| Gregory Allen Phillips | Veravest Investment Advisors, Inc. unclassified | Osaic Fa, Inc. other | Other | Dec 3, 2003 | Nov 12, 2004 (345 d) |
| John P. Galego | Veravest Investment Advisors, Inc. unclassified | Osaic Fa, Inc. other | Other | Dec 3, 2003 | Dec 12, 2003 |
| Sean Joseph Boylan | Veravest Investment Advisors, Inc. unclassified | Osaic Fa, Inc. other | Other | Dec 2, 2003 | Dec 12, 2003 |
| Bard Daniel Malovany | Advantage Capital Corporation unclassified | Osaic Fa, Inc. other | Other | Dec 2, 2003 | Dec 2, 2003 |
| Christopher Carl Cavallaro | Veravest Investment Advisors, Inc. unclassified | Osaic Fa, Inc. other | Other | Dec 1, 2003 | Dec 12, 2003 |
| John Orion Florence | Veravest Investment Advisors, Inc. unclassified | Osaic Fa, Inc. other | Other | Dec 1, 2003 | Dec 12, 2003 |
| Henry Stephen Dembowski | Veravest Investment Advisors, Inc. unclassified | Osaic Fa, Inc. other | Other | Dec 1, 2003 | Dec 12, 2003 |
| Marcus Allan Papajohn | Veravest Investment Advisors, Inc. unclassified | Osaic Fa, Inc. other | Other | Dec 1, 2003 | Dec 12, 2003 |
| Patrick Joseph Lynch | Veravest Investment Advisors, Inc. unclassified | Osaic Fa, Inc. other | Other | Nov 21, 2003 | Nov 17, 2003 |
| David Alexander Hertl | Banc One Securities Corporation unclassified | Osaic Fa, Inc. other | Other | Sep 25, 2003 | Nov 4, 2003 (40 d) |
| Billy Lynn Clark | Veravest Investment Advisors, Inc. unclassified | Osaic Fa, Inc. other | Other | Sep 23, 2003 | Sep 3, 2003 |
| David Van Ness Ogden | Citigroup Global Markets Inc. other | Osaic Fa, Inc. other | Other | Sep 12, 2003 | Sep 4, 2003 |
| Robert J. Marcinek | Olson Mobeck Investment Advisors, Inc unclassified | Osaic Fa, Inc. other | Other | Sep 9, 2003 | Jan 9, 2003 |
| Christina Takako Bauer-Dobias | Morgan Stanley Dw Inc. unclassified | Osaic Fa, Inc. other | Other | Sep 5, 2003 | Sep 28, 2004 (389 d) |
| Phong Xuan Nguyen | Wells Fargo Advisors wirehouse | Osaic Fa, Inc. other | Other | Aug 20, 2003 | Sep 4, 2003 |
| John James Watson | Quick & Reilly, Inc. unclassified | Osaic Fa, Inc. other | Other | Aug 7, 2003 | Oct 17, 2003 (71 d) |
| Paul Homer Massey | Independent Advisers Group Corp other | Osaic Fa, Inc. other | Other | Jul 16, 2003 | Jun 26, 2003 |
| Jonathan Clinton Campbell | 1st Global Advisors Inc other | Osaic Fa, Inc. other | Other | Jul 11, 2003 | Nov 19, 2003 (131 d) |
| Nancy Lee Fleming | Sunamerica Securities, Inc. unclassified | Osaic Fa, Inc. other | Other | Jun 27, 2003 | Jul 30, 2003 (33 d) |
| Stanley Terrell Funches | E*Trade Advisory Services, Inc. unclassified | Osaic Fa, Inc. other | Other | Jun 11, 2003 | Jul 9, 2003 |
| Ivy Hope Menchel | Morgan Stanley Dw Inc. unclassified | Osaic Fa, Inc. other | Other | Jun 9, 2003 | Feb 15, 2005 (617 d) |
| Kyle Thomas Mills | Capital Investment Advisors other | Osaic Fa, Inc. other | Other | May 29, 2003 | Jun 5, 2003 |
| Melissa Jane Lang | MML Investors Services, LLC other | Osaic Fa, Inc. other | Other | May 27, 2003 | May 12, 2003 |
| Elaine Margaret Straub | Oneamerica Securities, Inc. other | Osaic Fa, Inc. other | Other | Apr 25, 2003 | Apr 30, 2003 |
| Arturo Gilberto Torres | Morgan Stanley Dw Inc. unclassified | Osaic Fa, Inc. other | Other | Apr 25, 2003 | May 9, 2003 |
| Patterson James Mckinlay | Cetera Investment Services LLC other | Osaic Fa, Inc. other | Other | Apr 16, 2003 | Jun 18, 2003 (63 d) |
| David Harold Grubbs | Equitable Advisors, LLC national BD | Osaic Fa, Inc. other | Other | Apr 14, 2003 | Feb 28, 2005 (686 d) |
| David M Demars | Prudential Equity Group, LLC unclassified | Osaic Fa, Inc. other | Other | Apr 4, 2003 | Apr 10, 2003 |
| Richard Patrick Arzaga | Ameriprise Financial Services, LLC national BD | Osaic Fa, Inc. other | Other | Apr 1, 2003 | Apr 30, 2003 |
| Maureen (Nmn) Mackowski | UBS Financial Services Inc. wirehouse | Osaic Fa, Inc. other | Other | Mar 10, 2003 | Mar 3, 2003 |
| Jerry Lawrence Carmody | The Capital Chart Room, Ltd other | Osaic Fa, Inc. other | Other | Feb 21, 2003 | Jan 13, 2003 |
| Bradley Howell Cantrill | Waddell & Reed other | Osaic Fa, Inc. other | Other | Feb 10, 2003 | Feb 21, 2003 |
| Jonathan Cory Gimperling | Scarborough Capital Management, Inc. other | Osaic Fa, Inc. other | Other | Feb 3, 2003 | Aug 11, 2003 (189 d) |
| Francis Albert Bautz | A. G. Edwards & Sons, Inc. unclassified | Osaic Fa, Inc. other | Other | Jan 21, 2003 | May 13, 2003 (112 d) |
| Michael Anthony Grisaffi | Morgan Stanley Dw Inc. unclassified | Osaic Fa, Inc. other | Other | Jan 14, 2003 | Feb 18, 2003 (35 d) |
| Edward Craig Goldstein | Equitable Advisors, LLC national BD | Osaic Fa, Inc. other | Other | Jan 3, 2003 | Apr 13, 2004 (466 d) |
| Chad Michael Hemphill | Avantax Advisory Services other | Osaic Fa, Inc. other | Other | Jan 2, 2003 | Jan 9, 2003 |
| David Ray Henze | Securities America Advisors, Inc. other | Osaic Fa, Inc. other | Other | Dec 31, 2002 | Dec 3, 2002 |
| Wayne W Howell | Avantax Advisory Services other | Osaic Fa, Inc. other | Other | Dec 20, 2002 | Jan 26, 2004 (402 d) |
| John Francis Donovan | UBS Financial Services Inc. wirehouse | Osaic Fa, Inc. other | Other | Dec 16, 2002 | Nov 21, 2002 |
| Wendy Lee Olson | Hotovec, Pomeranz & Co., LLC unclassified | Osaic Fa, Inc. other | Other | Nov 27, 2002 | Jul 24, 2003 (239 d) |
| Risa L Lamontagne | Banc One Securities Corporation unclassified | Osaic Fa, Inc. other | Other | Nov 26, 2002 | Jun 13, 2003 (199 d) |
| Gregory Morris Block | D.A. Davidson & Co. other | Osaic Fa, Inc. other | Other | Nov 19, 2002 | Aug 13, 2003 (267 d) |
| Tracy L Howard | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Osaic Fa, Inc. other | Other | Nov 12, 2002 | Aug 12, 2005 (1004 d) |
| Gregg Mark Dubroc | Equitable Advisors, LLC national BD | Osaic Fa, Inc. other | Other | Nov 8, 2002 | Mar 31, 2004 (509 d) |
| John Michael Donaghy | Legg Mason Wood Walker, Incorporated unclassified | Osaic Fa, Inc. other | Other | Nov 7, 2002 | Feb 8, 2012 (3380 d) |
| Kathy Seuring Holtze | Equitable Advisors, LLC national BD | Osaic Fa, Inc. other | Other | Nov 7, 2002 | Dec 10, 2002 (33 d) |
| Christopher Howard Toadvine | Ronald Blue & Co., LLC other | Osaic Fa, Inc. other | Other | Nov 6, 2002 | Oct 14, 2002 |
| Douglas Jay Sattler | Waddell & Reed other | Osaic Fa, Inc. other | Other | Nov 6, 2002 | May 2, 2003 (177 d) |
| Patrick Allen Haney | The Advisors Group, Inc. unclassified | Osaic Fa, Inc. other | Other | Oct 16, 2002 | Oct 14, 2002 |
| Ray Darby Evans | Ws Griffith Securities, Inc. unclassified | Osaic Fa, Inc. other | Other | Oct 11, 2002 | Oct 10, 2002 |
| David Peter Pankiw | Raymond James Financial Services, Inc. unclassified | Osaic Fa, Inc. other | Other | Oct 10, 2002 | Oct 9, 2002 |
| Richard Romero | Gv Financial Advisors, Inc. unclassified | Osaic Fa, Inc. other | Other | Oct 8, 2002 | Jan 23, 2003 (107 d) |
| Laura Mattia | Equitable Advisors, LLC national BD | Osaic Fa, Inc. other | Other | Oct 1, 2002 | Sep 24, 2004 (724 d) |
| David Kenneth Hicok | Equitable Advisors, LLC national BD | Osaic Fa, Inc. other | Other | Sep 23, 2002 | Oct 2, 2002 |
| Michael Loy Parker | Eagle Strategies LLC other | Osaic Fa, Inc. other | Other | Sep 6, 2002 | Aug 5, 2002 |
| Michael Joseph Sluhan | Prudential Equity Group, LLC unclassified | Osaic Fa, Inc. other | Other | Sep 6, 2002 | Sep 6, 2002 |
| Brad William Young | Uvest Financial Services Group, Inc. unclassified | Osaic Fa, Inc. other | Other | Aug 16, 2002 | Sep 3, 2002 |
| Brian Ray Grimes | Uvest Financial Services Group, Inc. unclassified | Osaic Fa, Inc. other | Other | Aug 16, 2002 | Sep 3, 2002 |
| Elizabeth Ann Hoover | Equitable Advisors, LLC national BD | Osaic Fa, Inc. other | Other | Aug 12, 2002 | Jul 31, 2002 |