| David Lesnick | Concourse Financial Group Advisors other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Sep 9, 2011 | Sep 6, 2011 |
| James Kenneth Nichols | Voya Financial Advisors, Inc. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Sep 9, 2011 | Sep 9, 2011 |
| Kenneth Jacob Horseman | Morgan Stanley wirehouse | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Sep 9, 2011 | Oct 18, 2011 (39 d) |
| Todd Alan Cousino | Centaurus Financial, Inc. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Sep 7, 2011 | Sep 9, 2011 |
| Trent Alan Schuler | Gwn Securities Inc. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Sep 1, 2011 | Aug 31, 2011 |
| Mark Richard Lerfald | U.S. Bancorp Investments, Inc. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Aug 11, 2011 | Sep 8, 2011 |
| Raymond Chi Hon Pai | Msi Financial Services, Inc. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Aug 2, 2011 | Jul 25, 2011 |
| Shawn Michael Swenson | Securities America Advisors, Inc. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Jul 29, 2011 | Jul 29, 2011 |
| Marina Maranatha Pelren | Sagepoint Financial, Inc. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Jul 26, 2011 | Aug 26, 2011 (31 d) |
| Jeffery Wayne Hill | Alison, LLC other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Jul 12, 2011 | Jan 17, 2012 (189 d) |
| Christopher John Hernandez | Park Avenue Securities LLC other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Jun 28, 2011 | Aug 31, 2011 (64 d) |
| John Linge | Securities America Advisors, Inc. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Jun 27, 2011 | Jun 27, 2011 |
| Mary Elaine Vertner | Securities America Advisors, Inc. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Jun 27, 2011 | Jul 8, 2011 |
| Warren Davis Waters | Charles Schwab & Co., Inc. national BD | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | May 13, 2011 | Jul 12, 2011 (60 d) |
| Broc Wavra | Independent Financial Group, LLC other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | May 10, 2011 | Jul 8, 2011 (59 d) |
| Frank Wong | MML Investors Services, LLC other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Apr 13, 2011 | Apr 13, 2011 |
| Eric Blair Hansen | LPL Financial LLC other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Apr 12, 2011 | Jun 7, 2011 (56 d) |
| John A Carbone | Equitable Advisors, LLC national BD | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Apr 4, 2011 | Aug 19, 2011 (137 d) |
| Joana Ramirez Youssefzadeh | Ameriprise Financial Services, LLC national BD | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Apr 1, 2011 | Mar 22, 2011 |
| Stephen Andrew Kilpatrick | Spc other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Mar 22, 2011 | Apr 6, 2011 |
| Kevin Leo Keleher | Sunset Financial Services, Inc. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Mar 3, 2011 | Mar 4, 2011 |
| James Jae Won Uh | Freedom One Investment Advisors, Inc. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Feb 28, 2011 | Mar 7, 2011 |
| Stacie Lynn Brass | Networth Advisors other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Feb 22, 2011 | Aug 6, 2003 |
| Martin Geddes Hurlburt | Qa3 Financial LLC unclassified | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Feb 11, 2011 | Feb 17, 2011 |
| Kenneth Lawrence Agee | Qa3 Financial LLC unclassified | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Feb 11, 2011 | Mar 9, 2011 |
| John Reed Crosier | Qa3 Financial LLC unclassified | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Feb 11, 2011 | Feb 22, 2011 |
| Harold Dennis Rotary | LPL Financial LLC other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Feb 3, 2011 | Feb 10, 2011 |
| Robert D Roland | Investors Capital Advisory other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Jan 3, 2011 | Jan 14, 2011 |
| Grady William Boles | Masterpiece Planning, Inc. unclassified | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Dec 31, 2010 | Mar 13, 2009 |
| Martin Wolf Rosenzveig | Cetera Advisors LLC other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Dec 31, 2010 | Jan 10, 2011 |
| Walter L Daszkowski | Cetera Investment Advisers LLC other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Dec 31, 2010 | Sep 13, 2012 (622 d) |
| Pamela Krystal Mah | Wealth And Income Strategies unclassified | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Dec 31, 2010 | Feb 16, 2010 |
| Maja Stojanovic | Osaic Wealth, Inc. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Dec 6, 2010 | Mar 8, 2012 (458 d) |
| Michael Eugene Moffitt | Cornerstone Financial Group unclassified | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Nov 16, 2010 | Jul 11, 2003 |
| Thomas Francis Bennett | Cuna Brokerage Services, Inc. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Nov 4, 2010 | May 11, 2011 (188 d) |
| Frank Ralph Lavin | Equitable Advisors, LLC national BD | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Oct 26, 2010 | Oct 25, 2010 |
| Jonathan Jed Meyers | Westminster Financial Advisory Corp other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Oct 19, 2010 | Oct 28, 2010 |
| Edward Charles Banks | Waddell & Reed other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Sep 29, 2010 | Sep 22, 2010 |
| Charlene Ann Logan | Main Street Advisors, LLC other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Sep 10, 2010 | Oct 6, 2010 |
| Tommy Dean Bentley | Securities America Advisors, Inc. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Sep 1, 2010 | Sep 1, 2010 |
| Richard Martin Ellington | New England Investment & Retirement Group, Inc. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Aug 24, 2010 | Feb 18, 2011 (178 d) |
| Linton Fred Banwell | Equitas America, LLC unclassified | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Aug 16, 2010 | Aug 16, 2010 |
| Gavin Wade Koenig | Fifth Third Securities, Inc. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Aug 11, 2010 | Aug 12, 2010 |
| Bruce Edward Davis | Curian Capital, LLC other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Aug 2, 2010 | Aug 19, 2010 |
| Joao Silva Gomes | Waddell & Reed other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Jul 23, 2010 | Sep 24, 2010 (63 d) |
| Maria Regina T Cruz | Chase Investment Services Corp. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Jul 21, 2010 | Apr 5, 2011 (258 d) |
| Woodrow Selvey Knight | Next Financial Group, Inc. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Jul 13, 2010 | Mar 1, 2012 (597 d) |
| Alisha Renee Rosenthal | Rosenthal Advisory Services, L.P. independent RIA | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Jul 13, 2010 | May 21, 2012 (678 d) |
| Rodney Tracey Flannery | Ameritas Advisory Services other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Jul 12, 2010 | Jul 6, 2010 |
| Lisa Maria Lamb | Fifth Third Securities, Inc. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Jul 9, 2010 | Feb 24, 2012 (595 d) |
| Robert Joseph Szigeti | Advanced Equities, Inc. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Jun 28, 2010 | Mar 28, 2012 (639 d) |
| Dannell Rice Stuart | Securities America Advisors, Inc. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Jun 22, 2010 | Jun 24, 2010 |
| Rodney Brian Smith | U.S. Bancorp Investments, Inc. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Jun 11, 2010 | Jun 15, 2010 |
| David Aaron Volkman | Osaic Fa, Inc. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | May 27, 2010 | May 27, 2010 |
| Eduardo Larios | Chase Investment Services Corp. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | May 4, 2010 | Jul 9, 2010 (66 d) |
| Arthur Thomas Bertolina | Butler, Bertolina & Eppey, Inc. unclassified | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Apr 30, 2010 | Mar 30, 2012 (700 d) |
| Tracie Ann Thompson | Morgan Stanley wirehouse | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Apr 28, 2010 | Jun 3, 2011 (401 d) |
| James Stephen Defalco | Assetmark, Inc. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Apr 16, 2010 | Jul 10, 2012 (816 d) |
| Kimberly Anne Krueger | Sagepoint Financial, Inc. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Apr 15, 2010 | Jan 31, 2011 (291 d) |
| Daniel Paul Mccarthy | Securities America Advisors, Inc. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Feb 2, 2010 | Feb 2, 2010 |