| Bruce William Stroup | Principal Securities, Inc. other | Invest Financial Corporation other | Other | Dec 10, 2004 | Feb 17, 2005 (69 d) |
| John Harley Crow | Nationwide Investment Services Corporation unclassified | Invest Financial Corporation other | Other | Dec 9, 2004 | May 21, 2014 (3450 d) |
| Steven Douglas Blair | Cue Financial Group, Inc. other | Invest Financial Corporation other | Other | Nov 18, 2004 | Jan 3, 2005 (46 d) |
| William Andrew Howe | Waddell & Reed other | Invest Financial Corporation other | Other | Nov 8, 2004 | Nov 26, 2004 |
| Gregory Neil Mayes | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Invest Financial Corporation other | Other | Nov 1, 2004 | Sep 12, 2005 (315 d) |
| Francis Allan Magno | Cetera Advisor Networks LLC other | Invest Financial Corporation other | Other | Oct 20, 2004 | Oct 12, 2004 |
| William Paul Ringham | RBC Capital Markets, LLC national BD | Invest Financial Corporation other | Other | Oct 13, 2004 | May 14, 2007 (943 d) |
| Douglas Lee Jones | Ifmg Securities, Inc. unclassified | Invest Financial Corporation other | Other | Oct 4, 2004 | Oct 14, 2004 |
| Howard Sayles Baughman | Raymond James Financial Services, Inc. unclassified | Invest Financial Corporation other | Other | Sep 9, 2004 | Sep 2, 2004 |
| Yvette Cummings Heatly | Morgan Stanley Dw Inc. unclassified | Invest Financial Corporation other | Other | Aug 31, 2004 | Oct 6, 2004 (36 d) |
| Thomas Duncan Muscenti | Questar Capital Corporation unclassified | Invest Financial Corporation other | Other | Aug 25, 2004 | Aug 26, 2009 (1827 d) |
| Joshua Robert Campora | Waddell & Reed other | Invest Financial Corporation other | Other | Aug 20, 2004 | Oct 22, 2004 (63 d) |
| David Victor Rashid | Raymond James Financial Services, Inc. unclassified | Invest Financial Corporation other | Other | Aug 3, 2004 | Jul 30, 2004 |
| Scott Clifton Kimpson | Raymond James Financial Services, Inc. unclassified | Invest Financial Corporation other | Other | Aug 3, 2004 | Aug 24, 2004 |
| Jeremy Chad Ftacek | Raymond James Financial Services, Inc. unclassified | Invest Financial Corporation other | Other | Aug 3, 2004 | Jul 30, 2004 |
| Timothy Wagner | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Invest Financial Corporation other | Other | Aug 3, 2004 | Aug 10, 2004 |
| Michael Leonard Hicks | Avantax Advisory Services other | Invest Financial Corporation other | Other | Jul 28, 2004 | May 21, 2004 |
| Matthew A St John | Banc One Securities Corporation unclassified | Invest Financial Corporation other | Other | Jul 26, 2004 | Oct 6, 2005 (437 d) |
| Jacqueline Prue | UBS Financial Services Inc. wirehouse | Invest Financial Corporation other | Other | Jul 23, 2004 | Dec 15, 2008 (1606 d) |
| Robert Joseph Zacharias | Ameriprise Advisor Services, Inc. unclassified | Invest Financial Corporation other | Other | Jun 8, 2004 | May 21, 2004 |
| Michael Harper | Bb&T Investment Services, Inc. no RAUM | Invest Financial Corporation other | Other | Jun 7, 2004 | Jun 16, 2004 |
| Robert Farzad Foroughi | Morgan Stanley Dw Inc. unclassified | Invest Financial Corporation other | Other | Jun 3, 2004 | Jan 18, 2005 (229 d) |
| Christopher Aaron Wicker | Transamerica Financial Advisors, Inc. unclassified | Invest Financial Corporation other | Other | May 24, 2004 | May 21, 2004 |
| Adam Michael Bichsel | Waddell & Reed other | Invest Financial Corporation other | Other | May 4, 2004 | May 7, 2004 |
| Geraldine Ann Schuhmann | Fdx Advisors, Inc. other | Invest Financial Corporation other | Other | May 4, 2004 | Apr 29, 2004 |
| Pamela Mahan Zschoche | Msi Financial Services, Inc. other | Invest Financial Corporation other | Other | Apr 21, 2004 | Apr 28, 2004 |
| Venera F Izant | Keybanc Capital Markets Inc. unclassified | Invest Financial Corporation other | Other | Apr 1, 2004 | Jul 7, 2005 (462 d) |
| Dawn Marie Maddox | Pnc Wealth Management other | Invest Financial Corporation other | Other | Mar 8, 2004 | Apr 22, 2004 (45 d) |
| Charles Wayne Mobley | Bb&T Investment Services, Inc. no RAUM | Invest Financial Corporation other | Other | Feb 19, 2004 | Feb 26, 2004 |
| Gregory Owen Frazier | Transamerica Financial Advisors, LLC other | Invest Financial Corporation other | Other | Feb 4, 2004 | Feb 10, 2004 |
| Gregory Herple Craine | Transamerica Financial Advisors, LLC other | Invest Financial Corporation other | Other | Feb 3, 2004 | Jan 30, 2004 |
| Cressinda Nash Hyatt | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Invest Financial Corporation other | Other | Jan 23, 2004 | Jan 21, 2004 |
| Michael Glenn Griffin | New England Securities Corporation other | Invest Financial Corporation other | Other | Jan 20, 2004 | Jan 8, 2004 |
| David Dean Holland | Cpa Financial Advisers, Inc. unclassified | Invest Financial Corporation other | Other | Dec 31, 2003 | Nov 10, 2003 |
| Michael A Piccione | Spc other | Invest Financial Corporation other | Other | Dec 31, 2003 | Jan 22, 2004 |
| Markus Gracen Byrd | Veravest Investment Advisors, Inc. unclassified | Invest Financial Corporation other | Other | Dec 19, 2003 | Dec 19, 2003 |
| Anita Maria Adams | Banc One Securities Corporation unclassified | Invest Financial Corporation other | Other | Dec 19, 2003 | Jul 7, 2005 (566 d) |
| Stephen Philip Fuller | Veravest Investment Advisors, Inc. unclassified | Invest Financial Corporation other | Other | Dec 18, 2003 | Nov 21, 2003 |
| Joyce Ellen Curtis | Veravest Investment Advisors, Inc. unclassified | Invest Financial Corporation other | Other | Dec 11, 2003 | Dec 19, 2003 |
| Christopher Todd Robinson | Veravest Investment Advisors, Inc. unclassified | Invest Financial Corporation other | Other | Dec 11, 2003 | Dec 4, 2003 |
| Scott Lee Robinson | Veravest Investment Advisors, Inc. unclassified | Invest Financial Corporation other | Other | Dec 11, 2003 | Dec 4, 2003 |
| Gregory Leon Shores | Avantax Advisory Services other | Invest Financial Corporation other | Other | Dec 10, 2003 | Oct 15, 2003 |
| Timothy John Holly | Veravest Investment Advisors, Inc. unclassified | Invest Financial Corporation other | Other | Dec 8, 2003 | Dec 18, 2003 |
| Gregory Patrick Russo | Quick & Reilly, Inc. unclassified | Invest Financial Corporation other | Other | Dec 4, 2003 | Dec 19, 2003 |
| Christopher Paul Cantrell | Morgan Stanley Dw Inc. unclassified | Invest Financial Corporation other | Other | Nov 24, 2003 | Dec 10, 2003 |
| Brett Howard Hulse | Veravest Investment Advisors, Inc. unclassified | Invest Financial Corporation other | Other | Nov 21, 2003 | Nov 21, 2003 |
| Hal Lettice | Veravest Investment Advisors, Inc. unclassified | Invest Financial Corporation other | Other | Nov 21, 2003 | Nov 21, 2003 |
| Andrew Thomas Ames | Cpa Financial Advisers, Inc. unclassified | Invest Financial Corporation other | Other | Nov 14, 2003 | Nov 10, 2003 |
| Eugene Perry Heitman | Cpa Financial Advisers, Inc. unclassified | Invest Financial Corporation other | Other | Nov 14, 2003 | Nov 10, 2003 |
| Brent Sikes | Osaic Fa, Inc. other | Invest Financial Corporation other | Other | Oct 23, 2003 | Aug 12, 2010 (2485 d) |
| Bradley Mark Kelley | Cetera Advisor Networks LLC other | Invest Financial Corporation other | Other | Sep 18, 2003 | Sep 9, 2003 |
| Troy J Lindberg | Cetera Advisor Networks LLC other | Invest Financial Corporation other | Other | Sep 16, 2003 | Sep 9, 2003 |
| Christopher Stephen Meier | Cetera Advisor Networks LLC other | Invest Financial Corporation other | Other | Sep 16, 2003 | Sep 9, 2003 |
| Michael Eugene Pearson | UBS Financial Services Inc. wirehouse | Invest Financial Corporation other | Other | Sep 12, 2003 | Oct 7, 2003 |
| George L Michalke | Charter One Securities, Inc. unclassified | Invest Financial Corporation other | Other | Sep 8, 2003 | Oct 13, 2005 (766 d) |
| Brandon Lee Bullock | Ameriprise Financial Services, LLC national BD | Invest Financial Corporation other | Other | Jul 21, 2003 | Jul 7, 2005 (717 d) |
| Kevin R Montgomery | Pruco Securities, LLC other | Invest Financial Corporation other | Other | Jul 18, 2003 | Oct 13, 2005 (818 d) |
| Chris R. Counce | Wells Fargo Investments, LLC unclassified | Invest Financial Corporation other | Other | Jul 10, 2003 | Jul 14, 2003 |
| David Andrew Ebner | Charter One Securities, Inc. unclassified | Invest Financial Corporation other | Other | Jun 24, 2003 | Jul 7, 2005 (744 d) |
| Sergio Fausto Bio | Quick & Reilly, Inc. unclassified | Invest Financial Corporation other | Other | May 29, 2003 | Dec 8, 2003 (193 d) |