| Westley E Tibbs | Cetera Investment Advisers LLC other | Osaic Fa, Inc. other | Other | Feb 15, 2017 | Apr 3, 2017 (47 d) |
| Dennis Wayne Culver | Ameriprise Financial Services, LLC national BD | Osaic Fa, Inc. other | Other | Feb 13, 2017 | Mar 22, 2017 (37 d) |
| Michael Francis Murray | Osaic Fs, Inc. other | Osaic Fa, Inc. other | Other | Feb 9, 2017 | Oct 14, 2009 |
| Gregg William Holgate | Voya Financial Advisors, Inc. other | Osaic Fa, Inc. other | Other | Jan 27, 2017 | Mar 27, 2017 (59 d) |
| Sarah Michelle Woehrman | Ameriprise Financial Services, LLC national BD | Osaic Fa, Inc. other | Other | Jan 26, 2017 | Jan 24, 2017 |
| Douglas Allen Darling | Avantax Advisory Services other | Osaic Fa, Inc. other | Other | Jan 20, 2017 | Jan 9, 2017 |
| Marlin G. Musser | Avantax Advisory Services other | Osaic Fa, Inc. other | Other | Jan 20, 2017 | Jan 9, 2017 |
| Jason O'Meara | Pruco Securities, LLC other | Osaic Fa, Inc. other | Other | Jan 13, 2017 | Feb 19, 2014 |
| John Peter Routhier | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Osaic Fa, Inc. other | Other | Jan 3, 2017 | Jan 11, 2017 |
| Jeffrey Todd Brewer | Transamerica Retirement Advisors, LLC other | Osaic Fa, Inc. other | Other | Dec 31, 2016 | Aug 29, 2017 (241 d) |
| Rey Deborja | Ameritas Advisory Services other | Osaic Fa, Inc. other | Other | Dec 27, 2016 | Dec 5, 2016 |
| Richard Scott Karp | Moors & Cabot, Inc other | Osaic Fa, Inc. other | Other | Dec 20, 2016 | Dec 20, 2016 |
| Charles Albert Strickland | Cetera Investment Advisers LLC other | Osaic Fa, Inc. other | Other | Dec 19, 2016 | Jan 5, 2017 |
| Jeffrey Louis Marchitto | Oppenheimer & Co. Inc. other | Osaic Fa, Inc. other | Other | Dec 16, 2016 | Dec 7, 2016 |
| Christopher James Davidson | Msi Financial Services, Inc. other | Osaic Fa, Inc. other | Other | Dec 12, 2016 | Dec 12, 2016 |
| Kyle Macrina | Private Advisor Group, LLC other | Osaic Fa, Inc. BD affiliated | Other | Dec 8, 2016 | Oct 7, 2021 (1764 d) |
| Tammy Ann Tasch | Commonwealth Financial Network national BD | Osaic Fa, Inc. other | Other | Dec 5, 2016 | Apr 24, 2017 (140 d) |
| Albert Glenn Mcnorton | Oppenheimer & Co. Inc. other | Osaic Fa, Inc. other | Other | Dec 2, 2016 | Dec 6, 2016 |
| Louis Alonso Romero | Msi Financial Services, Inc. other | Osaic Fa, Inc. other | Other | Dec 2, 2016 | Nov 22, 2016 |
| Richard Andrew Stamps | First Allied Advisory Services, Inc. other | Osaic Fa, Inc. other | Other | Nov 28, 2016 | Dec 21, 2016 |
| Stefan Jackson | Valic Financial Advisors, Inc. other | Osaic Fa, Inc. other | Other | Nov 9, 2016 | Nov 7, 2016 |
| Luguang Luan | Signator Investors, Inc. other | Osaic Fa, Inc. other | Other | Nov 5, 2016 | Nov 1, 2016 |
| Scott David Raab | Cadaret Grant & Co Inc other | Osaic Fa, Inc. other | Other | Nov 1, 2016 | Nov 1, 2016 |
| Anthony Blake Wilson | Ameriprise Financial Services, LLC national BD | Osaic Fa, Inc. other | Other | Oct 25, 2016 | Jan 3, 2017 (70 d) |
| Joshua S Melda | Securities America Advisors, Inc. other | Osaic Fa, Inc. other | Other | Sep 14, 2016 | Sep 6, 2016 |
| Sean Guill | Equitable Advisors, LLC national BD | Osaic Fa, Inc. other | Other | Sep 14, 2016 | Sep 8, 2016 |
| Brian Cohen Greenberg | Woodbury Financial Services, Inc. other | Osaic Fa, Inc. other | Other | Sep 12, 2016 | Sep 13, 2016 |
| Navarone Fernando Simpson | Cetera Advisors LLC other | Osaic Fa, Inc. other | Other | Sep 7, 2016 | Sep 7, 2016 |
| David Lawrence Rychlick | Msi Financial Services, Inc. other | Osaic Fa, Inc. other | Other | Aug 30, 2016 | Aug 24, 2016 |
| Shannon Marlene Sottile | Investment Professionals, Inc. other | Osaic Fa, Inc. other | Other | Aug 10, 2016 | Aug 4, 2016 |
| Chelsea Marie Jez | Equitable Advisors, LLC national BD | Osaic Fa, Inc. other | Other | Aug 9, 2016 | Aug 11, 2016 |
| Glenn William Galloway | Msi Financial Services, Inc. other | Osaic Fa, Inc. other | Other | Aug 5, 2016 | Sep 7, 2016 (33 d) |
| Michael Scott Allen | Pruco Securities, LLC other | Osaic Fa, Inc. other | Other | Jul 18, 2016 | Aug 10, 2016 |
| David Patrick Chandler | LPL Financial LLC other | Osaic Fa, Inc. other | Other | Jul 14, 2016 | Apr 24, 2017 (284 d) |
| David Alexander Sauers | MML Investors Services, LLC other | Osaic Fa, Inc. other | Other | Jul 8, 2016 | Jul 5, 2016 |
| Bo Edvardsson | Msi Financial Services, Inc. other | Osaic Fa, Inc. other | Other | Jul 8, 2016 | Jul 8, 2016 |
| Jeffrey David Lammert | U.S. Bancorp Investments, Inc. other | Osaic Fa, Inc. other | Other | Jun 22, 2016 | Jun 21, 2016 |
| Paul Wolfson Carman | Provenance Wealth Advisors no RAUM | Osaic Fa, Inc. other | Other | Jun 17, 2016 | Jun 6, 2016 |
| Michael Thomas Meehan | Msi Financial Services, Inc. other | Osaic Fa, Inc. other | Other | Jun 16, 2016 | Jun 20, 2016 |
| Alan John Chapman | Janney Montgomery Scott LLC other | Osaic Fa, Inc. other | Other | Jun 9, 2016 | Jun 10, 2016 |
| Wendy Wells | Valic Financial Advisors, Inc. other | Osaic Fa, Inc. other | Other | Jun 9, 2016 | Jun 3, 2016 |
| Carol Maria Lawson | Raymond James Financial Services Advisors, Inc other | Osaic Fa, Inc. other | Other | Jun 2, 2016 | Jun 30, 2016 |
| Shena Quen Bartlett | Edward Jones national BD | Osaic Fa, Inc. other | Other | May 23, 2016 | May 20, 2016 |
| Francis R Hackett | Compass other | Osaic Fa, Inc. other | Other | May 23, 2016 | Jul 5, 2016 (43 d) |
| Nicholas S Fisher | Pnc Wealth Management other | Osaic Fa, Inc. BD affiliated | Other | May 20, 2016 | May 1, 2018 (711 d) |
| John Cannon Hydrick | Morgan Stanley wirehouse | Osaic Fa, Inc. other | Other | May 19, 2016 | Jun 8, 2016 |
| Janet Lynn Mooney | Edward Jones national BD | Osaic Fa, Inc. other | Other | May 18, 2016 | Jun 14, 2016 |
| Jeffrey Charles Davis | LPL Financial LLC other | Osaic Fa, Inc. other | Other | May 17, 2016 | May 4, 2016 |
| Andrew William St.John | Equitable Advisors, LLC national BD | Osaic Fa, Inc. other | Other | May 4, 2016 | May 2, 2016 |
| James Charles Metzbower | Founders Financial Securities, LLC other | Osaic Fa, Inc. other | Other | Apr 25, 2016 | Apr 18, 2016 |
| Steven Richard Scheibelhut | Pnc Wealth Management other | Osaic Fa, Inc. other | Other | Apr 11, 2016 | May 16, 2016 (35 d) |
| Lejo Abraham | J.P. Morgan Securities LLC wirehouse | Osaic Fa, Inc. other | Other | Apr 8, 2016 | Jul 12, 2016 (95 d) |
| David Barol | Cetera Advisor Networks LLC other | Osaic Fa, Inc. other | Other | Apr 4, 2016 | Apr 4, 2016 |
| Jeffrey David Bittner | Investment Centers Of America, Inc. other | Osaic Fa, Inc. other | Other | Mar 31, 2016 | May 4, 2016 (34 d) |
| Joel Sheldon | American Asset Advisory, LLC unclassified | Osaic Fa, Inc. other | Other | Mar 31, 2016 | Apr 4, 2016 |
| Marc A. Cornell | Global Retirement Partners LLC other | Osaic Fa, Inc. other | Other | Mar 31, 2016 | Apr 13, 2016 |
| Daniel Joseph Rooker | Stratos Wealth Partners, Ltd other | Osaic Fa, Inc. other | Other | Mar 30, 2016 | Apr 19, 2016 |
| Edward James Waldron | Investors Capital Advisory other | Osaic Fa, Inc. other | Other | Mar 17, 2016 | Feb 29, 2016 |
| Linda Lee Tekavec | Ameriprise Financial Services, LLC national BD | Osaic Fa, Inc. other | Other | Mar 2, 2016 | Feb 25, 2016 |
| Terence Vincent Gallagher | Capital Analysts other | Osaic Fa, Inc. other | Other | Mar 1, 2016 | Mar 1, 2016 |