| Joseph Nievera Barretto | Fsc Securities Corporation other | Voya Financial Advisors, Inc. other | Other | Apr 3, 2009 | Apr 24, 2009 |
| Michael Taft Gantt | Fsc Securities Corporation other | Wells Fargo Advisors wirehouse | Other | Apr 3, 2009 | Apr 1, 2009 |
| Kenneth Allan Ulrich | Fsc Securities Corporation other | Sii Investments, Inc. other | Other | Apr 2, 2009 | Mar 30, 2009 |
| Richard Paul Pucci | Fsc Securities Corporation other | Associated Securities Corp. unclassified | Other | Apr 2, 2009 | Mar 31, 2009 |
| Stanley Jerome Keyes | Fsc Securities Corporation other | Kovack Advisors, Inc. other | Other | Apr 1, 2009 | Apr 20, 2009 |
| Christopher Marc Reese | Fsc Securities Corporation other | UBS Financial Services Inc. wirehouse | Other | Mar 26, 2009 | Jan 13, 2025 (5772 d) |
| Jennifer Lynn Senft | Fsc Securities Corporation other | Assetmark, Inc. other | Other | Mar 24, 2009 | Jul 16, 2009 (114 d) |
| Jeffrey Martin Winter | Fsc Securities Corporation other | Investment Centers Of America, Inc. other | Other | Mar 20, 2009 | Jan 20, 2010 (306 d) |
| Erin M Maynard | Fsc Securities Corporation other | Valic Financial Advisors, Inc. other | Other | Mar 16, 2009 | Aug 21, 2009 (158 d) |
| Jason David Preti | Fsc Securities Corporation other | Appropriate Balance Financial Services Inc other | Other | Mar 4, 2009 | Mar 12, 2009 |
| Susan Jane Marshall | Fsc Securities Corporation other | Pnc Wealth Management other | Other | Feb 13, 2009 | Mar 2, 2009 |
| Julie S Tomblin | Fsc Securities Corporation other | Chase Investment Services Corp. other | Other | Feb 13, 2009 | Jan 6, 2010 (327 d) |
| Dawn Renee Carey | Fsc Securities Corporation other | Next Financial Group, Inc. other | Other | Feb 9, 2009 | Feb 9, 2009 |
| Stephen Frederick Lim | Fsc Securities Corporation other | Associated Securities Corp. unclassified | Other | Feb 6, 2009 | Jan 26, 2009 |
| David Alexander Hertl | Fsc Securities Corporation other | Invest Financial Corporation other | Other | Feb 6, 2009 | Jan 12, 2009 |
| Kurt Masami Miyamura | Fsc Securities Corporation other | Strategic Wealth Advisors Group other | Other | Feb 6, 2009 | Oct 17, 2006 |
| Michael Anthony Pasvantis | Fsc Securities Corporation other | Next Financial Group, Inc. other | Other | Feb 3, 2009 | Jan 30, 2009 |
| James Edward Smith | Fsc Securities Corporation other | Woodbury Financial Services, Inc. other | Other | Feb 3, 2009 | Feb 3, 2009 |
| Robert Andrew Heksch | Fsc Securities Corporation other | Silver Mountain Capital Partners LLC unclassified | Other | Jan 22, 2009 | Nov 28, 2003 |
| Martin Joseph Mancuso | Fsc Securities Corporation other | Individual Financial Services, Inc. unclassified | Other | Jan 13, 2009 | Nov 18, 1996 |
| Shannon Hayes Abel | Fsc Securities Corporation other | Ameriprise Financial Services, LLC national BD | Other | Jan 9, 2009 | Oct 30, 2019 (3946 d) |
| Susan Beth Allen | Fsc Securities Corporation other | Strategic Wealth Advisors Group other | Other | Dec 31, 2008 | Mar 7, 2008 |
| Carlton Ken Gushiken | Fsc Securities Corporation other | Associated Securities Corp. unclassified | Other | Dec 31, 2008 | Jan 2, 2009 |
| Erin Jean Kincheloe | Fsc Securities Corporation other | Associated Securities Corp. unclassified | Other | Dec 31, 2008 | Jan 6, 2009 |
| Bradley Harsch | Fsc Securities Corporation other | Strategic Wealth Advisors Group other | Other | Dec 31, 2008 | Sep 5, 2006 |
| Diane Ludemann Woodward | Fsc Securities Corporation other | Associated Securities Corp. unclassified | Other | Dec 31, 2008 | Dec 16, 2008 |
| Thomas Mark Griffiths | Fsc Securities Corporation other | Strategic Wealth Advisors Group other | Other | Dec 31, 2008 | Feb 11, 2008 |
| Rosemarie Pearce Borson | Fsc Securities Corporation other | LPL Financial LLC BD affiliated | Other | Dec 31, 2008 | Jan 1, 2025 (5845 d) |
| Gilbert Ralph Hawkins | Fsc Securities Corporation other | Associated Securities Corp. unclassified | Other | Dec 31, 2008 | Jan 2, 2009 |
| Scott Allen Van Epps | Fsc Securities Corporation other | Strategic Wealth Advisors Group other | Other | Dec 31, 2008 | Sep 5, 2006 |
| Craig Peter Rochin | Fsc Securities Corporation other | Associated Securities Corp. unclassified | Other | Dec 31, 2008 | Jan 6, 2009 |
| Cheri Yu | Fsc Securities Corporation other | Strategic Wealth Advisors Group other | Other | Dec 31, 2008 | Sep 17, 2008 |
| Mira Mary Ma | Fsc Securities Corporation other | Strategic Wealth Advisors Group other | Other | Dec 31, 2008 | Sep 17, 2008 |
| Dru C Ashcraft | Fsc Securities Corporation other | Associated Securities Corp. unclassified | Other | Dec 31, 2008 | Dec 23, 2008 |
| Anthony Y Tsang | Fsc Securities Corporation other | Strategic Wealth Advisors Group other | Other | Dec 31, 2008 | Sep 17, 2008 |
| Miranda Mun Chang | Fsc Securities Corporation other | Associated Securities Corp. unclassified | Other | Dec 31, 2008 | Dec 16, 2008 |
| Christopher D Tamagno | Fsc Securities Corporation other | Associated Securities Corp. unclassified | Other | Dec 31, 2008 | Dec 22, 2008 |
| Guiseppi John Morabito | Fsc Securities Corporation other | J P Turner & Company Capital Management, LLC other | Other | Dec 31, 2008 | Jan 13, 2009 |
| David Edward Siegel | Fsc Securities Corporation other | Strategic Wealth Advisors Group other | Other | Dec 31, 2008 | Sep 5, 2006 |
| Sharon Anne Almeida | Fsc Securities Corporation other | Cents & Sensibility unclassified | Other | Dec 22, 2008 | Mar 20, 2003 |
| David Shoichi Arakawa | Fsc Securities Corporation other | Associated Securities Corp. unclassified | Other | Dec 19, 2008 | Dec 22, 2008 |
| William Alexander Shumate | Fsc Securities Corporation other | Next Financial Group, Inc. other | Other | Dec 18, 2008 | Dec 18, 2008 |
| Michael Patrick Killeen | Fsc Securities Corporation other | Woodbury Financial Services, Inc. other | Other | Dec 17, 2008 | Dec 15, 2008 |
| Michael William Olff | Fsc Securities Corporation other | Woodbury Financial Services, Inc. other | Other | Dec 17, 2008 | Dec 15, 2008 |
| Curtis S Chen | Fsc Securities Corporation other | Associated Planners Investment Advisory Inc unclassified | Other | Dec 16, 2008 | Dec 15, 2008 |
| Joseph Mario Gavazza | Fsc Securities Corporation other | Woodbury Financial Services, Inc. other | Other | Dec 16, 2008 | Dec 15, 2008 |
| Steven Edward Silvey | Fsc Securities Corporation other | Wells Fargo Advisors wirehouse | Other | Dec 15, 2008 | Feb 23, 2009 (70 d) |
| Kiak X Tae | Fsc Securities Corporation other | Financial West Group other | Other | Dec 15, 2008 | Dec 11, 2008 |
| Dexter Loo | Fsc Securities Corporation other | Associated Securities Corp. unclassified | Other | Dec 15, 2008 | Dec 16, 2008 |
| Catherine Pinkas | Fsc Securities Corporation other | LPL Financial LLC other | Other | Dec 12, 2008 | Dec 12, 2008 |
| Richard Patrick Arzaga | Fsc Securities Corporation other | Associated Securities Corp. unclassified | Other | Dec 12, 2008 | Dec 11, 2008 |
| Lawrence Sheldon Steinberg | Fsc Securities Corporation other | Steinberg Financial Advisers unclassified | Other | Dec 8, 2008 | Jan 3, 2005 |
| Stanley Scott Garrison | Fsc Securities Corporation other | Associated Securities Corp. unclassified | Other | Dec 5, 2008 | Dec 23, 2008 |
| Jacques Ariel Bolivar | Fsc Securities Corporation other | Associated Securities Corp. unclassified | Other | Dec 4, 2008 | Dec 3, 2008 |
| Jeffrey W Gigax | Fsc Securities Corporation other | Gateway Financial Advisors, Inc. unclassified | Other | Dec 1, 2008 | Nov 11, 2004 |
| Sharon C Jennings | Fsc Securities Corporation other | Ameriprise Financial Services, LLC national BD | Other | Dec 1, 2008 | Jan 22, 2009 (52 d) |
| Christopher James Clark | Fsc Securities Corporation other | Strategic Wealth Advisors Group other | Other | Nov 28, 2008 | Nov 29, 2007 |
| Bruce Kin Sung Fong | Fsc Securities Corporation other | Associated Securities Corp. unclassified | Other | Nov 28, 2008 | Nov 28, 2008 |
| Tonya Lynn Mathison | Fsc Securities Corporation other | Strategic Wealth Advisors Group other | Other | Nov 28, 2008 | May 5, 2008 |
| Laura Michelle Steinbeck | Fsc Securities Corporation other | Strategic Wealth Advisors Group other | Other | Nov 28, 2008 | May 5, 2008 |