| Emmanuel Obel | Equitable Advisors, LLC national BD | Woodbury Financial Services, Inc. other | Other | Aug 26, 2008 | Aug 28, 2008 |
| David Albert Weis | Morgan Stanley & Co. LLC unclassified | Woodbury Financial Services, Inc. other | Other | Aug 22, 2008 | Oct 2, 2008 (41 d) |
| Douglas Edward Howes | LPL Financial LLC other | Woodbury Financial Services, Inc. other | Other | Aug 12, 2008 | Aug 19, 2008 |
| Mark William Nichols | LPL Financial LLC other | Woodbury Financial Services, Inc. other | Other | Aug 12, 2008 | May 31, 2012 (1388 d) |
| Stephen Thomas Salis | Equitable Advisors, LLC national BD | Woodbury Financial Services, Inc. other | Other | Jul 24, 2008 | Jul 31, 2008 |
| Chris Allen Nelson | Vicus Capital, Inc. other | Woodbury Financial Services, Inc. other | Other | Jul 18, 2008 | Jul 22, 2008 |
| Jane Marie Braun | LPL Financial LLC other | Woodbury Financial Services, Inc. other | Other | Jul 10, 2008 | Jul 1, 2008 |
| James Patrick Lowry | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Woodbury Financial Services, Inc. other | Other | Jul 2, 2008 | Jul 1, 2008 |
| Joseph John Opalski | Voya Financial Partners, LLC other | Woodbury Financial Services, Inc. other | Other | Jun 12, 2008 | Jun 18, 2008 |
| Ann Kelly Adams | Nfp Advisor Services, LLC other | Woodbury Financial Services, Inc. other | Other | Jun 3, 2008 | Dec 24, 2008 (204 d) |
| Jon Darby Pollock | Cincinnati Analysts, Inc other | Woodbury Financial Services, Inc. other | Other | May 30, 2008 | Jul 1, 2008 (32 d) |
| Ronald Brian Gatti | Valic Financial Advisors, Inc. other | Woodbury Financial Services, Inc. other | Other | May 28, 2008 | Aug 1, 2008 (65 d) |
| Edward Charles Bamberg | Equitable Advisors, LLC national BD | Woodbury Financial Services, Inc. other | Other | May 28, 2008 | May 30, 2008 |
| Mansoor Ahmed | Msi Financial Services, Inc. other | Woodbury Financial Services, Inc. other | Other | May 27, 2008 | May 9, 2008 |
| Robert Mark Star | Next Financial Group, Inc. other | Woodbury Financial Services, Inc. other | Other | May 19, 2008 | May 6, 2008 |
| Terry Alan Krumenauer | Edward Jones national BD | Woodbury Financial Services, Inc. other | Other | Apr 29, 2008 | Apr 28, 2008 |
| Thomas Van Herndon | Edward Jones national BD | Woodbury Financial Services, Inc. other | Other | Apr 25, 2008 | May 7, 2008 |
| Cody James Ayres | Equitable Advisors, LLC national BD | Woodbury Financial Services, Inc. other | Other | Apr 18, 2008 | Aug 18, 2008 (122 d) |
| Richard Lee Argotsinger | Ameriprise Financial Services, LLC national BD | Woodbury Financial Services, Inc. other | Other | Apr 17, 2008 | Apr 15, 2008 |
| Robert Lane Farmer | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Woodbury Financial Services, Inc. other | Other | Apr 14, 2008 | May 9, 2008 |
| Edward Michael Wetzel | Cetera Investment Advisers LLC other | Woodbury Financial Services, Inc. other | Other | Apr 2, 2008 | Apr 1, 2008 |
| Daniel Joseph Ripley | Independent Financial Group, LLC other | Woodbury Financial Services, Inc. other | Other | Mar 28, 2008 | Mar 3, 2008 |
| Michael Scott Parrish | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Woodbury Financial Services, Inc. other | Other | Mar 27, 2008 | Apr 3, 2008 |
| Johnathan Richard Pulleyn | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Woodbury Financial Services, Inc. other | Other | Mar 27, 2008 | Apr 3, 2008 |
| Marika Somorjai | Fsc Securities Corporation other | Woodbury Financial Services, Inc. other | Other | Mar 25, 2008 | Mar 24, 2008 |
| Tim Evan Schaffer | Park Avenue Securities LLC other | Woodbury Financial Services, Inc. other | Other | Mar 13, 2008 | Mar 6, 2008 |
| Wendi A Lucarelli | Bfn Asset Management, Inc. unclassified | Woodbury Financial Services, Inc. other | Other | Mar 3, 2008 | Dec 23, 2009 (660 d) |
| Michael George Dugan | 1717 Capital Management Company unclassified | Woodbury Financial Services, Inc. other | Other | Feb 25, 2008 | Feb 15, 2008 |
| Michael Robert Dugan | 1717 Capital Management Company unclassified | Woodbury Financial Services, Inc. other | Other | Feb 25, 2008 | Feb 15, 2008 |
| Cindy Elizabeth Lindle | Equitable Advisors, LLC national BD | Woodbury Financial Services, Inc. other | Other | Feb 19, 2008 | Feb 20, 2008 |
| Ronald Frank Vanhorn | 1717 Capital Management Company unclassified | Woodbury Financial Services, Inc. other | Other | Feb 6, 2008 | Feb 1, 2008 |
| Patrick Morrissey | Eagle Strategies LLC other | Woodbury Financial Services, Inc. other | Other | Jan 28, 2008 | Jul 16, 2008 (170 d) |
| William R Walters | Msi Financial Services, Inc. other | Woodbury Financial Services, Inc. other | Other | Jan 14, 2008 | Jan 8, 2008 |
| Zachary David Stein | New England Securities Corporation other | Woodbury Financial Services, Inc. other | Other | Jan 11, 2008 | Jun 2, 2017 (3430 d) |
| James Michael Johnston | Rmin Securities, Inc. unclassified | Woodbury Financial Services, Inc. other | Other | Jan 3, 2008 | Apr 2, 2009 (455 d) |
| Scott Robert Nicholson | Thrivent Investment Management Inc. other | Woodbury Financial Services, Inc. other | Other | Dec 31, 2007 | Jan 28, 2014 (2220 d) |
| David Odell Burns | Oneamerica Securities, Inc. other | Woodbury Financial Services, Inc. other | Other | Dec 31, 2007 | Mar 3, 2008 (63 d) |
| Mohammed Marwan Iftaiha | Pruco Securities, LLC other | Woodbury Financial Services, Inc. other | Other | Dec 20, 2007 | Dec 18, 2007 |
| Roland Gregory Bergman | Fsc Securities Corporation other | Woodbury Financial Services, Inc. other | Other | Nov 30, 2007 | Nov 30, 2007 |
| Timothy Lee Head | Cambridge Investment Research Advisors, Inc. other | Woodbury Financial Services, Inc. other | Other | Nov 28, 2007 | Nov 20, 2007 |
| Lucinda A Salinas | Fsc Securities Corporation other | Woodbury Financial Services, Inc. other | Other | Nov 20, 2007 | Nov 29, 2007 |
| Dennis Neal Mainard | Mutual Service Corporation unclassified | Woodbury Financial Services, Inc. other | Other | Nov 16, 2007 | Oct 29, 2007 |
| Joseph Craig | &Partners other | Woodbury Financial Services, Inc. other | Other | Nov 16, 2007 | Dec 14, 2007 |
| Jessica Leigh Craig | &Partners other | Woodbury Financial Services, Inc. other | Other | Nov 16, 2007 | Nov 5, 2007 |
| Jennifer Craig Blackwell | &Partners other | Woodbury Financial Services, Inc. other | Other | Nov 16, 2007 | Nov 5, 2007 |
| Rusti Lynn Keeley Anderson | Equitable Advisors, LLC national BD | Woodbury Financial Services, Inc. other | Other | Nov 9, 2007 | Nov 9, 2007 |
| Douglas Nash Lindley | Equitable Advisors, LLC national BD | Woodbury Financial Services, Inc. other | Other | Nov 5, 2007 | Oct 30, 2007 |
| Gregory Jay Budge | Insphere Securities, Inc. unclassified | Woodbury Financial Services, Inc. other | Other | Nov 5, 2007 | Nov 2, 2007 |
| Gregory Stark Pettys | Thrivent Investment Management Inc. other | Woodbury Financial Services, Inc. other | Other | Oct 29, 2007 | Mar 3, 2011 (1221 d) |
| Krysten Amie Overly-Armour | Key Investment Services LLC other | Woodbury Financial Services, Inc. other | Other | Oct 26, 2007 | Oct 2, 2007 |
| Robert Lawrence Metz | 1717 Capital Management Company unclassified | Woodbury Financial Services, Inc. other | Other | Oct 24, 2007 | Oct 19, 2007 |
| Ronald Keith Moore | Cincinnati Analysts, Inc other | Woodbury Financial Services, Inc. other | Other | Oct 12, 2007 | Jan 14, 2008 (94 d) |
| David Kitterman | Advice And Planning Services other | Woodbury Financial Services, Inc. other | Other | Oct 12, 2007 | May 16, 2011 (1312 d) |
| David Shipley | Northwestern Mutual Investment Services,LLC other | Woodbury Financial Services, Inc. other | Other | Oct 8, 2007 | Oct 9, 2007 |
| Jason Richard Pera | Equitable Advisors, LLC national BD | Woodbury Financial Services, Inc. other | Other | Oct 4, 2007 | Sep 25, 2007 |
| Marc Timothy Larhette | Equitable Advisors, LLC national BD | Woodbury Financial Services, Inc. other | Other | Oct 2, 2007 | Sep 25, 2007 |
| Harold Rucker Vincent | A. G. Edwards & Sons, Inc. unclassified | Woodbury Financial Services, Inc. other | Other | Sep 19, 2007 | Sep 11, 2007 |
| Bill Heart | 1717 Capital Management Company unclassified | Woodbury Financial Services, Inc. other | Other | Sep 11, 2007 | Sep 4, 2007 |
| Kelly Ann O'Malley | 1717 Capital Management Company unclassified | Woodbury Financial Services, Inc. other | Other | Sep 11, 2007 | Sep 4, 2007 |
| Jeffrey Ryan Thompson | New England Securities Corporation other | Woodbury Financial Services, Inc. other | Other | Sep 5, 2007 | Aug 24, 2007 |