| Cintra V. Bedassie | Barclays Capital Inc. other | Credit Suisse Securities (USA) LLC other | Other | Dec 23, 2013 | Mar 12, 2015 (444 d) |
| Thomas Charles Dexter | Barclays Capital Inc. other | Commonwealth Strategic Advisory other | Other | Dec 23, 2013 | Oct 8, 2014 (289 d) |
| Carmen Milagros Marrero | Barclays Capital Inc. other | Oppenheimer & Co. Inc. other | Other | Dec 23, 2013 | Jan 16, 2014 |
| Daniel Charles Esslinger | Barclays Capital Inc. other | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | Dec 23, 2013 | Dec 11, 2013 |
| Thomas E Moore | Barclays Capital Inc. other | J.P. Morgan Private Wealth Advisors LLC other | Other | Dec 12, 2013 | Dec 6, 2013 |
| Mirko Joldzic | Barclays Capital Inc. other | UBS Financial Services Inc. wirehouse | Other | Dec 12, 2013 | Dec 4, 2013 |
| Yarilin Bernal | Barclays Capital Inc. other | UBS Financial Services Inc. wirehouse | Other | Dec 12, 2013 | Dec 11, 2013 |
| Jeannie P. Adams | Barclays Capital Inc. other | Morgan Stanley wirehouse | Other | Dec 6, 2013 | Nov 19, 2013 |
| Francesca Fabietti | Barclays Capital Inc. other | Morgan Stanley wirehouse | Other | Dec 6, 2013 | Dec 23, 2013 |
| Kimberly Greenberg | Barclays Capital Inc. other | UBS Financial Services Inc. wirehouse | Other | Nov 21, 2013 | Nov 14, 2013 |
| Francesca Maria Zavolta | Barclays Capital Inc. other | Morgan Stanley wirehouse | Other | Oct 11, 2013 | Oct 8, 2013 |
| Roberto Ho Chiu | Barclays Capital Inc. other | Wells Fargo Advisors wirehouse | Other | Oct 11, 2013 | Nov 8, 2013 |
| Steven C Gaziano | Barclays Capital Inc. other | Morgan Stanley wirehouse | Other | Oct 8, 2013 | Sep 25, 2013 |
| Gregory H Barbeau | Barclays Capital Inc. other | Morgan Stanley wirehouse | Other | Oct 7, 2013 | Sep 16, 2013 |
| Carmine N. Rullo | Barclays Capital Inc. other | Morgan Stanley wirehouse | Other | Sep 26, 2013 | Sep 16, 2013 |
| Dawn Kami Charmatz | Barclays Capital Inc. other | Primerica Advisors national BD | Other | Aug 28, 2013 | Jul 30, 2015 (701 d) |
| Barton Medlen Bonney | Barclays Capital Inc. other | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | Aug 20, 2013 | Jun 16, 2016 (1031 d) |
| Lourdes Raily Rada | Barclays Capital Inc. other | Wells Fargo Advisors wirehouse | Other | Jul 26, 2013 | Jun 6, 2024 (3968 d) |
| Trevor Blake Bryant | Barclays Capital Inc. other | Rgt Wealth Advisors other | Other | Jul 25, 2013 | Feb 26, 2015 (581 d) |
| Ryan S Brizendine | Barclays Capital Inc. other | Rgt Wealth Advisors other | Other | Jul 25, 2013 | Feb 20, 2015 (575 d) |
| William Christopher Clinton | Barclays Capital Inc. other | Edward Jones national BD | Other | Jun 28, 2013 | Nov 17, 2017 (1603 d) |
| Danna Jacobs | Barclays Capital Inc. other | Lavish Financial Planning state registered | Other | Mar 27, 2013 | Jun 18, 2013 (83 d) |
| Claudia Patricia Carmona | Barclays Capital Inc. other | UBS Financial Services Inc. wirehouse | Other | Mar 18, 2013 | Mar 1, 2013 |
| Benny Omar Torres-Sanchez | Barclays Capital Inc. other | UBS Financial Services Inc. wirehouse | Other | Mar 18, 2013 | Mar 1, 2013 |
| William George Clements | Barclays Capital Inc. other | Parallel Advisors, LLC other | Other | Mar 8, 2013 | Feb 19, 2013 |
| Matthew Glenn Clements | Barclays Capital Inc. other | Parallel Advisors, LLC other | Other | Mar 8, 2013 | Feb 19, 2013 |
| Elizabeth Ann Fell | Barclays Capital Inc. other | Leucadia Asset Management LLC other | Other | Dec 20, 2012 | Mar 12, 2013 (82 d) |
| Howard Allen Shallcross | Barclays Capital Inc. other | Morgan Stanley wirehouse | Other | Dec 6, 2012 | Nov 29, 2012 |
| Fernanda Novaes | Barclays Capital Inc. other | Intercontinental Wealth Advisors, LLC other | Other | Nov 29, 2012 | Jun 3, 2013 (186 d) |
| Donald J. Joseph Mahoney | Barclays Capital Inc. other | UBS Financial Services Inc. wirehouse | Other | Nov 20, 2012 | Nov 5, 2012 |
| Margaret Alexander Ashooh | Barclays Capital Inc. other | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | Nov 8, 2012 | May 1, 2014 (539 d) |
| Jonathan Quoc-Anh Tran | Barclays Capital Inc. other | Garrison Point Capital, LLC no RAUM | Other | Oct 24, 2012 | Oct 31, 2012 |
| Garrett James Smith | Barclays Capital Inc. other | Garrison Point Capital, LLC no RAUM | Other | Oct 24, 2012 | Oct 31, 2012 |
| Carol Ann Mulcahy | Barclays Capital Inc. other | The Investment Counsel Company other | Other | Oct 11, 2012 | Jul 23, 2014 (650 d) |
| Kimberly Engeln | Barclays Capital Inc. other | J.P. Morgan Securities LLC wirehouse | Other | Oct 11, 2012 | Oct 19, 2012 |
| Thomas J Bellaro | Barclays Capital Inc. other | Park Avenue Securities LLC other | Other | Oct 11, 2012 | Nov 21, 2012 (41 d) |
| David Manuel Tarrio | Barclays Capital Inc. other | J.P. Morgan Securities LLC wirehouse | Other | Sep 27, 2012 | Nov 21, 2012 (55 d) |
| Roger Richard Rowe | Barclays Capital Inc. other | UBS Financial Services Inc. wirehouse | Other | Sep 13, 2012 | Dec 13, 2012 (91 d) |
| Robert Stephen Loftis | Barclays Capital Inc. other | Morgan Stanley wirehouse | Other | Sep 4, 2012 | Aug 20, 2012 |
| Natalia A Tchetchoulina | Barclays Capital Inc. other | Cerity Partners LLC independent RIA | Other | Jul 27, 2012 | Jul 27, 2021 (3287 d) |
| Shannon Kathleen Mclaughlin | Barclays Capital Inc. other | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | Jul 19, 2012 | Jul 6, 2012 |
| Matthew Joseph Celenza | Barclays Capital Inc. other | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | Jul 19, 2012 | Jul 6, 2012 |
| Andrea Shieh | Barclays Capital Inc. other | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | Jul 19, 2012 | Jul 6, 2012 |
| Mayra C Ramirez | Barclays Capital Inc. other | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | Jul 19, 2012 | Jul 17, 2012 |
| Christopher L. Williams | Barclays Capital Inc. other | Oak Ridge Investments, LLC other | Other | Jul 12, 2012 | Jul 27, 2012 |
| Justin Matthew Mccloskey | Barclays Capital Inc. other | Morgan Stanley wirehouse | Other | Jul 12, 2012 | Jun 29, 2012 |
| David Lawrence Zoll | Barclays Capital Inc. other | Dominari Securities LLC other | Other | Jul 3, 2012 | Jun 25, 2012 |
| Sarah A Pifer | Barclays Capital Inc. other | Dominari Securities LLC other | Other | Jul 3, 2012 | Jun 27, 2012 |
| Mark Thomas Lindee | Barclays Capital Inc. other | Wells Fargo Advisors wirehouse | Other | Jun 13, 2012 | May 21, 2012 |
| John George Madson | Barclays Capital Inc. other | UBS Financial Services Inc. wirehouse | Other | Jun 1, 2012 | Jun 18, 2012 |
| Charlene Preciado | Barclays Capital Inc. other | Wells Fargo Advisors wirehouse | Other | Jun 1, 2012 | May 21, 2012 |
| Hovick M Babajanian | Barclays Capital Inc. other | Wells Fargo Advisors wirehouse | Other | May 25, 2012 | May 18, 2012 |
| Christopher G. Stimming | Barclays Capital Inc. other | Chase Investment Services Corp. other | Other | May 22, 2012 | May 11, 2012 |
| Jeffrey Robert Hyman | Barclays Capital Inc. other | UBS Financial Services Inc. wirehouse | Other | May 22, 2012 | May 22, 2012 |
| Courtney Brooke Hutchinson | Barclays Capital Inc. other | Waypoint Wealth Partners other | Other | May 14, 2012 | Jun 8, 2012 |
| Stephen Alan Colavito | Barclays Capital Inc. other | Oppenheimer & Co. Inc. other | Other | May 9, 2012 | May 24, 2012 |
| Joseph Fewsmith Lord | Barclays Capital Inc. other | Stifel, Nicolaus & Company, Incorporated national BD | Other | Mar 29, 2012 | Mar 1, 2021 (3259 d) |
| John Thomas Giese | Barclays Capital Inc. other | RBC Capital Markets, LLC national BD | Other | Mar 16, 2012 | Nov 14, 2013 (608 d) |
| John Joseph Borzi | Barclays Capital Inc. other | J.P. Morgan Securities LLC wirehouse | Other | Mar 9, 2012 | Feb 27, 2012 |
| Raymond Nicholas Catone | Barclays Capital Inc. other | Citigroup Global Markets Inc. other | Other | Mar 9, 2012 | Mar 7, 2012 |