| Donald Albert Mattran | Suntrust Investment Services, Inc. other | Realta Investment Advisors, Inc other | Other | May 24, 2010 | Apr 7, 2011 (318 d) |
| David Griswold Curry | Suntrust Investment Services, Inc. other | Securian Financial Services, Inc. other | Other | May 24, 2010 | Jul 12, 2010 (49 d) |
| Craig Mitchell | Suntrust Investment Services, Inc. other | Fifth Third Securities, Inc. other | Other | May 24, 2010 | Aug 20, 2010 (88 d) |
| Stephen Barrett May | Suntrust Investment Services, Inc. other | Morgan Keegan & Company, LLC other | Other | May 19, 2010 | May 27, 2010 |
| Timothy M Phenecie | Suntrust Investment Services, Inc. other | Bb&T Investment Services, Inc. no RAUM | Other | May 18, 2010 | May 17, 2010 |
| Trina Kay Desoto | Suntrust Investment Services, Inc. other | U.S. Bancorp Investments, Inc. other | Other | May 10, 2010 | May 11, 2010 |
| Barbara Ann Martin | Suntrust Investment Services, Inc. other | Northwestern Mutual Investment Services,LLC other | Other | May 10, 2010 | Jul 14, 2010 (65 d) |
| Steven Dale Boles | Suntrust Investment Services, Inc. other | First Horizon Advisors, Inc other | Other | May 10, 2010 | May 20, 2010 |
| Meridith Gail Mimbs | Suntrust Investment Services, Inc. other | UBS Financial Services Inc. wirehouse | Other | May 6, 2010 | Dec 3, 2010 (211 d) |
| Jason Clarke Connally | Suntrust Investment Services, Inc. other | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | May 4, 2010 | May 10, 2010 |
| Melissa Anne Blankenship | Suntrust Investment Services, Inc. other | Morgan Stanley wirehouse | Other | May 4, 2010 | Jan 25, 2017 (2458 d) |
| Christopher Aiken Webb | Suntrust Investment Services, Inc. other | First Horizon Advisors, Inc other | Other | May 4, 2010 | Jun 10, 2010 (37 d) |
| Kimberly Marie Bleach | Suntrust Investment Services, Inc. other | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | Apr 29, 2010 | Aug 9, 2010 (102 d) |
| David Matthew Walker | Suntrust Investment Services, Inc. other | LPL Financial LLC other | Other | Apr 27, 2010 | Apr 26, 2010 |
| Amy Noelle France | Suntrust Investment Services, Inc. other | U.S. Bancorp Investments, Inc. other | Other | Apr 16, 2010 | Apr 19, 2010 |
| Carl James Greene | Suntrust Investment Services, Inc. other | Wells Fargo Advisors wirehouse | Other | Apr 16, 2010 | Apr 14, 2010 |
| Michael David Pagliari | Suntrust Investment Services, Inc. other | Morgan Keegan & Company, LLC other | Other | Apr 15, 2010 | Apr 23, 2010 |
| Dewayne Ladon Ellis | Suntrust Investment Services, Inc. other | Edward Jones national BD | Other | Apr 12, 2010 | Apr 19, 2010 |
| Sal Gianfortune | Suntrust Investment Services, Inc. other | Pnc Wealth Management other | Other | Apr 7, 2010 | Apr 28, 2010 |
| Matthew Alan Burns | Suntrust Investment Services, Inc. other | Wells Fargo Advisors wirehouse | Other | Apr 6, 2010 | Apr 5, 2010 |
| Christopher Edward Thomas | Suntrust Investment Services, Inc. other | Wells Fargo Advisors wirehouse | Other | Apr 5, 2010 | Apr 5, 2010 |
| Jonathan Michael Fortin | Suntrust Investment Services, Inc. other | Goldman Sachs Wealth Services, L.P. other | Other | Apr 5, 2010 | Aug 31, 2010 (148 d) |
| Corey Mccabe Heck | Suntrust Investment Services, Inc. other | Wells Fargo Advisors wirehouse | Other | Apr 5, 2010 | Apr 5, 2010 |
| Timothy A. Lloyd | Suntrust Investment Services, Inc. other | Usaa Financial Planning Services no RAUM | Other | Mar 31, 2010 | Oct 4, 2010 (187 d) |
| Michael Gregory Feduccia | Suntrust Investment Services, Inc. other | Raymond James Financial Services Advisors, Inc other | Other | Mar 29, 2010 | May 24, 2010 (56 d) |
| Russell Bennett Cearley | Suntrust Investment Services, Inc. other | Signaturefd, LLC other | Other | Mar 25, 2010 | Aug 14, 2014 (1603 d) |
| Donald Michael Jankowski | Suntrust Investment Services, Inc. other | Raymond James Financial Services Advisors, Inc other | Other | Mar 23, 2010 | Jun 15, 2010 (84 d) |
| Christopher George Connelly | Suntrust Investment Services, Inc. other | Raymond James Financial Services Advisors, Inc other | Other | Mar 15, 2010 | Mar 29, 2010 |
| Kevin M Ryan | Suntrust Investment Services, Inc. other | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | Mar 5, 2010 | Jan 28, 2011 (329 d) |
| Anthony Lepore | Suntrust Investment Services, Inc. other | Msi Financial Services, Inc. other | Other | Mar 5, 2010 | Aug 26, 2010 (174 d) |
| Brentley Elliott Priddy | Suntrust Investment Services, Inc. other | Bb&T Investment Services, Inc. no RAUM | Other | Feb 22, 2010 | Mar 8, 2010 |
| Tracy Ann Henderson | Suntrust Investment Services, Inc. other | Wells Fargo Advisors wirehouse | Other | Feb 9, 2010 | Jan 29, 2010 |
| John Warren Martin | Suntrust Investment Services, Inc. other | Wells Fargo Advisors wirehouse | Other | Feb 4, 2010 | Jan 29, 2010 |
| Kimberly Sue Snyder | Suntrust Investment Services, Inc. other | Bb&T Investment Services, Inc. no RAUM | Other | Jan 21, 2010 | Jan 26, 2010 |
| Keith Earl Spelmon | Suntrust Investment Services, Inc. other | Wells Fargo Advisors wirehouse | Other | Jan 21, 2010 | Jan 26, 2010 |
| John E Thornton | Suntrust Investment Services, Inc. other | Wells Fargo Advisors wirehouse | Other | Jan 19, 2010 | Jan 8, 2010 |
| Brian Keith Williams | Suntrust Investment Services, Inc. other | Wells Fargo Advisors wirehouse | Other | Jan 14, 2010 | Jan 8, 2010 |
| Richard Edwin Barron | Suntrust Investment Services, Inc. other | Deutsche Bank Securities Inc. other | Other | Jan 4, 2010 | Dec 24, 2009 |
| Sergio Javier Tello | Suntrust Investment Services, Inc. other | Wells Fargo Advisors wirehouse | Other | Dec 15, 2009 | Dec 11, 2009 |
| Andrew S Hamm | Suntrust Investment Services, Inc. other | Charles Schwab & Co., Inc. national BD | Other | Nov 30, 2009 | Dec 7, 2010 (372 d) |
| Dave Louis James | Suntrust Investment Services, Inc. other | Bb&T Investment Services, Inc. no RAUM | Other | Nov 16, 2009 | Mar 10, 2011 (479 d) |
| David B Lando | Suntrust Investment Services, Inc. other | Wells Fargo Advisors wirehouse | Other | Nov 16, 2009 | Nov 19, 2009 |
| James Greer Brown | Suntrust Investment Services, Inc. other | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | Nov 13, 2009 | Nov 4, 2009 |
| John D Rose | Suntrust Investment Services, Inc. other | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | Nov 13, 2009 | Nov 4, 2009 |
| Michael Bratsztein | Suntrust Investment Services, Inc. other | Usaa Financial Planning Services no RAUM | Other | Nov 11, 2009 | Jan 4, 2010 (54 d) |
| Scottie B Ringer | Suntrust Investment Services, Inc. other | Questar Asset Management, Inc. other | Other | Nov 2, 2009 | Jul 13, 2010 (253 d) |
| Andrea Brashears-Sampson | Suntrust Investment Services, Inc. other | West Financial Services, Inc. other | Other | Nov 2, 2009 | Jan 5, 2017 (2621 d) |
| Marc Howard Verner | Suntrust Investment Services, Inc. other | Wells Fargo Advisors wirehouse | Other | Oct 26, 2009 | Oct 16, 2009 |
| Maria Luisa De Jesus | Suntrust Investment Services, Inc. other | Efg Capital Advisors LLC other | Other | Oct 16, 2009 | Nov 10, 2009 |
| Bradley Steven Mcgrew | Suntrust Investment Services, Inc. other | Ci Brightworth Private Wealth other | Other | Oct 8, 2009 | Oct 23, 2009 |
| Veska Dimitrova Kita | Suntrust Investment Services, Inc. other | Afc Asset Management Services, Inc. other | Other | Oct 1, 2009 | Feb 12, 2010 (134 d) |
| Louis Ferree Allen | Suntrust Investment Services, Inc. other | First Horizon Advisors, Inc other | Other | Sep 29, 2009 | Dec 11, 2009 (73 d) |
| Brian Phillip Gibbons | Suntrust Investment Services, Inc. other | Wells Fargo Advisors wirehouse | Other | Sep 28, 2009 | Sep 28, 2009 |
| Jeffrey Alan Bucci | Suntrust Investment Services, Inc. other | Wells Fargo Advisors wirehouse | Other | Sep 24, 2009 | Sep 18, 2009 |
| Shelly Ruiz | Suntrust Investment Services, Inc. other | Citigroup Global Markets Inc. other | Other | Sep 21, 2009 | Nov 23, 2009 (63 d) |
| Keith Steven Garland | Suntrust Investment Services, Inc. other | Wells Fargo Advisors wirehouse | Other | Sep 14, 2009 | Oct 17, 2011 (763 d) |
| Susan Lorraine Curry | Suntrust Investment Services, Inc. other | Wells Fargo Advisors wirehouse | Other | Sep 3, 2009 | Sep 1, 2009 |
| Robert Fitzgerald Alcan | Suntrust Investment Services, Inc. other | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | Sep 2, 2009 | Jun 14, 2011 (650 d) |
| Andrew Mitchell Pittinos | Suntrust Investment Services, Inc. other | Wells Fargo Advisors wirehouse | Other | Aug 26, 2009 | Aug 27, 2009 |
| Royce Alan Burns | Suntrust Investment Services, Inc. other | Wells Fargo Advisors wirehouse | Other | Aug 18, 2009 | Aug 19, 2009 |