| Scott Viano | Key Investment Services LLC other | J.P. Morgan Securities LLC wirehouse | Other | Dec 7, 2012 | Dec 11, 2012 |
| Kathren Hsueh Wills | Key Investment Services LLC other | Raymond James Financial Services Advisors, Inc other | Other | Sep 5, 2012 | Sep 20, 2012 |
| Derek Adam Vance | Key Investment Services LLC other | Thrivent Investment Management Inc. other | Other | Sep 4, 2012 | Sep 5, 2012 |
| Tasha Immacolata Mauss | Key Investment Services LLC other | U.S. Bancorp Advisors, LLC other | Other | Aug 8, 2012 | Aug 20, 2012 |
| Brian A Stone | Key Investment Services LLC other | Greystone Financial Group, Inc. other | Other | Jul 31, 2012 | Oct 14, 2013 (440 d) |
| Ronald Martin Hyde | Key Investment Services LLC other | LPL Financial LLC other | Other | Jul 30, 2012 | Jul 27, 2012 |
| Richard Kevin Frank | Key Investment Services LLC other | Wells Fargo Advisors wirehouse | Other | Jul 16, 2012 | Sep 18, 2013 (429 d) |
| Karl P Cedarleaf | Key Investment Services LLC other | Raymond James & Associates, Inc. national BD | Other | Jul 16, 2012 | Jun 14, 2021 (3255 d) |
| Randall P. Trahan | Key Investment Services LLC other | Raymond James & Associates, Inc. national BD | Other | Jul 16, 2012 | Jun 14, 2021 (3255 d) |
| Michael Bergum | Key Investment Services LLC other | Advice And Planning Services other | Other | Jul 16, 2012 | Sep 15, 2015 (1156 d) |
| Florencio Gilberto Sandoval | Key Investment Services LLC other | Allstate Financial Advisors, LLC no RAUM | Other | Jun 26, 2012 | Feb 5, 2013 (224 d) |
| Robert Michael Lynch | Key Investment Services LLC other | First National Capital Markets, Inc. other | Other | Jun 25, 2012 | Jul 3, 2012 |
| Eric Thomas Saddler | Key Investment Services LLC other | Fifth Third Securities, Inc. other | Other | Jun 11, 2012 | Jun 22, 2012 |
| Nathaniel Aaron Abney | Key Investment Services LLC other | Fifth Third Securities, Inc. other | Other | May 7, 2012 | May 22, 2012 |
| Matthew Roger White | Key Investment Services LLC other | J.P. Morgan Securities LLC wirehouse | Other | Apr 9, 2012 | Nov 27, 2012 (232 d) |
| Kevin Raymond Zellers | Key Investment Services LLC other | Amundi Pioneer Institutional Asset Management, Inc. other | Other | Apr 3, 2012 | Apr 9, 2012 |
| Benjamin Micah Wenzel | Key Investment Services LLC other | LPL Financial LLC other | Other | Apr 2, 2012 | Mar 30, 2012 |
| Therese Illeene Misner | Key Investment Services LLC other | Cetera Investment Services LLC other | Other | Feb 21, 2012 | Jun 1, 2012 (101 d) |
| Michael D. Mccubbin | Key Investment Services LLC other | Charles Schwab & Co., Inc. national BD | Other | Feb 8, 2012 | Sep 6, 2012 (211 d) |
| Kenneth Michael Wachtendorf | Key Investment Services LLC other | U.S. Bancorp Investments, Inc. other | Other | Jan 24, 2012 | Feb 2, 2012 |
| Melissa Shellhammer Aiken | Key Investment Services LLC other | Valic Financial Advisors, Inc. other | Other | Jan 5, 2012 | Feb 14, 2012 (40 d) |
| Michael Stephan Mare | Key Investment Services LLC other | New England Securities Corporation other | Other | Nov 17, 2011 | Jan 25, 2012 (69 d) |
| Joseph L Williams | Key Investment Services LLC other | Chase Investment Services Corp. other | Other | Nov 4, 2011 | Nov 29, 2011 |
| Jason Yong Pang | Key Investment Services LLC other | LPL Financial LLC other | Other | Oct 14, 2011 | Oct 18, 2011 |
| David Green | Key Investment Services LLC other | Wells Fargo Advisors wirehouse | Other | Oct 12, 2011 | Oct 7, 2011 |
| Kathryn Lee Kelley | Key Investment Services LLC other | Huntington Financial Advisors other | Other | Oct 5, 2011 | Oct 6, 2011 |
| Kasha Brook Mclemore | Key Investment Services LLC other | Cuso Financial Services, L.P. other | Other | Sep 21, 2011 | Oct 3, 2011 |
| Tabrenia Lynn Davidson | Key Investment Services LLC other | Bancwest Investment Services, Inc. (Bwis) other | Other | Sep 16, 2011 | Sep 21, 2011 |
| Heidi Eileen Spurlock | Key Investment Services LLC other | Chase Investment Services Corp. other | Other | Sep 9, 2011 | Nov 17, 2011 (69 d) |
| Wendy Brokus Magnuson | Key Investment Services LLC other | Northwest Asset Management other | Other | Sep 1, 2011 | Jul 20, 2012 (323 d) |
| Brent Robert Bridenback | Key Investment Services LLC other | Ameriprise Financial Services, LLC national BD | Other | Aug 23, 2011 | Aug 19, 2011 |
| Ray W Nishikawa | Key Investment Services LLC other | LPL Financial LLC other | Other | Aug 8, 2011 | Aug 29, 2011 |
| Emily Elizabeth Ferguson | Key Investment Services LLC other | 1st Global Advisors Inc other | Other | Aug 5, 2011 | Apr 18, 2012 (257 d) |
| William Nephi Allen | Key Investment Services LLC other | Wells Fargo Advisors wirehouse | Other | Aug 1, 2011 | Aug 1, 2011 |
| Sean Michael Jones | Key Investment Services LLC other | Wells Fargo Advisors wirehouse | Other | Jul 14, 2011 | Jul 13, 2011 |
| Sol H Chalhoub | Key Investment Services LLC other | Wells Fargo Advisors wirehouse | Other | May 27, 2011 | Jun 1, 2011 |
| Mary Lynn Bosway | Key Investment Services LLC other | Pnc Wealth Management other | Other | May 6, 2011 | Oct 30, 2013 (908 d) |
| Andrew T. Wilson | Key Investment Services LLC other | Strategic Advisers LLC national BD | Other | May 6, 2011 | Aug 27, 2025 (5227 d) |
| John E Roehm | Key Investment Services LLC other | MML Investors Services, LLC BD affiliated | Other | May 6, 2011 | Oct 8, 2025 (5269 d) |
| William Scott Beeson | Key Investment Services LLC other | U.S. Bancorp Investments, Inc. other | Other | May 2, 2011 | May 11, 2011 |
| Maureen Elliott | Key Investment Services LLC other | Edward Jones national BD | Other | Apr 29, 2011 | Sep 29, 2011 (153 d) |
| Jeffrey Lee Hurst | Key Investment Services LLC other | Pnc Wealth Management other | Other | Apr 15, 2011 | Jun 1, 2011 (47 d) |
| Gregory Scott Lutterman | Key Investment Services LLC other | Fifth Third Securities, Inc. other | Other | Apr 4, 2011 | Apr 20, 2011 |
| Kenneth Ko | Key Investment Services LLC other | LPL Financial LLC other | Other | Feb 16, 2011 | May 8, 2012 (447 d) |
| Greg Emmack | Key Investment Services LLC other | Pnc Wealth Management other | Other | Feb 7, 2011 | Feb 22, 2011 |
| Kenneth Herman Burr | Key Investment Services LLC other | Fifth Third Securities, Inc. other | Other | Jan 31, 2011 | Feb 8, 2011 |
| Daniel Leon Guenther | Key Investment Services LLC other | U.S. Bancorp Investments, Inc. other | Other | Jan 20, 2011 | Feb 2, 2011 |
| Jeffrey Scott Flamm | Key Investment Services LLC other | U.S. Bancorp Investments, Inc. other | Other | Oct 18, 2010 | Oct 27, 2010 |
| Brandon Matthew Kane | Key Investment Services LLC other | Wells Fargo Investments, LLC unclassified | Other | Oct 18, 2010 | Oct 15, 2010 |
| Trevor Bruce Hanson | Key Investment Services LLC other | Wells Fargo Investments, LLC unclassified | Other | Sep 1, 2010 | Sep 1, 2010 |
| Janice Deann Nichols | Key Investment Services LLC other | Morgan Stanley wirehouse | Other | Jul 12, 2010 | Feb 3, 2011 (206 d) |
| Trenton Schrader | Key Investment Services LLC other | Assetmark, Inc. other | Other | Jul 9, 2010 | Jan 11, 2011 (186 d) |
| Jason Michael Macher | Key Investment Services LLC other | Fifth Third Securities, Inc. other | Other | Jul 9, 2010 | Jul 22, 2010 |
| Lori Kahn | Key Investment Services LLC other | Chase Investment Services Corp. other | Other | May 3, 2010 | May 24, 2010 |
| Cory Richard Kozisek | Key Investment Services LLC other | Wells Fargo Investments, LLC unclassified | Other | Apr 9, 2010 | Apr 16, 2010 |
| James Edward Gracia | Key Investment Services LLC other | U.S. Bancorp Investments, Inc. other | Other | Mar 29, 2010 | Mar 29, 2010 |
| Jacob Daniel Klein | Key Investment Services LLC other | Invest Financial Corporation other | Other | Mar 23, 2010 | Mar 22, 2010 |
| Laura Jones | Key Investment Services LLC other | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | Feb 26, 2010 | Mar 16, 2010 |
| Andrew Kent Toolson | Key Investment Services LLC other | Girard Securities, Inc. other | Other | Feb 1, 2010 | Jan 25, 2012 (723 d) |
| Tyson Andrew Farmer | Key Investment Services LLC other | U.S. Bancorp Investments, Inc. other | Other | Jan 28, 2010 | Feb 3, 2010 |