| Stephen Laurence Peloquin | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Fifth Third Securities, Inc. other | Other | Oct 22, 2013 | Nov 13, 2013 |
| Tyler Edward Smith | LPL Financial LLC other | Fifth Third Securities, Inc. other | Other | Oct 17, 2013 | Oct 8, 2013 |
| Laura Kaczor Stevens | MML Investors Services, LLC other | Fifth Third Securities, Inc. other | Other | Oct 16, 2013 | Oct 10, 2013 |
| Vaishali Ketan Trivedi | Wells Fargo Advisors wirehouse | Fifth Third Securities, Inc. other | Other | Oct 7, 2013 | Nov 14, 2013 (38 d) |
| Peter Vincent Seriano | T. Rowe Price Advisory Services, Inc. no RAUM | Fifth Third Securities, Inc. other | Other | Oct 4, 2013 | Oct 7, 2013 |
| Timothy Jolliffe | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Fifth Third Securities, Inc. other | Other | Sep 24, 2013 | Jun 11, 2014 (260 d) |
| Gary B Hessert | Lanark Financial, Inc. other | Fifth Third Securities, Inc. other | Other | Sep 12, 2013 | Sep 19, 2013 |
| Terrie Frances Austin | Raymond James Financial Services Advisors, Inc other | Fifth Third Securities, Inc. other | Other | Aug 13, 2013 | Sep 24, 2013 (42 d) |
| Joshua Timothy Cochran | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Fifth Third Securities, Inc. other | Other | Aug 13, 2013 | Apr 17, 2014 (247 d) |
| Jody Lynn Mang | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Fifth Third Securities, Inc. other | Other | Jul 15, 2013 | Jul 24, 2013 |
| Randall Russell Russo | Morgan Stanley wirehouse | Fifth Third Securities, Inc. other | Other | Jul 11, 2013 | Jul 17, 2013 |
| James T Carpenter | J.P. Morgan Securities LLC wirehouse | Fifth Third Securities, Inc. other | Other | Jun 14, 2013 | Dec 9, 2013 (178 d) |
| Matthew Todd Thompson | Pnc Wealth Management other | Fifth Third Securities, Inc. other | Other | Jun 14, 2013 | Aug 7, 2013 (54 d) |
| Maggie Margret Quick | Wells Fargo Advisors wirehouse | Fifth Third Securities, Inc. other | Other | Jun 11, 2013 | Jun 27, 2013 |
| Michael Hugh Smith | T. Rowe Price Advisory Services, Inc. no RAUM | Fifth Third Securities, Inc. other | Other | Jun 4, 2013 | Oct 3, 2013 (121 d) |
| Jim A. Jarvis | Morgan Stanley wirehouse | Fifth Third Securities, Inc. other | Other | May 31, 2013 | Jun 12, 2013 |
| Anthony Torreon | David A. Noyes & Company other | Fifth Third Securities, Inc. other | Other | May 20, 2013 | May 22, 2013 |
| Terrell Clayton Boone | Suntrust Investment Services, Inc. other | Fifth Third Securities, Inc. other | Other | May 15, 2013 | May 16, 2013 |
| Amy Lynn Hoesli | Thrivent Investment Management Inc. other | Fifth Third Securities, Inc. other | Other | Apr 29, 2013 | May 30, 2013 (31 d) |
| Matthew Scott Schiller | Edward Jones national BD | Fifth Third Securities, Inc. other | Other | Apr 25, 2013 | Dec 17, 2013 (236 d) |
| Natalie Danielle Knerr | Huntington Financial Advisors other | Fifth Third Securities, Inc. other | Other | Mar 15, 2013 | Mar 19, 2013 |
| Michael Patrick King | Strategic Advisers LLC national BD | Fifth Third Securities, Inc. other | Other | Mar 5, 2013 | Mar 7, 2013 |
| Kevin Durrelle Haggard | Edward Jones national BD | Fifth Third Securities, Inc. other | Other | Mar 1, 2013 | Jul 25, 2013 (146 d) |
| Robert Hugh Maiocco | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Fifth Third Securities, Inc. other | Other | Feb 21, 2013 | Feb 20, 2013 |
| Shumaila Bahram Pirani | Morgan Stanley wirehouse | Fifth Third Securities, Inc. other | Other | Feb 20, 2013 | Nov 13, 2013 (266 d) |
| Connor Louis Smith | Edward Jones national BD | Fifth Third Securities, Inc. other | Other | Feb 20, 2013 | Feb 22, 2013 |
| Benjamin Hollis Knox | Morgan Stanley wirehouse | Fifth Third Securities, Inc. other | Other | Feb 12, 2013 | Jan 28, 2013 |
| Holly Reed Banford | UBS Financial Services Inc. wirehouse | Fifth Third Securities, Inc. other | Other | Feb 11, 2013 | Feb 20, 2013 |
| Jeff Joseph Cashin | First Citizens Investor Services, Inc. other | Fifth Third Securities, Inc. other | Other | Feb 7, 2013 | Mar 5, 2013 |
| Michael Scott Bloom | Northwestern Mutual Investment Services,LLC other | Fifth Third Securities, Inc. other | Other | Feb 4, 2013 | Feb 15, 2013 |
| John L. Golliday | Ameriprise Financial Services, LLC national BD | Fifth Third Securities, Inc. other | Other | Feb 1, 2013 | Jan 24, 2013 |
| Sherry Bolling | Concourse Financial Group Advisors other | Fifth Third Securities, Inc. other | Other | Jan 31, 2013 | Feb 25, 2013 |
| Michael J Wiers | Morgan Stanley wirehouse | Fifth Third Securities, Inc. other | Other | Jan 29, 2013 | Dec 19, 2014 (689 d) |
| Shaun Eck | LPL Financial LLC other | Fifth Third Securities, Inc. other | Other | Jan 22, 2013 | Jan 16, 2013 |
| Jonathan Allender Dinsmore | Strategic Advisers LLC national BD | Fifth Third Securities, Inc. other | Other | Jan 17, 2013 | Apr 23, 2013 (96 d) |
| Jackie N Martin | Osaic Fa, Inc. other | Fifth Third Securities, Inc. other | Other | Jan 9, 2013 | Jan 28, 2013 |
| Joe Alexander Sanchez | Pnc Wealth Management other | Fifth Third Securities, Inc. other | Other | Jan 8, 2013 | Jan 15, 2013 |
| Daniel Otis Wolf | UBS Financial Services Inc. wirehouse | Fifth Third Securities, Inc. other | Other | Dec 21, 2012 | Jan 2, 2013 |
| Zarinah Amatullah Mitchell | Strategic Advisers LLC national BD | Fifth Third Securities, Inc. other | Other | Dec 21, 2012 | Dec 5, 2013 (349 d) |
| Brandon Joseph Miller | Huntington Financial Advisors other | Fifth Third Securities, Inc. other | Other | Dec 21, 2012 | Jan 9, 2013 |
| Matthew Mark Byrley | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Fifth Third Securities, Inc. other | Other | Dec 3, 2012 | Dec 12, 2012 |
| Isaac J. Treesh | Edward Jones national BD | Fifth Third Securities, Inc. other | Other | Dec 3, 2012 | Dec 12, 2012 |
| Joseph Henry Westendorf | Equitable Advisors, LLC national BD | Fifth Third Securities, Inc. other | Other | Nov 28, 2012 | Jun 9, 2016 (1289 d) |
| Samuel Edward Powers | Morgan Stanley wirehouse | Fifth Third Securities, Inc. other | Other | Nov 20, 2012 | Feb 14, 2014 (451 d) |
| Juan Carlos Aguilar | Edward Jones national BD | Fifth Third Securities, Inc. other | Other | Nov 15, 2012 | Nov 14, 2012 |
| Renee Marie Maloney | Suntrust Investment Services, Inc. other | Fifth Third Securities, Inc. other | Other | Nov 8, 2012 | Jan 15, 2013 (68 d) |
| Joan Boncher | Morgan Stanley wirehouse | Fifth Third Securities, Inc. other | Other | Nov 1, 2012 | Jan 8, 2013 (68 d) |
| Matthew Todd Flynn | Morgan Stanley wirehouse | Fifth Third Securities, Inc. other | Other | Oct 25, 2012 | Oct 31, 2012 |
| Hans William Mathiak | J.P. Morgan Securities LLC wirehouse | Fifth Third Securities, Inc. other | Other | Oct 2, 2012 | Oct 8, 2012 |
| Robert Dhoore | Wells Fargo Advisors wirehouse | Fifth Third Securities, Inc. other | Other | Oct 1, 2012 | Nov 27, 2012 (57 d) |
| Mark R Schneider | Principal Securities, Inc. other | Fifth Third Securities, Inc. BD affiliated | Other | Sep 13, 2012 | Oct 1, 2020 (2940 d) |
| Jeremy Christopher Gates | U.S. Bancorp Investments, Inc. other | Fifth Third Securities, Inc. other | Other | Sep 4, 2012 | Sep 17, 2012 |
| Richard Wesley Boschert | Pnc Wealth Management other | Fifth Third Securities, Inc. other | Other | Aug 28, 2012 | Sep 12, 2012 |
| Ajdin Jakub Dropic | Huntington Financial Advisors other | Fifth Third Securities, Inc. other | Other | Aug 27, 2012 | Aug 28, 2012 |
| Dennis Stefan Glosik | Huntington Financial Advisors other | Fifth Third Securities, Inc. other | Other | Aug 8, 2012 | Dec 14, 2012 (128 d) |
| Kyle Lawrence Mooney | Wells Fargo Advisors wirehouse | Fifth Third Securities, Inc. other | Other | Aug 3, 2012 | Jul 14, 2014 (710 d) |
| Michael Barrett Stolte | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Fifth Third Securities, Inc. other | Other | Aug 3, 2012 | Aug 14, 2012 |
| Thomas Schuller | Associated Investment Services, Inc. other | Fifth Third Securities, Inc. other | Other | Jul 26, 2012 | Jun 29, 2012 |
| Joshua David Rochon | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Fifth Third Securities, Inc. other | Other | Jul 16, 2012 | Oct 9, 2012 (85 d) |
| Paul Craig Feldman | Pnc Wealth Management other | Fifth Third Securities, Inc. other | Other | Jul 10, 2012 | Jul 10, 2012 |