| Jorge Abel Romero | J.P. Morgan Securities LLC wirehouse | U.S. Bancorp Investments, Inc. other | Other | Mar 19, 2015 | Mar 6, 2015 |
| Brian James Venn | J.P. Morgan Securities LLC wirehouse | U.S. Bancorp Investments, Inc. other | Other | Mar 11, 2015 | Apr 7, 2015 |
| Brad Leroy Sharp | Cetera Investment Advisers LLC other | U.S. Bancorp Investments, Inc. other | Other | Mar 4, 2015 | Mar 2, 2015 |
| Fred Chun Lee | Wells Fargo Advisors wirehouse | U.S. Bancorp Investments, Inc. other | Other | Feb 6, 2015 | Feb 10, 2015 |
| Kelly J France | Mainstreet Capital Management unclassified | U.S. Bancorp Investments, Inc. other | Other | Feb 3, 2015 | Jan 27, 2015 |
| Maria Pilar Cusi Pettys | Comerica Securities other | U.S. Bancorp Investments, Inc. other | Other | Jan 23, 2015 | Apr 9, 2015 (76 d) |
| Barbara Ann Barnhart | J.P. Morgan Securities LLC wirehouse | U.S. Bancorp Investments, Inc. other | Other | Jan 15, 2015 | Jan 12, 2015 |
| Danielle Lynn Yingst | J.P. Morgan Securities LLC wirehouse | U.S. Bancorp Investments, Inc. other | Other | Jan 15, 2015 | Jan 12, 2015 |
| Andrew Croman | Pnc Wealth Management other | U.S. Bancorp Investments, Inc. other | Other | Jan 14, 2015 | Jan 20, 2015 |
| Clinton Joseph Knopp | Edward Jones national BD | U.S. Bancorp Investments, Inc. other | Other | Jan 6, 2015 | Jan 5, 2015 |
| Bailey Helen Dorrington | Securian Financial Services, Inc. other | U.S. Bancorp Investments, Inc. other | Other | Dec 18, 2014 | Mar 7, 2016 (445 d) |
| Charles F Fellows | Windsor Capital Advisors, LLC unclassified | U.S. Bancorp Investments, Inc. other | Other | Dec 1, 2014 | Dec 1, 2014 |
| Agatha H Lidzbarski | RBC Capital Markets, LLC national BD | U.S. Bancorp Investments, Inc. other | Other | Nov 25, 2014 | Nov 13, 2014 |
| Benjamin Jay Lundquist | Strategic Advisers LLC national BD | U.S. Bancorp Investments, Inc. other | Other | Oct 27, 2014 | Aug 2, 2017 (1010 d) |
| Edward Jason Walter | Wells Fargo Advisors wirehouse | U.S. Bancorp Investments, Inc. other | Other | Sep 12, 2014 | Sep 23, 2014 |
| Tania Cristina Licata | Pnc Wealth Management other | U.S. Bancorp Investments, Inc. other | Other | Sep 8, 2014 | Sep 15, 2014 |
| Allison Carla Schramm | Northwestern Mutual Investment Services,LLC other | U.S. Bancorp Investments, Inc. other | Other | Sep 5, 2014 | Sep 12, 2014 |
| George Steve Alkhoury | LPL Financial LLC other | U.S. Bancorp Investments, Inc. other | Other | Sep 5, 2014 | Sep 8, 2014 |
| David Peter Kopischke | UBS Financial Services Inc. wirehouse | U.S. Bancorp Investments, Inc. other | Other | Sep 4, 2014 | Apr 15, 2016 (589 d) |
| Laura Kay Peterson | Citigroup Global Markets Inc. other | U.S. Bancorp Investments, Inc. other | Other | Aug 7, 2014 | Aug 22, 2014 |
| Jeffrey James Philipsek | Ameriprise Financial Services, LLC national BD | U.S. Bancorp Investments, Inc. other | Other | Aug 1, 2014 | Dec 10, 2014 (131 d) |
| Theodore William Hartzler | Stifel, Nicolaus & Company, Incorporated national BD | U.S. Bancorp Investments, Inc. other | Other | Jul 30, 2014 | Jul 28, 2014 |
| Mark Thomas Vihstadt | Wells Fargo Advisors wirehouse | U.S. Bancorp Investments, Inc. other | Other | Jul 18, 2014 | Jul 17, 2014 |
| Mark Russell Johnson | Thrivent Investment Management Inc. other | U.S. Bancorp Investments, Inc. other | Other | Jul 16, 2014 | Feb 4, 2015 (203 d) |
| Michael Joseph Powers | Citizens Securities, Inc. other | U.S. Bancorp Investments, Inc. other | Other | Jun 23, 2014 | Jun 20, 2014 |
| Carla Ann Reilly | Citizens Securities, Inc. other | U.S. Bancorp Investments, Inc. other | Other | Jun 23, 2014 | Jun 20, 2014 |
| William Garland Lacey | Citizens Securities, Inc. other | U.S. Bancorp Investments, Inc. other | Other | Jun 23, 2014 | Jun 20, 2014 |
| Nick Panos Stavropoulos | Citizens Securities, Inc. other | U.S. Bancorp Investments, Inc. other | Other | Jun 23, 2014 | Jun 20, 2014 |
| Elia Michael Ghanem | Citizens Securities, Inc. other | U.S. Bancorp Investments, Inc. other | Other | Jun 21, 2014 | Jun 20, 2014 |
| Robert Thomas Stoltz | Citizens Securities, Inc. other | U.S. Bancorp Investments, Inc. other | Other | Jun 21, 2014 | Jun 20, 2014 |
| Merima Ramushi | Citizens Securities, Inc. other | U.S. Bancorp Investments, Inc. other | Other | Jun 21, 2014 | Jul 16, 2014 |
| Prashant Thakker | Citizens Securities, Inc. other | U.S. Bancorp Investments, Inc. other | Other | Jun 21, 2014 | Jun 20, 2014 |
| Piero Pannarale | Citizens Securities, Inc. other | U.S. Bancorp Investments, Inc. other | Other | Jun 21, 2014 | Jun 20, 2014 |
| Kelly Jane Romano | Citizens Securities, Inc. other | U.S. Bancorp Investments, Inc. other | Other | Jun 21, 2014 | Jun 20, 2014 |
| David Malcolm Lee Harris | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | U.S. Bancorp Investments, Inc. other | Other | Jun 16, 2014 | Jun 17, 2014 |
| Christina Eloise Clark | Associated Investment Services, Inc. other | U.S. Bancorp Investments, Inc. other | Other | Jun 13, 2014 | Jun 12, 2014 |
| Paul Michael Denne | Msi Financial Services, Inc. other | U.S. Bancorp Investments, Inc. other | Other | Jun 10, 2014 | Jun 9, 2014 |
| Dominic Roti | J.P. Morgan Securities LLC wirehouse | U.S. Bancorp Investments, Inc. other | Other | Jun 3, 2014 | May 28, 2014 |
| Erik William Zipp | Thrivent Investment Management Inc. other | U.S. Bancorp Investments, Inc. other | Other | May 30, 2014 | Jul 7, 2014 (38 d) |
| Eric Curtis Sporing | Edward Jones national BD | U.S. Bancorp Investments, Inc. other | Other | May 30, 2014 | May 30, 2014 |
| Allen Spencer Kim | Wells Fargo Advisors wirehouse | U.S. Bancorp Investments, Inc. other | Other | May 14, 2014 | May 9, 2014 |
| Ana Jelena Simicic | Morgan Stanley wirehouse | U.S. Bancorp Investments, Inc. other | Other | May 1, 2014 | Apr 29, 2014 |
| Jeffrey Lyle Blackburn | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | U.S. Bancorp Investments, Inc. other | Other | Apr 29, 2014 | Apr 25, 2014 |
| Misty Lanae Sturgill | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | U.S. Bancorp Investments, Inc. other | Other | Apr 29, 2014 | Apr 25, 2014 |
| Amy Foo | Morgan Stanley wirehouse | U.S. Bancorp Investments, Inc. other | Other | Apr 24, 2014 | May 19, 2014 |
| Kelly Todd Kortman | J.P. Morgan Securities LLC wirehouse | U.S. Bancorp Investments, Inc. other | Other | Apr 16, 2014 | May 21, 2014 (35 d) |
| Brent Thomas Huckabee | Edward Jones national BD | U.S. Bancorp Investments, Inc. other | Other | Apr 11, 2014 | Apr 8, 2014 |
| Wade Anthony Scherer | Td Ameritrade, Inc. no RAUM | U.S. Bancorp Investments, Inc. other | Other | Apr 8, 2014 | Apr 23, 2014 |
| Wade Anthony Scherer | Td Ameritrade Investment Management, LLC other | U.S. Bancorp Investments, Inc. other | Other | Apr 8, 2014 | Apr 23, 2014 |
| Joseph Dominic Lombardo | Pnc Wealth Management other | U.S. Bancorp Investments, Inc. other | Other | Mar 20, 2014 | Apr 24, 2014 (35 d) |
| Robert Eugene Norman | Raymond James Financial Services Advisors, Inc other | U.S. Bancorp Investments, Inc. other | Other | Feb 13, 2014 | Feb 11, 2014 |
| Ronnie John Soto | Wells Fargo Advisors wirehouse | U.S. Bancorp Investments, Inc. other | Other | Feb 4, 2014 | Feb 10, 2014 |
| Tracy Lee Edwardsen | J.P. Morgan Securities LLC wirehouse | U.S. Bancorp Investments, Inc. other | Other | Feb 3, 2014 | Feb 4, 2014 |
| Rick A Hutchison | Wells Fargo Advisors wirehouse | U.S. Bancorp Investments, Inc. other | Other | Jan 7, 2014 | Oct 6, 2014 (272 d) |
| Gus James Marzavas | Pnc Wealth Management other | U.S. Bancorp Investments, Inc. other | Other | Jan 6, 2014 | Jan 6, 2014 |
| Justin Tracy Southwell | Wells Fargo Advisors wirehouse | U.S. Bancorp Investments, Inc. other | Other | Jan 2, 2014 | Aug 1, 2016 (942 d) |
| Matthew Sorenson | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | U.S. Bancorp Investments, Inc. other | Other | Jan 2, 2014 | Dec 23, 2013 |
| Joshua Ramar Ready | Ameriprise Financial Services, LLC national BD | U.S. Bancorp Investments, Inc. other | Other | Dec 26, 2013 | Dec 18, 2013 |
| Tony C Bright | Edward Jones national BD | U.S. Bancorp Investments, Inc. other | Other | Dec 17, 2013 | Dec 16, 2013 |
| Keith Leslie Hendricks | Edward Jones national BD | U.S. Bancorp Investments, Inc. other | Other | Dec 10, 2013 | Dec 9, 2013 |