| Brandon L Enriquez | UBS Financial Services Inc. wirehouse | Transamerica Financial Advisors, LLC other | Other | Dec 18, 2007 | Jun 13, 2008 (178 d) |
| Aquilino Alfredo Mayo | Principal Securities, Inc. other | Transamerica Financial Advisors, LLC other | Other | Dec 5, 2007 | Nov 14, 2007 |
| Ghada Mohamed El-Gamal | Wells Fargo Investments, LLC unclassified | Transamerica Financial Advisors, LLC other | Other | Oct 1, 2007 | Nov 1, 2007 (31 d) |
| Jonathan Jerry Arayata Lucas | Investment Advisors International, Inc. unclassified | Transamerica Financial Advisors, LLC other | Other | Aug 14, 2007 | Jan 31, 2018 (3823 d) |
| Van Robert Harrold | Wilbanks Securities Advisory other | Transamerica Financial Advisors, LLC other | Other | Aug 1, 2007 | Jul 23, 2007 |
| Carol Makris Jordan | Client 1st Advisory Group other | Transamerica Financial Advisors, LLC other | Other | Jun 25, 2007 | Jan 12, 2006 |
| Amanda Mccain Sable | Synovus Securities, Inc. other | Transamerica Financial Advisors, LLC other | Other | Jun 14, 2007 | Apr 22, 2014 (2504 d) |
| Denise Lee Garten | Cetera Investment Services LLC other | Transamerica Financial Advisors, LLC other | Other | Jun 6, 2007 | Jul 11, 2007 (35 d) |
| Nicholas Joseph Shea | Wells Fargo Investments, LLC unclassified | Transamerica Financial Advisors, LLC other | Other | Jun 4, 2007 | Jul 27, 2007 (53 d) |
| Gerald Boyd Glick | Boyd Senior Planning, Ltd. unclassified | Transamerica Financial Advisors, LLC other | Other | Jun 4, 2007 | Sep 11, 2007 (99 d) |
| Billie Lavelle Odom | Cetera Advisor Networks LLC other | Transamerica Financial Advisors, LLC other | Other | May 2, 2007 | May 2, 2007 |
| Tricia Monique Mcintosh | Investment Advisors International, Inc. unclassified | Transamerica Financial Advisors, LLC BD affiliated | Other | May 2, 2007 | Apr 25, 2022 (5472 d) |
| Brock Matthew Alspaugh | Cetera Advisor Networks LLC other | Transamerica Financial Advisors, LLC other | Other | May 2, 2007 | May 2, 2007 |
| Kevin Forrest Brunkow | Wells Fargo Investments, LLC unclassified | Transamerica Financial Advisors, LLC BD affiliated | Other | Apr 11, 2007 | Mar 20, 2021 (5092 d) |
| Douglas Matthew Rotman | Valic Financial Advisors, Inc. other | Transamerica Financial Advisors, LLC other | Other | Apr 11, 2007 | Apr 25, 2007 |
| Cristen Kimberly Morgan | Securities America Advisors, Inc. other | Transamerica Financial Advisors, LLC other | Other | Apr 10, 2007 | Apr 4, 2007 |
| Evan Scherer | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Transamerica Financial Advisors, LLC other | Other | Mar 29, 2007 | Jun 7, 2007 (70 d) |
| Norman David Raymer | Oneamerica Securities, Inc. other | Transamerica Financial Advisors, LLC other | Other | Feb 16, 2007 | Feb 12, 2007 |
| Mark Alan Borough | 1717 Capital Management Company unclassified | Transamerica Financial Advisors, LLC other | Other | Jan 31, 2007 | Jul 27, 2007 (177 d) |
| John Joseph Frye | Waddell & Reed other | Transamerica Financial Advisors, LLC other | Other | Jan 22, 2007 | Jan 25, 2007 |
| Shane Leon Derifield | Waddell & Reed other | Transamerica Financial Advisors, LLC other | Other | Jan 8, 2007 | Jan 19, 2007 |
| Collin Dee Lafollette | Ameriprise Advisor Services, Inc. unclassified | Transamerica Financial Advisors, LLC other | Other | Dec 20, 2006 | Dec 20, 2006 |
| Jorge Enrique Arias | Principal Securities, Inc. other | Transamerica Financial Advisors, LLC other | Other | Dec 16, 2006 | Feb 5, 2007 (51 d) |
| Elisa Anne-Marie Del Valle | Securian Financial Services, Inc. other | Transamerica Financial Advisors, LLC other | Other | Nov 8, 2006 | Nov 22, 2006 |
| Mathew Joseph Hultquist | Ic Advisory Services, Inc. other | Transamerica Financial Advisors, LLC other | Other | Nov 6, 2006 | May 3, 2007 (178 d) |
| Gregory Nondas Roumpos | Oneamerica Securities, Inc. other | Transamerica Financial Advisors, LLC other | Other | Sep 8, 2006 | Oct 25, 2006 (47 d) |
| Michael Patrick Costelloe | Waddell & Reed other | Transamerica Financial Advisors, LLC other | Other | Sep 5, 2006 | Oct 19, 2006 (44 d) |
| Adam Kelley Conway | Amsouth Investment Management Company LLC unclassified | Transamerica Financial Advisors, LLC other | Other | Aug 22, 2006 | Jan 2, 2006 |
| Tammy Lynn Schmaltz | David A. Noyes & Company other | Transamerica Financial Advisors, LLC other | Other | Aug 17, 2006 | Sep 1, 2006 |
| Donald Lee Barrere | Ameriprise Financial Services, LLC national BD | Transamerica Financial Advisors, LLC other | Other | Jun 8, 2006 | Jan 6, 2011 (1673 d) |
| Mccarthy Crenshaw | Uvest Financial Services Group, Inc. unclassified | Transamerica Financial Advisors, LLC other | Other | May 19, 2006 | Sep 25, 2006 (129 d) |
| Jeffrey S Ballek | Waddell & Reed other | Transamerica Financial Advisors, LLC other | Other | May 1, 2006 | Apr 26, 2006 |
| Carl Kaliszewski | Osaic Fs, Inc. other | Transamerica Financial Advisors, LLC other | Other | Apr 13, 2006 | Oct 1, 2010 (1632 d) |
| Lamar Simpson | Foothill Securities, Inc. other | Transamerica Financial Advisors, LLC other | Other | Mar 31, 2006 | Dec 12, 2006 (256 d) |
| Vanessa Odile Wagner | Ameriprise Financial Services, LLC national BD | Transamerica Financial Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Mar 30, 2006 | Oct 29, 2018 (4596 d) |
| Joshua Richard Sirek | Thrivent Investment Management Inc. other | Transamerica Financial Advisors, LLC other | Other | Mar 8, 2006 | Mar 10, 2006 |
| Mark Duran | Gunnallen Financial, Inc unclassified | Transamerica Financial Advisors, LLC other | Other | Feb 24, 2006 | Jul 26, 2007 (517 d) |
| Kristine Marie Gillard | UBS Financial Services Inc. wirehouse | Transamerica Financial Advisors, LLC other | Other | Jan 6, 2006 | Jul 31, 2006 (206 d) |
| Melvin Dale Brooks | Valic Financial Advisors, Inc. other | Transamerica Financial Advisors, LLC other | Other | Jan 5, 2006 | Dec 11, 2008 (1071 d) |
| Fredric Eugene Goodman | Fredric E. Goodman unclassified | Transamerica Financial Advisors, LLC other | Other | Dec 31, 2005 | Mar 30, 1999 |
| David B Brantley | Ameriprise Financial Services, LLC national BD | Transamerica Financial Advisors, LLC other | Other | Nov 30, 2005 | Mar 1, 2006 (91 d) |
| Kevin Patrick Mooney | Uvest Financial Services Group, Inc. unclassified | Transamerica Financial Advisors, LLC other | Other | Nov 22, 2005 | Nov 9, 2007 (717 d) |
| Douglas Jason Drobny | Wells Fargo Advisors wirehouse | Transamerica Financial Advisors, LLC other | Other | Oct 20, 2005 | Oct 21, 2005 |
| Matthew D Heck | Equitable Advisors, LLC national BD | Transamerica Financial Advisors, LLC other | Other | Sep 14, 2005 | Sep 28, 2005 |
| Denita Renee Clark | LPL Financial LLC other | Transamerica Financial Advisors, LLC other | Other | Sep 9, 2005 | Jan 27, 2016 (3792 d) |
| Michael Slyby | Msi Financial Services, Inc. other | Transamerica Financial Advisors, LLC other | Other | Aug 26, 2005 | Mar 29, 2017 (4233 d) |
| Kari M Lusby | Ameritas Advisory Services other | Transamerica Financial Advisors, LLC other | Other | Jun 29, 2005 | Jun 17, 2005 |
| Nathaniel Arnold Turner | Osaic Fa, Inc. other | Transamerica Financial Advisors, LLC other | Other | Jun 2, 2005 | May 27, 2005 |
| Jordan Scott Weinberg | Mony Securities Corporation unclassified | Transamerica Financial Advisors, LLC other | Other | May 24, 2005 | Jun 29, 2005 (36 d) |
| Adam Howard Miller | Mony Securities Corporation unclassified | Transamerica Financial Advisors, LLC other | Other | May 24, 2005 | Jun 29, 2005 (36 d) |
| Eric Joseph Baize | A. G. Edwards & Sons, Inc. unclassified | Transamerica Financial Advisors, LLC other | Other | May 11, 2005 | May 9, 2005 |
| Jennifer Lynn Mangum | Ameriprise Financial Services, LLC national BD | Transamerica Financial Advisors, LLC other | Other | Mar 30, 2005 | May 18, 2005 (49 d) |
| Constantine Spiro Basdakis | Citigroup Global Markets Inc. other | Transamerica Financial Advisors, LLC other | Other | Mar 11, 2005 | Mar 2, 2005 |
| Sara Kay Thomas | Morgan Stanley Dw Inc. unclassified | Transamerica Financial Advisors, LLC other | Other | Jan 19, 2005 | Jan 14, 2005 |
| Craig Ryan Lestner | Morgan Stanley Dw Inc. unclassified | Transamerica Financial Advisors, LLC other | Other | Jan 19, 2005 | Jan 14, 2005 |
| Steven Barry Tuttle | Vantage Financial Group, Inc. other | Transamerica Financial Advisors, LLC other | Other | Jan 3, 2005 | May 20, 2005 (137 d) |
| Patricia Michelleheaton Parker | Usallianz Securities, Inc. unclassified | Transamerica Financial Advisors, LLC other | Other | Dec 31, 2004 | Dec 15, 2004 |
| Randolph Samuel Balch | Vsr Advisory Services other | Transamerica Financial Advisors, LLC other | Other | Dec 14, 2004 | Dec 13, 2004 |
| Brian James Schlosser | Carillon Investments, Inc. unclassified | Transamerica Financial Advisors, LLC other | Other | Dec 8, 2004 | Dec 6, 2004 |
| Peter John Falcone | Fsc Securities Corporation other | Transamerica Financial Advisors, LLC other | Other | Nov 9, 2004 | Oct 17, 2006 (707 d) |