| James Stuart Linderer | Cetera Advisors LLC other | Integrity Alliance, LLC other | Other | Mar 26, 2013 | Nov 12, 2013 (231 d) |
| Tancuong Trandai | LPL Financial LLC other | Integrity Alliance, LLC other | Other | Mar 21, 2013 | Mar 8, 2013 |
| Angie D Trandai | Charter Advisory Corporation independent RIA | Integrity Alliance, LLC other | Other | Mar 12, 2013 | Mar 8, 2013 |
| David Michael Warrick | Questar Asset Management, Inc. other | Integrity Alliance, LLC other | Other | Jan 23, 2013 | Feb 6, 2013 |
| Deric Dale Rees | Sicor Securities Inc unclassified | Integrity Alliance, LLC other | Other | Dec 31, 2012 | Feb 24, 2014 (420 d) |
| Charlie Leonard Gipple | Voya Financial Advisors, Inc. other | Integrity Alliance, LLC independent RIA | Other | Dec 3, 2012 | Apr 24, 2019 (2333 d) |
| Troy Wayne Bender | Valic Financial Advisors, Inc. other | Integrity Alliance, LLC other | Other | Oct 25, 2012 | Dec 19, 2012 (55 d) |
| John Charles Brickhouse | Robert Stephen Capital Management LLC other | Integrity Alliance, LLC other | Other | Oct 3, 2012 | Oct 30, 2012 |
| Tad Michael Sacheck | American Investment Services other | Integrity Alliance, LLC other | Other | Sep 13, 2012 | Aug 14, 2013 (335 d) |
| Matthew James Armstrong | Voya Financial Advisors, Inc. other | Integrity Alliance, LLC other | Other | Jun 13, 2012 | Jun 18, 2012 |
| Diane Brewer | Fa Advisor Network, LLC. other | Integrity Alliance, LLC other | Other | May 31, 2012 | Jun 22, 2012 |
| Carlton Scott Phillips | Brookstone Capital Management LLC other | Integrity Alliance, LLC other | Other | Apr 13, 2012 | Sep 3, 2012 (143 d) |
| Barbara Wilbur Sullins | LPL Financial LLC other | Integrity Alliance, LLC other | Other | Mar 15, 2012 | Mar 2, 2012 |
| Andre Julian | Opvest Wealth Management unclassified | Integrity Alliance, LLC other | Other | Mar 15, 2012 | Mar 13, 2012 |
| Gregory Avery Ramirez | Opvest Wealth Management unclassified | Integrity Alliance, LLC other | Other | Mar 15, 2012 | Jan 25, 2012 |
| Scott Wesley Mckay | LPL Financial LLC other | Integrity Alliance, LLC other | Other | Mar 15, 2012 | Mar 2, 2012 |
| Scott Stanford Harris | Money Advisors Group, Inc. unclassified | Integrity Alliance, LLC other | Other | Dec 31, 2011 | Jan 19, 2012 |
| James C Gebhardt | Gebhardt Group, Inc other | Integrity Alliance, LLC other | Other | Dec 31, 2011 | Feb 9, 2011 |
| Jeffrey Anderson Rogers | Osaic Fa, Inc. other | Integrity Alliance, LLC other | Other | Nov 4, 2011 | Nov 9, 2011 |
| Timoleon Lucas Nicholaou | Asset Advisors, LLC unclassified | Integrity Alliance, LLC other | Other | Nov 2, 2011 | Aug 16, 2012 (288 d) |
| Lawrence M Sasso | Voya Financial Advisors, Inc. other | Integrity Alliance, LLC other | Other | Nov 2, 2011 | Nov 14, 2011 |
| Mariafearlene Brown | Global Financial Private Capital, Inc. other | Integrity Alliance, LLC other | Other | Oct 31, 2011 | Sep 27, 2013 (697 d) |
| Ann Louise Hudson | Principal Securities, Inc. other | Integrity Alliance, LLC other | Other | Oct 28, 2011 | Nov 3, 2011 |
| Robert Martin Van Pelt | Van Consulting, Inc. unclassified | Integrity Alliance, LLC other | Other | Oct 24, 2011 | Apr 28, 2016 (1648 d) |
| Hugh Palmer Duke | LPL Financial LLC other | Integrity Alliance, LLC other | Other | Sep 21, 2011 | Sep 19, 2011 |
| Kathleen Anne Nolan | Reap Financial Group, LLC independent RIA | Integrity Alliance, LLC other | Other | Aug 26, 2011 | Jul 27, 2011 |
| Michael Alfred Morgan | H. Beck, Inc. other | Integrity Alliance, LLC other | Other | Jul 28, 2011 | Jul 7, 2011 |
| Kelly Lisa Monroe | H. Beck, Inc. other | Integrity Alliance, LLC other | Other | Jul 20, 2011 | Jul 7, 2011 |
| Carla Jean Merlak | Workman Securities Corporation unclassified | Integrity Alliance, LLC other | Other | Jun 20, 2011 | Mar 4, 2013 (623 d) |
| Calvin Kimio Taketa | Osaic Fa, Inc. other | Integrity Alliance, LLC other | Other | May 4, 2011 | Apr 26, 2011 |
| Vincent Delfranco | Investment Advisors International, Inc. unclassified | Integrity Alliance, LLC other | Other | Apr 29, 2011 | May 4, 2011 |
| Leong Ngu | Investment Advisors International, Inc. unclassified | Integrity Alliance, LLC other | Other | Apr 29, 2011 | May 4, 2011 |
| Scott Leslie Johnson | Invest Financial Corporation other | Integrity Alliance, LLC other | Other | Apr 25, 2011 | Mar 19, 2013 (694 d) |
| Denise Marie Daugherty | Voya Financial Advisors, Inc. other | Integrity Alliance, LLC other | Other | Apr 4, 2011 | Apr 5, 2011 |
| David Leo Duggan | Investment Advisors Corp other | Integrity Alliance, LLC other | Other | Jan 3, 2011 | Jan 3, 2011 |
| Gw King | Sunset Financial Services, Inc. other | Integrity Alliance, LLC other | Other | Dec 31, 2010 | Jan 3, 2017 (2195 d) |
| Linda Ruth Lovie | Waddell & Reed other | Integrity Alliance, LLC other | Other | Dec 31, 2010 | Jan 3, 2011 |
| Palmerino Pasquale Santaniello | USA Financial Securities LLC other | Integrity Alliance, LLC other | Other | Dec 21, 2010 | Nov 13, 2012 (693 d) |
| Patrick Tantoco | H. Beck, Inc. other | Integrity Alliance, LLC other | Other | Nov 11, 2010 | Apr 5, 2011 (145 d) |
| Erik Randolph Escobar | Equitable Advisors, LLC national BD | Integrity Alliance, LLC other | Other | Nov 10, 2010 | Dec 7, 2010 |
| Jahanguir Azodi | Berthel Fisher & Company Financial Services, Inc. other | Integrity Alliance, LLC other | Other | Sep 10, 2010 | Sep 9, 2010 |
| Michael G Nash | Transamerica Financial Advisors, LLC other | Integrity Alliance, LLC other | Other | Apr 7, 2010 | Oct 12, 2010 (188 d) |
| Kermit Dale Mcgregor | Edward Jones national BD | Integrity Alliance, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 10, 2010 | Apr 1, 2022 (4405 d) |
| Scott Alan Gorham | Redhawk Wealth Advisors, Inc. other | Integrity Alliance, LLC other | Other | Jan 11, 2010 | Jan 11, 2010 |
| Larry Dale Roby | Redhawk Wealth Advisors, Inc. other | Integrity Alliance, LLC other | Other | Jan 4, 2010 | Jan 4, 2010 |
| John Mark Sklenar | Avantax Planning Partners, Inc. other | Integrity Alliance, LLC other | Other | Dec 31, 2009 | Feb 22, 2008 |
| Brooks Eugene Stahlnecker | The Conte-Browne Group, LLC unclassified | Integrity Alliance, LLC other | Other | Dec 31, 2009 | Sep 1, 2009 |
| Peter Carlin Stockett | Woodbury Financial Services, Inc. other | Integrity Alliance, LLC other | Other | Nov 12, 2009 | Nov 10, 2009 |
| Paul Glynn Lindsay | Cambridge Investment Research Advisors, Inc. other | Integrity Alliance, LLC other | Other | Oct 27, 2009 | Oct 1, 2009 |
| Brett Scott Nicklaus | Sagepoint Financial, Inc. other | Integrity Alliance, LLC other | Other | Sep 30, 2009 | Dec 13, 2010 (439 d) |
| Steven Todd Irwin | Brookstone Capital Management LLC other | Integrity Alliance, LLC other | Other | Sep 23, 2009 | Sep 23, 2009 |
| Jason D Provost | Horter Investment Management, LLC other | Integrity Alliance, LLC other | Other | Aug 27, 2009 | Aug 28, 2009 |
| Michael John Falco | On Investment Management Co other | Integrity Alliance, LLC other | Other | Jul 27, 2009 | Jul 23, 2009 |
| Timothy Charles Mortellite | Commonwealth Financial Network national BD | Integrity Alliance, LLC other | Other | Jul 6, 2009 | Jul 13, 2009 |
| Mark Franklin Silverman | Redhawk Wealth Advisors, Inc. other | Integrity Alliance, LLC other | Other | Jun 24, 2009 | Jun 30, 2009 |
| Scott Dwane Walker | Transamerica Financial Advisors, LLC other | Integrity Alliance, LLC other | Other | Apr 24, 2009 | Apr 20, 2009 |
| Tracy Lynn Cooper | USA Financial Securities LLC other | Integrity Alliance, LLC other | Other | Mar 11, 2009 | Mar 18, 2009 |
| Ricardo Esteban Pertierra | H. Beck, Inc. other | Integrity Alliance, LLC independent RIA | Other | Feb 12, 2009 | Jul 14, 2020 (4170 d) |
| Sarah Dols | Principal Securities, Inc. other | Integrity Alliance, LLC other | Other | Dec 31, 2008 | Feb 4, 2009 (35 d) |
| Trevon Carson Kanavy | Mutual Of Omaha Investor Services, Inc. no RAUM | Integrity Alliance, LLC other | Other | Dec 31, 2008 | Mar 3, 2009 (62 d) |