| Evan Patrick Franckhauser | Waddell & Reed other | Private Advisor Group, LLC other | Other | May 3, 2016 | Apr 22, 2016 |
| Victor Solis | Kestra Advisory Services, LLC other | Private Advisor Group, LLC other | Other | May 2, 2016 | May 2, 2016 |
| Darrell Dean Woodcock | Waddell & Reed other | Private Advisor Group, LLC other | Other | May 2, 2016 | Apr 20, 2016 |
| Albert Charles Angelos | Janney Montgomery Scott LLC other | Private Advisor Group, LLC other | Other | Apr 29, 2016 | Apr 1, 2016 |
| Steven Charles Champagne | Morgan Stanley wirehouse | Private Advisor Group, LLC other | Other | Apr 7, 2016 | Mar 11, 2016 |
| Travis Ryan Jacques | Morgan Stanley wirehouse | Private Advisor Group, LLC other | Other | Apr 7, 2016 | Mar 11, 2016 |
| James Alan Turk | Fifth Third Securities, Inc. other | Private Advisor Group, LLC BD affiliated | Other | Apr 4, 2016 | Nov 17, 2022 (2418 d) |
| Melissa Marae Crews | Morgan Stanley wirehouse | Private Advisor Group, LLC other | Other | Mar 10, 2016 | Jul 28, 2016 (140 d) |
| Brandon Robert Edwards | Waddell & Reed other | Private Advisor Group, LLC other | Other | Mar 3, 2016 | Mar 1, 2016 |
| Michael Thomas Mckevitt | LPL Financial LLC other | Private Advisor Group, LLC other | Other | Mar 3, 2016 | Sep 8, 2015 |
| Martin Dalton Porter | Waddell & Reed other | Private Advisor Group, LLC other | Other | Mar 3, 2016 | Mar 1, 2016 |
| David Samuel Gerkin | Waddell & Reed other | Private Advisor Group, LLC other | Other | Mar 3, 2016 | Mar 1, 2016 |
| Kyle Alexander Wesley | LPL Financial LLC other | Private Advisor Group, LLC other | Other | Feb 12, 2016 | Feb 25, 2016 |
| Andrew Patrick Campbell | Wells Fargo Advisors wirehouse | Private Advisor Group, LLC other | Other | Feb 3, 2016 | Feb 8, 2016 |
| Skyler Hulslander | Edward Jones national BD | Private Advisor Group, LLC other | Other | Feb 1, 2016 | Jan 26, 2016 |
| Gerad Martin Thorell | Msi Financial Services, Inc. other | Private Advisor Group, LLC other | Other | Dec 28, 2015 | Dec 17, 2015 |
| Stephen Michael Cash | Oppenheimer & Co. Inc. other | Private Advisor Group, LLC other | Other | Dec 28, 2015 | Dec 22, 2015 |
| Jesse Levy | UBS Financial Services Inc. wirehouse | Private Advisor Group, LLC other | Other | Dec 24, 2015 | Jan 7, 2016 |
| Anthony Joseph Arcuri | Wells Fargo Advisors wirehouse | Private Advisor Group, LLC other | Other | Dec 22, 2015 | Dec 22, 2015 |
| Matthew Kelly Warren | Ameriprise Financial Services, LLC national BD | Private Advisor Group, LLC other | Other | Dec 17, 2015 | Nov 23, 2015 |
| Lyle Hans-Christian Pennell | Msi Financial Services, Inc. other | Private Advisor Group, LLC other | Other | Dec 17, 2015 | Dec 4, 2015 |
| Scott Randall Stevens | Mutual Of Omaha Investor Services, Inc. no RAUM | Private Advisor Group, LLC independent RIA | Other | Dec 17, 2015 | Jul 2, 2018 (928 d) |
| Patrick Lennon | Nfp Advisor Services, LLC other | Private Advisor Group, LLC BD affiliated | Other | Dec 11, 2015 | Jun 2, 2021 (2000 d) |
| Emily Susan Boothroyd | Westport Resources Management Inc other | Private Advisor Group, LLC other | Other | Dec 9, 2015 | Dec 16, 2015 |
| David Ronald Hatfield | Citizens Securities, Inc. other | Private Advisor Group, LLC other | Other | Dec 2, 2015 | Dec 7, 2015 |
| A. Nicholas Strom-Olsen | Commonwealth Financial Network national BD | Private Advisor Group, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 24, 2015 | Oct 31, 2019 (1437 d) |
| Joseph Stephen Razzano | UBS Financial Services Inc. wirehouse | Private Advisor Group, LLC other | Other | Nov 20, 2015 | Nov 10, 2015 |
| Robert Benjamin Larue | LPL Financial LLC other | Private Advisor Group, LLC other | Other | Nov 2, 2015 | Jun 9, 2014 |
| Mark John Fisher | LPL Financial LLC other | Private Advisor Group, LLC other | Other | Nov 2, 2015 | Jun 27, 2013 |
| Tyler L Van Selow | LPL Financial LLC other | Private Advisor Group, LLC other | Other | Oct 30, 2015 | Oct 22, 2015 |
| Michael Gary Edwards | LPL Financial LLC other | Private Advisor Group, LLC other | Other | Oct 29, 2015 | Dec 14, 2012 |
| Eric R. Powers | LPL Financial LLC other | Private Advisor Group, LLC other | Other | Oct 28, 2015 | Jul 30, 2014 |
| Andrew James Kennedy | LPL Financial LLC other | Private Advisor Group, LLC other | Other | Oct 28, 2015 | Dec 13, 2016 (412 d) |
| James Riley Weikart | Ameriprise Financial Services, LLC national BD | Private Advisor Group, LLC other | Other | Oct 12, 2015 | Oct 26, 2015 |
| Alan Edward Runkel | Stonex Advisors Inc. other | Private Advisor Group, LLC other | Other | Oct 8, 2015 | Oct 1, 2015 |
| William Anthony Eaton | Stonex Advisors Inc. other | Private Advisor Group, LLC other | Other | Oct 8, 2015 | Oct 7, 2015 |
| Daniel Thomas Murphy | Stonex Advisors Inc. other | Private Advisor Group, LLC other | Other | Oct 8, 2015 | Oct 7, 2015 |
| Thomas John Neess | Stonex Advisors Inc. other | Private Advisor Group, LLC other | Other | Oct 8, 2015 | Oct 1, 2015 |
| William Scott Thompson | Stonex Advisors Inc. other | Private Advisor Group, LLC other | Other | Oct 8, 2015 | Oct 13, 2015 |
| Michael Benkovic | Fsc Securities Corporation other | Private Advisor Group, LLC other | Other | Sep 21, 2015 | Sep 17, 2015 |
| Brett M Goldstein | Citigroup Global Markets Inc. other | Private Advisor Group, LLC other | Other | Sep 16, 2015 | Sep 16, 2015 |
| Blake M Beebe | Morgan Stanley wirehouse | Private Advisor Group, LLC other | Other | Sep 15, 2015 | Sep 23, 2015 |
| Mark Joseph Caprarola | Pnc Wealth Management other | Private Advisor Group, LLC other | Other | Aug 31, 2015 | Aug 31, 2015 |
| Kevin Joseph Ross | Pnc Wealth Management other | Private Advisor Group, LLC other | Other | Aug 31, 2015 | Aug 31, 2015 |
| Michael Joseph Sharp | Pnc Wealth Management other | Private Advisor Group, LLC other | Other | Aug 31, 2015 | Aug 31, 2015 |
| David Scott Corson | Pnc Wealth Management other | Private Advisor Group, LLC other | Other | Aug 31, 2015 | Aug 31, 2015 |
| Kimberly Beth Visco | Pnc Wealth Management other | Private Advisor Group, LLC other | Other | Aug 31, 2015 | Oct 1, 2015 (31 d) |
| Michael Steven Tambini | Pnc Wealth Management other | Private Advisor Group, LLC BD affiliated | Other | Aug 31, 2015 | Jan 5, 2026 (3780 d) |
| John Gaynor Venne | Pnc Wealth Management other | Private Advisor Group, LLC other | Other | Aug 28, 2015 | Aug 31, 2015 |
| Edward Robert Miller | Piscataqua Capital Management, LLC unclassified | Private Advisor Group, LLC other | Other | Jul 24, 2015 | Jul 29, 2016 (371 d) |
| Shawn Francis Mccombs | Huntington Financial Advisors other | Private Advisor Group, LLC other | Other | Jul 21, 2015 | Jul 2, 2015 |
| Regina Mccann Hess | Wells Fargo Advisors wirehouse | Private Advisor Group, LLC other | Other | Jul 7, 2015 | Jul 6, 2015 |
| Jonathan Holiday Geib | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Private Advisor Group, LLC other | Other | Jul 2, 2015 | Jul 2, 2015 |
| Scott Vincent Parry | Capital Planning Wealth Management state registered | Private Advisor Group, LLC other | Other | Jun 29, 2015 | Aug 2, 2011 |
| Gregory James Larson | Ameriprise Financial Services, LLC national BD | Private Advisor Group, LLC other | Other | Jun 23, 2015 | Jun 12, 2015 |
| Seth Jacob Kimmel | Oneamerica Securities, Inc. other | Private Advisor Group, LLC other | Other | Jun 12, 2015 | Jun 1, 2015 |
| Matthew R Millahn | Hsbc Securities (USA) Inc. other | Private Advisor Group, LLC other | Other | Jun 12, 2015 | Aug 5, 2015 (54 d) |
| Ryan Rech | Wells Fargo Advisors wirehouse | Private Advisor Group, LLC other | Other | Jun 10, 2015 | Jul 1, 2015 |
| Gary Michael Casciola | Invest Financial Corporation other | Private Advisor Group, LLC other | Other | Jun 8, 2015 | Jun 8, 2015 |
| Mark Andrew Casciola | Invest Financial Corporation other | Private Advisor Group, LLC other | Other | Jun 8, 2015 | Jun 8, 2015 |