| Michael Thomas Jeter | Waddell & Reed other | Transamerica Financial Advisors, LLC other | Other | Nov 9, 2004 | Mar 17, 2005 (128 d) |
| Thomas Lyle Kehoe | Investacorp Advisory Services Inc other | Transamerica Financial Advisors, LLC other | Other | Nov 5, 2004 | Nov 5, 2004 |
| Herbert Frederick Allen | Voya Financial Advisors, Inc. other | Transamerica Financial Advisors, LLC other | Other | Sep 21, 2004 | Sep 1, 2004 |
| David Wayne Elizondo | Avantax Planning Partners, Inc. other | Transamerica Financial Advisors, LLC other | Other | Aug 30, 2004 | Dec 8, 2003 |
| David Andrew Bowman | High Mark Securities, Inc. unclassified | Transamerica Financial Advisors, LLC other | Other | Aug 20, 2004 | Nov 8, 2004 (80 d) |
| Eric Arthur Marzinke | Equitable Advisors, LLC national BD | Transamerica Financial Advisors, LLC other | Other | Jul 7, 2004 | Jun 30, 2004 |
| Tara Ashley Sanders | Nsa Securities Corporation unclassified | Transamerica Financial Advisors, LLC other | Other | Jun 10, 2004 | Jun 25, 2004 |
| Christopher Owen Morris | Triad Advisors, LLC other | Transamerica Financial Advisors, LLC other | Other | May 18, 2004 | May 18, 2004 |
| Christopher Sean Hardy | Ameriprise Financial Services, LLC national BD | Transamerica Financial Advisors, LLC other | Other | Mar 31, 2004 | Apr 3, 2007 (1098 d) |
| Kenneth Eugene Varndell | Independent Advisers Group Corp other | Transamerica Financial Advisors, LLC other | Other | Mar 29, 2004 | Mar 30, 2004 |
| Brant Edward Garber | A. G. Edwards & Sons, Inc. unclassified | Transamerica Financial Advisors, LLC other | Other | Mar 15, 2004 | Jul 7, 2008 (1575 d) |
| Kerry Michael Doyle | Federated Investment Counseling other | Transamerica Financial Advisors, LLC other | Other | Mar 1, 2004 | Jul 26, 2004 (147 d) |
| Arnaud Philippe Berry | Ameriprise Financial Services, LLC national BD | Transamerica Financial Advisors, LLC other | Other | Feb 11, 2004 | Mar 18, 2010 (2227 d) |
| Joshua D'Jalma Garnier | Waddell & Reed other | Transamerica Financial Advisors, LLC other | Other | Feb 9, 2004 | Aug 29, 2006 (932 d) |
| Jared Kendrick Anderson | Pruco Securities, LLC other | Transamerica Financial Advisors, LLC other | Other | Dec 9, 2003 | Nov 19, 2012 (3268 d) |
| Jill Harris Slayton | LPL Financial LLC other | Transamerica Financial Advisors, LLC other | Other | Nov 18, 2003 | Oct 23, 2003 |
| Dale Edward Colclasure | Ameriprise Financial Services, LLC national BD | Transamerica Financial Advisors, LLC other | Other | Oct 15, 2003 | Oct 21, 2003 |
| Edward Martin Rosenberg | Morgan Keegan & Company, LLC other | Transamerica Financial Advisors, LLC other | Other | Sep 24, 2003 | Sep 29, 2003 |
| Louis Arthur Himelreich | Securian Financial Services, Inc. other | Transamerica Financial Advisors, LLC other | Other | Sep 3, 2003 | Sep 15, 2003 |
| Herbert Wae Eng | New England Securities Corporation other | Transamerica Financial Advisors, LLC other | Other | Aug 27, 2003 | Sep 3, 2003 |
| Thomas Bell Rutter | Usallianz Securities, Inc. unclassified | Transamerica Financial Advisors, LLC other | Other | Aug 8, 2003 | Sep 14, 2007 (1498 d) |
| Jerry Francis Gintz | Pacific West Financial Consultants Inc other | Transamerica Financial Advisors, LLC other | Other | Aug 7, 2003 | Aug 6, 2003 |
| Rheeta Anne Wilson-Fitzpatrick | G. A. Repple & Company other | Transamerica Financial Advisors, LLC other | Other | Jul 29, 2003 | Nov 2, 2004 (462 d) |
| Elaine Marie Potash | Equitable Advisors, LLC national BD | Transamerica Financial Advisors, LLC other | Other | Jul 2, 2003 | Sep 3, 2003 (63 d) |
| Thomas Robert Kosky | Spc other | Transamerica Financial Advisors, LLC other | Other | Jun 30, 2003 | Jun 17, 2003 |
| Katherine Louise Hart | Spc other | Transamerica Financial Advisors, LLC other | Other | Jun 30, 2003 | Jun 17, 2003 |
| Harris Leonard Kerker | Spc other | Transamerica Financial Advisors, LLC other | Other | Jun 30, 2003 | Jun 17, 2003 |
| Steven Patrick Faggiolly | Waddell & Reed other | Transamerica Financial Advisors, LLC other | Other | Jun 18, 2003 | Jun 13, 2003 |
| Scott Anthony Schaubhut | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Transamerica Financial Advisors, LLC other | Other | Jun 12, 2003 | Jun 6, 2003 |
| Carl Fred Bonn | Cetera Advisor Networks LLC other | Transamerica Financial Advisors, LLC other | Other | Jun 11, 2003 | Jul 10, 2003 |
| Marsha Sue Rosenberg | 1st Global Advisors Inc other | Transamerica Financial Advisors, LLC other | Other | May 1, 2003 | Apr 21, 2003 |
| Kalen Dobbins Baxter | New England Securities Corporation other | Transamerica Financial Advisors, LLC other | Other | Feb 27, 2003 | Feb 7, 2006 (1076 d) |
| Peter Seehwan Chung | Equitable Advisors, LLC national BD | Transamerica Financial Advisors, LLC other | Other | Feb 14, 2003 | Mar 27, 2003 (41 d) |
| Matthew D Kwartler | Osaic Fa, Inc. other | Transamerica Financial Advisors, LLC other | Other | Jan 9, 2003 | Jan 22, 2003 |
| Eric Michael Harley | Prudential Equity Group, LLC unclassified | Transamerica Financial Advisors, LLC other | Other | Jan 7, 2003 | Jan 9, 2003 |
| Charles William Waddell | Wells Fargo Advisors wirehouse | Transamerica Financial Advisors, LLC other | Other | Dec 18, 2002 | Dec 2, 2003 (349 d) |
| William Gerry Keene | Ffp Advisory Services Inc unclassified | Transamerica Financial Advisors, LLC other | Other | Dec 17, 2002 | Jan 6, 2003 |
| Steven Leroy Judd | C.J.M. Asset Management, LLC unclassified | Transamerica Financial Advisors, LLC other | Other | Dec 14, 2002 | Dec 12, 2002 |
| William Charles Bracken | Voya Financial Advisors, Inc. other | Transamerica Financial Advisors, LLC other | Other | Dec 12, 2002 | Dec 12, 2002 |
| William Shane Hunt | Osaic Fa, Inc. other | Transamerica Financial Advisors, LLC other | Other | Dec 6, 2002 | Dec 13, 2002 |
| Charles Raymond Henderson | Securian Financial Services, Inc. other | Transamerica Financial Advisors, LLC other | Other | Nov 18, 2002 | Jun 12, 2006 (1302 d) |
| Gerald James Nassif | Ameriprise Financial Services, LLC national BD | Transamerica Financial Advisors, LLC other | Other | Sep 16, 2002 | Apr 10, 2007 (1667 d) |
| Benjamin Michael Reynoso | A. G. Edwards & Sons, Inc. unclassified | Transamerica Financial Advisors, LLC other | Other | Sep 9, 2002 | Jun 9, 2003 (273 d) |
| Raymond Thomas Blunk | Osaic Fs, Inc. other | Transamerica Financial Advisors, LLC other | Other | Jul 19, 2002 | Jul 18, 2002 |
| Stephen Kyle Taylor | Banc Of America Investment Services, Inc. unclassified | Transamerica Financial Advisors, LLC other | Other | Jul 17, 2002 | May 8, 2003 (295 d) |
| Timothy Kevin Taylor | Banc Of America Investment Services, Inc. unclassified | Transamerica Financial Advisors, LLC other | Other | Jul 17, 2002 | May 8, 2003 (295 d) |
| Chester Alexander Zielinski | Wma Investment Advisors, Inc. (Wmaia) unclassified | Transamerica Financial Advisors, LLC other | Other | Jul 15, 2002 | Jul 10, 2002 |
| Dina Louise Fliss | Wma Investment Advisors, Inc. (Wmaia) unclassified | Transamerica Financial Advisors, LLC other | Other | Jul 15, 2002 | Jul 12, 2002 |
| Dean Michael Fliss | Wma Investment Advisors, Inc. (Wmaia) unclassified | Transamerica Financial Advisors, LLC other | Other | Jul 15, 2002 | Jul 10, 2002 |
| Thomas Lawrence Campbell | Wma Investment Advisors, Inc. (Wmaia) unclassified | Transamerica Financial Advisors, LLC other | Other | Jul 15, 2002 | Jul 10, 2002 |
| Lori Jean Ellingson | Wma Investment Advisors, Inc. (Wmaia) unclassified | Transamerica Financial Advisors, LLC other | Other | Jul 15, 2002 | Aug 23, 2002 (39 d) |
| Timothy Paul Mullaney | Wma Investment Advisors, Inc. (Wmaia) unclassified | Transamerica Financial Advisors, LLC other | Other | Jul 15, 2002 | Jul 10, 2002 |
| Stephen Gary Ross | Signator Investors, Inc. other | Transamerica Financial Advisors, LLC other | Other | Jul 9, 2002 | Aug 21, 2002 (43 d) |
| Robert Bailey Arbon | Wma Investment Advisors, Inc. (Wmaia) unclassified | Transamerica Financial Advisors, LLC other | Other | Jul 1, 2002 | Aug 26, 2002 (56 d) |
| Michael Edward Mader | Valic Financial Advisors, Inc. other | Transamerica Financial Advisors, LLC other | Other | Jun 27, 2002 | Aug 24, 2009 (2615 d) |
| Jeffrey Guy Labelle | Morgan Keegan & Company, LLC other | Transamerica Financial Advisors, LLC other | Other | May 17, 2002 | Oct 13, 2003 (514 d) |
| John Michael Koester | Ameriprise Financial Services, LLC national BD | Transamerica Financial Advisors, LLC other | Other | May 8, 2002 | Feb 20, 2003 (288 d) |