| Mark Rorke Remund | Td Ameritrade, Inc. no RAUM | Invest Financial Corporation other | Other | Feb 1, 2006 | Mar 8, 2006 (35 d) |
| Scott Wiese | Pnc Wealth Management other | Invest Financial Corporation other | Other | Jan 12, 2006 | Jan 9, 2006 |
| Martin Edwin James | Charter Advisory Corporation independent RIA | Invest Financial Corporation other | Other | Jan 5, 2006 | Nov 16, 2005 |
| Greg Alan Storen | Charter Advisory Corporation independent RIA | Invest Financial Corporation other | Other | Jan 5, 2006 | Dec 2, 2005 |
| Harry Randall Arrowood | The Financial Planning Center, Inc. unclassified | Invest Financial Corporation other | Other | Dec 31, 2005 | Jan 25, 2005 |
| Paul Grady Moss | The Financial Planning Center, Inc. unclassified | Invest Financial Corporation other | Other | Dec 31, 2005 | Jan 24, 2005 |
| Richard Thomas Fox | Firstmerit Advisors, Inc. unclassified | Invest Financial Corporation other | Other | Dec 20, 2005 | Jul 7, 2005 |
| Alan Blaine Shouse | Cetera Advisors LLC other | Invest Financial Corporation other | Other | Dec 15, 2005 | Nov 17, 2005 |
| James Alexander Mitchell | Blue Hill Capital Partners LLC unclassified | Invest Financial Corporation other | Other | Dec 13, 2005 | Aug 12, 2005 |
| Terrence Lyman Donoghue | National Equities Management Co unclassified | Invest Financial Corporation other | Other | Dec 9, 2005 | Jan 11, 2006 (33 d) |
| Joseph William Jones | Onb Investment Services, Inc. unclassified | Invest Financial Corporation other | Other | Dec 1, 2005 | Nov 30, 2005 |
| Robert Wesley Davidson | Onb Investment Services, Inc. unclassified | Invest Financial Corporation other | Other | Dec 1, 2005 | Nov 30, 2005 |
| Joseph Byron Collins | Onb Investment Services, Inc. unclassified | Invest Financial Corporation other | Other | Dec 1, 2005 | Nov 30, 2005 |
| James Richard Gossett | Onb Investment Services, Inc. unclassified | Invest Financial Corporation other | Other | Dec 1, 2005 | Jan 5, 2006 (35 d) |
| Gary David Shelton | Onb Investment Services, Inc. unclassified | Invest Financial Corporation other | Other | Dec 1, 2005 | Nov 30, 2005 |
| William Norman Doan | Onb Investment Services, Inc. unclassified | Invest Financial Corporation other | Other | Dec 1, 2005 | Nov 30, 2005 |
| Emily Christin Millsap | Onb Investment Services, Inc. unclassified | Invest Financial Corporation other | Other | Dec 1, 2005 | Nov 30, 2005 |
| Sonya Joo Stocks Phillips | Onb Investment Services, Inc. unclassified | Invest Financial Corporation other | Other | Dec 1, 2005 | Jan 4, 2006 (34 d) |
| John T Morrow | Onb Investment Services, Inc. unclassified | Invest Financial Corporation other | Other | Dec 1, 2005 | Nov 30, 2005 |
| Tracy Lynn Helmer | Onb Investment Services, Inc. unclassified | Invest Financial Corporation other | Other | Dec 1, 2005 | Nov 30, 2005 |
| Joel Cameron Magruder | 1717 Capital Management Company unclassified | Invest Financial Corporation other | Other | Nov 29, 2005 | Nov 10, 2005 |
| Kurt Robert Maher | 1717 Capital Management Company unclassified | Invest Financial Corporation other | Other | Nov 29, 2005 | Nov 10, 2005 |
| Jason Matthew Kirke | 1717 Capital Management Company unclassified | Invest Financial Corporation other | Other | Nov 29, 2005 | Nov 11, 2005 |
| Charles Carl Scrattish | Valic Financial Advisors, Inc. other | Invest Financial Corporation other | Other | Nov 23, 2005 | Dec 5, 2005 |
| Jennifer Ann Denapoli | UBS Financial Services Inc. wirehouse | Invest Financial Corporation other | Other | Nov 17, 2005 | Jan 9, 2006 (53 d) |
| Walter Armand Eife | Td Wealth Management Services Inc. unclassified | Invest Financial Corporation other | Other | Nov 11, 2005 | Dec 2, 2005 |
| Clark A May | Osaic Fa, Inc. other | Invest Financial Corporation other | Other | Nov 9, 2005 | Jun 1, 2011 (2030 d) |
| William Andrew Griffin | Voya Financial Advisors, Inc. other | Invest Financial Corporation other | Other | Nov 3, 2005 | Nov 2, 2005 |
| Robert Andrew Desalvo | Essex National Securities, Inc. other | Invest Financial Corporation other | Other | Nov 2, 2005 | Nov 17, 2005 |
| Joseph Meccia | Morgan Stanley Dw Inc. unclassified | Invest Financial Corporation other | Other | Nov 2, 2005 | Jan 22, 2015 (3368 d) |
| Kenneth Patrick Evangelista | Wells Fargo Advisors wirehouse | Invest Financial Corporation other | Other | Oct 20, 2005 | Jan 13, 2011 (1911 d) |
| Louis Aldo Inglese | First Montauk Securities Corp. unclassified | Invest Financial Corporation other | Other | Oct 14, 2005 | Oct 14, 2005 |
| Melissa Ann Moser | Wells Fargo Investments, LLC unclassified | Invest Financial Corporation other | Other | Oct 3, 2005 | Oct 5, 2005 |
| Edward Harry Soderberg | Osaic Fa, Inc. other | Invest Financial Corporation other | Other | Sep 14, 2005 | Dec 1, 2006 (443 d) |
| Yvette Cummings Heatly | Ameriprise Advisor Services, Inc. unclassified | Invest Financial Corporation other | Other | Sep 13, 2005 | Mar 10, 2006 (178 d) |
| Wayne Robert Oltjen | Banc Of America Investment Services, Inc. unclassified | Invest Financial Corporation other | Other | Sep 1, 2005 | Feb 24, 2006 (176 d) |
| Michelle Renee Elliott | Chase Investment Services Corp. other | Invest Financial Corporation other | Other | Aug 26, 2005 | Feb 27, 2006 (185 d) |
| Neal Schulte | Mutual Service Corporation unclassified | Invest Financial Corporation other | Other | Aug 16, 2005 | Aug 5, 2005 |
| Darren Keith Heisler | Morgan Stanley Dw Inc. unclassified | Invest Financial Corporation other | Other | Jul 19, 2005 | Oct 16, 2006 (454 d) |
| Charles Timothy Owens | Wells Fargo Advisors wirehouse | Invest Financial Corporation other | Other | Jul 15, 2005 | Jul 20, 2005 |
| Mildred Babb Perkins | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Invest Financial Corporation other | Other | Jul 8, 2005 | Oct 11, 2005 (95 d) |
| Lon Glenn Gulberg | UBS Financial Services Inc. wirehouse | Invest Financial Corporation other | Other | Jul 8, 2005 | Jul 14, 2005 |
| Randall W Silvey | Chase Investment Services Corp. other | Invest Financial Corporation other | Other | Jul 8, 2005 | Jul 27, 2005 |
| Andrew Robert Gay | Bb&T Investment Services, Inc. no RAUM | Invest Financial Corporation other | Other | Jun 24, 2005 | Jun 23, 2005 |
| James Aaron Hargis | Osaic Institutions, Inc. other | Invest Financial Corporation other | Other | May 20, 2005 | Apr 21, 2005 |
| Michael Gene Simmons | Td Ameritrade, Inc. no RAUM | Invest Financial Corporation other | Other | May 19, 2005 | Jul 27, 2005 (69 d) |
| J Scott Savage | Banc Of America Investment Services, Inc. unclassified | Invest Financial Corporation other | Other | May 13, 2005 | May 27, 2005 |
| Mark Anthony Faccone | Banc Of America Investment Services, Inc. unclassified | Invest Financial Corporation other | Other | May 13, 2005 | May 27, 2005 |
| Henry Stephen Dembowski | Osaic Fa, Inc. other | Invest Financial Corporation other | Other | Apr 29, 2005 | Apr 19, 2005 |
| Gregory Anthony Longo | Capital One Financial Advisors LLC unclassified | Invest Financial Corporation other | Other | Apr 12, 2005 | Apr 18, 2005 |
| Harold Joseph Beshaw | Pnc Wealth Management other | Invest Financial Corporation other | Other | Mar 29, 2005 | Aug 18, 2010 (1968 d) |
| Matthew T Bower | Ameriprise Financial Services, LLC national BD | Invest Financial Corporation other | Other | Mar 15, 2005 | Mar 16, 2005 |
| Kevin A. Meek | Osaic Fa, Inc. other | Invest Financial Corporation other | Other | Mar 7, 2005 | Aug 23, 2005 (169 d) |
| Freddy Garcia | Cetera Advisor Networks LLC other | Invest Financial Corporation other | Other | Feb 11, 2005 | Feb 9, 2005 |
| Robert William Copeland | Onb Investment Services, Inc. unclassified | Invest Financial Corporation other | Other | Jan 28, 2005 | May 27, 2005 (119 d) |
| John Leslie Stanton | LPL Financial LLC other | Invest Financial Corporation other | Other | Jan 18, 2005 | Jan 27, 2005 |
| Gary Joel Mendelow | Pruco Securities, LLC other | Invest Financial Corporation other | Other | Jan 14, 2005 | Jul 7, 2005 (174 d) |
| William James Markovich | Waddell & Reed other | Invest Financial Corporation other | Other | Jan 12, 2005 | Jan 18, 2005 |
| Stephen J Landa | Mighty Oak Management LLC state registered | Invest Financial Corporation other | Other | Dec 31, 2004 | Mar 11, 2005 (70 d) |
| John D Coscia | Pfa/Pinnacle Financial Advisors unclassified | Invest Financial Corporation other | Other | Dec 31, 2004 | Nov 7, 2008 (1407 d) |