| Tabitha Marshall Watson | Anderson & Strudwick, Incorporated other | Sterne Agee Asset Management, Inc. other | Other | Dec 15, 2011 | Dec 22, 2011 |
| Gordon Lee Crenshaw | Anderson & Strudwick, Incorporated other | Sterne Agee Asset Management, Inc. other | Other | Dec 12, 2011 | Dec 9, 2011 |
| David Stephen Ellington | Anderson & Strudwick, Incorporated other | Sterne Agee Asset Management, Inc. other | Other | Dec 12, 2011 | Dec 9, 2011 |
| Norman David Dayan | Anderson & Strudwick, Incorporated other | Sterne Agee Asset Management, Inc. other | Other | Dec 12, 2011 | Dec 9, 2011 |
| Robert David Wallace | Anderson & Strudwick, Incorporated other | Sterne Agee Asset Management, Inc. other | Other | Dec 12, 2011 | Dec 9, 2011 |
| Sara Marie Jones | Anderson & Strudwick, Incorporated other | Sterne Agee Asset Management, Inc. other | Other | Dec 12, 2011 | Feb 1, 2012 (51 d) |
| Roger Alan Huse | Anderson & Strudwick, Incorporated other | Sterne Agee Asset Management, Inc. other | Other | Dec 12, 2011 | Jan 4, 2012 |
| Bradley Allan Brown | Anderson & Strudwick, Incorporated other | Sterne Agee Asset Management, Inc. other | Other | Dec 12, 2011 | Dec 9, 2011 |
| Matthew Alan Mckay | Anderson & Strudwick, Incorporated other | Sterne Agee Asset Management, Inc. other | Other | Dec 12, 2011 | Dec 9, 2011 |
| Earl (Nmn) Stewart | Anderson & Strudwick, Incorporated other | Sterne Agee Asset Management, Inc. other | Other | Dec 9, 2011 | Dec 9, 2011 |
| Daniel Swift Edmunds | Anderson & Strudwick, Incorporated other | Sterne Agee Asset Management, Inc. other | Other | Dec 9, 2011 | Dec 9, 2011 |
| Jerry Gayle Alley | Anderson & Strudwick, Incorporated other | Sterne Agee Asset Management, Inc. other | Other | Dec 9, 2011 | Dec 9, 2011 |
| Robert Matthew Muller | Anderson & Strudwick, Incorporated other | Sterne Agee Asset Management, Inc. other | Other | Dec 9, 2011 | Dec 9, 2011 |
| Marilyn Mae Hoyle | Anderson & Strudwick, Incorporated other | Sterne Agee Asset Management, Inc. other | Other | Dec 9, 2011 | Dec 9, 2011 |
| Michael Sean Campbell | Anderson & Strudwick, Incorporated other | Sterne Agee Asset Management, Inc. other | Other | Dec 9, 2011 | Dec 9, 2011 |
| Robert Charles Stevens | Anderson & Strudwick, Incorporated other | Sterne Agee Asset Management, Inc. other | Other | Dec 9, 2011 | Dec 9, 2011 |
| Matthew Brown Whitaker | Anderson & Strudwick, Incorporated other | Sterne Agee Asset Management, Inc. other | Other | Dec 9, 2011 | Dec 9, 2011 |
| Andrew Dixon Wade | Anderson & Strudwick, Incorporated other | Sterne Agee Asset Management, Inc. other | Other | Dec 9, 2011 | Dec 9, 2011 |
| Bruce Frederick Griggs | Anderson & Strudwick, Incorporated other | Sterne Agee Asset Management, Inc. other | Other | Dec 9, 2011 | Dec 9, 2011 |
| Robert Rosenberg | Anderson & Strudwick, Incorporated other | Waddell & Reed other | Other | Dec 9, 2011 | Dec 12, 2011 |
| Bradford Dale Szczecinski | Anderson & Strudwick, Incorporated other | Ariston Wealth Management, L.P. other | Other | Dec 1, 2011 | Dec 1, 2011 |
| Theodore Richard Augustyniak | Anderson & Strudwick, Incorporated other | Ariston Wealth Management, L.P. other | Other | Dec 1, 2011 | Dec 5, 2011 |
| Michael Talmadge Cross | Anderson & Strudwick, Incorporated other | Capitol Securities Management, Inc. other | Other | Nov 21, 2011 | Nov 18, 2011 |
| Laura Lynn Settle | Anderson & Strudwick, Incorporated other | Capitol Securities Management, Inc. other | Other | Nov 21, 2011 | Nov 18, 2011 |
| Norman Kenneth Marshall | Anderson & Strudwick, Incorporated other | Capitol Securities Management, Inc. other | Other | Nov 10, 2011 | Oct 31, 2011 |
| Roger Lee Thompson | Anderson & Strudwick, Incorporated other | International Assets Investment Management, LLC other | Other | Oct 17, 2011 | Oct 20, 2011 |
| John Anthony Nole | Anderson & Strudwick, Incorporated other | International Assets Investment Management, LLC other | Other | Oct 14, 2011 | Oct 14, 2011 |
| Michael Patrick Nixon | Anderson & Strudwick, Incorporated other | Ariston Wealth Management, L.P. other | Other | Oct 10, 2011 | Oct 10, 2011 |
| Matthew David Albers | Anderson & Strudwick, Incorporated other | Ariston Wealth Management, L.P. other | Other | Oct 7, 2011 | Oct 7, 2011 |
| Timothy John Crytzer | Anderson & Strudwick, Incorporated other | Capitol Securities Management, Inc. other | Other | Sep 9, 2011 | Sep 13, 2011 |
| Scott Arthur Kemps | Anderson & Strudwick, Incorporated other | Ariston Wealth Management, L.P. other | Other | Aug 31, 2011 | Oct 7, 2011 (37 d) |
| Grant Richard Milner | Anderson & Strudwick, Incorporated other | G. Dewayne Mcanally independent RIA | Other | Aug 1, 2011 | Apr 25, 2011 |
| Gary Dewayne Mcanally | Anderson & Strudwick, Incorporated other | G. Dewayne Mcanally independent RIA | Other | Aug 1, 2011 | Oct 12, 2011 (72 d) |
| Richard Bruce Goldstein | Anderson & Strudwick, Incorporated other | Legend Merchant Group, Inc. other | Other | Aug 1, 2011 | Jul 26, 2011 |
| Evangeline Stratis | Anderson & Strudwick, Incorporated other | LPL Financial LLC other | Other | Jul 28, 2011 | Apr 11, 2012 (258 d) |
| Marcus D Gersbach | Anderson & Strudwick, Incorporated other | Capitol Securities Management, Inc. other | Other | Apr 4, 2011 | Apr 1, 2011 |
| James Todd Newton | Anderson & Strudwick, Incorporated other | Tca Financial Group, LLC unclassified | Other | Feb 14, 2011 | Apr 27, 2011 (72 d) |
| Samuel Dean Turner | Anderson & Strudwick, Incorporated other | Capital Guardian Wealth Management, LLC other | Other | Nov 1, 2010 | Oct 29, 2010 |
| James Michael Richard | Anderson & Strudwick, Incorporated other | B Riley Wealth Management other | Other | Jul 16, 2010 | Jul 19, 2010 |
| Blake E Gordon | Anderson & Strudwick, Incorporated other | Capitol Securities Management, Inc. other | Other | Aug 14, 2009 | Aug 7, 2009 |
| Roger James Shawn | Anderson & Strudwick, Incorporated other | Capitol Securities Management, Inc. other | Other | Aug 14, 2009 | Aug 7, 2009 |
| Daniel Marc Peimer | Anderson & Strudwick, Incorporated other | Capitol Securities Management, Inc. other | Other | Aug 14, 2009 | Aug 7, 2009 |
| Malcolm Robert Warneford-Thomson | Anderson & Strudwick, Incorporated other | Capitol Securities Management, Inc. other | Other | Aug 14, 2009 | Aug 7, 2009 |
| Steven Francis Marascia | Anderson & Strudwick, Incorporated other | Capitol Securities Management, Inc. other | Other | May 29, 2009 | May 29, 2009 |
| David James Leuschen | Anderson & Strudwick, Incorporated other | Commonwealth Financial Network national BD | Other | May 29, 2009 | May 8, 2009 |
| Peter Paul Rembalsky | Anderson & Strudwick, Incorporated other | Oppenheimer & Co. Inc. other | Other | Apr 9, 2009 | Mar 20, 2009 |
| Elaine Barkley Miller | Anderson & Strudwick, Incorporated other | Capitol Securities Management, Inc. other | Other | Apr 3, 2009 | Apr 17, 2009 |
| Peter Hamlin Scott | Anderson & Strudwick, Incorporated other | Oppenheimer & Co. Inc. other | Other | Oct 21, 2008 | Oct 20, 2008 |
| Michael Monroe Via | Anderson & Strudwick, Incorporated other | Frantzen Capital Management, Inc. other | Other | Dec 12, 2007 | Apr 23, 2008 (133 d) |
| Thomas Howard Kepley | Anderson & Strudwick, Incorporated other | Capitol Securities Management, Inc. other | Other | Dec 10, 2007 | Jan 8, 2008 |
| David Anthony Shenton | Anderson & Strudwick, Incorporated other | Capitol Securities Management, Inc. other | Other | Aug 20, 2007 | Aug 17, 2007 |
| Mark David Coffey | Anderson & Strudwick, Incorporated other | Capitol Securities Management, Inc. other | Other | Mar 27, 2007 | Mar 30, 2007 |
| Edward Ashod Tiryakian | Anderson & Strudwick, Incorporated other | Triad Advisors, LLC other | Other | Oct 9, 2006 | Oct 6, 2006 |
| Jenny Alice Duncan | Anderson & Strudwick, Incorporated other | Davenport & Company LLC other | Other | Jun 19, 2006 | Jun 26, 2006 |
| Kent Eric Engelke | Anderson & Strudwick, Incorporated other | Davenport & Company LLC other | Other | Apr 17, 2006 | Apr 13, 2006 |
| George Mark Hamby | Anderson & Strudwick, Incorporated other | Capitol Securities Management, Inc. other | Other | Jan 24, 2006 | Mar 9, 2006 (44 d) |