| Robert Galindo | Whjr Associates other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Mar 24, 2009 | Mar 17, 2009 |
| Redginal Van Johnson | Ameriprise Financial Services, LLC national BD | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Mar 12, 2009 | Mar 6, 2009 |
| Gary W Lavallee | New England Securities Corporation other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Mar 11, 2009 | Feb 22, 2011 (713 d) |
| Angeli Aguila Forster | Sagepoint Financial, Inc. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Mar 10, 2009 | Mar 13, 2009 |
| Heidi Barber | Osaic Wealth, Inc. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Mar 4, 2009 | Feb 19, 2009 |
| Patrick Robert Macgrath | Osaic Wealth, Inc. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Mar 4, 2009 | Feb 17, 2009 |
| Mark James Sudol | Sagepoint Financial, Inc. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Feb 20, 2009 | Feb 13, 2009 |
| Gary David Sudol | Sagepoint Financial, Inc. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Feb 20, 2009 | Feb 13, 2009 |
| Mark Devin Johnson | Lincoln Financial Distributors, Inc. unclassified | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Feb 17, 2009 | Apr 3, 2009 (45 d) |
| Daniel Damien Coda | Sagepoint Financial, Inc. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Feb 17, 2009 | Feb 13, 2009 |
| Paul Luis Soriano | Sagepoint Financial, Inc. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Feb 17, 2009 | Feb 13, 2009 |
| Joseph Robert Gabriel Stepanic | Sagepoint Financial, Inc. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Feb 17, 2009 | Feb 13, 2009 |
| Dan T. Shimogawa | Sagepoint Financial, Inc. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Feb 17, 2009 | Feb 13, 2009 |
| John Kevin Jovanovich | Sagepoint Financial, Inc. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Feb 11, 2009 | Feb 12, 2009 |
| Thomas Joseph Alley | Sagepoint Financial, Inc. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Feb 5, 2009 | Feb 5, 2009 |
| Brian David Hartstein | Sagepoint Financial, Inc. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Jan 26, 2009 | Mar 13, 2009 (46 d) |
| Carl David Hulse | Sagepoint Financial, Inc. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Jan 23, 2009 | Mar 16, 2009 (52 d) |
| Frank Michael Brown | Sagepoint Financial, Inc. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Jan 23, 2009 | Jan 23, 2009 |
| Travis G Blaser | Sagepoint Financial, Inc. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Jan 14, 2009 | Oct 1, 2009 (260 d) |
| Ronald Reed Mccook | Sagepoint Financial, Inc. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Jan 13, 2009 | Oct 1, 2009 (261 d) |
| Robert Loren Downing | Envestnet Pmc other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Jan 7, 2009 | Nov 18, 2010 (680 d) |
| Charles Auerbach | Wealth Strategies Advisory Group, Inc. unclassified | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Dec 31, 2008 | Mar 24, 2004 |
| Steven Jay Silver | Wealth Strategies Advisory Group, Inc. unclassified | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Dec 31, 2008 | Apr 21, 2004 |
| Matthew Welgat | Welgat Wealth Management unclassified | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Dec 31, 2008 | Mar 23, 2009 (82 d) |
| Joseph William Moyer | Moyer Financial Asset Management Group unclassified | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Dec 22, 2008 | Dec 9, 2013 (1813 d) |
| Julie Rae Weekley | Moyer Financial Asset Management Group unclassified | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Dec 22, 2008 | Dec 9, 2013 (1813 d) |
| John Harvey Heil | Sagepoint Financial, Inc. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Dec 19, 2008 | Dec 8, 2008 |
| Anthony Ernest Lajeunesse | Sagepoint Financial, Inc. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Dec 19, 2008 | Dec 15, 2008 |
| Ronald Fair Paull | Sagepoint Financial, Inc. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Dec 17, 2008 | Dec 15, 2008 |
| James Murray Paul | Sagepoint Financial, Inc. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Dec 15, 2008 | Dec 15, 2008 |
| Glenn Tremaine Grosh | Sagepoint Financial, Inc. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Dec 4, 2008 | Dec 3, 2008 |
| Brian Lincoln Quinn | Quest Capital Management, Inc. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Dec 1, 2008 | Sep 16, 2010 (654 d) |
| John David Anderson | Sagepoint Financial, Inc. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Nov 28, 2008 | Nov 25, 2008 |
| Jason Anthony Galardy | Goldman Sachs Wealth Services, L.P. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Nov 24, 2008 | Apr 13, 2009 (140 d) |
| John Keith Burdette | Sagepoint Financial, Inc. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Nov 10, 2008 | Oct 29, 2008 |
| Jane Slaven Eddy | Sagepoint Financial, Inc. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Nov 4, 2008 | Nov 7, 2008 |
| William Arthur Grigat | Sagepoint Financial, Inc. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Nov 4, 2008 | Nov 6, 2008 |
| Jennifer Anne Richardson | Sagepoint Financial, Inc. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Nov 4, 2008 | Nov 10, 2008 |
| Denver Floyd Mccallister | Sagepoint Financial, Inc. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Oct 30, 2008 | Oct 29, 2008 |
| Brennan Vincent Krengel | Chase Investment Services Corp. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Oct 30, 2008 | Oct 2, 2013 (1798 d) |
| Zachary T Evans | Signator Investors, Inc. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Oct 27, 2008 | Sep 21, 2010 (694 d) |
| Norman David Eccarius | C. P. S. Advisors, Inc. unclassified | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Oct 20, 2008 | Nov 13, 2008 |
| Janet Ann Wulf | Cuna Brokerage Services, Inc. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Oct 20, 2008 | May 7, 2009 (199 d) |
| Jason Vitucci | Sagepoint Financial, Inc. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Oct 17, 2008 | Oct 17, 2008 |
| Jeffrey Steven Mansell | Edward Jones national BD | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Oct 3, 2008 | Oct 12, 2009 (374 d) |
| Charles Peter Geers | Fintegra, LLC other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Sep 30, 2008 | Oct 1, 2008 |
| Theodore William Hintz | U.S. Financial Advisors other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Sep 30, 2008 | Oct 1, 2008 |
| Brad Jedd Myers | Hornor, Townsend & Kent, LLC other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Sep 12, 2008 | Sep 3, 2008 |
| Matthew Edward Fitzgerald | Valic Financial Advisors, Inc. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Sep 11, 2008 | Sep 4, 2008 |
| Michael James Vaules | Securities America Advisors, Inc. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Sep 5, 2008 | Sep 5, 2008 |
| Clayton John Shearer | Edward Jones national BD | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Aug 26, 2008 | Jan 29, 2009 (156 d) |
| Michael Lee Martin | Voya Financial Advisors, Inc. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Aug 18, 2008 | Aug 15, 2008 |
| William Scott Corelle | Valic Financial Advisors, Inc. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Jul 14, 2008 | Aug 21, 2008 (38 d) |
| Shawn Christopher Riggins | Td Ameritrade Investment Management, LLC other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Jun 27, 2008 | Jul 1, 2008 |
| Jerry Van Grantham | Financial Strategies Group Inc unclassified | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Jun 3, 2008 | Jun 4, 2008 |
| Risdan Depaul Kasper | Securities America Advisors, Inc. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | May 30, 2008 | May 29, 2008 |
| Arthur Lopes | Wedbush Securities Inc. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | May 1, 2008 | Aug 5, 2009 (461 d) |
| Jeffrey Bruce Goldman | Life Planning Advisors, LLC. unclassified | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Apr 10, 2008 | Sep 30, 2002 |
| Lucille M Shaw | Life Planning Advisors, LLC. unclassified | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Apr 10, 2008 | Oct 10, 2003 |
| Eric Thomas Hamberg | Waddell & Reed other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Apr 3, 2008 | Jul 30, 2010 (848 d) |