| Jonea Glaspie | J.P. Morgan Securities LLC wirehouse | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Apr 2, 2008 | Oct 21, 2009 (567 d) |
| James Lee Wisdom | Transamerica Financial Advisors, LLC other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Apr 1, 2008 | Jun 4, 2008 (64 d) |
| Michael Leon Waldridge | Assetmark, Inc. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Mar 20, 2008 | Mar 27, 2008 |
| Brian Wesley Armstrong | Rosenthal Advisory Services, L.P. independent RIA | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Mar 14, 2008 | Dec 10, 2007 |
| Shawndi Lynn Purselley | Rosenthal Advisory Services, L.P. independent RIA | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Mar 14, 2008 | Dec 10, 2007 |
| Chi-Hong Chu | American General Securities Incorporated unclassified | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Mar 3, 2008 | Mar 3, 2008 |
| James Paul Ball | Spc other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Feb 14, 2008 | Feb 15, 2008 |
| Gina Goree Mcwhorter | Ameriprise Advisor Services, Inc. unclassified | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Jan 18, 2008 | Jan 17, 2008 |
| Matthew Scott Nakamura | LPL Financial LLC other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Jan 15, 2008 | Jan 28, 2008 |
| Timothy Robert Oneil | Sagepoint Financial, Inc. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Dec 31, 2007 | Jan 22, 2009 (388 d) |
| Jason Paul Seele | Park Avenue Securities LLC other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Dec 31, 2007 | Jan 3, 2008 |
| Larry Dale Jackson | Bft Financial Group, LLC other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Dec 31, 2007 | Jun 12, 2008 (164 d) |
| Gregory Joseph Keal | Park Avenue Securities LLC other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Dec 10, 2007 | Dec 7, 2007 |
| Mark Douglas Caldwell | American General Securities Incorporated unclassified | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Dec 5, 2007 | Dec 6, 2007 |
| Michael P Hosford | American General Securities Incorporated unclassified | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Dec 5, 2007 | Dec 6, 2007 |
| Joseph Allen Quartucci | American General Securities Incorporated unclassified | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Dec 5, 2007 | Dec 6, 2007 |
| Kevin Elwood Stoddard | Securities America Advisors, Inc. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Nov 28, 2007 | Nov 15, 2007 |
| Timothy Dale Reeves | American General Securities Incorporated unclassified | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Nov 8, 2007 | Nov 15, 2007 |
| Keith Alan Perry | American General Securities Incorporated unclassified | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Nov 6, 2007 | Oct 31, 2007 |
| Elizabeth Marie Kampmeinert | American General Securities Incorporated unclassified | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Nov 6, 2007 | Nov 6, 2007 |
| Jeffrey Brent Lapidus | Securities America Advisors, Inc. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Nov 5, 2007 | Nov 5, 2007 |
| Thomas George Lockmund | American General Securities Incorporated unclassified | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Nov 1, 2007 | Oct 31, 2007 |
| Anne Maleva Chamberlain | American General Securities Incorporated unclassified | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Nov 1, 2007 | Oct 31, 2007 |
| John Edgar Brooks | American General Securities Incorporated unclassified | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Oct 30, 2007 | Oct 30, 2007 |
| Robert Joseph Lang | American General Securities Incorporated unclassified | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Oct 30, 2007 | Oct 29, 2007 |
| Jeffrey Michael Zufall | American General Securities Incorporated unclassified | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Oct 30, 2007 | Oct 30, 2007 |
| Kevin Clinton Loyd | American General Securities Incorporated unclassified | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Oct 30, 2007 | Oct 30, 2007 |
| Jason R. Lutz | American General Securities Incorporated unclassified | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Oct 26, 2007 | Oct 26, 2007 |
| Paul S Funkhouser | American General Securities Incorporated unclassified | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Oct 24, 2007 | Oct 29, 2007 |
| Kyle Dean Fink | American General Securities Incorporated unclassified | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Oct 24, 2007 | Oct 29, 2007 |
| Steven Corey Hoekstra | American General Securities Incorporated unclassified | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Oct 24, 2007 | Oct 29, 2007 |
| Brian Richard Skrobonja | American General Securities Incorporated unclassified | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Oct 23, 2007 | Oct 23, 2007 |
| Christopher James Lubbers | American General Securities Incorporated unclassified | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Oct 23, 2007 | Oct 22, 2007 |
| Adam Bethel | American General Securities Incorporated unclassified | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Oct 23, 2007 | Oct 23, 2007 |
| Robert Francis Schilly | American General Securities Incorporated unclassified | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Oct 23, 2007 | Oct 23, 2007 |
| Keith Douglas Klusmeyer | American General Securities Incorporated unclassified | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Oct 23, 2007 | Oct 23, 2007 |
| Timothy Joseph Banks | American General Securities Incorporated unclassified | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Oct 22, 2007 | Oct 22, 2007 |
| Stephen Paul Michael Rhodes | American General Securities Incorporated unclassified | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Oct 22, 2007 | Oct 23, 2007 |
| Richard Warren Lancaster | 1st Global Advisors Inc other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Oct 12, 2007 | Nov 29, 2007 (48 d) |
| Robert John Richards | Cincinnati Analysts, Inc other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Oct 1, 2007 | Oct 1, 2007 |
| Taurayi Christopher Murapa | Morgan Stanley & Co. LLC unclassified | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Sep 24, 2007 | Feb 8, 2010 (868 d) |
| Dale Lawrence Cebert | Securities America Advisors, Inc. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Sep 18, 2007 | Sep 14, 2007 |
| Brian Joseph Hentz | Securities America Advisors, Inc. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Sep 18, 2007 | Sep 14, 2007 |
| Jeffrey Scott Graunke | Securities America Advisors, Inc. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Sep 17, 2007 | Sep 14, 2007 |
| Robert J Paolini | Walnut Street Securities, Inc. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Aug 16, 2007 | Aug 13, 2007 |
| Debra Gaglioti | Walnut Street Securities, Inc. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Aug 16, 2007 | Aug 13, 2007 |
| Matthew Lincoln Mogush | Ameriprise Financial Services, LLC national BD | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Jul 12, 2007 | Dec 3, 2008 (510 d) |
| Andrew Ian Mason | A. G. Edwards & Sons, Inc. unclassified | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Jul 12, 2007 | Jul 13, 2007 |
| Gerald Douglas Watson | Avantax Advisory Services other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Jul 10, 2007 | Jul 5, 2007 |
| Richard Andrew Cahlin | LPL Financial LLC other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Jul 10, 2007 | Jul 5, 2007 |
| Rik James Henrik Saylor | Voya Financial Advisors, Inc. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Jul 3, 2007 | Jun 29, 2007 |
| Claudia Arnold | Osaic Fa, Inc. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Jun 19, 2007 | Jul 3, 2007 |
| Brian Wesley Low | Voya Financial Advisors, Inc. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | May 24, 2007 | May 21, 2007 |
| Kristy Ann Green | Usaa Financial Planning Services no RAUM | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | May 16, 2007 | Jan 27, 2009 (622 d) |
| David John Vanderzwaag | Whjr Associates other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | May 15, 2007 | May 7, 2007 |
| Bruce Taylor Godke | Voya Financial Advisors, Inc. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Apr 27, 2007 | May 1, 2007 |
| Frank Dean Barber | Voya Financial Advisors, Inc. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Apr 27, 2007 | May 1, 2007 |
| Eric John Sheerin | Voya Financial Advisors, Inc. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Apr 27, 2007 | May 1, 2007 |
| Michael Shane Barber | Voya Financial Advisors, Inc. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Apr 27, 2007 | May 1, 2007 |
| Jean Tobin Riordan | Cuna Brokerage Services, Inc. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Apr 18, 2007 | May 18, 2007 |