| Joseph Alan Perry | Aviso Wealth Management other | Jhs Capital Advisors, LLC other | Other | Dec 31, 2016 | Mar 30, 2010 |
| Joseph Anthony Romano | Cadaret Grant & Co Inc other | Jhs Capital Advisors, LLC other | Other | Jan 8, 2015 | Jan 12, 2015 |
| Michael Bernard Otoole | RBC Capital Markets, LLC national BD | Jhs Capital Advisors, LLC other | Other | Oct 16, 2014 | Oct 20, 2014 |
| Kelly Ann Connelly | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Jhs Capital Advisors, LLC other | Other | Jan 23, 2013 | Feb 19, 2013 |
| Scott David Wiegal | Transamerica Financial Advisors, LLC other | Jhs Capital Advisors, LLC other | Other | Nov 28, 2012 | Nov 26, 2012 |
| Mark Donald Hennings | RBC Capital Markets, LLC national BD | Jhs Capital Advisors, LLC other | Other | Aug 9, 2012 | Aug 2, 2012 |
| Matthew Lee Lovett | Peregrine Diversified Investment Services Corp. other | Jhs Capital Advisors, LLC other | Other | Jul 12, 2012 | Sep 25, 2012 (75 d) |
| Katie M White | Wells Fargo Advisors wirehouse | Jhs Capital Advisors, LLC other | Other | Jun 5, 2012 | Jun 12, 2012 |
| Erin Kathleen O'Brien | RBC Capital Markets, LLC national BD | Jhs Capital Advisors, LLC other | Other | May 18, 2012 | Jun 11, 2012 |
| Sam Pieh | Paulson Investment Company, LLC other | Jhs Capital Advisors, LLC other | Other | Apr 11, 2012 | Apr 11, 2012 |
| Voneen Camille Bright | Paulson Investment Company, LLC other | Jhs Capital Advisors, LLC other | Other | Apr 11, 2012 | Apr 11, 2012 |
| David Gregory Stitt | Paulson Investment Company, LLC other | Jhs Capital Advisors, LLC other | Other | Apr 11, 2012 | Apr 11, 2012 |
| Lee Scott Steorts | Paulson Investment Company, LLC other | Jhs Capital Advisors, LLC other | Other | Apr 11, 2012 | Apr 11, 2012 |
| Joseph Oberschewen | Paulson Investment Company, LLC other | Jhs Capital Advisors, LLC other | Other | Apr 11, 2012 | Apr 11, 2012 |
| Edward James Jeffery | Paulson Investment Company, LLC other | Jhs Capital Advisors, LLC other | Other | Apr 11, 2012 | Apr 11, 2012 |
| Alan Leonard Tarko | Paulson Investment Company, LLC other | Jhs Capital Advisors, LLC other | Other | Apr 11, 2012 | Apr 11, 2012 |
| James O Sturdivant | Paulson Investment Company, LLC other | Jhs Capital Advisors, LLC other | Other | Apr 11, 2012 | Apr 11, 2012 |
| Joel Gary Janssen | Paulson Investment Company, LLC other | Jhs Capital Advisors, LLC other | Other | Apr 11, 2012 | Apr 11, 2012 |
| Eric William Davidson | Paulson Investment Company, LLC other | Jhs Capital Advisors, LLC other | Other | Apr 11, 2012 | Apr 11, 2012 |
| Asa Lee Savage | Paulson Investment Company, LLC other | Jhs Capital Advisors, LLC other | Other | Apr 11, 2012 | Apr 11, 2012 |
| Nicholas Michael Bales | Paulson Investment Company, LLC other | Jhs Capital Advisors, LLC other | Other | Apr 11, 2012 | Apr 11, 2012 |
| Kevin Clinton Holland | Paulson Investment Company, LLC other | Jhs Capital Advisors, LLC other | Other | Apr 11, 2012 | Apr 11, 2012 |
| Adam M Levy | Paulson Investment Company, LLC other | Jhs Capital Advisors, LLC other | Other | Apr 11, 2012 | Apr 11, 2012 |
| Bradley James Dijulio | Paulson Investment Company, LLC other | Jhs Capital Advisors, LLC other | Other | Apr 11, 2012 | Apr 11, 2012 |
| Thomas Charles Matyola | Paulson Investment Company, LLC other | Jhs Capital Advisors, LLC other | Other | Apr 11, 2012 | Apr 11, 2012 |
| Matthew Roger Miller | Paulson Investment Company, LLC other | Jhs Capital Advisors, LLC other | Other | Apr 11, 2012 | Apr 11, 2012 |
| Frank Levon Smith | Morgan Keegan & Company, LLC other | Jhs Capital Advisors, LLC other | Other | Mar 31, 2012 | Nov 3, 2014 (947 d) |
| Diane Love Spearin | Stonegate Wealth Management, LLC other | Jhs Capital Advisors, LLC other | Other | Jan 25, 2012 | Jan 30, 2012 |
| Jeffery Grant Iseler | Morgan Stanley wirehouse | Jhs Capital Advisors, LLC other | Other | Jan 17, 2012 | Jan 17, 2012 |
| Dustin Knight Young | Young, Stovall And Company unclassified | Jhs Capital Advisors, LLC other | Other | Dec 9, 2011 | Dec 13, 2011 |
| Roark Aaron Young | Young, Stovall And Company unclassified | Jhs Capital Advisors, LLC other | Other | Dec 9, 2011 | Dec 13, 2011 |
| Anna J Rojas | RBC Capital Markets, LLC national BD | Jhs Capital Advisors, LLC other | Other | Nov 1, 2011 | May 16, 2012 (197 d) |
| Debora Jeanne Duis | Northwestern Mutual Investment Services,LLC other | Jhs Capital Advisors, LLC other | Other | Nov 1, 2011 | Nov 9, 2011 |
| Alfred Peter Schofield | RBC Capital Markets, LLC national BD | Jhs Capital Advisors, LLC other | Other | Oct 27, 2011 | Oct 27, 2011 |
| Thomas E Cxypoliski | RBC Capital Markets, LLC national BD | Jhs Capital Advisors, LLC other | Other | Oct 27, 2011 | Nov 15, 2011 |
| John Joseph Cortale | Aviso Wealth Management other | Jhs Capital Advisors, LLC other | Other | Sep 9, 2011 | Sep 13, 2011 |
| Eduardo Saulo Alzona | Aviso Wealth Management other | Jhs Capital Advisors, LLC other | Other | Sep 9, 2011 | Sep 9, 2011 |
| John Floyd Olson | Vergepointe Wealth Management, LLC other | Jhs Capital Advisors, LLC other | Other | Jul 27, 2011 | Apr 11, 2012 (259 d) |
| Michael William Mullins | RBC Capital Markets, LLC national BD | Jhs Capital Advisors, LLC other | Other | Apr 7, 2011 | Apr 1, 2011 |
| William Larry Bendt | Scott & Stringfellow, LLC other | Jhs Capital Advisors, LLC other | Other | Mar 22, 2011 | Mar 23, 2011 |
| Anthony Jerome Keppler | RBC Capital Markets, LLC national BD | Jhs Capital Advisors, LLC other | Other | Jan 10, 2011 | Jan 10, 2011 |
| Carolyn Lee Bennett | RBC Capital Markets, LLC national BD | Jhs Capital Advisors, LLC other | Other | Jan 10, 2011 | Jan 10, 2011 |
| John Roy Hackett | RBC Capital Markets, LLC national BD | Jhs Capital Advisors, LLC other | Other | Jan 10, 2011 | Jan 10, 2011 |
| Dane Leigh Grouell | Arnerich Massena, Inc. other | Jhs Capital Advisors, LLC other | Other | Dec 14, 2010 | Sep 10, 2013 (1001 d) |
| Donna Kay Able | Morgan Stanley wirehouse | Jhs Capital Advisors, LLC other | Other | Nov 10, 2010 | Nov 16, 2010 |
| Paul Richard Vogel | Raymond James & Associates, Inc. national BD | Jhs Capital Advisors, LLC other | Other | Sep 20, 2010 | Sep 30, 2010 |
| Thomas Michael Mack | Morgan Stanley wirehouse | Jhs Capital Advisors, LLC other | Other | Sep 20, 2010 | Aug 31, 2010 |
| Carlos Alfredo Cortez | Ameriprise Financial Services, LLC national BD | Jhs Capital Advisors, LLC other | Other | Sep 8, 2010 | Sep 7, 2010 |
| Gregory Donald Lowder | Uvest Financial Services Group, Inc. unclassified | Jhs Capital Advisors, LLC other | Other | Sep 3, 2010 | Oct 8, 2010 (35 d) |
| John Winship Durant | Uvest Financial Services Group, Inc. unclassified | Jhs Capital Advisors, LLC other | Other | Sep 3, 2010 | Oct 8, 2010 (35 d) |
| Trevor T Taylor | Raymond James & Associates, Inc. national BD | Jhs Capital Advisors, LLC other | Other | Jul 13, 2010 | Jul 12, 2010 |
| Armand Anthony Atkinson | Ameriprise Financial Services, LLC national BD | Jhs Capital Advisors, LLC other | Other | Jul 12, 2010 | Jul 26, 2010 |
| Gerald Warren Seigel | Vioni Capital Management other | Jhs Capital Advisors, LLC other | Other | Apr 30, 2010 | Jun 16, 2010 (47 d) |
| Joel Post | Gunnallen Financial, Inc unclassified | Jhs Capital Advisors, LLC other | Other | Mar 31, 2010 | May 21, 2010 (51 d) |
| Catherine Mae Milano | Gunnallen Financial, Inc unclassified | Jhs Capital Advisors, LLC other | Other | Mar 31, 2010 | May 5, 2010 (35 d) |
| Sean Todd Stein | Gunnallen Financial, Inc unclassified | Jhs Capital Advisors, LLC other | Other | Mar 30, 2010 | Apr 29, 2010 |
| Harvey Lee Ford | Gunnallen Financial, Inc unclassified | Jhs Capital Advisors, LLC other | Other | Mar 30, 2010 | Apr 12, 2010 |
| Emily Plauche Maxwell | Gunnallen Financial, Inc unclassified | Jhs Capital Advisors, LLC other | Other | Mar 30, 2010 | Sep 30, 2010 (184 d) |
| Christopher Allen Fidler | Gunnallen Financial, Inc unclassified | Jhs Capital Advisors, LLC other | Other | Mar 30, 2010 | Apr 8, 2010 |
| Frank Louis Nargentino | Gunnallen Financial, Inc unclassified | Jhs Capital Advisors, LLC other | Other | Mar 29, 2010 | Sep 29, 2010 (184 d) |