| Thomas William Behlke | Pan-American Investment Advisers, Inc. unclassified | Fsc Securities Corporation other | Other | Apr 1, 2005 | Dec 5, 2005 (248 d) |
| Carlos Joseph Hornbrook | Pan-American Investment Advisers, Inc. unclassified | Fsc Securities Corporation other | Other | Apr 1, 2005 | Dec 1, 2005 (244 d) |
| Paul Edward Fair | Pan-American Investment Advisers, Inc. unclassified | Fsc Securities Corporation other | Other | Apr 1, 2005 | Dec 2, 2005 (245 d) |
| Joseph Richard Warren | Morgan Stanley Dw Inc. unclassified | Fsc Securities Corporation other | Other | Mar 28, 2005 | Mar 21, 2005 |
| Carlos Javier Aviles | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Fsc Securities Corporation other | Other | Mar 9, 2005 | Nov 30, 2005 (266 d) |
| Lee Reuel Kramer | Securities America Advisors, Inc. other | Fsc Securities Corporation other | Other | Feb 18, 2005 | Mar 15, 2005 |
| Scott Edmund Ferguson | Morgan Stanley Dw Inc. unclassified | Fsc Securities Corporation other | Other | Feb 1, 2005 | Jan 28, 2005 |
| Dru C Ashcraft | Placemark Investments, Inc. other | Fsc Securities Corporation other | Other | Jan 31, 2005 | Jun 27, 2008 (1243 d) |
| Michael Anthony Compiano | Osaic Fa, Inc. other | Fsc Securities Corporation other | Other | Jan 21, 2005 | Jan 18, 2005 |
| Patrick Haught Long | Southtrust Securities, LLC unclassified | Fsc Securities Corporation other | Other | Jan 3, 2005 | Feb 2, 2005 |
| Lysa Jill Rothenberg | Capitol Securities Management, Inc. other | Fsc Securities Corporation other | Other | Dec 31, 2004 | Jan 28, 2005 |
| Diane Louise Hall | Pan-American Investment Advisers, Inc. unclassified | Fsc Securities Corporation other | Other | Dec 31, 2004 | Dec 12, 2006 (711 d) |
| Troy Chatterton | Advantage Capital Corporation unclassified | Fsc Securities Corporation other | Other | Dec 31, 2004 | Jun 11, 2012 (2719 d) |
| Scott Gregory Mcmurdie | Osaic Fa, Inc. other | Fsc Securities Corporation other | Other | Dec 31, 2004 | Jan 10, 2005 |
| Patrick Ewing O'Quin | Osaic Fa, Inc. other | Fsc Securities Corporation other | Other | Dec 31, 2004 | May 15, 2007 (865 d) |
| Troy Alonzo Young | Citigroup Global Markets Inc. other | Fsc Securities Corporation other | Other | Dec 6, 2004 | Nov 23, 2004 |
| Gregory Patrick Klingler | Partnervest Advisory Services LLC other | Fsc Securities Corporation other | Other | Dec 6, 2004 | Dec 15, 2004 |
| Miles Robert Miller | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Fsc Securities Corporation other | Other | Nov 17, 2004 | Nov 15, 2004 |
| William Paul Davis | Transamerica Financial Advisors, LLC other | Fsc Securities Corporation other | Other | Oct 29, 2004 | Oct 28, 2004 |
| Leslie Alexander Szarka | Financial Planning unclassified | Fsc Securities Corporation other | Other | Oct 28, 2004 | Dec 3, 2001 |
| Blaine Patrick Hess | Morgan Stanley Dw Inc. unclassified | Fsc Securities Corporation other | Other | Oct 28, 2004 | Oct 15, 2004 |
| Moiz Husain | Charles Schwab & Co., Inc. national BD | Fsc Securities Corporation other | Other | Oct 11, 2004 | Jul 24, 2007 (1016 d) |
| Bryan Daniel Scott | Raymond James Financial Services, Inc. unclassified | Fsc Securities Corporation other | Other | Aug 19, 2004 | Sep 9, 2004 |
| Robert Anthony Patti | Raymond James Financial Services, Inc. unclassified | Fsc Securities Corporation other | Other | Aug 12, 2004 | Sep 2, 2004 |
| Joey S Katz | Citigroup Global Markets Inc. other | Fsc Securities Corporation other | Other | Aug 11, 2004 | Aug 16, 2004 |
| Connie Corina Horstkotte | Waddell & Reed other | Fsc Securities Corporation other | Other | Jul 26, 2004 | Aug 2, 2004 |
| Mitchell Paul Mcabee | Freedom Asset Management, Inc. unclassified | Fsc Securities Corporation other | Other | Jul 22, 2004 | Jun 2, 2005 (315 d) |
| Anthony Louis Szymborski | Banc One Securities Corporation unclassified | Fsc Securities Corporation other | Other | Jun 29, 2004 | Jun 28, 2004 |
| Jonathan Edward Farrell | Ameriprise Financial Services, LLC national BD | Fsc Securities Corporation other | Other | Jun 23, 2004 | Apr 1, 2005 (282 d) |
| Gary Todd Stringer | Cue Financial Group, Inc. other | Fsc Securities Corporation other | Other | May 21, 2004 | Jun 25, 2004 (35 d) |
| Derek Joseph Sinani | Cue Financial Group, Inc. other | Fsc Securities Corporation other | Other | May 21, 2004 | Jun 25, 2004 (35 d) |
| Timothy Buchanan | UBS Financial Services Inc. wirehouse | Fsc Securities Corporation other | Other | May 10, 2004 | May 25, 2004 |
| Kaiping Kenneth Wu | Osaic Fa, Inc. other | Fsc Securities Corporation other | Other | Apr 23, 2004 | Jul 26, 2004 (94 d) |
| Richard Patrick Arzaga | Osaic Fa, Inc. other | Fsc Securities Corporation other | Other | Apr 22, 2004 | May 26, 2004 (34 d) |
| Michael Anthony Pasvantis | Pruco Securities, LLC other | Fsc Securities Corporation other | Other | Apr 20, 2004 | Jul 12, 2004 (83 d) |
| Jeffrey Michael Skraban | Pruco Securities, LLC other | Fsc Securities Corporation other | Other | Mar 22, 2004 | Feb 3, 2005 (318 d) |
| James Warren Baker | Waddell & Reed other | Fsc Securities Corporation other | Other | Feb 18, 2004 | Feb 17, 2004 |
| Jeffrey Stuart Lazar | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Fsc Securities Corporation other | Other | Jan 28, 2004 | Feb 12, 2004 |
| Sandra Ann Murray | Veravest Investment Advisors, Inc. unclassified | Fsc Securities Corporation other | Other | Jan 12, 2004 | Apr 8, 2004 (87 d) |
| Joseph John Giangiulio | Cetera Advisor Networks LLC other | Fsc Securities Corporation other | Other | Dec 31, 2003 | Jan 5, 2004 |
| Eric Dean Rolshoven | Rocky Mountain Financial Advisors LLC unclassified | Fsc Securities Corporation other | Other | Dec 31, 2003 | Jun 22, 1995 |
| Lois Rebecca Stouffer | Corless & Associates, LLC unclassified | Fsc Securities Corporation other | Other | Dec 31, 2003 | Jan 5, 2004 |
| Geral Jean Smith | Gunnallen Financial, Inc unclassified | Fsc Securities Corporation other | Other | Dec 31, 2003 | Nov 13, 2007 (1413 d) |
| John William Shea | Veravest Investment Advisors, Inc. unclassified | Fsc Securities Corporation other | Other | Dec 19, 2003 | Jan 13, 2004 |
| Steven Lewis Stillman | Vestax Securities Corporation unclassified | Fsc Securities Corporation other | Other | Dec 12, 2003 | Dec 1, 2003 |
| Donald Alan Mercurio | Investacorp Advisory Services Inc other | Fsc Securities Corporation other | Other | Nov 24, 2003 | Oct 28, 2003 |
| Michael Luke Wholehan | Intervest International, Inc. other | Fsc Securities Corporation other | Other | Nov 14, 2003 | Nov 14, 2003 |
| Kris Michael Moos | Waddell & Reed other | Fsc Securities Corporation other | Other | Nov 5, 2003 | Nov 4, 2003 |
| James John Horst | Equitable Advisors, LLC national BD | Fsc Securities Corporation other | Other | Nov 3, 2003 | Oct 29, 2003 |
| Anthony Shia Vargo | Legend Financial Advisors Inc other | Fsc Securities Corporation other | Other | Oct 31, 2003 | Jun 17, 2005 (595 d) |
| Theodore Richard Arch | Park Avenue Securities LLC other | Fsc Securities Corporation other | Other | Oct 29, 2003 | Oct 29, 2003 |
| Rodney David Potratz | Equitable Advisors, LLC national BD | Fsc Securities Corporation other | Other | Oct 13, 2003 | Oct 24, 2003 |
| Brett Matthew Ramsey | Transamerica Financial Advisors, LLC other | Fsc Securities Corporation other | Other | Sep 29, 2003 | Sep 24, 2003 |
| Mark Gus Mckimmins | Investacorp Advisory Services Inc other | Fsc Securities Corporation other | Other | Sep 24, 2003 | Sep 9, 2003 |
| David Edward Siegel | Wells Fargo Advisors wirehouse | Fsc Securities Corporation other | Other | Sep 19, 2003 | Sep 24, 2003 |
| David Gerard Lutsch | Re-Direct Securities Corp unclassified | Fsc Securities Corporation other | Other | Sep 3, 2003 | Oct 25, 2011 (2974 d) |
| Keith Richard Jones | Re-Direct Securities Corp unclassified | Fsc Securities Corporation other | Other | Sep 3, 2003 | Sep 18, 2009 (2207 d) |
| Brian Scott Thomas | UBS Financial Services Inc. wirehouse | Fsc Securities Corporation other | Other | Aug 19, 2003 | Aug 8, 2003 |
| Robert Lewis Klingensmith | Ameriprise Financial Services, LLC national BD | Fsc Securities Corporation other | Other | Aug 19, 2003 | Dec 17, 2003 (120 d) |
| Bradley Harsch | Wells Fargo Advisors wirehouse | Fsc Securities Corporation other | Other | Jul 25, 2003 | Aug 18, 2003 |