| Neil Thomas Daley | Vestax Securities Corporation unclassified | Cetera Advisors LLC other | Other | Jan 1, 2004 | Jan 1, 2004 |
| Philip James Paschang | Vestax Securities Corporation unclassified | Cetera Advisors LLC other | Other | Jan 1, 2004 | Jan 1, 2004 |
| Joseph Vincent Murray | Vestax Securities Corporation unclassified | Cetera Advisors LLC other | Other | Jan 1, 2004 | Jan 1, 2004 |
| Christopher Derek Sweeney | Vestax Securities Corporation unclassified | Cetera Advisors LLC other | Other | Jan 1, 2004 | Jan 1, 2004 |
| Kevin Cabot Carmony | Vestax Securities Corporation unclassified | Cetera Advisors LLC other | Other | Jan 1, 2004 | Jan 1, 2004 |
| Timothy Frank Mcfall | Vestax Securities Corporation unclassified | Cetera Advisors LLC other | Other | Jan 1, 2004 | Jan 1, 2004 |
| John Lewis Smallwood | Vestax Securities Corporation unclassified | Cetera Advisors LLC other | Other | Jan 1, 2004 | Jan 1, 2004 |
| David Michael Baum | Vestax Securities Corporation unclassified | Cetera Advisors LLC other | Other | Jan 1, 2004 | Jan 1, 2004 |
| Douglas Earl Reed | Vestax Securities Corporation unclassified | Cetera Advisors LLC other | Other | Jan 1, 2004 | Jan 1, 2004 |
| Byron Keith Larkin | Vestax Securities Corporation unclassified | Cetera Advisors LLC other | Other | Jan 1, 2004 | Jan 1, 2004 |
| Robert Normand Richard | Vestax Securities Corporation unclassified | Cetera Advisors LLC other | Other | Jan 1, 2004 | Jan 1, 2004 |
| Chantal Balcom | Vestax Securities Corporation unclassified | Cetera Advisors LLC other | Other | Jan 1, 2004 | Jan 1, 2004 |
| Kristine Marie Prisk | Vestax Securities Corporation unclassified | Cetera Advisors LLC other | Other | Jan 1, 2004 | Jan 1, 2004 |
| Matthew David Peterman | Vestax Securities Corporation unclassified | Cetera Advisors LLC other | Other | Jan 1, 2004 | Jan 1, 2004 |
| Jahanguir Azodi | Vestax Securities Corporation unclassified | Cetera Advisors LLC other | Other | Jan 1, 2004 | Jan 1, 2004 |
| Martin Eugene Paul | Vestax Securities Corporation unclassified | Cetera Advisors LLC other | Other | Jan 1, 2004 | Jan 1, 2004 |
| Mark Steven Horstmann | Vestax Securities Corporation unclassified | Cetera Advisors LLC other | Other | Jan 1, 2004 | Jan 1, 2004 |
| Carina Shipotofsky Diamond | Vestax Securities Corporation unclassified | Cetera Advisors LLC other | Other | Jan 1, 2004 | Jan 1, 2004 |
| Gary Charles Noveck | Vestax Securities Corporation unclassified | Cetera Advisors LLC other | Other | Jan 1, 2004 | Jan 1, 2004 |
| James William Kennedy | Vestax Securities Corporation unclassified | Cetera Advisors LLC other | Other | Jan 1, 2004 | Jan 1, 2004 |
| Charles William Weber | Vestax Securities Corporation unclassified | Cetera Advisors LLC other | Other | Dec 31, 2003 | Jan 26, 2006 (757 d) |
| Richard Vaughan Dunstan | Ifg Advisory Services Inc unclassified | Cetera Advisors LLC other | Other | Dec 31, 2003 | Dec 6, 2004 (341 d) |
| Earl Byron Emery | MML Investors Services, LLC other | Cetera Advisors LLC other | Other | Oct 21, 2003 | Nov 4, 2003 |
| James Eric Hutchby | H. Beck, Inc. other | Cetera Advisors LLC other | Other | Sep 29, 2003 | Jan 23, 2004 (116 d) |
| Matthew Theodore Stroia | Investment Network, Inc. state registered | Cetera Advisors LLC other | Other | Sep 17, 2003 | Aug 1, 2006 (1049 d) |
| Michael Jeffrey Galloway | Voya Financial Partners, LLC other | Cetera Advisors LLC other | Other | Jul 18, 2003 | Apr 17, 2003 |
| Robert Harold Hogsette | Skylight Financial Services LLC unclassified | Cetera Advisors LLC other | Other | Jun 30, 2003 | Oct 12, 2004 (470 d) |
| Lawrence Robert Fuller II | Voya Financial Partners, LLC other | Cetera Advisors LLC other | Other | Apr 2, 2003 | Apr 17, 2003 |
| Joseph E Shea | Fdx Advisors, Inc. other | Cetera Advisors LLC other | Other | Oct 22, 2002 | Aug 4, 2004 (652 d) |
| Dennis Charles Clark | Northstar Investment Advisors LLC other | Cetera Advisors LLC other | Other | Sep 19, 2002 | Sep 4, 2002 |
| Michael James Del Re | Woodbury Financial Services, Inc. other | Cetera Advisors LLC other | Other | Aug 21, 2002 | Aug 21, 2002 |
| William Austin Hammer | Transamerica Financial Advisors, Inc. unclassified | Cetera Advisors LLC other | Other | Jul 25, 2002 | Jul 26, 2002 |
| Sandra Seal Knox | Wells Fargo Advisors wirehouse | Cetera Advisors LLC other | Other | May 31, 2002 | Apr 9, 2003 (313 d) |