| Graham Mattes | Waddell & Reed other | Edward Jones national BD | Other | May 24, 2016 | May 20, 2016 |
| Cameron Emmott | Waddell & Reed other | Lord, Abbett & Co. LLC asset manager | Other | May 20, 2016 | May 21, 2018 (731 d) |
| Paige Rexrode | Waddell & Reed other | Hilltop Securities Inc. other | Other | May 20, 2016 | May 9, 2016 |
| David Michael Humes | Waddell & Reed other | Edward Jones national BD | Other | May 20, 2016 | Jun 13, 2016 |
| Sara Lynn Krause | Waddell & Reed other | Creative Planning other | Other | May 19, 2016 | May 17, 2016 |
| Chaundra Kay Straker | Waddell & Reed other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | May 19, 2016 | Jun 21, 2016 (33 d) |
| Sogol Behrouz | Waddell & Reed other | Morgan Stanley wirehouse | Other | May 18, 2016 | Jun 28, 2016 (41 d) |
| James Madison King | Waddell & Reed other | Financial Advocates Investment Management other | Other | May 12, 2016 | May 16, 2016 |
| David Claude Roberts | Waddell & Reed other | Securian Financial Services, Inc. other | Other | May 10, 2016 | Sep 14, 2016 (127 d) |
| Cindy Huynh Ghattas | Waddell & Reed other | Creative Planning other | Other | May 7, 2016 | Dec 7, 2017 (579 d) |
| Leah Marie Burke | Waddell & Reed other | Private Advisor Group, LLC other | Other | May 4, 2016 | Apr 22, 2016 |
| Evan Patrick Franckhauser | Waddell & Reed other | Private Advisor Group, LLC other | Other | May 3, 2016 | Apr 22, 2016 |
| Darrell Dean Woodcock | Waddell & Reed other | Private Advisor Group, LLC other | Other | May 2, 2016 | Apr 20, 2016 |
| Bradley Patterson | Waddell & Reed other | Edward Jones national BD | Other | Apr 27, 2016 | Aug 2, 2016 (97 d) |
| Andrew Joseph Kieffer | Waddell & Reed other | Cetera Investment Advisers LLC other | Other | Apr 20, 2016 | Apr 14, 2016 |
| Julia Marie Ridgway | Waddell & Reed other | Transamerica Retirement Advisors, LLC other | Other | Apr 20, 2016 | Apr 19, 2017 (364 d) |
| Chris Martin Johnson | Waddell & Reed other | Dowling & Yahnke, LLC independent RIA | Other | Apr 19, 2016 | Mar 10, 2022 (2151 d) |
| Jeffrey David Shrives | Waddell & Reed other | Key Investment Services LLC other | Other | Apr 19, 2016 | Apr 22, 2016 |
| Travis Deshune Maverick | Waddell & Reed other | Scottrade Investment Management other | Other | Apr 19, 2016 | Jan 30, 2017 (286 d) |
| Daniel Benjamin Kistler | Waddell & Reed other | Retirement Cash Flow Group, LLC unclassified | Other | Apr 13, 2016 | Nov 29, 2016 (230 d) |
| Cullen Gillespie Graves | Waddell & Reed other | Morgan Stanley wirehouse | Other | Apr 7, 2016 | May 26, 2016 (49 d) |
| Stephen Tallmadge Kernahan | Waddell & Reed other | Valic Financial Advisors, Inc. other | Other | Apr 5, 2016 | Apr 4, 2016 |
| David Blake Granson | Waddell & Reed other | Creative Financial Designs, Inc. other | Other | Apr 2, 2016 | Mar 28, 2016 |
| Rebecca Marouski | Waddell & Reed other | People'S Securities, Inc. other | Other | Mar 24, 2016 | Mar 24, 2016 |
| Jeremy Daniel Russell | Waddell & Reed other | Columbia Advisory Partners, LLC independent RIA | Other | Mar 22, 2016 | Mar 15, 2016 |
| Paul Mark Lantz | Waddell & Reed other | Principal Securities, Inc. other | Other | Mar 19, 2016 | Mar 29, 2016 |
| Stephanie Lee Burks | Waddell & Reed other | Voya Financial Advisors, Inc. other | Other | Mar 19, 2016 | May 18, 2016 (60 d) |
| Nicholas Isaac Cohen | Waddell & Reed other | Cuso Financial Services, L.P. other | Other | Mar 19, 2016 | Apr 18, 2016 |
| Leslie Penka | Waddell & Reed other | Madison Avenue Securities, LLC other | Other | Mar 14, 2016 | Nov 8, 2016 (239 d) |
| Matthew Gene Meyers | Waddell & Reed other | LPL Financial LLC other | Other | Mar 10, 2016 | Mar 4, 2016 |
| Christopher Carreon | Waddell & Reed other | Compass Financial Planning unclassified | Other | Mar 10, 2016 | Aug 29, 2016 (172 d) |
| Stephen Tucci | Waddell & Reed other | Equitable Advisors, LLC national BD | Other | Mar 10, 2016 | Jun 6, 2016 (88 d) |
| Nicole Evelyn Olmscheid | Waddell & Reed other | UBS Financial Services Inc. wirehouse | Other | Mar 7, 2016 | Aug 7, 2020 (1614 d) |
| Brandon Robert Edwards | Waddell & Reed other | Private Advisor Group, LLC other | Other | Mar 3, 2016 | Mar 1, 2016 |
| Martin Dalton Porter | Waddell & Reed other | Private Advisor Group, LLC other | Other | Mar 3, 2016 | Mar 1, 2016 |
| David Samuel Gerkin | Waddell & Reed other | Private Advisor Group, LLC other | Other | Mar 3, 2016 | Mar 1, 2016 |
| Lori Jane Galbraith | Waddell & Reed other | Osaic Institutions, Inc. other | Other | Feb 29, 2016 | Mar 1, 2016 |
| Justin Nicholas Frys | Waddell & Reed other | E*Trade Capital Management, LLC other | Other | Feb 26, 2016 | Feb 25, 2016 |
| Laurel Beth Mann | Waddell & Reed other | Purus Wealth Management, LLC other | Other | Feb 25, 2016 | Feb 16, 2016 |
| Nycole Berlyn Freer | Waddell & Reed other | J.P. Morgan Securities LLC wirehouse | Other | Feb 24, 2016 | Apr 11, 2016 (47 d) |
| Terrence C Porter | Waddell & Reed other | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | Feb 22, 2016 | Mar 16, 2016 |
| Elizabeth Anne Chabin | Waddell & Reed other | Cambridge Investment Research Advisors, Inc. other | Other | Feb 22, 2016 | Apr 26, 2017 (429 d) |
| Michael Pollock | Waddell & Reed other | Ameriprise Financial Services, LLC national BD | Other | Feb 11, 2016 | Feb 29, 2016 |
| Christopher Thomas Urness | Waddell & Reed other | Wealthcare Advisory Partners LLC other | Other | Feb 6, 2016 | Feb 3, 2016 |
| Mark Andrew Fulton | Waddell & Reed other | Wealthcare Advisory Partners LLC other | Other | Feb 6, 2016 | Mar 1, 2017 (389 d) |
| Brennan Everett Scheel | Waddell & Reed other | Cuna Brokerage Services, Inc. other | Other | Feb 6, 2016 | May 20, 2016 (104 d) |
| Jerry Joe Van Ausdle | Waddell & Reed other | Kms Financial Services, Inc other | Other | Feb 5, 2016 | Mar 16, 2016 (40 d) |
| Michael Andre Taylor | Waddell & Reed other | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | Feb 3, 2016 | Mar 10, 2016 (36 d) |
| Daniel Christopher Mccalpin | Waddell & Reed other | Cambridge Investment Research Advisors, Inc. other | Other | Feb 3, 2016 | Mar 11, 2016 (37 d) |
| John Alexander Kraniou | Waddell & Reed other | Cetera Investment Advisers LLC other | Other | Feb 1, 2016 | Jan 27, 2016 |
| Cynthia Rene Nagel | Waddell & Reed other | Cue Financial Group, Inc. other | Other | Jan 27, 2016 | Mar 1, 2016 (34 d) |
| Kevin Michael Hawley | Waddell & Reed other | Avondale Asset Management other | Other | Jan 27, 2016 | Feb 8, 2016 |
| William M Marsh | Waddell & Reed other | Usaa Financial Planning Services no RAUM | Other | Jan 27, 2016 | Mar 29, 2016 (62 d) |
| Nathan Richards | Waddell & Reed other | Stephens other | Other | Jan 26, 2016 | Feb 17, 2016 |
| Harris Lee Kirschner | Waddell & Reed other | E*Trade Capital Management, LLC other | Other | Jan 25, 2016 | Nov 6, 2017 (651 d) |
| Jacob Steven Piotraczk | Waddell & Reed other | J.P. Morgan Securities LLC wirehouse | Other | Jan 22, 2016 | Jan 13, 2016 |
| Jonathan Key Menzer | Waddell & Reed other | Pnc Wealth Management other | Other | Jan 21, 2016 | Jan 27, 2016 |
| William Gregory Davidson | Waddell & Reed other | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | Jan 15, 2016 | Mar 14, 2016 (59 d) |
| William Thomas Roche | Waddell & Reed other | Td Ameritrade, Inc. no RAUM | Other | Jan 15, 2016 | Feb 16, 2016 (32 d) |
| Melvin Walter Danson | Waddell & Reed other | Baring Financial LLC independent RIA | Other | Jan 13, 2016 | Jan 8, 2016 |