| Justin Thomas De Luca | MML Investors Services, LLC other | Osaic Institutions, Inc. other | Other | Sep 8, 2010 | Sep 14, 2010 |
| Michael Paul Mcmeans | Edward Jones national BD | Osaic Institutions, Inc. other | Other | Jun 15, 2010 | Jun 14, 2010 |
| Ryan Charles Oates | Wells Fargo Advisors wirehouse | Osaic Institutions, Inc. other | Other | Apr 26, 2010 | Apr 29, 2010 |
| Anoput Phimmasone | RBC Capital Markets, LLC national BD | Osaic Institutions, Inc. other | Other | Apr 8, 2010 | Apr 1, 2010 |
| Michael Fillers Bolen | Uvest Financial Services Group, Inc. unclassified | Osaic Institutions, Inc. other | Other | Mar 25, 2010 | Mar 23, 2010 |
| Susan Renee Seitter | Cl Wealth Management LLC other | Osaic Institutions, Inc. other | Other | Feb 24, 2010 | Feb 23, 2010 |
| Mary Ellen Twigg | Cl Wealth Management LLC other | Osaic Institutions, Inc. other | Other | Feb 24, 2010 | Feb 23, 2010 |
| Dennis Michael Kinghorn | LPL Financial LLC other | Osaic Institutions, Inc. other | Other | Jan 8, 2010 | Jan 21, 2010 |
| Timothy Anthony Gonzales | Wells Fargo Advisors wirehouse | Osaic Institutions, Inc. other | Other | Dec 22, 2009 | Dec 22, 2009 |
| Jason Mcteague Scheurer | Raymond James Financial Services Advisors, Inc other | Osaic Institutions, Inc. other | Other | Nov 30, 2009 | Dec 8, 2009 |
| Anna Marie Fagan | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Osaic Institutions, Inc. other | Other | Nov 13, 2009 | Nov 12, 2009 |
| Michael Wilson Morelock | Wells Fargo Advisors wirehouse | Osaic Institutions, Inc. other | Other | Oct 2, 2009 | Oct 6, 2009 |
| Kelly Ann Liebbe | Wells Fargo Advisors wirehouse | Osaic Institutions, Inc. other | Other | Aug 31, 2009 | Nov 9, 2009 (70 d) |
| Ryan Charles Gandurski | Raymond James Financial Services Advisors, Inc other | Osaic Institutions, Inc. other | Other | Jul 7, 2009 | Jul 23, 2009 |
| Thomas Xavier Walton | Banc Of America Investment Services, Inc. unclassified | Osaic Institutions, Inc. other | Other | Jul 6, 2009 | Jun 30, 2009 |
| Connor Francis Dolan | Morgan Stanley wirehouse | Osaic Institutions, Inc. other | Other | Jun 26, 2009 | Oct 12, 2009 (108 d) |
| Marc David Hanneman | Wells Fargo Advisors wirehouse | Osaic Institutions, Inc. other | Other | May 19, 2009 | May 28, 2009 |
| Bruce Eugene Mccook | Banc Of America Investment Services, Inc. unclassified | Osaic Institutions, Inc. other | Other | May 5, 2009 | May 4, 2009 |
| Laura Marie Fasan | Next Financial Group, Inc. other | Osaic Institutions, Inc. other | Other | May 4, 2009 | May 4, 2009 |
| James Thomas | Harvest Capital Advisors, LLC unclassified | Osaic Institutions, Inc. other | Other | Apr 6, 2009 | Dec 13, 2013 (1712 d) |
| Clayton Jontie Poole | Banc Of America Investment Services, Inc. unclassified | Osaic Institutions, Inc. other | Other | Feb 11, 2009 | Jan 21, 2009 |
| Joshua Richard Coe | Morgan Stanley & Co. LLC unclassified | Osaic Institutions, Inc. other | Other | Jan 13, 2009 | Nov 19, 2012 (1406 d) |
| Anthony Francisco Petisco | Uvest Financial Services Group, Inc. unclassified | Osaic Institutions, Inc. other | Other | Dec 1, 2008 | Dec 12, 2008 |
| Michael Dean Smeenge | Morgan Stanley & Co. LLC unclassified | Osaic Institutions, Inc. other | Other | Nov 20, 2008 | Jan 20, 2011 (791 d) |
| Nelson Lewis Person | Uvest Financial Services Group, Inc. unclassified | Osaic Institutions, Inc. other | Other | Nov 13, 2008 | Nov 8, 2010 (725 d) |
| Christopher Scott Jennings | Capitol Securities Management, Inc. other | Osaic Institutions, Inc. other | Other | Sep 4, 2008 | Sep 8, 2008 |
| Sean Kevin Reddington | Sentinel Pension Advisors, LLC. other | Osaic Institutions, Inc. other | Other | Aug 22, 2008 | Sep 12, 2008 |
| Frank Joseph Violini | Vanguard Advisers, Inc. other | Osaic Institutions, Inc. other | Other | Aug 8, 2008 | Aug 22, 2008 |
| Mark Raymond Vida | Citigroup Global Markets Inc. other | Osaic Institutions, Inc. other | Other | Aug 6, 2008 | Aug 13, 2008 |
| Diane Ellen Don | LPL Financial LLC other | Osaic Institutions, Inc. other | Other | Jul 17, 2008 | Jul 8, 2011 (1086 d) |
| Steven Mark Marantz | Banc Of America Investment Services, Inc. unclassified | Osaic Institutions, Inc. other | Other | Jun 10, 2008 | Jun 18, 2008 |
| William Michael Herbert | Uvest Financial Services Group, Inc. unclassified | Osaic Institutions, Inc. other | Other | Jun 9, 2008 | Mar 17, 2017 (3203 d) |
| Amanda Lyvette Robinson | Wells Fargo Advisors wirehouse | Osaic Institutions, Inc. other | Other | Jun 3, 2008 | Jun 6, 2008 |
| Scott Charles Bambach | LPL Financial LLC other | Osaic Institutions, Inc. other | Other | May 8, 2008 | Oct 8, 2010 (883 d) |
| Christopher White Eddy | Cetera Investment Services LLC other | Osaic Institutions, Inc. other | Other | Apr 15, 2008 | Aug 15, 2012 (1583 d) |
| Richard Dale Gant | Colonial Asset Management Inc unclassified | Osaic Institutions, Inc. other | Other | Mar 7, 2008 | Mar 25, 2008 |
| Charmaine Brown | Suntrust Investment Services, Inc. other | Osaic Institutions, Inc. other | Other | Mar 6, 2008 | Feb 17, 2010 (713 d) |
| David Andres Johnson | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Osaic Institutions, Inc. other | Other | Feb 22, 2008 | Dec 13, 2017 (3582 d) |
| Ronald Lee Hamilton | Uvest Financial Services Group, Inc. unclassified | Osaic Institutions, Inc. other | Other | Feb 15, 2008 | Mar 5, 2008 |
| Paul Philip Melanson | Banc Of America Investment Services, Inc. unclassified | Osaic Institutions, Inc. other | Other | Jan 23, 2008 | Jan 31, 2008 |
| Craig Drisko Worcester | Uvest Financial Services Group, Inc. unclassified | Osaic Institutions, Inc. other | Other | Jan 3, 2008 | Mar 20, 2008 (77 d) |
| Thomas Gilbert Langseth | Wells Fargo Investments, LLC unclassified | Osaic Institutions, Inc. BD affiliated | Other | Jan 3, 2008 | Jan 15, 2021 (4761 d) |
| John Lester Pigeon | LPL Financial LLC other | Osaic Institutions, Inc. other | Other | Dec 3, 2007 | Dec 3, 2007 |
| Roddy Blake Loveless | Direction Advisors unclassified | Osaic Institutions, Inc. other | Other | Nov 27, 2007 | Jul 5, 2007 |
| Cynthia Megan Tysver | Allen & Company Of Florida, LLC other | Osaic Institutions, Inc. other | Other | Aug 23, 2007 | Sep 10, 2007 |
| Jeremy Bennett Beitel | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Osaic Institutions, Inc. other | Other | May 3, 2007 | May 1, 2007 |
| Peter Jon Fredericksen | Morgan Stanley & Co. LLC unclassified | Osaic Institutions, Inc. other | Other | Apr 12, 2007 | Apr 30, 2007 |
| John Bennish | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Osaic Institutions, Inc. other | Other | Feb 24, 2007 | May 20, 2013 (2277 d) |
| Andrew Christopher Patrick | Amsouth Investment Management Company LLC unclassified | Osaic Institutions, Inc. other | Other | Feb 8, 2007 | May 1, 2007 (82 d) |
| Jason Frederick Stadsholt | A. G. Edwards & Sons, Inc. unclassified | Osaic Institutions, Inc. other | Other | Jan 31, 2007 | Jun 18, 2008 (504 d) |
| John Allen Kuehnle | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Osaic Institutions, Inc. other | Other | Jan 25, 2007 | Jan 23, 2007 |
| Jennifer Alison Harney-Read | Investors Capital Advisory other | Osaic Institutions, Inc. other | Other | Dec 31, 2006 | Jun 22, 2010 (1269 d) |
| Peggy Ann Thorlton | Wells Fargo Advisors wirehouse | Osaic Institutions, Inc. other | Other | Nov 20, 2006 | Dec 4, 2006 |
| Kevin Euripides Mckinnon | Cetera Investment Services LLC other | Osaic Institutions, Inc. other | Other | Oct 12, 2006 | Oct 18, 2006 |
| Denise Elizabeth Mathews | Fifth Third Securities, Inc. other | Osaic Institutions, Inc. other | Other | Sep 29, 2006 | Oct 4, 2016 (3658 d) |
| Matthew Rowe Sweet | The Massmutual Trust Company unclassified | Osaic Institutions, Inc. other | Other | Sep 26, 2006 | Oct 5, 2006 |
| Curtis Christopher Jones | Ifmg Securities, Inc. unclassified | Osaic Institutions, Inc. other | Other | Aug 22, 2006 | Sep 6, 2006 |
| Timothy William Sumner | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Osaic Institutions, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Aug 9, 2006 | Mar 31, 2022 (5713 d) |
| Paulette Ann Retsinas | Citizens Securities, Inc. other | Osaic Institutions, Inc. other | Other | Jul 7, 2006 | Jul 5, 2006 |
| Christopher Drew Pepin | Wells Fargo Advisors wirehouse | Osaic Institutions, Inc. other | Other | May 19, 2006 | May 22, 2006 |