| Gregg Glenn Eicholtz | LPL Financial LLC other | Fifth Third Securities, Inc. other | Other | Jun 29, 2011 | Jun 24, 2011 |
| Brian Joseph Fuchs | Morgan Stanley wirehouse | Fifth Third Securities, Inc. other | Other | Jun 28, 2011 | Oct 10, 2011 (104 d) |
| Katherine Elizabeth Breitenstein | Dean Investments other | Fifth Third Securities, Inc. other | Other | Jun 21, 2011 | Jun 9, 2011 |
| Steven Andrew Smith | LPL Financial LLC other | Fifth Third Securities, Inc. other | Other | Jun 13, 2011 | Jun 8, 2011 |
| Raanan Yoav Pritzker | Suntrust Investment Services, Inc. other | Fifth Third Securities, Inc. other | Other | Jun 6, 2011 | Sep 12, 2011 (98 d) |
| Kelly Ballor | Chase Investment Services Corp. other | Fifth Third Securities, Inc. other | Other | May 20, 2011 | Jul 29, 2011 (70 d) |
| Jon Scott Lowther | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Fifth Third Securities, Inc. other | Other | May 18, 2011 | May 26, 2011 |
| Lance Wayne Roe | Leonard And Company other | Fifth Third Securities, Inc. other | Other | May 17, 2011 | May 18, 2011 |
| Anthony Adamo | Charles Schwab & Co., Inc. national BD | Fifth Third Securities, Inc. other | Other | May 16, 2011 | Sep 19, 2011 (126 d) |
| Gerald R Rowe | Edward Jones national BD | Fifth Third Securities, Inc. other | Other | May 10, 2011 | Mar 14, 2012 (309 d) |
| Frederick Dean Wright | Invest Financial Corporation other | Fifth Third Securities, Inc. other | Other | May 3, 2011 | May 12, 2011 |
| Patric Joel Nassar | Suntrust Investment Services, Inc. other | Fifth Third Securities, Inc. other | Other | Apr 21, 2011 | May 12, 2011 |
| Tracy Timmerman | MML Investors Services, LLC other | Fifth Third Securities, Inc. BD affiliated | Other | Apr 19, 2011 | Oct 22, 2018 (2743 d) |
| Gregory Scott Lutterman | Key Investment Services LLC other | Fifth Third Securities, Inc. other | Other | Apr 4, 2011 | Apr 20, 2011 |
| Bruce Allen Joseph | Allstate Financial Advisors, LLC no RAUM | Fifth Third Securities, Inc. other | Other | Mar 18, 2011 | Mar 23, 2011 |
| Mike T Collins | LPL Financial LLC other | Fifth Third Securities, Inc. other | Other | Mar 14, 2011 | Mar 8, 2011 |
| Kenneth Martin Wince | Edward Jones national BD | Fifth Third Securities, Inc. other | Other | Feb 25, 2011 | Jun 13, 2011 (108 d) |
| Edward Palacios | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Fifth Third Securities, Inc. other | Other | Feb 24, 2011 | Apr 20, 2011 (55 d) |
| Christopher Dale Millward | LPL Financial LLC other | Fifth Third Securities, Inc. other | Other | Feb 16, 2011 | Jan 13, 2011 |
| Christopher Jason Farmer | Huntington Financial Advisors other | Fifth Third Securities, Inc. other | Other | Feb 15, 2011 | Mar 3, 2011 |
| Benjamin Kristoff | Wells Fargo Advisors wirehouse | Fifth Third Securities, Inc. other | Other | Feb 14, 2011 | Oct 14, 2011 (242 d) |
| Joanne L Bear | LPL Financial LLC other | Fifth Third Securities, Inc. other | Other | Feb 4, 2011 | Jan 13, 2011 |
| Kenneth Herman Burr | Key Investment Services LLC other | Fifth Third Securities, Inc. other | Other | Jan 31, 2011 | Feb 8, 2011 |
| Craig E Kopp | Charles Schwab & Co., Inc. national BD | Fifth Third Securities, Inc. other | Other | Jan 31, 2011 | Feb 7, 2011 |
| Sean E Grillot | Pnc Wealth Management other | Fifth Third Securities, Inc. other | Other | Jan 31, 2011 | Feb 8, 2011 |
| Jeff Mejac | Robert W. Baird & Co. Incorporated other | Fifth Third Securities, Inc. other | Other | Jan 25, 2011 | Mar 16, 2011 (50 d) |
| Sally Jo Osborne | Firstmerit Advisors, Inc. unclassified | Fifth Third Securities, Inc. other | Other | Jan 14, 2011 | Feb 16, 2011 (33 d) |
| Timothy A. Lloyd | Usaa Financial Planning Services no RAUM | Fifth Third Securities, Inc. other | Other | Jan 14, 2011 | Feb 2, 2011 |
| William Michael Brinkley | Bb&T Investment Services, Inc. no RAUM | Fifth Third Securities, Inc. other | Other | Jan 14, 2011 | Feb 18, 2011 (35 d) |
| Zoriy Reznikov | Chase Investment Services Corp. other | Fifth Third Securities, Inc. other | Other | Jan 12, 2011 | Jun 9, 2011 (148 d) |
| Christopher Charles Schroeder | Pnc Wealth Management other | Fifth Third Securities, Inc. other | Other | Jan 10, 2011 | Jul 11, 2014 (1278 d) |
| Chase Lyn Van Dam | Edward Jones national BD | Fifth Third Securities, Inc. other | Other | Jan 4, 2011 | Mar 11, 2011 (66 d) |
| Elisa Denise Jones | Securities America Advisors, Inc. other | Fifth Third Securities, Inc. other | Other | Dec 31, 2010 | May 16, 2011 (136 d) |
| Ashley W Folkes | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Fifth Third Securities, Inc. other | Other | Dec 22, 2010 | Jan 12, 2011 |
| Sean H Claiborne | Chase Investment Services Corp. other | Fifth Third Securities, Inc. other | Other | Dec 22, 2010 | Dec 22, 2010 |
| Michael Shane Steffen | Td Ameritrade Investment Management, LLC other | Fifth Third Securities, Inc. other | Other | Dec 21, 2010 | May 2, 2011 (132 d) |
| David Robert Junker | U.S. Bancorp Investments, Inc. other | Fifth Third Securities, Inc. other | Other | Dec 10, 2010 | Dec 14, 2010 |
| Sean T Johnson | Thrivent Investment Management Inc. other | Fifth Third Securities, Inc. other | Other | Dec 10, 2010 | Dec 15, 2010 |
| James L Jeffries | Chase Investment Services Corp. other | Fifth Third Securities, Inc. other | Other | Dec 10, 2010 | Dec 6, 2010 |
| Helen Dritakis | Morgan Stanley wirehouse | Fifth Third Securities, Inc. other | Other | Nov 18, 2010 | Dec 6, 2010 |
| Charles J Rahn | LPL Financial LLC other | Fifth Third Securities, Inc. other | Other | Nov 15, 2010 | Feb 8, 2011 (85 d) |
| Dylan Lee Hernandez | Raymond James Financial Services Advisors, Inc other | Fifth Third Securities, Inc. other | Other | Oct 25, 2010 | Oct 27, 2010 |
| Ann J Wilson | Chase Investment Services Corp. other | Fifth Third Securities, Inc. other | Other | Oct 19, 2010 | Nov 5, 2010 |
| Nicholas J. Thomas | LPL Financial LLC other | Fifth Third Securities, Inc. other | Other | Oct 19, 2010 | Oct 20, 2010 |
| Zachary Bryce Benning | Edward Jones national BD | Fifth Third Securities, Inc. other | Other | Oct 4, 2010 | Nov 24, 2010 (51 d) |
| Robert Hite | Chase Investment Services Corp. other | Fifth Third Securities, Inc. other | Other | Oct 1, 2010 | Oct 30, 2010 |
| James Ronald Welch | U.S. Bancorp Investments, Inc. other | Fifth Third Securities, Inc. other | Other | Sep 21, 2010 | Dec 13, 2010 (83 d) |
| James R Ray | Investment Professionals, Inc. other | Fifth Third Securities, Inc. other | Other | Sep 17, 2010 | Oct 7, 2010 |
| Ryan Kenneth Snover | Morgan Stanley wirehouse | Fifth Third Securities, Inc. other | Other | Sep 16, 2010 | Oct 7, 2010 |
| Mark D Postema | Morgan Stanley wirehouse | Fifth Third Securities, Inc. other | Other | Sep 16, 2010 | Oct 25, 2010 (39 d) |
| Ryan Jay Kelley | Morgan Stanley wirehouse | Fifth Third Securities, Inc. other | Other | Sep 13, 2010 | Aug 30, 2010 |
| Rodney Decker | Chase Investment Services Corp. other | Fifth Third Securities, Inc. other | Other | Sep 9, 2010 | Sep 14, 2010 |
| Brian Richard Tarro | Sikich Financial other | Fifth Third Securities, Inc. other | Other | Sep 8, 2010 | Jul 6, 2012 (667 d) |
| Mark Stephen Meyer | Suntrust Investment Services, Inc. other | Fifth Third Securities, Inc. other | Other | Aug 23, 2010 | Aug 16, 2010 |
| Audrey Kim Williamson | Cetera Investment Services LLC other | Fifth Third Securities, Inc. other | Other | Aug 19, 2010 | Oct 6, 2010 (48 d) |
| Joseph Anthony Randolph | Huntington Financial Advisors other | Fifth Third Securities, Inc. other | Other | Aug 6, 2010 | Aug 25, 2010 |
| Tony Kang | Charles Schwab & Co., Inc. national BD | Fifth Third Securities, Inc. other | Other | Jul 19, 2010 | Jul 8, 2010 |
| Steven Anthony Dudley | Pnc Wealth Management other | Fifth Third Securities, Inc. other | Other | Jul 12, 2010 | Jul 15, 2010 |
| Mohamad Hussein | Pnc Wealth Management other | Fifth Third Securities, Inc. other | Other | Jul 9, 2010 | Aug 25, 2010 (47 d) |
| Jason Michael Macher | Key Investment Services LLC other | Fifth Third Securities, Inc. other | Other | Jul 9, 2010 | Jul 22, 2010 |