| David C Paulson | Osaic Wealth, Inc. other | Woodbury Financial Services, Inc. other | Other | Jan 30, 2012 | Jan 27, 2012 |
| Susan J Finefrock | Money Concepts Advisory Service other | Woodbury Financial Services, Inc. other | Other | Jan 30, 2012 | Feb 1, 2012 |
| Christopher John Cone | Osaic Wealth, Inc. other | Woodbury Financial Services, Inc. other | Other | Jan 30, 2012 | Feb 29, 2012 |
| Todd Wynn Dekellis | Edward Jones national BD | Woodbury Financial Services, Inc. other | Other | Jan 26, 2012 | Feb 6, 2012 |
| Ann Marie Dupree Hindley | Securian Financial Services, Inc. other | Woodbury Financial Services, Inc. other | Other | Jan 24, 2012 | May 3, 2012 (100 d) |
| David Wayne Deuel | Equitable Advisors, LLC national BD | Woodbury Financial Services, Inc. other | Other | Jan 20, 2012 | Jan 13, 2012 |
| Brent Lee Deuel | Equitable Advisors, LLC national BD | Woodbury Financial Services, Inc. other | Other | Jan 20, 2012 | Jan 13, 2012 |
| Tiffany Frances King | Equitable Advisors, LLC national BD | Woodbury Financial Services, Inc. other | Other | Jan 17, 2012 | Jan 18, 2012 |
| Tony Peter Krvaric | Commonwealth Financial Network national BD | Woodbury Financial Services, Inc. other | Other | Jan 13, 2012 | Jan 13, 2012 |
| Howard Alan Schachter | Stratos Wealth Partners, Ltd other | Woodbury Financial Services, Inc. other | Other | Dec 31, 2011 | May 5, 2016 (1587 d) |
| Edward Anthony Kozak | Principal Securities, Inc. other | Woodbury Financial Services, Inc. other | Other | Dec 21, 2011 | Dec 19, 2011 |
| Bradley Jerome Hickman | Ameriprise Financial Services, LLC national BD | Woodbury Financial Services, Inc. other | Other | Dec 20, 2011 | Jan 22, 2014 (764 d) |
| Robert Kook Meints | Equitable Advisors, LLC national BD | Woodbury Financial Services, Inc. other | Other | Dec 19, 2011 | May 24, 2012 (157 d) |
| Charles W Cha | Equitable Advisors, LLC national BD | Woodbury Financial Services, Inc. other | Other | Dec 15, 2011 | Dec 13, 2011 |
| Dale Richard Austin | Equitable Advisors, LLC national BD | Woodbury Financial Services, Inc. other | Other | Dec 8, 2011 | Jan 12, 2012 (35 d) |
| Kimberly Diane Tucker-Knotts | LPL Financial LLC other | Woodbury Financial Services, Inc. other | Other | Dec 7, 2011 | Dec 8, 2011 |
| Mark Joseph Lynn | Equitable Advisors, LLC national BD | Woodbury Financial Services, Inc. other | Other | Dec 6, 2011 | Nov 29, 2011 |
| Brent Colin Peroutka | Wells Fargo Advisors wirehouse | Woodbury Financial Services, Inc. other | Other | Dec 6, 2011 | Jan 28, 2014 (784 d) |
| Jodee Felice Deutsch | Ameritas Advisory Services other | Woodbury Financial Services, Inc. other | Other | Nov 25, 2011 | Jan 22, 2014 (789 d) |
| Bruce E Hoover | Msi Financial Services, Inc. other | Woodbury Financial Services, Inc. other | Other | Nov 23, 2011 | Nov 14, 2011 |
| Phillip John Johnson | Voya Financial Advisors, Inc. other | Woodbury Financial Services, Inc. other | Other | Nov 23, 2011 | Nov 21, 2011 |
| Todd Alan Johnson | Voya Financial Advisors, Inc. other | Woodbury Financial Services, Inc. other | Other | Nov 22, 2011 | Nov 21, 2011 |
| Daniel John Determan | Signator Investors, Inc. other | Woodbury Financial Services, Inc. other | Other | Nov 11, 2011 | Nov 7, 2011 |
| Simon M Liegel | Signator Investors, Inc. other | Woodbury Financial Services, Inc. other | Other | Nov 11, 2011 | Nov 7, 2011 |
| Ernest Adolf Stiba | Academy Capital Management other | Woodbury Financial Services, Inc. other | Other | Nov 4, 2011 | May 26, 2006 |
| Anthony Miller | Sagepoint Financial, Inc. other | Woodbury Financial Services, Inc. other | Other | Nov 2, 2011 | Jan 22, 2014 (812 d) |
| Tucker Tsuyoshi Torigoe | Securities America Advisors, Inc. other | Woodbury Financial Services, Inc. other | Other | Oct 7, 2011 | Sep 30, 2011 |
| Carol Louise Slater | Equitable Advisors, LLC national BD | Woodbury Financial Services, Inc. other | Other | Oct 7, 2011 | Aug 6, 2012 (304 d) |
| Avasarala Venkat Rao | Signator Investors, Inc. other | Woodbury Financial Services, Inc. other | Other | Oct 4, 2011 | Oct 24, 2011 |
| Patrick Joseph Cloutier | Osaic Fa, Inc. other | Woodbury Financial Services, Inc. other | Other | Sep 19, 2011 | Dec 10, 2015 (1543 d) |
| Kimberly Kay Dale | Cetera Advisors LLC other | Woodbury Financial Services, Inc. other | Other | Sep 16, 2011 | Oct 15, 2012 (395 d) |
| Eric J Gaisford | Morgan Stanley wirehouse | Woodbury Financial Services, Inc. other | Other | Sep 7, 2011 | Oct 11, 2011 (34 d) |
| Robert Joseph Maccioli | Securian Financial Services, Inc. other | Woodbury Financial Services, Inc. other | Other | Aug 31, 2011 | Sep 2, 2011 |
| Nathan Norris Farnell | Edward Jones national BD | Woodbury Financial Services, Inc. other | Other | Aug 17, 2011 | Aug 15, 2011 |
| Mark A Hadley | Northwestern Mutual Investment Services,LLC other | Woodbury Financial Services, Inc. other | Other | Aug 16, 2011 | Aug 15, 2011 |
| David John Soper | Transamerica Financial Advisors, LLC other | Woodbury Financial Services, Inc. other | Other | Aug 9, 2011 | Aug 1, 2011 |
| David Jason Smith | Waddell & Reed other | Woodbury Financial Services, Inc. other | Other | Jul 20, 2011 | May 21, 2013 (671 d) |
| Robert E North | Sii Investments, Inc. other | Woodbury Financial Services, Inc. other | Other | Jul 15, 2011 | Jul 18, 2011 |
| Mark Andrew Marrazzo | World Equity Group, Inc. other | Woodbury Financial Services, Inc. other | Other | Jul 12, 2011 | Mar 24, 2015 (1351 d) |
| Michael Albert Verhalen | Geneos Wealth Management, Inc. other | Woodbury Financial Services, Inc. other | Other | Jul 5, 2011 | Aug 31, 2011 (57 d) |
| Amy Louise Jones | Equitable Advisors, LLC national BD | Woodbury Financial Services, Inc. other | Other | Jun 22, 2011 | Jun 23, 2011 |
| David Allen Moore | Equitable Advisors, LLC national BD | Woodbury Financial Services, Inc. other | Other | Jun 17, 2011 | Jun 20, 2011 |
| William Thomas Lockwood | New England Securities Corporation other | Woodbury Financial Services, Inc. other | Other | Jun 6, 2011 | May 31, 2011 |
| Gregory Gavran | Packerland Brokerage Services, Inc. other | Woodbury Financial Services, Inc. other | Other | Jun 2, 2011 | Jun 3, 2011 |
| John Bracker | New England Securities Corporation other | Woodbury Financial Services, Inc. other | Other | May 13, 2011 | Apr 19, 2011 |
| Matthew Albert Digiacomo | Edward Jones national BD | Woodbury Financial Services, Inc. other | Other | May 10, 2011 | May 6, 2011 |
| Rick J Wertheim | Invest Financial Corporation other | Woodbury Financial Services, Inc. other | Other | May 9, 2011 | May 19, 2011 |
| Michael Joseph Hall | Securities America Advisors, Inc. other | Woodbury Financial Services, Inc. other | Other | Apr 11, 2011 | Apr 14, 2011 |
| Chikako Kashino | Esi Financial Advisors other | Woodbury Financial Services, Inc. other | Other | Mar 2, 2011 | Feb 25, 2011 |
| Christopher Chea Stewart | Equitable Advisors, LLC national BD | Woodbury Financial Services, Inc. other | Other | Mar 2, 2011 | Mar 2, 2011 |
| Grant Stephen Frederick | Fisher Investments other | Woodbury Financial Services, Inc. other | Other | Feb 22, 2011 | Jul 27, 2011 (155 d) |
| Sean Kristin Mccabe | Commonwealth Financial Network national BD | Woodbury Financial Services, Inc. other | Other | Feb 16, 2011 | Feb 22, 2011 |
| Daron Edward Mcmillan | Qa3 Financial LLC unclassified | Woodbury Financial Services, Inc. other | Other | Feb 11, 2011 | Feb 17, 2011 |
| Matthew Belden Beck | Morgan Stanley wirehouse | Woodbury Financial Services, Inc. other | Other | Feb 10, 2011 | Jan 31, 2011 |
| Clayton James Winkler | Equitable Advisors, LLC national BD | Woodbury Financial Services, Inc. other | Other | Jan 25, 2011 | Jan 20, 2011 |
| Michael Von Drasek | Waddell & Reed other | Woodbury Financial Services, Inc. other | Other | Jan 25, 2011 | Apr 14, 2011 (79 d) |
| Craig M Wiklund | Equitable Advisors, LLC national BD | Woodbury Financial Services, Inc. other | Other | Jan 21, 2011 | Jan 19, 2011 |
| David Andrew Bond | Equitable Advisors, LLC national BD | Woodbury Financial Services, Inc. other | Other | Jan 21, 2011 | Jan 19, 2011 |
| Paul Carl Bilitz | Equitable Advisors, LLC national BD | Woodbury Financial Services, Inc. other | Other | Jan 20, 2011 | Jan 18, 2011 |
| Martha Nelson Robinson | Equitable Advisors, LLC national BD | Woodbury Financial Services, Inc. other | Other | Jan 13, 2011 | Mar 7, 2011 (53 d) |