| David P Walker | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Park Avenue Securities LLC other | Other | Feb 6, 2013 | Jun 14, 2013 (128 d) |
| Brent Christopher Eugenides | MML Investors Services, LLC other | Park Avenue Securities LLC other | Other | Feb 1, 2013 | Mar 7, 2014 (399 d) |
| Jason P Watson | Equitable Advisors, LLC national BD | Park Avenue Securities LLC other | Other | Jan 24, 2013 | Apr 30, 2013 (96 d) |
| David Y Bubb | Td Ameritrade, Inc. no RAUM | Park Avenue Securities LLC other | Other | Jan 22, 2013 | Sep 11, 2015 (962 d) |
| David Y Bubb | Td Ameritrade Investment Management, LLC other | Park Avenue Securities LLC other | Other | Jan 22, 2013 | Sep 11, 2015 (962 d) |
| Justin Holley | Equitable Advisors, LLC national BD | Park Avenue Securities LLC other | Other | Jan 14, 2013 | Feb 27, 2013 (44 d) |
| Jeffrey I Ward | MML Investors Services, LLC other | Park Avenue Securities LLC other | Other | Jan 10, 2013 | Feb 4, 2013 |
| Steven Jay London | MML Investors Services, LLC other | Park Avenue Securities LLC other | Other | Dec 31, 2012 | Jul 19, 2013 (200 d) |
| Patrick Curtis Thomas | New England Securities Corporation other | Park Avenue Securities LLC other | Other | Dec 19, 2012 | Jan 25, 2013 (37 d) |
| Marvin Chad Stockett | New England Securities Corporation other | Park Avenue Securities LLC other | Other | Dec 19, 2012 | Jan 25, 2013 (37 d) |
| Brent T Conway | LPL Financial LLC other | Park Avenue Securities LLC other | Other | Dec 17, 2012 | Jan 11, 2013 |
| Cody Dolly | Northwestern Mutual Investment Services,LLC other | Park Avenue Securities LLC BD affiliated | Other | Dec 3, 2012 | Aug 5, 2025 (4628 d) |
| Robert Alan Lockery | Equitable Advisors, LLC national BD | Park Avenue Securities LLC other | Other | Nov 20, 2012 | May 31, 2013 (192 d) |
| Michael Tilton | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Park Avenue Securities LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Nov 19, 2012 | May 20, 2026 (4930 d) |
| Kevin D Thompson | Td Ameritrade Investment Management, LLC other | Park Avenue Securities LLC other | Other | Nov 19, 2012 | Feb 4, 2013 (77 d) |
| Kevin D Thompson | Td Ameritrade, Inc. no RAUM | Park Avenue Securities LLC other | Other | Nov 19, 2012 | Feb 4, 2013 (77 d) |
| Phillip J Kostantas | Morgan Stanley wirehouse | Park Avenue Securities LLC other | Other | Nov 5, 2012 | Oct 16, 2014 (710 d) |
| Xueling Zhang | Ameriprise Financial Services, LLC national BD | Park Avenue Securities LLC other | Other | Nov 1, 2012 | Nov 21, 2013 (385 d) |
| Thomas J Bellaro | Barclays Capital Inc. other | Park Avenue Securities LLC other | Other | Oct 11, 2012 | Nov 21, 2012 (41 d) |
| Cliff Carrigan Sulcer | Southernsun Asset Management LLC other | Park Avenue Securities LLC other | Other | Oct 11, 2012 | Sep 30, 2013 (354 d) |
| Robin Michael Walsh | Hornor, Townsend & Kent, LLC other | Park Avenue Securities LLC other | Other | Oct 11, 2012 | Oct 22, 2012 |
| James Walter Quaider | J.P. Morgan Securities LLC wirehouse | Park Avenue Securities LLC other | Other | Oct 9, 2012 | Feb 25, 2013 (139 d) |
| Tim Juei-Ting Kao | Msi Financial Services, Inc. other | Park Avenue Securities LLC other | Other | Oct 5, 2012 | Dec 21, 2012 (77 d) |
| Jeffrey Luftig | Northwestern Mutual Investment Services,LLC other | Park Avenue Securities LLC other | Other | Oct 2, 2012 | Jul 24, 2013 (295 d) |
| Louis A Perino | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Park Avenue Securities LLC other | Other | Sep 25, 2012 | Dec 3, 2012 (69 d) |
| Derek Nels Dukart | Grange Capital, LLC other | Park Avenue Securities LLC other | Other | Sep 21, 2012 | Oct 10, 2013 (384 d) |
| Anthony Joseph Ratkiewicz | Wells Fargo Advisors wirehouse | Park Avenue Securities LLC other | Other | Sep 11, 2012 | Apr 19, 2013 (220 d) |
| Nicholas William Greiner | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Park Avenue Securities LLC other | Other | Sep 4, 2012 | Jan 9, 2013 (127 d) |
| Cory Edwin Shepherd | Msi Financial Services, Inc. other | Park Avenue Securities LLC other | Other | Aug 28, 2012 | Apr 11, 2013 (226 d) |
| Richard Esposito | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Park Avenue Securities LLC other | Other | Aug 24, 2012 | Mar 6, 2015 (924 d) |
| Christopher T Long | Northwestern Mutual Investment Services,LLC other | Park Avenue Securities LLC other | Other | Aug 22, 2012 | Sep 4, 2012 |
| Gregg K Helman | Northwestern Mutual Investment Services,LLC other | Park Avenue Securities LLC other | Other | Aug 21, 2012 | Sep 4, 2012 |
| Jay M Bartley | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Park Avenue Securities LLC other | Other | Aug 14, 2012 | Dec 16, 2015 (1219 d) |
| Brett M Amendola | MML Investors Services, LLC other | Park Avenue Securities LLC other | Other | Jul 24, 2012 | Sep 11, 2012 (49 d) |
| Thomas P Leinwol | Morgan Stanley wirehouse | Park Avenue Securities LLC other | Other | Jul 3, 2012 | Jul 20, 2012 |
| Charles Michael Matisi | MML Investors Services, LLC other | Park Avenue Securities LLC other | Other | Jul 3, 2012 | Nov 16, 2012 (136 d) |
| Arthur Matthew Chen | Pruco Securities, LLC other | Park Avenue Securities LLC other | Other | Jul 2, 2012 | Sep 10, 2012 (70 d) |
| Larry Jamie Mcgrory | Hornor, Townsend & Kent, LLC other | Park Avenue Securities LLC other | Other | Jun 29, 2012 | Aug 22, 2012 (54 d) |
| Jonathan Andrew Heras | Equitable Advisors, LLC national BD | Park Avenue Securities LLC other | Other | Jun 22, 2012 | Nov 7, 2013 (503 d) |
| Robert Frederick Schimeneck | Northwestern Mutual Investment Services,LLC other | Park Avenue Securities LLC other | Other | Jun 21, 2012 | Sep 27, 2012 (98 d) |
| Robert D Bukacek | MML Investors Services, LLC other | Park Avenue Securities LLC other | Other | Jun 19, 2012 | Nov 5, 2013 (504 d) |
| Nisheet Patel | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Park Avenue Securities LLC other | Other | Jun 18, 2012 | Jul 20, 2012 (32 d) |
| Michael Richard Tormey | Equitable Advisors, LLC national BD | Park Avenue Securities LLC other | Other | Jun 7, 2012 | Jul 23, 2012 (46 d) |
| Joanne Marie Natale | Woodbury Financial Services, Inc. other | Park Avenue Securities LLC other | Other | May 31, 2012 | Aug 16, 2012 (77 d) |
| Nathan Cocco | MML Investors Services, LLC other | Park Avenue Securities LLC other | Other | May 24, 2012 | Jul 6, 2012 (43 d) |
| Tey H Kim | Msi Financial Services, Inc. other | Park Avenue Securities LLC other | Other | May 10, 2012 | Apr 2, 2014 (692 d) |
| Thomas B Ryan | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Park Avenue Securities LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | May 9, 2012 | Jun 2, 2021 (3311 d) |
| Benjamin M Teichman | Waddell & Reed other | Park Avenue Securities LLC other | Other | May 7, 2012 | Oct 22, 2012 (168 d) |
| Eileen M Rice | MML Investors Services, LLC other | Park Avenue Securities LLC other | Other | Apr 25, 2012 | Jun 1, 2012 (37 d) |
| Jonathan Richard Bath | Oppenheimer & Co. Inc. other | Park Avenue Securities LLC other | Other | Apr 17, 2012 | May 11, 2012 |
| John A Ware | Eagle Strategies LLC other | Park Avenue Securities LLC other | Other | Apr 5, 2012 | May 2, 2012 |
| George D Lehmann | New England Securities Corporation other | Park Avenue Securities LLC other | Other | Apr 5, 2012 | Jul 17, 2012 (103 d) |
| John Mark Desarno | Msi Financial Services, Inc. other | Park Avenue Securities LLC other | Other | Mar 23, 2012 | Apr 30, 2012 (38 d) |
| Corey Lamont Sneed | Pruco Securities, LLC other | Park Avenue Securities LLC other | Other | Mar 16, 2012 | May 4, 2012 (49 d) |
| Monika Roy Crossley | Morgan Keegan & Company, LLC other | Park Avenue Securities LLC other | Other | Mar 5, 2012 | May 10, 2012 (66 d) |
| Ronald Lee Geer | LPL Financial LLC other | Park Avenue Securities LLC other | Other | Mar 1, 2012 | Apr 11, 2012 (41 d) |
| Robert Stewart Stauffer | Barclays Capital Inc. other | Park Avenue Securities LLC other | Other | Feb 17, 2012 | Oct 2, 2013 (593 d) |
| Michael A Thompson | MML Investors Services, LLC other | Park Avenue Securities LLC other | Other | Jan 31, 2012 | Feb 24, 2012 |
| Tony A Montini | MML Investors Services, LLC other | Park Avenue Securities LLC other | Other | Jan 31, 2012 | Feb 28, 2012 |
| Misty M Weltzien | Northwestern Mutual Investment Services,LLC other | Park Avenue Securities LLC other | Other | Jan 31, 2012 | Oct 22, 2012 (265 d) |