| Nicholas John Miskov | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Waddell & Reed other | Other | Oct 3, 2011 | Sep 30, 2011 |
| Mark Phillip Alcorn | Citigroup Global Markets Inc. other | Waddell & Reed other | Other | Oct 3, 2011 | Sep 23, 2011 |
| Ronda Jean Wilson | Edward Jones national BD | Waddell & Reed other | Other | Sep 29, 2011 | Sep 29, 2011 |
| Ryan Elliott Kelley | Planmember Securities Corporation other | Waddell & Reed other | Other | Sep 26, 2011 | Nov 24, 2015 (1520 d) |
| Paul Jason Caruso | Charles Schwab & Co., Inc. national BD | Waddell & Reed other | Other | Sep 19, 2011 | Sep 21, 2011 |
| Jacob Eli Murray | LPL Financial LLC other | Waddell & Reed other | Other | Sep 19, 2011 | Sep 1, 2011 |
| Andrew Ruckman Merchant | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Waddell & Reed other | Other | Sep 7, 2011 | Sep 7, 2011 |
| John Evan Griz | Investors Capital Advisory other | Waddell & Reed other | Other | Sep 6, 2011 | Oct 13, 2011 (37 d) |
| Francis George Giamboy | Edward Jones national BD | Waddell & Reed other | Other | Sep 6, 2011 | Jun 20, 2012 (288 d) |
| Wesley Lowell Hazelrigg | Morgan Stanley wirehouse | Waddell & Reed other | Other | Sep 2, 2011 | Sep 21, 2011 |
| Kent Dean Sherfey | Ameriprise Financial Services, LLC national BD | Waddell & Reed other | Other | Aug 29, 2011 | Sep 13, 2011 |
| Nathaniel John Louderback | Securities America Advisors, Inc. other | Waddell & Reed other | Other | Aug 29, 2011 | Sep 21, 2011 |
| Jonathan David Baety | New England Securities Corporation other | Waddell & Reed other | Other | Aug 22, 2011 | Aug 9, 2011 |
| James Richard Lowe | Morgan Stanley wirehouse | Waddell & Reed other | Other | Aug 19, 2011 | Sep 28, 2011 (40 d) |
| Robert Joseph Sidell | RBC Capital Markets, LLC national BD | Waddell & Reed other | Other | Aug 18, 2011 | Aug 12, 2011 |
| Ailen Younanpour | Edward Jones national BD | Waddell & Reed other | Other | Aug 9, 2011 | Sep 12, 2011 (34 d) |
| Gerald Eric Hagman | Advanced Equities, Inc. other | Waddell & Reed other | Other | Aug 2, 2011 | Nov 12, 2012 (468 d) |
| Marijean Hansen | Wells Fargo Advisors wirehouse | Waddell & Reed other | Other | Jul 18, 2011 | Jul 18, 2011 |
| Frank Dryden Anzalone | Wells Fargo Advisors wirehouse | Waddell & Reed other | Other | Jul 18, 2011 | Jul 26, 2011 |
| Rebecca Colleen Burrows | Lincoln Investment other | Waddell & Reed other | Other | Jul 11, 2011 | Jul 18, 2011 |
| John Paul Kanak | Pinnacle Investment Advisors LLC unclassified | Waddell & Reed other | Other | Jul 9, 2011 | Sep 15, 2011 (68 d) |
| Elizabeth Pilar Rogers | Chase Investment Services Corp. other | Waddell & Reed other | Other | Jul 6, 2011 | Jul 5, 2011 |
| Frank Acosta | Sagepoint Financial, Inc. other | Waddell & Reed other | Other | Jul 5, 2011 | Jul 1, 2011 |
| Andrew Michael Agree | Edward Jones national BD | Waddell & Reed other | Other | Jun 24, 2011 | Feb 27, 2011 |
| Andrea Howe Moran | UBS Financial Services Inc. wirehouse | Waddell & Reed other | Other | Jun 9, 2011 | Dec 12, 2016 (2013 d) |
| John Charles Stone | Equitable Advisors, LLC national BD | Waddell & Reed other | Other | Jun 8, 2011 | Feb 25, 2014 (993 d) |
| Todd Aaron Sterling | Thrivent Investment Management Inc. other | Waddell & Reed other | Other | Jun 8, 2011 | Jun 7, 2011 |
| Virginia Anne Bayne Merkouris | Edward Jones national BD | Waddell & Reed other | Other | Jun 2, 2011 | Jul 29, 2011 (57 d) |
| Adam Ray Gay | Vsr Advisory Services other | Waddell & Reed other | Other | May 27, 2011 | Jun 15, 2011 |
| Zachary Aaron Brummel | Vsr Advisory Services other | Waddell & Reed other | Other | May 26, 2011 | Jun 15, 2011 |
| Matt Schommer | Sunset Financial Services, Inc. other | Waddell & Reed other | Other | May 25, 2011 | May 31, 2011 |
| Ryan Joseph Gigous | T & M Financial Inc. unclassified | Waddell & Reed other | Other | May 24, 2011 | Jun 10, 2011 |
| Robert Thomas Smalanskas | Citizens Securities, Inc. other | Waddell & Reed other | Other | May 20, 2011 | Feb 25, 2014 (1012 d) |
| Timothy Matthew Fitzgerald | Fbl Investment Management Services, Inc. other | Waddell & Reed other | Other | May 17, 2011 | Jun 1, 2016 (1842 d) |
| Phillip Frederick Fournier | Spire Wealth Management, LLC other | Waddell & Reed other | Other | Apr 29, 2011 | Jun 2, 2011 (34 d) |
| James Wong | Ameriprise Financial Services, LLC national BD | Waddell & Reed other | Other | Apr 28, 2011 | May 5, 2011 |
| Eric Jose Medina | Lincoln Investment other | Waddell & Reed other | Other | Apr 6, 2011 | Aug 29, 2012 (511 d) |
| Patrick Joseph Walsh | Edward Jones national BD | Waddell & Reed other | Other | Mar 29, 2011 | Jun 8, 2011 (71 d) |
| Gregory Scott Latini | Esi Financial Advisors other | Waddell & Reed other | Other | Mar 25, 2011 | Mar 28, 2011 |
| David Bart Hill | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Waddell & Reed other | Other | Mar 22, 2011 | Mar 21, 2011 |
| David Michael Montgomery | T. Rowe Price Advisory Services, Inc. no RAUM | Waddell & Reed other | Other | Mar 17, 2011 | Mar 24, 2011 |
| Gregory Clark Collins | Edward Jones national BD | Waddell & Reed other | Other | Mar 15, 2011 | Mar 17, 2011 |
| Richard Wade Herbert | New England Securities Corporation other | Waddell & Reed other | Other | Mar 11, 2011 | Mar 17, 2011 |
| David Jason Smith | Woodbury Financial Services, Inc. other | Waddell & Reed other | Other | Mar 9, 2011 | May 10, 2011 (62 d) |
| Susan Jean Frybarger | Edward Jones national BD | Waddell & Reed other | Other | Feb 25, 2011 | May 6, 2011 (70 d) |
| Erica Jean Cortez | Edward Jones national BD | Waddell & Reed other | Other | Feb 22, 2011 | Mar 25, 2011 (31 d) |
| Joseph David Falcone | Janney Montgomery Scott LLC other | Waddell & Reed other | Other | Feb 16, 2011 | Mar 25, 2011 (37 d) |
| Charles Edward Roberts | Commonwealth Financial Network national BD | Waddell & Reed other | Other | Feb 7, 2011 | Mar 6, 2003 |
| John C Adcock | LPL Financial LLC other | Waddell & Reed other | Other | Feb 3, 2011 | Jan 4, 2011 |
| Melinda B Dixon | Edward Jones national BD | Waddell & Reed other | Other | Feb 2, 2011 | Mar 1, 2011 |
| Robert Darien Tapia | Morgan Stanley wirehouse | Waddell & Reed other | Other | Feb 1, 2011 | Jan 20, 2011 |
| Craig Elbert Loewenstein | Edward Jones national BD | Waddell & Reed other | Other | Jan 25, 2011 | Jan 21, 2011 |
| Chris Martin Johnson | Manulife Investment Management (US) LLC other | Waddell & Reed other | Other | Jan 20, 2011 | Mar 2, 2011 (41 d) |
| Sara Lynn Krause | Thrivent Investment Management Inc. other | Waddell & Reed other | Other | Jan 12, 2011 | Jan 10, 2011 |
| Jason Glen Reeves | Edward Jones national BD | Waddell & Reed other | Other | Jan 11, 2011 | Jan 7, 2011 |
| Paul Joseph Jacobs | Ameriprise Financial Services, LLC national BD | Waddell & Reed other | Other | Jan 7, 2011 | Feb 1, 2011 |
| Sterling Scot Gary | Edward Jones national BD | Waddell & Reed other | Other | Jan 6, 2011 | Jan 6, 2011 |
| David Wayne Plouse | Morgan Stanley wirehouse | Waddell & Reed other | Other | Jan 4, 2011 | Feb 2, 2011 |
| Paul Lockwood Zeis | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Waddell & Reed other | Other | Jan 4, 2011 | Apr 7, 2011 (93 d) |
| Earl Bernard Rideau | Cabot-Rothchild, LLC unclassified | Waddell & Reed other | Other | Dec 31, 2010 | Sep 12, 2012 (621 d) |