| Yvonne Leslie Reitemeyer | Thrivent Investment Management Inc. other | Invest Financial Corporation other | Other | Apr 1, 2008 | Mar 31, 2008 |
| John Marinelli | Citigroup Global Markets Inc. other | Invest Financial Corporation other | Other | Mar 25, 2008 | Nov 7, 2008 (227 d) |
| Michael George Koch | Thrivent Investment Management Inc. other | Invest Financial Corporation other | Other | Mar 20, 2008 | Mar 10, 2008 |
| Douglas Arthur Keegan | Jacqueline L. Powell & Associates, Inc. unclassified | Invest Financial Corporation other | Other | Mar 19, 2008 | Oct 3, 2007 |
| Theodore Quillen | Valley Forge Asset Management, LLC other | Invest Financial Corporation other | Other | Mar 19, 2008 | Oct 30, 2009 (590 d) |
| Mark William Vroman | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Invest Financial Corporation other | Other | Mar 14, 2008 | Jan 12, 2010 (669 d) |
| Roderick Charles Salter | 1717 Capital Management Company unclassified | Invest Financial Corporation other | Other | Mar 14, 2008 | Mar 31, 2008 |
| Rene Louis Bruer | Thrivent Investment Management Inc. other | Invest Financial Corporation other | Other | Mar 6, 2008 | Mar 6, 2008 |
| Jeremy Niles Loftis | Edward Jones national BD | Invest Financial Corporation other | Other | Feb 26, 2008 | Aug 2, 2016 (3080 d) |
| Jay Thomas Harbison | G & W Equity Sales, Inc. unclassified | Invest Financial Corporation other | Other | Feb 4, 2008 | Aug 1, 2008 (179 d) |
| Kathleen Anne Hatcher | Natcity Investments, Inc. unclassified | Invest Financial Corporation other | Other | Jan 29, 2008 | Mar 22, 2010 (783 d) |
| Harvey William Dash | Td Wealth Management Services Inc. unclassified | Invest Financial Corporation other | Other | Jan 15, 2008 | Jan 14, 2008 |
| John Anthony Naphor | Thrivent Investment Management Inc. other | Invest Financial Corporation other | Other | Jan 8, 2008 | Jan 3, 2008 |
| Stephanie Renee Ames | Synovus Securities, Inc. other | Invest Financial Corporation other | Other | Jan 8, 2008 | Dec 18, 2009 (710 d) |
| Christopher John Labbe | Raymond James & Associates, Inc. national BD | Invest Financial Corporation other | Other | Dec 31, 2007 | Mar 19, 2008 (79 d) |
| Blake Everett Hahn | Thrivent Investment Management Inc. other | Invest Financial Corporation other | Other | Dec 31, 2007 | Jan 3, 2012 (1464 d) |
| Jeremy Thomas Caza | Osaic Fa, Inc. other | Invest Financial Corporation other | Other | Dec 31, 2007 | Aug 21, 2015 (2790 d) |
| Robert Jason Helm | Charles Schwab & Co., Inc. national BD | Invest Financial Corporation other | Other | Dec 20, 2007 | Apr 4, 2008 (106 d) |
| Donald Francis White | Treasure Coast Financial Services unclassified | Invest Financial Corporation other | Other | Dec 12, 2007 | Jul 13, 2007 |
| Steven Gerald Scalici | Treasure Coast Financial Services unclassified | Invest Financial Corporation other | Other | Dec 12, 2007 | Jul 24, 2007 |
| Randall Howard Reed | Treasure Coast Financial Services unclassified | Invest Financial Corporation other | Other | Dec 12, 2007 | Jul 24, 2007 |
| Jeffrey Scott Panik | Investment Professionals, Inc. other | Invest Financial Corporation other | Other | Nov 26, 2007 | Dec 5, 2007 |
| Donald Ashley Butcher | Morgan Stanley & Co. LLC unclassified | Invest Financial Corporation other | Other | Nov 21, 2007 | Mar 20, 2008 (120 d) |
| Nathan Michael Kosman | The Rosselot Financial Group, Inc. unclassified | Invest Financial Corporation other | Other | Nov 13, 2007 | May 1, 2007 |
| Ryan Frank Antepenko | The Rosselot Financial Group, Inc. unclassified | Invest Financial Corporation other | Other | Nov 13, 2007 | May 1, 2007 |
| Thomas P Gilday | The Rosselot Financial Group, Inc. unclassified | Invest Financial Corporation other | Other | Nov 13, 2007 | May 2, 2007 |
| Joseph Parker Bennett | Pruco Securities, LLC other | Invest Financial Corporation other | Other | Nov 12, 2007 | Nov 26, 2007 |
| Gregory Joseph Waters | Securities America Advisors, Inc. other | Invest Financial Corporation other | Other | Nov 9, 2007 | Nov 9, 2007 |
| Kevin Darnell Newmuis | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Invest Financial Corporation other | Other | Nov 9, 2007 | Nov 16, 2007 |
| Richard Lynn Havard | Securities America Advisors, Inc. other | Invest Financial Corporation other | Other | Nov 8, 2007 | Nov 7, 2007 |
| Joseph Dylan Thompson | Securities America Advisors, Inc. other | Invest Financial Corporation other | Other | Nov 8, 2007 | Nov 7, 2007 |
| Justin Richard Wilson | Securities America Advisors, Inc. other | Invest Financial Corporation other | Other | Oct 30, 2007 | Oct 29, 2007 |
| Dominic Andrew Russo | Equitable Advisors, LLC national BD | Invest Financial Corporation other | Other | Oct 9, 2007 | Oct 4, 2007 |
| Jacqueline L Powell | Cetera Advisor Networks LLC other | Invest Financial Corporation other | Other | Oct 5, 2007 | Oct 3, 2007 |
| Jason William Taylor | Edward Jones national BD | Invest Financial Corporation other | Other | Oct 4, 2007 | Nov 6, 2007 (33 d) |
| Michael Miles Hartlett | Cetera Advisor Networks LLC other | Invest Financial Corporation other | Other | Sep 17, 2007 | Apr 30, 2010 (956 d) |
| Michelle Lacoste Fletcher | Cetera Advisor Networks LLC other | Invest Financial Corporation other | Other | Sep 17, 2007 | Apr 7, 2010 (933 d) |
| Wendy Hostetter Rowley | Cetera Advisor Networks LLC other | Invest Financial Corporation other | Other | Sep 17, 2007 | Sep 29, 2009 (743 d) |
| Dwayne David Keller | Cetera Advisor Networks LLC other | Invest Financial Corporation other | Other | Sep 17, 2007 | Jan 12, 2011 (1213 d) |
| Joseph John Braut | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Invest Financial Corporation other | Other | Sep 14, 2007 | May 12, 2008 (241 d) |
| Anne Hackett Murray | Osaic Fs, Inc. other | Invest Financial Corporation other | Other | Sep 10, 2007 | Aug 30, 2007 |
| Joel Terrell Swaim | Investment Professionals, Inc. other | Invest Financial Corporation other | Other | Aug 31, 2007 | Sep 12, 2007 |
| Michael Nobile | Securities America Advisors, Inc. other | Invest Financial Corporation other | Other | Aug 30, 2007 | Aug 30, 2007 |
| Michael Gerard Mccabe | Securities America Advisors, Inc. other | Invest Financial Corporation other | Other | Aug 30, 2007 | Aug 30, 2007 |
| David Martin Tauber | Securities America Advisors, Inc. other | Invest Financial Corporation other | Other | Aug 30, 2007 | Aug 30, 2007 |
| Christopher John Cooney | Advantage Capital Corporation unclassified | Invest Financial Corporation other | Other | Aug 28, 2007 | Sep 13, 2007 |
| Nicholas Robert Frake | T. Rowe Price Advisory Services, Inc. no RAUM | Invest Financial Corporation other | Other | Aug 8, 2007 | Sep 12, 2007 (35 d) |
| Jackie Kay Overstreet | Raymond James Financial Services, Inc. unclassified | Invest Financial Corporation other | Other | Aug 7, 2007 | Aug 8, 2007 |
| Ann Karen Kilmer | Securities America Advisors, Inc. other | Invest Financial Corporation other | Other | Aug 3, 2007 | Aug 8, 2007 |
| David Andres Johnson | Ameriprise Financial Services, LLC national BD | Invest Financial Corporation other | Other | Jul 31, 2007 | Jul 31, 2007 |
| James Phillip Quinlan | Cetera Advisors LLC other | Invest Financial Corporation other | Other | Jul 26, 2007 | Jul 12, 2007 |
| Erick J Arnett | Suntrust Investment Services, Inc. other | Invest Financial Corporation other | Other | Jul 19, 2007 | Mar 3, 2008 (228 d) |
| Paul P Martin | Raymond James Financial Services, Inc. unclassified | Invest Financial Corporation other | Other | Jul 12, 2007 | Oct 10, 2007 (90 d) |
| Michael Robert Chechel | Fifth Third Securities, Inc. other | Invest Financial Corporation other | Other | Jun 22, 2007 | May 18, 2010 (1061 d) |
| Terry Lee Brodt | First Montauk Securities Corp. unclassified | Invest Financial Corporation other | Other | Jun 13, 2007 | May 9, 2007 |
| Ryan Joseph Morris | First Montauk Securities Corp. unclassified | Invest Financial Corporation other | Other | Jun 13, 2007 | May 31, 2007 |
| Nicholas Robert Bearden | First Horizon Advisors, Inc other | Invest Financial Corporation other | Other | Jun 4, 2007 | Jun 1, 2007 |
| Craig Walter Jergenson | Ssn Advisory, Inc. other | Invest Financial Corporation other | Other | Jun 1, 2007 | Mar 27, 2009 (665 d) |
| Edward Charles Skelly | Sterling Financial Plans, Inc. unclassified | Invest Financial Corporation other | Other | Jun 1, 2007 | Jun 1, 2007 |
| Roland Francis Driscoll | Chase Investment Services Corp. other | Invest Financial Corporation other | Other | May 21, 2007 | Aug 10, 2016 (3369 d) |