| Reginald Fitzgerald Tolbert | Msi Financial Services, Inc. other | Independent Financial Partners other | Other | Aug 5, 2016 | Aug 3, 2016 |
| Bryan Matthew Wieferich | Waddell & Reed other | Independent Financial Partners other | Other | Aug 4, 2016 | Jul 28, 2016 |
| Brian Christopher Atwood | Waddell & Reed other | Independent Financial Partners other | Other | Aug 4, 2016 | Jul 28, 2016 |
| Charles Bryan Tutt | Cetera Advisor Networks LLC other | Independent Financial Partners other | Other | Jul 22, 2016 | Jul 21, 2016 |
| Peter Andrew Gregory | Cetera Advisor Networks LLC other | Independent Financial Partners other | Other | Jul 22, 2016 | Jul 21, 2016 |
| Ryan Carey | World Equity Group, Inc. other | Independent Financial Partners other | Other | Jul 19, 2016 | Jul 20, 2016 |
| Shelley Anne Reeves | LPL Financial LLC other | Independent Financial Partners other | Other | Jun 20, 2016 | Nov 30, 2017 (528 d) |
| Jon David Pellecchia | Vsr Advisory Services other | Independent Financial Partners other | Other | Jun 20, 2016 | Jun 20, 2016 |
| Jordana Rose Lokken | J.P. Morgan Securities LLC wirehouse | Independent Financial Partners other | Other | Jun 2, 2016 | Jul 26, 2016 (54 d) |
| Kevin Patrick Donahue | Td Ameritrade Investment Management, LLC other | Independent Financial Partners other | Other | Jun 2, 2016 | Jun 10, 2016 |
| Kevin Patrick Donahue | Td Ameritrade, Inc. no RAUM | Independent Financial Partners other | Other | Jun 2, 2016 | Jun 10, 2016 |
| Nathan Jon Larson | Equitable Advisors, LLC national BD | Independent Financial Partners other | Other | May 16, 2016 | May 20, 2016 |
| Gary Edward Hollander | LPL Financial LLC other | Independent Financial Partners other | Other | May 2, 2016 | Sep 23, 2015 |
| Gregory Aaron Franklin | LPL Financial LLC other | Independent Financial Partners other | Other | May 2, 2016 | Sep 23, 2015 |
| Robert John Ybaben | Cetera Advisor Networks LLC other | Independent Financial Partners other | Other | May 2, 2016 | Jul 6, 2017 (430 d) |
| Neil Allen Bailey | LPL Financial LLC other | Independent Financial Partners other | Other | May 2, 2016 | Sep 23, 2015 |
| Thomas John Alford | Amundi Pioneer Institutional Asset Management, Inc. other | Independent Financial Partners other | Other | Apr 15, 2016 | Jul 1, 2016 (77 d) |
| Barry Scott Green | Platinum Wealth Partners other | Independent Financial Partners other | Other | Apr 1, 2016 | Mar 21, 2016 |
| Vinessa Frances Siano | Ameriprise Financial Services, LLC national BD | Independent Financial Partners other | Other | Mar 30, 2016 | Mar 31, 2016 |
| Robert Calvin Whiteside | Ameritas Advisory Services other | Independent Financial Partners other | Other | Mar 22, 2016 | Feb 29, 2016 |
| Elizabeth V Soto-Delgadillo | LPL Financial LLC other | Independent Financial Partners other | Other | Mar 18, 2016 | Mar 17, 2016 |
| Jason Kent Spencer | LPL Financial LLC other | Independent Financial Partners other | Other | Mar 16, 2016 | Mar 16, 2016 |
| Steven Joseph Radonich | Wells Fargo Advisors wirehouse | Independent Financial Partners BD affiliated | Wirehouse to affiliated broker-dealer or bank | Feb 17, 2016 | Dec 14, 2018 (1031 d) |
| Brian W Ramsey | LPL Financial LLC other | Independent Financial Partners other | Other | Feb 10, 2016 | Feb 11, 2016 |
| Smitha Thomas | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Independent Financial Partners other | Other | Feb 9, 2016 | Feb 3, 2016 |
| Vincent Jude Lapietra | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Independent Financial Partners other | Other | Feb 3, 2016 | Feb 3, 2016 |
| Lori Suzanne Nadglowski | Wealth Advisors Of Tampa Bay other | Independent Financial Partners other | Other | Feb 1, 2016 | Mar 16, 2016 (44 d) |
| Raymond E Hansen | LPL Financial LLC other | Independent Financial Partners other | Other | Jan 28, 2016 | Jan 1, 2012 |
| Scott Allan Ulves | LPL Financial LLC other | Independent Financial Partners other | Other | Jan 25, 2016 | Aug 15, 2012 |
| James Frederick Kimmel | LPL Financial LLC other | Independent Financial Partners other | Other | Jan 25, 2016 | Nov 8, 2011 |
| Brian W Ramsey | Mwm Advisory other | Independent Financial Partners other | Other | Jan 25, 2016 | Feb 11, 2016 |
| Daniel Leonard Ascani | Ameriprise Financial Services, LLC national BD | Independent Financial Partners other | Other | Jan 15, 2016 | Dec 21, 2015 |
| William Frederick Schmidt | Cetera Advisors LLC other | Independent Financial Partners other | Other | Jan 6, 2016 | Jan 20, 2016 |
| Taylor Rae Mavrakos | Lord, Abbett & Co. LLC other | Independent Financial Partners other | Other | Jan 4, 2016 | Apr 27, 2016 (114 d) |
| Christopher Alex Cokinis | Vsr Advisory Services other | Independent Financial Partners other | Other | Dec 31, 2015 | Apr 7, 2016 (98 d) |
| Luis Roberto Prandini | LPL Financial LLC other | Independent Financial Partners other | Other | Dec 18, 2015 | Dec 9, 2015 |
| Dianne Lynn Paroubek | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Independent Financial Partners other | Other | Dec 18, 2015 | Dec 17, 2015 |
| Erick Glenn Schenkhuizen | LPL Financial LLC other | Independent Financial Partners other | Other | Dec 17, 2015 | Aug 7, 2012 |
| Brian Adam Rosen | Equitable Advisors, LLC national BD | Independent Financial Partners other | Other | Dec 9, 2015 | Dec 16, 2015 |
| Jonathan Singer Novy | Equitable Advisors, LLC national BD | Independent Financial Partners other | Other | Dec 4, 2015 | Dec 16, 2015 |
| Ferdinand Perez Pernia | Wells Fargo Advisors wirehouse | Independent Financial Partners other | Other | Dec 2, 2015 | Nov 30, 2015 |
| Brett Matthew Ramsey | LPL Financial LLC other | Independent Financial Partners other | Other | Nov 25, 2015 | Apr 26, 2016 (153 d) |
| Jason Billups | LPL Financial LLC other | Independent Financial Partners other | Other | Nov 13, 2015 | Nov 6, 2015 |
| Richard Gordon Tarbell | Ameriprise Financial Services, LLC national BD | Independent Financial Partners other | Other | Nov 3, 2015 | Oct 23, 2015 |
| John David Davis | LPL Financial LLC other | Independent Financial Partners other | Other | Nov 2, 2015 | Feb 14, 2014 |
| Trish Le | J P Turner & Company Capital Management, LLC other | Independent Financial Partners other | Other | Nov 2, 2015 | Apr 11, 2016 (161 d) |
| Christopher J Nickoloff | LPL Financial LLC other | Independent Financial Partners other | Other | Oct 30, 2015 | Sep 4, 2014 |
| Nicholas Kevin Callesen | LPL Financial LLC other | Independent Financial Partners other | Other | Oct 29, 2015 | Mar 17, 2014 |
| Chad R Gordon | LPL Financial LLC other | Independent Financial Partners other | Other | Oct 29, 2015 | Jun 6, 2014 |
| Michael T Goddard | LPL Financial LLC other | Independent Financial Partners other | Other | Oct 29, 2015 | Jun 25, 2013 |
| Andres Mauricio Romero | Msi Financial Services, Inc. other | Independent Financial Partners other | Other | Sep 22, 2015 | Sep 11, 2015 |
| Shane Jay Hill | Wells Fargo Advisors wirehouse | Independent Financial Partners other | Other | Aug 18, 2015 | Aug 18, 2015 |
| Mark M Jaeger | Pnc Wealth Management other | Independent Financial Partners BD affiliated | Other | Jul 29, 2015 | Dec 5, 2019 (1590 d) |
| Lindsey Nelson Toole | Northwestern Mutual Investment Services,LLC other | Independent Financial Partners other | Other | Jul 17, 2015 | Aug 6, 2015 |
| Ernest Paul Carrera | Jhs Capital Advisors, LLC other | Independent Financial Partners other | Other | Jul 10, 2015 | Mar 8, 2016 (242 d) |
| Christopher Peter Michael Hersel | Mmc Securities LLC no RAUM | Independent Financial Partners other | Other | Jul 7, 2015 | Jul 24, 2015 |
| Bradley Marc Mann | Private Wealth Alliance, LLC unclassified | Independent Financial Partners other | Other | Jun 19, 2015 | Dec 8, 2015 (172 d) |
| Amilka Nmn Delgado | Private Wealth Alliance, LLC unclassified | Independent Financial Partners other | Other | Jun 19, 2015 | Apr 29, 2015 |
| Jonathan Taylor Gade | J.P. Morgan Securities LLC wirehouse | Independent Financial Partners BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jun 12, 2015 | Jan 1, 2025 (3491 d) |
| Ronald Arthur Woody | Wells Fargo Advisors wirehouse | Independent Financial Partners other | Other | May 27, 2015 | May 22, 2015 |