| Jeffery Jay Seitz | Kovack Advisors, Inc. other | Cetera Advisors LLC other | Other | Mar 12, 2012 | Mar 8, 2012 |
| Gregory Neil Mayes | Bb&T Investment Services, Inc. no RAUM | Cetera Advisors LLC other | Other | Feb 24, 2012 | Jul 5, 2012 (132 d) |
| Lance Aaron Presley | Voya Financial Advisors, Inc. other | Cetera Advisors LLC other | Other | Feb 21, 2012 | Feb 29, 2012 |
| Mark Dennie Howard | Prospera Financial Services, Inc. other | Cetera Advisors LLC other | Other | Feb 21, 2012 | Apr 9, 2013 (413 d) |
| Alan Thomas Topolski | Equitable Advisors, LLC national BD | Cetera Advisors LLC other | Other | Feb 13, 2012 | Mar 6, 2012 |
| Chad Erwin Colbert | Invest Financial Corporation other | Cetera Advisors LLC other | Other | Feb 13, 2012 | Feb 15, 2012 |
| Robert Stephan Ruckman | Edward Jones national BD | Cetera Advisors LLC other | Other | Feb 3, 2012 | Mar 5, 2012 (31 d) |
| Michael James Shonsey | Securities America Advisors, Inc. other | Cetera Advisors LLC other | Other | Jan 17, 2012 | Jan 20, 2012 |
| Kelly Jo Goreham | Cuna Brokerage Services, Inc. other | Cetera Advisors LLC other | Other | Jan 3, 2012 | Dec 19, 2011 |
| Howard Friedman | Equitable Advisors, LLC national BD | Cetera Advisors LLC other | Other | Dec 22, 2011 | Jun 16, 2015 (1272 d) |
| David Joseph Perrotto | Chase Investment Services Corp. other | Cetera Advisors LLC other | Other | Dec 15, 2011 | Mar 2, 2012 (78 d) |
| Tom Keith Barclay | Cambridge Investment Research Advisors, Inc. other | Cetera Advisors LLC other | Other | Dec 14, 2011 | Dec 12, 2011 |
| Nicholas Jay Cordle | Cambridge Investment Research Advisors, Inc. other | Cetera Advisors LLC other | Other | Dec 14, 2011 | Dec 12, 2011 |
| Jeffrey Lawrence Swearingen | Cambridge Investment Research Advisors, Inc. other | Cetera Advisors LLC other | Other | Dec 14, 2011 | Dec 12, 2011 |
| Laura Ann Cooley | H. Beck, Inc. other | Cetera Advisors LLC other | Other | Nov 18, 2011 | Dec 16, 2011 |
| Glen C Kellam | Kellam Financial Planning, Inc. unclassified | Cetera Advisors LLC other | Other | Nov 4, 2011 | Oct 18, 2011 |
| Kristin Kay Schroeder | Edward Jones national BD | Cetera Advisors LLC other | Other | Nov 2, 2011 | Feb 7, 2013 (463 d) |
| Collin Robert Fingon | H. Beck, Inc. other | Cetera Advisors LLC other | Other | Oct 26, 2011 | Nov 9, 2011 |
| Brice Ranier Thompson | Wells Fargo Advisors wirehouse | Cetera Advisors LLC other | Other | Oct 19, 2011 | Oct 17, 2011 |
| Frank John Petrocelli | Wells Fargo Advisors wirehouse | Cetera Advisors LLC other | Other | Sep 20, 2011 | Sep 16, 2011 |
| Carrie Ann Wells | Questar Asset Management, Inc. other | Cetera Advisors LLC other | Other | Jul 13, 2011 | Jul 1, 2011 |
| Christopher Lee Jones | Next Financial Group, Inc. other | Cetera Advisors LLC other | Other | Jun 20, 2011 | Jun 17, 2011 |
| Shannon Kelly Klug | Hantz Financial Services, Inc. no RAUM | Cetera Advisors LLC other | Other | Jun 10, 2011 | May 13, 2011 |
| Henry Jay Guzzo | Hantz Financial Services, Inc. no RAUM | Cetera Advisors LLC other | Other | Jun 10, 2011 | May 18, 2011 |
| Nathan James Fiser | Voya Financial Advisors, Inc. other | Cetera Advisors LLC other | Other | Jun 10, 2011 | May 16, 2011 |
| Jill Syracuse | Hantz Financial Services, Inc. no RAUM | Cetera Advisors LLC other | Other | Jun 10, 2011 | May 13, 2011 |
| Michael Roush | Charles Schwab & Co., Inc. national BD | Cetera Advisors LLC other | Other | May 23, 2011 | Jul 1, 2011 (39 d) |
| Patrice Aileen Lancelot | Ensemble Financial Services, Inc. unclassified | Cetera Advisors LLC other | Other | May 11, 2011 | May 10, 2011 |
| Kendall Charles Lovett | Sii Investments, Inc. other | Cetera Advisors LLC other | Other | Apr 20, 2011 | Mar 21, 2011 |
| Katherine Kammerzell Vessenes | Larson Financial Group, LLC other | Cetera Advisors LLC other | Other | Mar 31, 2011 | Jan 29, 2013 (670 d) |
| Marie Sharon Everitt | Edward Jones national BD | Cetera Advisors LLC other | Other | Mar 30, 2011 | Jul 12, 2011 (104 d) |
| Darla Diane Main | Main Advisory Incorporated unclassified | Cetera Advisors LLC other | Other | Feb 24, 2011 | Jan 1, 2004 |
| Brian Michael Gross | Qa3 Financial LLC unclassified | Cetera Advisors LLC other | Other | Feb 11, 2011 | Feb 18, 2011 |
| Brian Timothy Farris | Qa3 Financial LLC unclassified | Cetera Advisors LLC other | Other | Feb 11, 2011 | Feb 18, 2011 |
| Scott Timothy Cavey | Qa3 Financial LLC unclassified | Cetera Advisors LLC other | Other | Feb 11, 2011 | Feb 18, 2011 |
| Lindsay Jo Dockter-Holub | B. C. Ziegler And Company other | Cetera Advisors LLC other | Other | Feb 11, 2011 | Feb 15, 2011 |
| Teresa Elizabeth Milner | Qa3 Financial LLC unclassified | Cetera Advisors LLC other | Other | Feb 11, 2011 | Feb 15, 2011 |
| Julie L Taylor | Eagle Strategies LLC other | Cetera Advisors LLC other | Other | Jan 31, 2011 | Feb 22, 2011 |
| June Kelly Flint | Pruco Securities, LLC other | Cetera Advisors LLC other | Other | Jan 14, 2011 | Feb 4, 2011 |
| Robert Mark Wheatley | MML Investors Services, LLC other | Cetera Advisors LLC other | Other | Jan 11, 2011 | Jan 3, 2011 |
| Daniel Winston Maurer | Curian Capital, LLC other | Cetera Advisors LLC other | Other | Jan 4, 2011 | Feb 9, 2011 (36 d) |
| Bryan Jeffrey Koslow | World Advisory Services other | Cetera Advisors LLC other | Other | Jan 4, 2011 | Jan 3, 2011 |
| Gregory Joseph Paine | Pacific West Financial Consultants Inc other | Cetera Advisors LLC other | Other | Dec 31, 2010 | May 7, 2012 (493 d) |
| Richard M Hoe | First Independent Advisory Services, Inc. unclassified | Cetera Advisors LLC other | Other | Dec 31, 2010 | Dec 21, 2010 |
| Terri M Jarrell | Gwn Securities Inc. other | Cetera Advisors LLC other | Other | Dec 31, 2010 | Jan 12, 2011 |
| Jeffrey D Smith | Msi Financial Services, Inc. other | Cetera Advisors LLC other | Other | Dec 16, 2010 | Dec 3, 2010 |
| Sharon Ifrach | Msi Financial Services, Inc. other | Cetera Advisors LLC other | Other | Dec 16, 2010 | Dec 3, 2010 |
| Preeti Shah | LPL Financial LLC other | Cetera Advisors LLC other | Other | Dec 1, 2010 | Sep 19, 2012 (658 d) |
| Bruce Alan Mazo | Osaic Fa, Inc. other | Cetera Advisors LLC other | Other | Nov 1, 2010 | Oct 29, 2010 |
| John Michael Shelton | Centara Capital Management Group, Inc. other | Cetera Advisors LLC other | Other | Sep 8, 2010 | Sep 29, 2010 |
| Curtis Bradley Goddard | Securian Financial Services, Inc. other | Cetera Advisors LLC other | Other | Aug 24, 2010 | Oct 22, 2012 (790 d) |
| Craig Donald Lefeber | Hsbc Securities (USA) Inc. other | Cetera Advisors LLC other | Other | Jul 21, 2010 | Jul 20, 2010 |
| Ryan Paul Forster | U.S. Bancorp Investments, Inc. other | Cetera Advisors LLC other | Other | Jun 25, 2010 | Jun 18, 2010 |
| Kent Eugene Rains | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Cetera Advisors LLC other | Other | Jun 1, 2010 | May 28, 2010 |
| Louis Kin Shing Lo | Xtent Financial Group, Inc. unclassified | Cetera Advisors LLC other | Other | Mar 15, 2010 | Feb 1, 2011 (323 d) |
| Brent Thomas Boden | Msi Financial Services, Inc. other | Cetera Advisors LLC other | Other | Feb 19, 2010 | Nov 9, 2012 (994 d) |
| Danny D Albertson | Morgan Stanley wirehouse | Cetera Advisors LLC other | Other | Jan 7, 2010 | Apr 11, 2013 (1190 d) |
| Richard Scott Carver | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Cetera Advisors LLC other | Other | Nov 10, 2009 | Nov 6, 2009 |
| Michael Raspallo | MML Investors Services, LLC other | Cetera Advisors LLC other | Other | Nov 5, 2009 | Nov 2, 2009 |
| Chad Wayne Reed | LPL Financial LLC other | Cetera Advisors LLC other | Other | Jul 21, 2009 | Apr 1, 2010 (254 d) |