| William Nephi Allen | UBS Financial Services Inc. wirehouse | Key Investment Services LLC other | Other | Nov 7, 2008 | Nov 5, 2008 |
| Ann Christina Durham | Wamu Investments, Inc. unclassified | Key Investment Services LLC other | Other | Oct 21, 2008 | Oct 23, 2008 |
| Edward Thomas Reiser | Icon Advisers, Inc. other | Key Investment Services LLC other | Other | Oct 8, 2008 | Jul 7, 2011 (1002 d) |
| Jason Eric Carlson | Equitable Advisors, LLC national BD | Key Investment Services LLC other | Other | Aug 26, 2008 | Apr 10, 2017 (3149 d) |
| Jeffrey Scott Flamm | Fifth Third Securities, Inc. other | Key Investment Services LLC other | Other | Aug 15, 2008 | Aug 7, 2008 |
| Therese Illeene Misner | Citigroup Global Markets Inc. other | Key Investment Services LLC other | Other | Aug 14, 2008 | Sep 2, 2008 |
| Brandon Matthew Kane | Chase Investment Services Corp. other | Key Investment Services LLC other | Other | Aug 14, 2008 | Aug 15, 2008 |
| Lori Kahn | Ameriprise Advisor Services, Inc. unclassified | Key Investment Services LLC other | Other | Aug 13, 2008 | Sep 8, 2008 |
| Gregory Scott Lutterman | Chase Investment Services Corp. other | Key Investment Services LLC other | Other | Aug 1, 2008 | Aug 6, 2008 |
| Robert Charles Fries | Morgan Stanley & Co. LLC unclassified | Key Investment Services LLC other | Other | Jul 2, 2008 | Jul 8, 2008 |
| Greg Emmack | Thrivent Investment Management Inc. other | Key Investment Services LLC other | Other | Jun 26, 2008 | Jun 25, 2008 |
| Tyson Carl Frerking | Waddell & Reed other | Key Investment Services LLC other | Other | Jun 23, 2008 | Jun 26, 2008 |
| Trenton Schrader | Wells Fargo Advisors wirehouse | Key Investment Services LLC other | Other | May 19, 2008 | Mar 25, 2010 (675 d) |
| Philip Ralph Stire | Mcginn, Smith Advisors LLC unclassified | Key Investment Services LLC BD affiliated | Other | May 12, 2008 | Mar 26, 2021 (4701 d) |
| Andrew T. Wilson | Chase Investment Services Corp. other | Key Investment Services LLC other | Other | Apr 30, 2008 | May 14, 2008 |
| Eric Thomas Saddler | Kiplinger Wealth Advisors independent RIA | Key Investment Services LLC other | Other | Mar 4, 2008 | Mar 4, 2008 |
| Chad D Shuherk | Edward Jones national BD | Key Investment Services LLC other | Other | Feb 29, 2008 | Mar 31, 2008 (31 d) |
| David L Ballantyne | Huntington Financial Advisors other | Key Investment Services LLC other | Other | Jan 23, 2008 | Mar 14, 2008 (51 d) |
| Kenneth Herman Burr | Fifth Third Securities, Inc. other | Key Investment Services LLC other | Other | Jan 11, 2008 | Jan 17, 2008 |
| Stephen Michael Mitola | Citizens Securities, Inc. other | Key Investment Services LLC BD affiliated | Other | Jan 4, 2008 | Mar 26, 2021 (4830 d) |
| Jodi Felice Sherman | Hsbc Securities (USA) Inc. other | Key Investment Services LLC BD affiliated | Other | Dec 31, 2007 | Mar 26, 2021 (4834 d) |
| Sol H Chalhoub | MML Investors Services, LLC other | Key Investment Services LLC other | Other | Dec 4, 2007 | Dec 7, 2007 |
| Joseph L Williams | Natcity Investments, Inc. unclassified | Key Investment Services LLC other | Other | Nov 20, 2007 | Nov 27, 2007 |
| Michael Karl Pankaskie | Ameriprise Advisor Services, Inc. unclassified | Key Investment Services LLC other | Other | Nov 1, 2007 | Nov 8, 2007 |
| Sage Hoovel Kendall | Morgan Stanley & Co. LLC unclassified | Key Investment Services LLC other | Other | Oct 5, 2007 | Oct 25, 2007 |
| Steven David Vale | Edward Jones national BD | Key Investment Services LLC other | Other | May 7, 2007 | May 10, 2007 |
| Dawn Kimberly Mullenax | Osaic Wealth, Inc. other | Key Investment Services LLC other | Other | May 3, 2007 | Sep 28, 2012 (1975 d) |
| Kathryn Lee Kelley | Eagle Strategies LLC other | Key Investment Services LLC other | Other | Apr 27, 2007 | Apr 27, 2007 |
| Shaun Christopher Weyer | Huntington Financial Advisors other | Key Investment Services LLC other | Other | Apr 10, 2007 | Jul 26, 2007 (107 d) |
| Paul Nicholas Karabatsos | Invest Financial Corporation other | Key Investment Services LLC other | Other | Apr 4, 2007 | May 10, 2007 (36 d) |
| Bonnie Marie Addison | Banc Of America Investment Services, Inc. unclassified | Key Investment Services LLC BD affiliated | Other | Mar 19, 2007 | Dec 3, 2020 (5008 d) |
| Jennifer Johnston | Banc Of America Investment Services, Inc. unclassified | Key Investment Services LLC other | Other | Mar 7, 2007 | Mar 23, 2007 |
| Chase Rolland Munoz | Wells Fargo Investments, LLC unclassified | Key Investment Services LLC other | Other | Mar 6, 2007 | Jun 26, 2007 (112 d) |
| Douglas Alan Burns | Keybanc Capital Markets Inc. unclassified | Key Investment Services LLC other | Other | Feb 16, 2007 | Sep 10, 2007 (206 d) |
| Gail Preble Conley | Keybanc Capital Markets Inc. unclassified | Key Investment Services LLC other | Other | Feb 15, 2007 | May 30, 2007 (104 d) |
| Stephen John Hruby | Ameriprise Financial Services, LLC national BD | Key Investment Services LLC other | Other | Jan 25, 2007 | Mar 19, 2007 (53 d) |
| Debbie L Rowlands | Chase Investment Services Corp. other | Key Investment Services LLC other | Other | Jan 9, 2007 | Jan 19, 2007 |
| Scott Joseph Jimison | Natcity Investments, Inc. unclassified | Key Investment Services LLC other | Other | Dec 19, 2006 | Dec 18, 2006 |
| Richard Miller Nickerson | Bangor Securities, Inc. unclassified | Key Investment Services LLC other | Other | Dec 1, 2006 | Dec 8, 2006 |
| Jeffrey Kenneth Miller | Keybanc Capital Markets Inc. unclassified | Key Investment Services LLC other | Other | Nov 21, 2006 | Apr 4, 2008 (500 d) |
| Kevin Raymond Zellers | Ameriprise Advisor Services, Inc. unclassified | Key Investment Services LLC other | Other | Nov 7, 2006 | Nov 6, 2006 |
| Ryan D Harris | Ameriprise Financial Services, LLC national BD | Key Investment Services LLC other | Other | Nov 6, 2006 | Jan 19, 2007 (74 d) |
| Mark Andrew Williamson | Morgan Stanley Dw Inc. unclassified | Key Investment Services LLC BD affiliated | Other | Oct 2, 2006 | Sep 1, 2020 (5083 d) |
| Andrew Kent Toolson | Charles Schwab & Co., Inc. national BD | Key Investment Services LLC other | Other | Aug 14, 2006 | Feb 17, 2009 (918 d) |
| Joseph Scott Messinger | Equitable Advisors, LLC national BD | Key Investment Services LLC other | Other | Aug 2, 2006 | Aug 4, 2006 |
| Kevin John Williams | Shelgren Financial Group, Inc. unclassified | Key Investment Services LLC other | Other | Jul 27, 2006 | May 11, 2006 |
| Kimberly Ann Bish | Keybanc Capital Markets Inc. unclassified | Key Investment Services LLC other | Other | Jun 13, 2006 | Mar 20, 2015 (3202 d) |
| Alan Gene Fullenkamp | Equitable Advisors, LLC national BD | Key Investment Services LLC other | Other | Jun 5, 2006 | Jun 5, 2006 |
| Kenneth Michael Wachtendorf | Keybanc Capital Markets Inc. unclassified | Key Investment Services LLC other | Other | May 3, 2006 | May 31, 2006 |
| Joshua David Rochon | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Key Investment Services LLC other | Other | May 2, 2006 | Jun 9, 2006 (38 d) |
| Mark Anthony Saya | Keybanc Capital Markets Inc. unclassified | Key Investment Services LLC other | Other | Apr 19, 2006 | Apr 17, 2006 |
| Lance Kenji Nekota | U.S. Bancorp Investments, Inc. other | Key Investment Services LLC other | Other | Apr 12, 2006 | Apr 19, 2006 |
| Sheila Sosnowy Menair | Banc Of America Investment Services, Inc. unclassified | Key Investment Services LLC other | Other | Apr 5, 2006 | Apr 26, 2006 |
| Andrew Michael Lawrence | Msi Financial Services, Inc. other | Key Investment Services LLC other | Other | Mar 24, 2006 | Apr 25, 2006 (32 d) |
| Sam A Parail | Ameriprise Financial Services, LLC national BD | Key Investment Services LLC other | Other | Mar 23, 2006 | Mar 16, 2006 |
| David Paul Cizmadia | Citigroup Global Markets Inc. other | Key Investment Services LLC other | Other | Feb 10, 2006 | Feb 7, 2006 |
| Steven Dale Franco-Ross | Banc Of America Investment Services, Inc. unclassified | Key Investment Services LLC other | Other | Feb 2, 2006 | Apr 23, 2013 (2637 d) |
| Brooke Jayson Bowerman | Natcity Investments, Inc. unclassified | Key Investment Services LLC other | Other | Jan 30, 2006 | Mar 21, 2006 (50 d) |
| Charlene Brehaut Stearns | Banc Of America Investment Services, Inc. unclassified | Key Investment Services LLC other | Other | Jan 26, 2006 | Feb 3, 2006 |
| Cynthia Sue Switalski | Keybanc Capital Markets Inc. unclassified | Key Investment Services LLC other | Other | Jan 18, 2006 | Mar 15, 2017 (4074 d) |