincoln Investment other | Planmember Securities Corporation other | Other | Mar 25, 2008 | May 21, 2009 (422 d) |
| Virginia Audrey Cooke Lind | Spc other | Planmember Securities Corporation other | Other | Mar 19, 2008 | Apr 8, 2008 |
| William Gregory Young | Freedom Wealth Management, Inc. unclassified | Planmember Securities Corporation other | Other | Dec 31, 2007 | Dec 17, 2007 |
| Russell Lee Game | Kalos Management other | Planmember Securities Corporation other | Other | Dec 19, 2007 | Sep 22, 2008 (278 d) |
| Marc Alan Lippincott | 1717 Capital Management Company unclassified | Planmember Securities Corporation other | Other | Dec 12, 2007 | Dec 4, 2007 |
| Joseph Thompson | Equitable Advisors, LLC national BD | Planmember Securities Corporation other | Other | Dec 12, 2007 | Apr 8, 2008 (118 d) |
| Leslie Howard Kern | Next Financial Group, Inc. other | Planmember Securities Corporation other | Other | Nov 8, 2007 | Nov 29, 2007 |