| Steven Michael Murray | Waddell & Reed other | Edelman Financial Engines other | Other | Feb 24, 2015 | Mar 16, 2015 |
| Christina Sue Hake | Waddell & Reed other | Alexander Labrunerie & Co., Inc. other | Other | Feb 23, 2015 | Feb 19, 2015 |
| Nathaniel John Louderback | Waddell & Reed other | Securities America Advisors, Inc. other | Other | Feb 23, 2015 | Mar 4, 2015 |
| Damian William Lockhart | Waddell & Reed other | Morgan Stanley wirehouse | Other | Feb 23, 2015 | Feb 23, 2015 |
| Lars Lael Ragan | Waddell & Reed other | Independent Financial Group, LLC other | Other | Feb 18, 2015 | Feb 27, 2015 |
| Robert Dale Anderson | Waddell & Reed other | Pnc Wealth Management other | Other | Feb 17, 2015 | Mar 13, 2015 |
| Shane Liko-Masanobu Moore | Waddell & Reed other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Feb 13, 2015 | Mar 26, 2015 (41 d) |
| Brett Alan Becker | Waddell & Reed other | Insight Securities, Inc. other | Other | Feb 13, 2015 | Mar 23, 2015 (38 d) |
| George Taylor | Waddell & Reed other | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | Feb 12, 2015 | May 13, 2015 (90 d) |
| Mark Christopher Larsen | Waddell & Reed other | Purus Wealth Management, LLC no RAUM | Other | Feb 5, 2015 | Jan 26, 2015 |
| John Don Morreale | Waddell & Reed other | Purus Wealth Management, LLC no RAUM | Other | Feb 5, 2015 | Jan 26, 2015 |
| Laura Elizabeth Sillen | Waddell & Reed other | Purus Wealth Management, LLC no RAUM | Other | Feb 5, 2015 | Jan 26, 2015 |
| Lauren Ashley Rivera | Waddell & Reed other | Purus Wealth Management, LLC no RAUM | Other | Feb 4, 2015 | Jan 27, 2015 |
| Samuel William Gaudio | Waddell & Reed other | Good Life Advisors, LLC other | Other | Jan 29, 2015 | May 15, 2015 (106 d) |
| Ryan Robert Naake | Waddell & Reed other | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | Jan 29, 2015 | Mar 5, 2015 (35 d) |
| Brandon Stephen Campbell | Waddell & Reed other | Ameriprise Financial Services, LLC national BD | Other | Jan 29, 2015 | Jan 21, 2015 |
| Monte Michael Meier | Waddell & Reed other | LPL Financial LLC other | Other | Jan 26, 2015 | Feb 25, 2015 |
| Preston J Englund | Waddell & Reed other | Onedigital other | Other | Jan 23, 2015 | Jan 28, 2015 |
| Chad Wayne Hansen | Waddell & Reed other | Bancwest Investment Services, Inc. (Bwis) other | Other | Jan 14, 2015 | Jan 26, 2015 |
| Robert Colin Laird | Waddell & Reed other | J.P. Morgan Securities LLC wirehouse | Other | Jan 13, 2015 | Apr 3, 2015 (80 d) |
| Curtis E Hughes | Waddell & Reed other | H. Beck, Inc. other | Other | Jan 9, 2015 | Apr 28, 2015 (109 d) |
| Brad Nathaniel Rohde | Waddell & Reed other | Strategic Advisers LLC national BD | Other | Jan 7, 2015 | Mar 4, 2015 (56 d) |
| Louis Numa Decuir | Waddell & Reed other | Securities America Advisors, Inc. other | Other | Jan 6, 2015 | Dec 24, 2014 |
| Ashley Reyes Anne Pribble | Waddell & Reed other | Usaa Financial Planning Services no RAUM | Other | Jan 6, 2015 | Jan 13, 2015 |
| Laura Patricia Swanson | Waddell & Reed other | Fourstar Wealth Advisors, LLC other | Other | Dec 31, 2014 | Jul 6, 2015 (187 d) |
| John Charles Stone | Waddell & Reed other | Trustmont Advisory Group, Inc. other | Other | Dec 31, 2014 | Jan 6, 2015 |
| Steven Jablonski | Waddell & Reed other | Ameriprise Financial Services, LLC national BD | Other | Dec 23, 2014 | Dec 24, 2014 |
| Massimo Mioni | Waddell & Reed other | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | Dec 19, 2014 | Feb 27, 2015 (70 d) |
| Timothy Richard Gold | Waddell & Reed other | Wells Fargo Advisors wirehouse | Other | Dec 16, 2014 | Dec 8, 2014 |
| Christopher Scott Ohlert | Waddell & Reed other | Ameriprise Financial Services, LLC national BD | Other | Dec 16, 2014 | Dec 10, 2014 |
| Jennifer Kay Sperry | Waddell & Reed other | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | Dec 15, 2014 | Dec 8, 2014 |
| Steve Chong Young Kim | Waddell & Reed other | Gradient Wealth Management no RAUM | Other | Dec 10, 2014 | Feb 17, 2015 (69 d) |
| Daniel Alan Sellers | Waddell & Reed other | Edward Jones national BD | Other | Dec 10, 2014 | Dec 5, 2014 |
| Bradley Clifton Bates | Waddell & Reed other | Next Financial Group, Inc. other | Other | Dec 9, 2014 | Dec 3, 2014 |
| Danial James Verhaalen | Waddell & Reed other | Hackett Financial Group, LLC independent RIA | Other | Dec 2, 2014 | Jun 25, 2015 (205 d) |
| Tiffany Elizabeth Clark | Waddell & Reed other | Scottrade Investment Management other | Other | Nov 25, 2014 | Apr 14, 2015 (140 d) |
| Robert Alexander Peloso | Waddell & Reed other | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | Nov 25, 2014 | Mar 28, 2016 (489 d) |
| Quentin Leroy Robb | Waddell & Reed other | United Capital Financial Advisors other | Other | Nov 24, 2014 | Nov 14, 2014 |
| Robert Bender | Waddell & Reed other | Bancwest Investment Services, Inc. (Bwis) other | Other | Nov 24, 2014 | Nov 18, 2014 |
| Scott Bradley Wilson | Waddell & Reed other | Ameriprise Financial Services, LLC national BD | Other | Nov 19, 2014 | Nov 10, 2014 |
| Richard Jon Cerruti | Waddell & Reed other | Ameriprise Financial Services, LLC national BD | Other | Nov 19, 2014 | Nov 12, 2014 |
| Glen Allen Maleri | Waddell & Reed other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Nov 18, 2014 | Nov 18, 2014 |
| Charles P Floeckher | Waddell & Reed other | Eagle Strategies LLC other | Other | Nov 18, 2014 | Sep 12, 2016 (664 d) |
| Nicholas Paul Mitchell | Waddell & Reed other | Hbw Advisory Services LLC other | Other | Nov 13, 2014 | Nov 18, 2014 |
| Akram Anouar Tadlaoui | Waddell & Reed other | Alpha Wealth Management, LLC other | Other | Nov 11, 2014 | Nov 6, 2014 |
| Brandon John Valentine | Waddell & Reed other | Woodbury Financial Services, Inc. other | Other | Nov 5, 2014 | Nov 12, 2014 |
| Bonnie Lee Larsen | Waddell & Reed other | Purus Wealth Management, LLC no RAUM | Other | Nov 4, 2014 | Jan 26, 2015 (83 d) |
| Roger Elias Saleeby | Waddell & Reed other | Morgan Stanley wirehouse | Other | Oct 29, 2014 | Nov 17, 2014 |
| James Richard Lowe | Waddell & Reed other | Osaic Fs, Inc. other | Other | Oct 27, 2014 | Nov 7, 2014 |
| Tucker Frederick Dooley | Waddell & Reed other | T. Rowe Price Advisory Services, Inc. no RAUM | Other | Oct 21, 2014 | Apr 25, 2016 (552 d) |
| Gregg Julian Waller | Waddell & Reed other | Sagepoint Financial, Inc. other | Other | Oct 15, 2014 | Nov 17, 2014 (33 d) |
| Caitlyn Creed | Waddell & Reed other | Wells Fargo Advisors wirehouse | Other | Oct 10, 2014 | Oct 17, 2014 |
| Robert Matthew Meredith | Waddell & Reed other | Capital One Advisors, LLC no RAUM | Other | Oct 7, 2014 | Apr 14, 2015 (189 d) |
| Christopher Andrew Barberini | Waddell & Reed other | Global Financial Private Capital, Inc. other | Other | Sep 29, 2014 | Sep 30, 2014 |
| Jennifer Joy Nava | Waddell & Reed other | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | Sep 26, 2014 | Jan 27, 2015 (123 d) |
| Jon Stuart Read | Waddell & Reed other | Advice And Planning Services other | Other | Sep 22, 2014 | Oct 9, 2014 |
| Robert Michael Stewart Menzies | Waddell & Reed other | Pembroke Asset Advisors, LLC state registered | Other | Sep 11, 2014 | Sep 30, 2014 |
| Donald Wayne Stanley | Waddell & Reed other | Strategic Advisers LLC national BD | Other | Sep 9, 2014 | Sep 15, 2014 |
| Edward Christian Mathews | Waddell & Reed other | Empower Advisory Group, LLC other | Other | Sep 2, 2014 | Feb 1, 2016 (517 d) |
| David C Swan | Waddell & Reed other | Mariner Wealth Advisors other | Other | Aug 21, 2014 | Sep 8, 2014 |