| 1 | 05-01-2013 | Kenneth G. Ingham | Ingham Retirement Group | N/A | N/A | N/A | $1,500 | N/A | Sentinel Securities, Inc. | LPL Financial | Miami | FL | N/A | N/A | N/A | 2013-03-01 | N/A | N/A | N/A | Tony Vignieri | 858 909-6698 | tony.vignieri@lpl.com | N/A | InvestmentNews | 2013-05-01-Ingham-Retirement-Group | N/A |
| 1 | 12-10-2012 | Tamar H. Mogilski | N/A | N/A | N/A | N/A | $150 | N/A | MetLife Securities | LPL Financial | Rochester | NY | N/A | N/A | N/A | 2012-08-09 | LPL Financial welcomes legacy financial planning to broker-dealer platform and private advisor group hybrid RIA | http://finance.yahoo.com/news/lpl-financial-welcomes-legacy-financial-141500188.html | N/A | Tom Muccia | 9738671382 | tom.muccia@privateadvisorgroup.com | N/A | User-submitted | 20121210-Tamar-H-Mogilski | N/A |
| 1 | 11-13-2012 | Mark Cortazzo, Nicholas Spagnoletti Jr., Jay LaMalfa, Thomas Moyer | Macro Consulting Group | N/A | N/A | N/A | $650 | N/A | SII Investments | LPL Financial | Parsippany | NJ | N/A | N/A | N/A | 2012-11-08 | N/A | N/A | N/A | Matthew Griffes | 206-402-5853 | mgriffes@haventower.com | N/A | User-submitted | 20121113-Macro-Consulting-Group | N/A |
| 1 | 11-13-2012 | Level Four Group | N/A | N/A | N/A | N/A | $1,000 | N/A | Lincoln Financial | LPL Financial | Plano | TX | N/A | N/A | N/A | 2012-11-13 | N/A | N/A | N/A | N/A | N/A | N/A | N/A | InvestmentNews | 20121113-Level-Four-Group | N/A |
| 1 | 11-07-2012 | Mark Elston, Dave Quinn, Jim Elston, Tiffany Del Santo | N/A | N/A | N/A | N/A | $185 | N/A | Wells Fargo Advisors | LPL Financial | Reno | NV | N/A | N/A | N/A | 2012-10-15 | N/A | N/A | N/A | N/A | N/A | N/A | N/A | InvestmentNews | 20121107-Mark-Elston-Dave-Quinn-Jim-Elston-Tiffany-Del-Santo | N/A |
| 1 | 10-24-2012 | Gerber Kawasaki Wealth & Investment Management | N/A | N/A | N/A | N/A | $175 | N/A | SagePoint Financial | LPL Financial | Santa Monica | CA | N/A | N/A | N/A | 2012-10-22 | N/A | http://www.prnewswire.com/news-releases/lpl-financial-welcomes-gerber-kawasaki-wealth--investment-management-to-broker-dealer-and-hybrid-ria-platforms-175587671.html | N/A | Matthew Griffes | 206-402-5853 | mgriffes@haventower.com | N/A | User-submitted | 20121024-Gerber-Kawasaki | N/A |
| 1 | 10-17-2012 | Capstone Affluent Strategies | N/A | N/A | N/A | N/A | $450 | N/A | Prudential Financial | LPL Financial | Newport Beach | CA | N/A | N/A | N/A | 2012-10-17 | N/A | N/A | N/A | Gregg Dinino | 619-730-9623 | gregg@kcdpr.com | N/A | User-submitted | 20121017-Capstone-Affluent-Strategies | N/A |
| 1 | 12-01-2011 | Timothy McKenna, Brian L. Smith, Timothy J. McKenna Jr., Bryan Laverman | N/A | N/A | N/A | N/A | $155 | $1 | Proequities | LPL Financial | Shererville | IN | N/A | http://www.hfpllc.com/new/harvestfinancialplanning/ | N/A | 2011-12-01 | N/A | N/A | N/A | Chad Mast | 219-864-5050 | chad@hfpllc.com | N/A | User-submitted | 20111201-Harvest-Financial-Planning | N/A |
| 1 | 10-02-2012 | Washington Wealth Management | N/A | N/A | N/A | N/A | $750 | N/A | Spire Investment Partners | LPL Financial | San Diego | CA | N/A | N/A | N/A | 2012-10-02 | N/A | N/A | N/A | Joseph Kuo | (206) 420 385 | jkuo@haventower.com | N/A | InvestmentNews | 20121002-Washington-Wealth-Management | N/A |
| 1 | 08-14-2012 | DeLynn Zell, Pete McCarn, Jeris Burns, David LeCompte | Bridgeworth Financial | N/A | N/A | N/A | $1,000 | N/A | Lincoln Financial | LPL Financial | Birmingham | AL | N/A | N/A | N/A | 2012-08-14 | Bridgeworth Financial | http://bridgeworthfinancial.com/a-letter-to-our-clients/ | N/A | N/A | N/A | N/A | N/A | InvestmentNews | 20120814-DeLynn-Zell-Pete-McCarn-Jeris-Burns-David-LeCompte | N/A |
| 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 |