| Kraig Joseph Cawley | Cambridge Investment Research Advisors, Inc. BD affiliated | Cetera Advisor Networks LLC other | Other | Apr 9, 2018 | Mar 22, 2018 |
| Christopher Daniel Thomas | Securian Financial Services, Inc. other | Cetera Advisor Networks LLC BD affiliated | Other | Mar 1, 2018 | Jan 14, 2019 (319 d) |
| Robert Loren Downing | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Cetera Advisor Networks LLC BD affiliated | Other | Feb 21, 2018 | Aug 21, 2018 (181 d) |
| Valery Vela | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Cetera Advisor Networks LLC BD affiliated | Other | Feb 13, 2018 | May 4, 2018 (80 d) |
| Erik Dustin Shotwell | Valic Financial Advisors, Inc. other | Cetera Advisor Networks LLC other | Other | Feb 8, 2018 | Jan 30, 2018 |
| Brett Arthur Banks | Waterfront Wealth Inc. other | Cetera Advisor Networks LLC other | Other | Feb 8, 2018 | Feb 15, 2018 |
| Stephanie Johnston | Ameriprise Financial Services, LLC national BD | Cetera Advisor Networks LLC other | Other | Feb 1, 2018 | Feb 2, 2018 |
| Elvis Medica | Assetmark, Inc. other | Cetera Advisor Networks LLC other | Other | Jan 29, 2018 | Feb 28, 2018 |
| Keith Allen Johnson | Edward Jones national BD | Cetera Advisor Networks LLC other | Other | Jan 17, 2018 | Jan 16, 2018 |
| Scott Ryan Lewis | Oneamerica Securities, Inc. other | Cetera Advisor Networks LLC other | Other | Jan 9, 2018 | Jan 11, 2018 |
| Clifton Cass Morton | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Cetera Advisor Networks LLC other | Other | Jan 2, 2018 | Jan 18, 2018 |
| Gregory Allen Large | Lanark Financial, Inc. other | Cetera Advisor Networks LLC other | Other | Jan 2, 2018 | Jan 3, 2018 |
| Chaundra Kay Straker | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Cetera Advisor Networks LLC other | Other | Jan 2, 2018 | Mar 23, 2018 (80 d) |
| Jaret Clinton Mutter | Investment Centers Of America, Inc. other | Cetera Advisor Networks LLC other | Other | Dec 31, 2017 | Oct 18, 2017 |
| Natalia Amato | Finestone Partners unclassified | Cetera Advisor Networks LLC BD affiliated | Other | Dec 31, 2017 | Sep 26, 2018 (269 d) |
| Robert Harold Sowder | LPL Financial LLC independent RIA | Cetera Advisor Networks LLC other | Other | Dec 18, 2017 | Nov 14, 2017 |
| Shane J Walock | Scottrade Investment Management BD affiliated | Cetera Advisor Networks LLC other | Other | Dec 5, 2017 | Jan 4, 2018 |
| Thomas Asta | Flagstar Securities, Inc. other | Cetera Advisor Networks LLC other | Other | Dec 4, 2017 | Feb 1, 2018 (59 d) |
| Kari Michelle Mcguire | Thrivent Investment Management Inc. other | Cetera Advisor Networks LLC other | Other | Nov 16, 2017 | Jan 8, 2018 (53 d) |
| Peter Englund | Capital Client Group, Inc. no RAUM | Cetera Advisor Networks LLC BD affiliated | Other | Nov 16, 2017 | Jun 9, 2022 (1666 d) |
| Zachary Thomas Holloway | Edward Jones national BD | Cetera Advisor Networks LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 7, 2017 | Nov 17, 2018 (375 d) |
| Lucas Anthony Casarez | Cwm, LLC other | Cetera Advisor Networks LLC other | Other | Oct 26, 2017 | Jan 17, 2017 |
| Amanda Lyvette Robinson | Investment Centers Of America, Inc. other | Cetera Advisor Networks LLC other | Other | Oct 16, 2017 | Oct 17, 2017 |
| Tim Xuan Ha | Investment Centers Of America, Inc. other | Cetera Advisor Networks LLC other | Other | Oct 16, 2017 | Oct 20, 2017 |
| Tiffany Renee Rawling | Investment Centers Of America, Inc. other | Cetera Advisor Networks LLC other | Other | Oct 16, 2017 | Oct 16, 2017 |
| Andrew Thomas Schenker | Investment Centers Of America, Inc. other | Cetera Advisor Networks LLC other | Other | Oct 16, 2017 | Oct 16, 2017 |
| Michael Paul Blanchard | Investment Centers Of America, Inc. other | Cetera Advisor Networks LLC other | Other | Oct 16, 2017 | Oct 16, 2017 |
| Jordan Scott Sereno | Investment Centers Of America, Inc. other | Cetera Advisor Networks LLC other | Other | Oct 16, 2017 | Oct 16, 2017 |
| Emily Dawn Buehler | Wells Fargo Advisors wirehouse | Cetera Advisor Networks LLC other | Other | Sep 28, 2017 | Nov 6, 2017 (39 d) |
| Vasilios K Rizos | Pnc Wealth Management other | Cetera Advisor Networks LLC BD affiliated | Other | Sep 20, 2017 | Feb 1, 2022 (1595 d) |
| Stephen P Mayer | LPL Financial LLC other | Cetera Advisor Networks LLC other | Other | Sep 1, 2017 | Aug 23, 2017 |
| Brandon Michael Lawrence | Cri Securities, LLC other | Cetera Advisor Networks LLC other | Other | Aug 22, 2017 | Sep 14, 2017 |
| Kyle William Chapman | Larson Financial Group, LLC other | Cetera Advisor Networks LLC BD affiliated | Other | Aug 16, 2017 | May 14, 2018 (271 d) |
| Quincy Hall | MML Investors Services, LLC other | Cetera Advisor Networks LLC other | Other | Aug 15, 2017 | Aug 14, 2017 |
| David Irwin | The Oak Ridge Financial Services Group, Inc other | Cetera Advisor Networks LLC other | Other | Aug 1, 2017 | Aug 1, 2017 |
| Ryan Scott Manaker | Creative Planning Institutional Advisors, LLC other | Cetera Advisor Networks LLC other | Other | Jul 12, 2017 | May 6, 2008 |
| James Allen Lebzelter | MML Investors Services, LLC other | Cetera Advisor Networks LLC other | Other | Jun 30, 2017 | Jun 20, 2017 |
| Joyce Ann Sobczyk | Voya Financial Partners, LLC other | Cetera Advisor Networks LLC BD affiliated | Other | Jun 12, 2017 | Jun 9, 2021 (1458 d) |
| Christine Tillman | Equitable Advisors, LLC national BD | Cetera Advisor Networks LLC other | Other | May 19, 2017 | Jun 2, 2017 |
| James Justin Towne | Edward Jones national BD | Cetera Advisor Networks LLC BD affiliated | Affiliated broker-dealer or bank to another | May 8, 2017 | Mar 15, 2019 (676 d) |
| Ronald Takao Sera | Financial West Group other | Cetera Advisor Networks LLC other | Other | May 4, 2017 | May 10, 2017 |
| Paul Way Yeh | LPL Financial LLC other | Cetera Advisor Networks LLC other | Other | Apr 26, 2017 | Apr 28, 2017 |
| Michael Raymond Hazen | Kestra Advisory Services, LLC other | Cetera Advisor Networks LLC other | Other | Apr 22, 2017 | Apr 26, 2017 |
| Joseph F Romito | Ameritas Advisory Services other | Cetera Advisor Networks LLC other | Other | Mar 27, 2017 | Feb 28, 2017 |
| Zachary James Weirich | Edward Jones national BD | Cetera Advisor Networks LLC other | Other | Mar 21, 2017 | Mar 21, 2017 |
| Richard Lyden Tighe | Wells Fargo Advisors wirehouse | Cetera Advisor Networks LLC other | Other | Mar 8, 2017 | Mar 1, 2017 |
| Evangeline Tyndall Herrington | Edward Jones national BD | Cetera Advisor Networks LLC other | Other | Mar 2, 2017 | Apr 21, 2017 (50 d) |
| William A Howard | MML Investors Services, LLC other | Cetera Advisor Networks LLC other | Other | Mar 1, 2017 | Feb 23, 2017 |
| James Paul Benson | Cornerstone Investment Advisors, LLC other | Cetera Advisor Networks LLC other | Other | Feb 28, 2017 | Mar 28, 2016 |
| Melissa Rae Bestul | Cornerstone Investment Advisors, LLC other | Cetera Advisor Networks LLC other | Other | Feb 28, 2017 | Apr 11, 2016 |
| Kary Joshua Silvers | Scottrade Investment Management other | Cetera Advisor Networks LLC other | Other | Feb 22, 2017 | Mar 22, 2017 |
| Adam Eliot Truitt | LPL Financial LLC other | Cetera Advisor Networks LLC other | Other | Feb 17, 2017 | Feb 13, 2017 |
| Melissa Rae Machlitt | Jra Financial Advisors, Inc. no RAUM | Cetera Advisor Networks LLC other | Other | Feb 15, 2017 | Jan 13, 2014 |
| Billie Van Lith | Jra Financial Advisors, Inc. no RAUM | Cetera Advisor Networks LLC other | Other | Feb 15, 2017 | Jan 13, 2014 |
| Stephanie Lynn Danforth Johnson | Jra Financial Advisors, Inc. no RAUM | Cetera Advisor Networks LLC other | Other | Feb 15, 2017 | Feb 13, 2017 |
| Alan Lloyd Johnson | Jra Financial Advisors, Inc. no RAUM | Cetera Advisor Networks LLC other | Other | Feb 15, 2017 | Jan 13, 2014 |
| Daniel Peter Larsen | LPL Financial LLC other | Cetera Advisor Networks LLC other | Other | Feb 10, 2017 | Mar 8, 2017 |
| Evans Lee Taylor | Allstate Financial Advisors, LLC no RAUM | Cetera Advisor Networks LLC other | Other | Feb 8, 2017 | Feb 6, 2017 |
| David Earl Herwerden | Ameritas Advisory Services other | Cetera Advisor Networks LLC other | Other | Feb 6, 2017 | Feb 2, 2017 |
| Tae Bum Kim | Fsc Securities Corporation other | Cetera Advisor Networks LLC other | Other | Feb 3, 2017 | Jul 14, 2017 (161 d) |