| Matthew Cullen Cheney | Ameriprise Financial Services, LLC national BD | Msi Financial Services, Inc. other | Other | May 28, 2008 | Jun 4, 2008 |
| Matthew L Mowles | Edward Jones national BD | Msi Financial Services, Inc. other | Other | May 13, 2008 | May 16, 2008 |
| Matthew Aaron Lapides | MML Investors Services, LLC other | Msi Financial Services, Inc. other | Other | May 6, 2008 | May 6, 2008 |
| Katherine Ann Caso | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Msi Financial Services, Inc. other | Other | Apr 30, 2008 | Jun 11, 2008 (42 d) |
| Michelle Mengfen Ruan | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Msi Financial Services, Inc. other | Other | Apr 22, 2008 | Aug 13, 2008 (113 d) |
| Michael J Verroi | New England Securities Corporation other | Msi Financial Services, Inc. other | Other | Apr 16, 2008 | Apr 11, 2008 |
| Jay Martin Desimone | Bcn Financial, Inc. state registered | Msi Financial Services, Inc. other | Other | Apr 16, 2008 | Jan 22, 2009 (281 d) |
| Matthew James Sawyer | UBS Financial Services Inc. wirehouse | Msi Financial Services, Inc. other | Other | Apr 14, 2008 | Apr 22, 2008 |
| Joshua Owen Herlan | Equitable Advisors, LLC national BD | Msi Financial Services, Inc. other | Other | Apr 10, 2008 | May 30, 2008 (50 d) |
| Mark Stanford Saper | New England Securities Corporation other | Msi Financial Services, Inc. other | Other | Apr 7, 2008 | Apr 1, 2015 (2550 d) |
| Erol Kenan Gokbora | Osaic Fa, Inc. other | Msi Financial Services, Inc. other | Other | Apr 2, 2008 | Apr 16, 2008 |
| Christopher D Jordan | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Msi Financial Services, Inc. other | Other | Apr 2, 2008 | Mar 6, 2009 (338 d) |
| Bernard Richards | Ameriprise Financial Services, LLC national BD | Msi Financial Services, Inc. other | Other | Mar 28, 2008 | Apr 2, 2008 |
| Gregory Alexander Gorski | Ameriprise Financial Services, LLC national BD | Msi Financial Services, Inc. other | Other | Mar 28, 2008 | Apr 4, 2008 |
| Brent L Wulbrecht | Charles Schwab & Co., Inc. national BD | Msi Financial Services, Inc. other | Other | Mar 27, 2008 | Oct 26, 2010 (943 d) |
| Marc Thomas Mattarochia | Federated Investment Counseling other | Msi Financial Services, Inc. other | Other | Mar 27, 2008 | Mar 17, 2009 (355 d) |
| Daniel Francis Haines | Advisorsone Wealth Management Group LLC unclassified | Msi Financial Services, Inc. other | Other | Mar 26, 2008 | Apr 8, 2008 |
| Jason Thaddeus Andryzak | Ameriprise Financial Services, LLC national BD | Msi Financial Services, Inc. other | Other | Mar 12, 2008 | Jun 24, 2008 (104 d) |
| Jonelle Caroline Mceachern | Ameriprise Financial Services, LLC national BD | Msi Financial Services, Inc. other | Other | Mar 6, 2008 | Sep 25, 2008 (203 d) |
| Ryan James Smith | Valic Financial Advisors, Inc. other | Msi Financial Services, Inc. other | Other | Mar 4, 2008 | Mar 3, 2010 (729 d) |
| Brian Segel | Citigroup Global Markets Inc. other | Msi Financial Services, Inc. other | Other | Mar 3, 2008 | Mar 5, 2008 |
| Patrick J. Shanley | Osaic Fs, Inc. other | Msi Financial Services, Inc. other | Other | Feb 29, 2008 | Mar 12, 2008 |
| Shawn Hoskin | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Msi Financial Services, Inc. other | Other | Feb 27, 2008 | May 20, 2009 (448 d) |
| Gregory Lamar Clark | Eagle Strategies LLC other | Msi Financial Services, Inc. other | Other | Feb 20, 2008 | Feb 29, 2008 |
| William Yousey | MML Investors Services, LLC other | Msi Financial Services, Inc. other | Other | Feb 15, 2008 | Mar 26, 2008 (40 d) |
| Gregory Alfredo Chona | Brookstone Investment Advisory Services other | Msi Financial Services, Inc. other | Other | Feb 14, 2008 | Mar 7, 2008 |
| Travis Justin Stolcis | Valic Financial Advisors, Inc. other | Msi Financial Services, Inc. other | Other | Feb 6, 2008 | Mar 10, 2008 (33 d) |
| Bryan James Clifton | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Msi Financial Services, Inc. other | Other | Feb 5, 2008 | May 5, 2008 (90 d) |
| Joseph Benjamin Horstmann | Edward Jones national BD | Msi Financial Services, Inc. other | Other | Feb 5, 2008 | May 23, 2008 (108 d) |
| Pablo Esteban Roca | Morgan Stanley & Co. LLC unclassified | Msi Financial Services, Inc. other | Other | Feb 4, 2008 | Apr 9, 2008 (65 d) |
| Kelli Ann Lynn | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Msi Financial Services, Inc. other | Other | Jan 30, 2008 | Feb 26, 2008 |
| Joshua David Nelson | Thrivent Investment Management Inc. other | Msi Financial Services, Inc. other | Other | Jan 30, 2008 | Mar 4, 2008 (34 d) |
| Scott Joseph Jimison | Key Investment Services LLC other | Msi Financial Services, Inc. other | Other | Jan 28, 2008 | Dec 16, 2009 (688 d) |
| Joshua James Garnet Davis | Morgan Stanley & Co. LLC unclassified | Msi Financial Services, Inc. other | Other | Jan 28, 2008 | Jan 29, 2016 (2923 d) |
| James Edward Steinkamp | Van Kampen Advisors Inc unclassified | Msi Financial Services, Inc. other | Other | Jan 24, 2008 | May 27, 2009 (489 d) |
| Brad Kevin Pinter | Ameriprise Financial Services, LLC national BD | Msi Financial Services, Inc. other | Other | Jan 16, 2008 | Feb 8, 2008 |
| Julie Lynne Williamson-Bresset | Uvest Financial Services Group, Inc. unclassified | Msi Financial Services, Inc. other | Other | Jan 8, 2008 | May 14, 2009 (492 d) |
| David Lee Kunhardt | Park Avenue Securities LLC other | Msi Financial Services, Inc. other | Other | Dec 31, 2007 | Apr 28, 2008 (119 d) |
| Gregory Lloyd Bernhardt | Investors Capital Advisory other | Msi Financial Services, Inc. other | Other | Dec 31, 2007 | Feb 8, 2008 (39 d) |
| Teena Ann Milldebrandt | Thrivent Investment Management Inc. other | Msi Financial Services, Inc. other | Other | Dec 20, 2007 | Jan 8, 2009 (385 d) |
| Michael V. Carrizales | Equitable Advisors, LLC national BD | Msi Financial Services, Inc. other | Other | Dec 12, 2007 | Jan 29, 2008 (48 d) |
| Thomas Carter Coffin | First Command Financial Planning, Inc. other | Msi Financial Services, Inc. other | Other | Dec 11, 2007 | Feb 8, 2008 (59 d) |
| Clint Neff | Thrivent Investment Management Inc. other | Msi Financial Services, Inc. other | Other | Dec 3, 2007 | Dec 17, 2007 |
| Brent Harvey Soloway | Harvest Capital Advisors Inc. other | Msi Financial Services, Inc. other | Other | Nov 9, 2007 | Apr 30, 2008 (173 d) |
| Francis Bernard Miller | Ameriprise Financial Services, LLC national BD | Msi Financial Services, Inc. other | Other | Nov 9, 2007 | Apr 23, 2008 (166 d) |
| Mirko Pefaure | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Msi Financial Services, Inc. other | Other | Nov 8, 2007 | Jan 4, 2008 (57 d) |
| Sait A Saraci | Securian Financial Services, Inc. other | Msi Financial Services, Inc. other | Other | Nov 6, 2007 | Nov 13, 2007 |
| Robert Laurence Brown | Securian Financial Services, Inc. other | Msi Financial Services, Inc. other | Other | Nov 6, 2007 | Nov 13, 2007 |
| Mary Frances Dill Sullivan | Wamu Investments, Inc. unclassified | Msi Financial Services, Inc. other | Other | Nov 5, 2007 | Mar 5, 2009 (486 d) |
| David Winfield Anderson | MML Investors Services, LLC other | Msi Financial Services, Inc. other | Other | Oct 29, 2007 | Nov 29, 2007 (31 d) |
| Michael Vatter | Chase Investment Services Corp. other | Msi Financial Services, Inc. other | Other | Oct 23, 2007 | Jan 3, 2008 (72 d) |
| Michael Edward Newell | Cetera Advisor Networks LLC other | Msi Financial Services, Inc. other | Other | Oct 22, 2007 | Nov 13, 2007 |
| Oluwa Ademola Raines | Edward Jones national BD | Msi Financial Services, Inc. other | Other | Oct 18, 2007 | Jan 8, 2009 (448 d) |
| Michelle R Coble | MML Investors Services, LLC other | Msi Financial Services, Inc. other | Other | Sep 27, 2007 | Oct 3, 2007 |
| Brian Stewart Desoye | E*Trade Capital Management, LLC other | Msi Financial Services, Inc. other | Other | Sep 25, 2007 | Jul 8, 2015 (2843 d) |
| Kimberly Ann Tucker | UBS Financial Services Inc. wirehouse | Msi Financial Services, Inc. other | Other | Aug 21, 2007 | Feb 13, 2009 (542 d) |
| Daniel Rushefsky | Morgan Stanley & Co. LLC unclassified | Msi Financial Services, Inc. other | Other | Aug 16, 2007 | Dec 3, 2007 (109 d) |
| Marilyn Eleanor Anstey | Cuna Brokerage Services, Inc. other | Msi Financial Services, Inc. other | Other | Aug 14, 2007 | Mar 15, 2011 (1309 d) |
| Eric David Duncan | Ameriprise Financial Services, LLC national BD | Msi Financial Services, Inc. other | Other | Aug 14, 2007 | Oct 3, 2008 (416 d) |
| Brian Hugh Taylor | Thrivent Investment Management Inc. other | Msi Financial Services, Inc. other | Other | Aug 8, 2007 | Oct 2, 2007 (55 d) |