| Loren Jon Piotrowski | Fifth Third Securities, Inc. other | Pnc Wealth Management other | Other | Jul 9, 2010 | Jul 15, 2010 |
| Scott D. Abramson | Fifth Third Securities, Inc. other | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | Jul 9, 2010 | Jul 14, 2010 |
| Shawn Dewayne Worman | Fifth Third Securities, Inc. other | LPL Financial LLC other | Other | Jun 25, 2010 | Jun 29, 2010 |
| Mary Katherine Witte Tabbert | Fifth Third Securities, Inc. other | Oneamerica Securities, Inc. other | Other | Jun 25, 2010 | Sep 9, 2010 (76 d) |
| Derek Adam Vance | Fifth Third Securities, Inc. other | Allstate Financial Advisors, LLC no RAUM | Other | Jun 25, 2010 | Apr 4, 2011 (283 d) |
| Claire R Larson | Fifth Third Securities, Inc. other | Edward Jones national BD | Other | Jun 16, 2010 | Jun 25, 2020 (3662 d) |
| Phillip Martin Rini | Fifth Third Securities, Inc. other | Wells Fargo Advisors wirehouse | Other | Jun 2, 2010 | Jun 17, 2010 |
| Alan Howard Grossman | Fifth Third Securities, Inc. other | Uvest Financial Services Group, Inc. unclassified | Other | Jun 2, 2010 | Jun 11, 2010 |
| Phillip Earl Wepking | Fifth Third Securities, Inc. other | U.S. Bancorp Investments, Inc. other | Other | Jun 2, 2010 | Jun 2, 2010 |
| Ryan Patrick Hoover | Fifth Third Securities, Inc. other | Pnc Wealth Management other | Other | Jun 2, 2010 | Apr 27, 2011 (329 d) |
| Kimberly Ann Heffernan | Fifth Third Securities, Inc. other | Pnc Wealth Management other | Other | May 7, 2010 | May 24, 2010 |
| John Henseler | Fifth Third Securities, Inc. other | Directed Services LLC other | Other | Apr 16, 2010 | Jun 10, 2010 (55 d) |
| John Mateyko | Fifth Third Securities, Inc. other | World Equity Group, Inc. other | Other | Apr 16, 2010 | Dec 15, 2010 (243 d) |
| Mark A Bates | Fifth Third Securities, Inc. other | Wealthquest Corporation other | Other | Apr 8, 2010 | Apr 20, 2010 |
| Johnnie Willie Hall | Fifth Third Securities, Inc. other | Voya Financial Advisors, Inc. other | Other | Apr 8, 2010 | Sep 22, 2011 (532 d) |
| Alan Robert Dennis | Fifth Third Securities, Inc. other | Pnc Wealth Management other | Other | Apr 8, 2010 | Aug 16, 2011 (495 d) |
| Ryan Marshall Dantinne | Fifth Third Securities, Inc. other | Synergy Investment Group, LLC other | Other | Mar 10, 2010 | Mar 11, 2010 |
| William O Baumberger | Fifth Third Securities, Inc. other | Investment Professionals, Inc. other | Other | Mar 8, 2010 | Mar 8, 2010 |
| Jared Douglas Whittey | Fifth Third Securities, Inc. other | Chase Investment Services Corp. other | Other | Feb 25, 2010 | Mar 30, 2010 (33 d) |
| Samieh M Emiah | Fifth Third Securities, Inc. other | Edward Jones national BD | Other | Feb 12, 2010 | Feb 26, 2010 |
| Jeffrey Brett Vaughn | Fifth Third Securities, Inc. other | Synergy Investment Group, LLC other | Other | Feb 1, 2010 | Feb 18, 2010 |
| Zebradee Isadore Jackson | Fifth Third Securities, Inc. other | Cetera Investment Services LLC other | Other | Jan 14, 2010 | Apr 14, 2010 (90 d) |
| Jonathan Scott Jacoby | Fifth Third Securities, Inc. other | Cetera Investment Advisers LLC other | Other | Jan 7, 2010 | Jan 21, 2014 (1475 d) |
| William Bernardi | Fifth Third Securities, Inc. other | Key Investment Services LLC other | Other | Jan 7, 2010 | Feb 1, 2010 |
| Joshua Von Mesenburg | Fifth Third Securities, Inc. other | Huntington Financial Advisors other | Other | Jan 7, 2010 | Feb 10, 2010 (34 d) |
| Michael D Relyea | Fifth Third Securities, Inc. other | Sei Investments Management Corp other | Other | Dec 15, 2009 | Jan 5, 2015 (1847 d) |
| Christopher Jason Farmer | Fifth Third Securities, Inc. other | Huntington Financial Advisors other | Other | Dec 15, 2009 | Dec 14, 2009 |
| J. Daniel Philpott | Fifth Third Securities, Inc. other | Wells Fargo Investments, LLC unclassified | Other | Nov 16, 2009 | Mar 9, 2010 (113 d) |
| Mykel Ajani Barnes | Fifth Third Securities, Inc. other | Spc other | Other | Nov 6, 2009 | Dec 17, 2009 (41 d) |
| Anna Bouthillette | Fifth Third Securities, Inc. other | Pnc Wealth Management other | Other | Nov 6, 2009 | Nov 16, 2009 |
| Walter Carl Meyers | Fifth Third Securities, Inc. other | LPL Financial LLC other | Other | Oct 20, 2009 | Dec 1, 2009 (42 d) |
| Michael Eric Holden | Fifth Third Securities, Inc. other | Chase Investment Services Corp. other | Other | Oct 13, 2009 | Dec 14, 2009 (62 d) |
| Caleb Dwight La Course | Fifth Third Securities, Inc. other | Chase Investment Services Corp. other | Other | Oct 13, 2009 | Oct 29, 2009 |
| Salvatore John Dangelo | Fifth Third Securities, Inc. other | Natcity Investments, Inc. unclassified | Other | Oct 5, 2009 | Oct 8, 2009 |
| Gavin Christopher Dues | Fifth Third Securities, Inc. other | Wells Fargo Advisors wirehouse | Other | Oct 5, 2009 | Oct 7, 2009 |
| Melissa Ann Acher | Fifth Third Securities, Inc. other | Cuna Brokerage Services, Inc. other | Other | Sep 25, 2009 | Sep 30, 2009 |
| Trisha A Chaney | Fifth Third Securities, Inc. other | Wells Fargo Advisors wirehouse | Other | Sep 25, 2009 | Sep 22, 2009 |
| Benjamin Curtis Headlee | Fifth Third Securities, Inc. other | LPL Financial LLC other | Other | Sep 25, 2009 | May 28, 2010 (245 d) |
| Brian K Bohnen | Fifth Third Securities, Inc. other | Usaa Financial Planning Services no RAUM | Other | Sep 25, 2009 | Dec 21, 2009 (87 d) |
| Maurice P Saluan | Fifth Third Securities, Inc. other | Pnc Capital Advisors LLC other | Other | Sep 11, 2009 | Oct 19, 2012 (1134 d) |
| Matthew Scott Long | Fifth Third Securities, Inc. other | Strategic Advisers LLC national BD | Other | Sep 4, 2009 | Feb 10, 2011 (524 d) |
| Daniel Joseph Cruse | Fifth Third Securities, Inc. other | LPL Financial LLC other | Other | Aug 28, 2009 | Oct 8, 2009 (41 d) |
| Sherry Bolling | Fifth Third Securities, Inc. other | Concourse Financial Group Advisors other | Other | Aug 21, 2009 | Sep 8, 2010 (383 d) |
| Phillip Clark Lovegrove | Fifth Third Securities, Inc. other | Huntington Financial Advisors other | Other | Aug 14, 2009 | Jul 30, 2009 |
| Stephan John Unger | Fifth Third Securities, Inc. other | Pnc Wealth Management other | Other | Aug 3, 2009 | Mar 7, 2015 (2042 d) |
| Mea Lynnette Epps | Fifth Third Securities, Inc. other | Wells Fargo Advisors wirehouse | Other | Aug 3, 2009 | Aug 21, 2014 (1844 d) |
| Michael Donald Kortfelt | Fifth Third Securities, Inc. other | LPL Financial LLC other | Other | Jul 17, 2009 | Nov 24, 2010 (495 d) |
| Anthony Thomas Fidelibus | Fifth Third Securities, Inc. other | Huntington Financial Advisors other | Other | Jul 2, 2009 | Jul 7, 2009 |
| Andrew William Kessinger | Fifth Third Securities, Inc. other | Huntington Financial Advisors other | Other | Jul 2, 2009 | Jun 30, 2009 |
| Walter Joseph Roderer | Fifth Third Securities, Inc. other | Kiplinger Wealth Advisors independent RIA | Other | Jun 18, 2009 | Jun 30, 2009 |
| James Anthony Richardson | Fifth Third Securities, Inc. other | Citigroup Global Markets Inc. other | Other | Jun 12, 2009 | May 21, 2009 |
| Catherine Elizabeth Salsman | Fifth Third Securities, Inc. other | Citigroup Global Markets Inc. other | Other | Jun 12, 2009 | May 21, 2009 |
| Benjamin Hoehler | Fifth Third Securities, Inc. other | Raymond James Financial Services Advisors, Inc other | Other | Jun 12, 2009 | Jun 30, 2009 |
| Sean Christopher Paddock | Fifth Third Securities, Inc. other | Chase Investment Services Corp. other | Other | Jun 5, 2009 | Jun 18, 2009 |
| Stephen L Paneral | Fifth Third Securities, Inc. other | Citizens Securities, Inc. other | Other | May 21, 2009 | Jun 26, 2009 (36 d) |
| Scott Anthony Sells | Fifth Third Securities, Inc. other | LPL Financial LLC other | Other | May 21, 2009 | May 6, 2009 |
| Evan A Thurmond | Fifth Third Securities, Inc. other | LPL Financial LLC other | Other | May 21, 2009 | May 6, 2009 |
| Michael Craig Welch | Fifth Third Securities, Inc. other | Wells Fargo Advisors wirehouse | Other | May 15, 2009 | May 8, 2009 |
| Tracy Alan Troxel | Fifth Third Securities, Inc. other | Thrivent Investment Management Inc. other | Other | May 15, 2009 | May 22, 2009 |
| Nikolaos Demetrios Pitsas | Fifth Third Securities, Inc. other | Morgan Stanley wirehouse | Other | May 8, 2009 | Sep 12, 2011 (857 d) |