| Bradley Gene Brodersen | Cetera Investment Services LLC other | Eagle Strategies LLC other | Other | Nov 1, 2012 | May 20, 2013 (200 d) |
| Rakesh K Sharma | Park Avenue Securities LLC other | Eagle Strategies LLC BD affiliated | Other | Oct 23, 2012 | Sep 19, 2022 (3618 d) |
| Jason Godfrey Lytle | LPL Financial LLC other | Eagle Strategies LLC other | Other | Oct 22, 2012 | Dec 10, 2012 (49 d) |
| Andrea Beth Sheikh | Independent Portfolio Consultants, Inc. other | Eagle Strategies LLC other | Other | Oct 19, 2012 | Jan 25, 2013 (98 d) |
| Joel Michael Greenberg | Securian Financial Services, Inc. other | Eagle Strategies LLC other | Other | Oct 18, 2012 | Apr 11, 2013 (175 d) |
| Dinesh O Saxena | Pruco Securities, LLC other | Eagle Strategies LLC other | Other | Oct 12, 2012 | Feb 7, 2014 (483 d) |
| Kathryn Lee Kelley | Huntington Financial Advisors other | Eagle Strategies LLC other | Other | Oct 10, 2012 | Dec 21, 2012 (72 d) |
| Robert Frank Gollnick | Principal Securities, Inc. other | Eagle Strategies LLC other | Other | Oct 5, 2012 | Jan 2, 2013 (89 d) |
| John Louis Daly | Principal Securities, Inc. other | Eagle Strategies LLC other | Other | Oct 2, 2012 | Dec 11, 2012 (70 d) |
| Michael Clifford Hutchinson | Thrivent Investment Management Inc. other | Eagle Strategies LLC other | Other | Sep 12, 2012 | Oct 17, 2012 (35 d) |
| William Robert Crossan | Msi Financial Services, Inc. other | Eagle Strategies LLC other | Other | Sep 7, 2012 | Jan 15, 2013 (130 d) |
| Victoria Lucrecia Staudinger | Northwestern Mutual Investment Services,LLC other | Eagle Strategies LLC other | Other | Sep 6, 2012 | Oct 8, 2012 (32 d) |
| David Paul Rudi Lenser | Edward Jones national BD | Eagle Strategies LLC other | Other | Sep 4, 2012 | Apr 5, 2016 (1309 d) |
| Matthew Kingsley Schernikau | Transamerica Financial Advisors, LLC other | Eagle Strategies LLC other | Other | Jul 25, 2012 | May 28, 2013 (307 d) |
| Charan J Khurana | Usaa Financial Planning Services no RAUM | Eagle Strategies LLC other | Other | Jul 6, 2012 | Jul 26, 2012 |
| Judith Blaustein Klebanow | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Eagle Strategies LLC other | Other | Jun 29, 2012 | Jun 25, 2014 (726 d) |
| Paul Thomas Tuomey | Blackrock Fund Advisors other | Eagle Strategies LLC other | Other | Jun 26, 2012 | Feb 18, 2014 (602 d) |
| Frances Ann Toler | Park Avenue Securities LLC other | Eagle Strategies LLC other | Other | Jun 19, 2012 | Jul 10, 2012 |
| Gabriel Aaron Markley | Waddell & Reed other | Eagle Strategies LLC other | Other | Jun 13, 2012 | Oct 23, 2013 (497 d) |
| David Cameron Dlugacz | Securian Financial Services, Inc. other | Eagle Strategies LLC other | Other | Jun 12, 2012 | Sep 11, 2012 (91 d) |
| Sydney Lea Hale | Independent Portfolio Consultants, Inc. other | Eagle Strategies LLC other | Other | May 18, 2012 | Jul 23, 2012 (66 d) |
| Andrew Bryant Meinbresse | Equitable Advisors, LLC national BD | Eagle Strategies LLC other | Other | May 4, 2012 | Dec 19, 2013 (594 d) |
| Patrick Lohr Flynn | Mcbee Advisors, Inc. other | Eagle Strategies LLC other | Other | Apr 23, 2012 | May 29, 2012 (36 d) |
| Susan Marie Iverson | MML Investors Services, LLC other | Eagle Strategies LLC other | Other | Mar 29, 2012 | May 23, 2012 (55 d) |
| Debra Press | Osaic Fa, Inc. other | Eagle Strategies LLC other | Other | Mar 23, 2012 | Aug 20, 2013 (515 d) |
| Sylvester Thomas | Pruco Securities, LLC other | Eagle Strategies LLC other | Other | Feb 3, 2012 | Jul 24, 2013 (537 d) |
| Nicholas Gant Zerillo | Equitable Advisors, LLC national BD | Eagle Strategies LLC other | Other | Feb 1, 2012 | Feb 10, 2012 |
| Kavi Singh Virk | Bluepointe Capital Management, LLC other | Eagle Strategies LLC BD affiliated | Other | Jan 17, 2012 | Jun 18, 2020 (3075 d) |
| Joseph Edward Baumgartner | Pnc Wealth Management other | Eagle Strategies LLC other | Other | Jan 17, 2012 | Jun 18, 2012 (153 d) |
| Charles Arthur Tucker | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Eagle Strategies LLC other | Other | Jan 13, 2012 | Feb 28, 2012 (46 d) |
| Robert Emmett Hicks | Brokersxpress LLC other | Eagle Strategies LLC other | Other | Dec 31, 2011 | Mar 21, 2012 (81 d) |
| Jeffrey Joseph Chahine | American Portfolios Advisors, Inc other | Eagle Strategies LLC other | Other | Dec 23, 2011 | Oct 3, 2013 (650 d) |
| Daniel Andriola | Pruco Securities, LLC other | Eagle Strategies LLC other | Other | Dec 23, 2011 | Nov 27, 2013 (705 d) |
| John Lee Bible | Valic Financial Advisors, Inc. other | Eagle Strategies LLC other | Other | Dec 7, 2011 | Aug 10, 2012 (247 d) |
| Patricia Bullock Branch | Northwestern Mutual Investment Services,LLC other | Eagle Strategies LLC BD affiliated | Other | Dec 1, 2011 | Sep 28, 2018 (2493 d) |
| Mark Perry Kissinger | UBS Financial Services Inc. wirehouse | Eagle Strategies LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Nov 16, 2011 | Mar 15, 2023 (4137 d) |
| Matthew Donald Spedden | LPL Financial LLC other | Eagle Strategies LLC BD affiliated | Other | Oct 31, 2011 | Dec 7, 2018 (2594 d) |
| Matthew Blair Costello | Raymond James & Associates, Inc. national BD | Eagle Strategies LLC other | Other | Oct 17, 2011 | May 15, 2013 (576 d) |
| Peter Andrew Mckenna | Morgan Stanley wirehouse | Eagle Strategies LLC other | Other | Oct 4, 2011 | Jan 2, 2013 (456 d) |
| Grace Yvonne Ottey | New England Securities Corporation other | Eagle Strategies LLC BD affiliated | Other | Sep 29, 2011 | Apr 22, 2022 (3858 d) |
| Francis Robert Surette | MML Investors Services, LLC other | Eagle Strategies LLC other | Other | Sep 8, 2011 | Oct 28, 2011 (50 d) |
| Mary Ellen Cardenas | Morgan Keegan & Company, LLC other | Eagle Strategies LLC other | Other | Aug 16, 2011 | Oct 3, 2011 (48 d) |
| Ryan Patrick Catlaw | Morgan Stanley wirehouse | Eagle Strategies LLC other | Other | Aug 5, 2011 | Mar 15, 2016 (1684 d) |
| Jamie William Mcdonald | Vsr Advisory Services other | Eagle Strategies LLC other | Other | Jul 22, 2011 | Aug 31, 2011 (40 d) |
| Erin Lura Hilton | Strategic Advisers LLC national BD | Eagle Strategies LLC other | Other | Jul 12, 2011 | Oct 15, 2013 (826 d) |
| Diron Michael Insley | Northwestern Mutual Investment Services,LLC other | Eagle Strategies LLC other | Other | Jul 12, 2011 | Mar 22, 2012 (254 d) |
| Winston Alexander Mclaughlin | Hartford Investment Financial Services, LLC other | Eagle Strategies LLC other | Other | Jul 8, 2011 | Aug 13, 2011 (36 d) |
| Brian Segel | Msi Financial Services, Inc. other | Eagle Strategies LLC other | Other | Jun 24, 2011 | Jun 28, 2012 (370 d) |
| Ronald Stephen Thompson | MML Investors Services, LLC other | Eagle Strategies LLC other | Other | Jun 6, 2011 | Nov 3, 2011 (150 d) |
| Timothy Paul Evans | Seidman Private Advisors LLC no RAUM | Eagle Strategies LLC other | Other | May 13, 2011 | Aug 6, 2010 |
| Adam Glen Robinson | Sentinel Pension Advisors, LLC. other | Eagle Strategies LLC other | Other | May 12, 2011 | Jun 21, 2011 (40 d) |
| Jon Paul Espinoza | Park Avenue Securities LLC other | Eagle Strategies LLC other | Other | May 3, 2011 | Jan 22, 2013 (630 d) |
| Steven Douglas Makinson | LPL Financial LLC other | Eagle Strategies LLC other | Other | Apr 29, 2011 | May 25, 2011 |
| Tao Ling | Credit Suisse Securities (USA) LLC other | Eagle Strategies LLC other | Other | Apr 29, 2011 | Jul 8, 2011 (70 d) |
| Michael Christopher Hall | Charles Schwab & Co., Inc. national BD | Eagle Strategies LLC other | Other | Apr 12, 2011 | Jun 28, 2011 (77 d) |
| Chien Kain Yeh | Wells Fargo Advisors wirehouse | Eagle Strategies LLC other | Other | Mar 8, 2011 | Aug 23, 2011 (168 d) |
| Brian Paul Spitzley | Edward Jones national BD | Eagle Strategies LLC other | Other | Mar 3, 2011 | Sep 14, 2012 (561 d) |
| Jamin Colin Kirkwood | Usaa Financial Planning Services no RAUM | Eagle Strategies LLC other | Other | Feb 23, 2011 | Jun 21, 2011 (118 d) |
| Pamela Kay Mckenzie | LPL Financial LLC other | Eagle Strategies LLC other | Other | Feb 17, 2011 | May 13, 2011 (85 d) |
| Duane Alan Borcherding | Northwestern Mutual Investment Services,LLC other | Eagle Strategies LLC other | Other | Feb 16, 2011 | Oct 1, 2013 (958 d) |