| Herbert Wilmer Findeisen | Commonwealth Financial Network national BD | Next Financial Group, Inc. other | Other | Nov 27, 2007 | Nov 26, 2007 |
| Earl Eugene Newsome | 1717 Capital Management Company unclassified | Next Financial Group, Inc. other | Other | Nov 26, 2007 | Nov 20, 2007 |
| Erik Bencomo | Td Ameritrade Investment Management, LLC other | Next Financial Group, Inc. other | Other | Nov 19, 2007 | Mar 12, 2009 (479 d) |
| Andrew B Adams | Calton & Associates, Inc. other | Next Financial Group, Inc. other | Other | Nov 16, 2007 | Nov 15, 2007 |
| Karen Lea Vanleeuwen | Wells Fargo Advisors wirehouse | Next Financial Group, Inc. other | Other | Nov 14, 2007 | Dec 17, 2007 (33 d) |
| Nicole Brielle Simpson | Pnc Wealth Management other | Next Financial Group, Inc. other | Other | Nov 13, 2007 | Dec 6, 2007 |
| Michael Edward Miller | Cetera Advisors LLC other | Next Financial Group, Inc. other | Other | Nov 7, 2007 | Oct 29, 2007 |
| Jeffrey Alan Mathis | Edward Jones national BD | Next Financial Group, Inc. other | Other | Nov 6, 2007 | Nov 5, 2007 |
| Jeffrey Lawrence Jackson | Edward Jones national BD | Next Financial Group, Inc. other | Other | Oct 19, 2007 | Oct 17, 2007 |
| David Michael Patrick | MML Investors Services, LLC other | Next Financial Group, Inc. other | Other | Oct 3, 2007 | Sep 21, 2007 |
| Matthew Raymond Hisey | LPL Financial LLC other | Next Financial Group, Inc. other | Other | Sep 24, 2007 | Oct 24, 2007 |
| Jonathan Ongcuangco Reyes | First Midamerica Investment Corporation unclassified | Next Financial Group, Inc. other | Other | Sep 20, 2007 | May 8, 2008 (231 d) |
| Keith Ronan Nielsen | Regal Advisory Services, Inc. other | Next Financial Group, Inc. other | Other | Sep 6, 2007 | Aug 13, 2007 |
| Dirk David Rabenold | Janney Montgomery Scott LLC other | Next Financial Group, Inc. other | Other | Aug 27, 2007 | Apr 19, 2011 (1331 d) |
| Joe Malave | Osaic Fs, Inc. other | Next Financial Group, Inc. other | Other | Aug 24, 2007 | Aug 28, 2007 |
| Brett Richard Clarke | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Next Financial Group, Inc. other | Other | Aug 22, 2007 | Aug 17, 2007 |
| Abel Lopez Olivares | Ameriprise Financial Services, LLC national BD | Next Financial Group, Inc. other | Other | Jul 25, 2007 | Aug 2, 2007 |
| Gary Joseph Siano | Brookstreet Securities Corporation unclassified | Next Financial Group, Inc. other | Other | Jul 12, 2007 | Jul 10, 2007 |
| Larry Joseph Sklar | 1717 Capital Management Company unclassified | Next Financial Group, Inc. other | Other | Jun 25, 2007 | Jun 25, 2007 |
| Laura Marie Fasan | Vision Asset Management Inc unclassified | Next Financial Group, Inc. other | Other | Jun 22, 2007 | Jun 25, 2007 |
| Gregory Brook Ashton | Wilbanks Securities Advisory other | Next Financial Group, Inc. other | Other | Jun 15, 2007 | Jun 20, 2007 |
| Gary Jesse Deardorff | LPL Financial LLC other | Next Financial Group, Inc. other | Other | Jun 14, 2007 | Jun 14, 2007 |
| Shelley Jessica O'Brien | LPL Financial LLC other | Next Financial Group, Inc. other | Other | Jun 14, 2007 | Jun 14, 2007 |
| Jacqueline Larose Villa | LPL Financial LLC other | Next Financial Group, Inc. other | Other | Jun 1, 2007 | Jun 4, 2007 |
| Donna Irene Crocker | Osaic Wealth, Inc. other | Next Financial Group, Inc. other | Other | May 24, 2007 | Apr 2, 2007 |
| Azeb Gessesse Clark | Brecek & Young Advisors, Inc. other | Next Financial Group, Inc. other | Other | May 23, 2007 | May 18, 2007 |
| Joseph Anthony Pancerella | Money Concepts Advisory Service other | Next Financial Group, Inc. other | Other | May 21, 2007 | May 21, 2007 |
| Dennis Ray Throckmorton | Transamerica Financial Advisors, LLC other | Next Financial Group, Inc. other | Other | May 15, 2007 | May 21, 2007 |
| Michael Raymond Knuffke | New England Securities Corporation other | Next Financial Group, Inc. other | Other | May 10, 2007 | May 8, 2007 |
| Patrick Richard Vondohlen | New England Securities Corporation other | Next Financial Group, Inc. other | Other | May 10, 2007 | May 8, 2007 |
| Dorothy Ann Wilson | Cetera Investment Advisers LLC other | Next Financial Group, Inc. other | Other | May 7, 2007 | May 8, 2007 |
| Susanna Joiner Schlangen | United Planners' Financial Services Of America A Limited Partner other | Next Financial Group, Inc. other | Other | May 4, 2007 | Jun 25, 2007 (52 d) |
| Robert Philip Schlangen | United Planners' Financial Services Of America A Limited Partner other | Next Financial Group, Inc. other | Other | May 4, 2007 | Jun 25, 2007 (52 d) |
| David John Laidlaw | First Allied Advisory Services, Inc. other | Next Financial Group, Inc. other | Other | Apr 20, 2007 | Sep 21, 2010 (1250 d) |
| Mark Edward Johnson | Raymond James Financial Services, Inc. unclassified | Next Financial Group, Inc. other | Other | Apr 17, 2007 | May 1, 2007 |
| Keith Alan Bowers | Raymond James Financial Services, Inc. unclassified | Next Financial Group, Inc. other | Other | Apr 17, 2007 | May 1, 2007 |
| Todd Elliott Smith | Hornor, Townsend & Kent, LLC other | Next Financial Group, Inc. other | Other | Apr 3, 2007 | Apr 24, 2007 |
| Leslie Howard Kern | Coordinated Capital Securities, Inc. other | Next Financial Group, Inc. other | Other | Mar 30, 2007 | Apr 2, 2007 |
| Jennifer Gale Jones | MML Investors Services, LLC other | Next Financial Group, Inc. other | Other | Mar 22, 2007 | Mar 20, 2007 |
| Anthony Frederick Hobson | Cetera Investment Services LLC other | Next Financial Group, Inc. other | Other | Mar 19, 2007 | Mar 23, 2007 |
| Eric Andre Pettus | Ameriprise Financial Services, LLC national BD | Next Financial Group, Inc. other | Other | Mar 16, 2007 | Mar 28, 2007 |
| Lawrence William Mcgrath | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Next Financial Group, Inc. other | Other | Mar 16, 2007 | Mar 16, 2007 |
| Joseph Pell Bartmess | Edward Jones national BD | Next Financial Group, Inc. other | Other | Mar 5, 2007 | Apr 18, 2007 (44 d) |
| Howard Raymond Solomon | Ic Advisory Services, Inc. other | Next Financial Group, Inc. other | Other | Feb 26, 2007 | Feb 23, 2007 |
| Thierry Vincent Sommer | Raymond James Financial Services, Inc. unclassified | Next Financial Group, Inc. other | Other | Feb 2, 2007 | Jul 30, 2007 (178 d) |
| H Daniel Lovelace | Investment Professionals, Inc. other | Next Financial Group, Inc. other | Other | Feb 2, 2007 | Feb 14, 2007 |
| Scott Clinton Weaver | Securities America Advisors, Inc. other | Next Financial Group, Inc. other | Other | Feb 1, 2007 | Jan 25, 2012 (1819 d) |
| Anthony Joseph Passerini | MML Investors Services, LLC other | Next Financial Group, Inc. other | Other | Feb 1, 2007 | Jan 31, 2007 |
| Eric Vincent Wasson | Citizens Securities, Inc. other | Next Financial Group, Inc. other | Other | Jan 31, 2007 | Jan 30, 2007 |
| David W Fowler | Citizens Securities, Inc. other | Next Financial Group, Inc. other | Other | Jan 31, 2007 | Jan 30, 2007 |
| Shawn William Greenland | Waddell & Reed other | Next Financial Group, Inc. other | Other | Jan 23, 2007 | Mar 1, 2007 (37 d) |
| Damon Eric Ladd-Thomas | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Next Financial Group, Inc. other | Other | Jan 9, 2007 | Jan 25, 2007 |
| Michael Richard Clouse | Transamerica Financial Advisors, LLC other | Next Financial Group, Inc. other | Other | Dec 31, 2006 | Feb 29, 2008 (425 d) |
| Matthew Thomas Marcom | S.B. Value Partners, L.P. other | Next Financial Group, Inc. other | Other | Dec 31, 2006 | Dec 12, 2008 (712 d) |
| Craig Martz | Waddell & Reed other | Next Financial Group, Inc. other | Other | Dec 31, 2006 | Mar 2, 2007 (61 d) |
| Allen Kent Broyles | Osaic Fs, Inc. other | Next Financial Group, Inc. other | Other | Dec 19, 2006 | Dec 13, 2006 |
| Stephanie K. Bailey | Ffp Advisory Services Inc unclassified | Next Financial Group, Inc. other | Other | Dec 15, 2006 | Dec 8, 2006 |
| William Louis Criswell | Raymond James Financial Services, Inc. unclassified | Next Financial Group, Inc. other | Other | Dec 14, 2006 | Jan 5, 2007 |
| Clemont Lee Bevill | Raymond James Financial Services, Inc. unclassified | Next Financial Group, Inc. other | Other | Dec 12, 2006 | Dec 11, 2006 |
| Robert M. Wyrick, Jr. | Sagepoint Financial, Inc. other | Next Financial Group, Inc. other | Other | Dec 11, 2006 | Dec 1, 2006 |