| Tod Donald Shoffler | Citigroup Global Markets Inc. other | Osaic Institutions, Inc. other | Other | Mar 9, 2006 | Feb 13, 2006 |
| Brett Canarelli | Valic Financial Advisors, Inc. other | Osaic Institutions, Inc. other | Other | Feb 24, 2006 | Feb 15, 2006 |
| Richard John Koll | Ifmg Securities, Inc. unclassified | Osaic Institutions, Inc. BD affiliated | Other | Jan 4, 2006 | Feb 26, 2024 (6627 d) |
| Frank Cook Harris | Invest Financial Corporation other | Osaic Institutions, Inc. BD affiliated | Other | Dec 5, 2005 | Jan 1, 2025 (6967 d) |
| Robert Earl Peckham | Chase Investment Services Corp. other | Osaic Institutions, Inc. other | Other | Oct 17, 2005 | Feb 16, 2006 (122 d) |
| Kenneth Scott Bernheim | Wells Fargo Advisors wirehouse | Osaic Institutions, Inc. other | Other | Oct 5, 2005 | Oct 4, 2005 |
| Robert A Spada | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Osaic Institutions, Inc. other | Other | Jun 24, 2005 | Jun 27, 2005 |
| James Edmund Hesseling | Fifth Third Securities, Inc. other | Osaic Institutions, Inc. other | Other | May 5, 2005 | Feb 2, 2006 (273 d) |
| John R Stone | Lanark Financial, Inc. other | Osaic Institutions, Inc. other | Other | Apr 20, 2005 | Apr 28, 2005 |
| Peter James Coleman | Chase Investment Services Corp. other | Osaic Institutions, Inc. other | Other | Feb 24, 2005 | Nov 23, 2005 (272 d) |
| Juliana R Gingerich | Equitable Advisors, LLC national BD | Osaic Institutions, Inc. other | Other | Feb 11, 2005 | Mar 28, 2006 (410 d) |
| Richard Michael Waters | Money Concepts Advisory Service other | Osaic Institutions, Inc. other | Other | Dec 1, 2004 | Dec 2, 2004 |
| Roxanna Lyn Everett | Money Concepts Advisory Service other | Osaic Institutions, Inc. other | Other | Dec 1, 2004 | Dec 2, 2004 |
| James Gregory Wallace | Quick & Reilly, Inc. unclassified | Osaic Institutions, Inc. other | Other | Oct 1, 2004 | Sep 20, 2004 |
| Richard Edward Bergeron | MML Investors Services, LLC other | Osaic Institutions, Inc. other | Other | Sep 25, 2004 | Nov 2, 2004 (38 d) |
| Kathleen Mary Erickson | People'S Securities, Inc. other | Osaic Institutions, Inc. other | Other | Jul 6, 2004 | Jul 21, 2004 |
| James Aaron Hargis | Banc Of America Investment Services, Inc. unclassified | Osaic Institutions, Inc. other | Other | Jun 21, 2004 | Jun 16, 2004 |
| Steven Allen Bergeron | LPL Financial LLC other | Osaic Institutions, Inc. other | Other | Mar 9, 2004 | Mar 1, 2004 |
| Jeffrey Roland Migneault | Chittenden Securities, LLC. unclassified | Osaic Institutions, Inc. other | Other | Jan 2, 2004 | Jan 5, 2004 |
| Mark John Posey | Waddell & Reed other | Osaic Institutions, Inc. other | Other | Nov 13, 2003 | Aug 7, 2008 (1729 d) |
| Erik A Lillibridge | Quick & Reilly, Inc. unclassified | Osaic Institutions, Inc. other | Other | Oct 15, 2003 | Oct 6, 2003 |
| Giuseppe S Fiducia | Wells Fargo Advisors wirehouse | Osaic Institutions, Inc. other | Other | Oct 8, 2003 | Nov 17, 2003 (40 d) |
| Jennifer Bower Perkins | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Osaic Institutions, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Aug 22, 2003 | Aug 19, 2020 (6207 d) |
| Paul William Gatehouse | Quick & Reilly, Inc. unclassified | Osaic Institutions, Inc. other | Other | Feb 27, 2003 | Jan 30, 2003 |
| Clinton William Noell | UBS Financial Services Inc. wirehouse | Osaic Institutions, Inc. other | Other | Jan 14, 2003 | Jan 31, 2008 (1843 d) |
| Richard Charles Decker | Prudential Equity Group, LLC unclassified | Osaic Institutions, Inc. other | Other | Sep 27, 2002 | Dec 6, 2002 (70 d) |
| Gerald Dennis Fahey | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Osaic Institutions, Inc. other | Other | Jun 10, 2002 | Jul 12, 2002 (32 d) |
| Keith John Burgess | MML Investors Services, LLC other | Osaic Institutions, Inc. other | Other | May 8, 2002 | Apr 8, 2010 (2892 d) |