| Josiah Lee Quick | Waddell & Reed other | Strategic Advisers LLC national BD | Other | Jan 12, 2016 | Jan 26, 2016 |
| James J Karabas | Waddell & Reed other | Embree Financial Group other | Other | Jan 11, 2016 | Mar 4, 2016 (53 d) |
| Cameron Austin Byrd | Waddell & Reed other | Saxony Capital Management, LLC other | Other | Jan 7, 2016 | Jan 5, 2016 |
| Emmanuel Rojas | Waddell & Reed other | J.P. Morgan Securities LLC wirehouse | Other | Jan 7, 2016 | Sep 16, 2016 (253 d) |
| Stephen Scott Hall | Waddell & Reed other | Integrated Advisors Network LLC other | Other | Jan 6, 2016 | Jan 5, 2017 (365 d) |
| Benjamin Hopper | Waddell & Reed other | Key Investment Services LLC other | Other | Dec 31, 2015 | May 15, 2017 (501 d) |
| Ryan Joseph Gigous | Waddell & Reed other | Securities America Advisors, Inc. other | Other | Dec 28, 2015 | Dec 16, 2015 |
| Claire Elizabeth Shinholser | Waddell & Reed other | Voya Financial Advisors, Inc. other | Other | Dec 23, 2015 | Mar 7, 2016 (75 d) |
| Christopher Ludvik Semrod | Waddell & Reed other | Strategic Wealth Planning other | Other | Dec 21, 2015 | Dec 22, 2016 (367 d) |
| Michael Dean Bubalo | Waddell & Reed other | Edward Jones national BD | Other | Dec 14, 2015 | Dec 21, 2015 |
| Colton Kidner Smith | Waddell & Reed other | Wells Fargo Advisors wirehouse | Other | Dec 11, 2015 | Nov 30, 2021 (2181 d) |
| David William Bush | Waddell & Reed other | Searcy Financial Services, Inc. other | Other | Dec 10, 2015 | Dec 1, 2015 |
| Jason James Renskers | Waddell & Reed other | Allstate Financial Advisors, LLC no RAUM | Other | Dec 8, 2015 | Mar 15, 2016 (98 d) |
| J Todd Keffury | Waddell & Reed other | UBS Financial Services Inc. wirehouse | Other | Dec 3, 2015 | Feb 24, 2016 (83 d) |
| Rosh K Mangalat | Waddell & Reed other | Vanguard Advisers, Inc. other | Other | Dec 1, 2015 | Dec 3, 2015 |
| Christopher Date | Waddell & Reed other | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | Dec 1, 2015 | Jan 26, 2016 (56 d) |
| Timothy Theodore Picciott | Waddell & Reed other | Wealthcare Advisory Partners LLC other | Other | Nov 30, 2015 | Nov 18, 2015 |
| Sean Michael Curtis | Waddell & Reed other | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | Nov 24, 2015 | Apr 27, 2016 (155 d) |
| Thomas Charles Martin | Waddell & Reed other | Clear Path Financial Planning unclassified | Other | Nov 24, 2015 | Jan 11, 2016 (48 d) |
| Daniel Erik Milks | Waddell & Reed other | Wells Fargo Advisors wirehouse | Other | Nov 24, 2015 | Nov 16, 2015 |
| Blake Kenneth Meers | Waddell & Reed other | Edward Jones national BD | Other | Nov 23, 2015 | Jan 22, 2016 (60 d) |
| Wayne Tai Slappy | Waddell & Reed other | Steelpeak Wealth, LLC other | Other | Nov 20, 2015 | Nov 13, 2015 |
| Dennis Shane Tripp | Waddell & Reed other | Pruco Securities, LLC other | Other | Nov 17, 2015 | Nov 23, 2015 |
| Daniel Frank Trerotola | Waddell & Reed other | LPL Financial LLC other | Other | Nov 17, 2015 | Nov 11, 2015 |
| Antonio Demerio Jenkins | Waddell & Reed other | Park Avenue Securities LLC other | Other | Nov 16, 2015 | Nov 19, 2015 |
| Maria Nancy Melecio | Waddell & Reed other | Alpha Wealth Management, LLC other | Other | Nov 13, 2015 | Nov 9, 2015 |
| Rikki Jr Foster | Waddell & Reed other | Questar Asset Management, Inc. other | Other | Nov 10, 2015 | Nov 2, 2015 |
| Nolan W Powers | Waddell & Reed other | Ameriprise Financial Services, LLC national BD | Other | Nov 9, 2015 | Oct 23, 2015 |
| Jeremy Frank Lewis | Waddell & Reed other | Financial Advocates Investment Management other | Other | Nov 4, 2015 | Oct 26, 2015 |
| Noelle Yvonne Seipp | Waddell & Reed other | Financial Advocates Investment Management other | Other | Nov 4, 2015 | Nov 17, 2015 |
| Benjamin Kohls Chase | Waddell & Reed other | Financial Advocates Investment Management other | Other | Nov 4, 2015 | Oct 26, 2015 |
| Jared Alan Powell | Waddell & Reed other | Western Wealth Management LLC other | Other | Oct 31, 2015 | Oct 26, 2015 |
| Rebecca Elizabeth Ruane | Waddell & Reed other | Western Wealth Management LLC other | Other | Oct 31, 2015 | Jul 18, 2016 (261 d) |
| Patrick Allen Kent | Waddell & Reed other | Western Wealth Management LLC other | Other | Oct 31, 2015 | Oct 29, 2015 |
| Katherine Marie Griffin | Waddell & Reed other | Ameriprise Financial Services, LLC national BD | Other | Oct 28, 2015 | Dec 2, 2015 (35 d) |
| Evin Ward Lantz | Waddell & Reed other | First Heartland Consultants, Inc. other | Other | Oct 23, 2015 | Oct 23, 2015 |
| Christopher Inthavong | Waddell & Reed other | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | Oct 19, 2015 | Mar 29, 2017 (527 d) |
| Cheryl Jean Knight | Waddell & Reed other | Advice And Planning Services BD affiliated | Other | Oct 9, 2015 | Oct 3, 2022 (2551 d) |
| Joseph Tanner Templeton | Waddell & Reed other | LPL Financial LLC other | Other | Oct 8, 2015 | Nov 4, 2015 |
| Scott Alexander Watson | Waddell & Reed other | Townsend other | Other | Oct 8, 2015 | Nov 5, 2015 |
| Michael Darnell Porter | Waddell & Reed other | MML Investors Services, LLC BD affiliated | Other | Oct 6, 2015 | Jul 5, 2018 (1003 d) |
| Manuel Reynoso | Waddell & Reed other | Msi Financial Services, Inc. other | Other | Oct 6, 2015 | Oct 1, 2015 |
| Walker Winfree Phillips | Waddell & Reed other | Palladium Registered Investment Advisors other | Other | Oct 5, 2015 | Oct 8, 2015 |
| Diahanna Marie Vallentine | Waddell & Reed other | LPL Financial LLC independent RIA | Other | Oct 1, 2015 | Feb 6, 2019 (1224 d) |
| Christopher S Spear | Waddell & Reed other | T. Rowe Price Advisory Services, Inc. no RAUM | Other | Sep 30, 2015 | Jan 11, 2016 (103 d) |
| Benjamin Neil Hawkins | Waddell & Reed other | Securities America Advisors, Inc. other | Other | Sep 26, 2015 | Sep 14, 2015 |
| Sean Thomas Flaherty | Waddell & Reed other | Pnc Wealth Management other | Other | Sep 19, 2015 | Oct 1, 2015 |
| Edward Walter Morrissey | Waddell & Reed other | LPL Financial LLC other | Other | Sep 17, 2015 | Sep 28, 2015 |
| Garret James Holleran | Waddell & Reed other | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | Sep 16, 2015 | Oct 19, 2015 (33 d) |
| Chase Alexander Kulczak | Waddell & Reed other | Valic Financial Advisors, Inc. other | Other | Sep 15, 2015 | Sep 21, 2015 |
| Aaron W Hollister | Waddell & Reed other | Raymond James & Associates, Inc. national BD | Other | Sep 9, 2015 | Sep 2, 2015 |
| Devaron Maurius Yates | Waddell & Reed other | Hornor, Townsend & Kent, LLC other | Other | Sep 8, 2015 | Sep 21, 2015 |
| Robert Joseph Sullivan | Waddell & Reed other | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | Aug 28, 2015 | Sep 10, 2015 |
| Charles Sebastian Claussen | Waddell & Reed other | Pruco Securities, LLC other | Other | Aug 28, 2015 | Sep 22, 2015 |
| Karl Gregory Salocks | Waddell & Reed other | Principal Securities, Inc. other | Other | Aug 27, 2015 | Nov 3, 2015 (68 d) |
| Donna Lynn Tilden | Waddell & Reed other | Principal Securities, Inc. other | Other | Aug 25, 2015 | Sep 10, 2015 |
| Tyler Roy Scott | Waddell & Reed other | Professional Investment Management Services, Pllc other | Other | Aug 24, 2015 | Oct 16, 2015 (53 d) |
| Joseph Wayne Hladik | Waddell & Reed other | Equitable Advisors, LLC national BD | Other | Aug 22, 2015 | Aug 21, 2015 |
| Craig Timothy Charlton | Waddell & Reed other | Pruco Securities, LLC other | Other | Aug 19, 2015 | Nov 6, 2015 (79 d) |
| Richard Thomas Ferguson | Waddell & Reed other | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | Aug 19, 2015 | Sep 23, 2015 (35 d) |