| Cynthia Marie Ciccotti | Valmark Advisers, Inc. other | Key Investment Services LLC other | Other | Apr 23, 2014 | Jul 29, 2014 (97 d) |
| Joseph Lee Hart | Hantz Financial Services, Inc. no RAUM | Key Investment Services LLC other | Other | Apr 10, 2014 | Apr 17, 2014 |
| Remy Deangelo | UBS Financial Services Inc. wirehouse | Key Investment Services LLC other | Other | Mar 6, 2014 | Mar 25, 2014 |
| Jonathan Bennion Spencer | Wells Fargo Advisors wirehouse | Key Investment Services LLC other | Other | Mar 4, 2014 | Oct 7, 2014 (217 d) |
| Daniel Leon Guenther | U.S. Bancorp Investments, Inc. other | Key Investment Services LLC other | Other | Feb 20, 2014 | Mar 3, 2014 |
| Eric Leroy Woodfill | Huntington Financial Advisors other | Key Investment Services LLC BD affiliated | Other | Nov 22, 2013 | Nov 23, 2021 (2923 d) |
| Michael A Perry | Signator Investors, Inc. other | Key Investment Services LLC other | Other | Aug 15, 2013 | Sep 16, 2013 (32 d) |
| Matthew G Martin | Wells Fargo Advisors wirehouse | Key Investment Services LLC other | Other | Jul 16, 2013 | Oct 24, 2013 (100 d) |
| Christopher William Hunt | LPL Financial LLC other | Key Investment Services LLC BD affiliated | Other | Jun 12, 2013 | Mar 26, 2021 (2844 d) |
| William Eric Kern | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Key Investment Services LLC other | Other | May 17, 2013 | Sep 24, 2013 (130 d) |
| Ryan J Alderfer | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Key Investment Services LLC other | Other | Apr 8, 2013 | Oct 4, 2013 (179 d) |
| Michael Kent Thompson | Cetera Advisors LLC other | Key Investment Services LLC other | Other | Mar 4, 2013 | Feb 28, 2013 |
| Gary Anthony Kozee | Pnc Wealth Management other | Key Investment Services LLC other | Other | Mar 1, 2013 | May 6, 2013 (66 d) |
| Brian Quinn Coleman | Cetera Investment Services LLC other | Key Investment Services LLC other | Other | Feb 26, 2013 | Apr 3, 2013 (36 d) |
| Joseph S Leedom | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Key Investment Services LLC other | Other | Feb 4, 2013 | Feb 6, 2013 |
| Melissa L O'Brien | M&T Securities, Inc. unclassified | Key Investment Services LLC BD affiliated | Other | Dec 10, 2012 | Mar 26, 2021 (3028 d) |
| David C Kirchfeld | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Key Investment Services LLC other | Other | Dec 4, 2012 | Dec 3, 2012 |
| John Patrick Milo | U.S. Bancorp Investments, Inc. other | Key Investment Services LLC other | Other | Dec 3, 2012 | Dec 4, 2012 |
| Scott Wilson Lombardo | J.P. Morgan Securities LLC wirehouse | Key Investment Services LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Nov 1, 2012 | Mar 30, 2026 (4897 d) |
| Jeffrey Scott Flamm | U.S. Bancorp Investments, Inc. other | Key Investment Services LLC other | Other | Oct 30, 2012 | Nov 1, 2012 |
| William Robert Jirousek | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Key Investment Services LLC other | Other | Sep 18, 2012 | Sep 19, 2012 |
| Amber Rae Paulsen | Citizens Securities, Inc. other | Key Investment Services LLC BD affiliated | Other | Sep 11, 2012 | Mar 26, 2021 (3118 d) |
| Scott Wayne Milam | Huntington Financial Advisors other | Key Investment Services LLC other | Other | Sep 4, 2012 | Oct 27, 2015 (1148 d) |
| David Edward Youngmark | Wells Fargo Advisors wirehouse | Key Investment Services LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Aug 23, 2012 | Oct 28, 2021 (3353 d) |
| Scott Michael Walker | Bok Financial Advisors other | Key Investment Services LLC other | Other | Aug 15, 2012 | Aug 21, 2012 |
| Neal Governor | Chase Investment Services Corp. other | Key Investment Services LLC other | Other | Aug 9, 2012 | Aug 7, 2012 |
| John David Anderson | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Key Investment Services LLC other | Other | Jul 31, 2012 | Aug 1, 2012 |
| Angela Kay Mitzel Saladis | Wells Fargo Advisors wirehouse | Key Investment Services LLC other | Other | Jul 17, 2012 | Jun 8, 2016 (1422 d) |
| Richard Kevin Frank | Hsbc Securities (USA) Inc. other | Key Investment Services LLC other | Other | Jul 11, 2012 | Jul 11, 2012 |
| Michael Patrick Donahue | Hsbc Securities (USA) Inc. other | Key Investment Services LLC BD affiliated | Other | Jul 11, 2012 | Mar 26, 2021 (3180 d) |
| Maureen Oneill Dowling | Hsbc Securities (USA) Inc. other | Key Investment Services LLC BD affiliated | Other | Jul 11, 2012 | Mar 26, 2021 (3180 d) |
| Sydia L Cromer | Hsbc Securities (USA) Inc. other | Key Investment Services LLC BD affiliated | Other | Jul 11, 2012 | Mar 26, 2021 (3180 d) |
| Ernesto Jesus Barcelo | Hsbc Securities (USA) Inc. other | Key Investment Services LLC other | Other | Jul 11, 2012 | Jul 11, 2012 |
| Angelo Salvatore Ciccarelli | Hsbc Securities (USA) Inc. other | Key Investment Services LLC BD affiliated | Other | Jul 11, 2012 | May 9, 2021 (3224 d) |
| Karl P Cedarleaf | Hsbc Securities (USA) Inc. other | Key Investment Services LLC other | Other | Jul 11, 2012 | Jul 11, 2012 |
| Joseph W Mitchell | Hsbc Securities (USA) Inc. other | Key Investment Services LLC BD affiliated | Other | Jul 11, 2012 | Mar 26, 2021 (3180 d) |
| Randall P. Trahan | Hsbc Securities (USA) Inc. other | Key Investment Services LLC other | Other | Jul 11, 2012 | Jul 11, 2012 |
| Christopher Marshall Woods | Hsbc Securities (USA) Inc. other | Key Investment Services LLC BD affiliated | Other | Jul 11, 2012 | Mar 26, 2021 (3180 d) |
| Michael Bergum | Hsbc Securities (USA) Inc. other | Key Investment Services LLC other | Other | Jul 11, 2012 | Jul 11, 2012 |
| Jordan M Honan | Hsbc Securities (USA) Inc. other | Key Investment Services LLC BD affiliated | Other | Jul 11, 2012 | Mar 26, 2021 (3180 d) |
| Dan Craig Mclaughlin | U.S. Bancorp Investments, Inc. other | Key Investment Services LLC other | Other | Jun 22, 2012 | Jul 2, 2012 |
| Kenneth Herman Burr | Fifth Third Securities, Inc. other | Key Investment Services LLC other | Other | Jun 21, 2012 | Jun 22, 2012 |
| Ryan Sean Willette | Morgan Stanley wirehouse | Key Investment Services LLC other | Other | Jun 19, 2012 | Jul 9, 2015 (1115 d) |
| Callie J. Jacobs | Pnc Wealth Management other | Key Investment Services LLC other | Other | Jun 8, 2012 | Dec 12, 2016 (1648 d) |
| Kevin Raymond Hanian | Edward Jones national BD | Key Investment Services LLC other | Other | May 31, 2012 | Jul 10, 2012 (40 d) |
| Steven Christopher Lovell | Pnc Wealth Management other | Key Investment Services LLC other | Other | May 31, 2012 | Jul 29, 2015 (1154 d) |
| Emily Elizabeth Ferguson | 1st Global Advisors Inc other | Key Investment Services LLC other | Other | May 29, 2012 | May 12, 2014 (713 d) |
| Brad Robert Courtney | Edward Jones national BD | Key Investment Services LLC other | Other | May 2, 2012 | Jul 23, 2012 (82 d) |
| Jeffrey Scott Beasley | Pnc Wealth Management other | Key Investment Services LLC other | Other | Apr 24, 2012 | Apr 25, 2012 |
| Matthew I Levine | UBS Financial Services Inc. wirehouse | Key Investment Services LLC other | Other | Mar 29, 2012 | Apr 12, 2012 |
| Andrew Elliot Burns | Ameriprise Financial Services, LLC national BD | Key Investment Services LLC other | Other | Mar 27, 2012 | Mar 26, 2012 |
| Daniel Aaron Newman | T. Rowe Price Advisory Services, Inc. no RAUM | Key Investment Services LLC other | Other | Mar 21, 2012 | Mar 19, 2012 |
| Salvatore John Dangelo | Huntington Financial Advisors other | Key Investment Services LLC other | Other | Mar 16, 2012 | Apr 9, 2012 |
| Paul Alan Brazie | Westminster Financial Advisory Corp other | Key Investment Services LLC other | Other | Dec 31, 2011 | Dec 10, 2013 (710 d) |
| Derek Adam Vance | Allstate Financial Advisors, LLC no RAUM | Key Investment Services LLC other | Other | Oct 6, 2011 | Nov 21, 2011 (46 d) |
| Heather Elizabeth Henderson | Signator Financial Services, Inc. other | Key Investment Services LLC other | Other | Oct 4, 2011 | Nov 9, 2011 (36 d) |
| Aaron Matthew Nelson | Morgan Stanley wirehouse | Key Investment Services LLC other | Other | Sep 12, 2011 | May 6, 2013 (602 d) |
| Donna Panton | Equitable Advisors, LLC national BD | Key Investment Services LLC other | Other | Aug 17, 2011 | Aug 11, 2011 |
| Christopher Michael Herrmann | David A. Noyes & Company other | Key Investment Services LLC other | Other | Aug 1, 2011 | Sep 27, 2011 (57 d) |
| Jason Matthew Tompkins | U.S. Bancorp Investments, Inc. other | Key Investment Services LLC other | Other | Jul 1, 2011 | Jul 7, 2011 |