| Joseph Henry Shaw III | M&T Securities, Inc. unclassified | Private Advisor Group, LLC other | Other | May 4, 2017 | May 4, 2017 |
| Gavin Richard Lodge | Securian Financial Services, Inc. other | Private Advisor Group, LLC other | Other | Mar 28, 2017 | Mar 28, 2017 |
| Robert Alan Wells | Valic Financial Advisors, Inc. other | Private Advisor Group, LLC other | Other | Mar 15, 2017 | Jun 21, 2017 (98 d) |
| Diana Claire Lougen | M&T Securities, Inc. unclassified | Private Advisor Group, LLC independent RIA | Other | Mar 13, 2017 | Jul 12, 2018 (486 d) |
| Meg Ryan | Msi Financial Services, Inc. other | Private Advisor Group, LLC other | Other | Mar 10, 2017 | Mar 13, 2017 |
| Steven Bernknopf | Saxony Capital Management, LLC other | Private Advisor Group, LLC other | Other | Mar 3, 2017 | Feb 13, 2017 |
| James Faraci | J.P. Morgan Securities LLC wirehouse | Private Advisor Group, LLC other | Other | Feb 24, 2017 | Mar 27, 2017 (31 d) |
| Brian Thomas Cody | M Holdings Securities, Inc. other | Private Advisor Group, LLC other | Other | Feb 22, 2017 | Feb 23, 2017 |
| Brian Ross Michaels | Mcadam LLC other | Private Advisor Group, LLC other | Other | Feb 15, 2017 | Feb 15, 2017 |
| Keith Michael Keller | Mcadam LLC other | Private Advisor Group, LLC other | Other | Feb 15, 2017 | Feb 15, 2017 |
| Raymond Eugene Gay | World Investment Advisors, LLC other | Private Advisor Group, LLC other | Other | Feb 13, 2017 | Jan 5, 2017 |
| Graham Mattes | Edward Jones national BD | Private Advisor Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 26, 2017 | Aug 2, 2024 (2745 d) |
| Skyler Hulslander | Windle Wealth independent RIA | Private Advisor Group, LLC other | Other | Jan 18, 2017 | Jan 23, 2017 |
| Eric William Dean | Woodbury Financial Services, Inc. other | Private Advisor Group, LLC other | Other | Jan 13, 2017 | Jan 11, 2017 |
| Drew William Boyer | Parallel Equity Advisors Ltd. state registered | Private Advisor Group, LLC other | Other | Jan 10, 2017 | Oct 17, 2016 |
| William Trevor Greear | Parallel Equity Advisors Ltd. state registered | Private Advisor Group, LLC other | Other | Jan 10, 2017 | Oct 17, 2016 |
| Lee Douglas Hooks | Hwm LLC unclassified | Private Advisor Group, LLC other | Other | Dec 31, 2016 | Nov 10, 2016 |
| Bradden Glen Kimes | Hwm LLC unclassified | Private Advisor Group, LLC other | Other | Dec 23, 2016 | Nov 10, 2016 |
| Erik Clifford Lindholm | Ameriprise Financial Services, LLC national BD | Private Advisor Group, LLC other | Other | Dec 13, 2016 | Dec 9, 2016 |
| Thomas Michael Compernolle | Ameriprise Financial Services, LLC national BD | Private Advisor Group, LLC other | Other | Dec 12, 2016 | Dec 8, 2016 |
| Joshua James Anglin | Ameriprise Financial Services, LLC national BD | Private Advisor Group, LLC other | Other | Dec 12, 2016 | Dec 8, 2016 |
| Michelle Marie Nocito | Ameriprise Financial Services, LLC national BD | Private Advisor Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 29, 2016 | May 15, 2026 (3454 d) |
| Colin Davis Cissne | Janney Montgomery Scott LLC other | Private Advisor Group, LLC other | Other | Nov 29, 2016 | Nov 21, 2016 |
| Daniel R Reitz | Beirne. other | Private Advisor Group, LLC other | Other | Nov 22, 2016 | Jan 11, 2017 (50 d) |
| Joseph Anthony Tatusko | Westport Resources Management Inc other | Private Advisor Group, LLC other | Other | Oct 31, 2016 | Oct 28, 2016 |
| John Wescott Beasley | Waddell & Reed other | Private Advisor Group, LLC other | Other | Oct 26, 2016 | Oct 20, 2016 |
| Bruce Stanley Hesse | 1st Global Advisors Inc other | Private Advisor Group, LLC other | Other | Oct 5, 2016 | Oct 13, 2016 |
| Jeffrey Brent Lapidus | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Private Advisor Group, LLC other | Other | Sep 30, 2016 | Sep 30, 2016 |
| Jason Alan Gaylor | Money Concepts Advisory Service other | Private Advisor Group, LLC other | Other | Sep 30, 2016 | Oct 4, 2016 |
| Erin Lapidus | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Private Advisor Group, LLC other | Other | Sep 30, 2016 | Sep 30, 2016 |
| Howard Jerome Arend | Northwestern Mutual Investment Services,LLC no RAUM | Private Advisor Group, LLC BD affiliated | Other | Sep 14, 2016 | Aug 29, 2022 (2175 d) |
| Eric Brian Waggoner | Northwestern Mutual Investment Services,LLC no RAUM | Private Advisor Group, LLC independent RIA | Other | Sep 14, 2016 | Jul 1, 2019 (1020 d) |
| Mary Grace Lundstrom | Northwestern Mutual Investment Services,LLC no RAUM | Private Advisor Group, LLC BD affiliated | Other | Sep 14, 2016 | Dec 17, 2020 (1555 d) |
| Frederick Lawrence Scheeler | Northwestern Mutual Investment Services,LLC no RAUM | Private Advisor Group, LLC independent RIA | Other | Sep 14, 2016 | Aug 7, 2019 (1057 d) |
| Shaun M Feldeisen | Northwestern Mutual Investment Services,LLC no RAUM | Private Advisor Group, LLC independent RIA | Other | Sep 14, 2016 | Feb 15, 2019 (884 d) |
| James Joseph Gibson | LPL Financial LLC other | Private Advisor Group, LLC other | Other | Sep 8, 2016 | Sep 18, 2015 |
| Adam D Puskar | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Private Advisor Group, LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Sep 8, 2016 | Apr 6, 2021 (1671 d) |
| Lindsay Davis Burnham | LPL Financial LLC other | Private Advisor Group, LLC other | Other | Sep 7, 2016 | Oct 14, 2015 |
| Thomas Joseph Haggerty | Park Avenue Securities LLC other | Private Advisor Group, LLC other | Other | Aug 29, 2016 | Sep 1, 2016 |
| Kathy Ann Mohn | Great Valley Advisor Group, LLC other | Private Advisor Group, LLC other | Other | Aug 24, 2016 | Aug 3, 2016 |
| Kevin Arthur Rhodes | Great Valley Advisor Group, LLC other | Private Advisor Group, LLC other | Other | Aug 24, 2016 | Aug 9, 2016 |
| Matthew Thomas Gilmore | MML Investors Services, LLC other | Private Advisor Group, LLC other | Other | Aug 17, 2016 | Aug 16, 2016 |
| Norman Stanley Batansky | RBC Capital Markets, LLC national BD | Private Advisor Group, LLC other | Other | Aug 15, 2016 | Aug 2, 2016 |
| Gregory Michael Gromek | LPL Financial LLC other | Private Advisor Group, LLC other | Other | Aug 11, 2016 | Nov 19, 2013 |
| Monica A Pyryt | Pnc Wealth Management other | Private Advisor Group, LLC independent RIA | Other | Aug 11, 2016 | Jul 29, 2020 (1448 d) |
| John Patrick Gannon | LPL Financial LLC other | Private Advisor Group, LLC BD affiliated | Other | Aug 10, 2016 | Jan 29, 2026 (3459 d) |
| Michael Wayne Brown | Vsr Advisory Services other | Private Advisor Group, LLC other | Other | Jul 22, 2016 | Jul 27, 2016 |
| Matthew Wayne Brown | Vsr Advisory Services other | Private Advisor Group, LLC other | Other | Jul 22, 2016 | Jul 27, 2016 |
| Ambler P Selway | Msi Financial Services, Inc. other | Private Advisor Group, LLC other | Other | Jul 12, 2016 | Jul 11, 2016 |
| Robert Cole Schwarz | Schwarz Investment Partners independent RIA | Private Advisor Group, LLC other | Other | Jun 30, 2016 | Jun 8, 2016 |
| Cameron Thomas Staley | Streamsong Advisors, LLC other | Private Advisor Group, LLC other | Other | Jun 28, 2016 | Jan 22, 2016 |
| Jerry Shane Cohoon | Waddell & Reed other | Private Advisor Group, LLC other | Other | Jun 27, 2016 | Aug 8, 2016 (42 d) |
| Daniel Michael Rosenthal | Ibex Wealth Advisors, LLC other | Private Advisor Group, LLC other | Other | Jun 20, 2016 | Jun 7, 2016 |
| Jeffrey Scott Krall | Calton & Associates, Inc. other | Private Advisor Group, LLC other | Other | May 31, 2016 | May 31, 2016 |
| Marc Charles Harary | Ameritas Advisory Services other | Private Advisor Group, LLC other | Other | May 24, 2016 | May 12, 2016 |
| Tracy Lyn Shackelford | Northwestern Mutual Investment Services,LLC no RAUM | Private Advisor Group, LLC BD affiliated | Other | May 24, 2016 | Dec 15, 2020 (1666 d) |
| Jason Thaddeus Andryzak | Msi Financial Services, Inc. other | Private Advisor Group, LLC other | Other | May 18, 2016 | May 18, 2016 |
| Ranjit Bahadur | Msi Financial Services, Inc. other | Private Advisor Group, LLC other | Other | May 17, 2016 | May 18, 2016 |
| Brian Lynch | Morgan Stanley wirehouse | Private Advisor Group, LLC other | Other | May 13, 2016 | May 3, 2016 |
| Leah Marie Burke | Waddell & Reed other | Private Advisor Group, LLC other | Other | May 4, 2016 | Apr 22, 2016 |