| Melisa Mae Lloyd | Investors Capital Advisory other | J. W. Cole Advisors, Inc. other | Other | Jul 29, 2016 | Aug 4, 2016 |
| Joshua Daniel Cloke | Invest Financial Corporation other | J. W. Cole Advisors, Inc. other | Other | Apr 29, 2016 | Apr 19, 2016 |
| Curtis Van Cloke | Invest Financial Corporation other | J. W. Cole Advisors, Inc. other | Other | Apr 26, 2016 | Apr 19, 2016 |
| Elizabeth Lee Whitteberry | Voya Financial Advisors, Inc. other | J. W. Cole Advisors, Inc. other | Other | Apr 18, 2016 | Apr 18, 2016 |
| Barrington Darby Brower | Cambridge Investment Research Advisors, Inc. other | J. W. Cole Advisors, Inc. other | Other | Apr 6, 2016 | Jun 29, 2016 (84 d) |
| John Thomas Pharr | Park Avenue Securities LLC other | J. W. Cole Advisors, Inc. other | Other | Mar 30, 2016 | Jul 12, 2016 (104 d) |
| William J Brooke | Transamerica Financial Advisors, LLC other | J. W. Cole Advisors, Inc. other | Other | Mar 5, 2016 | Mar 10, 2016 |
| Pablo Ildefonso Balart | Transamerica Financial Advisors, LLC other | J. W. Cole Advisors, Inc. other | Other | Mar 5, 2016 | Mar 15, 2016 |
| Ann Margaret Johnson | Mutual Trust Asset Mgmt., Inc. other | J. W. Cole Advisors, Inc. other | Other | Mar 4, 2016 | Jan 28, 2016 |
| Charles Marion Fetters | National Planning Corporation ("Npc Of America" In Fl & Ny) other | J. W. Cole Advisors, Inc. other | Other | Mar 3, 2016 | Mar 2, 2016 |
| Corrin Gibbs Burke | National Planning Corporation ("Npc Of America" In Fl & Ny) other | J. W. Cole Advisors, Inc. other | Other | Mar 3, 2016 | Mar 3, 2016 |
| Andrea Lee Wolfe | National Planning Corporation ("Npc Of America" In Fl & Ny) other | J. W. Cole Advisors, Inc. other | Other | Mar 3, 2016 | Mar 2, 2016 |
| Kirby Smith Sale | Edward Jones national BD | J. W. Cole Advisors, Inc. other | Other | Mar 2, 2016 | Jun 15, 2016 (105 d) |
| David William Parsons | Transamerica Financial Advisors, LLC other | J. W. Cole Advisors, Inc. other | Other | Mar 2, 2016 | Feb 16, 2016 |
| Lindell G Douglas | Ameriprise Financial Services, LLC national BD | J. W. Cole Advisors, Inc. other | Other | Dec 24, 2015 | Dec 2, 2015 |
| Bryan G Nill | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | J. W. Cole Advisors, Inc. other | Other | Dec 16, 2015 | Dec 13, 2017 (728 d) |
| Jean Paulette Larsen | Questar Asset Management, Inc. other | J. W. Cole Advisors, Inc. other | Other | Nov 4, 2015 | Nov 27, 2017 (754 d) |
| Trevor Olaf Johnson | Edward Jones national BD | J. W. Cole Advisors, Inc. other | Other | Oct 12, 2015 | Oct 20, 2015 |
| Jeremy Kyle David | Tlg Advisors, Inc. other | J. W. Cole Advisors, Inc. other | Other | Oct 1, 2015 | Oct 1, 2015 |
| Austin Kyle Vealey | Money Concepts Advisory Service other | J. W. Cole Advisors, Inc. other | Other | Jul 29, 2015 | Aug 12, 2015 |
| John Andrew Hasslacher | Commonwealth Financial Network national BD | J. W. Cole Advisors, Inc. other | Other | Jul 8, 2015 | Jul 15, 2015 |
| Elizabeth Ann Belisle | Commonwealth Financial Network national BD | J. W. Cole Advisors, Inc. other | Other | Jul 8, 2015 | Jul 15, 2015 |
| Edwin Alan Cox | Summit Financial Group Inc other | J. W. Cole Advisors, Inc. other | Other | Jun 12, 2015 | Jun 12, 2015 |
| Nancy Lynn Beck | Oneamerica Securities, Inc. other | J. W. Cole Advisors, Inc. other | Other | Jun 3, 2015 | May 8, 2015 |
| Amy Elizabeth Bennage | Independent Financial Group, LLC other | J. W. Cole Advisors, Inc. other | Other | May 19, 2015 | May 18, 2015 |
| Joseph Iannuzzo | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | J. W. Cole Advisors, Inc. other | Other | Apr 10, 2015 | May 3, 2017 (754 d) |
| Kathleen Anne Harris | United Capital Financial Advisors other | J. W. Cole Advisors, Inc. other | Other | Apr 2, 2015 | Apr 8, 2015 |
| Theodore M Moyer | Spc other | J. W. Cole Advisors, Inc. other | Other | Mar 31, 2015 | Apr 9, 2015 |
| Keith Leon Glaser | Platinum Wealth Partners other | J. W. Cole Advisors, Inc. other | Other | Feb 13, 2015 | Oct 9, 2014 |
| Scott Christopher Jackson | Platinum Wealth Partners other | J. W. Cole Advisors, Inc. other | Other | Feb 13, 2015 | Oct 6, 2014 |
| Scott William Shaw | Park Avenue Securities LLC other | J. W. Cole Advisors, Inc. other | Other | Jan 28, 2015 | Jan 14, 2015 |
| Danielle Leigh Delongchamp | Spc other | J. W. Cole Advisors, Inc. other | Other | Jan 26, 2015 | Feb 10, 2015 |
| Michael A Greer | Fsc Securities Corporation other | J. W. Cole Advisors, Inc. other | Other | Jan 22, 2015 | Sep 18, 2015 (239 d) |
| Martyn Joseph Ballestero | Invest Financial Corporation other | J. W. Cole Advisors, Inc. other | Other | Jan 6, 2015 | Jan 16, 2015 |
| Peter D. Horwitch | New England Securities Corporation other | J. W. Cole Advisors, Inc. other | Other | Dec 8, 2014 | Dec 1, 2014 |
| Kathleen Elizabeth Owings | New England Securities Corporation other | J. W. Cole Advisors, Inc. other | Other | Dec 8, 2014 | Dec 1, 2014 |
| Steven Craig Serinsky | Edward Jones national BD | J. W. Cole Advisors, Inc. other | Other | Nov 11, 2014 | Nov 20, 2014 |
| Jeffrey Steven Emmeluth | Edward Jones national BD | J. W. Cole Advisors, Inc. other | Other | Oct 31, 2014 | Jan 7, 2015 (68 d) |
| Mark A Ruhe | Assetmark, Inc. other | J. W. Cole Advisors, Inc. other | Other | Oct 7, 2014 | Sep 14, 2015 (342 d) |
| Matthew J Lebo | Santander Securities other | J. W. Cole Advisors, Inc. BD affiliated | Other | Sep 25, 2014 | Jun 24, 2019 (1733 d) |
| Evan Christopher Conley | MML Investors Services, LLC other | J. W. Cole Advisors, Inc. other | Other | Sep 23, 2014 | Jan 7, 2015 (106 d) |
| Ann Brogan Martin | Kalos Management other | J. W. Cole Advisors, Inc. other | Other | Sep 10, 2014 | Oct 2, 2014 |
| Jude Harvey Wilson | First Allied Advisory Services, Inc. other | J. W. Cole Advisors, Inc. other | Other | Aug 29, 2014 | Aug 20, 2014 |
| Stephen Thomas Hartman | Momentum Independent Network Inc. other | J. W. Cole Advisors, Inc. other | Other | Aug 25, 2014 | Aug 5, 2014 |
| James Andrew Bauer | Cetera Investment Advisers LLC other | J. W. Cole Advisors, Inc. other | Other | Aug 22, 2014 | Aug 20, 2014 |
| Richard Paul Sabo | Spc other | J. W. Cole Advisors, Inc. other | Other | Aug 14, 2014 | Aug 18, 2014 |
| Sean Michael Burr | J P Turner & Company Capital Management, LLC other | J. W. Cole Advisors, Inc. other | Other | Aug 8, 2014 | Aug 1, 2014 |
| Troy Lane Stine | First Allied Advisory Services, Inc. other | J. W. Cole Advisors, Inc. other | Other | Jul 24, 2014 | Jun 11, 2014 |
| Matthew Scott Shaw | Park Avenue Securities LLC other | J. W. Cole Advisors, Inc. other | Other | Jul 24, 2014 | Jul 18, 2014 |
| Don Wesley Salter | First Allied Advisory Services, Inc. other | J. W. Cole Advisors, Inc. other | Other | Jul 9, 2014 | Jul 2, 2014 |
| Timothy Matthew Schultz | Raymond James Financial Services Advisors, Inc other | J. W. Cole Advisors, Inc. other | Other | Jun 25, 2014 | Jul 25, 2014 |
| Douglas John Collier | Osaic Fa, Inc. other | J. W. Cole Advisors, Inc. other | Other | Feb 25, 2014 | Feb 27, 2014 |
| Evan Taejin Chung | Securities America Advisors, Inc. other | J. W. Cole Advisors, Inc. other | Other | Jan 31, 2014 | Feb 12, 2014 |
| Rolly Randolph White | Hornor, Townsend & Kent, LLC other | J. W. Cole Advisors, Inc. other | Other | Jan 30, 2014 | Feb 11, 2014 |
| Kimberle Marie Dyer | Transamerica Financial Advisors, LLC other | J. W. Cole Advisors, Inc. other | Other | Jan 13, 2014 | Jan 2, 2015 (354 d) |
| Paul Richard Quinn | Berthel Fisher & Company Financial Services, Inc. other | J. W. Cole Advisors, Inc. other | Other | Dec 31, 2013 | Jan 10, 2014 |
| Josh Adam Jalinski | World Advisory Services other | J. W. Cole Advisors, Inc. other | Other | Oct 30, 2013 | Oct 18, 2013 |
| Michael Thomas Fidler | Spc other | J. W. Cole Advisors, Inc. other | Other | Oct 7, 2013 | Oct 22, 2013 |
| Gerri A Harrison | Voya Financial Advisors, Inc. other | J. W. Cole Advisors, Inc. other | Other | Sep 3, 2013 | Aug 11, 2015 (707 d) |
| James Philip Neshewat | Park Avenue Securities LLC other | J. W. Cole Advisors, Inc. other | Other | Aug 27, 2013 | Aug 28, 2013 |