| Francisco Xavier Diaz | Valic Financial Advisors, Inc. other | Independent Financial Partners other | Other | Jul 19, 2012 | Sep 5, 2012 (48 d) |
| Waldo Julio Zayas | Valic Financial Advisors, Inc. other | Independent Financial Partners other | Other | Jul 19, 2012 | Jul 20, 2012 |
| Fawn Marie Lane | Valic Financial Advisors, Inc. other | Independent Financial Partners other | Other | Jul 19, 2012 | Jul 20, 2012 |
| Erik Lloyd Wyse | Peregrine Diversified Investment Services Corp. other | Independent Financial Partners other | Other | Jul 12, 2012 | Aug 10, 2012 |
| Howard The Chen | Peregrine Diversified Investment Services Corp. other | Independent Financial Partners other | Other | Jul 12, 2012 | Aug 24, 2012 (43 d) |
| Kary Nikolai Brownlee | Morgan Stanley wirehouse | Independent Financial Partners other | Other | Jul 10, 2012 | Jun 15, 2012 |
| Leana Lynn D'Aloisio | Morgan Stanley wirehouse | Independent Financial Partners other | Other | Jul 9, 2012 | Jun 15, 2012 |
| Raymond Aguillon | Wells Fargo Advisors wirehouse | Independent Financial Partners other | Other | Jul 5, 2012 | Jul 6, 2012 |
| John Joseph Masterson | Nfp Advisor Services, LLC other | Independent Financial Partners other | Other | Jun 26, 2012 | Jun 25, 2012 |
| Jasonn Donald Potter | Stancorp Investment Advisers, Inc. other | Independent Financial Partners other | Other | Jun 21, 2012 | Feb 18, 2014 (607 d) |
| Andrew Lawrence Fritts | Strategic Advisers LLC national BD | Independent Financial Partners other | Other | Jun 6, 2012 | Jun 25, 2013 (384 d) |
| Edward Darnell Williams | LPL Financial LLC other | Independent Financial Partners BD affiliated | Other | Jun 2, 2012 | Oct 15, 2019 (2691 d) |
| Gene Richard Hitchcock | Concourse Financial Group Advisors other | Independent Financial Partners other | Other | May 31, 2012 | May 31, 2012 |
| Ian Michael Maddox | Concourse Financial Group Advisors other | Independent Financial Partners other | Other | May 31, 2012 | May 31, 2012 |
| Joseph Richard Jackson | Vsr Advisory Services other | Independent Financial Partners other | Other | May 31, 2012 | Jun 1, 2012 |
| Patrick Stephen Manes | Principal Securities, Inc. other | Independent Financial Partners other | Other | May 25, 2012 | May 29, 2012 |
| Joseph James Conzelman | Sagepoint Financial, Inc. other | Independent Financial Partners other | Other | May 25, 2012 | Jul 27, 2012 (63 d) |
| John Brandon Bell | LPL Financial LLC other | Independent Financial Partners other | Other | May 23, 2012 | May 22, 2012 |
| Kari Sue Neller | Valic Financial Advisors, Inc. other | Independent Financial Partners other | Other | May 17, 2012 | Jul 12, 2012 (56 d) |
| Donald Russell Morse | Ameriprise Financial Services, LLC national BD | Independent Financial Partners other | Other | May 14, 2012 | May 4, 2012 |
| Michael Wayne Giddeons | Edward Jones national BD | Independent Financial Partners other | Other | May 14, 2012 | May 22, 2012 |
| Paul Eugene Ward | Ameriprise Financial Services, LLC national BD | Independent Financial Partners other | Other | May 14, 2012 | May 4, 2012 |
| Jerry Raquel Bulaclac | Valic Financial Advisors, Inc. other | Independent Financial Partners other | Other | May 2, 2012 | Aug 3, 2012 (93 d) |
| Rey Whitehorn | Wells Fargo Advisors wirehouse | Independent Financial Partners other | Other | May 1, 2012 | Nov 20, 2015 (1298 d) |
| David Earl Deckert | Raymond James Financial Services Advisors, Inc other | Independent Financial Partners other | Other | May 1, 2012 | May 3, 2012 |
| Travis Fago | Morgan Stanley wirehouse | Independent Financial Partners other | Other | Apr 30, 2012 | Apr 23, 2012 |
| Michael Allen Osborne | Manulife Investment Management (US) LLC other | Independent Financial Partners other | Other | Apr 30, 2012 | Apr 20, 2012 |
| Christopher R Walton | Valic Financial Advisors, Inc. other | Independent Financial Partners other | Other | Apr 18, 2012 | May 30, 2012 (42 d) |
| Paul Buehner Merrill | Morgan Stanley wirehouse | Independent Financial Partners other | Other | Apr 5, 2012 | Mar 9, 2012 |
| Quentin Lee Davis | Edward Jones national BD | Independent Financial Partners other | Other | Apr 5, 2012 | Apr 9, 2012 |
| Mark Duran | Invest Financial Corporation other | Independent Financial Partners other | Other | Apr 4, 2012 | Apr 12, 2012 |
| Manuel Ricardo Alicea | Edward Jones national BD | Independent Financial Partners BD affiliated | Affiliated broker-dealer or bank to another | Apr 2, 2012 | Jan 1, 2025 (4657 d) |
| Will Travis Rogers | One Advocate Group unclassified | Independent Financial Partners other | Other | Mar 30, 2012 | Feb 17, 2011 |
| Anthony Joseph Rossetti | Heritage Financial Services, LLC unclassified | Independent Financial Partners other | Other | Mar 26, 2012 | Dec 19, 2011 |
| Mallory Mattox Van Leeuwen | Wells Fargo Advisors wirehouse | Independent Financial Partners other | Other | Mar 26, 2012 | Mar 26, 2012 |
| John Edward Matheny | Invest Financial Corporation other | Independent Financial Partners other | Other | Mar 20, 2012 | May 2, 2012 (43 d) |
| Erin D Eiras | Edward Jones national BD | Independent Financial Partners other | Other | Mar 13, 2012 | Mar 26, 2012 |
| William John Horn | Morgan Stanley wirehouse | Independent Financial Partners other | Other | Mar 8, 2012 | Feb 27, 2012 |
| Bruce A Jones | LPL Financial LLC other | Independent Financial Partners other | Other | Mar 2, 2012 | Aug 3, 2011 |
| Kevin Fredrick Tyrrell | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Independent Financial Partners other | Other | Mar 1, 2012 | Feb 29, 2012 |
| Piero Rosas | Investacorp Advisory Services Inc other | Independent Financial Partners other | Other | Feb 28, 2012 | Mar 29, 2012 |
| Amir Arbabi | Morgan Stanley wirehouse | Independent Financial Partners other | Other | Feb 24, 2012 | Jan 27, 2012 |
| Jessica Renee Ballin | LPL Financial LLC other | Independent Financial Partners other | Other | Feb 10, 2012 | Apr 26, 2013 (441 d) |
| Elisabeth Anne Davis | LPL Financial LLC other | Independent Financial Partners other | Other | Feb 10, 2012 | Nov 17, 2010 |
| Jenna Kay Witherbee | LPL Financial LLC other | Independent Financial Partners other | Other | Feb 10, 2012 | Apr 29, 2013 (444 d) |
| Mary Margaret Francisco | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Independent Financial Partners other | Other | Feb 8, 2012 | Feb 7, 2012 |
| Ronnie Cavazos Haim | LPL Financial LLC other | Independent Financial Partners other | Other | Feb 7, 2012 | Feb 3, 2012 |
| Christopher Ramesh Lakumb | Rivernorth Capital Management, LLC other | Independent Financial Partners other | Other | Feb 6, 2012 | Feb 7, 2012 |
| Antonio Luis Moreno | LPL Financial LLC other | Independent Financial Partners BD affiliated | Other | Jan 11, 2012 | Jan 1, 2025 (4739 d) |
| Bernice Valrey Rolle-Lewis | Capital Guardian Wealth Management, LLC other | Independent Financial Partners other | Other | Jan 10, 2012 | Feb 15, 2012 (36 d) |
| Craig Allan Middendorf | Msi Financial Services, Inc. other | Independent Financial Partners other | Other | Dec 23, 2011 | Jan 3, 2012 |
| David B Panko | Msi Financial Services, Inc. other | Independent Financial Partners other | Other | Dec 23, 2011 | Jan 3, 2012 |
| Ralph Lamar Youngblood | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Independent Financial Partners other | Other | Dec 22, 2011 | Dec 22, 2011 |
| Steven Michael Lindell | LPL Financial LLC other | Independent Financial Partners other | Other | Dec 21, 2011 | Feb 10, 2015 (1147 d) |
| Michael Patrick Henderson | LPL Financial LLC other | Independent Financial Partners other | Other | Dec 21, 2011 | Jul 22, 2011 |
| Kent Bradston Tedrick | LPL Financial LLC other | Independent Financial Partners other | Other | Dec 21, 2011 | Aug 2, 2011 |
| Julia Sky King | LPL Financial LLC other | Independent Financial Partners other | Other | Dec 21, 2011 | Aug 2, 2011 |
| Thomas Davis Talmage III | LPL Financial LLC other | Independent Financial Partners other | Other | Dec 21, 2011 | Oct 3, 2011 |
| Samuel Thomas Madaris | Edward Jones national BD | Independent Financial Partners other | Other | Dec 19, 2011 | Dec 21, 2011 |
| Roderick Dean Bishoff | Edward Jones national BD | Independent Financial Partners other | Other | Dec 16, 2011 | Jan 3, 2012 |