| Neil Arthur Cain | Householder Group, Estate & Retirement Specialists unclassified | Next Financial Group, Inc. other | Other | Dec 9, 2008 | Jun 19, 2009 (192 d) |
| Michael Thomas Jones | Wamu Investments, Inc. unclassified | Next Financial Group, Inc. other | Other | Oct 29, 2008 | Oct 16, 2008 |
| Karl Ernst Klinger | College Financial Services unclassified | Next Financial Group, Inc. other | Other | Oct 21, 2008 | Oct 21, 2008 |
| Lawrence E Wall | Park Avenue Securities LLC other | Next Financial Group, Inc. other | Other | Oct 10, 2008 | Oct 8, 2008 |
| Christian Gabriel Taylor | Waddell & Reed other | Next Financial Group, Inc. other | Other | Sep 15, 2008 | Mar 18, 2011 (914 d) |
| Carl David Lewis | World Choice Securities, Inc. state registered | Next Financial Group, Inc. other | Other | Sep 10, 2008 | Sep 9, 2008 |
| Robert Charles Waddell | Edward Jones national BD | Next Financial Group, Inc. other | Other | Aug 21, 2008 | Aug 22, 2008 |
| Kenneth Lowell Cook | Obs Financial other | Next Financial Group, Inc. other | Other | Aug 20, 2008 | Mar 31, 2008 |
| Kalvin Sid | Sagepoint Financial, Inc. other | Next Financial Group, Inc. other | Other | Aug 4, 2008 | Aug 5, 2008 |
| Bryan Keith Kaarlsen | LPL Financial LLC other | Next Financial Group, Inc. other | Other | Jun 24, 2008 | Jun 19, 2008 |
| Gary Charles Haack | LPL Financial LLC other | Next Financial Group, Inc. other | Other | Jun 24, 2008 | Jun 19, 2008 |
| Chanell Tomika Carter | Invesco Aim Private Asset Management, Inc. unclassified | Next Financial Group, Inc. other | Other | Jun 19, 2008 | Feb 4, 2010 (595 d) |
| Akanni Kenyon Jones | Invesco Aim Private Asset Management, Inc. unclassified | Next Financial Group, Inc. other | Other | Jun 19, 2008 | Mar 11, 2010 (630 d) |
| Scarlett Cherry | Wamu Investments, Inc. unclassified | Next Financial Group, Inc. other | Other | Jun 16, 2008 | Jul 25, 2008 (39 d) |
| Alfredo Oliva | Southern Trust Securites Asset Management, Inc. unclassified | Next Financial Group, Inc. other | Other | Jun 13, 2008 | Jun 16, 2008 |
| Victor Antonio Morales | Southern Trust Securites Asset Management, Inc. unclassified | Next Financial Group, Inc. other | Other | Jun 13, 2008 | Aug 6, 2008 (54 d) |
| Lee Douglas Hooks | Edward Jones national BD | Next Financial Group, Inc. other | Other | Jun 9, 2008 | Oct 31, 2008 (144 d) |
| Erik Cecil Barnes | Edward Jones national BD | Next Financial Group, Inc. other | Other | Apr 29, 2008 | May 13, 2008 |
| Sherman Phillip Ober | Securities America Advisors, Inc. other | Next Financial Group, Inc. other | Other | Apr 28, 2008 | May 30, 2013 (1858 d) |
| Gautam B Bose | Sagepoint Financial, Inc. other | Next Financial Group, Inc. other | Other | Apr 28, 2008 | Jul 7, 2009 (435 d) |
| Alfredo Oliva | Hsbc Securities (USA) Inc. other | Next Financial Group, Inc. other | Other | Apr 17, 2008 | Apr 15, 2008 |
| Adam Todd Duey | Cri Securities, LLC other | Next Financial Group, Inc. other | Other | Apr 4, 2008 | Apr 2, 2008 |
| James Arthur Hayett | Sagepoint Financial, Inc. other | Next Financial Group, Inc. other | Other | Apr 2, 2008 | Mar 4, 2008 |
| Daniel Robert Hahn | Securian Financial Services, Inc. other | Next Financial Group, Inc. other | Other | Mar 27, 2008 | Mar 26, 2008 |
| Jenny Mack Jones | Edward Jones national BD | Next Financial Group, Inc. other | Other | Mar 25, 2008 | Mar 27, 2008 |
| Douglas Haig Alexander | Equitable Advisors, LLC national BD | Next Financial Group, Inc. other | Other | Mar 20, 2008 | Mar 18, 2008 |
| John Mckinley Walling | Capital Financial Services, Inc. other | Next Financial Group, Inc. other | Other | Mar 18, 2008 | Mar 18, 2008 |
| Gary Robert Reese | Capital Financial Services, Inc. other | Next Financial Group, Inc. other | Other | Mar 14, 2008 | Mar 14, 2008 |
| Richard Glenn Mcdaniel | Capital Financial Services, Inc. other | Next Financial Group, Inc. other | Other | Mar 14, 2008 | Mar 14, 2008 |
| Hamid Sasaninejad | Nfp Advisor Services, LLC other | Next Financial Group, Inc. other | Other | Mar 10, 2008 | Mar 10, 2008 |
| James Patrick Richardson | Questar Asset Management, Inc. other | Next Financial Group, Inc. other | Other | Mar 6, 2008 | Mar 19, 2008 |
| James Dale Kraatz | Capital Financial Services, Inc. other | Next Financial Group, Inc. other | Other | Mar 3, 2008 | Mar 3, 2008 |
| Stacy Ann Calder | Capital Financial Services, Inc. other | Next Financial Group, Inc. other | Other | Mar 3, 2008 | Mar 3, 2008 |
| Christopher Ford Wendland | Northwestern Mutual Investment Services,LLC other | Next Financial Group, Inc. other | Other | Feb 26, 2008 | Feb 25, 2008 |
| Kimberly Evelyn Mcmillion | Legend Advisory, LLC other | Next Financial Group, Inc. other | Other | Feb 22, 2008 | Mar 13, 2008 |
| Robert Jackson Stewart | 1717 Capital Management Company unclassified | Next Financial Group, Inc. other | Other | Feb 20, 2008 | Feb 12, 2008 |
| Dawson J White | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Next Financial Group, Inc. other | Other | Feb 14, 2008 | Feb 4, 2008 |
| Robert Sterling Teague Young | New England Securities Corporation other | Next Financial Group, Inc. other | Other | Feb 11, 2008 | Jan 30, 2008 |
| Christopher Mark Torchiana | Osaic Fa, Inc. other | Next Financial Group, Inc. other | Other | Feb 8, 2008 | Feb 5, 2008 |
| Lester George Bostwick | Ameriprise Financial Services, LLC national BD | Next Financial Group, Inc. other | Other | Feb 6, 2008 | Feb 28, 2008 |
| Timothy James Murphy | Bolton Global Asset Management other | Next Financial Group, Inc. other | Other | Feb 5, 2008 | Feb 7, 2008 |
| Keith Andrew Borgfeldt | UBS Financial Services Inc. wirehouse | Next Financial Group, Inc. other | Other | Feb 1, 2008 | Jan 18, 2008 |
| Tamara Haskins | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Next Financial Group, Inc. other | Other | Feb 1, 2008 | Jan 31, 2008 |
| Terry Todd Thill | Money Concepts Advisory Service other | Next Financial Group, Inc. other | Other | Feb 1, 2008 | Feb 6, 2008 |
| Anthony Chapman Williams | Securian Financial Services, Inc. other | Next Financial Group, Inc. other | Other | Jan 16, 2008 | Jan 22, 2008 |
| Marcus Eugene Ortega | Securian Financial Services, Inc. other | Next Financial Group, Inc. other | Other | Jan 16, 2008 | Jan 22, 2008 |
| Bruce Lynn Allen | Spc other | Next Financial Group, Inc. other | Other | Jan 16, 2008 | Jan 11, 2008 |
| James A Franklin | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Next Financial Group, Inc. other | Other | Jan 11, 2008 | Jan 11, 2008 |
| Joseph Edward Tocchini | Securian Financial Services, Inc. other | Next Financial Group, Inc. other | Other | Jan 10, 2008 | Jan 8, 2008 |
| Troy Lane Stine | Cetera Advisors LLC other | Next Financial Group, Inc. other | Other | Jan 10, 2008 | Jan 7, 2008 |
| Seth Michael Ingersoll | Cri Securities, LLC other | Next Financial Group, Inc. other | Other | Jan 10, 2008 | Jan 10, 2008 |
| Michael Brett Mcmahon | Wealth Development Strategies Investment Advisory, Inc. state registered | Next Financial Group, Inc. other | Other | Jan 9, 2008 | Apr 17, 2007 |
| Zachary Allen Zettergren | Principal Securities, Inc. other | Next Financial Group, Inc. other | Other | Dec 31, 2007 | Jan 3, 2008 |
| Richard Dale Nilmeier | Principal Securities, Inc. other | Next Financial Group, Inc. other | Other | Dec 13, 2007 | Dec 11, 2007 |
| John Peter Nilmeier | Principal Securities, Inc. other | Next Financial Group, Inc. other | Other | Dec 13, 2007 | Dec 11, 2007 |
| Edward Carl Ittner | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Next Financial Group, Inc. other | Other | Dec 7, 2007 | Jan 22, 2008 (46 d) |
| Thomas Alan Baird | 1717 Capital Management Company unclassified | Next Financial Group, Inc. other | Other | Dec 5, 2007 | Dec 5, 2007 |
| Jerry Robert Citarella | Park Avenue Securities LLC other | Next Financial Group, Inc. other | Other | Dec 4, 2007 | Dec 3, 2007 |
| Christopher Matthew Ingram | Park Avenue Securities LLC other | Next Financial Group, Inc. other | Other | Dec 4, 2007 | Dec 5, 2007 |
| Kyle Tate Laughlin | Investment Professionals, Inc. other | Next Financial Group, Inc. other | Other | Nov 29, 2007 | Nov 29, 2007 |