| Gregory Allen Phillips | Osaic Fa, Inc. other | H. Beck, Inc. other | Other | Aug 16, 2006 | Aug 14, 2006 |
| Patrick Gennaro Perrotta | Morgan Stanley Dw Inc. unclassified | H. Beck, Inc. other | Other | Jun 7, 2006 | Sep 15, 2006 (100 d) |
| Ostomy Matthew | Financial West Group other | H. Beck, Inc. BD affiliated | Other | Jun 6, 2006 | Aug 3, 2018 (4441 d) |
| Rebecca Shea Newton | A. G. Edwards & Sons, Inc. unclassified | H. Beck, Inc. other | Other | May 31, 2006 | Jan 8, 2008 (587 d) |
| Jonah B Caldwell | Equitable Advisors, LLC national BD | H. Beck, Inc. other | Other | May 15, 2006 | Jul 23, 2014 (2991 d) |
| Kathleen Finn | A. G. Edwards & Sons, Inc. unclassified | H. Beck, Inc. other | Other | Mar 8, 2006 | May 4, 2006 (57 d) |
| Chere Lynn High-Robles | American Portfolios Advisors, Inc other | H. Beck, Inc. other | Other | Feb 23, 2006 | Feb 14, 2017 (4009 d) |
| Joseph Mcdonald Oliver | LPL Financial LLC other | H. Beck, Inc. other | Other | Feb 2, 2006 | Feb 1, 2006 |
| Richard Eugene Smith | Woodbury Financial Services, Inc. other | H. Beck, Inc. other | Other | Nov 30, 2005 | Mar 30, 2006 (120 d) |
| William Lee Daniel | Hornor, Townsend & Kent, LLC other | H. Beck, Inc. other | Other | Nov 2, 2005 | Feb 14, 2007 (469 d) |
| Lawrence Michael Gordon | Sii Investments, Inc. other | H. Beck, Inc. other | Other | Oct 19, 2005 | Oct 17, 2005 |
| Mark Avallone | Solutions Planning Group, Inc. unclassified | H. Beck, Inc. other | Other | Oct 18, 2005 | Sep 23, 2005 |
| Janice Marie Johnson | Financial Network Concepts LLC unclassified | H. Beck, Inc. other | Other | Oct 4, 2005 | May 4, 2004 |
| Christopher Charles Knoche | Voya Financial Partners, LLC other | H. Beck, Inc. other | Other | Sep 1, 2005 | Sep 1, 2005 |
| Louis Joseph Zaccaro | Dunham other | H. Beck, Inc. other | Other | Aug 26, 2005 | Nov 22, 2005 (88 d) |
| Max Neil Highstein | C.J.M. Asset Management, LLC unclassified | H. Beck, Inc. other | Other | Aug 4, 2005 | Aug 1, 2005 |
| Scott Matthew Freund | Banc Of America Investment Services, Inc. unclassified | H. Beck, Inc. other | Other | Jul 7, 2005 | Jul 5, 2005 |
| Troy Mckay Smith | 1717 Capital Management Company unclassified | H. Beck, Inc. other | Other | Apr 5, 2005 | Apr 5, 2005 |
| John Henry Repass | M&T Securities, Inc. unclassified | H. Beck, Inc. other | Other | Mar 7, 2005 | May 26, 2005 (80 d) |
| Regina Jui Chieh Tsai | Legg Mason Wood Walker, Incorporated unclassified | H. Beck, Inc. other | Other | Mar 3, 2005 | Mar 23, 2005 |
| John Alan Levine | New England Securities Corporation other | H. Beck, Inc. other | Other | Jan 5, 2005 | Dec 14, 2004 |
| Edward Mariano Pero | New England Securities Corporation other | H. Beck, Inc. other | Other | Jan 5, 2005 | Dec 13, 2004 |
| Kevin Quay Williams | Medallion Advisory Services, LLC unclassified | H. Beck, Inc. other | Other | Dec 31, 2004 | Jan 3, 2005 |
| Allen Randolph Bruce | Prosperity Assurance Advisory Services, Inc. unclassified | H. Beck, Inc. other | Other | Dec 31, 2004 | Feb 1, 2005 (32 d) |
| Scott Ashley Hadley | Transamerica Financial Advisors, LLC other | H. Beck, Inc. other | Other | Dec 14, 2004 | Feb 3, 2005 (51 d) |
| Angela Robin Hilliard Dyches | Voya Financial Advisors, Inc. other | H. Beck, Inc. other | Other | Dec 9, 2004 | May 21, 2007 (893 d) |
| William David Gullborg | Principal Securities, Inc. other | H. Beck, Inc. other | Other | Oct 4, 2004 | Oct 1, 2004 |
| Mary Grace Musuneggi | Principal Securities, Inc. other | H. Beck, Inc. other | Other | Sep 15, 2004 | Sep 1, 2004 |
| Christopher Sean Musuneggi | Principal Securities, Inc. other | H. Beck, Inc. other | Other | Sep 15, 2004 | Sep 15, 2004 |
| William Dennis Smith | Eastern Point Advisors Inc. unclassified | H. Beck, Inc. other | Other | Aug 23, 2004 | Feb 16, 2007 (907 d) |
| Kenneth Shedleski | Hackett Associates, Inc. unclassified | H. Beck, Inc. other | Other | Aug 17, 2004 | Aug 18, 2004 |
| Solomon Michael Becker | Hackett Associates, Inc. unclassified | H. Beck, Inc. other | Other | Aug 6, 2004 | Aug 3, 2004 |
| Colby Scot Van Sickler | Stuart Investment Advisory Corp. unclassified | H. Beck, Inc. other | Other | Jul 2, 2004 | Mar 24, 2004 |
| Kevin Michael Fuerst | Sunamerica Securities, Inc. unclassified | H. Beck, Inc. other | Other | Jul 1, 2004 | Jul 1, 2004 |
| Gerald Vincent Oliano | Main Street Management Company unclassified | H. Beck, Inc. other | Other | Jun 14, 2004 | May 18, 2004 |
| Richard Gerald Coleman | Main Street Management Company unclassified | H. Beck, Inc. other | Other | Apr 28, 2004 | Apr 28, 2004 |
| Karl Francis Molwitz | Main Street Management Company unclassified | H. Beck, Inc. other | Other | Apr 16, 2004 | Jan 3, 2007 (992 d) |
| Frank Idrees | New England Securities Corporation other | H. Beck, Inc. other | Other | Mar 5, 2004 | Mar 4, 2004 |
| Wayne Albert Pampaloni | Pruco Securities, LLC other | H. Beck, Inc. other | Other | Mar 4, 2004 | Mar 1, 2004 |
| Charles Jason Beal | Voya Financial Partners, LLC other | H. Beck, Inc. other | Other | Feb 3, 2004 | Feb 3, 2004 |
| James Eric Hutchby | Ifg Advisory Services Inc unclassified | H. Beck, Inc. other | Other | Jan 23, 2004 | Sep 8, 2003 |
| Robert Wiley Gwynn | Ofi Private Investments Inc other | H. Beck, Inc. BD affiliated | Other | Jan 16, 2004 | Nov 13, 2019 (5780 d) |
| Walter Lawrence Ziffer | New England Securities Corporation other | H. Beck, Inc. other | Other | Jan 14, 2004 | Jan 12, 2004 |
| Carl Michael Strozyk | Medallion Advisory Services, LLC unclassified | H. Beck, Inc. other | Other | Dec 31, 2003 | Jan 2, 2004 |
| Randy Allen Lakes | Ifg Advisory Services Inc unclassified | H. Beck, Inc. other | Other | Dec 17, 2003 | Nov 26, 2003 |
| Jeff Wen-Sheng Lin | Ifg Advisory Services Inc unclassified | H. Beck, Inc. other | Other | Dec 9, 2003 | Nov 20, 2003 |
| Joseph Julius Bublewicz | Osaic Fs, Inc. other | H. Beck, Inc. other | Other | Nov 24, 2003 | Nov 18, 2003 |
| Morris Francis Licciardello | Osaic Fs, Inc. other | H. Beck, Inc. other | Other | Nov 24, 2003 | Nov 18, 2003 |
| David Edwin Nicewarner | Ifg Advisory Services Inc unclassified | H. Beck, Inc. other | Other | Nov 4, 2003 | Nov 3, 2003 |
| Lee James Couture | Osaic Fs, Inc. other | H. Beck, Inc. other | Other | Oct 23, 2003 | Oct 22, 2003 |
| Kyle Thomas Mills | Osaic Fa, Inc. other | H. Beck, Inc. other | Other | Oct 10, 2003 | Oct 15, 2003 |
| John Stephens Thoma | Osaic Fa, Inc. other | H. Beck, Inc. other | Other | Oct 9, 2003 | Oct 8, 2003 |
| William Paul Morgan | Ifg Advisory Services Inc unclassified | H. Beck, Inc. other | Other | Sep 23, 2003 | Sep 8, 2003 |
| George Manton Rariden | G. A. Repple & Company other | H. Beck, Inc. other | Other | Sep 18, 2003 | Sep 24, 2003 |
| Ronald J Rubin | The Planners Network, Inc. other | H. Beck, Inc. other | Other | Aug 14, 2003 | Nov 28, 2006 (1202 d) |
| John Robert Murray | Veravest Investment Advisors, Inc. unclassified | H. Beck, Inc. other | Other | Mar 20, 2003 | Mar 3, 2003 |
| Sean David Ries | Veravest Investment Advisors, Inc. unclassified | H. Beck, Inc. other | Other | Mar 20, 2003 | Mar 3, 2003 |
| David Robert Frederick | Harkins Investment Solutions, Inc. unclassified | H. Beck, Inc. other | Other | Dec 31, 2002 | Dec 2, 2002 |
| Jeffrey Creech | Ffp Advisory Services Inc unclassified | H. Beck, Inc. other | Other | Dec 31, 2002 | Jan 3, 2003 |
| Ronald Heller Appler | Cbiz Retirement Plan Advisory Services other | H. Beck, Inc. other | Other | Dec 31, 2002 | Mar 1, 2004 (426 d) |