| Sheryl Marie Nessel Cruz | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Msi Financial Services, Inc. other | Other | Apr 29, 2009 | May 5, 2009 |
| Michael Andrew Saccento | Pruco Securities, LLC other | Msi Financial Services, Inc. other | Other | Apr 28, 2009 | May 13, 2009 |
| Christopher Thomas Vines | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Msi Financial Services, Inc. other | Other | Apr 28, 2009 | Feb 16, 2011 (659 d) |
| Joseph Matthew Tuccini | Valic Financial Advisors, Inc. other | Msi Financial Services, Inc. other | Other | Apr 27, 2009 | Jun 3, 2009 (37 d) |
| James Albert Miller | Equitable Advisors, LLC national BD | Msi Financial Services, Inc. other | Other | Apr 24, 2009 | Mar 4, 2011 (679 d) |
| Armand Joseph Fisher | Esi Financial Advisors other | Msi Financial Services, Inc. other | Other | Apr 22, 2009 | Apr 28, 2009 |
| Christopher B Soltis | Woodstock Financial Group, Inc. other | Msi Financial Services, Inc. other | Other | Apr 14, 2009 | May 4, 2009 |
| Jarrett G Meadors | MML Investors Services, LLC other | Msi Financial Services, Inc. other | Other | Apr 13, 2009 | Apr 15, 2009 |
| David Joseph Watson | LPL Financial LLC other | Msi Financial Services, Inc. other | Other | Apr 9, 2009 | Jul 22, 2009 (104 d) |
| Christopher Kevin Kelly | Walnut Street Securities, Inc. other | Msi Financial Services, Inc. other | Other | Apr 8, 2009 | Oct 9, 2009 (184 d) |
| Vijaylakshmi Shetty | Ameriprise Financial Services, LLC national BD | Msi Financial Services, Inc. other | Other | Apr 8, 2009 | Apr 24, 2009 |
| John William Shea | Principal Securities, Inc. other | Msi Financial Services, Inc. other | Other | Apr 7, 2009 | Apr 16, 2009 |
| David Joseph Watson | Prestige Wealth Management Group, LLC other | Msi Financial Services, Inc. other | Other | Apr 7, 2009 | Jul 22, 2009 (106 d) |
| Dennis Wayne Mumford | MML Investors Services, LLC other | Msi Financial Services, Inc. other | Other | Apr 3, 2009 | Apr 14, 2009 |
| Kimberly Jean Scott | Ameriprise Financial Services, LLC national BD | Msi Financial Services, Inc. other | Other | Apr 3, 2009 | Dec 9, 2009 (250 d) |
| Jeffrey W Dawkins | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Msi Financial Services, Inc. other | Other | Apr 2, 2009 | Feb 3, 2010 (307 d) |
| Charles Earl Cooper | Nfp Advisor Services, LLC other | Msi Financial Services, Inc. other | Other | Mar 30, 2009 | May 20, 2014 (1877 d) |
| Michael Scott Gibson | Citizens Securities, Inc. other | Msi Financial Services, Inc. other | Other | Mar 30, 2009 | Apr 1, 2009 |
| Ryon Kevin Frisch | Raymond J. Lucia Companies, Inc. unclassified | Msi Financial Services, Inc. other | Other | Mar 26, 2009 | Jun 25, 2009 (91 d) |
| Brian Joseph Mocogni | Banc Of America Investment Services, Inc. unclassified | Msi Financial Services, Inc. other | Other | Mar 26, 2009 | Oct 21, 2013 (1670 d) |
| James Michael Marr | Banc Of America Investment Services, Inc. unclassified | Msi Financial Services, Inc. other | Other | Mar 26, 2009 | May 26, 2009 (61 d) |
| Patrick Wright Barr | Banc Of America Investment Services, Inc. unclassified | Msi Financial Services, Inc. other | Other | Mar 25, 2009 | Jun 11, 2009 (78 d) |
| Kenneth Walter Dorsch | UBS Financial Services Inc. wirehouse | Msi Financial Services, Inc. other | Other | Mar 17, 2009 | May 28, 2014 (1898 d) |
| Brandon Larry Cauley | Advice And Planning Services other | Msi Financial Services, Inc. other | Other | Mar 13, 2009 | Apr 7, 2009 |
| Donna Magrino | Morgan Stanley & Co. LLC unclassified | Msi Financial Services, Inc. other | Other | Mar 9, 2009 | May 27, 2009 (79 d) |
| Colleen Mary Oshaughnessy | Equitable Advisors, LLC national BD | Msi Financial Services, Inc. other | Other | Mar 9, 2009 | Oct 7, 2011 (942 d) |
| Billy Wayne Dixon | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Msi Financial Services, Inc. other | Other | Mar 5, 2009 | Mar 5, 2009 |
| Eric Scott Strominger | Eastbrook Capital Group LLC unclassified | Msi Financial Services, Inc. other | Other | Mar 3, 2009 | Mar 5, 2009 |
| Candace L Mills | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Msi Financial Services, Inc. other | Other | Mar 3, 2009 | Apr 20, 2009 (48 d) |
| Ye Edward Huang | Equitable Advisors, LLC national BD | Msi Financial Services, Inc. other | Other | Feb 25, 2009 | Jul 3, 2012 (1224 d) |
| Hussam Jaser Zayyad | Morgan Stanley & Co. LLC unclassified | Msi Financial Services, Inc. other | Other | Feb 24, 2009 | Jul 17, 2012 (1239 d) |
| Jason Ray Bruxvoort | Citigroup Global Markets Inc. other | Msi Financial Services, Inc. other | Other | Feb 24, 2009 | Mar 26, 2009 |
| Josiah David Hoffman | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Msi Financial Services, Inc. other | Other | Feb 17, 2009 | Sep 15, 2009 (210 d) |
| Donna M Donaldson | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Msi Financial Services, Inc. other | Other | Feb 12, 2009 | Jul 24, 2009 (162 d) |
| Michael D. Galliano | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Msi Financial Services, Inc. other | Other | Feb 12, 2009 | Mar 12, 2009 |
| Dawn A Robinson | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Msi Financial Services, Inc. other | Other | Feb 12, 2009 | Apr 15, 2009 (62 d) |
| Jack Anthony Biedebach | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Msi Financial Services, Inc. other | Other | Feb 11, 2009 | Feb 23, 2009 |
| Paul Joseph Celentano Jr. | Harbor Financial Services, LLC other | Msi Financial Services, Inc. other | Other | Feb 3, 2009 | Feb 17, 2009 |
| Purvi Bhaskar Bhavsar | Equitable Advisors, LLC national BD | Msi Financial Services, Inc. other | Other | Feb 3, 2009 | Mar 25, 2009 (50 d) |
| Carolyn Marie Robinson | Centaurus Financial, Inc. other | Msi Financial Services, Inc. other | Other | Jan 30, 2009 | Apr 23, 2009 (83 d) |
| Bernard Gerard Van Eperen | Valmark Advisers, Inc. other | Msi Financial Services, Inc. other | Other | Jan 29, 2009 | Feb 20, 2009 |
| Arthur Randolph Dumm | Associated Securities Corp. unclassified | Msi Financial Services, Inc. other | Other | Jan 27, 2009 | Nov 16, 2009 (293 d) |
| Elvin Spaho | Pruco Securities, LLC other | Msi Financial Services, Inc. other | Other | Jan 26, 2009 | Feb 3, 2009 |
| Justin Kyle Bowmaker | Ameriprise Financial Services, LLC national BD | Msi Financial Services, Inc. other | Other | Jan 26, 2009 | Feb 4, 2009 |
| Robert Charles Virden | Walnut Street Securities, Inc. other | Msi Financial Services, Inc. other | Other | Jan 22, 2009 | Feb 6, 2009 |
| Robert Williams Cheatham | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Msi Financial Services, Inc. other | Other | Jan 22, 2009 | Nov 12, 2009 (294 d) |
| Shawn A Wooden | Equitable Advisors, LLC national BD | Msi Financial Services, Inc. other | Other | Jan 20, 2009 | Jan 27, 2009 |
| Morris Eugene Mete | Pruco Securities, LLC other | Msi Financial Services, Inc. other | Other | Jan 16, 2009 | Feb 20, 2009 (35 d) |
| Andrew E Gough | Morgan Stanley & Co. LLC unclassified | Msi Financial Services, Inc. other | Other | Jan 12, 2009 | Mar 3, 2009 (50 d) |
| Ronald Clemente Davis | Nationwide Securities, LLC no RAUM | Msi Financial Services, Inc. other | Other | Jan 9, 2009 | Oct 27, 2009 (291 d) |
| Nicholas Daniel Innerbichler | Td Ameritrade Investment Management, LLC other | Msi Financial Services, Inc. other | Other | Jan 7, 2009 | Feb 20, 2009 (44 d) |
| Nicholas Daniel Innerbichler | Td Ameritrade, Inc. no RAUM | Msi Financial Services, Inc. other | Other | Jan 7, 2009 | Feb 20, 2009 (44 d) |
| Steven J Reina | Gunnallen Financial, Inc unclassified | Msi Financial Services, Inc. other | Other | Jan 7, 2009 | Mar 4, 2009 (56 d) |
| Gregory G Downs | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Msi Financial Services, Inc. other | Other | Jan 6, 2009 | Jan 23, 2009 |
| Rickey Bowen | Ameriprise Financial Services, LLC national BD | Msi Financial Services, Inc. other | Other | Jan 6, 2009 | Mar 23, 2009 (76 d) |
| Julian Pollard Sanderson | Valic Financial Advisors, Inc. other | Msi Financial Services, Inc. other | Other | Jan 5, 2009 | May 7, 2009 (122 d) |
| Donna Gail Smothermon | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Msi Financial Services, Inc. other | Other | Jan 5, 2009 | Mar 16, 2009 (70 d) |
| Sara Ann Scholl | Ameriprise Financial Services, LLC national BD | Msi Financial Services, Inc. other | Other | Jan 5, 2009 | Apr 1, 2009 (86 d) |
| Omar Fathallah | Ameriprise Financial Services, LLC national BD | Msi Financial Services, Inc. other | Other | Jan 2, 2009 | Jul 14, 2009 (193 d) |
| Scott David Kinderman | Lasalle St. Investment Advisors, L.L.C. other | Msi Financial Services, Inc. other | Other | Dec 31, 2008 | Feb 22, 2010 (418 d) |