| Timothy Paul Anselmi | Curian Capital, LLC other | Osaic Fa, Inc. other | Other | Jun 24, 2008 | Aug 4, 2008 (41 d) |
| Robert Rebussini | New England Securities Corporation other | Osaic Fa, Inc. other | Other | Jun 16, 2008 | Jun 12, 2008 |
| Kevin Michael Mcgrady | New England Securities Corporation other | Osaic Fa, Inc. other | Other | Jun 16, 2008 | Jun 12, 2008 |
| David H Weinberg | New England Securities Corporation other | Osaic Fa, Inc. other | Other | Jun 16, 2008 | Jun 12, 2008 |
| Jonathan David Robson | Hornor, Townsend & Kent, LLC other | Osaic Fa, Inc. other | Other | May 15, 2008 | May 16, 2008 |
| John Kennedy Ulwick | Ameriprise Financial Services, LLC national BD | Osaic Fa, Inc. other | Other | Apr 28, 2008 | Oct 8, 2008 (163 d) |
| Daryl Edward Hable | Tlg Advisors, Inc. other | Osaic Fa, Inc. other | Other | Apr 25, 2008 | Apr 24, 2008 |
| Donald Eugene Chambers | Equitable Advisors, LLC national BD | Osaic Fa, Inc. other | Other | Feb 20, 2008 | Jul 2, 2013 (1959 d) |
| Thomas John Shopa | Equitable Advisors, LLC national BD | Osaic Fa, Inc. other | Other | Jan 31, 2008 | Feb 4, 2008 |
| Thomas Henry Craft | Cambridge Investment Research Advisors, Inc. other | Osaic Fa, Inc. other | Other | Jan 2, 2008 | Dec 14, 2007 |
| David Kelly Wood | MML Investors Services, LLC other | Osaic Fa, Inc. other | Other | Dec 3, 2007 | Nov 15, 2007 |
| Kevin C. Kuehn | Osaic Fs, Inc. other | Osaic Fa, Inc. other | Other | Nov 19, 2007 | Nov 8, 2007 |
| Victor Phillip Navarroli | Equitable Advisors, LLC national BD | Osaic Fa, Inc. other | Other | Oct 15, 2007 | Oct 15, 2007 |
| David Lee West | Greenbook Investment Management, Inc. unclassified | Osaic Fa, Inc. other | Other | Oct 11, 2007 | May 11, 2006 |
| Nathan Buzaid Thomsen | Msi Financial Services, Inc. other | Osaic Fa, Inc. other | Other | Oct 1, 2007 | Oct 1, 2007 |
| John Daley Haggar | J.D. Haggar Financial Inc. unclassified | Osaic Fa, Inc. other | Other | Sep 17, 2007 | Aug 23, 2007 |
| Emily Michaella Richardson | Ameriprise Financial Services, LLC national BD | Osaic Fa, Inc. other | Other | Sep 10, 2007 | Dec 11, 2007 (92 d) |
| Joshua Kenworthy Rivers | Uvest Financial Services Group, Inc. unclassified | Osaic Fa, Inc. other | Other | Aug 31, 2007 | Sep 19, 2007 |
| John Joseph Coll | Cetera Advisors LLC other | Osaic Fa, Inc. other | Other | Aug 21, 2007 | Jan 2, 2008 (134 d) |
| Lisa Mireles Shinhira | Waddell & Reed other | Osaic Fa, Inc. other | Other | Aug 6, 2007 | Oct 4, 2007 (59 d) |
| Louis Nicholas Pappas | Signator Investors, Inc. other | Osaic Fa, Inc. other | Other | Jul 27, 2007 | Aug 22, 2007 |
| Joshua Richard Allen | Nationwide Investment Advisors, LLC other | Osaic Fa, Inc. other | Other | Jul 10, 2007 | Jul 24, 2007 |
| Dusty Chris Roche | UBS Financial Services Inc. wirehouse | Osaic Fa, Inc. other | Other | Jun 29, 2007 | May 18, 2007 |
| Roger Alan Lewis | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Osaic Fa, Inc. other | Other | Jun 4, 2007 | Jun 1, 2007 |
| Anthony John Damiano | Janney Montgomery Scott LLC other | Osaic Fa, Inc. other | Other | May 24, 2007 | Oct 6, 2017 (3788 d) |
| Steven William Pugh | MML Investors Services, LLC other | Osaic Fa, Inc. other | Other | May 10, 2007 | May 3, 2007 |
| Nicholas Darwin Rodkin | Ameriprise Financial Services, LLC national BD | Osaic Fa, Inc. other | Other | Apr 13, 2007 | May 8, 2007 |
| Clinton Deshawn Ward | Wells Fargo Advisors wirehouse | Osaic Fa, Inc. other | Other | Apr 5, 2007 | May 4, 2007 |
| Richard Michael Treta | Level Four Advisory Services other | Osaic Fa, Inc. other | Other | Mar 27, 2007 | Mar 19, 2007 |
| Virgilio Benedicto Cristobal | Waddell & Reed other | Osaic Fa, Inc. other | Other | Mar 14, 2007 | Mar 5, 2007 |
| David Allen Kecskes | Pnc Wealth Management other | Osaic Fa, Inc. other | Other | Mar 5, 2007 | Jun 26, 2007 (113 d) |
| Mary Andrea Prebish | Fifth Third Securities, Inc. other | Osaic Fa, Inc. other | Other | Mar 2, 2007 | Jul 3, 2007 (123 d) |
| John Navarro | Pruco Securities, LLC other | Osaic Fa, Inc. other | Other | Feb 27, 2007 | Jul 11, 2007 (134 d) |
| Charles Galt | Citigroup Global Markets Inc. other | Osaic Fa, Inc. other | Other | Feb 12, 2007 | Feb 28, 2007 |
| John J Konikowski | Newalliance Investments, Inc. unclassified | Osaic Fa, Inc. other | Other | Feb 7, 2007 | Feb 6, 2007 |
| Mickey Lee Byrd | UBS Financial Services Inc. wirehouse | Osaic Fa, Inc. other | Other | Feb 6, 2007 | Jul 2, 2007 (146 d) |
| Samuel Branch Laneave | Synergy Investment Group, LLC other | Osaic Fa, Inc. other | Other | Jan 23, 2007 | Jan 23, 2007 |
| John Ralph Frongillo | Osaic Fs, Inc. other | Osaic Fa, Inc. other | Other | Jan 10, 2007 | Jan 22, 2007 |
| Michael Joseph Carlucci | Questar Asset Management, Inc. other | Osaic Fa, Inc. other | Other | Jan 5, 2007 | Jan 8, 2007 |
| Michael James Giongo | Geneos Wealth Management, Inc. other | Osaic Fa, Inc. other | Other | Dec 31, 2006 | Jan 10, 2018 (4028 d) |
| Diane Robin Johnson | Diane R. Johnson & Associates, Inc. unclassified | Osaic Fa, Inc. other | Other | Dec 31, 2006 | Feb 7, 2007 (38 d) |
| David Edwin Werner | UBS Financial Services Inc. wirehouse | Osaic Fa, Inc. other | Other | Dec 5, 2006 | Nov 27, 2006 |
| Matthew Hans Garrow | Thrivent Investment Management Inc. other | Osaic Fa, Inc. other | Other | Nov 24, 2006 | Nov 28, 2006 |
| Timothy Edwin Roth | Thrivent Investment Management Inc. other | Osaic Fa, Inc. other | Other | Nov 22, 2006 | Nov 28, 2006 |
| John Eric Engler | Thrivent Investment Management Inc. other | Osaic Fa, Inc. other | Other | Nov 22, 2006 | Nov 28, 2006 |
| Salvatore Mondello | Hornor, Townsend & Kent, LLC other | Osaic Fa, Inc. other | Other | Nov 9, 2006 | Nov 8, 2006 |
| Christopher Wheaton Mcniff | Waterstone Financial Group, Inc. unclassified | Osaic Fa, Inc. other | Other | Nov 9, 2006 | Nov 14, 2006 |
| Jose M Garza | Td Ameritrade Investment Management, LLC other | Osaic Fa, Inc. other | Other | Nov 1, 2006 | Nov 7, 2006 |
| Herbert Wae Eng | Transamerica Financial Advisors, LLC other | Osaic Fa, Inc. other | Other | Oct 5, 2006 | Jan 5, 2006 |
| William W Gist | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Osaic Fa, Inc. other | Other | Sep 25, 2006 | Oct 12, 2006 |
| Paul Jacques Stawinski | Equitable Advisors, LLC national BD | Osaic Fa, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 25, 2006 | Jan 5, 2022 (5612 d) |
| Lawrence Arthur Gekiere | Securities America Advisors, Inc. other | Osaic Fa, Inc. other | Other | Jul 18, 2006 | Aug 9, 2006 |
| Brian Scott Garnets | Park Avenue Securities LLC other | Osaic Fa, Inc. other | Other | Jul 10, 2006 | Jun 20, 2006 |
| Daryl John Tegtmeier | Thrivent Investment Management Inc. other | Osaic Fa, Inc. other | Other | Jun 22, 2006 | Jul 13, 2006 |
| Dee Morgan | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Osaic Fa, Inc. other | Other | Jun 22, 2006 | May 8, 2007 (320 d) |
| Mark David Fenton | Morgan Stanley Dw Inc. unclassified | Osaic Fa, Inc. other | Other | Jun 6, 2006 | Jan 2, 2007 (210 d) |
| Francisco Xavier Maldonado | Ameriprise Financial Services, LLC national BD | Osaic Fa, Inc. other | Other | Apr 3, 2006 | Feb 28, 2006 |
| Stephanie Goldsborough Bigwood | Lombard Advisers Incorporated independent RIA | Osaic Fa, Inc. other | Other | Mar 23, 2006 | Aug 16, 2004 |
| Robert Oneill Stachura | Cincinnati Analysts, Inc other | Osaic Fa, Inc. other | Other | Mar 16, 2006 | Mar 17, 2006 |
| Travis John Leta | Waddell & Reed other | Osaic Fa, Inc. other | Other | Mar 9, 2006 | Mar 15, 2006 |