| Michael Thomas Gilmartin | Gunnallen Financial, Inc unclassified | J. W. Cole Advisors, Inc. other | Other | Mar 29, 2010 | May 24, 2010 (56 d) |
| Michael Alan Bradfield | Ameriprise Financial Services, LLC national BD | J. W. Cole Advisors, Inc. other | Other | Feb 24, 2010 | Feb 23, 2010 |
| Thomas Albert Mccormick | Osaic Wealth, Inc. other | J. W. Cole Advisors, Inc. other | Other | Feb 4, 2010 | Feb 1, 2010 |
| David Winston Crist | First Allied Securities, Inc. other | J. W. Cole Advisors, Inc. BD affiliated | Other | Feb 2, 2010 | Nov 5, 2019 (3563 d) |
| Kevin Glenn Ford | Edward Jones national BD | J. W. Cole Advisors, Inc. other | Other | Jan 12, 2010 | Jan 25, 2010 |
| Peter Jesus Sagorski | LPL Financial LLC other | J. W. Cole Advisors, Inc. other | Other | Dec 18, 2009 | Sep 14, 2011 (635 d) |
| Charles Raymond Henderson | Investment Advisors International, Inc. unclassified | J. W. Cole Advisors, Inc. other | Other | Nov 17, 2009 | Nov 10, 2009 |
| Andrew J Kinney | Investment Advisors International, Inc. unclassified | J. W. Cole Advisors, Inc. other | Other | Nov 13, 2009 | Nov 10, 2009 |
| Anthony Michael Cisek | Summit Financial Group Inc other | J. W. Cole Advisors, Inc. other | Other | Nov 6, 2009 | Dec 21, 2009 (45 d) |
| Kenneth Raymond Savage | Transamerica Financial Advisors, LLC other | J. W. Cole Advisors, Inc. other | Other | Oct 23, 2009 | Oct 23, 2009 |
| Tedric Emery Hoornstra | Banc Of America Investment Services, Inc. unclassified | J. W. Cole Advisors, Inc. other | Other | Oct 22, 2009 | Nov 24, 2009 (33 d) |
| Pamela B. Prine | Investment Advisors International, Inc. unclassified | J. W. Cole Advisors, Inc. other | Other | Oct 5, 2009 | Oct 13, 2009 |
| Andrew Gerard Starosta | Chase Investment Services Corp. other | J. W. Cole Advisors, Inc. other | Other | Aug 25, 2009 | Sep 29, 2009 (35 d) |
| Travis Blue Smith | Osaic Fs, Inc. other | J. W. Cole Advisors, Inc. other | Other | Aug 20, 2009 | Jan 7, 2010 (140 d) |
| Scott Christopher Weidman | Msi Financial Services, Inc. other | J. W. Cole Advisors, Inc. other | Other | Aug 18, 2009 | Sep 3, 2009 |
| Kevin Xavier Smith | Nfp Advisor Services, LLC other | J. W. Cole Advisors, Inc. other | Other | Aug 5, 2009 | Aug 10, 2009 |
| Matthew Edwin Myland | LPL Financial LLC other | J. W. Cole Advisors, Inc. other | Other | Aug 4, 2009 | Aug 11, 2009 |
| Brian A Karahalios | Wells Fargo Advisors wirehouse | J. W. Cole Advisors, Inc. other | Other | Jul 29, 2009 | Jul 28, 2010 (364 d) |
| Sufia Setjoadi | Investment Advisors International, Inc. unclassified | J. W. Cole Advisors, Inc. other | Other | Jun 16, 2009 | Jun 15, 2009 |
| Justin Moore Cole | Principal Securities, Inc. other | J. W. Cole Advisors, Inc. other | Other | May 5, 2009 | May 28, 2009 |
| Lance Douglas Jamerson | Nfp Advisor Services, LLC other | J. W. Cole Advisors, Inc. other | Other | Apr 30, 2009 | Jun 3, 2009 (34 d) |
| Frank William Armitage | Osaic Fa, Inc. other | J. W. Cole Advisors, Inc. other | Other | Apr 8, 2009 | Feb 3, 2010 (301 d) |
| Paul Conrad Stanley | LPL Financial LLC other | J. W. Cole Advisors, Inc. other | Other | Mar 19, 2009 | Mar 26, 2009 |
| Marc Lawrence Delia | New England Securities Corporation other | J. W. Cole Advisors, Inc. other | Other | Jan 12, 2009 | Mar 9, 2009 (56 d) |
| William Eric Rownd | First Allied Advisory Services, Inc. other | J. W. Cole Advisors, Inc. other | Other | Jan 9, 2009 | May 19, 2010 (495 d) |
| Stewart Alan Macdonald | Money Concepts Advisory Service other | J. W. Cole Advisors, Inc. other | Other | Dec 31, 2008 | Mar 20, 2009 (79 d) |
| Martin Dennis Ian Barinaga | Cetera Investment Services LLC other | J. W. Cole Advisors, Inc. other | Other | Dec 22, 2008 | Jan 5, 2009 |
| Joshua Charles Peters | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | J. W. Cole Advisors, Inc. other | Other | Dec 22, 2008 | Mar 2, 2009 (70 d) |
| John Anthony Wenstrup | Osaic Fs, Inc. other | J. W. Cole Advisors, Inc. other | Other | Dec 19, 2008 | Dec 24, 2008 |
| Michael Ray Mcpeek | Hornor, Townsend & Kent, LLC other | J. W. Cole Advisors, Inc. other | Other | Dec 8, 2008 | Dec 9, 2010 (731 d) |
| Daniel Mark Saccal | Gunnallen Financial, Inc unclassified | J. W. Cole Advisors, Inc. other | Other | Sep 16, 2008 | Dec 4, 2009 (444 d) |
| Curtis Lee Yourkievitz | Njr Investment Advisory, Inc. unclassified | J. W. Cole Advisors, Inc. other | Other | May 12, 2008 | Apr 1, 2009 (324 d) |
| Anita Louise Lester | Principal Securities, Inc. other | J. W. Cole Advisors, Inc. other | Other | Apr 25, 2008 | Apr 28, 2008 |
| Donald Dean Mccormick | 1st Global Advisors Inc other | J. W. Cole Advisors, Inc. other | Other | Feb 27, 2008 | May 21, 2008 (84 d) |
| Charles Michael Shanberg | New England Securities Corporation other | J. W. Cole Advisors, Inc. other | Other | Jan 9, 2008 | Dec 19, 2007 |
| Daniel Robert Lodes | Nfp Advisor Services, LLC other | J. W. Cole Advisors, Inc. other | Other | Oct 5, 2007 | Oct 5, 2007 |
| Michael John Vanhorenbeck | New England Securities Corporation other | J. W. Cole Advisors, Inc. other | Other | Sep 6, 2007 | Aug 27, 2007 |
| Vernon James Henry | Wall Street Financial Group, Inc other | J. W. Cole Advisors, Inc. other | Other | Aug 10, 2007 | Aug 9, 2007 |
| William Arthur Short | New England Securities Corporation other | J. W. Cole Advisors, Inc. other | Other | Aug 2, 2007 | Jul 31, 2007 |
| Jay David Mcclellan | Questar Asset Management, Inc. other | J. W. Cole Advisors, Inc. other | Other | May 2, 2007 | Apr 17, 2007 |
| Angela Sue Granata | Keybanc Capital Markets Inc. unclassified | J. W. Cole Advisors, Inc. other | Other | Feb 15, 2007 | Jun 5, 2015 (3032 d) |
| Peter Andrew Blatt | Questar Asset Management, Inc. other | J. W. Cole Advisors, Inc. other | Other | Nov 13, 2006 | Oct 9, 2006 |
| Jack Lee Fugate | Valic Financial Advisors, Inc. other | J. W. Cole Advisors, Inc. BD affiliated | Other | May 12, 2006 | Jan 1, 2025 (6809 d) |
| William Steven Parsch | Waterstone Financial Group, Inc. unclassified | J. W. Cole Advisors, Inc. other | Other | Jan 20, 2006 | Jan 18, 2006 |
| Lee Wayne Lyon | Cincinnati Analysts, Inc other | J. W. Cole Advisors, Inc. other | Other | Jan 19, 2006 | Feb 8, 2006 |
| Michael Todd Jankowski | Lasalle St. Investment Advisors, L.L.C. other | J. W. Cole Advisors, Inc. other | Other | Jan 17, 2006 | Mar 29, 2006 (71 d) |
| Mark Augustine Kollar | Creative Financial Designs, Inc. other | J. W. Cole Advisors, Inc. other | Other | Nov 28, 2005 | Feb 2, 2006 (66 d) |
| John Robert Myers | Investors Capital Advisory other | J. W. Cole Advisors, Inc. other | Other | Oct 21, 2005 | Oct 19, 2005 |
| Thomas James Hayes | Zone 7 Financial Services, LLC unclassified | J. W. Cole Advisors, Inc. other | Other | Sep 28, 2005 | Apr 19, 2005 |
| Robert David Bray | Pruco Securities, LLC other | J. W. Cole Advisors, Inc. other | Other | Feb 15, 2005 | Apr 1, 2005 (45 d) |
| John Andrew Cornell | Morgan Stanley Dw Inc. unclassified | J. W. Cole Advisors, Inc. other | Other | Sep 30, 2004 | Oct 28, 2004 |
| John Hardy Stanford | A. G. Edwards & Sons, Inc. unclassified | J. W. Cole Advisors, Inc. other | Other | Sep 30, 2004 | Sep 8, 2005 (343 d) |
| John Nunzio Nanni | MML Investors Services, LLC other | J. W. Cole Advisors, Inc. other | Other | Jul 30, 2004 | Nov 15, 2010 (2299 d) |
| Samuel Escobar | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | J. W. Cole Advisors, Inc. other | Other | Dec 2, 2003 | Nov 30, 2012 (3286 d) |
| Julie Anne Bishop | Davidson Trust Co. unclassified | J. W. Cole Advisors, Inc. other | Other | Nov 5, 2003 | Nov 13, 2015 (4391 d) |
| James Carl Sprecher | Hornor, Townsend & Kent, LLC other | J. W. Cole Advisors, Inc. other | Other | Dec 18, 2002 | Sep 9, 2003 (265 d) |
| Brian Edward Mcclelland | Msf Financial Advisors, L.L.P. unclassified | J. W. Cole Advisors, Inc. other | Other | Nov 20, 2002 | Dec 20, 2011 (3317 d) |
| Howard Darrell Timberlake | 1st Global Advisors Inc other | J. W. Cole Advisors, Inc. other | Other | Sep 13, 2002 | Jan 2, 2003 (111 d) |