| Jessica Prunty | Wells Fargo Investments, LLC unclassified | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Apr 9, 2007 | Apr 26, 2007 |
| Randal James Gabaldon | World Equity Group, Inc. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Mar 21, 2007 | May 17, 2007 (57 d) |
| Jonathan Richard Pearn | United Securities Alliance, Inc. unclassified | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Mar 12, 2007 | Mar 23, 2007 |
| Gary Bruce Lage | Geneos Wealth Management, Inc. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Mar 2, 2007 | Mar 12, 2007 |
| Steven John Kesses | First Allied Securities, Inc. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Mar 2, 2007 | Mar 7, 2007 |
| Randall Todd Williams | Securities America Advisors, Inc. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Feb 22, 2007 | Apr 5, 2007 (42 d) |
| William Gerard Macher | Associated Planners Investment Advisory Inc unclassified | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Feb 2, 2007 | May 31, 2007 (118 d) |
| John Michael Horseman | Associated Planners Investment Advisory Inc unclassified | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Feb 2, 2007 | May 31, 2007 (118 d) |
| Gloria R. Franz | Citigroup Global Markets Inc. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Jan 25, 2007 | Jan 12, 2007 |
| Barbara Rachel Hollis | Ameriprise Financial Services, LLC national BD | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Jan 24, 2007 | Feb 15, 2007 |
| Stephen Craig Locker | Investacorp Advisory Services Inc other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Jan 10, 2007 | Nov 28, 2006 |
| John Monroe Barry | Usi Securities, Inc. no RAUM | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Jan 3, 2007 | Jan 4, 2007 |
| Larry David Zuckerman | Wamu Investments, Inc. unclassified | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Nov 28, 2006 | Jan 29, 2007 (62 d) |
| German Mauricio Ramirez | Equitable Advisors, LLC national BD | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Nov 28, 2006 | Jul 5, 2007 (219 d) |
| Thomas Ray Stark | New England Securities Corporation other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Nov 15, 2006 | Oct 23, 2006 |
| Jeanne Anne Suttie | Linda A. Walker, CFP state registered | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Nov 9, 2006 | Feb 9, 2017 (3745 d) |
| Sol H Chalhoub | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Nov 8, 2006 | Nov 22, 2006 |
| Christopher Rodney Hart | Sagepoint Financial, Inc. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Nov 1, 2006 | Jan 4, 2011 (1525 d) |
| Michael Aaron Resnik | Wamu Investments, Inc. unclassified | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Oct 20, 2006 | Oct 18, 2006 |
| Russell Eugene Lane | American General Securities Incorporated unclassified | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Oct 17, 2006 | Oct 18, 2006 |
| Angela Michelle Ford | American General Securities Incorporated unclassified | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Oct 17, 2006 | Oct 18, 2006 |
| Andrew Noble Massieon | American General Securities Incorporated unclassified | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Oct 17, 2006 | Oct 24, 2006 |
| Robert Renner Lane | American General Securities Incorporated unclassified | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Oct 17, 2006 | Oct 18, 2006 |
| Steven Q. Adamson | American General Securities Incorporated unclassified | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Oct 17, 2006 | Oct 18, 2006 |
| Brian D Luther | American General Securities Incorporated unclassified | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Oct 17, 2006 | Nov 10, 2006 |
| Kevin Gregory Bruce | U.S. Bancorp Investments, Inc. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Oct 13, 2006 | Jul 25, 2008 (651 d) |
| Joseph Marinus Paulie | American General Securities Incorporated unclassified | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Oct 2, 2006 | Oct 22, 2007 (385 d) |
| Ronald Michael Teller | M&T Securities, Inc. unclassified | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Sep 26, 2006 | Oct 4, 2006 |
| Allan Reyes Avena | Transamerica Financial Advisors, Inc. unclassified | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Aug 28, 2006 | Aug 31, 2006 |
| Gassan Joseph Kassira | Mutual Service Corporation unclassified | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Aug 17, 2006 | Aug 28, 2006 |
| Jiyon W Tuman | Mutual Service Corporation unclassified | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Aug 17, 2006 | Aug 28, 2006 |
| Joseph Murle Green | Avantax Advisory Services other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Aug 10, 2006 | Aug 21, 2012 (2203 d) |
| Richard Higbee | UBS Financial Services Inc. wirehouse | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Aug 10, 2006 | Jan 7, 2010 (1246 d) |
| Karl Thomas Crytser | Osaic Fs, Inc. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Jul 6, 2006 | May 8, 2008 (672 d) |
| Ronald Stephen Rader | Independent Advisers Group Corp other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Jul 6, 2006 | Mar 31, 2006 |
| Carole Ameila Rainey | Voya Financial Advisors, Inc. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Jun 23, 2006 | Sep 18, 2006 (87 d) |
| Philip Steven Scott | New England Securities Corporation other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Jun 19, 2006 | Aug 23, 2006 (65 d) |
| Jeffrey Gerard Meyers | Oneamerica Securities, Inc. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Jun 15, 2006 | Jun 6, 2006 |
| Charles Mel Campbell | Nfp Advisor Services, LLC other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Jun 15, 2006 | Jun 20, 2006 |
| Brian Mui | Wells Fargo Investments, LLC unclassified | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Jun 9, 2006 | Jan 5, 2007 (210 d) |
| Matthew Corbitt | Wells Fargo Investments, LLC unclassified | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Jun 5, 2006 | Jun 6, 2006 |
| Neil Lawrence Quinlan | Citigroup Global Markets Inc. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | May 13, 2006 | May 3, 2006 |
| Robert Grahn Teneyck | Voya Financial Advisors, Inc. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | May 12, 2006 | May 4, 2006 |
| Gary Stephen Radler | Osaic Fa, Inc. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Apr 26, 2006 | May 3, 2006 |
| Lawrence William Broxterman | New England Securities Corporation other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Apr 18, 2006 | Apr 17, 2006 |
| Pedro Antonio Martinez | New England Securities Corporation other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Apr 13, 2006 | Apr 13, 2006 |
| Gerald Sahog Jamgochian | Osaic Fs, Inc. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Apr 4, 2006 | Mar 5, 2007 (335 d) |
| Benjamin Ki Park | Wells Fargo Investments, LLC unclassified | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Apr 4, 2006 | Jul 6, 2006 (93 d) |
| Stephen James Resch | Osaic Fs, Inc. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Apr 3, 2006 | Mar 31, 2006 |
| Peter Carroll Thompson | Osaic Fs, Inc. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Apr 3, 2006 | Apr 3, 2006 |
| David S. Long | Osaic Fs, Inc. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Apr 3, 2006 | Mar 31, 2006 |
| Lawrence Jay Agler | Osaic Fs, Inc. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Apr 3, 2006 | Apr 3, 2006 |
| Chester Miller Mccord | Osaic Fs, Inc. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Apr 3, 2006 | Apr 3, 2006 |
| Mario Anthony Giovannucci | Osaic Fs, Inc. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Apr 3, 2006 | Mar 31, 2006 |
| Frank Baggio | Osaic Fs, Inc. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Apr 3, 2006 | Apr 3, 2006 |
| David Scott Chorney | Osaic Fs, Inc. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Apr 3, 2006 | Apr 3, 2006 |
| William Theodore Brice | Osaic Fs, Inc. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Apr 3, 2006 | Apr 3, 2006 |
| Michael Lawrence Walsh | Osaic Fs, Inc. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Apr 3, 2006 | Mar 31, 2006 |
| Frank Eugene Metrusky | Osaic Fs, Inc. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Apr 3, 2006 | Apr 3, 2006 |
| Anthony Fred Morgillo | Osaic Fs, Inc. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Apr 3, 2006 | Apr 3, 2006 |