| David Trevor Rix | Transamerica Retirement Advisors, LLC other | Valic Financial Advisors, Inc. other | Other | Dec 31, 2016 | Apr 27, 2017 (117 d) |
| Steven Daniel Raab | Bny Mellon Securities Corporation other | Valic Financial Advisors, Inc. BD affiliated | Other | Dec 22, 2016 | Apr 9, 2018 (473 d) |
| Monica Van Den Hudding | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Valic Financial Advisors, Inc. other | Other | Dec 21, 2016 | Jun 1, 2017 (162 d) |
| Shawnee G Anderson | Transamerica Financial Advisors, LLC other | Valic Financial Advisors, Inc. other | Other | Dec 16, 2016 | Dec 22, 2016 |
| Lucia Alicia Cruz | J.P. Morgan Securities LLC wirehouse | Valic Financial Advisors, Inc. other | Other | Dec 13, 2016 | Jan 17, 2017 (35 d) |
| Paul Harold Dickman | Eagle Strategies LLC other | Valic Financial Advisors, Inc. other | Other | Dec 8, 2016 | Dec 7, 2016 |
| Matthew Allen Hart | Invesco Advisers, Inc. other | Valic Financial Advisors, Inc. BD affiliated | Other | Nov 29, 2016 | Nov 2, 2020 (1434 d) |
| Bradwell Parker Skinner | Raymond James Financial Services Advisors, Inc other | Valic Financial Advisors, Inc. other | Other | Nov 23, 2016 | Dec 2, 2016 |
| Brent Vincent Harper | Edward Jones national BD | Valic Financial Advisors, Inc. other | Other | Nov 14, 2016 | Oct 24, 2017 (344 d) |
| Nain J Perez | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Valic Financial Advisors, Inc. other | Other | Oct 24, 2016 | Oct 14, 2016 |
| Ellen M Raflowski | Equitable Advisors, LLC national BD | Valic Financial Advisors, Inc. other | Other | Oct 6, 2016 | Oct 3, 2016 |
| Fiona Karen Cosmann | U.S. Bancorp Investments, Inc. other | Valic Financial Advisors, Inc. other | Other | Sep 30, 2016 | Oct 6, 2016 |
| Kim Suzanne Seymour | Morgan Stanley wirehouse | Valic Financial Advisors, Inc. other | Other | Sep 19, 2016 | Oct 12, 2016 |
| David John Arns | Sheaff Brock Investment Advisors, LLC other | Valic Financial Advisors, Inc. other | Other | Sep 16, 2016 | Feb 14, 2017 (151 d) |
| Barbara Lee Rayll | Osaic Fa, Inc. other | Valic Financial Advisors, Inc. other | Other | Sep 13, 2016 | Nov 29, 2016 (77 d) |
| Walter W Griffin | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Valic Financial Advisors, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Sep 2, 2016 | Apr 16, 2018 (591 d) |
| Sheena Denise Hogue | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Valic Financial Advisors, Inc. other | Other | Aug 19, 2016 | Aug 22, 2016 |
| Joshua Baird | Stifel, Nicolaus & Company, Incorporated national BD | Valic Financial Advisors, Inc. other | Other | Aug 18, 2016 | Jul 27, 2016 |
| Michael Douglas Arner | Pnc Wealth Management other | Valic Financial Advisors, Inc. other | Other | Aug 10, 2016 | Jun 1, 2017 (295 d) |
| Charlotte A. Roper | J.P. Morgan Securities LLC wirehouse | Valic Financial Advisors, Inc. other | Other | Aug 4, 2016 | Jul 27, 2016 |
| Todd M Bornholtz | Morgan Stanley wirehouse | Valic Financial Advisors, Inc. other | Other | Aug 3, 2016 | Oct 3, 2016 (61 d) |
| Michael John Coakley | Hornor, Townsend & Kent, LLC other | Valic Financial Advisors, Inc. other | Other | Jul 14, 2016 | Jul 8, 2016 |
| Daniel John Nowak | Grace Capital Management, LLC unclassified | Valic Financial Advisors, Inc. other | Other | Jul 12, 2016 | Jul 11, 2016 |
| Amy Long | Usaa Financial Planning Services no RAUM | Valic Financial Advisors, Inc. other | Other | Jul 8, 2016 | Aug 24, 2016 (47 d) |
| David William Conlin | Msi Financial Services, Inc. other | Valic Financial Advisors, Inc. other | Other | Jul 1, 2016 | Aug 9, 2016 (39 d) |
| Raymond Key | Advisors Asset Management, Inc. other | Valic Financial Advisors, Inc. other | Other | Jun 14, 2016 | Jun 20, 2016 |
| Michael Asnis | Waddell & Reed other | Valic Financial Advisors, Inc. other | Other | Jun 9, 2016 | Jun 16, 2016 |
| Kevin H. Gay | Lineweaver Wealth Advisors other | Valic Financial Advisors, Inc. other | Other | May 23, 2016 | May 23, 2016 |
| Seth A Jackson | Park Avenue Securities LLC other | Valic Financial Advisors, Inc. BD affiliated | Other | May 23, 2016 | Jan 24, 2023 (2437 d) |
| James Charles Duncan | Woodbury Financial Services, Inc. other | Valic Financial Advisors, Inc. other | Other | May 2, 2016 | Aug 6, 2015 |
| Rogelio Garduno | Usaa Financial Planning Services no RAUM | Valic Financial Advisors, Inc. other | Other | Apr 6, 2016 | Aug 18, 2016 (134 d) |
| Norman C Merlet | Oneamerica Securities, Inc. other | Valic Financial Advisors, Inc. other | Other | Apr 6, 2016 | Apr 7, 2016 |
| Stephen Tallmadge Kernahan | Waddell & Reed other | Valic Financial Advisors, Inc. other | Other | Apr 5, 2016 | Apr 4, 2016 |
| Stephen Kenneth Reeves | MML Investors Services, LLC other | Valic Financial Advisors, Inc. other | Other | Apr 5, 2016 | Jun 6, 2016 (62 d) |
| Xavier Granja | Charles Schwab & Co., Inc. national BD | Valic Financial Advisors, Inc. other | Other | Apr 4, 2016 | Apr 25, 2016 |
| Kathleen Doucet | Pruco Securities, LLC other | Valic Financial Advisors, Inc. other | Other | Apr 1, 2016 | Mar 19, 2018 (717 d) |
| Michael John Smith | Hsbc Securities (USA) Inc. other | Valic Financial Advisors, Inc. other | Other | Mar 28, 2016 | Apr 14, 2016 |
| Daniel Patrick Schumann | Sagepoint Financial, Inc. other | Valic Financial Advisors, Inc. other | Other | Mar 23, 2016 | Dec 17, 2015 |
| Elke De La Cruz | J.P. Morgan Securities LLC wirehouse | Valic Financial Advisors, Inc. other | Other | Mar 23, 2016 | Mar 14, 2016 |
| Erik Owen Jensen | Forta Financial Group, Inc. other | Valic Financial Advisors, Inc. other | Other | Mar 14, 2016 | Mar 15, 2016 |
| Scott Ratajczak | Ameriprise Financial Services, LLC national BD | Valic Financial Advisors, Inc. other | Other | Mar 11, 2016 | Jun 28, 2016 (109 d) |
| Cari Lamontagne | Strategic Advisers LLC national BD | Valic Financial Advisors, Inc. other | Other | Jan 29, 2016 | Feb 15, 2016 |
| Kevin Matthew Landen | St Matthews Capital Management unclassified | Valic Financial Advisors, Inc. other | Other | Jan 21, 2016 | Dec 21, 2015 |
| Kevin Brooks Kugley | Searchlight Investments, LLC unclassified | Valic Financial Advisors, Inc. other | Other | Jan 5, 2016 | Aug 24, 2015 |
| Daniel A. Ward | Msi Financial Services, Inc. other | Valic Financial Advisors, Inc. other | Other | Jan 4, 2016 | Jun 22, 2017 (535 d) |
| Ami Shah | Cetera Investment Management LLC other | Valic Financial Advisors, Inc. other | Other | Dec 31, 2015 | Dec 21, 2016 (356 d) |
| Peter Abbate | MML Investors Services, LLC other | Valic Financial Advisors, Inc. other | Other | Dec 31, 2015 | Apr 28, 2016 (119 d) |
| John Henry Roethle | LPL Financial LLC other | Valic Financial Advisors, Inc. other | Other | Dec 23, 2015 | Dec 23, 2015 |
| Garfield Anthony Davidson | Msi Financial Services, Inc. other | Valic Financial Advisors, Inc. other | Other | Dec 22, 2015 | Dec 21, 2015 |
| James Guy Ferguson | Edward Jones national BD | Valic Financial Advisors, Inc. other | Other | Dec 22, 2015 | Dec 18, 2015 |
| Carolyn Lee Sharp | Pnc Wealth Management other | Valic Financial Advisors, Inc. other | Other | Dec 17, 2015 | Mar 29, 2016 (103 d) |
| Bryan Eugene Donaugh | Creative Financial Designs, Inc. other | Valic Financial Advisors, Inc. other | Other | Dec 16, 2015 | Jan 11, 2016 |
| Nicholas Steven Shane | Barclays Capital Inc. other | Valic Financial Advisors, Inc. other | Other | Dec 15, 2015 | Dec 16, 2015 |
| Susan Therese Powers | LPL Financial LLC other | Valic Financial Advisors, Inc. other | Other | Dec 3, 2015 | Feb 10, 2016 (69 d) |
| Carlos E Moisa | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Valic Financial Advisors, Inc. other | Other | Nov 24, 2015 | Jan 7, 2016 (44 d) |
| Derek Loudenback | Mogul Wealth Management, Inc. state registered | Valic Financial Advisors, Inc. BD affiliated | Other | Nov 10, 2015 | Feb 17, 2021 (1926 d) |
| Richard Todd Evans | Charles Schwab & Co., Inc. national BD | Valic Financial Advisors, Inc. other | Other | Nov 6, 2015 | Jan 5, 2016 (60 d) |
| Terance Raymond Helland | Edward Jones national BD | Valic Financial Advisors, Inc. other | Other | Oct 15, 2015 | Mar 18, 2016 (155 d) |
| Ellen Glenn Honeycutt | Bb&T Investment Services, Inc. no RAUM | Valic Financial Advisors, Inc. other | Other | Oct 15, 2015 | Dec 18, 2015 (64 d) |
| Joshua John Daniel Penner | J.P. Morgan Securities LLC wirehouse | Valic Financial Advisors, Inc. other | Other | Oct 7, 2015 | Jul 20, 2016 (287 d) |