| Ilene Daiane Medina | Morgan Stanley Dw Inc. unclassified | Osaic Fa, Inc. other | Other | Feb 23, 2006 | Jan 25, 2008 (701 d) |
| Brett Allen Wood | Equitable Advisors, LLC national BD | Osaic Fa, Inc. other | Other | Feb 23, 2006 | Mar 16, 2006 |
| Cari Leamy | Banc Of America Investment Services, Inc. unclassified | Osaic Fa, Inc. other | Other | Feb 8, 2006 | Jun 28, 2006 (140 d) |
| Justin M Mulholland | Everhart Advisors other | Osaic Fa, Inc. other | Other | Feb 6, 2006 | Oct 28, 2005 |
| Phillip Nathan Senderowitz | Bb&T Investment Services, Inc. no RAUM | Osaic Fa, Inc. other | Other | Feb 1, 2006 | Jun 9, 2006 (128 d) |
| William Roy Handwerker | Hornor, Townsend & Kent, LLC other | Osaic Fa, Inc. other | Other | Jan 19, 2006 | May 29, 2008 (861 d) |
| Michael Paul Krouse | UBS Financial Services Inc. wirehouse | Osaic Fa, Inc. other | Other | Jan 18, 2006 | Jan 24, 2006 |
| Kevin Matthew James | Scott & Stringfellow, LLC other | Osaic Fa, Inc. other | Other | Jan 10, 2006 | Feb 9, 2012 (2221 d) |
| John Richard Williamson | Bueter & Associates Inc unclassified | Osaic Fa, Inc. other | Other | Jan 5, 2006 | Mar 13, 2006 (67 d) |
| Niraj Singh | Signator Investors, Inc. other | Osaic Fa, Inc. BD affiliated | Other | Dec 31, 2005 | Mar 10, 2021 (5548 d) |
| Louis Leon Kline | Metlife Investment Fund Services LLC unclassified | Osaic Fa, Inc. other | Other | Dec 31, 2005 | Jul 10, 2007 (556 d) |
| Neil Mccarthy Egleston | Hornor, Townsend & Kent, LLC other | Osaic Fa, Inc. other | Other | Dec 21, 2005 | Jan 10, 2006 |
| Daniel Burke Beltran | Msi Financial Services, Inc. other | Osaic Fa, Inc. other | Other | Dec 9, 2005 | Feb 10, 2006 (63 d) |
| Attahjundwe Obiajulu | UBS Financial Services Inc. wirehouse | Osaic Fa, Inc. other | Other | Dec 1, 2005 | Jan 13, 2006 (43 d) |
| Robert Raymond Boucher | Valic Financial Advisors, Inc. other | Osaic Fa, Inc. other | Other | Nov 16, 2005 | Jan 16, 2014 (2983 d) |
| Daniel Mark Goldfarb | Ameriprise Financial Services, LLC national BD | Osaic Fa, Inc. other | Other | Nov 9, 2005 | Dec 13, 2005 (34 d) |
| John J Konikowski | Sterne Agee Investment Advisor Services, Inc. other | Osaic Fa, Inc. other | Other | Nov 7, 2005 | Nov 7, 2005 |
| Kelly Ann Weaver | Ameriprise Financial Services, LLC national BD | Osaic Fa, Inc. other | Other | Nov 2, 2005 | Jan 5, 2006 (64 d) |
| Brian Lynn Lahrman | Thrivent Investment Management Inc. other | Osaic Fa, Inc. other | Other | Nov 2, 2005 | Nov 16, 2005 |
| Myrna Kassis | Ameriprise Financial Services, LLC national BD | Osaic Fa, Inc. other | Other | Oct 7, 2005 | Oct 10, 2005 |
| Jeffery Dean Nauta | Vsr Advisory Services other | Osaic Fa, Inc. other | Other | Oct 3, 2005 | Oct 18, 2005 |
| Frank Paul Zocco | Citizens Securities, Inc. other | Osaic Fa, Inc. other | Other | Sep 19, 2005 | Sep 22, 2005 |
| Ryan Edmond Price | Msi Financial Services, Inc. other | Osaic Fa, Inc. other | Other | Sep 2, 2005 | Sep 8, 2005 |
| Wendy Karkoska | RBC Capital Markets, LLC national BD | Osaic Fa, Inc. other | Other | Sep 1, 2005 | Nov 9, 2005 (69 d) |
| Denise Lee Garten | Morgan Stanley Dw Inc. unclassified | Osaic Fa, Inc. other | Other | Aug 23, 2005 | Sep 7, 2005 |
| Anindita Dhar | Morgan Stanley Dw Inc. unclassified | Osaic Fa, Inc. other | Other | Aug 22, 2005 | Sep 16, 2005 |
| Joan L Knight | Nrp Financial, Inc. unclassified | Osaic Fa, Inc. other | Other | Aug 22, 2005 | Sep 28, 2005 (37 d) |
| Damon Merrill Mapes | Ameriprise Advisor Services, Inc. unclassified | Osaic Fa, Inc. other | Other | Aug 10, 2005 | Sep 7, 2005 |
| David Michael Krietzberg | Morgan Stanley Dw Inc. unclassified | Osaic Fa, Inc. other | Other | Aug 5, 2005 | Aug 1, 2005 |
| Claudia Arnold | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Osaic Fa, Inc. other | Other | Jul 1, 2005 | Jul 19, 2006 (383 d) |
| Ross Alexander Shandra | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Osaic Fa, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jun 15, 2005 | Jun 14, 2021 (5843 d) |
| Daniel Scott Swinehart | Lincoln Financial Distributors, Inc. unclassified | Osaic Fa, Inc. other | Other | Jun 7, 2005 | Jul 11, 2005 (34 d) |
| Jeffrey James Wheeler | Ameriprise Financial Services, LLC national BD | Osaic Fa, Inc. other | Other | Jun 1, 2005 | Jul 1, 2005 |
| Shane John Payette | Kpmg Investment Advisors unclassified | Osaic Fa, Inc. other | Other | May 5, 2005 | Mar 2, 2005 |
| Walter Frank Williams | New England Securities Corporation other | Osaic Fa, Inc. other | Other | May 2, 2005 | Jun 13, 2005 (42 d) |
| Stephen Alan Menke | Raymond James Financial Services, Inc. unclassified | Osaic Fa, Inc. other | Other | May 2, 2005 | May 18, 2005 |
| Richard John Walsh | Td Ameritrade, Inc. no RAUM | Osaic Fa, Inc. other | Other | Apr 19, 2005 | Sep 11, 2006 (510 d) |
| John Angelo Amirante | Chase Investment Services Corp. other | Osaic Fa, Inc. other | Other | Apr 15, 2005 | Dec 10, 2014 (3526 d) |
| Kevin Stephen Moravek | First Command Bank unclassified | Osaic Fa, Inc. other | Other | Mar 23, 2005 | Mar 23, 2005 |
| Steven Edward Silvey | Suntrust Investment Services, Inc. other | Osaic Fa, Inc. other | Other | Mar 17, 2005 | Mar 9, 2005 |
| Kara C Bailys | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Osaic Fa, Inc. other | Other | Feb 22, 2005 | Apr 15, 2005 (52 d) |
| Angela Faye Peterson | Cima Wealth Management, Inc. unclassified | Osaic Fa, Inc. other | Other | Feb 7, 2005 | Jun 18, 2004 |
| Letitia Barbara Gray | Osaic Fs, Inc. other | Osaic Fa, Inc. other | Other | Jan 24, 2005 | Jan 31, 2005 |
| Joseph Francis Quinn | U.S. Financial Advisors other | Osaic Fa, Inc. other | Other | Jan 4, 2005 | Jan 24, 2006 (385 d) |
| Jeffrey Gaier | Commonwealth Financial Network national BD | Osaic Fa, Inc. other | Other | Dec 9, 2004 | Feb 4, 2005 (57 d) |
| James Scott Wolter | Raymond James Financial Services, Inc. unclassified | Osaic Fa, Inc. other | Other | Dec 1, 2004 | Dec 1, 2004 |
| Dolores Ann White | Newsholme Financial Group, Inc. other | Osaic Fa, Inc. other | Other | Nov 15, 2004 | Oct 28, 2004 |
| Veska Dimitrova Kita | Ameriprise Financial Services, LLC national BD | Osaic Fa, Inc. other | Other | Sep 24, 2004 | Sep 9, 2004 |
| Lawrence E Wall | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Osaic Fa, Inc. other | Other | Sep 8, 2004 | Jan 19, 2005 (133 d) |
| Jaideep Chawla | Ameriprise Financial Services, LLC national BD | Osaic Fa, Inc. other | Other | Sep 3, 2004 | Sep 13, 2004 |
| Dana Wallace Gower | Equitable Advisors, LLC national BD | Osaic Fa, Inc. other | Other | Sep 2, 2004 | Sep 10, 2004 |
| Uttam Doulatram Bharwani | Ameriprise Financial Services, LLC national BD | Osaic Fa, Inc. other | Other | Sep 1, 2004 | Sep 9, 2004 |
| Nicholas Edward Burkholder | Ameriprise Financial Services, LLC national BD | Osaic Fa, Inc. other | Other | Aug 31, 2004 | Sep 9, 2004 |
| Lisa Marie Palmisano | Morgan Keegan & Company, LLC other | Osaic Fa, Inc. other | Other | Aug 6, 2004 | Aug 9, 2004 |
| Gary Stephen Radler | Briggs Wealth Management, Inc. other | Osaic Fa, Inc. other | Other | Aug 4, 2004 | Nov 2, 2004 (90 d) |
| Rebecca Glasgow | Quick & Reilly, Inc. unclassified | Osaic Fa, Inc. other | Other | Jul 9, 2004 | Sep 2, 2004 (55 d) |
| Michael Otis Schulitz | Lincoln Financial Distributors, Inc. unclassified | Osaic Fa, Inc. other | Other | Jun 30, 2004 | Feb 11, 2005 (226 d) |
| Landon Ray Jones | Pruco Securities, LLC other | Osaic Fa, Inc. other | Other | Jun 21, 2004 | Jun 25, 2004 |
| Hussain Ali Fawaz | Veritrust Financial, LLC other | Osaic Fa, Inc. other | Other | Jun 17, 2004 | Nov 13, 2007 (1244 d) |
| Louis Anthony Della Valle | UBS Financial Services Inc. wirehouse | Osaic Fa, Inc. other | Other | May 26, 2004 | May 14, 2004 |