| Joseph David Wilcox | Pnc Wealth Management other | Citizens Securities, Inc. other | Other | May 19, 2016 | May 23, 2016 |
| Jeremy Matthew Draskovich | Pnc Wealth Management other | Citizens Securities, Inc. other | Other | May 19, 2016 | May 16, 2016 |
| Edward J. Pavel | Fifth Third Securities, Inc. other | Citizens Securities, Inc. other | Other | May 2, 2016 | Apr 25, 2016 |
| Frederick E Disbrow | Goldman Sachs Wealth Services, L.P. other | Citizens Securities, Inc. other | Other | Apr 22, 2016 | May 4, 2016 |
| Joseph Dominic Perna | Wells Fargo Advisors wirehouse | Citizens Securities, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Apr 19, 2016 | Aug 24, 2018 (857 d) |
| Kyle Patrick Hennessy | Pnc Wealth Management other | Citizens Securities, Inc. other | Other | Mar 29, 2016 | Mar 30, 2016 |
| William Alfred Haggard | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Citizens Securities, Inc. other | Other | Mar 24, 2016 | Mar 21, 2016 |
| Michael G Costa | Pnc Wealth Management other | Citizens Securities, Inc. other | Other | Mar 8, 2016 | Jun 3, 2016 (87 d) |
| Claudio Mario Mastroianni | M&T Securities, Inc. unclassified | Citizens Securities, Inc. other | Other | Mar 7, 2016 | Feb 22, 2016 |
| Stephen Mark Singmon | Charles Schwab & Co., Inc. national BD | Citizens Securities, Inc. other | Other | Mar 4, 2016 | Oct 26, 2016 (236 d) |
| Brian Robert Maitland | People'S Securities, Inc. other | Citizens Securities, Inc. other | Other | Mar 3, 2016 | Mar 23, 2016 |
| Stephen R Och | Td Ameritrade, Inc. no RAUM | Citizens Securities, Inc. other | Other | Feb 22, 2016 | Feb 23, 2016 |
| Stephen R Och | Td Ameritrade Investment Management, LLC other | Citizens Securities, Inc. other | Other | Feb 22, 2016 | Feb 23, 2016 |
| Jeffrey Mark Detwiler | LPL Financial LLC other | Citizens Securities, Inc. other | Other | Feb 3, 2016 | Jan 26, 2016 |
| Jason J Belyea | Santander Securities other | Citizens Securities, Inc. other | Other | Feb 2, 2016 | Jan 26, 2016 |
| Jeffrey Robert Utterback | Huntington Financial Advisors other | Citizens Securities, Inc. other | Other | Jan 14, 2016 | Jan 25, 2016 |
| Daniel R Callahan | Principal Securities, Inc. other | Citizens Securities, Inc. other | Other | Jan 11, 2016 | Jan 4, 2016 |
| Michael P Martin | M&T Securities, Inc. unclassified | Citizens Securities, Inc. other | Other | Jan 8, 2016 | Mar 24, 2016 (76 d) |
| James Walter Finlay | Pnc Wealth Management other | Citizens Securities, Inc. BD affiliated | Other | Jan 8, 2016 | Jan 6, 2020 (1459 d) |
| Peter Thomas Buttaro | Gradient Advisors, LLC other | Citizens Securities, Inc. other | Other | Dec 31, 2015 | Jul 28, 2016 (210 d) |
| Brandon M Cable | Cetera Investment Advisers LLC other | Citizens Securities, Inc. other | Other | Dec 28, 2015 | Jan 13, 2016 |
| Christian Fox O'Neill | Cetera Investment Advisers LLC other | Citizens Securities, Inc. other | Other | Dec 28, 2015 | Dec 22, 2015 |
| David Benjamin Bigger | LPL Financial LLC other | Citizens Securities, Inc. other | Other | Dec 18, 2015 | Jan 12, 2016 |
| Brendan Ryan Gallagher | Edward Jones national BD | Citizens Securities, Inc. other | Other | Dec 17, 2015 | Jan 25, 2016 (39 d) |
| Joel Michael Michalek | LPL Financial LLC other | Citizens Securities, Inc. other | Other | Dec 3, 2015 | Dec 18, 2015 |
| Paul David Brown | M&T Securities, Inc. unclassified | Citizens Securities, Inc. other | Other | Dec 1, 2015 | Dec 23, 2015 |
| John David Rishell | Pnc Wealth Management other | Citizens Securities, Inc. other | Other | Nov 25, 2015 | Jan 12, 2016 (48 d) |
| Salvatore Alfred Mondello | Eagle Strategies LLC other | Citizens Securities, Inc. other | Other | Nov 24, 2015 | Jan 6, 2016 (43 d) |
| Nicolas Souffrant | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Citizens Securities, Inc. other | Other | Nov 19, 2015 | Jan 7, 2016 (49 d) |
| Dena Mao | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Citizens Securities, Inc. other | Other | Nov 10, 2015 | Nov 4, 2015 |
| Anthony J Ranalli | Pnc Wealth Management other | Citizens Securities, Inc. other | Other | Nov 4, 2015 | Nov 9, 2015 |
| Jerime Michael Mordew | Equitable Advisors, LLC national BD | Citizens Securities, Inc. other | Other | Nov 3, 2015 | Nov 20, 2015 |
| Paul Louis Tiernan | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Citizens Securities, Inc. other | Other | Oct 30, 2015 | Sep 25, 2017 (696 d) |
| Stephen Eric Nichols | Securian Financial Services, Inc. other | Citizens Securities, Inc. other | Other | Oct 29, 2015 | Nov 12, 2015 |
| Jennifer Jo Vanadia | Pnc Wealth Management other | Citizens Securities, Inc. other | Other | Oct 29, 2015 | Nov 5, 2015 |
| Anne Marie Senerchia | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Citizens Securities, Inc. other | Other | Oct 20, 2015 | Dec 1, 2015 (42 d) |
| Robert A Martin | Strategic Advisers LLC national BD | Citizens Securities, Inc. other | Other | Oct 15, 2015 | Nov 3, 2015 |
| Stephanie Nichols Marcello | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Citizens Securities, Inc. other | Other | Oct 14, 2015 | Oct 27, 2015 |
| James Kendell Thompson | Fifth Third Securities, Inc. other | Citizens Securities, Inc. other | Other | Sep 14, 2015 | Jul 18, 2016 (308 d) |
| Kristin Nickerson | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Citizens Securities, Inc. other | Other | Sep 8, 2015 | Feb 12, 2016 (157 d) |
| Michael Leslie | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Citizens Securities, Inc. other | Other | Aug 27, 2015 | Sep 17, 2015 |
| Roberto Ricardo Rizza | Cuso Financial Services, L.P. other | Citizens Securities, Inc. other | Other | Aug 21, 2015 | Sep 11, 2015 |
| Rafael A. Svelti | Wells Fargo Advisors wirehouse | Citizens Securities, Inc. other | Other | Aug 19, 2015 | Mar 6, 2017 (565 d) |
| Mark Ragucci | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Citizens Securities, Inc. other | Other | Aug 17, 2015 | Dec 8, 2015 (113 d) |
| Brandon Joseph Fasenmyer | Pnc Wealth Management other | Citizens Securities, Inc. other | Other | Aug 14, 2015 | Nov 29, 2016 (473 d) |
| Francis J Aiello | Pnc Wealth Management other | Citizens Securities, Inc. other | Other | Aug 3, 2015 | Aug 13, 2015 |
| Kevin Halloran | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Citizens Securities, Inc. other | Other | Aug 3, 2015 | Aug 6, 2015 |
| Jo Ann Desmarteau-Trusnik | J.P. Morgan Securities LLC wirehouse | Citizens Securities, Inc. other | Other | Jul 28, 2015 | May 16, 2017 (658 d) |
| John R Tyers | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Citizens Securities, Inc. other | Other | Jul 28, 2015 | Jun 21, 2016 (329 d) |
| John Michael Holleran | Pnc Wealth Management other | Citizens Securities, Inc. other | Other | Jul 20, 2015 | Jul 24, 2015 |
| Keith Gordon Spencer | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Citizens Securities, Inc. other | Other | Jul 16, 2015 | Jul 17, 2015 |
| Melissa Cunningham | Huntington Financial Advisors other | Citizens Securities, Inc. other | Other | Jul 7, 2015 | Jul 10, 2015 |
| Mark Allen Davidson | M&T Securities, Inc. unclassified | Citizens Securities, Inc. other | Other | Jun 30, 2015 | Aug 14, 2015 (45 d) |
| Russell Anthony Kuchera | Wells Fargo Advisors wirehouse | Citizens Securities, Inc. other | Other | Jun 24, 2015 | Jul 2, 2015 |
| Dawn Kimberly Mullenax | Key Investment Services LLC other | Citizens Securities, Inc. other | Other | Jun 23, 2015 | Jul 6, 2015 |
| Danny M Benedetti | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Citizens Securities, Inc. other | Other | Jun 3, 2015 | Jun 3, 2015 |
| David Joseph Allon | Msi Financial Services, Inc. other | Citizens Securities, Inc. other | Other | Jun 1, 2015 | Jun 4, 2015 |
| David Joseph Allon | Firstrust Financial Advisors state registered | Citizens Securities, Inc. other | Other | Jun 1, 2015 | Jun 4, 2015 |
| Michael P Michaelson | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Citizens Securities, Inc. other | Other | Apr 29, 2015 | Aug 19, 2015 (112 d) |
| Brian J Bostancic | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Citizens Securities, Inc. other | Other | Apr 9, 2015 | Apr 3, 2015 |