| 1 | 08-02-2012 | Advantage Financial Group | N/A | N/A | N/A | N/A | $2,000 | $11 | National Planning | LPL Financial | Cedar Rapids | IA | N/A | N/A | N/A | 2012-08-02 | LPL Financial welcomes Advantage Financial Group to its platform | http://www.prnewswire.com/news-releases/lpl-financial-welcomes-advantage-financial-group-to-its-platform-producer-group-brings-63-independent-advisors-and-client-assets-of-approximately-2-billion-164729956.html | N/A | N/A | N/A | N/A | N/A | InvestmentNews | 20120802-Advantage-Financial-Group | N/A |
| 1 | 06-07-2012 | Ryan J. Schrift | N/A | N/A | N/A | N/A | $15 | N/A | Morgan Keegan | LPL Financial | Belmont | NC | N/A | N/A | N/A | 2012-05-14 | Ryan Schrift | N/A | N/A | Ryan Schrift | N/A | ryan.schrift@lpl.com | N/A | User-submitted | 20120607-Ryan-J-Schrift | N/A |
| 1 | 05-11-2012 | Erin Botsford | N/A | N/A | N/A | N/A | $560 | N/A | DeWaay Financial Network | LPL Financial | Frisco | TX | N/A | N/A | N/A | 2012-05-11 | N/A | http://www.investmentnews.com/article/20120511/FREE/120519983 | N/A | N/A | N/A | N/A | N/A | InvestmentNews | 20120511-Erin-Botsford | N/A |
| 1 | 04-21-2012 | Steven Crabree | N/A | N/A | N/A | N/A | $50 | N/A | Bank of America Merrill Lynch | LPL Financial | N/A | N/A | N/A | N/A | N/A | 2012-04-21 | Robert Laraia | http://www.nstarwp.com | N/A | Robert Laraia, founding partener | N/A | rlaraia@nstarwp.com | N/A | User-submitted | 20120421-Steven-Crabree | N/A |
| 1 | 04-18-2012 | Wealth Advisors of Tampa Bay | N/A | N/A | N/A | N/A | $100 | N/A | Florida Investment Advisors | LPL Financial | Tampa Bay | FL | N/A | N/A | N/A | 2012-04-18 | N/A | http://www.4-traders.com/LPL-INVESTMENT-HOLDINGS-I-6880559/news/LPL-INVESTMENT-HOLDINGS-INC-Financial-Advisory-Team-With-$350-Million-in-Client-Assets-Under-Mana-14279220/ | N/A | N/A | N/A | N/A | N/A | InvestmentNews | 20120418-Wealth-Advisors-of-Tampa-Bay | N/A |
| 1 | 03-12-2012 | Neal McNeil III, Robert L. Meyer, Ryan Clive-Smith | N/A | N/A | N/A | N/A | $300 | N/A | Morgan Stanley Smith Barney | LPL Financial | La Jolla | CA | N/A | N/A | N/A | 2012-03-12 | N/A | http://www.4-traders.com/LPL-INVESTMENT-HOLDINGS-I-6880559/news/LPL-INVESTMENT-HOLDINGS-INC-Adding-to-the-Growing-Theme-of-Elite-Teams-Announcing-Independence-Natio-14210630/ | N/A | N/A | N/A | N/A | N/A | InvestmentNews | 20120312-Neal-McNeil-III-Robert-L-Meyer-Ryan-Clive-Smith | N/A |
| 1 | 01-25-2012 | John Napolitano, George Clarke, Thomas Morrone, Michael Alexander, Max Kolbrenner, Gary Oman, Timothy McCarthy, Michael Velazquez | N/A | N/A | N/A | N/A | $200 | N/A | Lincoln Financial | LPL Financial | Braintree | MA | N/A | N/A | N/A | 2012-01-25 | Reuters | http://www.reuters.com/article/2012/01/25/us-lpl-financial-idUSTRE80O1BR20120125 | N/A | N/A | N/A | N/A | N/A | InvestmentNews | 20120125-John-Napolitano-George-Clarke-Thomas-Morrone-Michael-Alexander-Max-Kolbrenner-Gary-Oman-Timothy-McCarthy-Michael-Velazquez | N/A |
| 1 | 01-04-2012 | Christopher Hagen, Daniel Sloan | N/A | N/A | N/A | N/A | $180 | N/A | Morgan Keegan | LPL Financial | Montgomery | AL | N/A | N/A | N/A | 2012-01-04 | N/A | http://www.reuters.com/article/2011/12/23/onthemove-wrap-idUSN1E7BM02X20111223 | N/A | N/A | N/A | N/A | N/A | InvestmentNews | 20120104-Christopher-Hagen-Daniel-Sloan | N/A |
| 1 | 11-28-2011 | Anton Bayer | N/A | N/A | N/A | N/A | $115 | $1 | Securities America | LPL Financial | Granite Bay | CA | N/A | N/A | N/A | 2011-11-28 | N/A | http://www.reuters.com/article/2011/11/18/lpl-ubs-hires-idUSN1E7AG0DM20111118 | N/A | N/A | N/A | N/A | N/A | InvestmentNews | 20111128-Anton-Bayer | N/A |
| 1 | 11-28-2011 | Steven Jung, Timothy Lysaght, Patrick Lysaght, | N/A | N/A | N/A | N/A | $185 | N/A | Morgan Keegan | LPL Financial | Cincinatti | OH | N/A | N/A | N/A | 2011-11-28 | Reuters | http://www.reuters.com/article/2011/11/18/lpl-ubs-hires-idUSN1E7AG0DM20111118 | N/A | N/A | N/A | N/A | N/A | InvestmentNews | 20111128-Steven-Jung-Timothy-Lysaght-Patrick-Lysaght | N/A |
| 1 | 11-28-2011 | Gary Deese | N/A | N/A | N/A | N/A | $92 | N/A | Edward Jones | LPL Financial | Lexington | SC | N/A | N/A | N/A | 2011-11-28 | N/A | http://www.reuters.com/article/2011/11/18/lpl-ubs-hires-idUSN1E7AG0DM20111118 | N/A | N/A | N/A | N/A | N/A | InvestmentNews | 20111128-Gary-Deese | N/A |
| 1 | 09-28-2011 | George P. Fraser, Frederic W. Amberg, Troy W. Haugen | N/A | N/A | N/A | N/A | $300 | N/A | Morgan Stanley Smith Barney | LPL Financial | San Diego | CA | N/A | N/A | N/A | 2011-09-28 | N/A | http://www.joinprospera.com | N/A | N/A | N/A | N/A | N/A | InvestmentNews | 20110928-George-P-Fraser-Frederic-W-Amberg-Troy-W-Haugen | N/A |
| 1 | 08-10-2011 | Bobby White | N/A | N/A | N/A | N/A | N/A | $6 | Securities America | LPL Financial | Birmingham | AL | N/A | N/A | N/A | 2011-08-10 | N/A | http://www.investmentnews.com/article/20110810/FREE/110819987 | N/A | N/A | N/A | N/A | N/A | InvestmentNews | 20110810-Bobby-White | N/A |
| 1 | 08-10-2011 | Donald Patrick | N/A | N/A | N/A | N/A | N/A | $10 | Securities America | LPL Financial | Atlanta | GA | N/A | N/A | N/A | 2011-08-10 | N/A | http://www.investmentnews.com/article/20110810/FREE/110819987 | N/A | N/A | N/A | N/A | N/A | InvestmentNews | 20110810-Donald-Patrick | N/A |
| 1 | 10-14-2010 | Robert F. Halligan II | N/A | N/A | N/A | N/A | $115 | N/A | Morgan Stanley Smith Barney | LPL Financial | La Mesa | CA | N/A | N/A | N/A | 2010-10-14 | N/A | http://www.24-7pressrelease.com/press-release/summit-brokerage-services-welcomes-new-advisors-137674.php | N/A | N/A | N/A | N/A | N/A | InvestmentNews | 20101014-Robert-F-Halligan-II | N/A |
| 1 | 05-26-2010 | Michael Sharples | N/A | N/A | N/A | N/A | N/A | $1 | Edward Jones | LPL Financial | Durham | NC | N/A | N/A | N/A | 2010-05-26 | N/A | http://www.investmentnews.com/article/20100524/FREE/100529960 | N/A | N/A | N/A | N/A | N/A | InvestmentNews | 20100526-Michael-Sharples | N/A |
| 1 | 10-08-2010 | Andrew Malloy, Stephen Conte | N/A | N/A | N/A | N/A | N/A | N/A | Shepard Kaplan | Luminous Capital | Menlo Park | CA | N/A | N/A | N/A | 2010-10-08 | N/A | http://www.investmentnews.com/article/20101008/CHART/101009880 | N/A | N/A | N/A | N/A | N/A | InvestmentNews | 20101008-Andrew-Malloy-Stephen-Conte | N/A |
| 1 | 03-01-2011 | Firstrust Financial Resources LLC | N/A | N/A | N/A | N/A | $600 | N/A | Axa Advisors | MetLife Securities | Conshohocken | PA | N/A | N/A | N/A | 2011-03-01 | N/A | http://online.wsj.com/article/BT-CO-20110301-712589.html | N/A | N/A | N/A | N/A | N/A | InvestmentNews | 20110301-Firstrust-Financial-Resources-LLC | N/A |
| 1 | 05-28-2010 | Timothy Furgueson | N/A | N/A | N/A | N/A | $60 | N/A | Morgan Stanley Smith Barney | MiddleCove Capital | Centerbrook | CT | N/A | N/A | N/A | 2010-05-28 | Company press release | http://online.wsj.com/article/BT-CO-20110405-708000.html | N/A | N/A | N/A | N/A | N/A | InvestmentNews | 20100528-Timothy-Furgueson | N/A |
| 1 | 04-20-2010 | Tom Bertaut, Chris Carrico, Bill Whitney | N/A | N/A | N/A | N/A | $100 | N/A | UBS Financial Services | Mississippi Investment Management | N/A | N/A | N/A | N/A | N/A | 2010-04-19 | N/A | http://www.investmentnews.com/article/20100419/FREE/100419885/-1/INDaily01 | N/A | N/A | N/A | N/A | N/A | InvestmentNews | 20100420-Tom-Bertaut-Chris-Carrico-Bill-Whitney | N/A |
| 1 | 01-08-2010 | Patrick J. Howley, Betsy Dow | N/A | N/A | N/A | N/A | $300 | $1 | A.G. Edwards & Sons | Moneta Group Investment Advisors | N/A | N/A | N/A | N/A | N/A | 2010-01-08 | IN | http://www.investmentnews.com/article/20100108/FREE/100109882 | N/A | N/A | N/A | N/A | N/A | InvestmentNews | 20100108-Patrick-J-Howley-Betsy-Dow | N/A |
| 1 | 06-18-2010 | Wayne Smith | N/A | N/A | N/A | N/A | $30 | N/A | Oppenheimer | Moors & Cabot Financial Advisors | San Francisco | CA | N/A | N/A | N/A | 2010-06-18 | shawn smith | N/A | N/A | Shawn Smith | N/A | faplacementservices@comcast.net | N/A | User-submitted | 20100618-Wayne-Smith | N/A |
| 1 | 03-05-2013 | Scott Sexton | N/A | N/A | N/A | N/A | $700 | N/A | UBS Financial Services | Morgan Stanley Smith Barney | Knoxville | TN | N/A | N/A | N/A | 2013-03-01 | N/A | N/A | N/A | Christine Jockle | N/A | Christine.Jockle@morganstanley.com | N/A | User-submitted | 2013-03-7-Scott-Sexton | N/A |
| 1 | 03-05-2013 | Roxann Romano, Anthony Catalano | N/A | N/A | N/A | N/A | N/A | N/A | UBS Financial Services | Morgan Stanley Smith Barney | New York | NY | N/A | N/A | N/A | 2013-03-01 | N/A | N/A | N/A | Christine Jockle | N/A | Christine.Jockle@morganstanley.com | N/A | User-submitted | 2013-03-7-Roxann-Romano-Anthony-Catalano | N/A |
| 1 | 02-27-2013 | Victor Camara | N/A | N/A | N/A | N/A | $100 | N/A | Bank of America Merrill Lynch | Morgan Stanley Smith Barney | Miami | FL | N/A | N/A | N/A | 2013-01-18 | N/A | N/A | N/A | Bruce Kelly | N/A | N/A | N/A | InvestmentNews | 2013-02-27-Victor-Camara | N/A |