| Eric John Claspill | Waddell & Reed other | Allstate Financial Advisors, LLC no RAUM | Other | May 16, 2017 | Jun 12, 2017 |
| Lutelles Lindley White | Waddell & Reed other | Advice And Planning Services other | Other | May 16, 2017 | May 22, 2017 |
| Dallas Lee Wheeler | Waddell & Reed other | Plan Group Financial, Inc. independent RIA | Other | May 15, 2017 | May 12, 2017 |
| Dale James Carlson | Waddell & Reed other | Commonwealth Financial Network national BD | Other | May 9, 2017 | May 5, 2017 |
| Stephen Donald Todd | Waddell & Reed other | V Wealth Advisors LLC other | Other | May 9, 2017 | May 9, 2017 |
| Sun Ho Ma | Waddell & Reed other | Morgan Stanley wirehouse | Other | May 5, 2017 | Jun 12, 2017 (38 d) |
| Ralph David Janitell | Waddell & Reed other | Valic Financial Advisors, Inc. other | Other | May 2, 2017 | May 3, 2017 |
| Ronnie Lee Huskey | Waddell & Reed other | Overridge Wealth Advisors other | Other | May 2, 2017 | May 1, 2017 |
| Ashton Gene Pankonin | Waddell & Reed other | Focus Financial other | Other | May 2, 2017 | May 1, 2017 |
| Kevin Thomas Taylor | Waddell & Reed other | Scottrade Investment Management other | Other | May 2, 2017 | May 10, 2017 |
| Jacob Woodson Ritter | Waddell & Reed other | Ameriprise Financial Services, LLC national BD | Other | May 1, 2017 | May 2, 2017 |
| Craig S Vento | Waddell & Reed other | Td Ameritrade Investment Management, LLC other | Other | Apr 26, 2017 | May 3, 2017 |
| Teri Lynn Derosa | Waddell & Reed other | Ameriprise Financial Services, LLC national BD | Other | Apr 25, 2017 | Apr 21, 2017 |
| Mario Bear | Waddell & Reed other | Bmo Harris Financial Advisors, Inc BD affiliated | Other | Apr 24, 2017 | May 2, 2018 (373 d) |
| Andrea Rivera | Waddell & Reed other | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | Apr 21, 2017 | May 3, 2017 |
| Metehan Erim | Waddell & Reed other | M&T Securities, Inc. unclassified | Other | Apr 17, 2017 | Apr 21, 2017 |
| Vincent Anthony Brizzolara | Waddell & Reed other | Morgan Stanley wirehouse | Other | Apr 12, 2017 | Jul 11, 2017 (90 d) |
| Catherine Lorie Lafee | Waddell & Reed other | LPL Financial LLC other | Other | Apr 11, 2017 | Apr 6, 2017 |
| Eric Joseph Mcmahan | Waddell & Reed other | Oneamerica Securities, Inc. other | Other | Apr 10, 2017 | Jul 12, 2017 (93 d) |
| Kevyn Paul Sopinski | Waddell & Reed other | Commonwealth Financial Network national BD | Other | Apr 7, 2017 | Apr 7, 2017 |
| Christopher James Johnson | Waddell & Reed other | Commonwealth Financial Network national BD | Other | Apr 7, 2017 | Apr 6, 2017 |
| Janette S Jolly | Waddell & Reed other | Good Life Advisors, LLC independent RIA | Other | Apr 7, 2017 | Apr 5, 2018 (363 d) |
| David Lee Pease | Waddell & Reed other | Commonwealth Financial Network national BD | Other | Apr 7, 2017 | Apr 7, 2017 |
| Colin Michael Kramer | Waddell & Reed other | Commonwealth Financial Network national BD | Other | Apr 7, 2017 | Apr 7, 2017 |
| Daniel Murray Shultz | Waddell & Reed other | Commonwealth Financial Network national BD | Other | Apr 7, 2017 | Apr 7, 2017 |
| John Charles Hogeland | Waddell & Reed other | Commonwealth Financial Network national BD | Other | Apr 7, 2017 | Apr 7, 2017 |
| Nathaniel George Vieira | Waddell & Reed other | Transamerica Financial Advisors, LLC other | Other | Apr 7, 2017 | Jun 30, 2017 (84 d) |
| Lindsey Sprague | Waddell & Reed other | U.S. Bancorp Investments, Inc. other | Other | Apr 6, 2017 | Apr 18, 2017 |
| Jason Leonard Freiwald | Waddell & Reed other | Ameriprise Financial Services, LLC national BD | Other | Apr 5, 2017 | Mar 27, 2017 |
| Andrew Michael Lawrence | Waddell & Reed other | Raymond James Financial Services Advisors, Inc other | Other | Mar 31, 2017 | Apr 7, 2017 |
| Abraham Ernesto Zavala | Waddell & Reed other | Transamerica Financial Advisors, LLC other | Other | Mar 31, 2017 | Jun 1, 2017 (62 d) |
| Suzanne S Chai | Waddell & Reed other | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | Mar 29, 2017 | Apr 3, 2017 |
| Jeffrey J Fogle | Waddell & Reed other | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | Mar 29, 2017 | Apr 3, 2017 |
| Robin B Hanover | Waddell & Reed other | Moors & Cabot, Inc other | Other | Mar 27, 2017 | Apr 3, 2017 |
| Tyler Wasser | Waddell & Reed other | Citizens Securities, Inc. other | Other | Mar 27, 2017 | May 4, 2017 (38 d) |
| Eric Jonathan Runge | Waddell & Reed other | Wellspring Advisors, Inc. independent RIA | Other | Mar 24, 2017 | May 12, 2017 (49 d) |
| Vincent Michael Ottaviano | Waddell & Reed other | Ameriprise Financial Services, LLC national BD | Other | Mar 23, 2017 | Apr 24, 2017 (32 d) |
| Meredith A Farris | Waddell & Reed other | Morgan Stanley wirehouse | Other | Mar 22, 2017 | Mar 17, 2017 |
| Blake Thurston Dorsett | Waddell & Reed other | Signator Investors, Inc. other | Other | Mar 22, 2017 | Mar 17, 2017 |
| Steven Kim Mitchell | Waddell & Reed other | Securities America Advisors, Inc. other | Other | Mar 20, 2017 | Mar 10, 2017 |
| Lori Ann Selby | Waddell & Reed other | Legacy Cornerstone Wealth LLC independent RIA | Other | Mar 17, 2017 | Mar 15, 2017 |
| Christopher Robert Bateman | Waddell & Reed other | Concourse Financial Group Advisors other | Other | Mar 17, 2017 | Apr 13, 2017 |
| Matthew Ross Rivera | Waddell & Reed other | Fidelity Personal And Workplace Advisors BD affiliated | Other | Mar 17, 2017 | Mar 1, 2019 (714 d) |
| Brook Emme Thompson | Waddell & Reed other | Cwm, LLC other | Other | Mar 16, 2017 | Mar 23, 2017 |
| Joe Oliver Perry | Waddell & Reed other | Securities America Advisors, Inc. other | Other | Mar 16, 2017 | Mar 10, 2017 |
| Erin Marie Towey | Waddell & Reed other | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | Mar 10, 2017 | Aug 1, 2018 (509 d) |
| Daniel James Downard | Waddell & Reed other | Scottrade Investment Management other | Other | Mar 7, 2017 | May 23, 2017 (77 d) |
| Cheryl Annette Burress | Waddell & Reed other | U.S. Bancorp Investments, Inc. other | Other | Mar 2, 2017 | Feb 27, 2017 |
| Paul Waddell Collins | Waddell & Reed other | Peachtree Wealth Advisors, Inc independent RIA | Other | Mar 2, 2017 | Jun 19, 2018 (474 d) |
| Flora Burke | Waddell & Reed other | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | Mar 1, 2017 | Mar 13, 2017 |
| Cansada Marie Coleman | Waddell & Reed other | Benjamin F. Edwards & Company, Incorporated other | Other | Feb 28, 2017 | Feb 27, 2017 |
| Kevin Michael Thornton | Waddell & Reed other | Ae Wealth Management, LLC other | Other | Feb 28, 2017 | Jun 26, 2017 (118 d) |
| Jason W Plemons | Waddell & Reed other | Petersen Hastings Wealth Advisors, Inc. independent RIA | Other | Feb 27, 2017 | Aug 24, 2018 (543 d) |
| Olga Aleksandrovna Gurevich | Waddell & Reed other | Pruco Securities, LLC BD affiliated | Other | Feb 24, 2017 | Jul 23, 2019 (879 d) |
| Timothy James Larson | Waddell & Reed other | Wipfli Financial Advisors, LLC other | Other | Feb 24, 2017 | Mar 20, 2017 |
| Tyler Steven Tilton | Waddell & Reed other | Raymond James Financial Services Advisors, Inc other | Other | Feb 22, 2017 | Mar 17, 2017 |
| Charles Michael Vinyard | Waddell & Reed other | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | Feb 21, 2017 | Feb 28, 2017 |
| Christopher Raymond Wade | Waddell & Reed other | V Wealth Advisors LLC other | Other | Feb 15, 2017 | Feb 16, 2017 |
| Herman Edvin Lall | Waddell & Reed other | V Wealth Advisors LLC other | Other | Feb 15, 2017 | Feb 16, 2017 |
| Jonathan David Lall | Waddell & Reed other | V Wealth Advisors LLC other | Other | Feb 15, 2017 | Feb 16, 2017 |