| Paula M Parrish | LPL Financial LLC other | Msi Financial Services, Inc. other | Other | Oct 6, 2010 | Oct 10, 2013 (1100 d) |
| Thomas Allen Jack | Ameriprise Financial Services, LLC national BD | Msi Financial Services, Inc. other | Other | Sep 28, 2010 | Nov 17, 2010 (50 d) |
| Karen S Roberts | Thrivent Investment Management Inc. other | Msi Financial Services, Inc. other | Other | Sep 21, 2010 | Mar 23, 2012 (549 d) |
| Scott Joseph Wheeler | Securities America Advisors, Inc. other | Msi Financial Services, Inc. other | Other | Sep 16, 2010 | Oct 15, 2010 |
| Briar Kaye Golden | UBS Financial Services Inc. wirehouse | Msi Financial Services, Inc. other | Other | Sep 16, 2010 | Jun 19, 2012 (642 d) |
| Daniel James Dubois | Next Financial Group, Inc. other | Msi Financial Services, Inc. other | Other | Sep 7, 2010 | Nov 2, 2010 (56 d) |
| Brandon S Blankenship | Mutual Of Omaha Investor Services, Inc. no RAUM | Msi Financial Services, Inc. other | Other | Sep 1, 2010 | Sep 2, 2010 |
| Phillip Chartchai Kiriboon | Chase Investment Services Corp. other | Msi Financial Services, Inc. other | Other | Aug 30, 2010 | Sep 13, 2010 |
| John Fulton Hargraves | LPL Financial LLC other | Msi Financial Services, Inc. other | Other | Aug 30, 2010 | Oct 28, 2010 (59 d) |
| Todd Robert Schroeder | Ameriprise Financial Services, LLC national BD | Msi Financial Services, Inc. other | Other | Aug 27, 2010 | Aug 27, 2010 |
| Aaron Mckinley Baker | Signator Financial Services, Inc. other | Msi Financial Services, Inc. other | Other | Aug 25, 2010 | Sep 13, 2010 |
| Samantha L Hendricks | Morgan Stanley wirehouse | Msi Financial Services, Inc. other | Other | Jul 29, 2010 | Aug 11, 2010 |
| Jimmy Lee | Wells Fargo Advisors wirehouse | Msi Financial Services, Inc. other | Other | Jul 8, 2010 | Oct 17, 2011 (466 d) |
| Payton Denney | New England Securities Corporation other | Msi Financial Services, Inc. other | Other | Jul 7, 2010 | Sep 9, 2010 (64 d) |
| Joseph P Celiberti | Morgan Stanley wirehouse | Msi Financial Services, Inc. other | Other | Jul 7, 2010 | Jun 30, 2010 |
| Frederick Lemont Freeman | Wells Fargo Advisors wirehouse | Msi Financial Services, Inc. other | Other | Jun 29, 2010 | Aug 6, 2010 (38 d) |
| Richard Dallas Brewer | Jk Harris Advisors, LLC unclassified | Msi Financial Services, Inc. other | Other | Jun 25, 2010 | Jul 30, 2010 (35 d) |
| Christopher Lawrence Cleland | Park Avenue Securities LLC other | Msi Financial Services, Inc. other | Other | Jun 22, 2010 | Jun 29, 2010 |
| Richard Allen Ganim | H. Beck, Inc. other | Msi Financial Services, Inc. other | Other | Jun 10, 2010 | Jul 7, 2010 |
| John Lee Barker | Capitol Securities Management, Inc. other | Msi Financial Services, Inc. other | Other | Jun 10, 2010 | Aug 19, 2010 (70 d) |
| David Lytal Fountain | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Msi Financial Services, Inc. other | Other | Jun 7, 2010 | Jul 28, 2010 (51 d) |
| Jeffrey Vincent Desmarais | Wells Fargo Advisors wirehouse | Msi Financial Services, Inc. other | Other | May 27, 2010 | Mar 21, 2014 (1394 d) |
| Jason D. Boothroyd | Morgan Stanley wirehouse | Msi Financial Services, Inc. other | Other | May 24, 2010 | Sep 7, 2010 (106 d) |
| Adam Scott Cadwell | Edward Jones national BD | Msi Financial Services, Inc. other | Other | May 19, 2010 | May 28, 2010 |
| Cameron G Gilchrist | Thrivent Investment Management Inc. other | Msi Financial Services, Inc. other | Other | May 7, 2010 | May 7, 2010 |
| Dimitar Nikolaev Mushkov | Edward Jones national BD | Msi Financial Services, Inc. other | Other | May 6, 2010 | Jul 28, 2011 (448 d) |
| Christopher John Kinsky | New England Securities Corporation other | Msi Financial Services, Inc. other | Other | May 5, 2010 | Jul 29, 2010 (85 d) |
| Gerald Bruce Silberman | MML Investors Services, LLC other | Msi Financial Services, Inc. other | Other | Apr 30, 2010 | May 5, 2010 |
| Stevan Josef Hoffman | Osaic Fa, Inc. other | Msi Financial Services, Inc. other | Other | Apr 28, 2010 | Apr 29, 2010 |
| Shaquawn D Schasa | Edward Jones national BD | Msi Financial Services, Inc. other | Other | Apr 16, 2010 | Feb 9, 2011 (299 d) |
| Brad Lee Hallock | Advisors Asset Management, Inc. other | Msi Financial Services, Inc. other | Other | Apr 14, 2010 | Aug 18, 2010 (126 d) |
| David Gabriel Torres-Onisto | Ameriprise Financial Services, LLC national BD | Msi Financial Services, Inc. other | Other | Apr 7, 2010 | Apr 9, 2010 |
| James C Byers | Wells Fargo Advisors wirehouse | Msi Financial Services, Inc. other | Other | Apr 6, 2010 | May 10, 2010 (34 d) |
| Kamar Plunkett | Chase Investment Services Corp. other | Msi Financial Services, Inc. other | Other | Mar 29, 2010 | Jun 24, 2010 (87 d) |
| Anthony Joseph De Bellis | Ameriprise Financial Services, LLC national BD | Msi Financial Services, Inc. other | Other | Mar 22, 2010 | Jul 28, 2010 (128 d) |
| Steve M Koziol | Rwi Wealth Management, LLC unclassified | Msi Financial Services, Inc. other | Other | Mar 19, 2010 | Apr 27, 2010 (39 d) |
| Felicia J Carucci | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Msi Financial Services, Inc. other | Other | Mar 18, 2010 | May 4, 2010 (47 d) |
| Tyler Richard Cinelli | Edward Jones national BD | Msi Financial Services, Inc. other | Other | Mar 18, 2010 | Apr 23, 2010 (36 d) |
| Gregory Owen Mccurry | Eagle Strategies LLC other | Msi Financial Services, Inc. other | Other | Mar 12, 2010 | May 10, 2010 (59 d) |
| Angel Ruben Tineo | Tower Square Securities, Inc. other | Msi Financial Services, Inc. other | Other | Mar 9, 2010 | Mar 18, 2010 |
| Bruce E Hoover | Edward Jones national BD | Msi Financial Services, Inc. other | Other | Mar 8, 2010 | Mar 18, 2010 |
| Anthony Lepore | Suntrust Investment Services, Inc. other | Msi Financial Services, Inc. other | Other | Mar 5, 2010 | Aug 26, 2010 (174 d) |
| Sarala Katta | Mmc Securities LLC no RAUM | Msi Financial Services, Inc. other | Other | Mar 2, 2010 | Mar 8, 2010 |
| Joseph Weston Norton | Aegis Capital, LLC other | Msi Financial Services, Inc. other | Other | Mar 2, 2010 | Apr 28, 2010 (57 d) |
| Avinoam Efraim | Pruco Securities, LLC other | Msi Financial Services, Inc. other | Other | Mar 2, 2010 | Mar 10, 2010 |
| Robert Steven Handley | LPL Financial LLC other | Msi Financial Services, Inc. other | Other | Feb 26, 2010 | Mar 12, 2010 |
| Lewis Craig Green | MML Investors Services, LLC other | Msi Financial Services, Inc. other | Other | Feb 24, 2010 | Feb 24, 2010 |
| Kerry Glen Judd | Knox Capital Advisors, LLC other | Msi Financial Services, Inc. other | Other | Feb 19, 2010 | Mar 17, 2010 |
| Nancy Keosathit Guynn | New England Securities Corporation other | Msi Financial Services, Inc. other | Other | Feb 19, 2010 | Mar 6, 2014 (1476 d) |
| Robert Lee Basham | Equitable Advisors, LLC national BD | Msi Financial Services, Inc. other | Other | Feb 12, 2010 | Feb 12, 2010 |
| Keith Byron Banks | Chase Investment Services Corp. other | Msi Financial Services, Inc. other | Other | Feb 12, 2010 | Jul 20, 2010 (158 d) |
| Jeffrey L Anderson | Morgan Stanley wirehouse | Msi Financial Services, Inc. other | Other | Feb 3, 2010 | Nov 23, 2010 (293 d) |
| Francis Gibbons Sloan III | Equitable Advisors, LLC national BD | Msi Financial Services, Inc. other | Other | Feb 1, 2010 | Feb 2, 2010 |
| Barry Carson Eller | Touchstone Advisors Inc other | Msi Financial Services, Inc. other | Other | Jan 29, 2010 | Sep 14, 2010 (228 d) |
| Joshua I Marchal | RBC Capital Markets, LLC national BD | Msi Financial Services, Inc. other | Other | Jan 27, 2010 | Feb 22, 2010 |
| Joanne H Nguyen | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Msi Financial Services, Inc. other | Other | Jan 15, 2010 | Jan 26, 2011 (376 d) |
| Christopher James Casner | Ameriprise Financial Services, LLC national BD | Msi Financial Services, Inc. other | Other | Jan 6, 2010 | Jan 27, 2010 |
| Christopher Allin Herring | Raymond James Financial Services Advisors, Inc other | Msi Financial Services, Inc. other | Other | Jan 4, 2010 | Mar 16, 2012 (802 d) |
| Jonathan D Lawry | New England Securities Corporation other | Msi Financial Services, Inc. other | Other | Jan 4, 2010 | Jan 29, 2010 |
| Josh W Dellinger | Equitable Advisors, LLC national BD | Msi Financial Services, Inc. other | Other | Jan 4, 2010 | Apr 29, 2010 (115 d) |