| Michael Kent Thompson | Key Investment Services LLC other | Cuso Financial Services, L.P. other | Other | Feb 23, 2016 | Feb 23, 2016 |
| Brian Larkin | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Cuso Financial Services, L.P. other | Other | Feb 11, 2016 | Nov 15, 2016 (278 d) |
| Yvonne K. Dean | Schwab Wealth Advisory, Inc. other | Cuso Financial Services, L.P. other | Other | Jan 19, 2016 | May 25, 2016 (127 d) |
| Donna Panton | Key Investment Services LLC other | Cuso Financial Services, L.P. other | Other | Jan 11, 2016 | Mar 7, 2016 (56 d) |
| Michael Steven Gradl | Sorrento Pacific Financial, LLC other | Cuso Financial Services, L.P. other | Other | Jan 8, 2016 | Jan 5, 2016 |
| Brandon Scott Handy | Oneamerica Securities, Inc. other | Cuso Financial Services, L.P. other | Other | Dec 21, 2015 | Dec 14, 2015 |
| Charles Eric Greth | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Cuso Financial Services, L.P. other | Other | Dec 15, 2015 | Dec 10, 2015 |
| David Frank Loftus | Cuna Brokerage Services, Inc. other | Cuso Financial Services, L.P. other | Other | Dec 15, 2015 | Dec 15, 2015 |
| Donavan James Welch | Valic Financial Advisors, Inc. other | Cuso Financial Services, L.P. other | Other | Dec 10, 2015 | Dec 8, 2015 |
| Robert Lee Stewart | Cetera Advisor Networks LLC other | Cuso Financial Services, L.P. other | Other | Nov 18, 2015 | Nov 18, 2015 |
| Spencer John French | Cetera Advisor Networks LLC other | Cuso Financial Services, L.P. other | Other | Nov 18, 2015 | Nov 18, 2015 |
| Timothy E Reichstein | Cetera Advisor Networks LLC other | Cuso Financial Services, L.P. other | Other | Nov 18, 2015 | Nov 18, 2015 |
| Matthew B Williams | Pruco Securities, LLC other | Cuso Financial Services, L.P. other | Other | Nov 17, 2015 | Nov 17, 2015 |
| Rodney D. Nelson | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Cuso Financial Services, L.P. other | Other | Nov 10, 2015 | Nov 16, 2015 |
| Michael James St Marie | Ameriprise Financial Services, LLC national BD | Cuso Financial Services, L.P. other | Other | Nov 10, 2015 | Nov 2, 2015 |
| Darren Matt York | Cuna Brokerage Services, Inc. other | Cuso Financial Services, L.P. other | Other | Nov 3, 2015 | Nov 2, 2015 |
| Martin Ho Wah Lau | B. Riley Wealth Advisors, Inc. other | Cuso Financial Services, L.P. other | Other | Oct 28, 2015 | Jan 26, 2017 (456 d) |
| Sandra Ann Pappalardo | Financial Sense Advisors, Inc. other | Cuso Financial Services, L.P. other | Other | Oct 26, 2015 | Jul 13, 2015 |
| Matthew D. Russell | Cuna Brokerage Services, Inc. other | Cuso Financial Services, L.P. other | Other | Oct 20, 2015 | Oct 26, 2015 |
| Matthew Edward Gaffey | Strategic Advisers LLC national BD | Cuso Financial Services, L.P. other | Other | Oct 16, 2015 | Oct 5, 2015 |
| Matthew Earle Russell | Raymond James Financial Services Advisors, Inc other | Cuso Financial Services, L.P. other | Other | Oct 5, 2015 | Oct 5, 2015 |
| Christopher Leonard Mccain | LPL Financial LLC other | Cuso Financial Services, L.P. other | Other | Oct 2, 2015 | Sep 21, 2015 |
| Antonio Carter | Commonwealth Financial Network national BD | Cuso Financial Services, L.P. other | Other | Sep 30, 2015 | Oct 2, 2015 |
| Bryan George Quinn | M&T Securities, Inc. unclassified | Cuso Financial Services, L.P. other | Other | Sep 25, 2015 | Dec 14, 2015 (80 d) |
| Delawar Roashan | Equitable Advisors, LLC national BD | Cuso Financial Services, L.P. other | Other | Sep 11, 2015 | Sep 8, 2015 |
| James Patrick Flynn | Citizens Securities, Inc. other | Cuso Financial Services, L.P. other | Other | Sep 2, 2015 | Dec 11, 2015 (100 d) |
| Ewelina Anna Caplap | Northwestern Mutual Investment Services,LLC other | Cuso Financial Services, L.P. other | Other | Sep 2, 2015 | Sep 14, 2015 |
| Vinh Do | E*Trade Capital Management, LLC other | Cuso Financial Services, L.P. other | Other | Aug 6, 2015 | Aug 10, 2015 |
| Wayne P Sellar | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Cuso Financial Services, L.P. other | Other | Aug 5, 2015 | Aug 5, 2015 |
| Song Bo Shim | J.P. Morgan Securities LLC wirehouse | Cuso Financial Services, L.P. other | Other | Jul 29, 2015 | Oct 1, 2015 (64 d) |
| Jeffrey David Ferraris | Wells Fargo Advisors wirehouse | Cuso Financial Services, L.P. other | Other | Jul 24, 2015 | Jul 24, 2015 |
| Matthew Sayah Taheri | Wells Fargo Advisors wirehouse | Cuso Financial Services, L.P. other | Other | Jul 21, 2015 | Aug 21, 2015 (31 d) |
| Matthew Anthony Tarantino | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Cuso Financial Services, L.P. other | Other | Jul 20, 2015 | Aug 12, 2015 |
| Joshua Andrew Stultz | J.P. Morgan Securities LLC wirehouse | Cuso Financial Services, L.P. other | Other | Jul 14, 2015 | Sep 18, 2015 (66 d) |
| Gabriel Brian Brogden | Bb&T Investment Services, Inc. no RAUM | Cuso Financial Services, L.P. other | Other | Jun 3, 2015 | Jun 24, 2015 |
| Luke A Neff | Pnc Wealth Management other | Cuso Financial Services, L.P. other | Other | Jun 1, 2015 | Jun 1, 2015 |
| Frank H Gerecht | Wells Fargo Advisors wirehouse | Cuso Financial Services, L.P. other | Other | May 27, 2015 | May 12, 2015 |
| Regan Shigeo Yamada | Sagepoint Financial, Inc. other | Cuso Financial Services, L.P. other | Other | May 22, 2015 | May 18, 2015 |
| Robert James Schup | Sagepoint Financial, Inc. other | Cuso Financial Services, L.P. other | Other | May 20, 2015 | May 7, 2015 |
| Brian James Maciejewski | LPL Financial LLC other | Cuso Financial Services, L.P. other | Other | May 19, 2015 | May 22, 2015 |
| Marlo Ann Burns | Bmo Harris Financial Advisors, Inc other | Cuso Financial Services, L.P. other | Other | May 19, 2015 | Apr 30, 2015 |
| Eric W. Heath | Wells Fargo Advisors wirehouse | Cuso Financial Services, L.P. other | Other | May 15, 2015 | May 22, 2015 |
| Matthew Layne Mcfarland | J.P. Morgan Securities LLC wirehouse | Cuso Financial Services, L.P. other | Other | May 12, 2015 | May 5, 2015 |
| Jason Michael Lau | Bankoh Advisors other | Cuso Financial Services, L.P. other | Other | May 8, 2015 | May 14, 2015 |
| Brian Fee | Pnc Wealth Management other | Cuso Financial Services, L.P. other | Other | May 4, 2015 | May 4, 2015 |
| Benton John Miller | J.P. Morgan Securities LLC wirehouse | Cuso Financial Services, L.P. other | Other | Apr 29, 2015 | May 4, 2015 |
| David E Hammond | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Cuso Financial Services, L.P. other | Other | Apr 16, 2015 | Apr 7, 2015 |
| Kevin W Onizuka | J.P. Morgan Securities LLC wirehouse | Cuso Financial Services, L.P. other | Other | Apr 16, 2015 | Apr 7, 2015 |
| Thomas J. Brunz | Lawing Financial Inc other | Cuso Financial Services, L.P. other | Other | Apr 6, 2015 | Apr 15, 2015 |
| Elishah Mcdaniel | J.P. Morgan Securities LLC wirehouse | Cuso Financial Services, L.P. other | Other | Feb 25, 2015 | Mar 18, 2015 |
| Samuel Frederick Niesslein | Wells Fargo Advisors wirehouse | Cuso Financial Services, L.P. other | Other | Feb 20, 2015 | Feb 18, 2015 |
| Aaron Bitran | LPL Financial LLC other | Cuso Financial Services, L.P. other | Other | Feb 19, 2015 | Feb 18, 2015 |
| Jeffrey John Jock | LPL Financial LLC other | Cuso Financial Services, L.P. other | Other | Feb 19, 2015 | Feb 18, 2015 |
| John J Kirwan | LPL Financial LLC other | Cuso Financial Services, L.P. other | Other | Feb 19, 2015 | Feb 18, 2015 |
| Ryan Gripper | Td Ameritrade Investment Management, LLC other | Cuso Financial Services, L.P. other | Other | Feb 17, 2015 | Feb 18, 2015 |
| Ryan Gripper | Td Ameritrade, Inc. no RAUM | Cuso Financial Services, L.P. other | Other | Feb 17, 2015 | Feb 18, 2015 |
| Sarah Exell | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Cuso Financial Services, L.P. other | Other | Jan 26, 2015 | Jan 5, 2016 (344 d) |
| Adrian Albert Hedwig | LPL Financial LLC other | Cuso Financial Services, L.P. other | Other | Jan 23, 2015 | Jan 26, 2015 |
| Amy Elizabeth Yesnach | Fifth Third Securities, Inc. other | Cuso Financial Services, L.P. other | Other | Jan 20, 2015 | Feb 4, 2015 |
| Jason Douglas Mccarthy | Pnc Managed Account Solutions, Inc. other | Cuso Financial Services, L.P. other | Other | Jan 15, 2015 | Jan 21, 2015 |