| Gary Ovsak | Planmember Securities Corporation other | Cetera Advisor Networks LLC other | Other | Feb 2, 2017 | Feb 21, 2017 |
| Curtis Wilcox Lindsay | Ameritas Advisory Services other | Cetera Advisor Networks LLC other | Other | Jan 25, 2017 | Jan 20, 2017 |
| Malcolm Bradley Cain | Cetera Investment Advisers LLC other | Cetera Advisor Networks LLC other | Other | Jan 11, 2017 | Apr 5, 2017 (84 d) |
| James Edward Latiolais | Fsc Securities Corporation other | Cetera Advisor Networks LLC other | Other | Jan 3, 2017 | Jan 4, 2017 |
| William Eugene Ward | Vantage Financial Group, Inc. other | Cetera Advisor Networks LLC other | Other | Dec 31, 2016 | Sep 3, 2013 |
| Peter Carmen Derosa | Jost Financial Management Corp. unclassified | Cetera Advisor Networks LLC other | Other | Dec 31, 2016 | Jun 17, 2002 |
| Eszter Klara Koch | Kestra Advisory Services, LLC other | Cetera Advisor Networks LLC other | Other | Dec 27, 2016 | Mar 8, 2017 (71 d) |
| Jimmy J Suh | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Cetera Advisor Networks LLC other | Other | Dec 16, 2016 | Apr 3, 2017 (108 d) |
| Christopher David Shea | J.P. Morgan Private Wealth Advisors LLC other | Cetera Advisor Networks LLC BD affiliated | Other | Dec 16, 2016 | Apr 22, 2020 (1223 d) |
| Allen Michael Hall | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Cetera Advisor Networks LLC other | Other | Dec 15, 2016 | Dec 15, 2016 |
| James Derrick Henry | Independent Financial Partners other | Cetera Advisor Networks LLC other | Other | Dec 6, 2016 | Dec 6, 2016 |
| Bryce Howard Lanham | Fifth Third Securities, Inc. other | Cetera Advisor Networks LLC other | Other | Nov 17, 2016 | Dec 22, 2016 (35 d) |
| Keith U Heritage | Gradient Wealth Management other | Cetera Advisor Networks LLC other | Other | Nov 14, 2016 | Nov 16, 2016 |
| Brian Lee Thorkelson | Osaic Advisory Services, LLC other | Cetera Advisor Networks LLC other | Other | Nov 11, 2016 | Nov 11, 2016 |
| Michele L Martin | Osaic Advisory Services, LLC other | Cetera Advisor Networks LLC other | Other | Nov 11, 2016 | Nov 11, 2016 |
| Donna Hicko | Sorrento Pacific Financial, LLC other | Cetera Advisor Networks LLC other | Other | Nov 8, 2016 | Sep 22, 2017 (318 d) |
| Tracy Neal Adams | Investacorp Advisory Services Inc other | Cetera Advisor Networks LLC other | Other | Nov 7, 2016 | Nov 9, 2016 |
| Albert James Minutola | Questar Asset Management, Inc. other | Cetera Advisor Networks LLC other | Other | Nov 2, 2016 | Jan 20, 2017 (79 d) |
| Julie Anne Bramlitt | Cetera Investment Advisers LLC other | Cetera Advisor Networks LLC other | Other | Oct 25, 2016 | Nov 16, 2016 |
| Joseph Tauer | Investment Centers Of America, Inc. other | Cetera Advisor Networks LLC other | Other | Oct 17, 2016 | Jan 12, 2017 (87 d) |
| Billy Wayne Clements | LPL Financial LLC other | Cetera Advisor Networks LLC other | Other | Oct 10, 2016 | Jan 2, 2018 (449 d) |
| Nicholas John Golebiowski | Equitable Advisors, LLC national BD | Cetera Advisor Networks LLC other | Other | Oct 3, 2016 | Feb 27, 2017 (147 d) |
| David Vaughn Thomas | Bok Financial Advisors other | Cetera Advisor Networks LLC other | Other | Sep 15, 2016 | Aug 16, 2016 |
| Christopher M Graw | Northwestern Mutual Investment Services,LLC no RAUM | Cetera Advisor Networks LLC BD affiliated | Other | Sep 14, 2016 | Feb 27, 2020 (1261 d) |
| Barton K Farrell | Waddell & Reed other | Cetera Advisor Networks LLC other | Other | Sep 7, 2016 | Mar 10, 2017 (184 d) |
| Timothy Vernon Swartley | Girard Advisory Services, LLC other | Cetera Advisor Networks LLC other | Other | Aug 19, 2016 | Aug 15, 2016 |
| Robert Carl Orbin | Allstate Financial Advisors, LLC no RAUM | Cetera Advisor Networks LLC other | Other | Aug 9, 2016 | Aug 19, 2016 |
| Brady Jake Fuller | Lee Miles LLC state registered | Cetera Advisor Networks LLC other | Other | Jun 13, 2016 | Jun 23, 2016 |
| Vincent Robert Gallagher | Kestra Advisory Services, LLC other | Cetera Advisor Networks LLC other | Other | Apr 29, 2016 | May 2, 2016 |
| Michael H West | Morgan Stanley wirehouse | Cetera Advisor Networks LLC other | Other | Apr 13, 2016 | May 3, 2016 |
| Denise Marie Mcgee | Investment Professionals, Inc. other | Cetera Advisor Networks LLC other | Other | Apr 11, 2016 | Jan 31, 2017 (295 d) |
| Raymond Max Morrill | Edward Jones national BD | Cetera Advisor Networks LLC other | Other | Mar 30, 2016 | Jul 1, 2016 (93 d) |
| David Matthew Dietrich | UBS Financial Services Inc. wirehouse | Cetera Advisor Networks LLC other | Other | Feb 22, 2016 | Jun 23, 2016 (122 d) |
| Brandon Matthew Kane | Wells Fargo Advisors wirehouse | Cetera Advisor Networks LLC other | Other | Feb 16, 2016 | Feb 10, 2016 |
| Brittany Christians | Montage Investments, LLC other | Cetera Advisor Networks LLC other | Other | Feb 8, 2016 | Sep 21, 2016 (226 d) |
| Sean P Ryan | Brinker Capital Inc other | Cetera Advisor Networks LLC other | Other | Feb 3, 2016 | Feb 23, 2016 |
| Scott Chapman Hanna | Ameritas Advisory Services other | Cetera Advisor Networks LLC other | Other | Jan 12, 2016 | Aug 22, 2017 (588 d) |
| Patrick Joseph Moriarty | Wells Fargo Advisors wirehouse | Cetera Advisor Networks LLC other | Other | Jan 12, 2016 | Jan 8, 2016 |
| Callen Wayne Bryan | Founders Financial Alliance, LLC other | Cetera Advisor Networks LLC other | Other | Jan 8, 2016 | Jan 25, 2016 |
| Craig Richard Colbath | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Cetera Advisor Networks LLC other | Other | Jan 5, 2016 | Mar 10, 2016 (65 d) |
| Brice Sawyer Gibson | Edward Jones national BD | Cetera Advisor Networks LLC other | Other | Dec 7, 2015 | Dec 4, 2015 |
| Abdiel Alan Valenzuela | LPL Financial LLC other | Cetera Advisor Networks LLC other | Other | Nov 20, 2015 | Jan 30, 2017 (437 d) |
| Kimberly B Sparks | LPL Financial LLC other | Cetera Advisor Networks LLC other | Other | Nov 20, 2015 | Aug 16, 2017 (635 d) |
| Trajko Papuckoski | Keeley Asset Management Corp other | Cetera Advisor Networks LLC other | Other | Nov 20, 2015 | Feb 4, 2016 (76 d) |
| David Samuel Licary | Msi Financial Services, Inc. other | Cetera Advisor Networks LLC other | Other | Nov 11, 2015 | Nov 2, 2015 |
| Erin Hooten | Essex National Securities, Inc. other | Cetera Advisor Networks LLC other | Other | Nov 11, 2015 | Oct 30, 2015 |
| Heidi Elise Wallace | J P Turner & Company Capital Management, LLC other | Cetera Advisor Networks LLC other | Other | Oct 28, 2015 | Oct 23, 2015 |
| Michael Kogan | Woodstock Financial Group, Inc. other | Cetera Advisor Networks LLC other | Other | Oct 19, 2015 | Sep 20, 2017 (702 d) |
| Joann Marie North | Hall & North Financial Group, LLC other | Cetera Advisor Networks LLC other | Other | Oct 8, 2015 | Oct 7, 2015 |
| James Jacob Mcdonald | Vicus Capital, Inc. other | Cetera Advisor Networks LLC other | Other | Oct 7, 2015 | Sep 3, 2013 |
| William Bradley Montgomery | Vantage Financial Group, Inc. other | Cetera Advisor Networks LLC other | Other | Oct 5, 2015 | Oct 15, 2013 |
| James M Benages | J.P. Morgan Securities LLC wirehouse | Cetera Advisor Networks LLC other | Other | Sep 24, 2015 | Sep 17, 2015 |
| Tamara Walker Snyder | Edward Jones national BD | Cetera Advisor Networks LLC other | Other | Sep 10, 2015 | Jul 15, 2016 (309 d) |
| William Blake Amick | Msi Financial Services, Inc. other | Cetera Advisor Networks LLC other | Other | Aug 27, 2015 | Sep 2, 2015 |
| Spencer John French | Morgan Stanley wirehouse | Cetera Advisor Networks LLC other | Other | Aug 25, 2015 | Aug 14, 2015 |
| Timothy E Reichstein | Edward Jones national BD | Cetera Advisor Networks LLC other | Other | Aug 12, 2015 | Aug 12, 2015 |
| Lora Nickel | Wells Fargo Advisors wirehouse | Cetera Advisor Networks LLC other | Other | Jul 6, 2015 | Mar 27, 2017 (630 d) |
| Michael Scott Allison | Questar Asset Management, Inc. other | Cetera Advisor Networks LLC other | Other | Jul 1, 2015 | Jul 2, 2015 |
| Robert Edward Allison | Questar Asset Management, Inc. other | Cetera Advisor Networks LLC other | Other | Jul 1, 2015 | Jul 2, 2015 |
| Ronald Joseph Balog | Morgan Stanley wirehouse | Cetera Advisor Networks LLC other | Other | Jun 25, 2015 | Jun 12, 2015 |