| Howard Raymond Solomon | Verus Capital Partners, LLC other | Next Financial Group, Inc. other | Other | Sep 28, 2010 | Oct 8, 2010 |
| Diana M Longo | Verus Capital Partners, LLC other | Next Financial Group, Inc. other | Other | Sep 28, 2010 | May 18, 2011 (232 d) |
| Vincenzo Fragomeni | Morgan Stanley wirehouse | Next Financial Group, Inc. other | Other | Aug 16, 2010 | Jan 4, 2011 (141 d) |
| Brian Dale Trowbridge | Avantax Advisory Services other | Next Financial Group, Inc. other | Other | Jul 6, 2010 | Jul 1, 2010 |
| Marilyn Elaine Osborne | Sanders Morris LLC other | Next Financial Group, Inc. other | Other | Jul 2, 2010 | May 14, 2012 (682 d) |
| Omari Simpson | Edward Jones national BD | Next Financial Group, Inc. other | Other | Jun 24, 2010 | Jan 11, 2012 (566 d) |
| Brian T Spatola | Edward Jones national BD | Next Financial Group, Inc. other | Other | May 27, 2010 | Jun 11, 2010 |
| Darel Thomas Crosby | Spc other | Next Financial Group, Inc. other | Other | May 17, 2010 | May 19, 2010 |
| Salvatore Sebastian Motta | Ameriprise Financial Services, LLC national BD | Next Financial Group, Inc. other | Other | Apr 20, 2010 | Apr 14, 2010 |
| Graig Stephen Nickel | Blackrock Investment Management, LLC other | Next Financial Group, Inc. BD affiliated | Other | Apr 9, 2010 | Jan 17, 2024 (5031 d) |
| Andrew Cassedy Miller | Comerica Securities other | Next Financial Group, Inc. other | Other | Apr 1, 2010 | Apr 7, 2010 |
| William Hartwell Cox | Cl Wealth Management LLC other | Next Financial Group, Inc. other | Other | Mar 31, 2010 | Apr 1, 2010 |
| Kinch Edward Meyer | Gunnallen Financial, Inc unclassified | Next Financial Group, Inc. other | Other | Mar 30, 2010 | Mar 29, 2010 |
| Edward Lowell Hildebrand | Charles Schwab & Co., Inc. national BD | Next Financial Group, Inc. other | Other | Mar 24, 2010 | Apr 7, 2010 |
| Ryan Keith Twogood | Abens Financial Services Inc other | Next Financial Group, Inc. other | Other | Mar 11, 2010 | Aug 22, 2011 (529 d) |
| Cathy Ann Jackson | Cuso Financial Services, L.P. other | Next Financial Group, Inc. other | Other | Feb 24, 2010 | Apr 7, 2010 (42 d) |
| Paul Robert Parsons | Securities America Advisors, Inc. other | Next Financial Group, Inc. other | Other | Feb 1, 2010 | Feb 11, 2010 |
| Shannon Taylor | Usaa Financial Planning Services no RAUM | Next Financial Group, Inc. other | Other | Jan 12, 2010 | Feb 1, 2011 (385 d) |
| Brian David Behl | LPL Financial LLC other | Next Financial Group, Inc. other | Other | Jan 5, 2010 | Jan 6, 2010 |
| Nathan M Robnett | 1st Global Advisors Inc other | Next Financial Group, Inc. other | Other | Dec 23, 2009 | Jan 6, 2010 |
| Michael Douglas Matlock | Financial Service Co. unclassified | Next Financial Group, Inc. other | Other | Dec 21, 2009 | Mar 18, 2013 (1183 d) |
| Cassandra C. Laymon | UBS Financial Services Inc. wirehouse | Next Financial Group, Inc. other | Other | Dec 21, 2009 | Dec 17, 2009 |
| Stephen Anthony Gentile | Ceres Financial Group, Inc. state registered | Next Financial Group, Inc. other | Other | Dec 2, 2009 | Aug 7, 2009 |
| Jeffrey Alan Pratt | U.S. Bancorp Investments, Inc. other | Next Financial Group, Inc. other | Other | Dec 1, 2009 | Sep 12, 2011 (650 d) |
| Mei-Lyn Nelson | Nelson Financial Group, Inc. unclassified | Next Financial Group, Inc. other | Other | Nov 24, 2009 | May 19, 2009 |
| Mark L Driscoll | Householder Group, Estate & Retirement Specialists unclassified | Next Financial Group, Inc. other | Other | Nov 18, 2009 | Jan 6, 2009 |
| Timothy Albert Rudy | Voya Financial Advisors, Inc. other | Next Financial Group, Inc. other | Other | Oct 30, 2009 | Nov 2, 2009 |
| Lloyd Mason Baxter | Thompson, Diaz, Baxter And Assoc. unclassified | Next Financial Group, Inc. other | Other | Oct 27, 2009 | Jan 22, 2009 |
| Billups P Johnson | Wells Fargo Advisors wirehouse | Next Financial Group, Inc. other | Other | Oct 20, 2009 | Oct 22, 2009 |
| Stephen Edward Alexander | Morgan Stanley wirehouse | Next Financial Group, Inc. other | Other | Oct 20, 2009 | Sep 25, 2009 |
| Gary Britton Underbrink | Wells Fargo Advisors wirehouse | Next Financial Group, Inc. other | Other | Oct 8, 2009 | Oct 22, 2009 |
| Zachary Allen Zettergren | Signator Investors, Inc. other | Next Financial Group, Inc. other | Other | Oct 2, 2009 | Feb 22, 2011 (508 d) |
| Sandra Lynn Kobel | Wall Street Financial Group, Inc other | Next Financial Group, Inc. other | Other | Oct 1, 2009 | Oct 9, 2009 |
| Megan Elizabeth Koopman | Woodbury Financial Services, Inc. other | Next Financial Group, Inc. other | Other | Oct 1, 2009 | Oct 9, 2009 |
| Gerald Joseph Fasanella | LPL Financial LLC other | Next Financial Group, Inc. other | Other | Sep 22, 2009 | Sep 11, 2009 |
| Steven D Harpham | Cetera Advisors LLC other | Next Financial Group, Inc. other | Other | Sep 14, 2009 | Sep 1, 2010 (352 d) |
| Nikhil C Modi | Ameriprise Financial Services, LLC national BD | Next Financial Group, Inc. other | Other | Sep 9, 2009 | Sep 11, 2009 |
| John Joseph Walsh | Mutual Service Corporation unclassified | Next Financial Group, Inc. other | Other | Sep 3, 2009 | Sep 4, 2009 |
| Samuel Peter Varano | Hirtle & Co., LLC other | Next Financial Group, Inc. other | Other | Sep 1, 2009 | Feb 4, 2010 (156 d) |
| Chris Edward Gutschenritter | Mutual Service Corporation unclassified | Next Financial Group, Inc. other | Other | Aug 28, 2009 | Sep 1, 2009 |
| Michael William Dunbar | Mutual Service Corporation unclassified | Next Financial Group, Inc. other | Other | Aug 27, 2009 | Aug 24, 2009 |
| Bradley David Roberts | Mutual Service Corporation unclassified | Next Financial Group, Inc. other | Other | Aug 25, 2009 | Aug 24, 2009 |
| Carey M Stansbury | Mutual Service Corporation unclassified | Next Financial Group, Inc. other | Other | Aug 24, 2009 | Aug 26, 2009 |
| Sherri Lynn Stansbury | Mutual Service Corporation unclassified | Next Financial Group, Inc. other | Other | Aug 24, 2009 | Aug 24, 2009 |
| Bruce Allen Joseph | Mutual Service Corporation unclassified | Next Financial Group, Inc. other | Other | Aug 24, 2009 | Sep 2, 2009 |
| David Todd Harding | B.B. Graham & Company, Inc. other | Next Financial Group, Inc. other | Other | Aug 19, 2009 | Aug 7, 2009 |
| Timothy Patrick Flanagan | Mutual Service Corporation unclassified | Next Financial Group, Inc. other | Other | Aug 18, 2009 | Aug 19, 2009 |
| Edward Henry Rodriguez | LPL Financial LLC other | Next Financial Group, Inc. other | Other | Aug 18, 2009 | Aug 19, 2009 |
| Kevin Hiller Kelley | Mutual Service Corporation unclassified | Next Financial Group, Inc. other | Other | Aug 17, 2009 | Aug 17, 2009 |
| Charles Judson Goldman | Mutual Service Corporation unclassified | Next Financial Group, Inc. other | Other | Aug 12, 2009 | Aug 12, 2009 |
| Laura N. Walker | Wells Fargo Advisors wirehouse | Next Financial Group, Inc. other | Other | Aug 5, 2009 | Jan 4, 2011 (517 d) |
| Sean Caywood | LPL Financial LLC other | Next Financial Group, Inc. other | Other | Aug 4, 2009 | Jul 29, 2009 |
| Deborah Ann Grothe-Rodgers | Geary Securities, Inc. unclassified | Next Financial Group, Inc. other | Other | Aug 3, 2009 | Aug 7, 2009 |
| Michael Francis Zimmer | Mutual Service Corporation unclassified | Next Financial Group, Inc. other | Other | Jul 31, 2009 | Jul 31, 2009 |
| John David Zimmer | Mutual Service Corporation unclassified | Next Financial Group, Inc. other | Other | Jul 31, 2009 | Jul 31, 2009 |
| Thomas Joseph Zimmer | Mutual Service Corporation unclassified | Next Financial Group, Inc. other | Other | Jul 31, 2009 | Jul 31, 2009 |
| Derrik Jacob Hubbard | David S Reinders other | Next Financial Group, Inc. other | Other | Jul 30, 2009 | Jul 2, 2009 |
| Michelle Siano | Cms Wealth Management other | Next Financial Group, Inc. other | Other | Jul 28, 2009 | Oct 9, 2014 (1899 d) |
| Antonio Caso Marshall | Ameriprise Financial Services, LLC national BD | Next Financial Group, Inc. other | Other | Jul 23, 2009 | Jul 2, 2009 |
| Joseph P Charlton | Momentum Independent Network Inc. other | Next Financial Group, Inc. BD affiliated | Other | Jul 20, 2009 | Nov 3, 2021 (4489 d) |