| Stephanie Chaplinski-Kane | Td Ameritrade Investment Management, LLC other | Invest Financial Corporation other | Other | Nov 20, 2017 | Nov 13, 2017 |
| Stephanie Chaplinski-Kane | Td Ameritrade, Inc. no RAUM | Invest Financial Corporation other | Other | Nov 20, 2017 | Nov 13, 2017 |
| Keith Leslie Hendricks | U.S. Bancorp Investments, Inc. other | Invest Financial Corporation other | Other | Nov 17, 2017 | Nov 3, 2017 |
| Michael David Wayasamin | Strategic Advisers LLC national BD | Invest Financial Corporation other | Other | Oct 10, 2017 | Oct 11, 2017 |
| John Wesley Moore | Truist Advisory Services, Inc. other | Invest Financial Corporation other | Other | Sep 13, 2017 | Sep 13, 2017 |
| Joshua Lee Linton | Truist Advisory Services, Inc. other | Invest Financial Corporation other | Other | Sep 6, 2017 | Sep 1, 2017 |
| Damian Kerry Reilly | Capital One Advisors, LLC other | Invest Financial Corporation other | Other | Aug 30, 2017 | Aug 28, 2017 |
| Michael Louis Koltz | Fifth Third Securities, Inc. other | Invest Financial Corporation other | Other | Aug 29, 2017 | Sep 1, 2017 |
| Zachary Isaac Slabotsky | Dimensional Fund Advisors LP other | Invest Financial Corporation other | Other | Aug 9, 2017 | Sep 11, 2017 (33 d) |
| Garryl Weston Keel | The Oak Ridge Financial Services Group, Inc other | Invest Financial Corporation other | Other | Aug 1, 2017 | Aug 31, 2017 |
| Christopher R Malphurs | Truist Advisory Services, Inc. other | Invest Financial Corporation other | Other | Jul 18, 2017 | Jul 20, 2017 |
| Shawn Charles Shubat | Waddell & Reed other | Invest Financial Corporation other | Other | Jun 22, 2017 | Oct 30, 2017 (130 d) |
| William Joseph Feudale | Sagepoint Financial, Inc. other | Invest Financial Corporation other | Other | Jun 2, 2017 | May 31, 2017 |
| Kathleen Lynn Aksten | Executive Wealth Management, LLC other | Invest Financial Corporation other | Other | Jun 1, 2017 | Apr 24, 2012 |
| Lawrence James Roemer | Esi Financial Advisors other | Invest Financial Corporation other | Other | Jun 1, 2017 | Jul 21, 2017 (50 d) |
| Christopher Ryan Griffith | MML Investors Services, LLC other | Invest Financial Corporation other | Other | May 23, 2017 | May 16, 2017 |
| Jimmy Maldonado | Cetera Advisors LLC other | Invest Financial Corporation other | Other | May 15, 2017 | May 1, 2017 |
| Kristi Nicole Kennedy | Thrivent Investment Management Inc. other | Invest Financial Corporation other | Other | May 8, 2017 | May 18, 2017 |
| Douglas Eugene Morgan | Osaic Institutions, Inc. other | Invest Financial Corporation other | Other | May 1, 2017 | May 1, 2017 |
| William Joseph Cangeme | Morgan Stanley wirehouse | Invest Financial Corporation other | Other | Apr 19, 2017 | May 8, 2017 |
| Jerrod Lydell Foresman | Bankers & Investors Co. unclassified | Invest Financial Corporation other | Other | Mar 6, 2017 | Feb 1, 2017 |
| John Michael Nauman | Bankers & Investors Co. unclassified | Invest Financial Corporation other | Other | Mar 1, 2017 | Feb 17, 2017 |
| David Walter Stangohr | Bankers & Investors Co. unclassified | Invest Financial Corporation other | Other | Feb 28, 2017 | Feb 1, 2017 |
| David Michel Haik | Bankers & Investors Co. unclassified | Invest Financial Corporation other | Other | Feb 28, 2017 | Feb 1, 2017 |
| Peter Konstantinos Billis | Santander Securities other | Invest Financial Corporation other | Other | Feb 28, 2017 | Feb 28, 2017 |
| Matthew Shannon Wilson | Pruco Securities, LLC other | Invest Financial Corporation other | Other | Feb 27, 2017 | Feb 22, 2017 |
| Raymond Steven Gettins | Absolute Capital Management, LLC other | Invest Financial Corporation other | Other | Feb 21, 2017 | Feb 13, 2017 |
| Michael Westwick Alred | Osaic Institutions, Inc. other | Invest Financial Corporation other | Other | Feb 1, 2017 | Feb 1, 2017 |
| Paul Andrew Ganim | Strategic Advisers LLC national BD | Invest Financial Corporation other | Other | Jan 30, 2017 | Feb 8, 2017 |
| David Jazo | Wells Fargo Advisors wirehouse | Invest Financial Corporation other | Other | Jan 19, 2017 | Jan 20, 2017 |
| Katherine Kay Hagman | Ameriprise Financial Services, LLC national BD | Invest Financial Corporation other | Other | Jan 11, 2017 | Jan 18, 2017 |
| Urja S Shah | Santander Securities other | Invest Financial Corporation other | Other | Jan 6, 2017 | Jan 12, 2017 |
| John Robert Gehlhaart | LPL Financial LLC other | Invest Financial Corporation other | Other | Dec 31, 2016 | Jan 3, 2017 |
| William Stephen Taylor | LPL Financial LLC other | Invest Financial Corporation other | Other | Dec 31, 2016 | Jan 3, 2017 |
| Armando Fernandez | Next Financial Group, Inc. other | Invest Financial Corporation other | Other | Dec 14, 2016 | Jan 12, 2017 |
| Andrea Patricia Owen-Boyd | Equitable Advisors, LLC national BD | Invest Financial Corporation other | Other | Nov 14, 2016 | Feb 3, 2017 (81 d) |
| Thomas G Regenski | Cetera Advisor Networks LLC other | Invest Financial Corporation other | Other | Nov 10, 2016 | Nov 16, 2016 |
| Joshua Robert Carter | Morgan Stanley wirehouse | Invest Financial Corporation other | Other | Oct 29, 2016 | Nov 4, 2016 |
| Sheldon Cooper Reed | J.P. Morgan Securities LLC wirehouse | Invest Financial Corporation other | Other | Oct 28, 2016 | Oct 20, 2016 |
| Mary Turner Masters | Cuso Financial Services, L.P. other | Invest Financial Corporation other | Other | Oct 27, 2016 | Nov 14, 2016 |
| Timothy A Sheehan | Santander Securities other | Invest Financial Corporation other | Other | Oct 25, 2016 | Apr 20, 2017 (177 d) |
| Marina Kumi Smalanskas | Santander Securities other | Invest Financial Corporation other | Other | Oct 14, 2016 | Oct 4, 2016 |
| Celeste Kathleen Byers | Truist Advisory Services, Inc. no RAUM | Invest Financial Corporation other | Other | Oct 6, 2016 | Nov 17, 2016 (42 d) |
| Celeste Kathleen Byers | Suntrust Investment Services, Inc. other | Invest Financial Corporation other | Other | Oct 6, 2016 | Nov 17, 2016 (42 d) |
| Molly Ambrosino | Lasalle St. Investment Advisors, L.L.C. other | Invest Financial Corporation other | Other | Oct 6, 2016 | Jan 3, 2017 (89 d) |
| Angel Galan | Cuso Financial Services, L.P. other | Invest Financial Corporation other | Other | Sep 23, 2016 | Sep 29, 2016 |
| Lucus Meline Scott | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Invest Financial Corporation other | Other | Sep 13, 2016 | Sep 27, 2016 |
| Jamie Douglas Hanlon | Edward Jones national BD | Invest Financial Corporation other | Other | Sep 13, 2016 | Oct 4, 2016 |
| Jeffrey Chad Muri | Wells Fargo Advisors wirehouse | Invest Financial Corporation other | Other | Sep 8, 2016 | Sep 15, 2016 |
| Clarence Edmund Blanton | Kovack Advisors, Inc. other | Invest Financial Corporation other | Other | Sep 1, 2016 | Sep 7, 2016 |
| Geraldine Ann Schuhmann | Planmember Securities Corporation other | Invest Financial Corporation other | Other | Sep 1, 2016 | Sep 1, 2016 |
| Michael John Omelio | J.P. Morgan Securities LLC wirehouse | Invest Financial Corporation other | Other | Aug 25, 2016 | Aug 23, 2016 |
| Robert Eugene Scalzetti | M&T Securities, Inc. unclassified | Invest Financial Corporation other | Other | Jul 26, 2016 | Aug 1, 2016 |
| Geoffrey Chad Ringle | LPL Financial LLC other | Invest Financial Corporation other | Other | Jul 20, 2016 | Mar 23, 2017 (246 d) |
| Michelle Ann Joseph | LPL Financial LLC other | Invest Financial Corporation other | Other | Jul 13, 2016 | Sep 21, 2016 (70 d) |
| Marti M Latour | Bmo Harris Financial Advisors, Inc other | Invest Financial Corporation other | Other | Jul 1, 2016 | Oct 9, 2017 (465 d) |
| Derek David Simkowitz | LPL Financial LLC other | Invest Financial Corporation other | Other | Jun 29, 2016 | Jun 29, 2016 |
| Jeffrey Cullen Hegener Hackler | Thrivent Investment Management Inc. other | Invest Financial Corporation other | Other | Jun 22, 2016 | Jun 17, 2016 |
| Tyler R Lieberman | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Invest Financial Corporation other | Other | Jun 16, 2016 | Jun 27, 2016 |
| David E Whetsell | LPL Financial LLC other | Invest Financial Corporation other | Other | Jun 10, 2016 | Jun 2, 2016 |