| Michael Steven Gradl | Cuso Financial Services, L.P. other | Sorrento Pacific Financial, LLC other | Other | Feb 1, 2013 | Jan 17, 2013 |
| Maeghan Joi Holmes | Cuso Financial Services, L.P. other | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | Jan 7, 2013 | Jun 2, 2016 (1242 d) |
| Timothy Mark Scholten | Cuso Financial Services, L.P. other | Spc other | Other | Jan 2, 2013 | Jun 17, 2013 (166 d) |
| Allison Jo Alley | Cuso Financial Services, L.P. other | LPL Financial LLC other | Other | Jan 2, 2013 | Dec 19, 2012 |
| David Andrew Mcdermott | Cuso Financial Services, L.P. other | LPL Financial LLC other | Other | Dec 10, 2012 | Dec 20, 2012 |
| Tristan Ludwig | Cuso Financial Services, L.P. other | E*Trade Capital Management, LLC other | Other | Nov 20, 2012 | Oct 23, 2012 |
| Zoran Ivan Lozo | Cuso Financial Services, L.P. other | LPL Financial LLC other | Other | Nov 2, 2012 | Nov 26, 2012 |
| Joseph P. Schaefer | Cuso Financial Services, L.P. other | J.P. Morgan Securities LLC wirehouse | Other | Sep 26, 2012 | Nov 30, 2012 (65 d) |
| Marcus Tyrone Stell | Cuso Financial Services, L.P. other | J.P. Morgan Securities LLC wirehouse | Other | Sep 21, 2012 | Sep 3, 2013 (347 d) |
| David Michael Ricci | Cuso Financial Services, L.P. other | LPL Financial LLC other | Other | Sep 6, 2012 | Sep 5, 2012 |
| Kevin Glenn Albrecht | Cuso Financial Services, L.P. other | Cetera Investment Services LLC other | Other | Aug 22, 2012 | Nov 19, 2012 (89 d) |
| Dominick Martinez Divine | Cuso Financial Services, L.P. other | Essex National Securities, Inc. other | Other | Aug 10, 2012 | Aug 13, 2012 |
| Jacqueline Lea Halcomb | Cuso Financial Services, L.P. other | Edward Jones national BD | Other | Aug 10, 2012 | Aug 17, 2012 |
| Dustin Weaver | Cuso Financial Services, L.P. other | Investment Centers Of America, Inc. other | Other | Jun 29, 2012 | Jun 26, 2012 |
| Richard Lee Chambers | Cuso Financial Services, L.P. other | U.S. Bancorp Investments, Inc. other | Other | Jun 8, 2012 | May 31, 2012 |
| James Paul Morgan | Cuso Financial Services, L.P. other | State Farm Investment Management Corp. asset manager | Other | May 31, 2012 | Dec 4, 2018 (2378 d) |
| James Clayton Mcconnell | Cuso Financial Services, L.P. other | Fifth Third Securities, Inc. other | Other | Apr 25, 2012 | May 14, 2012 |
| Larry Wayne Price | Cuso Financial Services, L.P. other | LPL Financial LLC other | Other | Apr 11, 2012 | May 2, 2012 |
| Kelly E Senkyr | Cuso Financial Services, L.P. other | Charles Schwab & Co., Inc. national BD | Other | Apr 11, 2012 | May 8, 2012 |
| Christopher D Phillips | Cuso Financial Services, L.P. other | Principal Securities, Inc. other | Other | Mar 30, 2012 | Apr 12, 2012 |
| Rhandy Arzaga | Cuso Financial Services, L.P. other | Signator Investors, Inc. other | Other | Feb 21, 2012 | May 13, 2016 (1543 d) |
| Melissa Renee Keese | Cuso Financial Services, L.P. other | Raymond James Financial Services Advisors, Inc other | Other | Jan 24, 2012 | Feb 8, 2012 |
| Mary Levy | Cuso Financial Services, L.P. other | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | Jan 24, 2012 | Mar 13, 2012 (49 d) |
| Melisa Doucette Lindsay-Lipkins | Cuso Financial Services, L.P. other | Raymond James Financial Services Advisors, Inc other | Other | Jan 23, 2012 | Jan 30, 2012 |
| Kimberlee Ann Bouska | Cuso Financial Services, L.P. other | Raymond James Financial Services Advisors, Inc other | Other | Jan 23, 2012 | Jan 30, 2012 |
| Alexandra Fitts Lambert | Cuso Financial Services, L.P. other | Raymond James Financial Services Advisors, Inc other | Other | Jan 23, 2012 | Jan 19, 2012 |
| Michael Patrick Cooney | Cuso Financial Services, L.P. other | Raymond James Financial Services Advisors, Inc other | Other | Jan 23, 2012 | Jan 19, 2012 |
| Kasha Brook Mclemore | Cuso Financial Services, L.P. other | Raymond James Financial Services Advisors, Inc other | Other | Jan 23, 2012 | Jan 30, 2012 |
| Heath A Hanchey | Cuso Financial Services, L.P. other | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | Jan 11, 2012 | Feb 7, 2012 |
| Kevin Joseph Parker | Cuso Financial Services, L.P. other | LPL Financial LLC other | Other | Dec 16, 2011 | Dec 15, 2011 |
| Byron Richard Smith | Cuso Financial Services, L.P. other | Valic Financial Advisors, Inc. other | Other | Dec 1, 2011 | Jun 21, 2012 (203 d) |
| Kelly L Davis | Cuso Financial Services, L.P. other | Allstate Financial Advisors, LLC no RAUM | Other | Sep 20, 2011 | Feb 15, 2013 (514 d) |
| Thomas Anthony Walker | Cuso Financial Services, L.P. other | Fisher Investments other | Other | Sep 20, 2011 | Jul 23, 2013 (672 d) |
| Charles Edward Prather | Cuso Financial Services, L.P. other | UBS Financial Services Inc. wirehouse | Other | Aug 26, 2011 | Aug 25, 2011 |
| Brian Fee | Cuso Financial Services, L.P. other | LPL Financial LLC other | Other | Aug 26, 2011 | Sep 7, 2011 |
| Alan Michael Romero | Cuso Financial Services, L.P. other | UBS Financial Services Inc. wirehouse | Other | Aug 26, 2011 | Aug 25, 2011 |
| Timothy Steele Werdel | Cuso Financial Services, L.P. other | Ameriprise Financial Services, LLC national BD | Other | Aug 2, 2011 | Aug 1, 2011 |
| Dejan Tasich | Cuso Financial Services, L.P. other | LPL Financial LLC other | Other | Jul 20, 2011 | Aug 2, 2011 |
| Aimee Maria Florea | Cuso Financial Services, L.P. other | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | Jun 10, 2011 | Oct 17, 2011 (129 d) |
| Thomas M. Birkley | Cuso Financial Services, L.P. other | Pnc Wealth Management other | Other | May 17, 2011 | May 26, 2011 |
| Kari Ellen Hancock | Cuso Financial Services, L.P. other | Ameriprise Financial Services, LLC national BD | Other | May 17, 2011 | Jun 6, 2011 |
| Michael Dean Hammen | Cuso Financial Services, L.P. other | LPL Financial LLC other | Other | May 5, 2011 | Aug 5, 2011 (92 d) |
| Janice Michelle Dunn | Cuso Financial Services, L.P. other | Partnervest Advisory Services LLC other | Other | May 5, 2011 | Jun 27, 2011 (53 d) |
| Alfred David Barbato | Cuso Financial Services, L.P. other | Pnc Wealth Management other | Other | Mar 24, 2011 | Apr 6, 2011 |
| Edward Dayan Rubin | Cuso Financial Services, L.P. other | LPL Financial LLC other | Other | Mar 24, 2011 | Mar 8, 2011 |
| Felicia Deatrette Erwin-Sanders | Cuso Financial Services, L.P. other | LPL Financial LLC other | Other | Feb 28, 2011 | Jan 31, 2011 |
| Jorge Christian Chain | Cuso Financial Services, L.P. other | LPL Financial LLC other | Other | Feb 7, 2011 | Feb 16, 2011 |
| Michael J Calandruccio | Cuso Financial Services, L.P. other | Securities America Advisors, Inc. other | Other | Feb 7, 2011 | Mar 11, 2011 (32 d) |
| Lori Anne Mondello | Cuso Financial Services, L.P. other | LPL Financial LLC other | Other | Jan 26, 2011 | Mar 23, 2011 (56 d) |
| Zelalem Baalu Girma | Cuso Financial Services, L.P. other | U.S. Bancorp Advisors, LLC other | Other | Dec 17, 2010 | Jan 24, 2011 (38 d) |
| Andrew Jules Chabot | Cuso Financial Services, L.P. other | U.S. Bancorp Investments, Inc. other | Other | Dec 17, 2010 | Dec 3, 2010 |
| Neil O'Connor | Cuso Financial Services, L.P. other | LPL Financial LLC other | Other | Dec 15, 2010 | Dec 15, 2010 |
| Deborah Ruth Krumwiede | Cuso Financial Services, L.P. other | Cetera Investment Services LLC other | Other | Dec 2, 2010 | Dec 1, 2010 |
| Fred David Abajelo | Cuso Financial Services, L.P. other | Cetera Investment Services LLC other | Other | Dec 1, 2010 | Dec 1, 2010 |
| Trevor Moore Johnson | Cuso Financial Services, L.P. other | Cetera Investment Services LLC other | Other | Dec 1, 2010 | Nov 30, 2010 |
| Kenneth Dean Quiat | Cuso Financial Services, L.P. other | Allstate Financial Advisors, LLC no RAUM | Other | Nov 8, 2010 | Jul 19, 2012 (619 d) |
| Paul Lester Clark | Cuso Financial Services, L.P. other | Chase Investment Services Corp. other | Other | Oct 26, 2010 | Dec 3, 2010 (38 d) |
| Christopher Eric Asplin | Cuso Financial Services, L.P. other | Chase Investment Services Corp. other | Other | Oct 7, 2010 | Dec 13, 2010 (67 d) |
| David Osborne Gillaspy | Cuso Financial Services, L.P. other | Allstate Financial Advisors, LLC no RAUM | Other | Oct 7, 2010 | Jan 13, 2012 (463 d) |
| Richard Omar Wilson | Cuso Financial Services, L.P. other | LPL Financial LLC other | Other | Oct 7, 2010 | Sep 30, 2010 |