| June Wang Scortino | Voya Financial Advisors, Inc. other | Osaic Fa, Inc. other | Other | May 26, 2004 | Jun 7, 2004 |
| Stanley Lewandoski | Ameriprise Financial Services, LLC national BD | Osaic Fa, Inc. other | Other | Apr 19, 2004 | Apr 26, 2004 |
| Daniel Michael Lowe | Ameriprise Financial Services, LLC national BD | Osaic Fa, Inc. other | Other | Apr 19, 2004 | Apr 23, 2004 |
| Christina Alita Flores | Ameriprise Financial Services, LLC national BD | Osaic Fa, Inc. other | Other | Apr 16, 2004 | Sep 16, 2005 (518 d) |
| Christopher Dale Dinterman | T. Rowe Price Advisory Services, Inc. no RAUM | Osaic Fa, Inc. other | Other | Apr 2, 2004 | Aug 15, 2005 (500 d) |
| Ronald Joseph Smith | 1717 Capital Management Company unclassified | Osaic Fa, Inc. other | Other | Mar 12, 2004 | Apr 2, 2004 |
| Scott James Langham | Morgan Stanley Dw Inc. unclassified | Osaic Fa, Inc. other | Other | Feb 27, 2004 | Feb 12, 2004 |
| Cynthia Harvey Deavel | 1st Global Advisors Inc other | Osaic Fa, Inc. other | Other | Feb 17, 2004 | Mar 3, 2004 |
| James B Cox | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Osaic Fa, Inc. other | Other | Feb 17, 2004 | Mar 2, 2004 |
| David Gregory Pacer | New England Securities Corporation other | Osaic Fa, Inc. other | Other | Jan 9, 2004 | Jan 12, 2004 |
| Heather Nicole Mullinix | Wells Fargo Advisors wirehouse | Osaic Fa, Inc. other | Other | Jan 7, 2004 | Jan 6, 2004 |
| Faith Renee Arter | Veravest Investment Advisors, Inc. unclassified | Osaic Fa, Inc. other | Other | Jan 2, 2004 | Dec 19, 2003 |
| David Charles Grimaldi | Veravest Investment Advisors, Inc. unclassified | Osaic Fa, Inc. other | Other | Dec 19, 2003 | Jan 2, 2004 |
| Donald Alan Mcdade | Veravest Investment Advisors, Inc. unclassified | Osaic Fa, Inc. other | Other | Dec 19, 2003 | Jul 13, 2004 (207 d) |
| John Robert Dimonda | Veravest Investment Advisors, Inc. unclassified | Osaic Fa, Inc. other | Other | Dec 19, 2003 | Apr 20, 2004 (123 d) |
| Scott Edward Fluet | Veravest Investment Advisors, Inc. unclassified | Osaic Fa, Inc. other | Other | Dec 19, 2003 | Dec 19, 2003 |
| John Lane Obrien | Veravest Investment Advisors, Inc. unclassified | Osaic Fa, Inc. other | Other | Dec 19, 2003 | Jan 2, 2004 |
| Nishan Dickran Mootafian | Veravest Investment Advisors, Inc. unclassified | Osaic Fa, Inc. other | Other | Dec 19, 2003 | Dec 19, 2003 |
| Mark David Cavasino | Veravest Investment Advisors, Inc. unclassified | Osaic Fa, Inc. other | Other | Dec 19, 2003 | Jan 16, 2004 |
| George Ray Breeden | Veravest Investment Advisors, Inc. unclassified | Osaic Fa, Inc. other | Other | Dec 19, 2003 | Feb 6, 2004 (49 d) |
| Bobby Ray Trust White | Veravest Investment Advisors, Inc. unclassified | Osaic Fa, Inc. other | Other | Dec 19, 2003 | Jan 7, 2004 |
| Charles I Downey | Veravest Investment Advisors, Inc. unclassified | Osaic Fa, Inc. other | Other | Dec 19, 2003 | Jan 28, 2004 (40 d) |
| Frederick Lawrence Angst | Veravest Investment Advisors, Inc. unclassified | Osaic Fa, Inc. other | Other | Dec 19, 2003 | Dec 5, 2003 |
| Mark D Nelson | Veravest Investment Advisors, Inc. unclassified | Osaic Fa, Inc. other | Other | Dec 19, 2003 | Dec 9, 2003 |
| James Walling Kuekan | Veravest Investment Advisors, Inc. unclassified | Osaic Fa, Inc. other | Other | Dec 19, 2003 | Feb 27, 2004 (70 d) |
| John Barr Dolan | Veravest Investment Advisors, Inc. unclassified | Osaic Fa, Inc. other | Other | Dec 19, 2003 | Feb 11, 2004 (54 d) |
| Scott Francis Foster | Veravest Investment Advisors, Inc. unclassified | Osaic Fa, Inc. other | Other | Dec 18, 2003 | Dec 18, 2003 |
| Kenneth John Mcmanus | Veravest Investment Advisors, Inc. unclassified | Osaic Fa, Inc. other | Other | Dec 18, 2003 | Dec 18, 2003 |
| Anthony Joseph Canderozzi | Veravest Investment Advisors, Inc. unclassified | Osaic Fa, Inc. other | Other | Dec 18, 2003 | Apr 20, 2004 (124 d) |
| Stuart Craig Hoch | Veravest Investment Advisors, Inc. unclassified | Osaic Fa, Inc. other | Other | Dec 18, 2003 | May 6, 2004 (140 d) |
| Jeffrey Edward Cowling | Veravest Investment Advisors, Inc. unclassified | Osaic Fa, Inc. other | Other | Dec 18, 2003 | Jan 2, 2004 |
| Kevin Michael Palmieri | Veravest Investment Advisors, Inc. unclassified | Osaic Fa, Inc. other | Other | Dec 18, 2003 | Dec 18, 2003 |
| Frank Stuart | Veravest Investment Advisors, Inc. unclassified | Osaic Fa, Inc. other | Other | Dec 18, 2003 | Apr 20, 2004 (124 d) |
| Bryn Todd Henry | Veravest Investment Advisors, Inc. unclassified | Osaic Fa, Inc. other | Other | Dec 18, 2003 | Nov 21, 2003 |
| James F. Goulet | Lexington Advisors unclassified | Osaic Fa, Inc. other | Other | Dec 15, 2003 | Dec 13, 2012 (3286 d) |
| James Terry Bethea | Veravest Investment Advisors, Inc. unclassified | Osaic Fa, Inc. other | Other | Dec 12, 2003 | Dec 2, 2003 |
| Paul Anton Saganey | Veravest Investment Advisors, Inc. unclassified | Osaic Fa, Inc. other | Other | Dec 12, 2003 | Dec 19, 2003 |
| Raymond Joseph Lucas | Veravest Investment Advisors, Inc. unclassified | Osaic Fa, Inc. other | Other | Dec 12, 2003 | Dec 19, 2003 |
| Brian Alan Ryals | Veravest Investment Advisors, Inc. unclassified | Osaic Fa, Inc. other | Other | Dec 12, 2003 | Dec 2, 2003 |
| William Joseph Beaudoin | Veravest Investment Advisors, Inc. unclassified | Osaic Fa, Inc. other | Other | Dec 12, 2003 | Dec 19, 2003 |
| Gary Donald Beane | Veravest Investment Advisors, Inc. unclassified | Osaic Fa, Inc. other | Other | Dec 12, 2003 | Dec 12, 2003 |
| Tracy Lamar Lentz | Veravest Investment Advisors, Inc. unclassified | Osaic Fa, Inc. other | Other | Dec 12, 2003 | Dec 5, 2003 |
| Bradley J Kamman | Veravest Investment Advisors, Inc. unclassified | Osaic Fa, Inc. other | Other | Dec 12, 2003 | Dec 5, 2003 |
| Christopher Francis Michalman | Veravest Investment Advisors, Inc. unclassified | Osaic Fa, Inc. other | Other | Dec 11, 2003 | Dec 11, 2003 |
| Dominic Todarello | Veravest Investment Advisors, Inc. unclassified | Osaic Fa, Inc. other | Other | Dec 9, 2003 | Apr 20, 2004 (133 d) |
| Robert Michael Grenus | Veravest Investment Advisors, Inc. unclassified | Osaic Fa, Inc. other | Other | Dec 9, 2003 | Jan 2, 2004 |
| Jon Torrey Bicknell | Veravest Investment Advisors, Inc. unclassified | Osaic Fa, Inc. other | Other | Dec 9, 2003 | Dec 12, 2003 |
| Michael Scott Farmer | Veravest Investment Advisors, Inc. unclassified | Osaic Fa, Inc. other | Other | Dec 9, 2003 | Dec 12, 2003 |
| Peter Francis Pabon | Msi Financial Services, Inc. other | Osaic Fa, Inc. other | Other | Dec 8, 2003 | Apr 20, 2004 (134 d) |
| Joseph Murray Sullivan | Veravest Investment Advisors, Inc. unclassified | Osaic Fa, Inc. other | Other | Dec 8, 2003 | Dec 9, 2003 |
| Christopher Andrew Fletcher | Veravest Investment Advisors, Inc. unclassified | Osaic Fa, Inc. other | Other | Dec 8, 2003 | Dec 9, 2003 |
| Saul Mitchell Simon | Veravest Investment Advisors, Inc. unclassified | Osaic Fa, Inc. other | Other | Dec 5, 2003 | Apr 20, 2004 (137 d) |
| Rosario Greco | Veravest Investment Advisors, Inc. unclassified | Osaic Fa, Inc. other | Other | Dec 5, 2003 | Apr 20, 2004 (137 d) |
| William Edward Spinner | Veravest Investment Advisors, Inc. unclassified | Osaic Fa, Inc. other | Other | Dec 5, 2003 | Jun 1, 2004 (179 d) |
| David Philip Nader | Veravest Investment Advisors, Inc. unclassified | Osaic Fa, Inc. other | Other | Dec 5, 2003 | Apr 20, 2004 (137 d) |
| David John Estatico | Veravest Investment Advisors, Inc. unclassified | Osaic Fa, Inc. other | Other | Dec 4, 2003 | Dec 16, 2004 (378 d) |
| Bruce Alan Horvitz | Veravest Investment Advisors, Inc. unclassified | Osaic Fa, Inc. other | Other | Dec 4, 2003 | Dec 13, 2004 (375 d) |
| Edward E Blacka | Veravest Investment Advisors, Inc. unclassified | Osaic Fa, Inc. other | Other | Dec 4, 2003 | Jan 4, 2005 (397 d) |
| Christine Emily Musuneggi | Veravest Investment Advisors, Inc. unclassified | Osaic Fa, Inc. other | Other | Dec 4, 2003 | Jul 23, 2004 (232 d) |
| Ronald Romeo | Veravest Investment Advisors, Inc. unclassified | Osaic Fa, Inc. other | Other | Dec 3, 2003 | Oct 7, 2004 (309 d) |