| Gabriel Scott Hanselman | Charles Schwab & Co., Inc. national BD | Cetera Advisors LLC other | Other | Jul 17, 2009 | Aug 12, 2009 |
| Grant Michael Trimble | Wells Fargo Advisors wirehouse | Cetera Advisors LLC other | Other | Jun 24, 2009 | Jun 9, 2009 |
| Jeffrey Garth Cram | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Cetera Advisors LLC other | Other | May 14, 2009 | Jul 15, 2010 (427 d) |
| David Wayne Thompson | New England Securities Corporation other | Cetera Advisors LLC other | Other | Apr 23, 2009 | Apr 20, 2009 |
| Mario Paniscotti | Citigroup Global Markets Inc. other | Cetera Advisors LLC other | Other | Apr 9, 2009 | Mar 13, 2009 |
| John Allen Whiteknight | Ameriprise Financial Services, LLC national BD | Cetera Advisors LLC other | Other | Apr 3, 2009 | Jun 11, 2009 (69 d) |
| Mark Vaughn Snider | Snider, Fuller & Associates unclassified | Cetera Advisors LLC other | Other | Mar 31, 2009 | Jan 1, 2004 |
| Jeffrey Weldon Ivy | Morgan Stanley & Co. LLC unclassified | Cetera Advisors LLC other | Other | Mar 24, 2009 | Apr 7, 2009 |
| Michael Wayne Word | Stanford Group Company unclassified | Cetera Advisors LLC other | Other | Mar 11, 2009 | Mar 10, 2009 |
| Gary Paul Haindel | Stanford Group Company unclassified | Cetera Advisors LLC other | Other | Mar 11, 2009 | Mar 10, 2009 |
| Scott Richard Bishop | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Cetera Advisors LLC other | Other | Feb 11, 2009 | Mar 26, 2009 (43 d) |
| Ryan Kent Noble | Ameriprise Financial Services, LLC national BD | Cetera Advisors LLC other | Other | Jan 27, 2009 | Sep 28, 2009 (244 d) |
| Sophie M Lancaster | Edward Jones national BD | Cetera Advisors LLC other | Other | Jan 6, 2009 | Jan 16, 2009 |
| Michael T Cleary | Bear Stearns Asset Management Inc. other | Cetera Advisors LLC other | Other | Dec 31, 2008 | Jan 29, 2015 (2220 d) |
| Lonnie Wayne Hood | Ameritas Advisory Services other | Cetera Advisors LLC other | Other | Dec 17, 2008 | Jan 2, 2009 |
| Gregory Beal | Charles Schwab & Co., Inc. national BD | Cetera Advisors LLC other | Other | Nov 13, 2008 | Nov 18, 2015 (2561 d) |
| Emilio Joseph Senesi | Klr Investment Advisors, LLC independent RIA | Cetera Advisors LLC other | Other | Oct 7, 2008 | Apr 29, 2008 |
| Bruce Anthony Cramer | Vsr Advisory Services other | Cetera Advisors LLC other | Other | Sep 26, 2008 | Oct 6, 2008 |
| Jeffrey Mark Hochwalt | Voya Financial Advisors, Inc. other | Cetera Advisors LLC other | Other | Aug 13, 2008 | Aug 22, 2006 |
| Richard David Peck | Richard D. Peck & Associates, LLC unclassified | Cetera Advisors LLC other | Other | Jul 21, 2008 | Apr 25, 2008 |
| Joshua Reed Stein | Ameriprise Financial Services, LLC national BD | Cetera Advisors LLC other | Other | Jul 8, 2008 | Jul 3, 2008 |
| Melissa Jean Stein | Ameriprise Financial Services, LLC national BD | Cetera Advisors LLC other | Other | Jul 8, 2008 | Jul 3, 2008 |
| Timothy Joseph Kulick | American Zang Investment Council unclassified | Cetera Advisors LLC other | Other | Jun 27, 2008 | Jan 1, 2004 |
| Cregg Dale Miyat | Citigroup Global Markets Inc. other | Cetera Advisors LLC other | Other | May 1, 2008 | Apr 25, 2008 |
| Greg Charles Greer | Investment Advisors Corp other | Cetera Advisors LLC other | Other | Apr 10, 2008 | Apr 7, 2008 |
| Kimberly Michelle Hayes | Spectrum Wealth Advisors, Inc. unclassified | Cetera Advisors LLC other | Other | Apr 4, 2008 | Oct 14, 2014 (2384 d) |
| Ryan Thomas Shaw | Ameriprise Financial Services, LLC national BD | Cetera Advisors LLC other | Other | Apr 3, 2008 | Apr 21, 2008 |
| Alecia Dawn Wellen | Stanford Group Company unclassified | Cetera Advisors LLC other | Other | Feb 29, 2008 | Mar 20, 2008 |
| Jeffrey James Heitzman | Heitzman Advisory Group, Inc. unclassified | Cetera Advisors LLC other | Other | Jan 14, 2008 | Jan 14, 2005 |
| Christina Kay Robb | Hilltop Securities Inc. other | Cetera Advisors LLC BD affiliated | Other | Jan 4, 2008 | May 17, 2021 (4882 d) |
| James Phillip Quinlan | Smart Financial Advisors, LLC unclassified | Cetera Advisors LLC other | Other | Dec 31, 2007 | Nov 30, 2006 |
| Thomas Richard Tjaden | Cuna Brokerage Services, Inc. other | Cetera Advisors LLC other | Other | Nov 1, 2007 | Oct 31, 2007 |
| David Michael Becker | Edward Jones national BD | Cetera Advisors LLC other | Other | Oct 31, 2007 | Oct 29, 2007 |
| Troy Lane Stine | Cetera Investment Services LLC other | Cetera Advisors LLC other | Other | Oct 31, 2007 | Dec 20, 2007 (50 d) |
| John Essigman | Avantax Advisory Services other | Cetera Advisors LLC other | Other | Oct 23, 2007 | Oct 18, 2007 |
| Brent Edward Shimman | MML Investors Services, LLC other | Cetera Advisors LLC other | Other | Aug 16, 2007 | Aug 20, 2007 |
| Rob William Friemoth | New England Securities Corporation other | Cetera Advisors LLC other | Other | Aug 10, 2007 | Sep 4, 2007 |
| Thomas Edward Boles | LPL Financial LLC other | Cetera Advisors LLC other | Other | Aug 1, 2007 | Jul 26, 2007 |
| Larry Lund Qvistgaard | Legacy Advisory Services, Inc. unclassified | Cetera Advisors LLC other | Other | Jul 31, 2007 | Jul 18, 2007 |
| Tilden Lester Sowdon | Legacy Advisory Services, Inc. unclassified | Cetera Advisors LLC other | Other | Jul 19, 2007 | Jul 30, 2007 |
| Kendall Charles Lovett | Legacy Advisory Services, Inc. unclassified | Cetera Advisors LLC other | Other | Jul 18, 2007 | Jul 18, 2007 |
| James Raymond Seaman | Legacy Advisory Services, Inc. unclassified | Cetera Advisors LLC other | Other | Jul 18, 2007 | Jul 19, 2007 |
| Jeffrey Lynn Bangerter | Legacy Advisory Services, Inc. unclassified | Cetera Advisors LLC other | Other | Jul 18, 2007 | Jul 18, 2007 |
| Scott Edward Bretl | Legacy Advisory Services, Inc. unclassified | Cetera Advisors LLC other | Other | Jul 18, 2007 | Jul 18, 2007 |
| Richard Allen Ganim | Legacy Advisory Services, Inc. unclassified | Cetera Advisors LLC other | Other | Jul 18, 2007 | Jul 19, 2007 |
| Lorilee Hoalst Jones | Legacy Advisory Services, Inc. unclassified | Cetera Advisors LLC other | Other | Jul 18, 2007 | Jul 18, 2007 |
| Shawn Garand Webb | Legacy Advisory Services, Inc. unclassified | Cetera Advisors LLC other | Other | Jul 18, 2007 | Jul 18, 2007 |
| Dustin Brent Laporte | Legacy Advisory Services, Inc. unclassified | Cetera Advisors LLC other | Other | Jul 18, 2007 | Jul 24, 2007 |
| Daniel King Ott | Legacy Advisory Services, Inc. unclassified | Cetera Advisors LLC other | Other | Jul 18, 2007 | Jul 18, 2007 |
| Joseph A. Gass | Legacy Advisory Services, Inc. unclassified | Cetera Advisors LLC other | Other | Jul 18, 2007 | Jul 18, 2007 |
| Calvin Todd Halterman | Legacy Advisory Services, Inc. unclassified | Cetera Advisors LLC other | Other | Jul 18, 2007 | Jul 18, 2007 |
| William John Manby | Legacy Advisory Services, Inc. unclassified | Cetera Advisors LLC other | Other | Jul 18, 2007 | Jul 19, 2007 |
| Joshua Edward Bretl | Legacy Advisory Services, Inc. unclassified | Cetera Advisors LLC other | Other | Jul 18, 2007 | Jul 18, 2007 |
| Patrick Jude Seaman | Legacy Advisory Services, Inc. unclassified | Cetera Advisors LLC other | Other | Jul 18, 2007 | Jul 19, 2007 |
| Kelly Lisa Monroe | Legacy Advisory Services, Inc. unclassified | Cetera Advisors LLC other | Other | Jul 18, 2007 | Jul 18, 2007 |
| Ruth Denise Goldstein | UBS Financial Services Inc. wirehouse | Cetera Advisors LLC other | Other | Jun 11, 2007 | Jul 24, 2007 (43 d) |
| Brian Joseph Rellihan | Edelman Financial Engines other | Cetera Advisors LLC other | Other | Jun 5, 2007 | Oct 10, 2007 (127 d) |
| William George James | Smart Financial Advisors, LLC unclassified | Cetera Advisors LLC other | Other | May 7, 2007 | Nov 29, 2006 |
| Howard Steven Myers | Equitable Advisors, LLC national BD | Cetera Advisors LLC other | Other | Mar 12, 2007 | Aug 29, 2007 (170 d) |
| Marjorie Ann Opalski | Voya Financial Partners, LLC other | Cetera Advisors LLC other | Other | Jan 10, 2007 | Feb 5, 2007 |