| Michael Patrick Odonnell | Chase Investment Services Corp. other | Invest Financial Corporation other | Other | May 18, 2007 | May 31, 2007 |
| Kurt Allen Marlow | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Invest Financial Corporation other | Other | May 18, 2007 | May 30, 2007 |
| Timothy Charles Legamaro | Pfic Advisors, Inc. unclassified | Invest Financial Corporation other | Other | May 9, 2007 | May 7, 2007 |
| William Christopher Valenti | Pfic Advisors, Inc. unclassified | Invest Financial Corporation other | Other | May 9, 2007 | May 2, 2007 |
| William Patrick Mcandrew | Pfic Advisors, Inc. unclassified | Invest Financial Corporation other | Other | May 8, 2007 | May 8, 2007 |
| Jeffrey Gene Boessen | Pfic Advisors, Inc. unclassified | Invest Financial Corporation other | Other | May 8, 2007 | May 17, 2007 |
| Jonathan Rost | Pfic Advisors, Inc. unclassified | Invest Financial Corporation other | Other | May 8, 2007 | May 8, 2007 |
| Travis Allen Crum | Pfic Advisors, Inc. unclassified | Invest Financial Corporation other | Other | May 8, 2007 | May 8, 2007 |
| Corey G Sherf | Pfic Advisors, Inc. unclassified | Invest Financial Corporation other | Other | May 8, 2007 | Apr 30, 2007 |
| Cheryl Ann Reed | Pfic Advisors, Inc. unclassified | Invest Financial Corporation other | Other | May 8, 2007 | May 7, 2007 |
| Paul Douglas Axberg | Centaurus Financial, Inc. other | Invest Financial Corporation other | Other | May 1, 2007 | May 11, 2007 |
| Orion Kelly Willis | Centaurus Financial, Inc. other | Invest Financial Corporation other | Other | May 1, 2007 | May 11, 2007 |
| Randolph S Clark | Cantella & Co., Inc. other | Invest Financial Corporation other | Other | Apr 27, 2007 | Mar 30, 2007 |
| Andrey Letushko | Msi Financial Services, Inc. other | Invest Financial Corporation other | Other | Apr 23, 2007 | Apr 23, 2008 (366 d) |
| Erik Nicholas Hagge | Securities America Advisors, Inc. other | Invest Financial Corporation other | Other | Apr 19, 2007 | Jun 18, 2007 (60 d) |
| Lawrence Seiden | Uvest Financial Services Group, Inc. unclassified | Invest Financial Corporation other | Other | Apr 13, 2007 | Jul 26, 2012 (1931 d) |
| John Michael Genova | Cetera Advisors LLC other | Invest Financial Corporation other | Other | Apr 11, 2007 | Apr 10, 2007 |
| Micheal Brandon Floyd | Edward Jones national BD | Invest Financial Corporation other | Other | Mar 21, 2007 | Oct 22, 2008 (581 d) |
| Roy Sherwood Greer | Cetera Advisor Networks LLC other | Invest Financial Corporation other | Other | Feb 27, 2007 | Mar 1, 2007 |
| Joseph Robert Vartanian | Cetera Advisor Networks LLC other | Invest Financial Corporation other | Other | Feb 27, 2007 | Feb 28, 2007 |
| Diane Johns Gilger | Keybanc Capital Markets Inc. unclassified | Invest Financial Corporation other | Other | Feb 15, 2007 | Jan 29, 2009 (714 d) |
| William Burford Magenheimer | Wells Fargo Advisors wirehouse | Invest Financial Corporation other | Other | Feb 14, 2007 | Feb 15, 2007 |
| Rafiq Austin Wiley | Equitable Advisors, LLC national BD | Invest Financial Corporation other | Other | Feb 12, 2007 | Feb 20, 2007 |
| Curt Edward Coulombe | Equitable Advisors, LLC national BD | Invest Financial Corporation other | Other | Feb 6, 2007 | Feb 6, 2007 |
| Sara Alicia Fagot | Wells Fargo Investments, LLC unclassified | Invest Financial Corporation other | Other | Feb 6, 2007 | Feb 6, 2007 |
| Karrie Kay Stefanov | Keybanc Capital Markets Inc. unclassified | Invest Financial Corporation other | Other | Feb 2, 2007 | Feb 2, 2007 |
| Chad Erwin Colbert | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Invest Financial Corporation other | Other | Jan 16, 2007 | Jun 7, 2011 (1603 d) |
| Michael J Rogers | Key Investment Services LLC other | Invest Financial Corporation other | Other | Jan 16, 2007 | Jan 24, 2007 |
| Amy Elizabeth Sporer | Ameriprise Financial Services, LLC national BD | Invest Financial Corporation other | Other | Jan 3, 2007 | Jan 23, 2007 |
| Michael Reed Zigler | Gradient Investments, LLC other | Invest Financial Corporation other | Other | Dec 20, 2006 | Oct 29, 2012 (2140 d) |
| Mark Sid Redfield | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Invest Financial Corporation other | Other | Dec 19, 2006 | Jan 22, 2010 (1130 d) |
| Linda Lee Knighton | Geneos Wealth Management, Inc. other | Invest Financial Corporation other | Other | Dec 15, 2006 | Dec 14, 2006 |
| Daniel William Mitchell | Cetera Investment Advisers LLC other | Invest Financial Corporation other | Other | Dec 13, 2006 | Dec 20, 2006 |
| Gregory Robert Bisser | Vision Asset Management Inc unclassified | Invest Financial Corporation other | Other | Dec 11, 2006 | Mar 1, 2005 |
| Robert Leroy Chess | Investors Capital Advisory other | Invest Financial Corporation other | Other | Dec 8, 2006 | Dec 7, 2006 |
| Gene Wardo | Investors Capital Advisory other | Invest Financial Corporation other | Other | Dec 8, 2006 | Jan 11, 2007 (34 d) |
| Sheila June Cuffari-Agasi | Total Investment Management, Inc. other | Invest Financial Corporation other | Other | Nov 30, 2006 | Nov 3, 2005 |
| Michael P Zoli | Osaic Fa, Inc. other | Invest Financial Corporation other | Other | Nov 30, 2006 | Nov 29, 2006 |
| Joseph David Gastaldi | Financial Independence Group unclassified | Invest Financial Corporation other | Other | Nov 16, 2006 | Oct 4, 2005 |
| Robert Carlos Cadena | Kcm & Associates unclassified | Invest Financial Corporation other | Other | Oct 31, 2006 | Feb 26, 2009 (849 d) |
| Sergio Fausto Bio | Msi Financial Services, Inc. other | Invest Financial Corporation other | Other | Sep 21, 2006 | Sep 19, 2006 |
| Deborah M Williams | Morgan Keegan & Company, LLC other | Invest Financial Corporation other | Other | Sep 6, 2006 | Jul 31, 2009 (1059 d) |
| Barry P Toole | Signal Securities, Inc. other | Invest Financial Corporation other | Other | Aug 29, 2006 | Sep 6, 2006 |
| Elizabeth Sanchez | Banc Of America Investment Services, Inc. unclassified | Invest Financial Corporation other | Other | Aug 9, 2006 | Sep 20, 2006 (42 d) |
| Kraig Rowekamp | Wells Fargo Investments, LLC unclassified | Invest Financial Corporation other | Other | Aug 4, 2006 | Aug 22, 2006 |
| Ralph Steven Ruckart | Transamerica Financial Advisors, Inc. unclassified | Invest Financial Corporation other | Other | Aug 1, 2006 | Aug 14, 2006 |
| Nicole Maria Casp | Butler, Wick & Co., Inc. unclassified | Invest Financial Corporation other | Other | Jul 12, 2006 | Jul 26, 2006 |
| Edward Scott Campbell | Mutual Service Corporation unclassified | Invest Financial Corporation other | Other | Jul 10, 2006 | Jul 11, 2006 |
| Garry Raymond Matthew Payne | Signator Investors, Inc. other | Invest Financial Corporation other | Other | Jun 21, 2006 | May 22, 2015 (3257 d) |
| Michael Robbins | Gunnallen Financial, Inc unclassified | Invest Financial Corporation other | Other | Jun 19, 2006 | Jul 12, 2006 |
| Jeffrey Lee Stock | Thrivent Investment Management Inc. other | Invest Financial Corporation other | Other | Jun 8, 2006 | Jun 6, 2006 |
| Jason Albino | Td Ameritrade, Inc. no RAUM | Invest Financial Corporation other | Other | May 9, 2006 | Jan 30, 2017 (3919 d) |
| Nicholas Lee Lacy | T. Rowe Price Advisory Services, Inc. no RAUM | Invest Financial Corporation other | Other | May 4, 2006 | May 15, 2006 |
| Jeffrey Alan Parsons | Msi Financial Services, Inc. other | Invest Financial Corporation other | Other | May 2, 2006 | Nov 5, 2007 (552 d) |
| Edward Anthony Bails | Sagepoint Financial, Inc. other | Invest Financial Corporation other | Other | Apr 7, 2006 | Apr 3, 2006 |
| Mark Whitehead Friedman | Farnsley Wealth Management, LLC state registered | Invest Financial Corporation other | Other | Mar 28, 2006 | Jul 27, 2010 (1582 d) |
| John Peter Bamberger | Pnc Wealth Management other | Invest Financial Corporation other | Other | Mar 6, 2006 | Jun 1, 2006 (87 d) |
| Arthur Floyd Hazen | Cantella & Co., Inc. other | Invest Financial Corporation other | Other | Mar 2, 2006 | Mar 9, 2006 |
| Kevin Charles Cole | Ameriprise Advisor Services, Inc. unclassified | Invest Financial Corporation other | Other | Feb 16, 2006 | Feb 27, 2006 |
| Jeffrey Ward Nolan | Qa3 Financial LLC unclassified | Invest Financial Corporation other | Other | Feb 7, 2006 | Feb 10, 2006 |