| Leslie Cameron Finn | Waddell & Reed other | Quest Capital Strategies, Inc. other | Other | Feb 11, 2014 | Jun 13, 2014 (122 d) |
| Karen Dalmau | Waddell & Reed other | Morgan Stanley wirehouse | Other | Feb 11, 2014 | Apr 9, 2014 (57 d) |
| Richard Mark Berquist | Waddell & Reed other | Investors Financial Group other | Other | Feb 10, 2014 | Jan 31, 2014 |
| Danielle Edwards | Waddell & Reed other | Hornor, Townsend & Kent, LLC other | Other | Feb 4, 2014 | Apr 18, 2014 (73 d) |
| Jennifer Galindo King | Waddell & Reed other | Bb&T Investment Services, Inc. no RAUM | Other | Jan 30, 2014 | Jul 22, 2014 (173 d) |
| Jason Glen Reeves | Waddell & Reed other | Summit Financial Group Inc other | Other | Jan 28, 2014 | Jan 21, 2014 |
| Mark Repasy | Waddell & Reed other | Equitable Advisors, LLC national BD | Other | Jan 28, 2014 | Aug 20, 2014 (204 d) |
| Ryan Osborne | Waddell & Reed other | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | Jan 23, 2014 | Feb 5, 2014 |
| Hollie R Hunt | Waddell & Reed other | Northwestern Mutual Investment Services,LLC other | Other | Jan 21, 2014 | Feb 18, 2014 |
| Richard William Sinoradzki | Waddell & Reed other | Morgan Stanley wirehouse | Other | Jan 17, 2014 | Apr 8, 2014 (81 d) |
| Michael Raymond Sturm | Waddell & Reed other | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | Jan 15, 2014 | Oct 13, 2014 (271 d) |
| Ralph David Janitell | Waddell & Reed other | 1st Consumer Advisory Group LLC no RAUM | Other | Jan 13, 2014 | Jan 9, 2014 |
| Darrell Randolph Manning | Waddell & Reed other | Principal Securities, Inc. other | Other | Jan 9, 2014 | Jan 13, 2014 |
| Scott Wayne Sorenson | Waddell & Reed other | New England Securities Corporation other | Other | Jan 9, 2014 | Jan 23, 2014 |
| Nicholas Ronald Vail | Waddell & Reed other | Securities America Advisors, Inc. other | Other | Dec 23, 2013 | Dec 20, 2013 |
| Travis Michael Harp | Waddell & Reed other | Voya Financial Advisors, Inc. other | Other | Dec 23, 2013 | Dec 24, 2013 |
| Leonard Gerald Simon | Waddell & Reed other | MML Investors Services, LLC other | Other | Dec 17, 2013 | Mar 5, 2014 (78 d) |
| Brian Daniel Wheeler | Waddell & Reed other | MML Investors Services, LLC other | Other | Dec 17, 2013 | Mar 5, 2014 (78 d) |
| Eric Jose Medina | Waddell & Reed other | Tradingblock unclassified | Other | Dec 16, 2013 | Dec 2, 2013 |
| Jonathan Glenn Stears | Waddell & Reed other | State Farm Investment Management Corp. asset manager | Other | Dec 13, 2013 | Dec 24, 2025 (4394 d) |
| Kevin Grant Nichols | Waddell & Reed other | LPL Financial LLC other | Other | Dec 13, 2013 | Dec 9, 2013 |
| Laurie Ann Ellis-Mcleod | Waddell & Reed other | Bfc Planning, Inc. other | Other | Dec 12, 2013 | Dec 10, 2013 |
| Jarrett Dominic Apa | Waddell & Reed other | LPL Financial LLC other | Other | Dec 6, 2013 | Dec 6, 2013 |
| Jeff Kantor | Waddell & Reed other | Tradingblock unclassified | Other | Dec 4, 2013 | Dec 2, 2013 |
| Joshua Paul Bowen | Waddell & Reed other | Ameriprise Financial Services, LLC national BD | Other | Dec 2, 2013 | Nov 25, 2013 |
| David Bruce Morrison | Waddell & Reed other | Ameriprise Financial Services, LLC national BD | Other | Nov 22, 2013 | Nov 8, 2013 |
| Michael Joseph Ferak | Waddell & Reed other | Sii Investments, Inc. other | Other | Nov 22, 2013 | Jan 2, 2014 (41 d) |
| Charles Marion Fetters | Waddell & Reed other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Nov 20, 2013 | Nov 15, 2013 |
| Andrea Lee Wolfe | Waddell & Reed other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Nov 20, 2013 | Nov 15, 2013 |
| Daniela Aljawad | Waddell & Reed other | Investors Capital Advisory other | Other | Nov 20, 2013 | Mar 4, 2014 (104 d) |
| Jarrod A James | Waddell & Reed other | J.P. Morgan Securities LLC wirehouse | Other | Nov 19, 2013 | Aug 19, 2014 (273 d) |
| William Sands Jr | Waddell & Reed other | Santander Securities other | Other | Nov 14, 2013 | Dec 2, 2013 |
| Christopher Alan Swanson | Waddell & Reed other | LPL Financial LLC other | Other | Nov 12, 2013 | Nov 4, 2013 |
| Melinda B Dixon | Waddell & Reed other | Cetera Investment Advisers LLC BD affiliated | Other | Nov 11, 2013 | Mar 21, 2024 (3783 d) |
| Charles Clemons | Waddell & Reed other | Evergreen Capital Management Inc state registered | Other | Nov 11, 2013 | Nov 7, 2013 |
| Kevin R Connolly | Waddell & Reed other | Buffalo First Wealth Management, LLC independent RIA | Other | Nov 5, 2013 | Jun 6, 2021 (2770 d) |
| Clifford Eugene Breeden | Waddell & Reed other | D.A. Davidson & Co. other | Other | Nov 5, 2013 | Feb 18, 2014 (105 d) |
| John Hanby Foard | Waddell & Reed other | Global Financial Private Capital, Inc. other | Other | Nov 4, 2013 | Nov 21, 2013 |
| John Wesley Holler | Waddell & Reed other | LPL Financial LLC other | Other | Nov 1, 2013 | Oct 31, 2013 |
| William Ray Johnson | Waddell & Reed other | Sagepoint Financial, Inc. other | Other | Nov 1, 2013 | Oct 30, 2013 |
| David Wayne Plouse | Waddell & Reed other | LPL Financial LLC other | Other | Nov 1, 2013 | Nov 1, 2013 |
| Karma Shahin | Waddell & Reed other | Hsbc Securities (USA) Inc. other | Other | Oct 30, 2013 | Nov 7, 2013 |
| Jeffrey Dean Hrabe | Waddell & Reed other | Bok Financial Advisors other | Other | Oct 29, 2013 | Nov 1, 2013 |
| Seth Aaron Weil | Waddell & Reed other | Cetera Investment Advisers LLC BD affiliated | Other | Oct 25, 2013 | Jun 29, 2023 (3534 d) |
| William Ralph Snodgrass | Waddell & Reed other | Sagepoint Financial, Inc. other | Other | Oct 25, 2013 | Oct 30, 2013 |
| Stephen Edward Rischall | Waddell & Reed other | Sagepoint Financial, Inc. other | Other | Oct 25, 2013 | Oct 28, 2013 |
| William Clifford Fraley | Waddell & Reed other | Bb&T Investment Services, Inc. no RAUM | Other | Oct 23, 2013 | Oct 22, 2013 |
| Matthew Bernard Haushalter | Waddell & Reed other | Concourse Financial Group Advisors other | Other | Oct 23, 2013 | Oct 22, 2013 |
| Brian Alexander Parmelee | Waddell & Reed other | Msi Financial Services, Inc. other | Other | Oct 22, 2013 | Jan 14, 2014 (84 d) |
| Thomas Russell Pargett | Waddell & Reed other | UBS Financial Services Inc. wirehouse | Other | Oct 17, 2013 | Nov 19, 2013 (33 d) |
| Laurel Marie Lee | Waddell & Reed other | J.J.B. Hilliard, W.L. Lyons, LLC other | Other | Oct 16, 2013 | Oct 17, 2013 |
| Christopher Gerard Smiley | Waddell & Reed other | Valic Financial Advisors, Inc. other | Other | Oct 16, 2013 | May 6, 2014 (202 d) |
| Jeffrey Wheeler | Waddell & Reed other | Eagle Strategies LLC other | Other | Oct 10, 2013 | Oct 2, 2014 (357 d) |
| Joseph Richard Gertie | Waddell & Reed other | Girard Securities, Inc. other | Other | Oct 9, 2013 | Oct 2, 2013 |
| Jill A Dailey | Waddell & Reed other | Pnc Wealth Management other | Other | Oct 9, 2013 | Nov 4, 2013 |
| Kevin Thomas Burnett | Waddell & Reed other | Wells Fargo Advisors wirehouse | Other | Oct 7, 2013 | May 6, 2015 (576 d) |
| Alexis Ann Cannon | Waddell & Reed other | LPL Financial LLC other | Other | Oct 2, 2013 | Feb 21, 2014 (142 d) |
| Patrick D Collins | Waddell & Reed other | Ameriprise Financial Services, LLC national BD | Other | Sep 19, 2013 | Sep 13, 2013 |
| Tyler Gene Samuels | Waddell & Reed other | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | Sep 17, 2013 | Sep 16, 2013 |
| Matt Joseph Stadelman | Waddell & Reed other | Sagepoint Financial, Inc. other | Other | Sep 16, 2013 | Oct 16, 2013 |