| Jeffrey Lee Foreman | Kovack Advisors, Inc. other | Advisory Services Network other | Other | Jan 2, 2015 | Jan 21, 2015 |
| Gary Lee Howard | Money Concepts Advisory Service other | Advisory Services Network other | Other | Dec 31, 2014 | Jan 2, 2015 |
| Laura Anne Tedball | Resource Horizons Investment Advisory, Inc. other | Advisory Services Network other | Other | Dec 31, 2014 | Feb 17, 2015 (48 d) |
| Craig Stuart Schinke | Thrivent Investment Management Inc. other | Advisory Services Network other | Other | Aug 11, 2014 | Aug 12, 2014 |
| Joshua Ayers Fleming | Wells Fargo Advisors wirehouse | Advisory Services Network independent RIA | Wirehouse to independent RIA | Jul 15, 2014 | Oct 13, 2020 (2282 d) |
| Dudley Carlisle Whitlock | Foothills Capital Management unclassified | Advisory Services Network other | Other | Apr 30, 2014 | May 1, 2014 |
| John Christopher Neyland | First Allied Advisory Services, Inc. other | Advisory Services Network other | Other | Mar 13, 2014 | Mar 11, 2014 |
| Alan K. Chuang | Pillar Pacific Capital Management LLC other | Advisory Services Network other | Other | Jan 23, 2014 | Feb 7, 2014 |
| Mark Herskovitz | Morgan Stanley wirehouse | Advisory Services Network independent RIA | Wirehouse to independent RIA | Jan 10, 2014 | Apr 18, 2019 (1924 d) |
| Edmund Carl Hilston | Money Concepts Advisory Service other | Advisory Services Network other | Other | Jan 2, 2014 | Jan 2, 2014 |
| Keith Paul Duet | Asset Planning Services Inc other | Advisory Services Network other | Other | Oct 14, 2013 | Oct 15, 2013 |
| Jason Wayne Veinot | Enhanced Capital, LLC unclassified | Advisory Services Network other | Other | Oct 2, 2013 | Oct 2, 2013 |
| Cynthia Lynne Courtney | Money Concepts Advisory Service other | Advisory Services Network other | Other | Sep 30, 2013 | Oct 8, 2013 |
| James Stuart Richter | Esg Wealth Management, LLC unclassified | Advisory Services Network independent RIA | Other | May 14, 2013 | Apr 10, 2018 (1792 d) |
| John Clayton Downing | H.M. Payson other | Advisory Services Network other | Other | Jan 30, 2013 | May 31, 2013 (121 d) |
| John Cleveland Knox | H.M. Payson other | Advisory Services Network other | Other | Jan 30, 2013 | May 29, 2013 (119 d) |
| William Strickland Rumble | Thrivent Investment Management Inc. other | Advisory Services Network other | Other | Nov 9, 2012 | Nov 20, 2012 |
| James Alfred Halprin | Gitterman Wealth Management, LLC other | Advisory Services Network other | Other | Aug 13, 2012 | Aug 14, 2012 |
| John Kennith Bornstein | Fsc Securities Corporation other | Advisory Services Network other | Other | Jul 5, 2012 | Jul 2, 2012 |
| Morris Craig Moser | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Advisory Services Network other | Other | Jul 5, 2012 | Jul 5, 2012 |
| Timothy Wayne Greer | Fsc Securities Corporation other | Advisory Services Network other | Other | Jul 5, 2012 | Jul 2, 2012 |
| Clarence Edmund Blanton | Resource Horizons Investment Advisory, Inc. other | Advisory Services Network other | Other | Apr 24, 2012 | Apr 27, 2012 |
| Brent Nevin Townsend | Thrivent Investment Management Inc. other | Advisory Services Network other | Other | Apr 10, 2012 | Apr 10, 2012 |
| Caterina Maria Defalco | B Riley Wealth Management other | Advisory Services Network other | Other | Apr 2, 2012 | Apr 4, 2012 |
| Thomas Kern Campbell | Fsc Securities Corporation other | Advisory Services Network other | Other | Feb 10, 2012 | Feb 10, 2012 |
| Tom Tower Hamilton | Du Pasquier Asset Management other | Advisory Services Network independent RIA | Other | Jan 4, 2012 | Apr 12, 2021 (3386 d) |
| Julie Ann Sullivan | Fisco Investment Management, L.P. other | Advisory Services Network other | Other | Dec 23, 2011 | Jun 4, 2013 (529 d) |
| Roger M Baloucoune | The Daniel Group other | Advisory Services Network other | Other | Nov 18, 2011 | Aug 8, 2011 |
| Jonathan David Fike | Thrivent Investment Management Inc. other | Advisory Services Network other | Other | Aug 18, 2011 | Aug 15, 2011 |
| Jeffrey Lee Stock | Thrivent Investment Management Inc. other | Advisory Services Network other | Other | Aug 12, 2011 | Aug 8, 2011 |
| Charles Brandon Downs | Resource Planning Group, Ltd. other | Advisory Services Network other | Other | May 20, 2011 | May 23, 2011 |
| Eric C. Garrard | Uvest Financial Services Group, Inc. unclassified | Advisory Services Network other | Other | Apr 15, 2011 | Jun 1, 2011 (47 d) |
| Darlene Marie Murphy | Sudbury Wealth Management, Inc unclassified | Advisory Services Network independent RIA | Other | Dec 31, 2010 | Mar 18, 2025 (5191 d) |
| Stanley Anthony Kosack | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Advisory Services Network other | Other | Oct 5, 2010 | Oct 5, 2010 |
| Thomas William Ott | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Advisory Services Network other | Other | Jun 22, 2010 | Jun 18, 2010 |
| Rohnn Bruce Sanderson | Waddell & Reed other | Advisory Services Network independent RIA | Other | Sep 28, 2009 | Feb 23, 2021 (4166 d) |
| Michael Howard Markowitz | UBS Asset Management (US) Inc. unclassified | Advisory Services Network independent RIA | Other | Feb 3, 2009 | Aug 6, 2021 (4567 d) |
| Janene Warren | Fidelity Personal Trust Company, Fsb unclassified | Advisory Services Network independent RIA | Other | Mar 28, 2007 | Jun 20, 2019 (4467 d) |
| Jeffrey Mcdonald | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Advisory Services Network independent RIA | Wirehouse to independent RIA | Dec 31, 2004 | Oct 4, 2022 (6486 d) |