| Laurie Ellen Madenfort | Northwestern Mutual Investment Services,LLC other | Msi Financial Services, Inc. other | Other | Mar 21, 2011 | Apr 12, 2016 (1849 d) |
| Felicia Curry Jackson | Equitable Advisors, LLC national BD | Msi Financial Services, Inc. other | Other | Mar 21, 2011 | May 5, 2011 (45 d) |
| William Robert Crossan | Eagle Strategies LLC other | Msi Financial Services, Inc. other | Other | Mar 18, 2011 | Apr 4, 2011 |
| Donnas Edmond Landry | Chase Investment Services Corp. other | Msi Financial Services, Inc. other | Other | Mar 17, 2011 | Apr 20, 2011 (34 d) |
| Anne Maleva Chamberlain | Pnc Wealth Management other | Msi Financial Services, Inc. other | Other | Mar 16, 2011 | Mar 29, 2011 |
| Monh Wehman | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Msi Financial Services, Inc. other | Other | Mar 14, 2011 | Apr 4, 2011 |
| Duncan Chi-Kin Hong | Waddell & Reed other | Msi Financial Services, Inc. other | Other | Mar 11, 2011 | Jan 9, 2012 (304 d) |
| Michael Edward Klems | Morgan Stanley wirehouse | Msi Financial Services, Inc. other | Other | Mar 10, 2011 | Apr 14, 2011 (35 d) |
| Dario Kerkez | Chase Investment Services Corp. other | Msi Financial Services, Inc. other | Other | Mar 8, 2011 | Jan 9, 2013 (673 d) |
| John Franklin Harris | Ameriprise Financial Services, LLC national BD | Msi Financial Services, Inc. other | Other | Mar 3, 2011 | Mar 4, 2011 |
| Richardson Colt Hendee | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Msi Financial Services, Inc. other | Other | Mar 2, 2011 | Aug 27, 2012 (544 d) |
| Bradley Patrick Konawalik | Securian Financial Services, Inc. other | Msi Financial Services, Inc. other | Other | Feb 16, 2011 | Feb 17, 2011 |
| Eric Markowitz | Equitable Advisors, LLC national BD | Msi Financial Services, Inc. other | Other | Feb 10, 2011 | Feb 4, 2011 |
| Brian Patrick Wells | Equitable Advisors, LLC national BD | Msi Financial Services, Inc. other | Other | Feb 10, 2011 | Feb 8, 2011 |
| Brian Phillip Gibbons | Wells Fargo Advisors wirehouse | Msi Financial Services, Inc. other | Other | Feb 10, 2011 | Aug 15, 2011 (186 d) |
| Jerel Keith Ruttenberg | Equitable Advisors, LLC national BD | Msi Financial Services, Inc. other | Other | Feb 10, 2011 | Feb 4, 2011 |
| Jeffrey Ditalia | Equitable Advisors, LLC national BD | Msi Financial Services, Inc. other | Other | Feb 10, 2011 | Feb 4, 2011 |
| Brian Cooper Smith | Equitable Advisors, LLC national BD | Msi Financial Services, Inc. other | Other | Feb 10, 2011 | Feb 8, 2011 |
| Maria Guadalupe Sanmartin | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Msi Financial Services, Inc. other | Other | Feb 9, 2011 | Apr 20, 2012 (436 d) |
| Lonnie Rodriguez | Chase Investment Services Corp. other | Msi Financial Services, Inc. other | Other | Feb 8, 2011 | Feb 10, 2011 |
| Dorian Michael Grady | Edward Jones national BD | Msi Financial Services, Inc. other | Other | Feb 4, 2011 | Feb 16, 2011 |
| Joshua Winkler | Ameriprise Financial Services, LLC national BD | Msi Financial Services, Inc. other | Other | Feb 1, 2011 | Aug 9, 2011 (189 d) |
| Caitlin Alicia Desoye | Tower Square Securities, Inc. other | Msi Financial Services, Inc. other | Other | Jan 28, 2011 | Jan 2, 2015 (1435 d) |
| Caitlin Alicia Desoye | Walnut Street Securities, Inc. other | Msi Financial Services, Inc. other | Other | Jan 28, 2011 | Jan 2, 2015 (1435 d) |
| Lisa Shipp Frankovich | Morgan Stanley wirehouse | Msi Financial Services, Inc. other | Other | Jan 27, 2011 | Aug 29, 2011 (214 d) |
| Carshon Renee Rodgers | Valic Financial Advisors, Inc. other | Msi Financial Services, Inc. other | Other | Jan 25, 2011 | Mar 10, 2011 (44 d) |
| Kimberly Viner Place | Osaic Fs, Inc. other | Msi Financial Services, Inc. other | Other | Jan 21, 2011 | Feb 8, 2011 |
| William Stephen Murray | Valic Financial Advisors, Inc. other | Msi Financial Services, Inc. other | Other | Jan 6, 2011 | Dec 13, 2010 |
| Cassandra Ralene Cummings | Valic Financial Advisors, Inc. other | Msi Financial Services, Inc. other | Other | Jan 6, 2011 | Dec 17, 2010 |
| Christopher George Price | Edward Jones national BD | Msi Financial Services, Inc. other | Other | Jan 5, 2011 | May 9, 2011 (124 d) |
| David Arthur Owens | Edward Jones national BD | Msi Financial Services, Inc. other | Other | Jan 4, 2011 | Jan 10, 2011 |
| Eric Markowitz | Firstrust Financial Advisors state registered | Msi Financial Services, Inc. other | Other | Dec 31, 2010 | Feb 4, 2011 (35 d) |
| Brian Patrick Wells | Firstrust Financial Advisors state registered | Msi Financial Services, Inc. other | Other | Dec 31, 2010 | Feb 8, 2011 (39 d) |
| Brian Cooper Smith | Firstrust Financial Advisors state registered | Msi Financial Services, Inc. other | Other | Dec 31, 2010 | Feb 8, 2011 (39 d) |
| William Gordon | John Hancock Investment Management LLC other | Msi Financial Services, Inc. other | Other | Dec 31, 2010 | Feb 25, 2011 (56 d) |
| Melvin Harvey Lawrence | Investors Capital Advisory other | Msi Financial Services, Inc. other | Other | Dec 21, 2010 | Jan 19, 2011 |
| Shawn Adam Steffens | Morgan Stanley wirehouse | Msi Financial Services, Inc. other | Other | Dec 21, 2010 | Dec 7, 2010 |
| Mark Allen Byars | Waddell & Reed other | Msi Financial Services, Inc. other | Other | Dec 20, 2010 | Jul 20, 2011 (212 d) |
| Shain Andru Steffens | Morgan Stanley wirehouse | Msi Financial Services, Inc. other | Other | Dec 17, 2010 | Dec 7, 2010 |
| Jennifer Anne Stucka | Next Financial Group, Inc. other | Msi Financial Services, Inc. other | Other | Dec 17, 2010 | Dec 15, 2010 |
| Bryn Michael Doyle | Equitable Advisors, LLC national BD | Msi Financial Services, Inc. other | Other | Dec 1, 2010 | Dec 15, 2010 |
| Brett Andrew Bauch | Woodbury Financial Services, Inc. other | Msi Financial Services, Inc. other | Other | Nov 30, 2010 | Dec 3, 2010 |
| Gale Ann Brodie | LPL Financial LLC other | Msi Financial Services, Inc. other | Other | Nov 18, 2010 | Dec 7, 2010 |
| Paul William Holjes | Morgan Stanley wirehouse | Msi Financial Services, Inc. other | Other | Nov 18, 2010 | Nov 17, 2010 |
| Michael Claude Marshall | Wells Fargo Advisors wirehouse | Msi Financial Services, Inc. other | Other | Nov 17, 2010 | Jul 8, 2011 (233 d) |
| Lawrence Weil | Morgan Keegan & Company, LLC other | Msi Financial Services, Inc. other | Other | Nov 11, 2010 | Nov 23, 2010 |
| Bryan Gregory Fiala | Wells Fargo Investments, LLC unclassified | Msi Financial Services, Inc. other | Other | Nov 3, 2010 | Jan 25, 2011 (83 d) |
| Kyle John Woodward | Equitable Advisors, LLC national BD | Msi Financial Services, Inc. other | Other | Nov 2, 2010 | Jan 26, 2011 (85 d) |
| Kristopher Lee Schnell | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Msi Financial Services, Inc. other | Other | Nov 2, 2010 | Nov 11, 2010 |
| Anna Marie Bloom | Independent Financial Group, LLC other | Msi Financial Services, Inc. other | Other | Oct 28, 2010 | Nov 9, 2010 |
| Scott Andrew Valentine | Ameriprise Financial Services, LLC national BD | Msi Financial Services, Inc. other | Other | Oct 27, 2010 | Nov 17, 2010 |
| Ji Michael Y Chung | MML Investors Services, LLC other | Msi Financial Services, Inc. other | Other | Oct 27, 2010 | Jun 10, 2011 (226 d) |
| Ivan David Johnson | Ameriprise Financial Services, LLC national BD | Msi Financial Services, Inc. other | Other | Oct 27, 2010 | Dec 20, 2010 (54 d) |
| Kevin Patrick Wall | LPL Financial LLC other | Msi Financial Services, Inc. other | Other | Oct 25, 2010 | Oct 15, 2010 |
| Michael Neil Brown | Advice And Planning Services other | Msi Financial Services, Inc. other | Other | Oct 22, 2010 | Dec 21, 2010 (60 d) |
| Joseph William Missman | Edward Jones national BD | Msi Financial Services, Inc. other | Other | Oct 19, 2010 | Oct 22, 2010 |
| Sameer Srivastava | Pruco Securities, LLC other | Msi Financial Services, Inc. other | Other | Oct 18, 2010 | Nov 18, 2010 (31 d) |
| Richard Michael Caruso | Securities America Advisors, Inc. other | Msi Financial Services, Inc. other | Other | Oct 14, 2010 | Mar 22, 2012 (525 d) |
| Andrew Maxwell Sorger | Wells Fargo Advisors wirehouse | Msi Financial Services, Inc. other | Other | Oct 8, 2010 | Jun 23, 2014 (1354 d) |
| William E Thomas | Wells Fargo Advisors wirehouse | Msi Financial Services, Inc. other | Other | Oct 7, 2010 | Jan 6, 2011 (91 d) |