| Robert Thomas Stoltz | Citizens Securities, Inc. other | U.S. Bancorp Investments, Inc. other | Other | Jun 21, 2014 | Jun 20, 2014 |
| Merima Ramushi | Citizens Securities, Inc. other | U.S. Bancorp Investments, Inc. other | Other | Jun 21, 2014 | Jul 16, 2014 |
| Prashant Thakker | Citizens Securities, Inc. other | U.S. Bancorp Investments, Inc. other | Other | Jun 21, 2014 | Jun 20, 2014 |
| Piero Pannarale | Citizens Securities, Inc. other | U.S. Bancorp Investments, Inc. other | Other | Jun 21, 2014 | Jun 20, 2014 |
| Kelly Jane Romano | Citizens Securities, Inc. other | U.S. Bancorp Investments, Inc. other | Other | Jun 21, 2014 | Jun 20, 2014 |
| Gerald Robert Rose | Citizens Securities, Inc. other | Cuso Financial Services, L.P. other | Other | Jun 18, 2014 | Mar 5, 2015 (260 d) |
| Daniel Joseph De Masi | Citizens Securities, Inc. other | Citigroup Global Markets Inc. other | Other | Jun 18, 2014 | Jun 19, 2014 |
| James Matthew Zika | Citizens Securities, Inc. other | Citigroup Global Markets Inc. other | Other | Jun 18, 2014 | Jul 1, 2014 |
| Justin J Catalano | Citizens Securities, Inc. other | Advice And Planning Services other | Other | May 21, 2014 | Jun 3, 2014 |
| Matthew J. Sasso | Citizens Securities, Inc. other | Strategic Advisers LLC national BD | Other | May 21, 2014 | Sep 3, 2014 (105 d) |
| Christine Elizabeth Belair | Citizens Securities, Inc. other | LPL Financial LLC other | Other | May 15, 2014 | May 27, 2014 |
| Randy Scott Pludo | Citizens Securities, Inc. other | Wells Fargo Advisors wirehouse | Other | Apr 28, 2014 | Oct 28, 2014 (183 d) |
| Matthew Peter Smith | Citizens Securities, Inc. other | Santander Securities other | Other | Apr 11, 2014 | Jul 1, 2014 (81 d) |
| Richard Murray Held | Citizens Securities, Inc. other | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | Apr 10, 2014 | May 1, 2014 |
| Ryann N Kilgore | Citizens Securities, Inc. other | Santander Securities other | Other | Apr 10, 2014 | Apr 11, 2014 |
| Jack Andrew Mccroken | Citizens Securities, Inc. other | UBS Financial Services Inc. wirehouse | Other | Apr 10, 2014 | Apr 16, 2014 |
| Christopher Cordeiro | Citizens Securities, Inc. other | Santander Securities other | Other | Apr 9, 2014 | May 5, 2014 |
| Joshua Smail | Citizens Securities, Inc. other | LPL Financial LLC other | Other | Apr 7, 2014 | Apr 8, 2014 |
| Kaleb Matthew Burns | Citizens Securities, Inc. other | Santander Securities other | Other | Apr 1, 2014 | Apr 18, 2014 |
| Brian J Webb | Citizens Securities, Inc. other | Waddell & Reed other | Other | Mar 24, 2014 | Mar 3, 2014 |
| Irene Bock | Citizens Securities, Inc. other | Santander Securities other | Other | Mar 24, 2014 | May 5, 2014 (42 d) |
| Robert Russell Brouthers | Citizens Securities, Inc. other | Charles Schwab & Co., Inc. national BD | Other | Mar 24, 2014 | Jan 8, 2016 (655 d) |
| Paul Henry Melanson | Citizens Securities, Inc. other | Santander Securities other | Other | Mar 17, 2014 | Mar 31, 2014 |
| Laureen Maebeth Landgren | Citizens Securities, Inc. other | Santander Securities other | Other | Mar 14, 2014 | Mar 18, 2014 |
| Anthony N. Sivillo | Citizens Securities, Inc. other | M&T Securities, Inc. unclassified | Other | Feb 20, 2014 | Feb 28, 2014 |
| Adam Richard Wojtkowski | Citizens Securities, Inc. other | Beaumont Financial Partners LLC other | Other | Feb 7, 2014 | Feb 24, 2014 |
| Thomas Vincent Alessi | Citizens Securities, Inc. other | Oneamerica Securities, Inc. other | Other | Jan 27, 2014 | Feb 24, 2014 |
| Thomas Wesley Remmey | Citizens Securities, Inc. other | Raymond James Financial Services Advisors, Inc other | Other | Jan 6, 2014 | Jan 9, 2014 |
| Jeffrey Thomas Williams | Citizens Securities, Inc. other | J.P. Morgan Securities LLC wirehouse | Other | Dec 17, 2013 | Dec 16, 2013 |
| Wendy Sue Morasco | Citizens Securities, Inc. other | LPL Financial LLC other | Other | Dec 13, 2013 | Dec 17, 2013 |
| Thomas J Kelly | Citizens Securities, Inc. other | LPL Financial LLC other | Other | Dec 4, 2013 | Dec 3, 2013 |
| Kevin Richard Sullivan | Citizens Securities, Inc. other | Advice And Planning Services other | Other | Dec 3, 2013 | Dec 23, 2013 |
| Jeffery Henrikson | Citizens Securities, Inc. other | Suntrust Investment Services, Inc. other | Other | Nov 25, 2013 | Dec 2, 2013 |
| Philip Thomas Webb | Citizens Securities, Inc. other | Waddell & Reed other | Other | Nov 12, 2013 | Nov 8, 2013 |
| Aldin Rakovic | Citizens Securities, Inc. other | J.P. Morgan Securities LLC wirehouse | Other | Nov 6, 2013 | Jan 29, 2014 (84 d) |
| Natalie Yvonne Yaksick | Citizens Securities, Inc. other | LPL Financial LLC other | Other | Nov 5, 2013 | Nov 20, 2013 |
| Michael Robert Cianciola | Citizens Securities, Inc. other | LPL Financial LLC other | Other | Sep 25, 2013 | Sep 30, 2013 |
| Nathan Carvalho | Citizens Securities, Inc. other | Strategic Advisers LLC national BD | Other | Sep 3, 2013 | Sep 30, 2013 |
| Michael Stephen Jilling | Citizens Securities, Inc. other | LPL Financial LLC other | Other | Aug 20, 2013 | Aug 16, 2013 |
| Brian E Wooten | Citizens Securities, Inc. other | LPL Financial LLC other | Other | Jul 30, 2013 | Jul 31, 2013 |
| Anthony J Capristo | Citizens Securities, Inc. other | Fisher Investments other | Other | Jul 15, 2013 | Jul 2, 2013 |
| David Kenneth English | Citizens Securities, Inc. other | J.P. Morgan Securities LLC wirehouse | Other | Jun 18, 2013 | Jun 18, 2013 |
| Linda Christine Collier | Citizens Securities, Inc. other | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | May 21, 2013 | Mar 29, 2017 (1408 d) |
| Alvin C Hill | Citizens Securities, Inc. other | Edward Jones national BD | Other | Mar 26, 2013 | Jul 28, 2020 (2681 d) |
| Jeffrey Michael Causey | Citizens Securities, Inc. other | Advice And Planning Services other | Other | Mar 22, 2013 | Mar 20, 2017 (1459 d) |
| Scott Allen Wertz | Citizens Securities, Inc. other | Firstmerit Advisors, Inc. unclassified | Other | Mar 12, 2013 | Mar 11, 2013 |
| Sandra Alterio Barry | Citizens Securities, Inc. other | Cadaret Grant & Co Inc other | Other | Feb 19, 2013 | Oct 1, 2014 (589 d) |
| Prinya Sommala | Citizens Securities, Inc. other | Santander Securities other | Other | Jan 28, 2013 | Feb 21, 2013 |
| Charles Marion Fetters | Citizens Securities, Inc. other | Waddell & Reed other | Other | Jan 8, 2013 | Jan 2, 2013 |
| Joseph Query | Citizens Securities, Inc. other | Td Ameritrade, Inc. no RAUM | Other | Jan 3, 2013 | Jan 9, 2013 |
| Brian Robert Gaumont | Citizens Securities, Inc. other | Santander Securities other | Other | Jan 3, 2013 | Jan 7, 2013 |
| Matthew John Wilcox | Citizens Securities, Inc. other | Santander Securities other | Other | Dec 7, 2012 | Dec 13, 2012 |
| Eileen Marie Keegan | Citizens Securities, Inc. other | Wells Fargo Advisors wirehouse | Other | Nov 27, 2012 | Nov 26, 2012 |
| Christopher Allen Egli | Citizens Securities, Inc. other | Money Concepts Advisory Service other | Other | Nov 20, 2012 | Nov 30, 2012 |
| Todd William Shimshock | Citizens Securities, Inc. other | J.P. Morgan Securities LLC wirehouse | Other | Nov 5, 2012 | Nov 8, 2012 |
| Nicholas Curinga | Citizens Securities, Inc. other | LPL Financial LLC other | Other | Nov 5, 2012 | Nov 19, 2012 |
| Dawn Autin Dupre | Citizens Securities, Inc. other | Morgan Stanley wirehouse | Other | Oct 23, 2012 | Nov 18, 2013 (391 d) |
| Mark C Witt | Citizens Securities, Inc. other | Santander Securities other | Other | Oct 9, 2012 | Oct 17, 2012 |
| Russell Edward Harris | Citizens Securities, Inc. other | Invest Financial Corporation other | Other | Oct 2, 2012 | Oct 2, 2012 |
| Peter Louis Mureddu | Citizens Securities, Inc. other | Advice And Planning Services other | Other | Sep 17, 2012 | Nov 13, 2012 (57 d) |