| Cheryl Dickey Mcguire | Securities America Advisors, Inc. other | Resource Horizons Investment Advisory, Inc. other | Other | Sep 4, 2014 | Aug 8, 2014 |
| Carlos Alfredo Cortez | Coppell Advisory Solutions LLC other | Resource Horizons Investment Advisory, Inc. other | Other | Apr 8, 2014 | Oct 28, 2013 |
| Clarence Edmund Blanton | Advisory Services Network other | Resource Horizons Investment Advisory, Inc. other | Other | Mar 3, 2014 | Mar 28, 2014 |
| Joseph Cain Leonard | LPL Financial LLC other | Resource Horizons Investment Advisory, Inc. other | Other | Dec 9, 2013 | Dec 6, 2013 |
| Robin Michael Slaughter | Voya Financial Advisors, Inc. other | Resource Horizons Investment Advisory, Inc. other | Other | Nov 15, 2013 | Nov 25, 2013 |
| Ryan Griffin Ledden | Legend Advisory, LLC other | Resource Horizons Investment Advisory, Inc. other | Other | Aug 26, 2013 | Aug 26, 2013 |
| Steven Roger Cross | New England Securities Corporation other | Resource Horizons Investment Advisory, Inc. other | Other | Feb 7, 2013 | Feb 6, 2013 |
| Gaines Bailey Smith | Gaines Financial Services, Inc. unclassified | Resource Horizons Investment Advisory, Inc. other | Other | Dec 31, 2012 | Jan 4, 2013 |
| Wilburn Joel Hudson | Valic Financial Advisors, Inc. other | Resource Horizons Investment Advisory, Inc. other | Other | Sep 20, 2012 | Oct 4, 2012 |
| Jay B Howard | Leonard And Company other | Resource Horizons Investment Advisory, Inc. other | Other | Aug 29, 2012 | Aug 30, 2012 |
| Marc Lawrence Bullock | L.M. Kohn & Company other | Resource Horizons Investment Advisory, Inc. other | Other | Aug 3, 2012 | Aug 30, 2012 |
| Richard Robert Dwyer | First Command Financial Planning, Inc. other | Resource Horizons Investment Advisory, Inc. other | Other | Mar 23, 2012 | Apr 11, 2012 |
| Ronald Allen Schley | Partnervest Advisory Services LLC other | Resource Horizons Investment Advisory, Inc. other | Other | Dec 31, 2011 | Jan 10, 2012 |
| Clarence Edmund Blanton | Voya Financial Advisors, Inc. other | Resource Horizons Investment Advisory, Inc. other | Other | Nov 29, 2011 | Nov 21, 2011 |
| Gabriel Lynn Gehret | Spc other | Resource Horizons Investment Advisory, Inc. other | Other | Oct 24, 2011 | Nov 8, 2011 |
| Bryan Kelly Dowell | Ssn Advisory, Inc. other | Resource Horizons Investment Advisory, Inc. other | Other | Oct 14, 2011 | Oct 25, 2011 |
| James Parnick Jennings | Oneamerica Securities, Inc. other | Resource Horizons Investment Advisory, Inc. other | Other | Jul 5, 2011 | Jul 12, 2011 |
| Lisa Ann Evans | Equitable Advisors, LLC national BD | Resource Horizons Investment Advisory, Inc. other | Other | Oct 20, 2010 | Nov 3, 2010 |
| Curtis Montgomery Minks | Money Concepts Advisory Service other | Resource Horizons Investment Advisory, Inc. other | Other | Sep 1, 2010 | Oct 7, 2010 (36 d) |
| Christopher J Maurer | Ridgeback Capital Management other | Resource Horizons Investment Advisory, Inc. other | Other | Apr 6, 2010 | Mar 17, 2010 |
| Traci Jeanine Bryson | Nations Financial Group, Inc. other | Resource Horizons Investment Advisory, Inc. other | Other | Apr 6, 2010 | Apr 15, 2010 |
| Shana R Ice | 1st Global Advisors Inc other | Resource Horizons Investment Advisory, Inc. other | Other | Jan 21, 2010 | Jan 25, 2010 |
| Donald Thomas Mcneill | MML Investors Services, LLC other | Resource Horizons Investment Advisory, Inc. other | Other | Jan 15, 2010 | Feb 9, 2010 |
| Joseph Terrell Mann | LPL Financial LLC other | Resource Horizons Investment Advisory, Inc. other | Other | Jan 11, 2010 | Jan 13, 2010 |
| Rajesh C Jyotishi | Sii Investments, Inc. other | Resource Horizons Investment Advisory, Inc. other | Other | Jan 4, 2010 | Jan 11, 2010 |
| Louise Campbell Schatke | Financial Consultants Group Inc independent RIA | Resource Horizons Investment Advisory, Inc. other | Other | Dec 31, 2009 | Jan 11, 2010 |
| Clinton Wayne Copeland | Investors Capital Advisory other | Resource Horizons Investment Advisory, Inc. other | Other | Dec 31, 2009 | Jan 11, 2010 |
| Michael David Gracy | 1st Global Advisors Inc other | Resource Horizons Investment Advisory, Inc. other | Other | Dec 31, 2009 | Feb 12, 2010 (43 d) |
| James Laurence Clifford | Investors Capital Advisory other | Resource Horizons Investment Advisory, Inc. other | Other | Dec 23, 2009 | Jan 26, 2010 (34 d) |
| Mitchell Lee Flatt | Edward Jones national BD | Resource Horizons Investment Advisory, Inc. other | Other | Dec 8, 2009 | Oct 17, 2011 (678 d) |
| Gary Duwayne Wurl | Cullum & Burks Securities, Inc. unclassified | Resource Horizons Investment Advisory, Inc. other | Other | Nov 24, 2009 | Nov 24, 2009 |
| Tim Brooks Sampson | Cullum & Burks Securities, Inc. unclassified | Resource Horizons Investment Advisory, Inc. other | Other | Nov 24, 2009 | Nov 23, 2009 |
| Brian Scott Elsey | 1st Global Advisors Inc other | Resource Horizons Investment Advisory, Inc. other | Other | Sep 18, 2009 | Oct 20, 2009 (32 d) |
| Roger Anthony Ruz | Capital City Asset Management Group, LLC other | Resource Horizons Investment Advisory, Inc. other | Other | Aug 21, 2009 | Jan 4, 2010 (136 d) |
| Isaac Robert Cockfield | Fortitude Advisory Group L.L.C. other | Resource Horizons Investment Advisory, Inc. other | Other | Jun 10, 2009 | Jun 15, 2009 |
| Michael Joseph Kwedar | Securities America Advisors, Inc. other | Resource Horizons Investment Advisory, Inc. other | Other | Dec 22, 2008 | Jan 6, 2009 |
| Michael Lee Crifasi | Woodstock Financial Group, Inc. other | Resource Horizons Investment Advisory, Inc. other | Other | Sep 25, 2008 | Sep 22, 2008 |
| Lewis Dewitt Webb | Wells Fargo Advisors wirehouse | Resource Horizons Investment Advisory, Inc. other | Other | Jun 4, 2008 | Jun 17, 2008 |
| Bruce Bassin | Financial West Group other | Resource Horizons Investment Advisory, Inc. other | Other | Mar 31, 2008 | Apr 1, 2008 |
| William Samuel Allen | Independent Advisers Group Corp other | Resource Horizons Investment Advisory, Inc. other | Other | Feb 8, 2008 | Feb 5, 2008 |
| Karmen Dwayne Kingsmore | Resource Horizons Group LLC unclassified | Resource Horizons Investment Advisory, Inc. other | Other | Dec 31, 2007 | Jan 8, 2008 |
| Kelly Stolte Miller | Resource Horizons Group LLC unclassified | Resource Horizons Investment Advisory, Inc. other | Other | Dec 31, 2007 | Oct 9, 2007 |
| Robert James Maranghi | Resource Horizons Group LLC unclassified | Resource Horizons Investment Advisory, Inc. other | Other | Dec 31, 2007 | Jan 8, 2008 |
| Robert Gene Berger | Resource Horizons Group LLC unclassified | Resource Horizons Investment Advisory, Inc. other | Other | Dec 31, 2007 | Jan 3, 2008 |
| Debbie Lynne Montgomery | Resource Horizons Group LLC unclassified | Resource Horizons Investment Advisory, Inc. other | Other | Dec 31, 2007 | Jan 8, 2008 |
| Gary Wayne Copeland | Resource Horizons Group LLC unclassified | Resource Horizons Investment Advisory, Inc. other | Other | Dec 31, 2007 | Jan 8, 2008 |
| Gregory Wade Guemmer | Resource Horizons Group LLC unclassified | Resource Horizons Investment Advisory, Inc. other | Other | Dec 31, 2007 | Jan 2, 2008 |
| Leland Michael Lanway | Resource Horizons Group LLC unclassified | Resource Horizons Investment Advisory, Inc. other | Other | Dec 31, 2007 | Jan 2, 2008 |
| James Earl Vann | Resource Horizons Group LLC unclassified | Resource Horizons Investment Advisory, Inc. other | Other | Dec 31, 2007 | Jan 8, 2008 |
| Timothy Michael Eckel | Resource Horizons Group LLC unclassified | Resource Horizons Investment Advisory, Inc. other | Other | Dec 31, 2007 | Jan 8, 2008 |
| Darrin Stuart Cohen | Resource Horizons Group LLC unclassified | Resource Horizons Investment Advisory, Inc. other | Other | Dec 31, 2007 | May 23, 2008 (144 d) |
| Randhir Sahni | Resource Horizons Group LLC unclassified | Resource Horizons Investment Advisory, Inc. other | Other | Dec 31, 2007 | Jan 3, 2008 |
| Stephen Lemuel Bargeron | Resource Horizons Group LLC unclassified | Resource Horizons Investment Advisory, Inc. other | Other | Dec 31, 2007 | Jan 8, 2008 |
| Patrick Grant | Resource Horizons Group LLC unclassified | Resource Horizons Investment Advisory, Inc. other | Other | Dec 31, 2007 | Jan 8, 2008 |
| Jeffrey Lee Foreman | Resource Horizons Group LLC unclassified | Resource Horizons Investment Advisory, Inc. other | Other | Dec 31, 2007 | Jan 8, 2008 |
| Jeffrey Douglas Thomas | Resource Horizons Group LLC unclassified | Resource Horizons Investment Advisory, Inc. other | Other | Dec 31, 2007 | Jan 8, 2008 |
| Joseph Aloisio | Resource Horizons Group LLC unclassified | Resource Horizons Investment Advisory, Inc. other | Other | Dec 31, 2007 | Jan 8, 2008 |
| Gwen B Garrison | Esi Financial Advisors other | Resource Horizons Investment Advisory, Inc. other | Other | Dec 31, 2007 | Jan 8, 2008 |
| John Lloyd Sauers | Resource Horizons Group LLC unclassified | Resource Horizons Investment Advisory, Inc. other | Other | Dec 31, 2007 | Jan 8, 2008 |
| Anthony Lee Tinsley | Resource Horizons Group LLC unclassified | Resource Horizons Investment Advisory, Inc. other | Other | Dec 31, 2007 | Jul 17, 2007 |