| Ruben Gonzalez | Calton & Associates, Inc. other | Transamerica Retirement Advisors, LLC other | Other | Sep 23, 2014 | Sep 30, 2014 |
| Byron Blaine | Ameriprise Financial Services, LLC national BD | Transamerica Retirement Advisors, LLC other | Other | Sep 22, 2014 | Sep 29, 2014 |
| David Nathaniel Flora | Transamerica Financial Advisors, LLC other | Transamerica Retirement Advisors, LLC other | Other | Sep 19, 2014 | Sep 23, 2014 |
| Michael Paul Otterson | Strategic Advisers LLC national BD | Transamerica Retirement Advisors, LLC other | Other | Sep 18, 2014 | Sep 30, 2014 |
| Michael Timothy Riley | Strategic Advisers LLC national BD | Transamerica Retirement Advisors, LLC other | Other | Aug 25, 2014 | Oct 21, 2014 (57 d) |
| Robert Lee Evans | Advice And Planning Services other | Transamerica Retirement Advisors, LLC other | Other | Aug 15, 2014 | Aug 8, 2016 (724 d) |
| Jeffrey James Bruce | Ameriprise Financial Services, LLC national BD | Transamerica Retirement Advisors, LLC other | Other | Aug 11, 2014 | Aug 15, 2014 |
| Chad Michael Foslien | Ameriprise Financial Services, LLC national BD | Transamerica Retirement Advisors, LLC other | Other | Jul 11, 2014 | Dec 3, 2016 (876 d) |
| Linda Watson Bowen | Wells Fargo Advisors wirehouse | Transamerica Retirement Advisors, LLC other | Other | Mar 28, 2014 | Apr 2, 2014 |
| David Medina | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Transamerica Retirement Advisors, LLC other | Other | Jan 7, 2014 | Jan 28, 2015 (386 d) |
| Thomas Huffman Engelhard | Fiduciary Associates, LLC unclassified | Transamerica Retirement Advisors, LLC BD affiliated | Other | Jan 3, 2014 | Mar 11, 2020 (2259 d) |
| Michael John Bailey | Transamerica Financial Advisors, LLC other | Transamerica Retirement Advisors, LLC other | Other | Dec 31, 2013 | Mar 13, 2014 (72 d) |
| Mary Elizabeth Rinehart | Transamerica Financial Advisors, LLC other | Transamerica Retirement Advisors, LLC other | Other | Dec 31, 2013 | Mar 25, 2015 (449 d) |
| Laura Therese Pope | Transamerica Financial Advisors, LLC other | Transamerica Retirement Advisors, LLC other | Other | Dec 31, 2013 | Jan 2, 2014 |
| Keith Allen Lunneborg | Transamerica Financial Advisors, LLC other | Transamerica Retirement Advisors, LLC other | Other | Dec 31, 2013 | Jan 3, 2014 |
| Robert Frank Regenfuss | Transamerica Financial Advisors, LLC other | Transamerica Retirement Advisors, LLC other | Other | Dec 31, 2013 | Jan 3, 2014 |
| Britt Eckman Clanton | Transamerica Financial Advisors, LLC other | Transamerica Retirement Advisors, LLC other | Other | Dec 31, 2013 | Jan 2, 2014 |
| Ghada Mohamed El-Gamal | Transamerica Financial Advisors, LLC other | Transamerica Retirement Advisors, LLC other | Other | Dec 31, 2013 | Jan 2, 2014 |
| Travis James Jacobs | Transamerica Financial Advisors, LLC other | Transamerica Retirement Advisors, LLC other | Other | Dec 31, 2013 | Jan 2, 2014 |
| Tyler Lee Rudek | Transamerica Financial Advisors, LLC other | Transamerica Retirement Advisors, LLC other | Other | Dec 31, 2013 | Jan 2, 2014 |
| Diane Marie Aurelio | J P Turner & Company Capital Management, LLC other | Transamerica Retirement Advisors, LLC BD affiliated | Other | Dec 5, 2013 | Nov 9, 2022 (3261 d) |
| Steven Kevin Beller | Ljpr Financial Advisors other | Transamerica Retirement Advisors, LLC other | Other | Nov 20, 2013 | Apr 16, 2014 (147 d) |
| Ryan Lee Sheets | LPL Financial LLC other | Transamerica Retirement Advisors, LLC other | Other | Nov 15, 2013 | Jul 1, 2015 (593 d) |
| Joshua John Schmidt | Strategic Advisers LLC national BD | Transamerica Retirement Advisors, LLC other | Other | Sep 20, 2013 | Jan 14, 2014 (116 d) |
| Barnabas Alexis White | Wells Fargo Advisors wirehouse | Transamerica Retirement Advisors, LLC other | Other | Sep 18, 2013 | Sep 16, 2014 (363 d) |
| Julie Annette Belvedere | Msi Financial Services, Inc. other | Transamerica Retirement Advisors, LLC other | Other | Aug 2, 2013 | Jul 2, 2015 (699 d) |
| Mignon Vonetta Payne | Suntrust Investment Services, Inc. other | Transamerica Retirement Advisors, LLC other | Other | Jul 26, 2013 | Apr 16, 2015 (629 d) |
| Kimberly Weston | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Transamerica Retirement Advisors, LLC mixed wealth | Wirehouse to independent RIA | Mar 22, 2013 | Nov 20, 2018 (2069 d) |
| David Trevor Rix | Strategic Advisers LLC national BD | Transamerica Retirement Advisors, LLC other | Other | Jan 11, 2013 | Jan 14, 2014 (368 d) |
| Yolanda Hyacinth Degrange | Edward Jones national BD | Transamerica Retirement Advisors, LLC other | Other | Nov 13, 2012 | Jun 5, 2014 (569 d) |
| Scott Soenen | Bb&T Investment Services, Inc. no RAUM | Transamerica Retirement Advisors, LLC other | Other | Nov 8, 2012 | Jun 23, 2014 (592 d) |
| Jeffrey Todd Brewer | Osaic Fa, Inc. other | Transamerica Retirement Advisors, LLC other | Other | Oct 15, 2012 | May 28, 2014 (590 d) |
| Rustomji Feroz Dubash | Valic Financial Advisors, Inc. other | Transamerica Retirement Advisors, LLC other | Other | Oct 4, 2012 | Jun 16, 2014 (620 d) |
| April Anne Malicsi Orsi | T. Rowe Price Advisory Services, Inc. no RAUM | Transamerica Retirement Advisors, LLC other | Other | Jul 17, 2012 | Mar 27, 2018 (2079 d) |
| Alan Lee Crouse | Cetera Investment Services LLC other | Transamerica Retirement Advisors, LLC other | Other | May 31, 2012 | May 22, 2014 (721 d) |
| Christina Dee Jamieson | Suntrust Investment Services, Inc. other | Transamerica Retirement Advisors, LLC other | Other | Mar 2, 2012 | Feb 9, 2018 (2170 d) |
| Melanie Susan Graff | Raymond James Financial Services Advisors, Inc other | Transamerica Retirement Advisors, LLC other | Other | Feb 23, 2011 | May 24, 2016 (1917 d) |
| Jason Donald Caperton | Strategic Advisers LLC national BD | Transamerica Retirement Advisors, LLC other | Other | Jan 27, 2011 | Aug 25, 2014 (1306 d) |
| Craig Martz | Next Financial Group, Inc. other | Transamerica Retirement Advisors, LLC other | Other | Jan 12, 2011 | Mar 24, 2015 (1532 d) |
| Bertha M Arias | Strategic Advisers LLC national BD | Transamerica Retirement Advisors, LLC other | Other | May 19, 2010 | May 18, 2016 (2191 d) |
| Milton Jesus Mejia | T. Rowe Price Advisory Services, Inc. no RAUM | Transamerica Retirement Advisors, LLC other | Other | Mar 19, 2010 | Jul 14, 2015 (1943 d) |
| Sean Jeffrey Fletcher | Strategic Advisers LLC national BD | Transamerica Retirement Advisors, LLC other | Other | Jan 12, 2010 | May 15, 2014 (1584 d) |
| Brent Joseph Martinson | Td Ameritrade Investment Management, LLC other | Transamerica Retirement Advisors, LLC other | Other | Jan 12, 2010 | Feb 20, 2014 (1500 d) |
| Joseph Anthony Okraski | Valic Financial Advisors, Inc. other | Transamerica Retirement Advisors, LLC other | Other | Jan 8, 2010 | Jul 9, 2014 (1643 d) |
| Jared Clark Van Moorlehem | Strategic Advisers LLC national BD | Transamerica Retirement Advisors, LLC other | Other | Jan 6, 2010 | Jan 28, 2014 (1483 d) |
| Ryan Thomas Merrell | Citigroup Global Markets Inc. other | Transamerica Retirement Advisors, LLC other | Other | Dec 17, 2009 | May 8, 2014 (1603 d) |
| Allan Norman Hunter | Valic Financial Advisors, Inc. other | Transamerica Retirement Advisors, LLC other | Other | Nov 23, 2009 | Sep 6, 2016 (2479 d) |
| Granville Marquale Jordan | Td Ameritrade, Inc. no RAUM | Transamerica Retirement Advisors, LLC other | Other | Nov 16, 2009 | Apr 25, 2014 (1621 d) |
| Risa L Lamontagne | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Transamerica Retirement Advisors, LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Aug 3, 2009 | Oct 11, 2019 (3721 d) |
| Jeremy Benjamin Neilson | Charles Schwab & Co., Inc. national BD | Transamerica Retirement Advisors, LLC other | Other | Nov 19, 2008 | May 13, 2014 (2001 d) |
| Bryan Bales | Strategic Advisers LLC national BD | Transamerica Retirement Advisors, LLC other | Other | Oct 30, 2008 | Jan 10, 2014 (1898 d) |
| Jerry Wayne Ericson | Strategic Advisers LLC national BD | Transamerica Retirement Advisors, LLC other | Other | Oct 22, 2008 | May 15, 2014 (2031 d) |
| Gary Thomas Merlette | J.P. Morgan Institutional Investments other | Transamerica Retirement Advisors, LLC other | Other | May 12, 2008 | Jun 7, 2017 (3313 d) |
| Spencer Teddy Angell | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Transamerica Retirement Advisors, LLC other | Other | Apr 2, 2008 | Nov 13, 2017 (3512 d) |
| Christine Curtsinger Devries | Wells Fargo Investments, LLC unclassified | Transamerica Retirement Advisors, LLC other | Other | Mar 13, 2008 | Aug 24, 2013 (1990 d) |
| Scott David Jordan | Fidelity Distributors Company LLC unclassified | Transamerica Retirement Advisors, LLC other | Other | Dec 18, 2007 | Nov 18, 2015 (2892 d) |
| Edward Russell Gross | Valic Financial Advisors, Inc. other | Transamerica Retirement Advisors, LLC other | Other | Aug 10, 2007 | Nov 7, 2013 (2281 d) |
| James Blayde Thomas Woodrum | Ameriprise Financial Services, LLC national BD | Transamerica Retirement Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 4, 2006 | May 29, 2019 (4803 d) |
| Randall Scott Kensinger | A. G. Edwards & Sons, Inc. unclassified | Transamerica Retirement Advisors, LLC other | Other | Oct 3, 2005 | Jun 12, 2014 (3174 d) |
| Daren Taruo Suzuki | Uvest Financial Services Group, Inc. unclassified | Transamerica Retirement Advisors, LLC other | Other | Jul 8, 2004 | Sep 18, 2017 (4820 d) |