| Xiomara Maribel Vielman | Next Financial Group, Inc. other | Independent Financial Group, LLC other | Other | Mar 8, 2017 | Mar 6, 2017 |
| Kathleen Ann Covey | Westpark Capital, Inc. other | Independent Financial Group, LLC BD affiliated | Other | Feb 6, 2017 | Jan 7, 2025 (2892 d) |
| Scott Wayne Smith | Capital Financial Services, Inc. other | Independent Financial Group, LLC BD affiliated | Other | Jan 24, 2017 | Jan 6, 2025 (2904 d) |
| Chih-Tao Ma | Cetera Investment Advisers LLC other | Independent Financial Group, LLC other | Other | Dec 14, 2016 | Dec 14, 2016 |
| Sergio Fernandez | LPL Financial LLC other | Independent Financial Group, LLC other | Other | Dec 7, 2016 | Nov 29, 2016 |
| Suzanne Christiansen De Graw | Transamerica Financial Advisors, LLC other | Independent Financial Group, LLC other | Other | Dec 6, 2016 | Dec 1, 2016 |
| Susan Anne Schaufele | Foothill Securities, Inc. other | Independent Financial Group, LLC other | Other | Nov 29, 2016 | Nov 29, 2016 |
| Chad Stephen Langhofer | Main Street Advisors, LLC other | Independent Financial Group, LLC other | Other | Nov 15, 2016 | Aug 3, 2010 |
| Michael Laurence Digaetano | Cetera Investment Advisers LLC other | Independent Financial Group, LLC other | Other | Oct 17, 2016 | Oct 11, 2016 |
| Rohin Lawrence Ullberg | Sii Investments, Inc. other | Independent Financial Group, LLC other | Other | Oct 7, 2016 | Sep 16, 2016 |
| Robert David Mizaur | Commonwealth Financial Network national BD | Independent Financial Group, LLC other | Other | Aug 24, 2016 | Aug 23, 2016 |
| Dominic I Myers | LPL Financial LLC other | Independent Financial Group, LLC other | Other | Aug 18, 2016 | Aug 8, 2016 |
| Dushyanth K Reddy | LPL Financial LLC other | Independent Financial Group, LLC other | Other | Aug 18, 2016 | Aug 8, 2016 |
| Michael Scott Lincoln | LPL Financial LLC other | Independent Financial Group, LLC other | Other | Aug 17, 2016 | Aug 4, 2016 |
| Frederick Allan Gray | Investors Capital Advisory other | Independent Financial Group, LLC other | Other | Aug 10, 2016 | Aug 8, 2016 |
| Cortino Rito Garcia | American Independent Securities Group, LLC other | Independent Financial Group, LLC other | Other | Aug 9, 2016 | Aug 9, 2016 |
| Timothy Andrew Brockman | Edward Jones national BD | Independent Financial Group, LLC other | Other | Aug 9, 2016 | Jul 27, 2016 |
| Kyle David Addington | Kovack Advisors, Inc. other | Independent Financial Group, LLC other | Other | Aug 1, 2016 | Aug 4, 2016 |
| Michael Anthony Calabrese | H. Beck, Inc. other | Independent Financial Group, LLC other | Other | Jul 15, 2016 | Jul 15, 2016 |
| Kenneth Wayne Burkett | Capital Financial Services, Inc. other | Independent Financial Group, LLC other | Other | Jun 27, 2016 | Jun 27, 2016 |
| Henry Giovany Narvaez | J.P. Morgan Securities LLC wirehouse | Independent Financial Group, LLC other | Other | Jun 13, 2016 | Jul 22, 2016 (39 d) |
| Scott Matthew Rose | Waddell & Reed other | Independent Financial Group, LLC other | Other | May 31, 2016 | Apr 6, 2017 (310 d) |
| Amir H Golzar | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Independent Financial Group, LLC other | Other | May 31, 2016 | May 31, 2016 |
| John Velez | First Command Advisory Services other | Independent Financial Group, LLC other | Other | May 11, 2016 | May 16, 2016 |
| Thomas Francis Kehoe | Msi Financial Services, Inc. other | Independent Financial Group, LLC other | Other | May 3, 2016 | May 3, 2016 |
| Jason Jitsuro Yamamoto | Partners Capital Services, Inc. other | Independent Financial Group, LLC other | Other | May 3, 2016 | Apr 18, 2016 |
| James Edward Dillon | Transamerica Financial Advisors, LLC other | Independent Financial Group, LLC other | Other | Apr 13, 2016 | Apr 1, 2016 |
| Damon F Friedman | Nfp Advisor Services, LLC other | Independent Financial Group, LLC other | Other | Mar 31, 2016 | Oct 17, 2016 (200 d) |
| Chad Matthew Raiche | Dougherty & Associates Financial Advisors, Inc. other | Independent Financial Group, LLC other | Other | Mar 10, 2016 | Feb 6, 2015 |
| Ernest James Cox | Nfp Advisor Services, LLC other | Independent Financial Group, LLC other | Other | Mar 2, 2016 | Apr 20, 2016 (49 d) |
| Carlos Di Ponio | Msi Financial Services, Inc. other | Independent Financial Group, LLC other | Other | Feb 24, 2016 | Feb 14, 2018 (721 d) |
| William Payne Adams Orr | Wespac Advisors, LLC other | Independent Financial Group, LLC other | Other | Feb 18, 2016 | Aug 27, 2014 |
| Jana Lynn Garner | Sagepoint Financial, Inc. other | Independent Financial Group, LLC other | Other | Feb 18, 2016 | Mar 10, 2016 |
| Grant Allan Hansen | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Independent Financial Group, LLC other | Other | Feb 2, 2016 | Feb 22, 2016 |
| Megan Polizzi | LPL Financial LLC other | Independent Financial Group, LLC other | Other | Jan 25, 2016 | Sep 18, 2017 (602 d) |
| Luciano G Prestonise | LPL Financial LLC other | Independent Financial Group, LLC other | Other | Jan 25, 2016 | Jan 27, 2016 |
| Robert Harold Sweet | LPL Financial LLC other | Independent Financial Group, LLC other | Other | Jan 19, 2016 | Mar 23, 2016 (64 d) |
| Shane Austin Bryan | Charles Schwab & Co., Inc. national BD | Independent Financial Group, LLC other | Other | Jan 19, 2016 | Jan 7, 2016 |
| William Aubrey Morrow | Financial Designs Ltd. unclassified | Independent Financial Group, LLC other | Other | Jan 14, 2016 | Oct 17, 2005 |
| Mark Andrew Wiacek | Concorde Asset Management, LLC other | Independent Financial Group, LLC other | Other | Dec 28, 2015 | Jun 13, 2016 (168 d) |
| Maryjo Morello | Msi Financial Services, Inc. other | Independent Financial Group, LLC other | Other | Dec 10, 2015 | Dec 10, 2015 |
| Xiu Qin Hou | Voya Financial Advisors, Inc. other | Independent Financial Group, LLC other | Other | Dec 10, 2015 | Dec 10, 2015 |
| Robin Donahue Bechtel | Pfg Advisors other | Independent Financial Group, LLC other | Other | Dec 9, 2015 | Aug 8, 2016 (243 d) |
| Craig Clark Spanton | Tricor Advisory Services, LLC other | Independent Financial Group, LLC other | Other | Dec 1, 2015 | Dec 1, 2015 |
| Deborah Wallace Anzelc | Msi Financial Services, Inc. other | Independent Financial Group, LLC other | Other | Dec 1, 2015 | Nov 27, 2015 |
| Brett Richard Clarke | Voya Financial Advisors, Inc. other | Independent Financial Group, LLC other | Other | Nov 23, 2015 | Nov 19, 2015 |
| Todd Allen Nye | Sii Investments, Inc. other | Independent Financial Group, LLC other | Other | Nov 2, 2015 | Dec 14, 2015 (42 d) |
| Megan L Mcmillan | Securities America Advisors, Inc. other | Independent Financial Group, LLC other | Other | Nov 2, 2015 | Nov 5, 2015 |
| Kathy Michelle Keadle | Securities America Advisors, Inc. other | Independent Financial Group, LLC other | Other | Oct 27, 2015 | Nov 2, 2015 |
| Joyce An Thomas | Voya Financial Advisors, Inc. other | Independent Financial Group, LLC other | Other | Oct 19, 2015 | Oct 9, 2015 |
| Tsanshiau Shawn Lin | Voya Financial Advisors, Inc. other | Independent Financial Group, LLC other | Other | Oct 19, 2015 | Oct 12, 2015 |
| Syauching Hung | Voya Financial Advisors, Inc. other | Independent Financial Group, LLC BD affiliated | Other | Oct 19, 2015 | Jan 4, 2025 (3365 d) |
| Julie Shen | Voya Financial Advisors, Inc. other | Independent Financial Group, LLC other | Other | Oct 19, 2015 | Oct 8, 2015 |
| Daniel Tuan Kien Loy | Voya Financial Advisors, Inc. other | Independent Financial Group, LLC other | Other | Oct 2, 2015 | Jan 14, 2016 (104 d) |
| John Joe Almaguer | Voya Financial Advisors, Inc. other | Independent Financial Group, LLC other | Other | Sep 29, 2015 | Sep 28, 2015 |
| Rick J Wertheim | Ameriprise Financial Services, LLC national BD | Independent Financial Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 29, 2015 | Jun 3, 2021 (2074 d) |
| Shao-Tsung Tseng | Voya Financial Advisors, Inc. other | Independent Financial Group, LLC other | Other | Sep 28, 2015 | Oct 6, 2015 |
| Kenneth Rick Craig | U.S. Bancorp Investments, Inc. other | Independent Financial Group, LLC other | Other | Sep 22, 2015 | Sep 21, 2015 |
| Brett A Cohen | Morgan Stanley wirehouse | Independent Financial Group, LLC other | Other | Aug 28, 2015 | Jul 12, 2017 (684 d) |
| Michael Dwaine Watson | LPL Financial LLC other | Independent Financial Group, LLC other | Other | Aug 22, 2015 | Sep 2, 2015 |