| Asim Mandhai | LPL Financial LLC other | Gwn Securities Inc. other | Other | May 12, 2008 | Jun 11, 2008 |
| Michael Arthur Pollakowski | Lincoln Investment other | Gwn Securities Inc. other | Other | Apr 3, 2008 | Sep 30, 2009 (545 d) |
| James Robert Earl | Planmember Securities Corporation other | Gwn Securities Inc. other | Other | Mar 14, 2008 | Apr 7, 2008 |
| Norman James Merhaut | Planmember Securities Corporation other | Gwn Securities Inc. other | Other | Mar 11, 2008 | Mar 6, 2008 |
| Scott Edward Bretl | Cetera Advisors LLC other | Gwn Securities Inc. other | Other | Jan 30, 2008 | Jan 15, 2008 |
| Joshua Edward Bretl | Cetera Advisors LLC other | Gwn Securities Inc. other | Other | Jan 30, 2008 | Jan 15, 2008 |
| Craig Stephen Hancock | Lincoln Investment other | Gwn Securities Inc. other | Other | Jan 7, 2008 | May 21, 2010 (865 d) |
| Jonathan David Stevens | Wealth Transfer Solutions, Inc. unclassified | Gwn Securities Inc. other | Other | Jan 2, 2008 | Mar 20, 2008 (78 d) |
| Richard Joseph Beach | Transamerica Financial Advisors, Inc. unclassified | Gwn Securities Inc. other | Other | Dec 31, 2007 | Jan 22, 2008 |
| Jacqueline B Banister | New England Securities Corporation other | Gwn Securities Inc. other | Other | Dec 18, 2007 | Jan 18, 2008 (31 d) |
| Gregory Girard Mayernik | Planmember Securities Corporation other | Gwn Securities Inc. other | Other | Nov 29, 2007 | Jan 24, 2008 (56 d) |
| Timothy Gerard Crawford | Lincoln Investment other | Gwn Securities Inc. other | Other | Nov 19, 2007 | May 21, 2010 (914 d) |
| Paul James Mckee | Obsidian Financial Group, LLC unclassified | Gwn Securities Inc. BD affiliated | Other | Nov 13, 2007 | Mar 31, 2021 (4887 d) |
| Brian Douglas Dart | Ameriprise Financial Services, LLC national BD | Gwn Securities Inc. other | Other | Nov 6, 2007 | Jan 2, 2008 (57 d) |
| Shawn William Hanna | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Gwn Securities Inc. other | Other | Oct 8, 2007 | Nov 18, 2014 (2598 d) |
| Jack Randy Fawcett | Scf Investment Advisors, Inc. other | Gwn Securities Inc. other | Other | Sep 13, 2007 | Sep 10, 2009 (728 d) |
| Gregory Donnell Cleare | Voya Financial Advisors, Inc. other | Gwn Securities Inc. other | Other | Jul 26, 2007 | Aug 6, 2007 |
| Glen Mackenzie Dowden | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Gwn Securities Inc. other | Other | Apr 9, 2007 | Nov 29, 2016 (3522 d) |
| Lisa Gail Brumfield | Planmember Securities Corporation other | Gwn Securities Inc. other | Other | Dec 31, 2006 | Jul 27, 2015 (3130 d) |
| Paul Allan Branshaw | Great American Advisors, Inc. other | Gwn Securities Inc. other | Other | Dec 13, 2006 | Jan 3, 2007 |
| Andrea Patricia Carpenter | American General Securities Incorporated unclassified | Gwn Securities Inc. other | Other | Nov 24, 2006 | Nov 20, 2006 |
| Philip Andrew Gasser | Voya Financial Partners, LLC other | Gwn Securities Inc. other | Other | Oct 19, 2006 | Oct 5, 2006 |
| Robert Francis Sullivan | Walnut Street Securities, Inc. other | Gwn Securities Inc. other | Other | Oct 16, 2006 | Sep 29, 2006 |
| Denton Lane Brooks | Voya Financial Partners, LLC other | Gwn Securities Inc. other | Other | Sep 27, 2006 | Oct 2, 2006 |
| Oduardo Salvador Periu | Great American Advisors, Inc. other | Gwn Securities Inc. other | Other | May 24, 2006 | Jun 6, 2006 |
| Layne Virgil Monroe | Morgan Stanley Dw Inc. unclassified | Gwn Securities Inc. other | Other | Apr 5, 2006 | Jul 18, 2006 (104 d) |
| Jeffrey John Miller | Voya Financial Partners, LLC other | Gwn Securities Inc. other | Other | Dec 21, 2005 | Dec 20, 2005 |
| Robert Davis Van Sant | Invesco Aim Private Asset Management, Inc. unclassified | Gwn Securities Inc. other | Other | Dec 6, 2005 | Jun 26, 2006 (202 d) |
| James Leland Hancock | Great American Advisors, Inc. other | Gwn Securities Inc. other | Other | Nov 11, 2005 | Nov 2, 2005 |
| George Webber | Ameriprise Financial Services, LLC national BD | Gwn Securities Inc. other | Other | Sep 30, 2005 | Jun 7, 2007 (615 d) |
| Trent Alan Schuler | Voya Financial Advisors, Inc. other | Gwn Securities Inc. other | Other | Aug 18, 2005 | Sep 8, 2005 |
| Joanne Marie Woiteshek | Pmg Asset Management Inc unclassified | Gwn Securities Inc. other | Other | Jun 3, 2005 | May 30, 2006 (361 d) |
| Richard Lee Peterbok | Pmg Asset Management Inc unclassified | Gwn Securities Inc. other | Other | Mar 9, 2005 | Jun 12, 2006 (460 d) |
| Jerry Wayne Dunnick | Pmg Asset Management Inc unclassified | Gwn Securities Inc. other | Other | Jan 31, 2005 | Jan 31, 2005 |
| Jill A. Snyder-Stahl | Pmg Asset Management Inc unclassified | Gwn Securities Inc. other | Other | Jan 31, 2005 | Jan 31, 2005 |
| Paul Douglas Moore | Pmg Asset Management Inc unclassified | Gwn Securities Inc. other | Other | Jan 14, 2005 | Feb 4, 2005 |
| Trenton Glen Adams | Pmg Asset Management Inc unclassified | Gwn Securities Inc. other | Other | Jan 14, 2005 | Jan 14, 2005 |
| Christopher Warren Wilbratte | Pmg Asset Management Inc unclassified | Gwn Securities Inc. other | Other | Jan 14, 2005 | Jan 20, 2005 |
| Scott Ryan Kuharski | Pmg Asset Management Inc unclassified | Gwn Securities Inc. other | Other | Jan 14, 2005 | Jan 20, 2005 |
| Michael John Miller | Pmg Asset Management Inc unclassified | Gwn Securities Inc. other | Other | Dec 31, 2004 | Jan 18, 2005 |
| Moustapha Nasser Akkari | Pmg Asset Management Inc unclassified | Gwn Securities Inc. other | Other | Dec 31, 2004 | Jan 7, 2005 |
| Nathan Lee Wilson | Pmg Asset Management Inc unclassified | Gwn Securities Inc. other | Other | Dec 31, 2004 | Jan 18, 2005 |
| Gary Dean Hutto | Pmg Asset Management Inc unclassified | Gwn Securities Inc. other | Other | Nov 5, 2004 | Nov 4, 2004 |
| Michael Awad Fahim | Pmg Asset Management Inc unclassified | Gwn Securities Inc. other | Other | Nov 5, 2004 | Nov 4, 2004 |
| Ramy Awad Fahim | Pmg Asset Management Inc unclassified | Gwn Securities Inc. other | Other | Nov 5, 2004 | Nov 4, 2004 |
| Alfred James Feronti | Brecek & Young Advisors, Inc. other | Gwn Securities Inc. other | Other | Oct 15, 2004 | Oct 15, 2004 |
| Michael E Mcclimon | Money Concepts Advisory Service other | Gwn Securities Inc. other | Other | Sep 8, 2004 | Sep 8, 2004 |
| Jeffrey Lloyd Gibbens | Pmg Asset Management Inc unclassified | Gwn Securities Inc. other | Other | Jul 23, 2004 | Jun 22, 2006 (699 d) |
| Ralph Stanley Wendell | Pmg Securities Corporation unclassified | Gwn Securities Inc. other | Other | May 17, 2004 | May 17, 2004 |
| Laura Jeanette Bornheimer | Pmg Asset Management Inc unclassified | Gwn Securities Inc. other | Other | Apr 14, 2004 | Apr 21, 2004 |
| Carl Alexander Neitzel | Pmg Asset Management Inc unclassified | Gwn Securities Inc. other | Other | Oct 1, 2003 | Dec 2, 2004 (428 d) |