| Shelly Ann Thomas | Key Investment Services LLC other | J.P. Morgan Securities LLC wirehouse | Other | Oct 13, 2016 | Oct 4, 2016 |
| Michael William Simonian | Key Investment Services LLC other | Cetera Investment Advisers LLC other | Other | Oct 3, 2016 | Oct 10, 2016 |
| Justin M Binion | Key Investment Services LLC other | Wells Fargo Advisors wirehouse | Other | Sep 30, 2016 | Oct 5, 2016 |
| Charles Garlock | Key Investment Services LLC other | Hsbc Securities (USA) Inc. other | Other | Sep 30, 2016 | Jun 22, 2017 (265 d) |
| Kevin Francis Sullivan | Key Investment Services LLC other | LPL Financial LLC other | Other | Sep 22, 2016 | Sep 27, 2016 |
| Ryan J Alderfer | Key Investment Services LLC other | Boone Wealth Advisors, LLC other | Other | Sep 15, 2016 | Oct 17, 2016 (32 d) |
| Trevor Looney | Key Investment Services LLC other | Ameriprise Financial Services, LLC national BD | Other | Aug 15, 2016 | Sep 14, 2016 |
| Eric W Wilson | Key Investment Services LLC other | U.S. Bancorp Advisors, LLC other | Other | Jun 21, 2016 | Jun 22, 2016 |
| Sergei Borisovich Vassilenko | Key Investment Services LLC other | Raymond James Financial Services Advisors, Inc other | Other | Jun 3, 2016 | Jun 17, 2016 |
| Matthew Nutter | Key Investment Services LLC other | Pnc Wealth Management other | Other | Apr 18, 2016 | May 13, 2016 |
| Ryan Sean Willette | Key Investment Services LLC other | Morgan Stanley wirehouse | Other | Apr 7, 2016 | Apr 11, 2016 |
| Jeremy Lee Guay | Key Investment Services LLC other | Wells Fargo Advisors wirehouse | Other | Apr 5, 2016 | Apr 5, 2016 |
| Anthony Joseph Nigh | Key Investment Services LLC other | Pnc Wealth Management other | Other | Mar 9, 2016 | Mar 11, 2016 |
| Denise Marie Kohler | Key Investment Services LLC other | Wells Fargo Advisors wirehouse | Other | Feb 26, 2016 | Feb 26, 2016 |
| Michael Kent Thompson | Key Investment Services LLC other | Cuso Financial Services, L.P. other | Other | Feb 23, 2016 | Feb 23, 2016 |
| Brooks W Stevens | Key Investment Services LLC other | LPL Financial LLC other | Other | Feb 5, 2016 | Feb 4, 2016 |
| John L Knight | Key Investment Services LLC other | Lamberson Knight Wealth Management LLC state registered | Other | Jan 20, 2016 | May 15, 2026 (3768 d) |
| Donna Panton | Key Investment Services LLC other | Cuso Financial Services, L.P. other | Other | Jan 11, 2016 | Mar 7, 2016 (56 d) |
| Gary Anthony Kozee | Key Investment Services LLC other | LPL Financial LLC other | Other | Jan 5, 2016 | Jan 5, 2016 |
| Todd Douglas Micciche | Key Investment Services LLC other | Cuna Brokerage Services, Inc. other | Other | Dec 15, 2015 | Dec 18, 2015 |
| Steven Dale Gabriel | Key Investment Services LLC other | Bancwest Investment Services, Inc. (Bwis) other | Other | Dec 4, 2015 | Dec 12, 2015 |
| Trevor Bruce Hanson | Key Investment Services LLC other | LPL Financial LLC other | Other | Nov 11, 2015 | Nov 12, 2015 |
| Katherine King | Key Investment Services LLC other | LPL Financial LLC other | Other | Nov 11, 2015 | Nov 23, 2015 |
| Jonathan Bennion Spencer | Key Investment Services LLC other | LPL Financial LLC other | Other | Oct 12, 2015 | Oct 13, 2015 |
| Timothy Pester | Key Investment Services LLC other | Wells Fargo Advisors wirehouse | Other | Aug 11, 2015 | Aug 11, 2015 |
| Joseph S Leedom | Key Investment Services LLC other | Wells Fargo Advisors wirehouse | Other | Jul 31, 2015 | Jul 31, 2015 |
| Dawn Kimberly Mullenax | Key Investment Services LLC other | Citizens Securities, Inc. other | Other | Jun 23, 2015 | Jul 6, 2015 |
| Christopher Michael Herrmann | Key Investment Services LLC other | Vertical Wealth, LLC state registered | Other | May 19, 2015 | May 4, 2016 (351 d) |
| Kurt Schaefer | Key Investment Services LLC other | People'S Securities, Inc. other | Other | Nov 25, 2014 | Dec 4, 2014 |
| Lane Ryan Steel | Key Investment Services LLC other | Wells Fargo Advisors wirehouse | Other | Sep 25, 2014 | Sep 25, 2014 |
| Brad Robert Courtney | Key Investment Services LLC other | Wells Fargo Advisors wirehouse | Other | Aug 28, 2014 | Aug 28, 2014 |
| Richard K Dyson | Key Investment Services LLC other | J.P. Morgan Securities LLC wirehouse | Other | Jul 18, 2014 | Jul 29, 2014 |
| James Brent Craig | Key Investment Services LLC other | J.P. Morgan Securities LLC wirehouse | Other | Jun 4, 2014 | Jun 16, 2014 |
| Sara Ann O'Neil | Key Investment Services LLC other | Morgan Stanley wirehouse | Other | May 2, 2014 | May 6, 2014 |
| Jeffrey Kenneth Miller | Key Investment Services LLC other | Pnc Wealth Management other | Other | May 2, 2014 | May 14, 2014 |
| Brian Quinn Coleman | Key Investment Services LLC other | M Holdings Securities, Inc. other | Other | May 1, 2014 | Aug 26, 2014 (117 d) |
| Brian Shane Jacobus | Key Investment Services LLC other | Financial Advocates Investment Management other | Other | Apr 23, 2014 | Apr 25, 2014 |
| Gerald Weeks Madsen | Key Investment Services LLC other | LPL Financial LLC other | Other | Apr 7, 2014 | Apr 11, 2014 |
| David C Kirchfeld | Key Investment Services LLC other | LPL Financial LLC other | Other | Jan 17, 2014 | Jan 17, 2014 |
| Scott Michael Walker | Key Investment Services LLC other | Personal Capital Advisors Corporation other | Other | Jan 7, 2014 | Jan 15, 2014 |
| Sheila Sosnowy Menair | Key Investment Services LLC other | Commonwealth Financial Network national BD | Other | Jan 3, 2014 | Jan 2, 2014 |
| Brent Arnold Moeller | Key Investment Services LLC other | Valic Financial Advisors, Inc. other | Other | Dec 23, 2013 | Feb 24, 2014 (63 d) |
| Douglas Brent Arnell | Key Investment Services LLC other | Bancwest Investment Services, Inc. (Bwis) other | Other | Dec 3, 2013 | Dec 9, 2013 |
| Jason Andersen | Key Investment Services LLC other | J.P. Morgan Securities LLC wirehouse | Other | Nov 29, 2013 | Dec 5, 2013 |
| William Robert Jirousek | Key Investment Services LLC other | Citizens Securities, Inc. other | Other | Nov 18, 2013 | Nov 18, 2013 |
| David L Ballantyne | Key Investment Services LLC other | Cuso Financial Services, L.P. other | Other | Nov 7, 2013 | Oct 28, 2013 |
| David Paul Doane | Key Investment Services LLC other | Edward Jones national BD | Other | Oct 15, 2013 | Jan 13, 2014 (90 d) |
| Salvatore John Dangelo | Key Investment Services LLC other | LPL Financial LLC other | Other | Aug 20, 2013 | Aug 16, 2013 |
| Ann Christina Durham | Key Investment Services LLC other | Pnc Wealth Management other | Other | Aug 19, 2013 | Feb 25, 2015 (555 d) |
| Jeff Olbina | Key Investment Services LLC other | Cuso Financial Services, L.P. other | Other | Jul 2, 2013 | Jul 5, 2013 |
| Jason Douglas Myers | Key Investment Services LLC other | Signator Investors, Inc. other | Other | Jun 26, 2013 | Oct 9, 2013 (105 d) |
| Tonya S. Hutchison | Key Investment Services LLC other | Huntington Financial Advisors other | Other | Jun 24, 2013 | Jul 1, 2013 |
| Edward Francis Pero | Key Investment Services LLC other | Citizens Securities, Inc. other | Other | Jun 13, 2013 | Jun 18, 2013 |
| Donald James Paul | Key Investment Services LLC other | Cetera Investment Services LLC other | Other | Apr 25, 2013 | May 16, 2013 |
| Steven David Vale | Key Investment Services LLC other | Firstmerit Advisors, Inc. unclassified | Other | Apr 25, 2013 | Apr 29, 2013 |
| Edward Thomas Reiser | Key Investment Services LLC other | Pnc Wealth Management other | Other | Apr 1, 2013 | Apr 24, 2013 |
| John David Anderson | Key Investment Services LLC other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Feb 20, 2013 | Apr 12, 2013 (51 d) |
| Daniel Aaron Newman | Key Investment Services LLC other | Northwestern Mutual Investment Services,LLC other | Other | Jan 31, 2013 | Feb 20, 2013 |
| Larry Todd Weber | Key Investment Services LLC other | Pnc Wealth Management other | Other | Jan 30, 2013 | Apr 3, 2013 (63 d) |
| Christine Maria Ward | Key Investment Services LLC other | Ameriprise Financial Services, LLC national BD | Other | Dec 20, 2012 | Feb 11, 2013 (53 d) |