| Joshua John Hattig | Wellstone Securities, LLC unclassified | Planmember Securities Corporation other | Other | Oct 18, 2007 | Oct 17, 2007 |
| H. Terry Martine | Voya Financial Partners, LLC other | Planmember Securities Corporation other | Other | Oct 9, 2007 | Oct 9, 2007 |
| David Lawrence Payne | Voya Financial Partners, LLC other | Planmember Securities Corporation other | Other | Oct 8, 2007 | Nov 5, 2007 |
| Joseph Avallone | Voya Financial Partners, LLC other | Planmember Securities Corporation other | Other | Oct 8, 2007 | Oct 23, 2007 |
| Michael Stephen Berzovich | Voya Financial Partners, LLC other | Planmember Securities Corporation other | Other | Oct 8, 2007 | Oct 10, 2007 |
| Eric Charles Tharp | Voya Financial Partners, LLC other | Planmember Securities Corporation other | Other | Oct 8, 2007 | Oct 10, 2007 |
| David Dotson | Shelgren Financial Group, Inc. unclassified | Planmember Securities Corporation independent RIA | Other | Aug 1, 2007 | Aug 24, 2020 (4772 d) |
| Mark Andrew Schindler | Brookstreet Securities Corporation unclassified | Planmember Securities Corporation other | Other | Jun 27, 2007 | Jun 27, 2007 |
| Clint Michael Thurman | Legend Advisory, LLC other | Planmember Securities Corporation other | Other | May 21, 2007 | Jun 19, 2007 |
| Brady Don Scott | Legend Advisory, LLC other | Planmember Securities Corporation other | Other | May 21, 2007 | Jun 18, 2007 |
| Craig Mckay Kennedy | Citigroup Global Markets Inc. other | Planmember Securities Corporation other | Other | May 7, 2007 | Jun 26, 2009 (781 d) |
| Brooke Richard Wentner | Centaurus Financial, Inc. other | Planmember Securities Corporation other | Other | Apr 20, 2007 | Apr 19, 2007 |
| James Christian Gates | Legend Advisory, LLC other | Planmember Securities Corporation other | Other | Jan 31, 2007 | Sep 26, 2008 (604 d) |
| Peter Brett Sharpe | Banc Of America Investment Services, Inc. unclassified | Planmember Securities Corporation other | Other | Oct 19, 2006 | Oct 13, 2006 |
| Denise Ann-Marie Longshaw | Valic Financial Advisors, Inc. other | Planmember Securities Corporation other | Other | Sep 25, 2006 | Apr 30, 2008 (583 d) |
| Tracy David Gillette | Lincoln Investment other | Planmember Securities Corporation other | Other | Aug 10, 2006 | Aug 10, 2006 |
| Joseph Andrew Ritterhouse | Esi Financial Advisors other | Planmember Securities Corporation other | Other | May 3, 2006 | Jun 23, 2006 (51 d) |
| Chad Howard Milling | Tower Square Securities, Inc. other | Planmember Securities Corporation other | Other | Dec 2, 2005 | Jan 31, 2007 (425 d) |
| Anthony Lafranca | Charles Schwab & Co., Inc. national BD | Planmember Securities Corporation independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 18, 2005 | Jul 26, 2021 (5729 d) |
| Brian Paul Nauman | Lincoln Investment other | Planmember Securities Corporation other | Other | May 6, 2005 | May 5, 2005 |
| Steven Samuel Wittenberg | Pmg Asset Management Inc unclassified | Planmember Securities Corporation other | Other | Feb 4, 2005 | Feb 8, 2005 |
| Charles Delbert Rushmore | Legend Advisory, LLC other | Planmember Securities Corporation other | Other | Feb 1, 2005 | Jan 5, 2005 |
| Steven Craig Neustaedter | Osaic Wealth, Inc. other | Planmember Securities Corporation other | Other | Dec 9, 2004 | Nov 5, 2004 |
| Kent Allen Lalonde | Worthmark Financial Services, LLC unclassified | Planmember Securities Corporation other | Other | Nov 18, 2004 | Nov 17, 2004 |
| Chad Jay Fowers | Sunamerica Securities, Inc. unclassified | Planmember Securities Corporation other | Other | Aug 19, 2004 | Jan 12, 2005 (146 d) |
| Geraldine Ann Schuhmann | Mid Atlantic Financial Management, Inc. other | Planmember Securities Corporation other | Other | May 17, 2004 | Jul 18, 2012 (2984 d) |
| Mark William Rogers | Citicorp Investment Services unclassified | Planmember Securities Corporation other | Other | Mar 31, 2004 | Oct 7, 2011 (2746 d) |
| Jay Edward Badeaux | Voya Financial Advisors, Inc. other | Planmember Securities Corporation other | Other | Mar 23, 2004 | Mar 24, 2004 |
| Kevin Taylor Twohy | Cambridge Investment Research, Inc. unclassified | Planmember Securities Corporation other | Other | Dec 4, 2003 | Dec 3, 2003 |
| Norman James Merhaut | Brecek & Young Advisors, Inc. other | Planmember Securities Corporation other | Other | Nov 20, 2003 | Jan 17, 2007 (1154 d) |
| James Robert Earl | Brecek & Young Advisors, Inc. other | Planmember Securities Corporation other | Other | Nov 13, 2003 | Jan 24, 2007 (1168 d) |
| Marianna Frederick Pauls | Ameriprise Financial Services, LLC national BD | Planmember Securities Corporation other | Other | Sep 8, 2003 | Feb 2, 2005 (513 d) |
| Steven Craig Neustaedter | Vestax Securities Corporation unclassified | Planmember Securities Corporation other | Other | Mar 26, 2003 | Mar 4, 2003 |
| Ari Matthew Litvin | Wells Fargo Investments, LLC unclassified | Planmember Securities Corporation other | Other | Mar 21, 2003 | Jun 5, 2003 (76 d) |
| Albert Jay Munoz | Voya Financial Advisors, Inc. other | Planmember Securities Corporation other | Other | Dec 31, 2002 | Jan 9, 2003 |
| Harry Eugene Licursi | Brecek & Young Advisors, Inc. other | Planmember Securities Corporation other | Other | Dec 20, 2002 | Dec 12, 2002 |
| Elliott Harris | Equitable Advisors, LLC national BD | Planmember Securities Corporation other | Other | Dec 11, 2002 | Sep 20, 2005 (1014 d) |
| Brian Michael Anastasio | Usallianz Securities, Inc. unclassified | Planmember Securities Corporation other | Other | Nov 18, 2002 | Nov 20, 2002 |
| Mary Dee Foft | Morgan Stanley Dw Inc. unclassified | Planmember Securities Corporation other | Other | Oct 2, 2002 | Oct 14, 2005 (1108 d) |
| Anthony Babak Motamedi | Prudential Equity Group, LLC unclassified | Planmember Securities Corporation other | Other | Sep 16, 2002 | Nov 6, 2002 (51 d) |