| Besjana Husted | LPL Financial LLC other | Independent Financial Group, LLC other | Other | Aug 5, 2015 | Aug 28, 2015 |
| Edwin Courtney Mcclure | LPL Financial LLC other | Independent Financial Group, LLC other | Other | Jul 22, 2015 | Jul 7, 2015 |
| Sean Hooman Agahi | Horizon Wealth Group, LLC. unclassified | Independent Financial Group, LLC other | Other | Jul 21, 2015 | Aug 17, 2015 |
| Linda R. Mickelsen | LPL Financial LLC other | Independent Financial Group, LLC other | Other | Jul 21, 2015 | Sep 16, 2015 (57 d) |
| James William Cravotta | Capital Markets Iq, LLC other | Independent Financial Group, LLC other | Other | Jun 29, 2015 | Jun 29, 2015 |
| Timothy Richard Yee | LPL Financial LLC other | Independent Financial Group, LLC other | Other | Jun 10, 2015 | Jul 8, 2015 |
| Daniel S Campbell | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Independent Financial Group, LLC other | Other | May 20, 2015 | May 18, 2015 |
| Jigar Pradeep Doshi | Fmsi Advisers other | Independent Financial Group, LLC other | Other | Apr 16, 2015 | Jul 10, 2015 (85 d) |
| Carlos Carrillo | Questar Asset Management, Inc. other | Independent Financial Group, LLC other | Other | Apr 13, 2015 | Apr 13, 2015 |
| Xavier M Ray | Questar Asset Management, Inc. other | Independent Financial Group, LLC other | Other | Mar 31, 2015 | Mar 13, 2015 |
| Damon David George | Verus Capital Partners, LLC other | Independent Financial Group, LLC other | Other | Mar 3, 2015 | Mar 10, 2015 |
| Deepen Arvind Modi | Fmsi Advisers other | Independent Financial Group, LLC other | Other | Feb 23, 2015 | Feb 23, 2015 |
| Lars Lael Ragan | Waddell & Reed other | Independent Financial Group, LLC other | Other | Feb 18, 2015 | Feb 27, 2015 |
| Cheryl Lynn Seifert | D.A. Davidson & Co. other | Independent Financial Group, LLC other | Other | Feb 9, 2015 | Jul 2, 2015 (143 d) |
| Kelly M. Morris | LPL Financial LLC other | Independent Financial Group, LLC other | Other | Feb 4, 2015 | Jan 16, 2015 |
| Michael Edward Moss | First Allied Advisory Services, Inc. other | Independent Financial Group, LLC independent RIA | Other | Jan 5, 2015 | Jan 31, 2021 (2218 d) |
| Thomas Wendell Otten | First Allied Advisory Services, Inc. other | Independent Financial Group, LLC other | Other | Jan 5, 2015 | Jan 2, 2015 |
| Ronald Allen Schley | Resource Horizons Investment Advisory, Inc. other | Independent Financial Group, LLC other | Other | Dec 31, 2014 | Feb 9, 2015 (40 d) |
| Dan Eugene Sanders | Cambridge Investment Research Advisors, Inc. other | Independent Financial Group, LLC other | Other | Dec 26, 2014 | Dec 10, 2014 |
| Todd Edward Wiersum | LPL Financial LLC other | Independent Financial Group, LLC other | Other | Dec 26, 2014 | Dec 16, 2014 |
| Jordan Paul Gates | Main Street Advisors, LLC other | Independent Financial Group, LLC other | Other | Nov 24, 2014 | Aug 18, 2010 |
| Stephen Travis Perreault | Edward Jones national BD | Independent Financial Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 24, 2014 | Nov 2, 2021 (2535 d) |
| Jonathan Lopez | LPL Financial LLC other | Independent Financial Group, LLC other | Other | Nov 7, 2014 | Nov 3, 2014 |
| Michael Patrick Cross | Woodbury Financial Services, Inc. other | Independent Financial Group, LLC other | Other | Nov 4, 2014 | Nov 18, 2014 |
| Mark Robert Diaddezio | H. Beck, Inc. other | Independent Financial Group, LLC other | Other | Oct 31, 2014 | Oct 31, 2014 |
| Peter Neil Blok | H. Beck, Inc. other | Independent Financial Group, LLC other | Other | Oct 31, 2014 | Oct 31, 2014 |
| Scott Karl Wetherbee | H. Beck, Inc. other | Independent Financial Group, LLC other | Other | Oct 31, 2014 | Oct 31, 2014 |
| Donovan Denny Ritter | LPL Financial LLC other | Independent Financial Group, LLC other | Other | Sep 12, 2014 | Sep 2, 2014 |
| Eric Anthony Ward | Financial Telesis, Inc. other | Independent Financial Group, LLC other | Other | Aug 26, 2014 | Sep 10, 2014 |
| James Mcrae Izett | Financial Telesis, Inc. other | Independent Financial Group, LLC other | Other | Aug 5, 2014 | Aug 7, 2014 |
| Haynes Lentz Kendall | Financial Designs Ltd. unclassified | Independent Financial Group, LLC other | Other | Jul 30, 2014 | May 13, 2009 |
| John Edward Hoffman | Financial Designs Ltd. unclassified | Independent Financial Group, LLC other | Other | Jul 30, 2014 | Oct 21, 2005 |
| Forrest Jefferson Padilla | Financial Designs Ltd. unclassified | Independent Financial Group, LLC other | Other | Jul 30, 2014 | Aug 7, 2012 |
| Sean Michael O'Connor | Financial Designs Ltd. unclassified | Independent Financial Group, LLC other | Other | Jul 30, 2014 | May 2, 2012 |
| Kenneth S Hamada | LPL Financial LLC other | Independent Financial Group, LLC other | Other | Jul 22, 2014 | Jul 11, 2014 |
| Emerson Joseph Fersch | Sii Investments, Inc. other | Independent Financial Group, LLC other | Other | Jul 11, 2014 | Jun 30, 2014 |
| Anthony Martin Bonafede | LPL Financial LLC other | Independent Financial Group, LLC other | Other | Jul 2, 2014 | Jun 10, 2014 |
| Christopher Michael Weber | First Allied Advisory Services, Inc. other | Independent Financial Group, LLC other | Other | Jun 19, 2014 | Jun 16, 2014 |
| Diane Ellen Rook-Johnson | Cetera Advisors LLC other | Independent Financial Group, LLC other | Other | Jun 16, 2014 | Jun 13, 2014 |
| Barry Waxler | Main Street Advisors, LLC other | Independent Financial Group, LLC other | Other | May 15, 2014 | Aug 6, 2010 |
| Jedd Morgan Wilson | Creative Planning other | Independent Financial Group, LLC other | Other | Apr 25, 2014 | May 7, 2014 |
| Yvonne Monique Cabral | Raymond James Financial Services Advisors, Inc other | Independent Financial Group, LLC other | Other | Apr 21, 2014 | Apr 17, 2014 |
| Angelo Talebi | Osaic Wealth, Inc. other | Independent Financial Group, LLC other | Other | Apr 11, 2014 | Apr 21, 2014 |
| Charles Kenneth Wareham | LPL Financial LLC other | Independent Financial Group, LLC other | Other | Mar 21, 2014 | Apr 14, 2014 |
| Wojciech Tomasz Polowy | LPL Financial LLC other | Independent Financial Group, LLC other | Other | Mar 21, 2014 | Mar 14, 2014 |
| Craig D Breitsprecher | LPL Financial LLC other | Independent Financial Group, LLC other | Other | Mar 21, 2014 | Mar 14, 2014 |
| Vincent Scott Winans | LPL Financial LLC other | Independent Financial Group, LLC other | Other | Mar 21, 2014 | Mar 14, 2014 |
| Kelsey Keanna Hasterlik | Sgl Investment Advisors, Inc. other | Independent Financial Group, LLC BD affiliated | Other | Mar 19, 2014 | May 17, 2018 (1520 d) |
| Brent C Wells | LPL Financial LLC other | Independent Financial Group, LLC other | Other | Mar 6, 2014 | Mar 5, 2014 |
| Ronald Charles Hunter | First Allied Advisory Services, Inc. other | Independent Financial Group, LLC other | Other | Feb 28, 2014 | Feb 25, 2014 |
| Matthew Patrick Brennan | Dominion Wealth Management, Inc. other | Independent Financial Group, LLC other | Other | Feb 26, 2014 | Aug 17, 2010 |
| Nicholas Joiseph Destefano | Wfg Advisors, LP other | Independent Financial Group, LLC other | Other | Feb 25, 2014 | Feb 27, 2014 |
| Jeffrey Dalton Reddick | Wfg Advisors, LP other | Independent Financial Group, LLC other | Other | Feb 25, 2014 | Feb 25, 2014 |
| Daryl T Seaton | Wfg Advisors, LP other | Independent Financial Group, LLC other | Other | Feb 25, 2014 | Feb 25, 2014 |
| John Thomas Taylor | Osaic Wealth, Inc. other | Independent Financial Group, LLC other | Other | Feb 3, 2014 | Jan 27, 2014 |
| Mary C Huntley | Osaic Wealth, Inc. other | Independent Financial Group, LLC other | Other | Feb 3, 2014 | Feb 12, 2014 |
| Lisa Ann Geyen | Securities Monitoring Group, LLC other | Independent Financial Group, LLC other | Other | Dec 26, 2013 | Feb 15, 2011 |
| Jennifer Lynn Langstaff | LPL Financial LLC other | Independent Financial Group, LLC other | Other | Dec 23, 2013 | Dec 20, 2013 |
| Ryan Jeffrey Langstaff | LPL Financial LLC other | Independent Financial Group, LLC other | Other | Dec 23, 2013 | Dec 20, 2013 |
| Walter Francisco Pardo | First Allied Advisory Services, Inc. other | Independent Financial Group, LLC other | Other | Dec 13, 2013 | Dec 19, 2013 |