| Erica Jan Weiser | Assetmark, Inc. other | Cetera Advisor Networks LLC other | Other | Jun 23, 2015 | Jul 17, 2015 |
| Jonathan Phillip Lopez | Principal Securities, Inc. other | Cetera Advisor Networks LLC other | Other | Jun 22, 2015 | Jun 16, 2015 |
| Jeffrey Thomas Gue | Nfp Advisor Services, LLC other | Cetera Advisor Networks LLC other | Other | Jun 16, 2015 | Jun 18, 2015 |
| Gregory Francis Wolfe | Raymond James Financial Services Advisors, Inc other | Cetera Advisor Networks LLC other | Other | Apr 28, 2015 | May 12, 2015 |
| Rodney Balbuena | Nfp Advisor Services, LLC other | Cetera Advisor Networks LLC other | Other | Apr 14, 2015 | May 5, 2015 |
| Bradley J Palmersheim | Investment Centers Of America, Inc. other | Cetera Advisor Networks LLC other | Other | Apr 13, 2015 | Apr 10, 2015 |
| Grant Daniel Podsednik | Level Four Advisory Services other | Cetera Advisor Networks LLC other | Other | Apr 7, 2015 | Mar 27, 2015 |
| Justin Chade Waller | The H Group, Inc. other | Cetera Advisor Networks LLC other | Other | Mar 31, 2015 | Sep 9, 2009 |
| Megan Rebecca Chiramal | Charles Schwab & Co., Inc. national BD | Cetera Advisor Networks LLC other | Other | Mar 27, 2015 | Jun 8, 2015 (73 d) |
| Terry J French | Edward Jones national BD | Cetera Advisor Networks LLC other | Other | Mar 23, 2015 | Apr 8, 2015 |
| Cheryl Lynn Norman | Financial Management Strategies, Inc. other | Cetera Advisor Networks LLC other | Other | Mar 16, 2015 | Sep 3, 2013 |
| Joy Soon Oh | Planmember Securities Corporation other | Cetera Advisor Networks LLC other | Other | Feb 11, 2015 | Mar 10, 2015 |
| Joan Maastricht Gilles | Ameriprise Financial Services, LLC national BD | Cetera Advisor Networks LLC other | Other | Feb 10, 2015 | Jan 30, 2015 |
| Caleb White | Msi Financial Services, Inc. other | Cetera Advisor Networks LLC other | Other | Feb 9, 2015 | Sep 9, 2015 (212 d) |
| Scott Alexander Wight | Nationwide Securities, LLC no RAUM | Cetera Advisor Networks LLC other | Other | Jan 30, 2015 | Mar 23, 2015 (52 d) |
| Joseph James Perri | Ameriprise Financial Services, LLC national BD | Cetera Advisor Networks LLC other | Other | Jan 26, 2015 | Jan 13, 2015 |
| James Scott Cave | Principal Securities, Inc. other | Cetera Advisor Networks LLC other | Other | Jan 13, 2015 | Jan 27, 2015 |
| Howard Graham Jones | Concourse Financial Group Advisors other | Cetera Advisor Networks LLC other | Other | Dec 31, 2014 | Jan 2, 2015 |
| David Kirk Lightner | Concourse Financial Group Advisors other | Cetera Advisor Networks LLC other | Other | Dec 31, 2014 | Jan 5, 2015 |
| Kristina Diane Toland | Edward Jones national BD | Cetera Advisor Networks LLC other | Other | Dec 26, 2014 | Mar 3, 2015 (67 d) |
| Benjamin Hall Richey | Cambridge Investment Research Advisors, Inc. other | Cetera Advisor Networks LLC other | Other | Dec 23, 2014 | Dec 5, 2014 |
| Steven Brian Marks | Osaic Fa, Inc. other | Cetera Advisor Networks LLC other | Other | Dec 3, 2014 | Jan 13, 2015 (41 d) |
| Thomas Lorenzo Bausley | Questar Asset Management, Inc. other | Cetera Advisor Networks LLC BD affiliated | Other | Nov 21, 2014 | Jun 4, 2018 (1291 d) |
| Joe P. Moore | Capital Guardian Wealth Management, LLC other | Cetera Advisor Networks LLC other | Other | Nov 19, 2014 | Nov 19, 2014 |
| Garth Ovead Moreau | Edward Jones national BD | Cetera Advisor Networks LLC other | Other | Nov 18, 2014 | Nov 19, 2014 |
| Michael Miles Hartlett | Financial Network Advisory Inc. unclassified | Cetera Advisor Networks LLC other | Other | Nov 10, 2014 | Jul 18, 2002 |
| Michael Ryan Miller | MML Investors Services, LLC other | Cetera Advisor Networks LLC other | Other | Oct 30, 2014 | Nov 13, 2014 |
| Nathan C Scholes | Edward Jones national BD | Cetera Advisor Networks LLC other | Other | Oct 14, 2014 | Oct 13, 2014 |
| Daniel Peter Larsen | Thrivent Investment Management Inc. other | Cetera Advisor Networks LLC other | Other | Oct 13, 2014 | Jan 2, 2015 (81 d) |
| Kyle Scott Berg | Wells Fargo Advisors wirehouse | Cetera Advisor Networks LLC other | Other | Oct 9, 2014 | Apr 29, 2015 (202 d) |
| Destin E Thomas | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Cetera Advisor Networks LLC other | Other | Oct 2, 2014 | Oct 1, 2016 (730 d) |
| Wallace Ray Nichols | Trustee Empowerment & Protection, Inc. other | Cetera Advisor Networks LLC other | Other | Oct 1, 2014 | Sep 24, 2014 |
| Gregory Jay Molle | Morgan Stanley wirehouse | Cetera Advisor Networks LLC other | Other | Sep 15, 2014 | Sep 12, 2014 |
| Troy Dale Winegarner | Morgan Stanley wirehouse | Cetera Advisor Networks LLC other | Other | Sep 15, 2014 | Sep 10, 2014 |
| Alan Littman Kaye | Nfp Advisor Services, LLC other | Cetera Advisor Networks LLC other | Other | Sep 10, 2014 | Sep 24, 2014 |
| Jillian Torluccio | UBS Financial Services Inc. wirehouse | Cetera Advisor Networks LLC other | Other | Sep 5, 2014 | Sep 29, 2014 |
| David M Brown | Associated Investment Services, Inc. other | Cetera Advisor Networks LLC other | Other | Aug 26, 2014 | Aug 4, 2014 |
| Jamie Lynn Hanson | Associated Investment Services, Inc. other | Cetera Advisor Networks LLC other | Other | Aug 26, 2014 | Aug 4, 2014 |
| Shawn Christian Everett | Questar Asset Management, Inc. other | Cetera Advisor Networks LLC other | Other | Aug 8, 2014 | Aug 4, 2014 |
| Jonathan Howard Friess | Woodbury Financial Services, Inc. other | Cetera Advisor Networks LLC other | Other | Jul 16, 2014 | Jul 16, 2014 |
| Crystal Nicole Hatteberg | LPL Financial LLC other | Cetera Advisor Networks LLC BD affiliated | Other | Jul 8, 2014 | Nov 16, 2018 (1592 d) |
| Michael Todd Eckholdt | Waddell & Reed other | Cetera Advisor Networks LLC other | Other | Jun 13, 2014 | Jul 8, 2014 |
| Michael Joseph Davern | Cetera Investment Advisers LLC other | Cetera Advisor Networks LLC other | Other | Jun 12, 2014 | Jun 10, 2014 |
| William Robert Posch | Bpm Advisors, Inc. other | Cetera Advisor Networks LLC other | Other | May 30, 2014 | Jan 2, 2015 (217 d) |
| Michael Christopher Krueger | Cambridge Investment Research Advisors, Inc. other | Cetera Advisor Networks LLC other | Other | May 23, 2014 | Aug 8, 2014 (77 d) |
| Brett Erich Leonhardt | Osaic Fa, Inc. other | Cetera Advisor Networks LLC other | Other | May 21, 2014 | May 9, 2014 |
| Dori Lynn Petroff | Securities America Advisors, Inc. other | Cetera Advisor Networks LLC other | Other | May 19, 2014 | Jun 14, 2016 (757 d) |
| Brian Jacob Wells | Waddell & Reed other | Cetera Advisor Networks LLC other | Other | Apr 14, 2014 | Apr 2, 2014 |
| Michael David Jankowski | Edward Jones national BD | Cetera Advisor Networks LLC other | Other | Mar 7, 2014 | Feb 17, 2016 (712 d) |
| Steven J Kaminski | Voya Retirement Advisors, LLC other | Cetera Advisor Networks LLC BD affiliated | Other | Feb 28, 2014 | Jun 9, 2021 (2658 d) |
| Omer Abramovich | Ameriprise Financial Services, LLC national BD | Cetera Advisor Networks LLC other | Other | Feb 21, 2014 | Feb 27, 2014 |
| Tamra Lynn Enriquez | Wells Fargo Advisors wirehouse | Cetera Advisor Networks LLC other | Other | Feb 4, 2014 | Feb 14, 2014 |
| James Earl Kelley | Capital Planning Corp other | Cetera Advisor Networks LLC other | Other | Jan 27, 2014 | May 5, 1997 |
| David Lahmer Dunn | Capital Planning Corp other | Cetera Advisor Networks LLC other | Other | Jan 27, 2014 | May 24, 1999 |
| Stephen Patrick Emanuels | Capital Planning Corp other | Cetera Advisor Networks LLC other | Other | Jan 27, 2014 | Feb 26, 2004 |
| Michael Darrell Miller | Capital Planning Corp other | Cetera Advisor Networks LLC other | Other | Jan 27, 2014 | Apr 29, 1997 |
| Kenneth Gregory Barnes | Bb&T Securities, LLC other | Cetera Advisor Networks LLC other | Other | Jan 17, 2014 | Mar 12, 2014 (54 d) |
| Lindsay Jo Dockter-Holub | Cetera Investment Services LLC other | Cetera Advisor Networks LLC other | Other | Jan 13, 2014 | Nov 19, 2012 |
| Michael Paul Jurgensen | Spire Wealth Management, LLC other | Cetera Advisor Networks LLC other | Other | Jan 3, 2014 | Nov 7, 2014 (308 d) |
| James M Moore | Wells Fargo Advisors wirehouse | Cetera Advisor Networks LLC other | Other | Jan 3, 2014 | Jan 6, 2014 |