| Robert Allan Howerter | Securian Financial Services, Inc. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Jan 26, 2010 | Apr 6, 2010 (70 d) |
| Richard John Rustin | Woodbury Financial Services, Inc. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Jan 26, 2010 | Jan 21, 2010 |
| Patrick Lee Williams | Guardian Asset Advisors, LLC other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Jan 14, 2010 | Feb 19, 2008 |
| Teresa Jo Steele | LPL Financial LLC other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Jan 11, 2010 | Jan 9, 2017 (2555 d) |
| Daniel Louis Cairo | The Elite Financial Network, Inc. unclassified | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Dec 31, 2009 | May 1, 2009 |
| Kevin Michael Fuerst | M.R. Spencer Advisory Services, LLC other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Dec 31, 2009 | Oct 15, 2007 |
| Michael Andrew Dollins | Dollins Financial Solutions, Inc. unclassified | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Dec 31, 2009 | May 1, 2009 |
| Craig Anthony Wong | The Elite Financial Network, Inc. unclassified | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Dec 31, 2009 | May 1, 2009 |
| Daniel Jose Valdes | Valdes, Kaiser & Associates, LLC unclassified | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Dec 31, 2009 | Aug 6, 2008 |
| Vayle Floria | The Elite Financial Network, Inc. unclassified | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Dec 31, 2009 | May 1, 2009 |
| Noah Sheehan Boatright | The Elite Financial Network, Inc. unclassified | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Dec 31, 2009 | May 1, 2009 |
| Frank Anthony Virgallito | The Elite Financial Network, Inc. unclassified | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Dec 31, 2009 | May 1, 2009 |
| Philip Brian Bullard | Cetera Advisors LLC other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Dec 31, 2009 | Jan 18, 2011 (383 d) |
| John Andrew Kinney | Benchmark Asset Management, LLC unclassified | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Dec 11, 2009 | Dec 15, 2009 |
| Arthur Wayne Potter | Integrated Wealth Advisors, Inc. unclassified | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Dec 4, 2009 | Mar 26, 2004 |
| Michael Kevin Creamer | Medallion Advisory Services, LLC unclassified | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Dec 2, 2009 | Dec 1, 2009 |
| Robert Amir Feisee | Medallion Advisory Services, LLC unclassified | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Dec 2, 2009 | Dec 1, 2009 |
| Phyllis Rice Mitchell | Medallion Advisory Services, LLC unclassified | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Dec 1, 2009 | Dec 1, 2009 |
| Douglas Russell Madairy | Medallion Advisory Services, LLC unclassified | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Dec 1, 2009 | Nov 4, 2009 |
| Andrea Louise Hastings | Medallion Advisory Services, LLC unclassified | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Dec 1, 2009 | Dec 1, 2009 |
| Paul Norman Taber | Medallion Advisory Services, LLC unclassified | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Dec 1, 2009 | Dec 1, 2009 |
| Mona Felicia Corbett | Msi Financial Services, Inc. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Nov 19, 2009 | Sep 2, 2011 (652 d) |
| Ned Lee Wyse | Concourse Financial Group Advisors other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Nov 6, 2009 | Jan 8, 2010 (63 d) |
| Dominic Joseph Giovannazzo | Equitable Advisors, LLC national BD | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Nov 6, 2009 | Oct 4, 2010 (332 d) |
| Ronald Dean Bailey | Morgan Keegan & Company, LLC other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Oct 30, 2009 | Jan 6, 2010 (68 d) |
| Johnson George Andrews | Fsc Securities Corporation other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Oct 2, 2009 | Oct 12, 2009 |
| Nicole Kiomi Kikugawa | Cetera Advisor Networks LLC other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Sep 28, 2009 | Oct 6, 2009 |
| James L Schulmire | Fsc Securities Corporation other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Sep 4, 2009 | Sep 2, 2009 |
| Todd Wayne Mclane | Fsc Securities Corporation other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Sep 4, 2009 | Sep 2, 2009 |
| Frank Andrew Mclane | Fsc Securities Corporation other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Sep 4, 2009 | Sep 2, 2009 |
| John Daniel Keenan | Independent Financial Group, LLC other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Aug 31, 2009 | Sep 25, 2009 |
| Todd Hutson Smith | Cetera Advisor Networks LLC other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Aug 28, 2009 | Mar 1, 2011 (550 d) |
| Peter E Jochems | Jochems Financial Services, Inc. unclassified | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Aug 24, 2009 | Dec 5, 2008 |
| Mark Lee Dickerson | Wells Fargo Advisors wirehouse | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Aug 24, 2009 | Sep 18, 2009 |
| David Lee Madetzke | Equitable Advisors, LLC national BD | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Aug 24, 2009 | Feb 7, 2012 (897 d) |
| Narine K Mardanyan | Voya Financial Partners, LLC other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Aug 20, 2009 | Jan 19, 2011 (517 d) |
| Jerry Bruce Sheby | Associated Securities Corp. unclassified | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Aug 18, 2009 | Aug 17, 2009 |
| Ritas Rose Smith | Associated Planners Investment Advisory Inc unclassified | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Aug 18, 2009 | Aug 14, 2009 |
| Eric Ernst Hughes | Cetera Advisor Networks LLC other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Aug 7, 2009 | Aug 10, 2009 |
| Judith Angela Zeigler | Financial West Group other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Aug 4, 2009 | Aug 5, 2009 |
| Nicole Mayer | Equitable Advisors, LLC national BD | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Jul 16, 2009 | Jul 13, 2009 |
| John Blanos | Hornor, Townsend & Kent, LLC other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Jul 9, 2009 | Jul 2, 2009 |
| Nila Lynn Tatum | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Jun 23, 2009 | Jul 30, 2009 (37 d) |
| Corinne Victoria Kurucza | Morgan Stanley & Co. LLC unclassified | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Jun 19, 2009 | Jun 2, 2011 (713 d) |
| David Forbes Massongill | Sagepoint Financial, Inc. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Jun 2, 2009 | Jun 1, 2009 |
| Chad Matthew Weber | Compak Asset Management other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Jun 1, 2009 | Aug 3, 2009 (63 d) |
| Joseph Sean Arnold | Dawson Wealth Management unclassified | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | May 22, 2009 | May 28, 2009 |
| Robert Joseph Menz | UBS Financial Services Inc. wirehouse | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | May 13, 2009 | Jul 23, 2009 (71 d) |
| Jeanne Johnson Sutton | LPL Financial LLC other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | May 13, 2009 | Jun 17, 2009 (35 d) |
| Lashon Nicole Mathis | Wamu Investments, Inc. unclassified | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | May 6, 2009 | Aug 26, 2015 (2303 d) |
| Daryl Andrew Cole | Osaic Wealth, Inc. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | May 4, 2009 | Apr 30, 2009 |
| Brian Russell Bedord | Osaic Wealth, Inc. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | May 4, 2009 | May 1, 2009 |
| Jeromy Andrew Park | Osaic Wealth, Inc. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | May 4, 2009 | May 1, 2009 |
| Donna D Lea | Osaic Wealth, Inc. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | May 4, 2009 | May 1, 2009 |
| David Michael Vaughan | Osaic Wealth, Inc. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | May 4, 2009 | May 1, 2009 |
| Michael Ray Childs | Fsc Securities Corporation other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | May 1, 2009 | Apr 29, 2009 |
| Jeffrey Robert Lavin | LPL Financial LLC other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Apr 28, 2009 | Apr 21, 2009 |
| Louis S Donato | Morgan Stanley & Co. LLC unclassified | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Apr 16, 2009 | Jun 11, 2012 (1152 d) |
| Daniel Alan Raymond | Voya Financial Partners, LLC other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Apr 3, 2009 | Apr 9, 2009 |
| Carroll Ryan Smith | UBS Financial Services Inc. wirehouse | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Apr 2, 2009 | Mar 13, 2009 |