| Abigail Cheng Gunderson | Fsc Securities Corporation other | Pnc Managed Account Solutions, Inc. other | Other | Jul 26, 2007 | Feb 25, 2008 (214 d) |
| Patricia A Tisdale | Fsc Securities Corporation other | Ffr Advisory LLC other | Other | Jul 12, 2007 | Jul 11, 2007 |
| Gregory Patrick Klingler | Fsc Securities Corporation other | Financial West Group other | Other | Jul 12, 2007 | Oct 27, 2008 (473 d) |
| Mark John O'Connell | Fsc Securities Corporation other | Brookstone Investment Advisory Services other | Other | Jun 8, 2007 | May 29, 2009 (721 d) |
| Michael Anthony Calabrese | Fsc Securities Corporation other | Ifs Investors Services Inc unclassified | Other | Jun 4, 2007 | Jun 5, 2007 |
| Lysa Jill Rothenberg | Fsc Securities Corporation other | Navy Federal Investment Services, LLC other | Other | May 22, 2007 | May 22, 2007 |
| Eric Steven Eberts | Fsc Securities Corporation other | Td Ameritrade Investment Management, LLC other | Other | May 18, 2007 | May 31, 2007 |
| Joseph Herbert Henegan | Fsc Securities Corporation other | Osaic Wealth, Inc. other | Other | May 15, 2007 | May 10, 2007 |
| Brian James Tamasi | Fsc Securities Corporation other | Ssn Advisory, Inc. other | Other | Mar 27, 2007 | Mar 27, 2007 |
| Ashok Hiralal Sanghavi | Fsc Securities Corporation other | First Heartland Consultants, Inc. other | Other | Mar 12, 2007 | Aug 29, 2008 (536 d) |
| Carlos Javier Aviles | Fsc Securities Corporation other | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | Mar 12, 2007 | Mar 20, 2007 |
| Patricia Gugliotti | Fsc Securities Corporation other | The Strategic Financial Alliance other | Other | Feb 23, 2007 | Feb 20, 2007 |
| Samuel James Bello | Fsc Securities Corporation other | Andrews Advisory Associates, LLC other | Other | Feb 8, 2007 | Feb 8, 2007 |
| Warren Sherman Williams | Fsc Securities Corporation other | Ssn Advisory, Inc. other | Other | Jan 26, 2007 | Mar 28, 2007 (61 d) |
| Matthew Gage Hunstock | Fsc Securities Corporation other | LPL Financial LLC other | Other | Jan 22, 2007 | Jan 16, 2007 |
| Brian Alan Ambrose | Fsc Securities Corporation other | Ambrose Financial And Insurance Services, LLC unclassified | Other | Jan 3, 2007 | Jan 24, 2007 |
| Beverly Ann Fischetti | Fsc Securities Corporation other | Delta Financial Advisors, Inc other | Other | Dec 31, 2006 | Dec 2, 2004 |
| Melissa A Little | Fsc Securities Corporation other | Signator Investors, Inc. other | Other | Nov 30, 2006 | Jan 31, 2007 (62 d) |
| Gary Todd Stringer | Fsc Securities Corporation other | Ironwood Asset Management, LLC unclassified | Other | Nov 13, 2006 | Nov 9, 2004 |
| William Samuel Borleis | Fsc Securities Corporation other | Compass Advisory Partners LLC other | Other | Nov 2, 2006 | Jul 14, 2008 (620 d) |
| Kristopher Lee Schnell | Fsc Securities Corporation other | Banc Of America Investment Services, Inc. unclassified | Other | Nov 2, 2006 | Oct 24, 2006 |
| Charles Edward Falco | Fsc Securities Corporation other | Limerick Financial Group, LLC state registered | Other | Oct 10, 2006 | Aug 16, 2006 |
| Kim Marie James | Fsc Securities Corporation other | Jotkoff Financial Services, Inc. unclassified | Other | Oct 6, 2006 | Mar 22, 2000 |
| Stephen Daste | Fsc Securities Corporation other | Ffc Capital Management other | Other | Sep 26, 2006 | Oct 2, 2006 |
| Frank Augustine Cuenca | Fsc Securities Corporation other | The Retirement Group unclassified | Other | Sep 15, 2006 | Nov 1, 2006 (47 d) |
| John William Shea | Fsc Securities Corporation other | Securian Financial Services, Inc. other | Other | Sep 5, 2006 | Jan 16, 2007 (133 d) |
| Paul Victor Clough | Fsc Securities Corporation other | Ic Advisory Services, Inc. other | Other | Sep 5, 2006 | Aug 30, 2006 |
| Martin Derrick Jenkins | Fsc Securities Corporation other | Gunnallen Financial, Inc unclassified | Other | Sep 1, 2006 | Dec 15, 2006 (105 d) |
| Scott Stephen Duko | Fsc Securities Corporation other | Scott S. Duko, Registered Investment Advisor, Ltd. state registered | Other | Jul 31, 2006 | Sep 14, 2007 (410 d) |
| Keith Jackson | Fsc Securities Corporation other | Financial Integrity Advisors, LLC institutional | Other | Jul 21, 2006 | Mar 28, 2006 |
| Elissa Mary Thomsen | Fsc Securities Corporation other | Country Capital Management Company unclassified | Other | Jun 23, 2006 | Jul 3, 2006 |
| Claire S Marsh | Fsc Securities Corporation other | Comerica Securities other | Other | Jun 22, 2006 | Jul 27, 2007 (400 d) |
| Vincent Leonard Ashley | Fsc Securities Corporation other | Inner Harbor Asset Management unclassified | Other | Jun 21, 2006 | Sep 22, 2006 (93 d) |
| Maurice Myron Glazer | Fsc Securities Corporation other | Gfn Capital Management independent RIA | Other | Jun 16, 2006 | Aug 1, 2006 (46 d) |
| Darren J Walloch | Fsc Securities Corporation other | Gfn Capital Management independent RIA | Other | Jun 16, 2006 | May 30, 2006 |
| Frank Douglas Precht | Fsc Securities Corporation other | Gfn Capital Management independent RIA | Other | Jun 16, 2006 | Aug 28, 2006 (73 d) |
| Leigh Jay Goldblatt | Fsc Securities Corporation other | Gfn Capital Management independent RIA | Other | Jun 16, 2006 | Aug 28, 2006 (73 d) |
| Donald Alan Mercurio | Fsc Securities Corporation other | Ffp Advisory Services Inc unclassified | Other | Jun 2, 2006 | Jun 7, 2006 |
| Sandra Ann Murray | Fsc Securities Corporation other | Advantage Capital Corporation unclassified | Other | May 12, 2006 | Apr 8, 2004 |
| Steven Lewis Stillman | Fsc Securities Corporation other | Gateway Financial Advisors, Inc. unclassified | Other | May 2, 2006 | Jun 28, 2004 |
| Eric Edward Erb | Fsc Securities Corporation other | Raymond James Financial Services Advisors, Inc other | Other | Mar 30, 2006 | Jan 2, 2009 (1009 d) |
| Constance Michelle Walsh | Fsc Securities Corporation other | Neaco Advisory, Inc. unclassified | Other | Mar 29, 2006 | Aug 3, 1998 |
| Allan Jay Thompson | Fsc Securities Corporation other | Cetera Investment Services LLC other | Other | Jan 31, 2006 | Mar 8, 2006 (36 d) |
| Robert M Birgen | Fsc Securities Corporation other | Ffr Advisory LLC other | Other | Jan 19, 2006 | Jan 8, 1998 |
| Joey S Katz | Fsc Securities Corporation other | Strategic Advisers LLC national BD | Other | Jan 12, 2006 | Oct 10, 2006 (271 d) |
| Taylor Mcclellan Greenleaf | Fsc Securities Corporation other | Burleson & Company, LLC other | Other | Jan 4, 2006 | Jun 24, 2004 |
| Michael Luke Wholehan | Fsc Securities Corporation other | Waterstone Financial Group, Inc. unclassified | Other | Dec 31, 2005 | Oct 10, 2006 (283 d) |
| Paul Edward Fair | Fsc Securities Corporation other | Paul Fair Associates, LLC state registered | Other | Dec 31, 2005 | May 10, 2006 (130 d) |
| Joseph Richard Warren | Fsc Securities Corporation other | Warren Capital Group other | Other | Dec 31, 2005 | May 14, 2012 (2326 d) |
| Darin Albert Simonian | Fsc Securities Corporation other | Ffr Advisory LLC other | Other | Dec 6, 2005 | Jan 8, 1998 |
| Paul Victor Clough | Fsc Securities Corporation other | 1st Global Advisors Inc other | Other | Nov 3, 2005 | Sep 16, 2005 |
| Jonathan Edward Farrell | Fsc Securities Corporation other | John Hancock Distributors LLC unclassified | Other | Oct 3, 2005 | Oct 28, 2005 |
| Matthew Han Dudley | Fsc Securities Corporation other | Chase Investment Services Corp. other | Other | Sep 23, 2005 | Dec 7, 2005 (75 d) |
| Robert Joseph Sechrist | Fsc Securities Corporation other | Sechrist Financial Services unclassified | Other | Aug 15, 2005 | May 4, 2005 |
| Keith Allen Barr | Fsc Securities Corporation other | Life Plan Financial Advisory Group, LLC other | Other | Jul 21, 2005 | Apr 21, 2010 (1735 d) |
| Gary Richard Gilgen | Fsc Securities Corporation other | Rehmann Wealth other | Other | Jun 23, 2005 | Apr 26, 2010 (1768 d) |
| Edward Parks | Fsc Securities Corporation other | Advantage Capital Corporation unclassified | Other | May 13, 2005 | Apr 16, 2003 |
| Lois Rebecca Stouffer | Fsc Securities Corporation other | Geneos Wealth Management, Inc. other | Other | May 3, 2005 | May 5, 2005 |
| Chad Robert Smith | Fsc Securities Corporation other | Smith Capital, LLC unclassified | Other | Apr 20, 2005 | May 14, 2008 (1120 d) |
| Roy Maurice Cranman | Fsc Securities Corporation other | Securities America Advisors, Inc. other | Other | Apr 13, 2005 | Apr 21, 2005 |