| Ashok Rajan | Awm Global Advisors other | Janney Montgomery Scott LLC other | Other | Feb 16, 2016 | Feb 17, 2016 |
| John Poindexter Irby | Bb&T Securities, LLC other | Janney Montgomery Scott LLC other | Other | Feb 9, 2016 | Jan 27, 2016 |
| Jeffrey Ross Purdon | Bb&T Securities, LLC other | Janney Montgomery Scott LLC other | Other | Feb 5, 2016 | Jan 28, 2016 |
| Richard Anthony Ranone | Wells Fargo Advisors wirehouse | Janney Montgomery Scott LLC other | Other | Jan 29, 2016 | Jan 28, 2016 |
| Andrew Gartland | Gold Medal Waters, Inc. independent RIA | Janney Montgomery Scott LLC other | Other | Jan 29, 2016 | Jun 7, 2016 (130 d) |
| James Donald Routhier | Oppenheimer & Co. Inc. other | Janney Montgomery Scott LLC other | Other | Jan 19, 2016 | Jan 19, 2016 |
| Mitchell Lerner | Wells Fargo Advisors wirehouse | Janney Montgomery Scott LLC other | Other | Jan 11, 2016 | Jan 7, 2016 |
| Michael John Oresick | Sei Investments Management Corp other | Janney Montgomery Scott LLC BD affiliated | Other | Jan 8, 2016 | Sep 11, 2018 (977 d) |
| Julie S Carroll | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Janney Montgomery Scott LLC other | Other | Nov 20, 2015 | Dec 1, 2015 |
| Curtis J Pritchard | LPL Financial LLC other | Janney Montgomery Scott LLC other | Other | Nov 19, 2015 | Nov 12, 2015 |
| Christopher Adin Snowling | Chapin Davis Asset Management other | Janney Montgomery Scott LLC BD affiliated | Other | Nov 16, 2015 | Sep 13, 2021 (2128 d) |
| James Michael Winner | RBC Capital Markets, LLC national BD | Janney Montgomery Scott LLC other | Other | Nov 10, 2015 | Oct 29, 2015 |
| Heidi Ann Riley | Wells Fargo Advisors wirehouse | Janney Montgomery Scott LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Oct 13, 2015 | Sep 12, 2018 (1065 d) |
| Scott Fletcher Singer | Edward Jones national BD | Janney Montgomery Scott LLC other | Other | Oct 13, 2015 | Oct 13, 2015 |
| Ernest Alan Freeman | Wells Fargo Advisors wirehouse | Janney Montgomery Scott LLC other | Other | Oct 13, 2015 | Oct 1, 2015 |
| Sandra Jean Lashmit | Raymond James & Associates, Inc. national BD | Janney Montgomery Scott LLC other | Other | Sep 30, 2015 | Oct 26, 2016 (392 d) |
| Joseph Bristol Kettelle | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Janney Montgomery Scott LLC other | Other | Sep 21, 2015 | Sep 18, 2015 |
| Anca Daniela Dehelean | Td Private Client Wealth LLC other | Janney Montgomery Scott LLC other | Other | Sep 21, 2015 | Nov 30, 2015 (70 d) |
| Danielle Lynn Cefalu | Morgan Stanley wirehouse | Janney Montgomery Scott LLC other | Other | Sep 15, 2015 | Sep 3, 2015 |
| Jessica Suzanne Niles | Morgan Stanley wirehouse | Janney Montgomery Scott LLC other | Other | Sep 15, 2015 | Sep 9, 2015 |
| Gregory John Dupee | RBC Capital Markets, LLC national BD | Janney Montgomery Scott LLC other | Other | Sep 11, 2015 | Aug 17, 2015 |
| Scott Jeffrey Karpiak | RBC Capital Markets, LLC national BD | Janney Montgomery Scott LLC other | Other | Sep 11, 2015 | Aug 17, 2015 |
| Jeffrey Scott Kemp | Morgan Stanley wirehouse | Janney Montgomery Scott LLC other | Other | Jul 23, 2015 | Jul 9, 2015 |
| David R Spetgang | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Janney Montgomery Scott LLC other | Other | Jul 2, 2015 | Mar 21, 2016 (263 d) |
| Mary Katherine P Luu | Morgan Stanley wirehouse | Janney Montgomery Scott LLC other | Other | Jun 29, 2015 | Jun 23, 2015 |
| Laurie Lynn Daugs | Raymond James & Associates, Inc. national BD | Janney Montgomery Scott LLC other | Other | Jun 23, 2015 | Jun 19, 2015 |
| Michael J Ballestrini | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Janney Montgomery Scott LLC other | Other | Jun 16, 2015 | Jun 29, 2015 |
| Laurence Michael Braunstein | Morgan Stanley wirehouse | Janney Montgomery Scott LLC other | Other | Jun 11, 2015 | May 13, 2015 |
| Thomas Francis Francis Gayer III | RBC Capital Markets, LLC national BD | Janney Montgomery Scott LLC other | Other | May 27, 2015 | May 13, 2015 |
| Donna Kay Able | Jhs Capital Advisors, LLC other | Janney Montgomery Scott LLC other | Other | May 26, 2015 | May 27, 2015 |
| David Samuel Palkovitz | Jhs Capital Advisors, LLC other | Janney Montgomery Scott LLC other | Other | May 26, 2015 | May 27, 2015 |
| Margarita Santiago | Morgan Stanley wirehouse | Janney Montgomery Scott LLC other | Other | May 21, 2015 | May 15, 2015 |
| Dena Bodie Wofford | Morgan Stanley wirehouse | Janney Montgomery Scott LLC other | Other | May 21, 2015 | May 12, 2015 |
| Jordan Stone Braunstein | Morgan Stanley wirehouse | Janney Montgomery Scott LLC other | Other | May 21, 2015 | May 13, 2015 |
| William Deschamps Blackford | Morgan Stanley wirehouse | Janney Montgomery Scott LLC other | Other | May 21, 2015 | May 12, 2015 |
| Jason Michael Perry | Edward Jones national BD | Janney Montgomery Scott LLC other | Other | May 1, 2015 | May 26, 2015 |
| Doran Michael Young | Park Avenue Securities LLC other | Janney Montgomery Scott LLC other | Other | Apr 30, 2015 | May 7, 2015 |
| John Todd Pauliny | RBC Capital Markets, LLC national BD | Janney Montgomery Scott LLC other | Other | Apr 28, 2015 | Apr 1, 2015 |
| Frederick Adam Zeller | Morgan Stanley wirehouse | Janney Montgomery Scott LLC other | Other | Apr 24, 2015 | Apr 16, 2015 |
| Eric Park Walker | Morgan Stanley wirehouse | Janney Montgomery Scott LLC other | Other | Apr 24, 2015 | May 4, 2015 |
| Mark John Murphy | Morgan Stanley wirehouse | Janney Montgomery Scott LLC other | Other | Apr 22, 2015 | Apr 22, 2015 |
| Michael Joseph O'Mara | Avellino Financial Advisors, Inc. other | Janney Montgomery Scott LLC other | Other | Apr 2, 2015 | Dec 9, 2015 (251 d) |
| James Dennis Toner | Morgan Stanley wirehouse | Janney Montgomery Scott LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Mar 26, 2015 | Apr 8, 2021 (2205 d) |
| Alice Beth Leopold-Benintendi | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Janney Montgomery Scott LLC other | Other | Mar 12, 2015 | Mar 11, 2015 |
| Christopher Ronald Digregorio | Oppenheimer & Co. Inc. other | Janney Montgomery Scott LLC other | Other | Feb 20, 2015 | Feb 26, 2015 |
| James Cleatus Owens | Stephens other | Janney Montgomery Scott LLC other | Other | Feb 2, 2015 | Jan 29, 2015 |
| Glenda Gail Mcconneghey | Stephens other | Janney Montgomery Scott LLC other | Other | Feb 2, 2015 | Feb 18, 2015 |
| Chevelle Ss Tuck | Wells Fargo Advisors wirehouse | Janney Montgomery Scott LLC other | Other | Jan 26, 2015 | Jun 3, 2016 (494 d) |
| Daniel Joseph Honan | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Janney Montgomery Scott LLC other | Other | Jan 23, 2015 | Jan 23, 2015 |
| Bruce Todd Somer | Morgan Stanley wirehouse | Janney Montgomery Scott LLC other | Other | Dec 2, 2014 | Dec 4, 2014 |
| Nicole Lefebvre Gooding | Wells Fargo Advisors wirehouse | Janney Montgomery Scott LLC other | Other | Nov 4, 2014 | Nov 4, 2014 |
| Joseph Arthur Bell | Wells Fargo Advisors wirehouse | Janney Montgomery Scott LLC other | Other | Oct 24, 2014 | Oct 23, 2014 |
| Stuart Lee Peterson | J.P. Morgan Securities LLC wirehouse | Janney Montgomery Scott LLC other | Other | Oct 16, 2014 | Oct 16, 2014 |
| Daniel Joseph Carney | J.P. Morgan Securities LLC wirehouse | Janney Montgomery Scott LLC other | Other | Oct 16, 2014 | Nov 17, 2014 (32 d) |
| Michael Patrick Reese | Stifel, Nicolaus & Company, Incorporated national BD | Janney Montgomery Scott LLC other | Other | Sep 11, 2014 | Aug 28, 2014 |
| Ryan J Hamilton | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Janney Montgomery Scott LLC other | Other | Aug 1, 2014 | Jul 31, 2014 |
| Louis C Baviello | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Janney Montgomery Scott LLC other | Other | Jul 15, 2014 | Jul 16, 2014 |
| Michael Andrew Lynfield | Wells Fargo Advisors wirehouse | Janney Montgomery Scott LLC other | Other | Jun 27, 2014 | Jun 30, 2014 |
| Michael Paul Kozik | Wells Fargo Advisors wirehouse | Janney Montgomery Scott LLC other | Other | Jun 27, 2014 | Jun 26, 2014 |
| Joseph Peter Canciglia | Stifel, Nicolaus & Company, Incorporated national BD | Janney Montgomery Scott LLC other | Other | May 19, 2014 | Jun 19, 2014 (31 d) |