| Robert Randolph Lott | Nfp Advisor Services, LLC other | Invest Financial Corporation other | Other | Sep 13, 2010 | Oct 6, 2010 |
| Steven Robert Schwartz | Edward Jones national BD | Invest Financial Corporation other | Other | Sep 1, 2010 | Sep 2, 2015 (1827 d) |
| Samuel Manasseh Richmond | Edward Jones national BD | Invest Financial Corporation other | Other | Aug 24, 2010 | Jan 19, 2011 (148 d) |
| Charles Rex Strickland | Osaic Fs, Inc. other | Invest Financial Corporation other | Other | Aug 17, 2010 | Aug 2, 2010 |
| Jeremy Brandon Joiner | United Capital Financial Advisors other | Invest Financial Corporation other | Other | Aug 17, 2010 | Jun 19, 2012 (672 d) |
| Jerry Ira Corless | New England Securities Corporation other | Invest Financial Corporation other | Other | Aug 2, 2010 | Jul 28, 2010 |
| Charles Emerson | New England Securities Corporation other | Invest Financial Corporation other | Other | Jul 23, 2010 | Jul 21, 2010 |
| John C Stadtmueller | Charles Schwab & Co., Inc. national BD | Invest Financial Corporation other | Other | Jul 22, 2010 | Apr 5, 2016 (2084 d) |
| Peter Paul Sciortino | Vsr Advisory Services other | Invest Financial Corporation other | Other | Jul 19, 2010 | Jul 27, 2010 |
| William Kevin Jenkins | Aza Capital Management other | Invest Financial Corporation other | Other | Jul 13, 2010 | Jun 25, 2010 |
| Laith Amer Al Tikriti | LPL Financial LLC other | Invest Financial Corporation other | Other | Jul 12, 2010 | Jul 6, 2010 |
| Brandon Keith Moore | 1st Global Advisors Inc other | Invest Financial Corporation other | Other | Jul 1, 2010 | Jun 16, 2010 |
| Kevin Lee Whittington | Waddell & Reed other | Invest Financial Corporation other | Other | Jun 28, 2010 | Nov 18, 2011 (508 d) |
| Wayne Karl Gieseke | Uvest Financial Services Group, Inc. unclassified | Invest Financial Corporation other | Other | Jun 25, 2010 | Jun 25, 2010 |
| Matthew Scott Casey | Uvest Financial Services Group, Inc. unclassified | Invest Financial Corporation other | Other | Jun 25, 2010 | Jun 25, 2010 |
| Aaron Jeremiah Ochoa | Arvest Wealth Management other | Invest Financial Corporation other | Other | Jun 15, 2010 | Sep 27, 2010 (104 d) |
| Marshall Ray Robinson | Aura Asset Management, Inc. unclassified | Invest Financial Corporation other | Other | Jun 1, 2010 | Jun 1, 2011 (365 d) |
| Jude Ryan Mcdonough | Sterling Investment Advisors Ltd. other | Invest Financial Corporation other | Other | May 19, 2010 | Jan 31, 2011 (257 d) |
| Matthew Alan Plumley | Msi Financial Services, Inc. other | Invest Financial Corporation other | Other | Apr 29, 2010 | Apr 29, 2010 |
| Clayton D Bentzen | Edward Jones national BD | Invest Financial Corporation other | Other | Apr 21, 2010 | May 27, 2010 (36 d) |
| David Lavelle Dickens | Securian Financial Services, Inc. other | Invest Financial Corporation other | Other | Mar 25, 2010 | Jul 15, 2010 (112 d) |
| Jacob Daniel Klein | Key Investment Services LLC other | Invest Financial Corporation other | Other | Mar 23, 2010 | Mar 22, 2010 |
| Kenyon Lloyd Lederer | Securities America Advisors, Inc. other | Invest Financial Corporation other | Other | Mar 15, 2010 | Oct 29, 2007 |
| Richard Salvatore Lotito | Sii Investments, Inc. other | Invest Financial Corporation other | Other | Mar 3, 2010 | Mar 9, 2010 |
| John Carroll Mcgowan | M&T Securities, Inc. unclassified | Invest Financial Corporation other | Other | Feb 17, 2010 | Apr 28, 2010 (70 d) |
| John Ciko | LPL Financial LLC other | Invest Financial Corporation other | Other | Feb 10, 2010 | Feb 16, 2010 |
| Michael Dennis Labarbera | LPL Financial LLC other | Invest Financial Corporation other | Other | Feb 10, 2010 | Feb 9, 2010 |
| Russell Melville Hanscom | Raymond James Financial Services Advisors, Inc other | Invest Financial Corporation other | Other | Feb 8, 2010 | Feb 19, 2010 |
| Pamela Jean Hollinger | Citizens Securities, Inc. other | Invest Financial Corporation other | Other | Jan 8, 2010 | Jan 13, 2010 |
| Gregory Steven Trainor | Lawing Financial Inc other | Invest Financial Corporation other | Other | Jan 6, 2010 | Jan 26, 2010 |
| Kisha Byrd Madison | Waddell & Reed other | Invest Financial Corporation other | Other | Jan 5, 2010 | Jun 2, 2010 (148 d) |
| Kenneth Edward Reeves | Pacific West Financial Consultants Inc other | Invest Financial Corporation other | Other | Dec 31, 2009 | Jan 19, 2010 |
| Steven Leroy Judd | Transamerica Financial Advisors, LLC other | Invest Financial Corporation other | Other | Dec 24, 2009 | Mar 25, 2009 |
| Carson Skottowe Wannamaker | Morgan Keegan & Company, LLC other | Invest Financial Corporation other | Other | Dec 23, 2009 | Jul 29, 2010 (218 d) |
| Mike Russ | Uvest Financial Services Group, Inc. unclassified | Invest Financial Corporation other | Other | Dec 21, 2009 | Jan 5, 2010 |
| Felix S Gumina | Financial Network Associates, Inc. unclassified | Invest Financial Corporation other | Other | Dec 11, 2009 | Dec 5, 2007 |
| Thomas Roney Chaney | T.R. Chaney, LLC unclassified | Invest Financial Corporation other | Other | Dec 10, 2009 | May 15, 2008 |
| Kenneth Jeffrey Hanna | Nfp Advisor Services, LLC other | Invest Financial Corporation other | Other | Dec 4, 2009 | Nov 25, 2009 |
| George Kastanis | Equitable Advisors, LLC national BD | Invest Financial Corporation other | Other | Dec 4, 2009 | Nov 22, 2011 (718 d) |
| Jonathan Demayo | Morgan Keegan & Company, LLC other | Invest Financial Corporation other | Other | Dec 1, 2009 | Nov 10, 2010 (344 d) |
| William Richard Gallagher | Raymond James Financial Services Advisors, Inc other | Invest Financial Corporation other | Other | Nov 30, 2009 | Apr 1, 2010 (122 d) |
| Michael Stanley Paikos | Cetera Advisor Networks LLC other | Invest Financial Corporation other | Other | Nov 17, 2009 | Nov 18, 2009 |
| Joseph Samuel Zaidain | Mwz Financial Group, LLC unclassified | Invest Financial Corporation other | Other | Nov 17, 2009 | Jul 24, 2006 |
| Margaret Mary Messerli-Trottier | Cetera Advisor Networks LLC other | Invest Financial Corporation other | Other | Nov 17, 2009 | Nov 18, 2009 |
| James Edward Yarbrough | Morgan Stanley wirehouse | Invest Financial Corporation other | Other | Nov 16, 2009 | Oct 19, 2009 |
| Jeremy Dustin Nichols | Morgan Stanley wirehouse | Invest Financial Corporation other | Other | Nov 11, 2009 | Oct 16, 2009 |
| Jesse Zaragoza | Citizens Securities, Inc. other | Invest Financial Corporation other | Other | Nov 6, 2009 | Nov 30, 2009 |
| David Robert Ball | Edward Jones national BD | Invest Financial Corporation other | Other | Oct 29, 2009 | Jan 29, 2010 (92 d) |
| Philip Bruce Spear | Sagepoint Financial, Inc. other | Invest Financial Corporation other | Other | Oct 26, 2009 | Oct 21, 2009 |
| Christopher Donald Miller | Securities America Advisors, Inc. other | Invest Financial Corporation other | Other | Oct 20, 2009 | Oct 19, 2009 |
| Wesley Robert Pingelton | Biltmore Capital Advisors other | Invest Financial Corporation other | Other | Oct 15, 2009 | Oct 30, 2009 |
| Steven Andrew Smith | Chase Investment Services Corp. other | Invest Financial Corporation other | Other | Oct 2, 2009 | Nov 9, 2009 (38 d) |
| Bruce William Stroup | Woodbury Financial Services, Inc. other | Invest Financial Corporation other | Other | Sep 29, 2009 | Sep 25, 2009 |
| Christian Eliezer Urbina | Ameriprise Financial Services, LLC national BD | Invest Financial Corporation other | Other | Sep 29, 2009 | May 28, 2010 (241 d) |
| Stephanie J O'Hara | Msi Financial Services, Inc. other | Invest Financial Corporation other | Other | Sep 28, 2009 | Dec 21, 2009 (84 d) |
| Andrew Edward Carrillo | Ameriprise Financial Services, LLC national BD | Invest Financial Corporation other | Other | Sep 24, 2009 | Sep 30, 2009 |
| Jayson James Brown | Ameriprise Financial Services, LLC national BD | Invest Financial Corporation other | Other | Sep 24, 2009 | Sep 23, 2009 |
| Thomas Edward Katula | Citigroup Global Markets Inc. other | Invest Financial Corporation other | Other | Sep 22, 2009 | Sep 17, 2009 |
| Samantha Nicole Guthrie | Waddell & Reed other | Invest Financial Corporation other | Other | Sep 22, 2009 | Mar 9, 2010 (168 d) |
| Andrew Joseph Ellermann | Cetera Investment Services LLC other | Invest Financial Corporation other | Other | Sep 14, 2009 | Sep 18, 2009 |