| Dylan Vincent Shepherd | Citigroup Global Markets Inc. other | Osaic Fa, Inc. other | Other | May 29, 2009 | Jun 1, 2009 |
| John Russell Noonan | Osaic Fs, Inc. other | Osaic Fa, Inc. other | Other | May 29, 2009 | Mar 6, 2009 |
| Peter Blake Salkins | Osaic Fs, Inc. other | Osaic Fa, Inc. other | Other | May 29, 2009 | Mar 13, 2009 |
| Howard Paul Gerrin | Osaic Fs, Inc. other | Osaic Fa, Inc. other | Other | May 29, 2009 | Mar 2, 2009 |
| Donald Paul Delmonte | Esi Financial Advisors other | Osaic Fa, Inc. other | Other | May 20, 2009 | May 13, 2009 |
| Cortney James Albanese | Integrity Alliance, LLC other | Osaic Fa, Inc. other | Other | May 18, 2009 | Jun 4, 2009 |
| Elizabeth Anne Logrande | Lincoln Financial Distributors, Inc. unclassified | Osaic Fa, Inc. other | Other | May 11, 2009 | Aug 10, 2010 (456 d) |
| Belinda Gail Gantz | UBS Financial Services Inc. wirehouse | Osaic Fa, Inc. other | Other | May 5, 2009 | Nov 17, 2009 (196 d) |
| Dean Allan Holmes | American General Financial Advisors, Inc. unclassified | Osaic Fa, Inc. BD affiliated | Other | May 2, 2009 | Nov 3, 2023 (5298 d) |
| Colin Henry Hohman | RBC Capital Markets, LLC national BD | Osaic Fa, Inc. other | Other | Apr 24, 2009 | May 15, 2009 |
| Rodney Kirkner | Ssn Advisory, Inc. other | Osaic Fa, Inc. other | Other | Apr 17, 2009 | May 22, 2013 (1496 d) |
| Mark Bernard Levin | Legend Advisory, LLC other | Osaic Fa, Inc. other | Other | Apr 14, 2009 | Apr 13, 2009 |
| Frank William Armitage | Osaic Fs, Inc. other | Osaic Fa, Inc. other | Other | Apr 8, 2009 | Jun 17, 2008 |
| Erik A Lillibridge | Connecticut Investment Management unclassified | Osaic Fa, Inc. other | Other | Apr 3, 2009 | Apr 13, 2009 |
| Richard Eugene Griffin | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Osaic Fa, Inc. other | Other | Mar 18, 2009 | Jun 1, 2010 (440 d) |
| R. Jason Horwitz | Ameriprise Financial Services, LLC national BD | Osaic Fa, Inc. other | Other | Mar 17, 2009 | Mar 13, 2009 |
| William Frank Matzinger | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Osaic Fa, Inc. other | Other | Mar 16, 2009 | Mar 20, 2009 |
| Robert E. Quittner | Equitable Advisors, LLC national BD | Osaic Fa, Inc. other | Other | Mar 16, 2009 | Mar 9, 2009 |
| Christoph Chen | Osaic Fs, Inc. other | Osaic Fa, Inc. other | Other | Mar 13, 2009 | Mar 13, 2009 |
| Richard John Pinola | Hornor, Townsend & Kent, LLC other | Osaic Fa, Inc. other | Other | Mar 6, 2009 | Mar 2, 2009 |
| Dorothy Ann Allen | Hornor, Townsend & Kent, LLC other | Osaic Fa, Inc. other | Other | Mar 6, 2009 | Feb 24, 2009 |
| Michael Arthur Mclaughlin | Hornor, Townsend & Kent, LLC other | Osaic Fa, Inc. other | Other | Feb 12, 2009 | Feb 3, 2009 |
| Ryan Phillip Moore | Lincoln Investment other | Osaic Fa, Inc. other | Other | Feb 12, 2009 | Aug 5, 2010 (539 d) |
| Hien Trong Truong | Navy Federal Asset Management, LLC other | Osaic Fa, Inc. other | Other | Jan 8, 2009 | Jan 8, 2009 |
| Elizabeth Windsor Thompson | Cetera Investment Services LLC other | Osaic Fa, Inc. other | Other | Jan 6, 2009 | Apr 29, 2009 (113 d) |
| Matthew Douglas Schroeder | Ameriprise Financial Services, LLC national BD | Osaic Fa, Inc. other | Other | Dec 31, 2008 | May 8, 2009 (128 d) |
| Robert Joseph Hartfield | Hornor, Townsend & Kent, LLC other | Osaic Fa, Inc. other | Other | Dec 19, 2008 | Dec 16, 2008 |
| Michael Owen Klaber | MML Investors Services, LLC other | Osaic Fa, Inc. other | Other | Dec 18, 2008 | Dec 24, 2008 |
| Joshua Paul Harper | Equitable Advisors, LLC national BD | Osaic Fa, Inc. other | Other | Dec 18, 2008 | Mar 2, 2010 (439 d) |
| Regina M Beatty | Spc other | Osaic Fa, Inc. other | Other | Dec 8, 2008 | Dec 11, 2008 |
| Joseph O Reimels | Hornor, Townsend & Kent, LLC other | Osaic Fa, Inc. other | Other | Dec 5, 2008 | May 29, 2009 (175 d) |
| Anthony Benton Hemmelgarn | M&T Securities, Inc. unclassified | Osaic Fa, Inc. other | Other | Dec 4, 2008 | Jan 13, 2009 (40 d) |
| Joseph Michael Carney | Investors Capital Advisory other | Osaic Fa, Inc. other | Other | Dec 1, 2008 | Nov 25, 2008 |
| Daniel Louis Diamond | Fisher Investments other | Osaic Fa, Inc. other | Other | Nov 25, 2008 | Jan 21, 2009 (57 d) |
| Joseph Karl | MML Investors Services, LLC other | Osaic Fa, Inc. other | Other | Nov 21, 2008 | Nov 24, 2008 |
| Wesley Plunk | J.C. Reed Advisory Group, LLC unclassified | Osaic Fa, Inc. other | Other | Nov 11, 2008 | Nov 20, 2010 (739 d) |
| Mark Philip Whiskeyman | Clearbridge Investments other | Osaic Fa, Inc. other | Other | Nov 4, 2008 | Mar 2, 2009 (118 d) |
| Mark Belcak | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Osaic Fa, Inc. other | Other | Nov 4, 2008 | Dec 18, 2008 (44 d) |
| Michael Joseph Charleton | Cadaret Grant & Co Inc other | Osaic Fa, Inc. other | Other | Nov 3, 2008 | Oct 31, 2008 |
| Bruce G. Charleton | Cadaret Grant & Co Inc other | Osaic Fa, Inc. other | Other | Nov 3, 2008 | Oct 31, 2008 |
| Brian Scott Young | MML Investors Services, LLC other | Osaic Fa, Inc. other | Other | Oct 31, 2008 | Nov 4, 2008 |
| Christopher Michael Flores | MML Investors Services, LLC other | Osaic Fa, Inc. other | Other | Oct 31, 2008 | Nov 10, 2008 |
| Kevin Patrick Swantek | Hornor, Townsend & Kent, LLC other | Osaic Fa, Inc. other | Other | Oct 29, 2008 | Mar 31, 2009 (153 d) |
| James George Walls | M&T Securities, Inc. unclassified | Osaic Fa, Inc. other | Other | Oct 24, 2008 | Nov 24, 2008 (31 d) |
| Megan Louise Manzi | Ameriprise Financial Services, LLC national BD | Osaic Fa, Inc. other | Other | Oct 24, 2008 | Jan 5, 2009 (73 d) |
| Michael David Sullum | Msi Financial Services, Inc. other | Osaic Fa, Inc. other | Other | Oct 20, 2008 | Oct 21, 2008 |
| Terry Glenn Mebane | Valic Financial Advisors, Inc. other | Osaic Fa, Inc. other | Other | Oct 14, 2008 | Oct 30, 2008 |
| Susan Lynn Esses | Oppenheimer & Co. Inc. other | Osaic Fa, Inc. other | Other | Oct 3, 2008 | Nov 11, 2008 (39 d) |
| James Gerard Williams | Spire Wealth Management, LLC other | Osaic Fa, Inc. other | Other | Oct 2, 2008 | Oct 10, 2008 |
| Juliana Yoon | Countrywide Investment Services, Inc. unclassified | Osaic Fa, Inc. other | Other | Sep 3, 2008 | Dec 2, 2008 (90 d) |
| Thomas M Blower | MML Investors Services, LLC other | Osaic Fa, Inc. other | Other | Sep 3, 2008 | Sep 22, 2008 |
| Jordan Moore | MML Investors Services, LLC other | Osaic Fa, Inc. BD affiliated | Other | Sep 3, 2008 | Jun 17, 2022 (5035 d) |
| Edward Todd Motley | LPL Financial LLC other | Osaic Fa, Inc. other | Other | Aug 29, 2008 | Aug 26, 2008 |
| Paul Noble Gould | Lincoln Financial Distributors, Inc. unclassified | Osaic Fa, Inc. other | Other | Aug 29, 2008 | Aug 29, 2008 |
| Paul Gregory O'Leary | Equitable Advisors, LLC national BD | Osaic Fa, Inc. other | Other | Aug 26, 2008 | Aug 20, 2008 |
| Stephanie L Jordan | Mutual Of Omaha Investor Services, Inc. no RAUM | Osaic Fa, Inc. other | Other | Aug 19, 2008 | Aug 26, 2008 |
| Jeremy Sherman White | Ameriprise Financial Services, LLC national BD | Osaic Fa, Inc. other | Other | Aug 19, 2008 | Aug 21, 2008 |
| Robin Alexandra Starr | Neuberger Berman Bd LLC other | Osaic Fa, Inc. other | Other | Aug 19, 2008 | Oct 17, 2008 (59 d) |
| William Gerard Mckenna | MML Investors Services, LLC other | Osaic Fa, Inc. other | Other | Jul 28, 2008 | Nov 12, 2008 (107 d) |
| Rick Scott Shapiro | Mutual Service Corporation unclassified | Osaic Fa, Inc. BD affiliated | Other | Jun 30, 2008 | Jan 29, 2019 (3865 d) |