| Donald Eugene Wilson | Focus Financial independent RIA | United Planners' Financial Services Of America A Limited Partner independent RIA | RIA to RIA | May 14, 2018 | May 10, 2018 |
| Kristin M Meyer | American Portfolios Advisors, Inc independent RIA | United Planners' Financial Services Of America A Limited Partner independent RIA | RIA to RIA | May 8, 2018 | May 7, 2018 |
| Robert Earl Mabe | H. Beck, Inc. BD affiliated | United Planners' Financial Services Of America A Limited Partner independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 30, 2018 | Apr 28, 2018 |
| Christian Nesset Tietz | Robert W. Baird & Co. Incorporated mixed wealth | United Planners' Financial Services Of America A Limited Partner independent RIA | RIA to RIA | Feb 16, 2018 | Jun 28, 2018 (132 d) |
| Kyle David Wilhelm | Simplicity Wealth, LLC unclassified | United Planners' Financial Services Of America A Limited Partner other | Other | Jan 29, 2018 | Feb 27, 2018 |
| Serena Lynette Davis | Continuum Advisory, LLC other | United Planners' Financial Services Of America A Limited Partner other | Other | Jan 19, 2018 | Jan 12, 2018 |
| Jeremy Walker | LPL Financial LLC independent RIA | United Planners' Financial Services Of America A Limited Partner other | Other | Dec 21, 2017 | Dec 1, 2017 |
| Ann Karen Kilmer | Invest Financial Corporation other | United Planners' Financial Services Of America A Limited Partner other | Other | Nov 27, 2017 | Nov 22, 2017 |
| Christopher M. Kilmer | Sii Investments, Inc. other | United Planners' Financial Services Of America A Limited Partner other | Other | Nov 22, 2017 | Nov 21, 2017 |
| Eric Jon Munkeby | Sii Investments, Inc. other | United Planners' Financial Services Of America A Limited Partner other | Other | Nov 17, 2017 | Nov 16, 2017 |
| Kenneth John Kramer | Sii Investments, Inc. other | United Planners' Financial Services Of America A Limited Partner other | Other | Nov 17, 2017 | Nov 16, 2017 |
| Matthew A Hobson | Sii Investments, Inc. other | United Planners' Financial Services Of America A Limited Partner other | Other | Nov 17, 2017 | Nov 17, 2017 |
| Alexander Louis Bush | Sii Investments, Inc. other | United Planners' Financial Services Of America A Limited Partner other | Other | Nov 17, 2017 | Nov 16, 2017 |
| Lee Thomas Stoerzinger | Sii Investments, Inc. other | United Planners' Financial Services Of America A Limited Partner other | Other | Nov 14, 2017 | Nov 13, 2017 |
| Matthew Richard Benson | Sii Investments, Inc. other | United Planners' Financial Services Of America A Limited Partner other | Other | Nov 14, 2017 | Nov 13, 2017 |
| Charles Hardin Harrison | Principal Securities, Inc. other | United Planners' Financial Services Of America A Limited Partner other | Other | Nov 1, 2017 | Oct 19, 2017 |
| Joseph Charles Barreiro | Invest Financial Corporation other | United Planners' Financial Services Of America A Limited Partner other | Other | Oct 27, 2017 | Oct 26, 2017 |
| Marilyn Louise Vander Plaat | Invest Financial Corporation other | United Planners' Financial Services Of America A Limited Partner other | Other | Oct 27, 2017 | Oct 30, 2017 |
| David Joseph Chalmers | Cetera Investment Advisers LLC other | United Planners' Financial Services Of America A Limited Partner other | Other | Oct 24, 2017 | Oct 16, 2017 |
| Cary Edward Urich | H. Beck, Inc. other | United Planners' Financial Services Of America A Limited Partner other | Other | Sep 22, 2017 | Sep 21, 2017 |
| Chris Michael Christensen | Oakwell Private Wealth Management other | United Planners' Financial Services Of America A Limited Partner other | Other | Sep 22, 2017 | Aug 22, 2017 |
| Iris Noelle Sagrado | Waddell & Reed other | United Planners' Financial Services Of America A Limited Partner other | Other | Sep 22, 2017 | Sep 13, 2017 |
| Glenn Benson Stears | Waddell & Reed other | United Planners' Financial Services Of America A Limited Partner other | Other | Sep 22, 2017 | Sep 13, 2017 |
| James Mark Franco | LPL Financial LLC other | United Planners' Financial Services Of America A Limited Partner other | Other | Sep 1, 2017 | Aug 18, 2017 |
| Nicole Louise Roberts | Waddell & Reed other | United Planners' Financial Services Of America A Limited Partner other | Other | Aug 14, 2017 | Aug 8, 2017 |
| Keith Andrew Herman | Cetera Investment Advisers LLC other | United Planners' Financial Services Of America A Limited Partner other | Other | Jul 28, 2017 | Nov 2, 2017 (97 d) |
| Paul Woodson Abele | Scf Investment Advisors, Inc. other | United Planners' Financial Services Of America A Limited Partner other | Other | Jul 12, 2017 | Jul 20, 2017 |
| Michael Dean Nakano | National Planning Corporation ("Npc Of America" In Fl & Ny) other | United Planners' Financial Services Of America A Limited Partner other | Other | Jun 15, 2017 | Jun 14, 2017 |
| Lisa Ann Gallo | National Planning Corporation ("Npc Of America" In Fl & Ny) other | United Planners' Financial Services Of America A Limited Partner other | Other | Jun 15, 2017 | Jun 14, 2017 |
| Daniel Burke Beltran | National Planning Corporation ("Npc Of America" In Fl & Ny) other | United Planners' Financial Services Of America A Limited Partner other | Other | Jun 15, 2017 | Jun 14, 2017 |
| Michael Powell | National Planning Corporation ("Npc Of America" In Fl & Ny) other | United Planners' Financial Services Of America A Limited Partner other | Other | Jun 15, 2017 | Jun 15, 2017 |
| Rayburn Eugene Brooks | Wfg Advisors, LP other | United Planners' Financial Services Of America A Limited Partner other | Other | Jun 6, 2017 | Jun 5, 2017 |
| Meredith Anne Lyon | Ameriprise Financial Services, LLC national BD | United Planners' Financial Services Of America A Limited Partner other | Other | Jun 1, 2017 | Jun 12, 2017 |
| Marvin Wayne Farrar | 1st Global Advisors Inc other | United Planners' Financial Services Of America A Limited Partner independent RIA | Other | Dec 31, 2016 | Feb 17, 2021 (1509 d) |
| Jonathon Glen Monsour | Cambridge Investment Research Advisors, Inc. other | United Planners' Financial Services Of America A Limited Partner other | Other | Dec 31, 2016 | Feb 2, 2017 (33 d) |
| Cipriano Miguel Gomez | Charles Schwab & Co., Inc. national BD | United Planners' Financial Services Of America A Limited Partner other | Other | Dec 15, 2016 | Feb 3, 2017 (50 d) |
| Nancy Jean Chapin | Foothill Securities, Inc. other | United Planners' Financial Services Of America A Limited Partner other | Other | Dec 14, 2016 | Jul 25, 2017 (223 d) |
| Shawn David Stites | Ssn Advisory, Inc. other | United Planners' Financial Services Of America A Limited Partner other | Other | Nov 18, 2016 | Oct 13, 2016 |
| Sledge Wayne Killion | Signator Investors, Inc. other | United Planners' Financial Services Of America A Limited Partner other | Other | Nov 10, 2016 | Nov 8, 2016 |
| Sharon Stark | Signator Investors, Inc. other | United Planners' Financial Services Of America A Limited Partner other | Other | Nov 10, 2016 | Nov 2, 2016 |
| Ramin Ghaffari | Signator Investors, Inc. other | United Planners' Financial Services Of America A Limited Partner other | Other | Nov 8, 2016 | Nov 2, 2016 |
| Eric Howard Kodish | Ameriprise Financial Services, LLC national BD | United Planners' Financial Services Of America A Limited Partner other | Other | Oct 10, 2016 | Oct 7, 2016 |
| Greg Charles Greer | Cetera Advisors LLC other | United Planners' Financial Services Of America A Limited Partner other | Other | Oct 6, 2016 | Sep 30, 2016 |
| Fred Francis Liebau | Cetera Advisors LLC other | United Planners' Financial Services Of America A Limited Partner other | Other | Oct 6, 2016 | Sep 30, 2016 |
| Brandy Dusa Pearce | Ameriprise Financial Services, LLC national BD | United Planners' Financial Services Of America A Limited Partner other | Other | Sep 21, 2016 | Sep 30, 2016 |
| Sergio Villa | Securities America Advisors, Inc. other | United Planners' Financial Services Of America A Limited Partner other | Other | Sep 16, 2016 | Oct 19, 2016 (33 d) |
| Courtney Alexander John Chynces | National Planning Corporation ("Npc Of America" In Fl & Ny) other | United Planners' Financial Services Of America A Limited Partner independent RIA | Other | Sep 13, 2016 | Jan 10, 2023 (2310 d) |
| Larry Sfinas | Scf Investment Advisors, Inc. other | United Planners' Financial Services Of America A Limited Partner other | Other | Aug 26, 2016 | Sep 26, 2016 (31 d) |
| Matthew Albritton | Commonwealth Financial Network national BD | United Planners' Financial Services Of America A Limited Partner other | Other | Aug 12, 2016 | Sep 12, 2016 (31 d) |
| Dennis Patrick Lynch | Waddell & Reed other | United Planners' Financial Services Of America A Limited Partner other | Other | Jun 17, 2016 | Jun 17, 2016 |
| Amy Sue Grunden | Huntington Financial Advisors other | United Planners' Financial Services Of America A Limited Partner other | Other | Jun 7, 2016 | Jun 23, 2016 |
| Richard Peter Jacobson | Transamerica Financial Advisors, LLC other | United Planners' Financial Services Of America A Limited Partner other | Other | May 7, 2016 | Apr 14, 2016 |
| Marta Elena Amaton | Transamerica Financial Advisors, LLC other | United Planners' Financial Services Of America A Limited Partner other | Other | May 2, 2016 | Apr 15, 2016 |
| Martin Earl Brooks | Cetera Advisors LLC other | United Planners' Financial Services Of America A Limited Partner other | Other | Apr 19, 2016 | Jun 15, 2016 (57 d) |
| Eric Wayne Harding | Wells Fargo Advisors wirehouse | United Planners' Financial Services Of America A Limited Partner other | Other | Jan 19, 2016 | Mar 18, 2016 (59 d) |
| Wendy Ellen Fleischmann | Crown Capital Securities, L.P. other | United Planners' Financial Services Of America A Limited Partner other | Other | Jan 8, 2016 | Dec 9, 2015 |
| John Robert Roessig | Securities America Advisors, Inc. other | United Planners' Financial Services Of America A Limited Partner independent RIA | Other | Jan 4, 2016 | Mar 4, 2019 (1155 d) |
| Xerxes Lawingco Nabong | Sagepoint Financial, Inc. other | United Planners' Financial Services Of America A Limited Partner other | Other | Dec 31, 2015 | Jan 5, 2016 |
| Philip Michael Maliniak | Sagepoint Financial, Inc. other | United Planners' Financial Services Of America A Limited Partner other | Other | Dec 31, 2015 | Jan 5, 2016 |
| Christopher A Quincy | Northwestern Mutual Investment Services,LLC other | United Planners' Financial Services Of America A Limited Partner other | Other | Dec 1, 2015 | Dec 7, 2015 |