| David Paul Heroux | LPL Financial LLC other | Independent Financial Partners other | Other | May 21, 2015 | Mar 14, 2014 |
| Matthew J Mikolajewski | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Independent Financial Partners other | Other | May 4, 2015 | May 4, 2015 |
| Mark John Mcgaurn | Msi Financial Services, Inc. other | Independent Financial Partners other | Other | Apr 16, 2015 | Apr 9, 2015 |
| Craig Stephen Freeman | Edward Jones national BD | Independent Financial Partners other | Other | Apr 7, 2015 | Apr 2, 2015 |
| Jonathan Colby Winslow | LPL Financial LLC other | Independent Financial Partners other | Other | Apr 1, 2015 | Oct 28, 2013 |
| Jeffrey Richard Walker | Bridge Wealth Advisors unclassified | Independent Financial Partners other | Other | Mar 30, 2015 | Apr 22, 2015 |
| Stephen Charles Kelly | Morgan Stanley wirehouse | Independent Financial Partners other | Other | Feb 3, 2015 | Feb 2, 2015 |
| Matthew J Bruce | Annex Wealth Management, LLC other | Independent Financial Partners other | Other | Dec 15, 2014 | Dec 11, 2014 |
| Sophois Sokhom | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Independent Financial Partners other | Other | Nov 24, 2014 | Nov 21, 2014 |
| Conor Kenneth Weir | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Independent Financial Partners other | Other | Nov 24, 2014 | Nov 21, 2014 |
| John Elwood Carroll | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Independent Financial Partners other | Other | Nov 19, 2014 | Nov 20, 2014 |
| Charles Raymond Hardee | Raymond James & Associates, Inc. national BD | Independent Financial Partners other | Other | Nov 17, 2014 | Oct 28, 2015 (345 d) |
| David E. Hershman | Ameriprise Financial Services, LLC national BD | Independent Financial Partners other | Other | Nov 14, 2014 | Feb 21, 2017 (830 d) |
| Gary Robert Sawyer | Global Retirement Partners LLC other | Independent Financial Partners BD affiliated | Other | Nov 6, 2014 | Aug 7, 2025 (3927 d) |
| Gary Robert Sawyer | Financial Telesis, Inc. other | Independent Financial Partners BD affiliated | Other | Nov 6, 2014 | Aug 7, 2025 (3927 d) |
| Kent Brooks Monypeny | Raymond James & Associates, Inc. national BD | Independent Financial Partners other | Other | Nov 5, 2014 | Nov 2, 2015 (362 d) |
| George Albert Cattat | Strategic Advisers LLC national BD | Independent Financial Partners other | Other | Oct 3, 2014 | Aug 16, 2017 (1048 d) |
| Bryan Alexander Wright | Financial Telesis, Inc. other | Independent Financial Partners other | Other | Sep 30, 2014 | Sep 30, 2014 |
| Russell Todd Mcalonie | Symphony Financial Services, Inc. other | Independent Financial Partners other | Other | Sep 19, 2014 | Mar 13, 2014 |
| William Eric Hagebusch | Financial Telesis, Inc. other | Independent Financial Partners other | Other | Sep 12, 2014 | Sep 15, 2014 |
| Thomas Paul Muldoon | Financial Telesis, Inc. other | Independent Financial Partners other | Other | Sep 9, 2014 | Sep 9, 2014 |
| Anthony James Black | Financial Telesis, Inc. other | Independent Financial Partners other | Other | Sep 9, 2014 | Sep 11, 2014 |
| John Joseph Waldron | J.P. Morgan Securities LLC wirehouse | Independent Financial Partners other | Other | Sep 4, 2014 | Oct 21, 2014 (47 d) |
| Benjamin James Hodge | Raymond James Financial Services Advisors, Inc other | Independent Financial Partners other | Other | Jul 30, 2014 | Aug 1, 2014 |
| Jonathan Mandel Winn | Strategic Advisers LLC national BD | Independent Financial Partners other | Other | Jul 9, 2014 | Jul 11, 2014 |
| Mero Joseph Capo | Nfp Advisor Services, LLC other | Independent Financial Partners other | Other | Jun 30, 2014 | Jul 2, 2014 |
| Glen Michael Oconnor | Nfp Advisor Services, LLC other | Independent Financial Partners other | Other | Jun 30, 2014 | Jul 3, 2014 |
| Thomas Dean Ming | Tower Rock Advisors, Inc. unclassified | Independent Financial Partners other | Other | Jun 8, 2014 | Jan 21, 2014 |
| Jeffrey Wayne Thorsen | Sanchez Wealth Management Group, LLC other | Independent Financial Partners other | Other | May 13, 2014 | Dec 15, 2016 (947 d) |
| Ivory Jerome Johnson | Berkshire Money Management, Inc. other | Independent Financial Partners other | Other | May 8, 2014 | May 9, 2012 |
| Dustin Carl Rinaldi | Raymond James Financial Services Advisors, Inc other | Independent Financial Partners other | Other | May 7, 2014 | May 9, 2014 |
| James David Vanke | Commonwealth Financial Network national BD | Independent Financial Partners other | Other | May 1, 2014 | May 7, 2014 |
| Adam Gregory Frey | LPL Financial LLC other | Independent Financial Partners other | Other | May 1, 2014 | Jan 13, 2012 |
| Karim Poonawala | Cetera Advisor Networks LLC other | Independent Financial Partners other | Other | Apr 28, 2014 | May 1, 2014 |
| Zachory Smith Huish | Principal Securities, Inc. other | Independent Financial Partners other | Other | Apr 25, 2014 | Jan 14, 2015 (264 d) |
| Ronald Arthur Letaw | Voya Financial Partners, LLC other | Independent Financial Partners other | Other | Apr 4, 2014 | May 12, 2014 (38 d) |
| Chad Edward Tepe | Commerce Brokerage Services, Inc other | Independent Financial Partners other | Other | Mar 21, 2014 | Mar 20, 2014 |
| Renzo A Cerabino | LPL Financial LLC other | Independent Financial Partners BD affiliated | Other | Mar 10, 2014 | Dec 13, 2024 (3931 d) |
| Arax Malvina Ryvkin | Financial Telesis, Inc. other | Independent Financial Partners other | Other | Feb 28, 2014 | Mar 4, 2014 |
| Jeremy Commeret | Waddell & Reed other | Independent Financial Partners other | Other | Feb 27, 2014 | Feb 20, 2014 |
| An Nguyen Wetter | LPL Financial LLC other | Independent Financial Partners other | Other | Feb 27, 2014 | Mar 4, 2014 |
| Christopher Lee Stolte | Signator Investors, Inc. other | Independent Financial Partners other | Other | Feb 20, 2014 | Feb 19, 2014 |
| Garrett Lee Headley | Russell Capital Management, LLC other | Independent Financial Partners other | Other | Jan 14, 2014 | Dec 20, 2013 |
| Randall Kent Rubin | Rkr Equity Group,LLC unclassified | Independent Financial Partners other | Other | Jan 8, 2014 | Nov 3, 2014 (299 d) |
| Fred Hamsayeh | Aegis Financial Group unclassified | Independent Financial Partners other | Other | Dec 31, 2013 | May 20, 2013 |
| Richard Lee Mcadams | LPL Financial LLC other | Independent Financial Partners other | Other | Dec 31, 2013 | Nov 24, 2010 |
| Brian Keith Mcginnis | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Independent Financial Partners other | Other | Dec 16, 2013 | Jan 2, 2014 |
| Brian Gordon Ellerman | Manning & Napier Advisors, LLC other | Independent Financial Partners other | Other | Dec 6, 2013 | Apr 2, 2014 (117 d) |
| Clark Brady Stossel | Td Private Client Wealth LLC other | Independent Financial Partners other | Other | Dec 6, 2013 | Aug 8, 2017 (1341 d) |
| Staci Lynne Jackson | Raymond James & Associates, Inc. national BD | Independent Financial Partners other | Other | Dec 5, 2013 | Oct 21, 2015 (685 d) |
| Troy Dixon Tummond | New England Securities Corporation other | Independent Financial Partners other | Other | Dec 3, 2013 | Dec 10, 2013 |
| Steven Robert Carter | New England Securities Corporation other | Independent Financial Partners other | Other | Dec 3, 2013 | Dec 9, 2013 |
| John William Pomroy | New England Securities Corporation other | Independent Financial Partners other | Other | Dec 3, 2013 | Dec 10, 2013 |
| Rebecca Ardis Eastom | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Independent Financial Partners other | Other | Nov 19, 2013 | Nov 18, 2013 |
| Matthew Lawrence Darpel | Cetera Advisors LLC other | Independent Financial Partners other | Other | Oct 31, 2013 | Nov 4, 2013 |
| Joseph Anthony Stack | Advisor Resource Council other | Independent Financial Partners other | Other | Oct 28, 2013 | Sep 16, 2013 |
| Charles Hamilton Woodward | Suncoast Advisory Group unclassified | Independent Financial Partners other | Other | Oct 21, 2013 | Oct 29, 2013 |
| Christopher William Lowe | Morgan Stanley wirehouse | Independent Financial Partners other | Other | Sep 26, 2013 | Sep 9, 2013 |
| Jacob Randall Cohan Cummings | Ameriprise Financial Services, LLC national BD | Independent Financial Partners other | Other | Sep 26, 2013 | Sep 27, 2013 |
| James Robert Caldwell | LPL Financial LLC other | Independent Financial Partners other | Other | Sep 16, 2013 | Oct 22, 2013 (36 d) |