| Andrew Scott Passmore | MML Investors Services, LLC other | Concourse Financial Group Advisors other | Other | May 5, 2010 | Apr 30, 2010 |
| Kirk Samuel Weldy | Edward Jones national BD | Concourse Financial Group Advisors other | Other | Apr 19, 2010 | Apr 26, 2010 |
| Kristine Jane Witherow | Geneos Wealth Management, Inc. other | Concourse Financial Group Advisors other | Other | Apr 7, 2010 | Jun 2, 2010 (56 d) |
| Deren Reid | Msi Financial Services, Inc. other | Concourse Financial Group Advisors other | Other | Mar 30, 2010 | Jun 23, 2010 (85 d) |
| Gregory Ben Pillow | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Concourse Financial Group Advisors other | Other | Mar 26, 2010 | Mar 26, 2010 |
| Janey L Kegley | Chase Investment Services Corp. other | Concourse Financial Group Advisors other | Other | Feb 9, 2010 | Apr 6, 2010 (56 d) |
| Darryl Richard Wilson | First Legacy Securities, LLC unclassified | Concourse Financial Group Advisors other | Other | Feb 3, 2010 | Feb 11, 2010 |
| David Charles Haman | Woodbury Financial Services, Inc. other | Concourse Financial Group Advisors other | Other | Feb 2, 2010 | Feb 1, 2010 |
| Scott Anthony Bass | Msi Financial Services, Inc. other | Concourse Financial Group Advisors other | Other | Jan 5, 2010 | Jan 26, 2010 |
| Kevin Spafford | Legacy By Design unclassified | Concourse Financial Group Advisors other | Other | Dec 31, 2009 | Mar 18, 2009 |
| Randall Heath Morris | Wells Fargo Advisors wirehouse | Concourse Financial Group Advisors other | Other | Dec 31, 2009 | Feb 9, 2010 (40 d) |
| Charles Edward Howell | Kovack Advisors, Inc. other | Concourse Financial Group Advisors other | Other | Dec 31, 2009 | Jun 3, 2010 (154 d) |
| James Brian Dillon | Pnc Wealth Management other | Concourse Financial Group Advisors other | Other | Dec 3, 2009 | Jan 5, 2010 (33 d) |
| Shari Hopkins | Chase Investment Services Corp. other | Concourse Financial Group Advisors other | Other | Nov 10, 2009 | Jun 2, 2010 (204 d) |
| James Ray Julian | Osaic Wealth, Inc. other | Concourse Financial Group Advisors other | Other | Nov 3, 2009 | Feb 24, 2010 (113 d) |
| Samuel A Julian | Osaic Wealth, Inc. other | Concourse Financial Group Advisors other | Other | Nov 3, 2009 | Nov 10, 2009 |
| Kenneth Wayne Askew | Cetera Advisor Networks LLC other | Concourse Financial Group Advisors other | Other | Oct 21, 2009 | Oct 26, 2009 |
| Jordan Girton | Morgan Keegan & Company, LLC other | Concourse Financial Group Advisors other | Other | Oct 20, 2009 | Jan 7, 2010 (79 d) |
| Andrew Lawrence Zorovich | Qa3 Financial LLC unclassified | Concourse Financial Group Advisors other | Other | Oct 19, 2009 | Nov 16, 2009 |
| Jeffrey James Mcavaddy | Qa3 Financial LLC unclassified | Concourse Financial Group Advisors other | Other | Oct 19, 2009 | Nov 24, 2009 (36 d) |
| Michael Kevin Lewallen | John Hancock Investment Management LLC other | Concourse Financial Group Advisors other | Other | Oct 13, 2009 | Nov 2, 2009 |
| Jerry Gross | Equitable Advisors, LLC national BD | Concourse Financial Group Advisors other | Other | Oct 6, 2009 | Oct 1, 2009 |
| Keith Howell Foster | New England Securities Corporation other | Concourse Financial Group Advisors other | Other | Sep 25, 2009 | Sep 30, 2009 |
| Michael Lionel Mendes | Uvest Financial Services Group, Inc. unclassified | Concourse Financial Group Advisors other | Other | Aug 31, 2009 | Oct 30, 2014 (1886 d) |
| Sherry Bolling | Fifth Third Securities, Inc. other | Concourse Financial Group Advisors other | Other | Aug 21, 2009 | Sep 8, 2010 (383 d) |
| Stephen Tallmadge Kernahan | LPL Financial LLC other | Concourse Financial Group Advisors other | Other | Jul 27, 2009 | Nov 2, 2012 (1194 d) |
| Jeremiah Eli Patterson | Nfp Advisor Services, LLC other | Concourse Financial Group Advisors other | Other | Jul 2, 2009 | Jul 13, 2009 |
| Adam Detweiler Savanick | Everence Trust Company other | Concourse Financial Group Advisors other | Other | Jul 2, 2009 | Jul 2, 2009 |
| Marc Normand Paquette | Invest Financial Corporation other | Concourse Financial Group Advisors other | Other | May 27, 2009 | Jun 18, 2009 |
| Adam Charles Shea | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Concourse Financial Group Advisors other | Other | Apr 27, 2009 | Dec 10, 2010 (592 d) |
| Paul Benson Marks | Wealthspire Advisors other | Concourse Financial Group Advisors other | Other | Mar 30, 2009 | Apr 3, 2009 |
| Matthew William Holmes | Cleararc Capital, Inc. other | Concourse Financial Group Advisors other | Other | Mar 23, 2009 | Jan 8, 2010 (291 d) |
| Scott Alton Ueckert | LPL Financial LLC other | Concourse Financial Group Advisors other | Other | Jan 28, 2009 | Mar 10, 2009 (41 d) |
| Edmund Kean John | Bny Mellon Advisors, Inc. other | Concourse Financial Group Advisors other | Other | Jan 23, 2009 | Nov 1, 2010 (647 d) |
| James Eugene Finkle | Transamerica Financial Advisors, LLC other | Concourse Financial Group Advisors other | Other | Dec 31, 2008 | Jan 9, 2009 |
| Perry Lee Diede | LPL Financial LLC other | Concourse Financial Group Advisors other | Other | Dec 31, 2008 | Jan 7, 2014 (1833 d) |
| Jeffrey Alan Umbaugh | Umbaugh Financial unclassified | Concourse Financial Group Advisors other | Other | Dec 31, 2008 | Nov 18, 2008 |
| Nicholle Ann Zoltaszek | Edward Jones national BD | Concourse Financial Group Advisors other | Other | Dec 23, 2008 | Jun 16, 2010 (540 d) |
| Jeffery Wen-Jun Hwang | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Concourse Financial Group Advisors other | Other | Dec 22, 2008 | Feb 24, 2009 (64 d) |
| David Elliot Erb | Suntrust Investment Services, Inc. other | Concourse Financial Group Advisors other | Other | Sep 18, 2008 | Oct 10, 2008 |
| Bobby Mitchell Taylor | Edward Jones national BD | Concourse Financial Group Advisors other | Other | Sep 16, 2008 | Oct 15, 2008 |
| Charles Lee | Banc Of America Investment Services, Inc. unclassified | Concourse Financial Group Advisors other | Other | Jul 2, 2008 | Jun 30, 2010 (728 d) |
| Richard Lee Bartholomew | Citigroup Global Markets Inc. other | Concourse Financial Group Advisors other | Other | Jun 30, 2008 | Jul 8, 2008 |
| Brian Allen Peardon | Eagle Strategies LLC other | Concourse Financial Group Advisors other | Other | Jun 12, 2008 | Jun 12, 2008 |
| Jon Raymond Winteregg | Langdon Shaw Associates, Inc. unclassified | Concourse Financial Group Advisors other | Other | May 27, 2008 | May 7, 2008 |
| Mark Elmer Stevenson | Osaic Fs, Inc. other | Concourse Financial Group Advisors other | Other | May 6, 2008 | May 6, 2008 |
| James Kevin Noble | Banc Of America Investment Services, Inc. unclassified | Concourse Financial Group Advisors other | Other | May 6, 2008 | Apr 6, 2009 (335 d) |
| Robert John Lobdell | Osaic Fs, Inc. other | Concourse Financial Group Advisors other | Other | Apr 15, 2008 | Apr 21, 2008 |
| Brian J Dillman | Nrp Financial, Inc. unclassified | Concourse Financial Group Advisors other | Other | Apr 7, 2008 | May 6, 2008 |
| Arthur Cole Garcia | Osaic Fs, Inc. other | Concourse Financial Group Advisors other | Other | Mar 31, 2008 | Mar 31, 2008 |
| Glenn Dale Weyand | Bull & Bear Capital Advisors, LLC other | Concourse Financial Group Advisors other | Other | Mar 12, 2008 | Mar 28, 2008 |
| Maureen Lynn O'Hara-Ganz | R & M Consultants, Ltd. state registered | Concourse Financial Group Advisors other | Other | Feb 29, 2008 | Oct 26, 2001 |
| Neal James Hebert | Signator Financial Services, Inc. other | Concourse Financial Group Advisors other | Other | Feb 15, 2008 | May 23, 2016 (3020 d) |
| Patrick Keen | Raymond James Financial Services, Inc. unclassified | Concourse Financial Group Advisors other | Other | Nov 13, 2007 | Nov 9, 2007 |
| Kyle Nathaniel Dishong | Raymond James Financial Services, Inc. unclassified | Concourse Financial Group Advisors other | Other | Nov 13, 2007 | Nov 12, 2007 |
| Kevin Robert Loffredi | LPL Financial LLC other | Concourse Financial Group Advisors other | Other | Nov 9, 2007 | Dec 12, 2007 (33 d) |
| Rachel Tracy Smith | Edward Jones national BD | Concourse Financial Group Advisors other | Other | Oct 31, 2007 | Jan 22, 2008 (83 d) |
| Brent Wagner | Huntington Financial Advisors other | Concourse Financial Group Advisors other | Other | Oct 29, 2007 | Oct 15, 2009 (717 d) |
| David Harold Grubbs | LPL Financial LLC other | Concourse Financial Group Advisors other | Other | Oct 17, 2007 | Nov 26, 2007 (40 d) |
| Clifford William Shirah | Fsc Securities Corporation other | Concourse Financial Group Advisors other | Other | Sep 17, 2007 | Sep 18, 2007 |