| Zachary Powers Hobby | Waddell & Reed other | Unified Wealth Management LLC independent RIA | Other | Nov 10, 2016 | Nov 16, 2016 |
| Christopher Craig Tripe | Waddell & Reed other | United Capital Management Of Kansas, Inc. other | Other | Nov 10, 2016 | Nov 14, 2016 |
| Scott Alan Brueske | Waddell & Reed other | Financial Advocates Investment Management other | Other | Nov 9, 2016 | Nov 8, 2016 |
| Heather M Carlson | Waddell & Reed other | Financial Advocates Investment Management other | Other | Nov 9, 2016 | Nov 14, 2016 |
| Alexander Scott Brueske | Waddell & Reed other | Financial Advocates Investment Management other | Other | Nov 9, 2016 | Nov 8, 2016 |
| Spencer Alan Brueske | Waddell & Reed other | Financial Advocates Investment Management other | Other | Nov 9, 2016 | Nov 8, 2016 |
| Allen Tsay | Waddell & Reed other | J.P. Morgan Securities LLC wirehouse | Other | Nov 9, 2016 | Dec 1, 2016 |
| Jerome Vincent Bennett | Waddell & Reed other | Wells Fargo Advisors wirehouse | Other | Nov 7, 2016 | Nov 28, 2016 |
| Alan Paul Jenkins | Waddell & Reed other | On Investment Management Co other | Other | Nov 4, 2016 | Nov 11, 2016 |
| Gina Giachetti Wight | Waddell & Reed other | Morgan Stanley wirehouse | Other | Nov 3, 2016 | Oct 28, 2016 |
| Stephen Yuan-Liang Kuo | Waddell & Reed other | Td Ameritrade, Inc. no RAUM | Other | Nov 3, 2016 | Oct 24, 2016 |
| Robert Neil Price | Waddell & Reed other | Good Life Advisors, LLC other | Other | Nov 3, 2016 | Jan 28, 2017 (86 d) |
| Andrew Willis Fitch | Waddell & Reed other | First Command Advisory Services other | Other | Nov 3, 2016 | Nov 4, 2016 |
| Jason Priebe | Waddell & Reed other | LPL Financial LLC other | Other | Oct 29, 2016 | Oct 24, 2016 |
| Matthew Alan Krajniak | Waddell & Reed other | Osaic Wealth, Inc. other | Other | Oct 26, 2016 | Oct 20, 2016 |
| John Wescott Beasley | Waddell & Reed other | Private Advisor Group, LLC other | Other | Oct 26, 2016 | Oct 20, 2016 |
| Charles Allen Figg | Waddell & Reed other | Raymond James & Associates, Inc. national BD | Other | Oct 25, 2016 | Nov 4, 2016 |
| Kyle Eugene Bell | Waddell & Reed other | Primerica Advisors national BD | Other | Oct 24, 2016 | Jun 7, 2017 (226 d) |
| Fredric Arcinas Umel | Waddell & Reed other | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | Oct 24, 2016 | Oct 28, 2016 |
| Kathryn Alyssa Mulhausen | Waddell & Reed other | Financial Advocates Investment Management other | Other | Oct 21, 2016 | Feb 15, 2018 (482 d) |
| Samuel Soland Spry | Waddell & Reed other | Kestra Advisory Services, LLC other | Other | Oct 18, 2016 | Jun 7, 2017 (232 d) |
| Prabhu Veer Mogulla | Waddell & Reed other | Peaceful Advisors LLC state registered | Other | Oct 17, 2016 | Nov 3, 2017 (382 d) |
| Melissa A Little | Waddell & Reed other | Northwestern Mutual Investment Services,LLC no RAUM | Other | Oct 13, 2016 | Mar 30, 2017 (168 d) |
| Ryan Edward Heidrich | Waddell & Reed other | Principal Securities, Inc. other | Other | Oct 12, 2016 | Oct 13, 2016 |
| Brett Kahnert | Waddell & Reed other | Msi Financial Services, Inc. other | Other | Oct 12, 2016 | Oct 12, 2016 |
| Lynn Marie Chambers | Waddell & Reed other | Creative Planning independent RIA | Other | Oct 10, 2016 | Aug 11, 2025 (3227 d) |
| Patrick Joseph Holland | Waddell & Reed other | UBS Financial Services Inc. wirehouse | Other | Oct 10, 2016 | Oct 20, 2016 |
| Adam Joseph Belusko | Waddell & Reed other | Securities America Advisors, Inc. other | Other | Oct 8, 2016 | Sep 30, 2016 |
| Ryan Geisler | Waddell & Reed other | Citizens Securities, Inc. other | Other | Oct 3, 2016 | Aug 31, 2017 (332 d) |
| Craig Elbert Loewenstein | Waddell & Reed other | Charles Schwab & Co., Inc. national BD | Other | Sep 30, 2016 | Oct 12, 2016 |
| Simon In Han | Waddell & Reed other | LPL Financial LLC independent RIA | Other | Sep 30, 2016 | Apr 27, 2018 (574 d) |
| Noah James Borwick | Waddell & Reed other | Park Avenue Securities LLC other | Other | Sep 28, 2016 | Oct 17, 2016 |
| Brett Mckinley Graham | Waddell & Reed other | Citigroup Global Markets Inc. other | Other | Sep 28, 2016 | Sep 29, 2016 |
| Brian P. Mccarthy | Waddell & Reed other | J.P. Morgan Securities LLC wirehouse | Other | Sep 26, 2016 | Dec 20, 2016 (85 d) |
| Sunil Sharma | Waddell & Reed other | Proyash Capital Management state registered | Other | Sep 23, 2016 | Jan 4, 2017 (103 d) |
| Raymond A Hassey | Waddell & Reed other | Ameriprise Financial Services, LLC national BD | Other | Sep 22, 2016 | Sep 21, 2016 |
| Neil Weaver | Waddell & Reed other | Strategic Advisers LLC national BD | Other | Sep 19, 2016 | Sep 28, 2016 |
| George William Leistikow | Waddell & Reed other | Efs Advisors other | Other | Sep 16, 2016 | Sep 7, 2016 |
| Amy Elizabeth Johnson | Waddell & Reed other | Pruco Securities, LLC other | Other | Sep 15, 2016 | May 2, 2017 (229 d) |
| Aaron Steven Paul | Waddell & Reed other | Concourse Financial Group Advisors other | Other | Sep 12, 2016 | Aug 29, 2016 |
| Etsuji Edward Oizumi | Waddell & Reed other | Principal Securities, Inc. other | Other | Sep 12, 2016 | Sep 22, 2016 |
| Todd J Leary | Waddell & Reed other | Foresters Advisory Services, LLC other | Other | Sep 12, 2016 | Oct 31, 2016 (49 d) |
| William Hamada Pettus | Waddell & Reed other | First Allied Advisory Services, Inc. other | Other | Sep 10, 2016 | Aug 26, 2016 |
| John Burns | Waddell & Reed other | Good Life Advisors, LLC other | Other | Sep 10, 2016 | Jan 28, 2017 (140 d) |
| Megan Wells Berning | Waddell & Reed other | Raymond James & Associates, Inc. national BD | Other | Sep 9, 2016 | Aug 24, 2016 |
| Steven Matthew Ellsworth | Waddell & Reed other | Securities America Advisors, Inc. other | Other | Sep 8, 2016 | Aug 31, 2016 |
| Jordan Jennifer Kelly | Waddell & Reed other | Key Investment Services LLC BD affiliated | Other | Sep 8, 2016 | Sep 3, 2024 (2917 d) |
| Barton K Farrell | Waddell & Reed other | Cetera Advisor Networks LLC other | Other | Sep 7, 2016 | Mar 10, 2017 (184 d) |
| Alexandra Conroy Baig | Waddell & Reed other | Creative Planning other | Other | Sep 7, 2016 | Aug 30, 2016 |
| Jacob Randall Godfrey | Waddell & Reed other | Concourse Financial Group Advisors other | Other | Sep 6, 2016 | Sep 19, 2016 |
| Parker Russell Hardt | Waddell & Reed other | Key Investment Services LLC BD affiliated | Other | Sep 6, 2016 | Oct 18, 2017 (407 d) |
| Ryan Elliott Kelley | Waddell & Reed other | Bell Investment Advisors Inc independent RIA | Other | Sep 2, 2016 | May 1, 2019 (971 d) |
| Matthew Charles Gallagher | Waddell & Reed other | Odinic Advisors LLC state registered | Other | Sep 1, 2016 | Oct 18, 2016 (47 d) |
| James Downing Yonker | Waddell & Reed other | Raymond James & Associates, Inc. national BD | Other | Aug 30, 2016 | Aug 24, 2016 |
| John Thomas Torola | Waddell & Reed other | Wealthfront Advisers LLC other | Other | Aug 29, 2016 | Sep 16, 2016 |
| Aaron Keith Ulrich | Waddell & Reed other | Investment Professionals, Inc. other | Other | Aug 22, 2016 | Aug 25, 2016 |
| David R Miller | Waddell & Reed other | Cuso Financial Services, L.P. other | Other | Aug 22, 2016 | Aug 1, 2016 |
| Derek Michael Serlet | Waddell & Reed other | Legacy Financial, Ltd state registered | Other | Aug 19, 2016 | Aug 25, 2016 |
| Timothy Brian Schulze | Waddell & Reed other | Nationwide Securities, LLC no RAUM | Other | Aug 16, 2016 | Aug 22, 2016 |
| Steven Darren Vestri | Waddell & Reed other | Wealthcare Advisory Partners LLC independent RIA | Other | Aug 16, 2016 | Jun 9, 2021 (1758 d) |