| Charles Ross Campbell | Investment Professionals, Inc. other | U.S. Bancorp Investments, Inc. other | Other | Aug 5, 2016 | Aug 11, 2016 |
| Pejhmon Kalantar | Wells Fargo Advisors wirehouse | U.S. Bancorp Investments, Inc. other | Other | Aug 2, 2016 | Aug 10, 2016 |
| Luis-Diego Quiroz | J.P. Morgan Securities LLC wirehouse | U.S. Bancorp Investments, Inc. other | Other | Jul 19, 2016 | Jul 7, 2016 |
| Dustin Ries | Thrivent Investment Management Inc. other | U.S. Bancorp Investments, Inc. other | Other | Jul 11, 2016 | Aug 8, 2016 |
| Derek Jon Harris | Ameriprise Financial Services, LLC national BD | U.S. Bancorp Investments, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 5, 2016 | Feb 22, 2022 (2058 d) |
| Nicholas Paul Anthony Rubeo | Waddell & Reed other | U.S. Bancorp Investments, Inc. other | Other | Jun 28, 2016 | Aug 17, 2016 (50 d) |
| Michael D Dunn | Strategic Advisers LLC national BD | U.S. Bancorp Investments, Inc. other | Other | Jun 23, 2016 | Oct 3, 2016 (102 d) |
| Lora Gene Lakatos | Wells Fargo Advisors wirehouse | U.S. Bancorp Investments, Inc. other | Other | Jun 16, 2016 | Aug 25, 2016 (70 d) |
| Roman Nestor Catli | Wells Fargo Advisors wirehouse | U.S. Bancorp Investments, Inc. other | Other | Jun 6, 2016 | Jun 3, 2016 |
| Michael Pereira D'Almeida | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | U.S. Bancorp Investments, Inc. other | Other | Jun 3, 2016 | Jun 3, 2016 |
| John Marvin Schmitt | Ameriprise Financial Services, LLC national BD | U.S. Bancorp Investments, Inc. other | Other | May 26, 2016 | Jun 10, 2016 |
| Edmond A Mckone | Wells Fargo Advisors wirehouse | U.S. Bancorp Investments, Inc. other | Other | May 17, 2016 | Jun 3, 2016 |
| David Song Deng | Wells Fargo Advisors wirehouse | U.S. Bancorp Investments, Inc. other | Other | May 13, 2016 | Jun 9, 2016 |
| Nathan James Anderson | Thrivent Investment Management Inc. other | U.S. Bancorp Investments, Inc. other | Other | May 11, 2016 | May 9, 2016 |
| Benjamin Karl Garcia | Bok Financial Advisors other | U.S. Bancorp Investments, Inc. other | Other | Apr 28, 2016 | Mar 31, 2016 |
| Amber Dawn Wickersham-Yee | Morgan Stanley wirehouse | U.S. Bancorp Investments, Inc. other | Other | Apr 27, 2016 | Jan 23, 2018 (636 d) |
| Bryan Hatfield | Raymond James & Associates, Inc. national BD | U.S. Bancorp Investments, Inc. other | Other | Apr 13, 2016 | Apr 14, 2016 |
| Scott Lee D'Amico | Pnc Wealth Management other | U.S. Bancorp Investments, Inc. other | Other | Mar 29, 2016 | Mar 29, 2016 |
| John Mark Ross | UBS Financial Services Inc. wirehouse | U.S. Bancorp Investments, Inc. other | Other | Mar 23, 2016 | Mar 18, 2016 |
| Laura Anne Zoucha | Td Ameritrade Investment Management, LLC other | U.S. Bancorp Investments, Inc. other | Other | Mar 23, 2016 | Mar 14, 2016 |
| Laura Anne Zoucha | Td Ameritrade, Inc. no RAUM | U.S. Bancorp Investments, Inc. other | Other | Mar 23, 2016 | Mar 14, 2016 |
| Nathaniel D Hoch | RBC Capital Markets, LLC national BD | U.S. Bancorp Investments, Inc. other | Other | Mar 16, 2016 | May 2, 2016 (47 d) |
| Lissette Carolina Dametta | H. Beck, Inc. other | U.S. Bancorp Investments, Inc. other | Other | Mar 9, 2016 | Mar 11, 2016 |
| Les James Miller | Edward Jones national BD | U.S. Bancorp Investments, Inc. other | Other | Mar 2, 2016 | Mar 1, 2016 |
| Levi Adam Thomas | Cuso Financial Services, L.P. other | U.S. Bancorp Investments, Inc. other | Other | Feb 10, 2016 | Mar 7, 2016 |
| Daniel Allan Teague | Woodbury Financial Services, Inc. other | U.S. Bancorp Investments, Inc. other | Other | Feb 5, 2016 | Jan 27, 2016 |
| Jason Michael Juhl | Wells Fargo Advisors wirehouse | U.S. Bancorp Investments, Inc. other | Other | Feb 4, 2016 | Jan 29, 2016 |
| Ann Marie Senne | RBC Capital Markets, LLC national BD | U.S. Bancorp Investments, Inc. other | Other | Feb 3, 2016 | Oct 4, 2016 (244 d) |
| Jason Christopher Vander Pol | Silver Oak Securities, Inc. other | U.S. Bancorp Investments, Inc. other | Other | Feb 2, 2016 | Feb 1, 2016 |
| Kristine Rodarte | LPL Financial LLC other | U.S. Bancorp Investments, Inc. BD affiliated | Other | Feb 1, 2016 | Sep 20, 2019 (1327 d) |
| Maxito Pierre Isenhower | Edward Jones national BD | U.S. Bancorp Investments, Inc. other | Other | Jan 14, 2016 | Jan 28, 2016 |
| Nicole Marie Farbo | Pnc Wealth Management other | U.S. Bancorp Investments, Inc. other | Other | Jan 6, 2016 | May 26, 2017 (506 d) |
| Ricky Burroughs | Bmo Harris Financial Advisors, Inc other | U.S. Bancorp Investments, Inc. BD affiliated | Other | Jan 6, 2016 | Apr 25, 2018 (840 d) |
| Kimberly Jo Cooper | Edward Jones national BD | U.S. Bancorp Investments, Inc. other | Other | Dec 1, 2015 | Dec 1, 2015 |
| Linnette Ortiz Roldan | Morgan Stanley wirehouse | U.S. Bancorp Investments, Inc. other | Other | Nov 30, 2015 | Nov 30, 2015 |
| Tyler John David | Edward Jones national BD | U.S. Bancorp Investments, Inc. other | Other | Nov 24, 2015 | Oct 19, 2017 (695 d) |
| Curtis Jon Vorachek | Sikich Financial other | U.S. Bancorp Investments, Inc. other | Other | Nov 4, 2015 | Sep 26, 2017 (692 d) |
| Adolfo A Herrera | J.P. Morgan Securities LLC wirehouse | U.S. Bancorp Investments, Inc. other | Other | Oct 29, 2015 | Nov 2, 2015 |
| Trevor William Long | Edward Jones national BD | U.S. Bancorp Investments, Inc. other | Other | Oct 13, 2015 | Oct 20, 2015 |
| David D Hamlin | J.P. Morgan Securities LLC wirehouse | U.S. Bancorp Investments, Inc. other | Other | Oct 7, 2015 | Oct 6, 2015 |
| Carlos Alberto Naranjo | J.P. Morgan Securities LLC wirehouse | U.S. Bancorp Investments, Inc. other | Other | Oct 7, 2015 | Oct 1, 2015 |
| Michael Jay Murkins | Principal Securities, Inc. other | U.S. Bancorp Investments, Inc. BD affiliated | Other | Oct 2, 2015 | May 7, 2019 (1313 d) |
| Tyson Van Scofield | Hsbc Securities (USA) Inc. other | U.S. Bancorp Investments, Inc. other | Other | Sep 23, 2015 | Sep 9, 2015 |
| Amy Lynn Barnes | Edward Jones national BD | U.S. Bancorp Investments, Inc. other | Other | Sep 1, 2015 | Aug 31, 2015 |
| Jesse Michael Shaskin | Wells Fargo Advisors wirehouse | U.S. Bancorp Investments, Inc. other | Other | Aug 19, 2015 | Sep 29, 2015 (41 d) |
| Paul Vincent Greco | Wells Fargo Advisors wirehouse | U.S. Bancorp Investments, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Aug 3, 2015 | Mar 24, 2025 (3521 d) |
| Davene Jannell Cognard | J.P. Morgan Securities LLC wirehouse | U.S. Bancorp Investments, Inc. other | Other | Jul 7, 2015 | Jul 1, 2015 |
| Scott Matthew Biertzer | Associated Investment Services, Inc. other | U.S. Bancorp Investments, Inc. other | Other | Jul 1, 2015 | Sep 21, 2015 (82 d) |
| Dustin Craig Unger | Pnc Wealth Management other | U.S. Bancorp Investments, Inc. other | Other | Jun 15, 2015 | Jul 8, 2015 |
| James Thomas Kirk | Ameriprise Financial Services, LLC national BD | U.S. Bancorp Investments, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jun 11, 2015 | Apr 19, 2018 (1043 d) |
| Eric Robert Staab | Edward Jones national BD | U.S. Bancorp Investments, Inc. other | Other | Jun 9, 2015 | Jul 7, 2015 |
| Devin William Ploesser | Edward Jones national BD | U.S. Bancorp Investments, Inc. other | Other | Jun 8, 2015 | Jun 30, 2015 |
| Gracia Ann Cavanaugh | Fsc Securities Corporation other | U.S. Bancorp Investments, Inc. BD affiliated | Other | May 21, 2015 | Jun 11, 2020 (1848 d) |
| Liny Li | Bancwest Investment Services, Inc. (Bwis) other | U.S. Bancorp Investments, Inc. other | Other | May 11, 2015 | Jul 6, 2015 (56 d) |
| Nancy Barillas Vega | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | U.S. Bancorp Investments, Inc. other | Other | May 8, 2015 | Mar 28, 2017 (690 d) |
| Susan Kaye Dvoracek | Invest Financial Corporation other | U.S. Bancorp Investments, Inc. other | Other | Apr 28, 2015 | May 18, 2015 |
| Clift Richard O'Byaw | Cetera Advisors LLC other | U.S. Bancorp Investments, Inc. other | Other | Apr 27, 2015 | May 4, 2015 |
| Alexander Michael Lynch | Martin Nelson & Co., Inc. independent RIA | U.S. Bancorp Investments, Inc. other | Other | Apr 23, 2015 | Apr 14, 2015 |
| Tony Tat Yan Lam | J.P. Morgan Securities LLC wirehouse | U.S. Bancorp Investments, Inc. other | Other | Apr 16, 2015 | Apr 7, 2015 |
| Gregory David Timmerman | LPL Financial LLC other | U.S. Bancorp Investments, Inc. other | Other | Apr 15, 2015 | Apr 22, 2015 |