| Anthony Steven Didonato | Morgan Stanley wirehouse | Janney Montgomery Scott LLC other | Other | Dec 31, 2012 | Oct 10, 2014 (648 d) |
| Richard Manansala Manankil | Raymond James & Associates, Inc. national BD | Janney Montgomery Scott LLC other | Other | Nov 16, 2012 | Nov 26, 2012 |
| James Sean Lebaron | Oppenheimer & Co. Inc. other | Janney Montgomery Scott LLC other | Other | Nov 13, 2012 | Oct 19, 2012 |
| Ethan David Lindbloom | RBC Capital Markets, LLC national BD | Janney Montgomery Scott LLC other | Other | Nov 8, 2012 | Oct 12, 2012 |
| Ernest Howard Stanley | Morgan Stanley wirehouse | Janney Montgomery Scott LLC other | Other | Oct 17, 2012 | Sep 27, 2012 |
| Thayer Rockwell Potter | Morgan Stanley wirehouse | Janney Montgomery Scott LLC other | Other | Oct 15, 2012 | Sep 25, 2012 |
| Andrew Milton Kistler | Stifel, Nicolaus & Company, Incorporated national BD | Janney Montgomery Scott LLC other | Other | Oct 5, 2012 | Sep 27, 2012 |
| Geddings Hardy Crawford | Morgan Stanley wirehouse | Janney Montgomery Scott LLC other | Other | Oct 5, 2012 | Sep 28, 2012 |
| Geoffery Keith Forsyth | Morgan Stanley wirehouse | Janney Montgomery Scott LLC other | Other | Oct 5, 2012 | Sep 28, 2012 |
| Steven T Ries | UBS Financial Services Inc. wirehouse | Janney Montgomery Scott LLC other | Other | Aug 24, 2012 | Aug 16, 2012 |
| Jeffrey Paul Genkinger | Federated Global Investment Management Corp. other | Janney Montgomery Scott LLC other | Other | Aug 24, 2012 | Sep 4, 2012 |
| Jeffrey Joseph Smith | Morgan Stanley wirehouse | Janney Montgomery Scott LLC other | Other | Aug 16, 2012 | Aug 8, 2012 |
| Jack Zotti | Morgan Stanley wirehouse | Janney Montgomery Scott LLC other | Other | Aug 1, 2012 | Jul 23, 2012 |
| Steven Welles Edwards | Morgan Keegan & Company, LLC other | Janney Montgomery Scott LLC other | Other | Jul 20, 2012 | Aug 6, 2012 |
| Louis Ralph Petrillo | 1914 Advisors other | Janney Montgomery Scott LLC other | Other | Jul 5, 2012 | Dec 2, 2013 (515 d) |
| Cynthia Elise Morris | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Janney Montgomery Scott LLC other | Other | Jun 25, 2012 | Feb 6, 2015 (956 d) |
| David Angel Silva | Bny Mellon Securities Corporation other | Janney Montgomery Scott LLC other | Other | Jun 22, 2012 | Jun 22, 2012 |
| Joseph Charles Lombardo | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Janney Montgomery Scott LLC other | Other | Jun 12, 2012 | Jun 8, 2012 |
| Thomas Andrew Graham | Morgan Stanley wirehouse | Janney Montgomery Scott LLC other | Other | Jun 5, 2012 | May 30, 2012 |
| Michael John Halloran | Bpu Investment Management, Inc. other | Janney Montgomery Scott LLC other | Other | May 29, 2012 | May 30, 2012 |
| Mark Crosby Ward | Morgan Stanley wirehouse | Janney Montgomery Scott LLC other | Other | May 2, 2012 | Apr 26, 2012 |
| Donna Gail Smothermon | Morgan Keegan & Company, LLC other | Janney Montgomery Scott LLC other | Other | Apr 12, 2012 | Apr 16, 2012 |
| Douglass F Ergood | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Janney Montgomery Scott LLC other | Other | Mar 26, 2012 | Mar 23, 2012 |
| Salvatore J Tocco | Dime Investment Services unclassified | Janney Montgomery Scott LLC other | Other | Mar 21, 2012 | Mar 14, 2012 |
| Bonnie Katherine Roberts | Morgan Stanley wirehouse | Janney Montgomery Scott LLC other | Other | Mar 20, 2012 | Mar 16, 2012 |
| Maryann Barrett | Morgan Stanley wirehouse | Janney Montgomery Scott LLC other | Other | Mar 20, 2012 | Mar 16, 2012 |
| Peter Edwin Sampson | Morgan Stanley wirehouse | Janney Montgomery Scott LLC other | Other | Mar 20, 2012 | Mar 16, 2012 |
| Robert Guido Battista | Citigroup Global Markets Inc. other | Janney Montgomery Scott LLC other | Other | Mar 8, 2012 | Feb 29, 2012 |
| Peter Haughton Sargent | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Janney Montgomery Scott LLC other | Other | Feb 24, 2012 | Feb 23, 2012 |
| Mitchel Stuart Penn | Clearbridge Investments other | Janney Montgomery Scott LLC other | Other | Feb 24, 2012 | Apr 19, 2012 (55 d) |
| Christine M Lindsay | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Janney Montgomery Scott LLC other | Other | Feb 24, 2012 | Feb 23, 2012 |
| Shawn Christopher Sauerwein | Stifel, Nicolaus & Company, Incorporated national BD | Janney Montgomery Scott LLC other | Other | Jan 30, 2012 | Jan 30, 2012 |
| Thomas Anthony Arvanites | Morgan Stanley wirehouse | Janney Montgomery Scott LLC other | Other | Jan 27, 2012 | Jan 24, 2012 |
| Michael Adam Ewanouski | Wells Fargo Advisors wirehouse | Janney Montgomery Scott LLC other | Other | Jan 17, 2012 | May 17, 2013 (486 d) |
| Philip Hunter Janney | Morgan Keegan & Company, LLC other | Janney Montgomery Scott LLC other | Other | Dec 16, 2011 | Dec 15, 2011 |
| James Jeffrey Dornan | Morgan Keegan & Company, LLC other | Janney Montgomery Scott LLC other | Other | Nov 14, 2011 | Nov 11, 2011 |
| Alan John Chapman | Mercadien Asset Management, LLC other | Janney Montgomery Scott LLC other | Other | Nov 10, 2011 | Jan 24, 2012 (75 d) |
| Nadia Regina Sturgill | Wells Fargo Advisors wirehouse | Janney Montgomery Scott LLC other | Other | Oct 7, 2011 | Oct 11, 2011 |
| Patrick Richard Noonan | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Janney Montgomery Scott LLC other | Other | Sep 22, 2011 | Sep 19, 2011 |
| Gregory Romatzick | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Janney Montgomery Scott LLC other | Other | Sep 22, 2011 | Sep 19, 2011 |
| Erin Marie Jagusak | Lincoln Investment other | Janney Montgomery Scott LLC other | Other | Sep 12, 2011 | Sep 12, 2011 |
| James Alexander Baber | Scott & Stringfellow, LLC other | Janney Montgomery Scott LLC other | Other | Jul 18, 2011 | Jul 7, 2011 |
| Robert Francis Clark | Wells Fargo Advisors wirehouse | Janney Montgomery Scott LLC other | Other | May 2, 2011 | Apr 28, 2011 |
| Anne Marie Tobyne | Wells Fargo Advisors wirehouse | Janney Montgomery Scott LLC other | Other | May 2, 2011 | Apr 28, 2011 |
| Jason M Phillips | Wells Fargo Advisors wirehouse | Janney Montgomery Scott LLC other | Other | May 2, 2011 | May 2, 2011 |
| Alan Michael Rhode | Morgan Stanley wirehouse | Janney Montgomery Scott LLC other | Other | Apr 11, 2011 | Apr 27, 2011 |
| Bradley Keith Adams | Morgan Stanley wirehouse | Janney Montgomery Scott LLC other | Other | Mar 24, 2011 | Mar 11, 2011 |
| Michael Tommeraas | Morgan Stanley wirehouse | Janney Montgomery Scott LLC other | Other | Mar 24, 2011 | Mar 21, 2011 |
| Christine Hartman | Edward Jones national BD | Janney Montgomery Scott LLC other | Other | Jan 27, 2011 | Oct 11, 2012 (623 d) |
| James John Foley | Savant Wealth Management other | Janney Montgomery Scott LLC other | Other | Jan 5, 2011 | Jan 4, 2011 |
| Lawrence Lyons Orr | Morgan Stanley wirehouse | Janney Montgomery Scott LLC other | Other | Dec 22, 2010 | Dec 21, 2012 (730 d) |
| Melanie Edith Kregling | Stephens other | Janney Montgomery Scott LLC other | Other | Dec 14, 2010 | Dec 9, 2010 |
| Brian Thomas Obremski | Stephens other | Janney Montgomery Scott LLC other | Other | Dec 14, 2010 | Dec 9, 2010 |
| Alexandra Forte | Stephens other | Janney Montgomery Scott LLC other | Other | Dec 14, 2010 | Dec 9, 2010 |
| Charles Joseph Noble | Stephens other | Janney Montgomery Scott LLC other | Other | Dec 14, 2010 | Dec 10, 2010 |
| Albert John Makkay | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Janney Montgomery Scott LLC other | Other | Dec 9, 2010 | Dec 9, 2010 |
| Renee Dayna Barrett | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Janney Montgomery Scott LLC other | Other | Nov 30, 2010 | Dec 2, 2010 |
| Barry Keith Whalen | Morgan Stanley wirehouse | Janney Montgomery Scott LLC other | Other | Nov 22, 2010 | Nov 12, 2010 |
| Ronald Stanley Maslanka | Morgan Stanley wirehouse | Janney Montgomery Scott LLC other | Other | Nov 22, 2010 | Nov 12, 2010 |
| Amanda Medrow Myers | Elwood & Goetz other | Janney Montgomery Scott LLC BD affiliated | Other | Nov 4, 2010 | May 15, 2025 (5306 d) |