| Ryan Daniel Cameron | Msi Financial Services, Inc. other | Key Investment Services LLC other | Other | Jul 1, 2011 | Dec 7, 2015 (1620 d) |
| Lori Cheryl Silverstein | Morgan Stanley wirehouse | Key Investment Services LLC other | Other | Jun 29, 2011 | May 4, 2012 (310 d) |
| Tammara Marie Upton | U.S. Bancorp Investments, Inc. other | Key Investment Services LLC other | Other | Jun 24, 2011 | Apr 24, 2012 (305 d) |
| Todd Douglas Micciche | Bancwest Investment Services, Inc. (Bwis) other | Key Investment Services LLC other | Other | Apr 27, 2011 | Oct 18, 2011 (174 d) |
| Gerald Weeks Madsen | Edward Jones national BD | Key Investment Services LLC other | Other | Apr 6, 2011 | Apr 11, 2011 |
| Christopher Michael Belmont | Edward Jones national BD | Key Investment Services LLC BD affiliated | Affiliated broker-dealer or bank to another | Mar 31, 2011 | Mar 26, 2021 (3648 d) |
| Benjamin Micah Wenzel | Edward Jones national BD | Key Investment Services LLC other | Other | Mar 23, 2011 | Jul 20, 2011 (119 d) |
| Trevor Bruce Hanson | Wells Fargo Advisors wirehouse | Key Investment Services LLC other | Other | Mar 3, 2011 | Mar 16, 2011 |
| Michael D. Mccubbin | Edward Jones national BD | Key Investment Services LLC other | Other | Jan 26, 2011 | Feb 15, 2011 |
| Cheryl L Nodge | H.C.Meyer, Inc. unclassified | Key Investment Services LLC other | Other | Jan 18, 2011 | May 9, 2011 (111 d) |
| Ryan James Patton | Equitable Advisors, LLC national BD | Key Investment Services LLC other | Other | Jan 13, 2011 | Jan 12, 2011 |
| Hyon Yong Kim | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Key Investment Services LLC other | Other | Jan 3, 2011 | Dec 20, 2010 |
| Tabrenia Lynn Davidson | U.S. Bancorp Investments, Inc. other | Key Investment Services LLC other | Other | Dec 3, 2010 | Dec 6, 2010 |
| David James Isaacs | Edward Jones national BD | Key Investment Services LLC other | Other | Nov 23, 2010 | Dec 2, 2010 |
| David M Robbins | Wells Fargo Advisors wirehouse | Key Investment Services LLC other | Other | Nov 19, 2010 | Apr 27, 2012 (525 d) |
| Jason Andersen | Morgan Stanley wirehouse | Key Investment Services LLC other | Other | Oct 27, 2010 | Oct 20, 2010 |
| Kathren Hsueh Wills | Chase Investment Services Corp. other | Key Investment Services LLC other | Other | Oct 27, 2010 | Nov 8, 2010 |
| Michael Stephan Mare | Edward Jones national BD | Key Investment Services LLC other | Other | Oct 19, 2010 | Oct 26, 2010 |
| Jeremy Lee Guay | Edward Jones national BD | Key Investment Services LLC other | Other | Oct 15, 2010 | Oct 26, 2010 |
| Scott Viano | Huntington Financial Advisors other | Key Investment Services LLC other | Other | Oct 4, 2010 | Oct 13, 2010 |
| Kurt Schaefer | Advice And Planning Services other | Key Investment Services LLC other | Other | Sep 24, 2010 | Nov 9, 2010 (46 d) |
| Donald James Paul | Raymond James & Associates, Inc. national BD | Key Investment Services LLC other | Other | Aug 5, 2010 | Aug 11, 2010 |
| Ronald Roy Zeppernick | Pnc Wealth Management other | Key Investment Services LLC other | Other | Jun 29, 2010 | Jul 19, 2010 |
| Danial Scott Anderson | Morgan Stanley wirehouse | Key Investment Services LLC other | Other | Jun 4, 2010 | May 10, 2010 |
| Brent Robert Bridenback | Householder Group Financial Advisors, LLC other | Key Investment Services LLC other | Other | May 18, 2010 | May 18, 2010 |
| Joel Michael Wilson | Chase Investment Services Corp. other | Key Investment Services LLC other | Other | Apr 15, 2010 | Nov 1, 2012 (931 d) |
| Sean Michael Jones | RBC Capital Markets, LLC national BD | Key Investment Services LLC other | Other | Apr 8, 2010 | Apr 7, 2010 |
| George L Michalke | Amfin Investment Services, Inc. unclassified | Key Investment Services LLC other | Other | Mar 10, 2010 | May 6, 2010 (57 d) |
| Jeff Olbina | M&I Financial Advisors, Inc. no RAUM | Key Investment Services LLC other | Other | Feb 24, 2010 | Feb 18, 2010 |
| William Bernardi | Fifth Third Securities, Inc. other | Key Investment Services LLC other | Other | Jan 7, 2010 | Feb 1, 2010 |
| Ronald Martin Hyde | Wells Fargo Investments, LLC unclassified | Key Investment Services LLC other | Other | Jan 4, 2010 | Jan 6, 2010 |
| Robert Michael Lynch | UBS Financial Services Inc. wirehouse | Key Investment Services LLC other | Other | Dec 22, 2009 | Jan 5, 2010 |
| Matthew David Carino | Huntington Financial Advisors other | Key Investment Services LLC other | Other | Dec 14, 2009 | Dec 21, 2009 |
| Florencio Gilberto Sandoval | Chase Investment Services Corp. other | Key Investment Services LLC other | Other | Dec 2, 2009 | Dec 7, 2009 |
| Brian Shane Jacobus | RBC Capital Markets, LLC national BD | Key Investment Services LLC other | Other | Oct 15, 2009 | Oct 14, 2009 |
| Douglas Brent Arnell | Edward Jones national BD | Key Investment Services LLC other | Other | Oct 8, 2009 | Sep 12, 2011 (704 d) |
| William Mcpherson Browning | Ameriprise Financial Services, LLC national BD | Key Investment Services LLC other | Other | Oct 6, 2009 | Oct 15, 2009 |
| Ray W Nishikawa | Ameriprise Advisor Services, Inc. unclassified | Key Investment Services LLC other | Other | Sep 18, 2009 | Sep 3, 2009 |
| Darin Michael Ring | Chase Investment Services Corp. other | Key Investment Services LLC other | Other | Sep 11, 2009 | Sep 17, 2009 |
| Dean Curtis Huston | Natcity Investments, Inc. unclassified | Key Investment Services LLC other | Other | Sep 1, 2009 | Nov 24, 2009 (84 d) |
| Amanda Christie Nelson Prows | Chase Investment Services Corp. other | Key Investment Services LLC other | Other | Sep 1, 2009 | Nov 17, 2009 (77 d) |
| Laura Jones | LPL Financial LLC other | Key Investment Services LLC other | Other | Jun 22, 2009 | Oct 8, 2009 (108 d) |
| Andrew L Roberts | Banc Of America Investment Services, Inc. unclassified | Key Investment Services LLC BD affiliated | Other | Jun 22, 2009 | Mar 26, 2021 (4295 d) |
| Jeffrey Lee Hurst | Huntington Financial Advisors other | Key Investment Services LLC other | Other | Jun 2, 2009 | Jun 25, 2009 |
| Shelly Ann Thomas | UBS Financial Services Inc. wirehouse | Key Investment Services LLC other | Other | May 13, 2009 | Jun 3, 2009 |
| James Edward Gracia | Wells Fargo Advisors wirehouse | Key Investment Services LLC other | Other | May 5, 2009 | May 7, 2009 |
| Jason Yong Pang | U.S. Bancorp Investments, Inc. other | Key Investment Services LLC other | Other | May 5, 2009 | May 6, 2009 |
| Patrick Matthew Hale | Sii Investments, Inc. other | Key Investment Services LLC other | Other | Apr 14, 2009 | Apr 22, 2009 |
| Tyson Andrew Farmer | Wamu Investments, Inc. unclassified | Key Investment Services LLC other | Other | Apr 9, 2009 | Apr 22, 2009 |
| Sergei Borisovich Vassilenko | Curian Capital, LLC other | Key Investment Services LLC other | Other | Apr 7, 2009 | May 21, 2009 (44 d) |
| William Scott Beeson | Citigroup Global Markets Inc. other | Key Investment Services LLC other | Other | Mar 26, 2009 | Mar 31, 2009 |
| Trent Jared Cunningham | Banc Of America Investment Services, Inc. unclassified | Key Investment Services LLC other | Other | Mar 26, 2009 | May 14, 2009 (49 d) |
| Tasha Immacolata Mauss | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Key Investment Services LLC other | Other | Feb 13, 2009 | Aug 17, 2009 (185 d) |
| Michael Stephen Frazier | Securian Financial Services, Inc. other | Key Investment Services LLC other | Other | Feb 11, 2009 | Mar 12, 2009 |
| Janice Deann Nichols | Wamu Investments, Inc. unclassified | Key Investment Services LLC other | Other | Feb 11, 2009 | Feb 24, 2009 |
| Timothy Pester | Chase Investment Services Corp. other | Key Investment Services LLC other | Other | Jan 28, 2009 | Apr 29, 2009 (91 d) |
| Brian A Stone | Chase Investment Services Corp. other | Key Investment Services LLC other | Other | Jan 26, 2009 | Mar 2, 2009 (35 d) |
| Jeffrey Maurice Range | Wamu Investments, Inc. unclassified | Key Investment Services LLC other | Other | Jan 20, 2009 | Jan 13, 2009 |
| Min Jong Sul | Citigroup Global Markets Inc. other | Key Investment Services LLC other | Other | Dec 5, 2008 | Dec 9, 2008 |
| Sean Michael Langan | Valic Financial Advisors, Inc. other | Key Investment Services LLC other | Other | Nov 11, 2008 | Nov 19, 2008 |