| Dana Eric Weddle | Commonwealth Financial Network national BD | Invest Financial Corporation other | Other | May 15, 2003 | May 20, 2003 |
| Jason Leonard Garofalo | Commonwealth Financial Network national BD | Invest Financial Corporation other | Other | May 15, 2003 | May 14, 2003 |
| Deborah Kim Hazard Macneil | Wells Fargo Investments, LLC unclassified | Invest Financial Corporation other | Other | Apr 28, 2003 | Apr 29, 2003 |
| Andrew Robert Gay | Bbva Compass Investment Solutions, Inc unclassified | Invest Financial Corporation other | Other | Apr 11, 2003 | Apr 11, 2003 |
| Rodney Ray Gates | UBS Financial Services Inc. wirehouse | Invest Financial Corporation other | Other | Apr 2, 2003 | Mar 14, 2003 |
| Kathy Bennett Bartlett | A. G. Edwards & Sons, Inc. unclassified | Invest Financial Corporation other | Other | Mar 20, 2003 | Jun 16, 2003 (88 d) |
| Wade Mitchell Wacker | Nathan & Lewis Securities, Inc. unclassified | Invest Financial Corporation other | Other | Jan 27, 2003 | Feb 3, 2003 |
| Evangeline Stratis | Chase Investment Services Corp. other | Invest Financial Corporation other | Other | Jan 13, 2003 | Feb 26, 2003 (44 d) |
| Laura Cathleen Ferraro | Citigroup Global Markets Inc. other | Invest Financial Corporation other | Other | Jan 10, 2003 | Dec 18, 2002 |
| Kristin Meredith Alexander | Transamerica Financial Advisors, LLC other | Invest Financial Corporation other | Other | Dec 12, 2002 | Jan 8, 2007 (1488 d) |
| Jeffrey D Fontes | Morgan Stanley Dw Inc. unclassified | Invest Financial Corporation other | Other | Dec 2, 2002 | Apr 29, 2003 (148 d) |
| James Francis Lohnes | Td Wealth Management Services Inc. unclassified | Invest Financial Corporation other | Other | Nov 25, 2002 | Sep 19, 2003 (298 d) |
| Frank Cook Harris | Cetera Investment Services LLC other | Invest Financial Corporation other | Other | Nov 22, 2002 | Nov 25, 2002 |
| Kimberley Gayle Cole | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Invest Financial Corporation other | Other | Nov 22, 2002 | Dec 10, 2002 |
| Neil Kenneth Piper | Vestax Securities Corporation unclassified | Invest Financial Corporation other | Other | Nov 8, 2002 | Aug 20, 2003 (285 d) |
| Paul William Sponseller | Raymond James & Associates, Inc. national BD | Invest Financial Corporation other | Other | Sep 18, 2002 | Sep 16, 2002 |
| Milissa Marie Hengel | Equitable Advisors, LLC national BD | Invest Financial Corporation other | Other | Sep 18, 2002 | Jun 10, 2004 (631 d) |
| Michael Gregory Feduccia | Banc Of America Investment Services, Inc. unclassified | Invest Financial Corporation other | Other | Aug 28, 2002 | Nov 13, 2002 (77 d) |
| Douglas Franklin Karr | Bb&T Investment Services, Inc. no RAUM | Invest Financial Corporation other | Other | Jul 12, 2002 | Apr 14, 2003 (276 d) |
| Charles Eugene Rusmisel | Equitable Advisors, LLC national BD | Invest Financial Corporation other | Other | Jun 6, 2002 | Jun 17, 2002 |