| Peter Tomlinson Roe | Horizon Financial Group,LLC unclassified | Cetera Advisors LLC other | Other | Dec 31, 2006 | Jan 3, 2007 |
| Seth Erik Grano | Tlg Advisors, Inc. other | Cetera Advisors LLC other | Other | Dec 31, 2006 | Jun 21, 2006 |
| Kevin Patrick Adam | Msi Financial Services, Inc. other | Cetera Advisors LLC other | Other | Dec 11, 2006 | Apr 12, 2007 (122 d) |
| Nicole Ann Cantrill | Waddell & Reed other | Cetera Advisors LLC other | Other | Dec 1, 2006 | Dec 4, 2006 |
| Bradley Tyson Ferney | Osaic Fa, Inc. other | Cetera Advisors LLC other | Other | Nov 8, 2006 | Nov 2, 2006 |
| Ryan L Malloch | United Securities Alliance, Inc. unclassified | Cetera Advisors LLC other | Other | Oct 16, 2006 | Dec 12, 2006 (57 d) |
| Kyong H Kim | Old Mutual Capital other | Cetera Advisors LLC other | Other | Oct 2, 2006 | Oct 17, 2006 |
| Martin Earl Brooks | New England Securities Corporation other | Cetera Advisors LLC other | Other | Sep 19, 2006 | Oct 19, 2006 |
| Donald Charles Madigan | Wall Street Financial Group, Inc other | Cetera Advisors LLC other | Other | Aug 14, 2006 | Aug 18, 2006 |
| Chad Russell Peterson | Osaic Wealth, Inc. other | Cetera Advisors LLC other | Other | Aug 2, 2006 | Aug 3, 2006 |
| Monte Lee Peterson | Osaic Wealth, Inc. other | Cetera Advisors LLC other | Other | Aug 1, 2006 | Jul 31, 2006 |
| Jason Michael Smith | Osaic Wealth, Inc. other | Cetera Advisors LLC other | Other | Jun 23, 2006 | Jun 23, 2006 |
| Scott William Norvell | Osaic Wealth, Inc. other | Cetera Advisors LLC other | Other | Jun 12, 2006 | Jun 16, 2006 |
| Adam John Bailey | Osaic Wealth, Inc. other | Cetera Advisors LLC other | Other | Jun 1, 2006 | Jun 5, 2006 |
| Oren Guzman | Bmo Harris Financial Advisors, Inc other | Cetera Advisors LLC other | Other | May 31, 2006 | Aug 17, 2006 (78 d) |
| Magdalena Eberhardt | Strategic Investment Advisors unclassified | Cetera Advisors LLC other | Other | May 24, 2006 | Sep 12, 2006 (111 d) |
| Brian Michael Gross | Ameritas Advisory Services other | Cetera Advisors LLC other | Other | Apr 20, 2006 | Apr 21, 2006 |
| Gilbert Cornilus Varnes | Usallianz Securities, Inc. unclassified | Cetera Advisors LLC other | Other | Mar 31, 2006 | Mar 21, 2006 |
| John Wai Cheang | Questar Asset Management, Inc. other | Cetera Advisors LLC other | Other | Mar 6, 2006 | Mar 28, 2006 |
| David Tyler Heymann | Questar Asset Management, Inc. other | Cetera Advisors LLC other | Other | Feb 24, 2006 | Mar 28, 2006 (32 d) |
| Laura Sternheimer | MML Investors Services, LLC other | Cetera Advisors LLC other | Other | Feb 17, 2006 | Apr 13, 2006 (55 d) |
| Craig R. Dumas | Citizens Securities, Inc. other | Cetera Advisors LLC other | Other | Feb 15, 2006 | May 17, 2006 (91 d) |
| Joseph Angelo Sarbello | Citigroup Global Markets Inc. other | Cetera Advisors LLC other | Other | Jan 11, 2006 | Jan 18, 2006 |
| Paul Wayne Ewing | Prosperity Network, Inc unclassified | Cetera Advisors LLC other | Other | Dec 31, 2005 | May 5, 2003 |
| Thomas Michael Presper | The Millennial Group unclassified | Cetera Advisors LLC other | Other | Dec 31, 2005 | Jun 10, 2005 |
| Darin Michael Schmidt | New Light Investment Advisors, LLC unclassified | Cetera Advisors LLC other | Other | Dec 31, 2005 | Jan 17, 2008 (747 d) |
| Frank Stuart Blackard | Raymond James Financial Services, Inc. unclassified | Cetera Advisors LLC other | Other | Nov 18, 2005 | Jan 3, 2007 (411 d) |
| Brandon Anderson Bowman | UBS Financial Services Inc. wirehouse | Cetera Advisors LLC other | Other | Nov 17, 2005 | Jan 9, 2006 (53 d) |
| Roger Stephen Augustyn | Financial Solutions, Inc. unclassified | Cetera Advisors LLC other | Other | Jul 22, 2005 | Dec 15, 2004 |
| John Michael Genova | Pnc Wealth Management other | Cetera Advisors LLC other | Other | Jul 11, 2005 | Mar 31, 2006 (263 d) |
| Andrew Elwood Gift | A.G. Financial Services unclassified | Cetera Advisors LLC other | Other | Jun 14, 2005 | Jun 17, 2005 |
| Jonathan Shane Hunter | Suntrust Investment Services, Inc. other | Cetera Advisors LLC other | Other | May 19, 2005 | Jun 3, 2005 |
| Michael John Sloan | Usallianz Securities, Inc. unclassified | Cetera Advisors LLC other | Other | May 11, 2005 | Apr 4, 2006 (328 d) |
| Jesse Ryan Davidson | Ameriprise Financial Services, LLC national BD | Cetera Advisors LLC other | Other | Apr 8, 2005 | Apr 19, 2005 |
| Matthew Lawrence Darpel | Pan-American Investment Advisers, Inc. unclassified | Cetera Advisors LLC other | Other | Jan 31, 2005 | Jan 27, 2005 |
| Stephen Jerome Horn | Pan-American Investment Advisers, Inc. unclassified | Cetera Advisors LLC other | Other | Jan 31, 2005 | Jan 27, 2005 |
| Jack Armstrong Derby | MML Investors Services, LLC other | Cetera Advisors LLC other | Other | Jan 25, 2005 | Dec 17, 2007 (1056 d) |
| Marcus Inmuk Hwong | Banc Of America Investment Services, Inc. unclassified | Cetera Advisors LLC other | Other | Jan 20, 2005 | Feb 10, 2005 |
| Fred Francis Liebau | Prosperity Network, Inc unclassified | Cetera Advisors LLC other | Other | Dec 31, 2004 | Aug 31, 2004 |
| Dennis Leon Wallace | Prosperity Network, Inc unclassified | Cetera Advisors LLC other | Other | Dec 31, 2004 | Jan 1, 2004 |
| Lucinda Lynn Richey | Prosperity Network, Inc unclassified | Cetera Advisors LLC other | Other | Dec 31, 2004 | Jan 1, 2004 |
| James Stuart Linderer | Prosperity Network, Inc unclassified | Cetera Advisors LLC other | Other | Dec 31, 2004 | Jan 24, 2006 (389 d) |
| Martin Roy Schenkel | MML Investors Services, LLC other | Cetera Advisors LLC other | Other | Dec 17, 2004 | Dec 13, 2004 |
| Gregory Allan Rutherford | Osaic Wealth, Inc. other | Cetera Advisors LLC other | Other | Oct 13, 2004 | Feb 28, 2006 (503 d) |
| Michael Everardo Camacho | Quick & Reilly, Inc. unclassified | Cetera Advisors LLC other | Other | Oct 12, 2004 | Oct 1, 2004 |
| Willington Tai Fong | Gunnallen Financial, Inc unclassified | Cetera Advisors LLC other | Other | Oct 11, 2004 | May 29, 2012 (2787 d) |
| Thomas Neal Tillery | MML Investors Services, LLC other | Cetera Advisors LLC other | Other | Oct 6, 2004 | Jan 23, 2006 (474 d) |
| Richard Stevens Yoder | Wells Fargo Advisors wirehouse | Cetera Advisors LLC other | Other | Jun 30, 2004 | Jul 29, 2004 |
| Elizabeth Ann Belisle | J. W. Cole Advisors, Inc. other | Cetera Advisors LLC other | Other | Jun 18, 2004 | Jun 17, 2004 |
| Richard Wayne Balhoff | Eagle Strategies LLC other | Cetera Advisors LLC other | Other | Jun 15, 2004 | May 6, 2004 |
| Eric A Keller | UBS Financial Services Inc. wirehouse | Cetera Advisors LLC other | Other | May 26, 2004 | May 14, 2004 |
| Jonathan Evan Bernstein | Ameriprise Financial Services, LLC national BD | Cetera Advisors LLC other | Other | Apr 14, 2004 | Apr 21, 2004 |
| Lonnie Wayne Hood | Pruco Securities, LLC other | Cetera Advisors LLC other | Other | Feb 24, 2004 | Jul 12, 2004 (139 d) |
| David Don Semersky | UBS Financial Services Inc. wirehouse | Cetera Advisors LLC other | Other | Feb 24, 2004 | Jan 30, 2004 |
| Garrett Stewart Hoge | Vestax Securities Corporation unclassified | Cetera Advisors LLC other | Other | Jan 1, 2004 | Jan 1, 2004 |
| Jacqueline Noveck | Vestax Securities Corporation unclassified | Cetera Advisors LLC other | Other | Jan 1, 2004 | Jan 1, 2004 |
| Joseph Irvin Wells | Locust Street Securities, Inc. unclassified | Cetera Advisors LLC other | Other | Jan 1, 2004 | Jan 1, 2004 |
| Gregory Chris Kopan | Vestax Securities Corporation unclassified | Cetera Advisors LLC other | Other | Jan 1, 2004 | Jan 1, 2004 |
| Jean Paulette Larsen | Vestax Securities Corporation unclassified | Cetera Advisors LLC other | Other | Jan 1, 2004 | Jan 1, 2004 |
| Theodore Partheder Chibnall | Vestax Securities Corporation unclassified | Cetera Advisors LLC other | Other | Jan 1, 2004 | Jan 1, 2004 |