| Theodore Hendrickus Franse | Sagepoint Financial, Inc. other | First Allied Securities, Inc. other | Other | Feb 17, 2006 | Feb 22, 2006 |
| Roger Kent Stubbs | Southwest Investment Advisors, Inc. independent RIA | First Allied Securities, Inc. other | Other | Dec 31, 2005 | Oct 20, 2005 |
| Edward C Yoon | UBS Financial Services Inc. wirehouse | First Allied Securities, Inc. other | Other | Dec 20, 2005 | Jan 25, 2008 (766 d) |
| David James Cunningham | Legacy Planning Group unclassified | First Allied Securities, Inc. other | Other | Dec 13, 2005 | Dec 1, 2009 (1449 d) |
| Matthew Allan Juffer | Kpmg Investment Advisors unclassified | First Allied Securities, Inc. other | Other | Nov 16, 2005 | Apr 7, 2009 (1238 d) |
| James C Whitis | Raymond James Financial Services, Inc. unclassified | First Allied Securities, Inc. other | Other | Sep 21, 2005 | Sep 19, 2005 |
| Jason Michael Pisciotta | Banc Of America Investment Services, Inc. unclassified | First Allied Securities, Inc. other | Other | Sep 13, 2005 | Mar 26, 2008 (925 d) |
| Wesley H. Lew | Morgan Stanley Dw Inc. unclassified | First Allied Securities, Inc. other | Other | Aug 29, 2005 | Sep 2, 2005 |
| Teresa Louise Yragui | Morgan Stanley Dw Inc. unclassified | First Allied Securities, Inc. other | Other | Aug 29, 2005 | Aug 30, 2005 |
| Edward George Martell | The Financial Advisors Network unclassified | First Allied Securities, Inc. other | Other | Jun 30, 2005 | Oct 12, 2010 (1930 d) |
| Henry Mark Korngut | Round Hill Securities, Inc. unclassified | First Allied Securities, Inc. other | Other | Jun 13, 2005 | Jun 13, 2005 |
| James Robert Peters | Equitable Advisors, LLC national BD | First Allied Securities, Inc. other | Other | Apr 19, 2005 | Apr 8, 2005 |
| Erik Christopher Weir | Weir Capital Management LLC unclassified | First Allied Securities, Inc. other | Other | Apr 1, 2005 | Aug 23, 2005 (144 d) |
| Jason Shamus Mcmillen | Morgan Stanley Dw Inc. unclassified | First Allied Securities, Inc. other | Other | Feb 7, 2005 | Mar 2, 2007 (753 d) |
| Thomas Jerard Kennedy | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | First Allied Securities, Inc. other | Other | Jan 24, 2005 | Oct 13, 2009 (1723 d) |
| Thomas Schorn | Avantax Advisory Services other | First Allied Securities, Inc. other | Other | Jan 11, 2005 | Jan 11, 2005 |
| Warren Wendell Weeks | Morgan Stanley Dw Inc. unclassified | First Allied Securities, Inc. other | Other | Dec 2, 2004 | May 3, 2005 (152 d) |
| Linda Anne Wenker | Investors Resources Group, Inc. unclassified | First Allied Securities, Inc. other | Other | Nov 16, 2004 | Jul 21, 2006 (612 d) |
| June Ann Bolton | Wells Fargo Advisors wirehouse | First Allied Securities, Inc. other | Other | Nov 16, 2004 | Mar 13, 2006 (482 d) |
| Lisa-Ann Tomiko Nouchi | Investors Resources Group, Inc. unclassified | First Allied Securities, Inc. other | Other | Nov 16, 2004 | Aug 23, 2006 (645 d) |
| Larry Edward Chlebina | Wells Fargo Advisors wirehouse | First Allied Securities, Inc. other | Other | Nov 16, 2004 | Nov 29, 2004 |
| Gary Edward Henderson | Bny Mellon Securities Corporation other | First Allied Securities, Inc. other | Other | Jul 19, 2004 | Nov 12, 2004 (116 d) |
| Cynthia Mary Couyoumjian | LPL Financial LLC other | First Allied Securities, Inc. other | Other | Jul 8, 2004 | Jul 9, 2004 |
| Benson Patrick Mathews | Waddell & Reed other | First Allied Securities, Inc. other | Other | Jun 1, 2004 | May 28, 2004 |
| Patrick Joseph Mcdevitt | Ragen Mackenzie Investment Services, LLC unclassified | First Allied Securities, Inc. other | Other | May 17, 2004 | May 17, 2004 |
| Tommy Ray Schumaker | Ragen Mackenzie Investment Services, LLC unclassified | First Allied Securities, Inc. other | Other | May 17, 2004 | May 17, 2004 |
| David Rupert Wimer | Ragen Mackenzie Investment Services, LLC unclassified | First Allied Securities, Inc. other | Other | May 17, 2004 | May 17, 2004 |
| Richard Mason Lawrence | Ragen Mackenzie Investment Services, LLC unclassified | First Allied Securities, Inc. other | Other | May 17, 2004 | May 17, 2004 |
| Nathan Gregor Richardson | Ragen Mackenzie Investment Services, LLC unclassified | First Allied Securities, Inc. other | Other | May 17, 2004 | May 17, 2004 |
| Lionel Albert Shaw | Wells Fargo Investments, LLC unclassified | First Allied Securities, Inc. other | Other | May 14, 2004 | Jun 21, 2004 (38 d) |
| Patrick John Mclaughlin | Quick & Reilly, Inc. unclassified | First Allied Securities, Inc. other | Other | Mar 25, 2004 | Dec 18, 2006 (998 d) |
| Wesley Allan Clark | Wells Fargo Investments, LLC unclassified | First Allied Securities, Inc. other | Other | Sep 15, 2003 | Aug 26, 2003 |
| Derry Earl Cook | Wells Fargo Investments, LLC unclassified | First Allied Securities, Inc. other | Other | Sep 9, 2003 | Aug 26, 2003 |
| Mitchell Lynn Mertes | Morgan Stanley Dw Inc. unclassified | First Allied Securities, Inc. other | Other | Aug 14, 2003 | Oct 7, 2003 (54 d) |
| John Louis Diaz | Nathan & Lewis Securities, Inc. unclassified | First Allied Securities, Inc. other | Other | Jul 23, 2003 | Apr 23, 2004 (275 d) |
| Lynn Raymond Siewert | Raymond James Financial Services, Inc. unclassified | First Allied Securities, Inc. other | Other | Jun 4, 2003 | Dec 1, 2006 (1276 d) |
| Terrence C Porter | Citigroup Global Markets Inc. other | First Allied Securities, Inc. other | Other | Jun 3, 2003 | Aug 20, 2003 (78 d) |
| Solomon Mark Karmel | Morgan Stanley Dw Inc. unclassified | First Allied Securities, Inc. other | Other | Feb 20, 2003 | Nov 21, 2003 (274 d) |
| Ellias David Stabinsky | A. G. Edwards & Sons, Inc. unclassified | First Allied Securities, Inc. other | Other | Feb 6, 2003 | Mar 30, 2004 (418 d) |
| Peter John Orth | Ws Griffith Securities, Inc. unclassified | First Allied Securities, Inc. other | Other | Feb 4, 2003 | Feb 11, 2003 |
| Eric Butler Lusk | Morgan Stanley Dw Inc. unclassified | First Allied Securities, Inc. other | Other | Dec 5, 2002 | Nov 25, 2002 |
| William Robert Todd | Morgan Stanley Dw Inc. unclassified | First Allied Securities, Inc. other | Other | Nov 11, 2002 | Nov 8, 2002 |
| Robert Scott Wright | Wells Fargo Advisors wirehouse | First Allied Securities, Inc. other | Other | Jun 24, 2002 | May 24, 2004 (700 d) |