| Allan Magnaye Alcayde | U.S. Bancorp Investments, Inc. other | Woodbury Financial Services, Inc. other | Other | Jul 2, 2009 | Jul 2, 2009 |
| Gregory Allen Naylor | Ameriprise Financial Services, LLC national BD | Woodbury Financial Services, Inc. other | Other | Jul 1, 2009 | Jan 23, 2014 (1667 d) |
| Todd Childers | Valmark Advisers, Inc. other | Woodbury Financial Services, Inc. other | Other | Jul 1, 2009 | Jul 1, 2009 |
| Matthew Roy Stahl | Ameriprise Financial Services, LLC national BD | Woodbury Financial Services, Inc. other | Other | Jul 1, 2009 | Jan 23, 2014 (1667 d) |
| Joe P. Moore | Esi Financial Advisors other | Woodbury Financial Services, Inc. other | Other | Jun 22, 2009 | Jul 1, 2009 |
| Marvin Henry Dennard | Morrow Wealth Management Inc unclassified | Woodbury Financial Services, Inc. other | Other | Jun 15, 2009 | Dec 10, 2009 (178 d) |
| Matthew Ellis Marting | Invest Financial Corporation other | Woodbury Financial Services, Inc. other | Other | Jun 9, 2009 | Jun 6, 2011 (727 d) |
| Brad Richard Metz | Edward Jones national BD | Woodbury Financial Services, Inc. other | Other | Jun 3, 2009 | Jun 1, 2009 |
| Chana Kay Beene | New England Securities Corporation other | Woodbury Financial Services, Inc. other | Other | May 26, 2009 | May 29, 2009 |
| Anita Jaswantlal Patel | Cetera Advisor Networks LLC other | Woodbury Financial Services, Inc. other | Other | May 22, 2009 | May 26, 2009 |
| Charles Bernard Poindexter | Valic Financial Advisors, Inc. other | Woodbury Financial Services, Inc. other | Other | May 15, 2009 | May 6, 2009 |
| Tamara Donel Perrin-Preus | Wamu Investments, Inc. unclassified | Woodbury Financial Services, Inc. other | Other | May 11, 2009 | Apr 28, 2009 |
| Kristen Dawn Massie | LPL Financial LLC other | Woodbury Financial Services, Inc. other | Other | May 11, 2009 | Apr 10, 2013 (1430 d) |
| Jeffrey Lloyd Kraft | Edward Jones national BD | Woodbury Financial Services, Inc. other | Other | May 4, 2009 | May 15, 2009 |
| Travis Allen Bartsch | American General Financial Advisors, Inc. unclassified | Woodbury Financial Services, Inc. other | Other | May 2, 2009 | Apr 5, 2012 (1069 d) |
| Phillip Todd Cartwright | Morgan Stanley & Co. LLC unclassified | Woodbury Financial Services, Inc. other | Other | Apr 27, 2009 | Apr 24, 2009 |
| David Alan Lenius | Packerland Brokerage Services, Inc. other | Woodbury Financial Services, Inc. other | Other | Apr 17, 2009 | Apr 16, 2009 |
| Steven Leroy Judd | Invest Financial Corporation other | Woodbury Financial Services, Inc. other | Other | Apr 2, 2009 | Dec 23, 2009 (265 d) |
| Evan Finnell Cole | Financial West Group other | Woodbury Financial Services, Inc. other | Other | Mar 23, 2009 | Mar 24, 2009 |
| Thomas Edward Fowler | Transamerica Financial Advisors, LLC other | Woodbury Financial Services, Inc. other | Other | Mar 18, 2009 | Mar 13, 2009 |
| Thomas Andrew Bryant | Morgan Stanley & Co. LLC unclassified | Woodbury Financial Services, Inc. other | Other | Mar 16, 2009 | Mar 13, 2009 |
| Christopher Lee Oswalt | Raymond James & Associates, Inc. national BD | Woodbury Financial Services, Inc. other | Other | Mar 5, 2009 | Sep 11, 2013 (1651 d) |
| Michael David Tuazon | Msi Financial Services, Inc. other | Woodbury Financial Services, Inc. other | Other | Mar 4, 2009 | Apr 30, 2009 (57 d) |
| Thomas Edward Tilton | Janney Montgomery Scott LLC other | Woodbury Financial Services, Inc. other | Other | Mar 2, 2009 | Feb 10, 2009 |
| Jeffrey D Casale | Putnam Investment Management, LLC other | Woodbury Financial Services, Inc. other | Other | Feb 18, 2009 | Mar 29, 2017 (2961 d) |
| Bryan Jay Henderson | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Woodbury Financial Services, Inc. other | Other | Feb 17, 2009 | Oct 1, 2009 (226 d) |
| Michael Martin Busch | Janney Montgomery Scott LLC other | Woodbury Financial Services, Inc. BD affiliated | Other | Feb 5, 2009 | Apr 22, 2021 (4459 d) |
| James Edward Smith | Fsc Securities Corporation other | Woodbury Financial Services, Inc. other | Other | Feb 3, 2009 | Feb 3, 2009 |
| Nick Elovitz | U.S. Bancorp Advisors, LLC other | Woodbury Financial Services, Inc. other | Other | Jan 15, 2009 | Apr 20, 2009 (95 d) |
| Kevin James Leblanc | Securian Financial Services, Inc. other | Woodbury Financial Services, Inc. other | Other | Jan 5, 2009 | Jan 7, 2009 |
| Russell Scott Hale | Securian Financial Services, Inc. other | Woodbury Financial Services, Inc. other | Other | Jan 5, 2009 | Jan 5, 2009 |
| Lisa Ann Bellamy | Securian Financial Services, Inc. other | Woodbury Financial Services, Inc. other | Other | Jan 5, 2009 | Jan 30, 2009 |
| Charles Edward Earle | Securian Financial Services, Inc. other | Woodbury Financial Services, Inc. other | Other | Jan 5, 2009 | Jan 30, 2009 |
| Scott Eric Beaty | Securian Financial Services, Inc. other | Woodbury Financial Services, Inc. other | Other | Jan 5, 2009 | Feb 4, 2009 |
| Charles David Roberts | Tca Financial Group, LLC unclassified | Woodbury Financial Services, Inc. other | Other | Jan 2, 2009 | Jan 14, 2009 |
| Anne Maleva Chamberlain | Natcity Investments, Inc. unclassified | Woodbury Financial Services, Inc. other | Other | Jan 2, 2009 | Jan 5, 2009 |
| Cathy Irene Jackson-Gent | Cetera Advisor Networks LLC other | Woodbury Financial Services, Inc. other | Other | Dec 31, 2008 | Jan 8, 2009 |
| James Paul Ball | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Woodbury Financial Services, Inc. other | Other | Dec 31, 2008 | Feb 13, 2009 (44 d) |
| Brent Gaylon Burr | Avantax Advisory Services other | Woodbury Financial Services, Inc. other | Other | Dec 23, 2008 | Dec 23, 2008 |
| Jayson Hans Jay | Citigroup Global Markets Inc. other | Woodbury Financial Services, Inc. other | Other | Dec 22, 2008 | Dec 17, 2008 |
| Kurt Alan Strullmyer | Principal Securities, Inc. other | Woodbury Financial Services, Inc. other | Other | Dec 19, 2008 | Dec 16, 2008 |
| John R Hack | Nationwide Securities, LLC no RAUM | Woodbury Financial Services, Inc. other | Other | Dec 19, 2008 | Dec 18, 2008 |
| Michael Patrick Killeen | Fsc Securities Corporation other | Woodbury Financial Services, Inc. other | Other | Dec 17, 2008 | Dec 15, 2008 |
| Michael William Olff | Fsc Securities Corporation other | Woodbury Financial Services, Inc. other | Other | Dec 17, 2008 | Dec 15, 2008 |
| Vincent Brent Davis | Ssn Advisory, Inc. other | Woodbury Financial Services, Inc. other | Other | Dec 16, 2008 | Jan 20, 2009 (35 d) |
| Darien Sherman Lewie | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Woodbury Financial Services, Inc. other | Other | Dec 16, 2008 | Dec 12, 2008 |
| Joseph Mario Gavazza | Fsc Securities Corporation other | Woodbury Financial Services, Inc. other | Other | Dec 16, 2008 | Dec 15, 2008 |
| Scott Alan Ryan | UBS Financial Services Inc. wirehouse | Woodbury Financial Services, Inc. other | Other | Dec 8, 2008 | Dec 10, 2008 |
| David Harlan Mitchler | Thrivent Investment Management Inc. other | Woodbury Financial Services, Inc. other | Other | Dec 3, 2008 | Dec 5, 2008 |
| Lauchlin Vernon Hines | Cuna Brokerage Services, Inc. other | Woodbury Financial Services, Inc. other | Other | Nov 4, 2008 | Nov 6, 2008 |
| Jonathan A Stoft | Ameriprise Financial Services, LLC national BD | Woodbury Financial Services, Inc. other | Other | Nov 4, 2008 | Jun 1, 2009 (209 d) |
| Francois Sam Marcus | Wamu Investments, Inc. unclassified | Woodbury Financial Services, Inc. other | Other | Oct 16, 2008 | Nov 17, 2008 (32 d) |
| Judith Lohr Mohr | Esi Financial Advisors other | Woodbury Financial Services, Inc. other | Other | Oct 15, 2008 | Oct 10, 2008 |
| Vivian Yu Rong Chu | New England Securities Corporation other | Woodbury Financial Services, Inc. other | Other | Sep 30, 2008 | Oct 3, 2008 |
| Thomas Angelo Manno | Msi Financial Services, Inc. other | Woodbury Financial Services, Inc. BD affiliated | Other | Sep 29, 2008 | Apr 1, 2019 (3836 d) |
| David Jay Vogel | Raymond James Financial Services, Inc. unclassified | Woodbury Financial Services, Inc. other | Other | Sep 23, 2008 | Sep 30, 2008 |
| Scott Richard Werdebaugh | Msi Financial Services, Inc. other | Woodbury Financial Services, Inc. other | Other | Sep 12, 2008 | Sep 17, 2008 |
| James Rey Belyeu | American General Securities Incorporated unclassified | Woodbury Financial Services, Inc. other | Other | Sep 9, 2008 | Sep 25, 2008 |
| James Jay Mooreland | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Woodbury Financial Services, Inc. other | Other | Sep 8, 2008 | Sep 2, 2008 |
| Victor Andrew Sebastian | American General Securities Incorporated unclassified | Woodbury Financial Services, Inc. other | Other | Aug 28, 2008 | Sep 4, 2008 |