| Ryan Robert Ketvertis | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Robert W. Baird & Co. Incorporated other | Other | Apr 5, 2010 | Apr 5, 2010 |
| Michael J Krako | Morgan Stanley wirehouse | Robert W. Baird & Co. Incorporated other | Other | Mar 15, 2010 | Feb 24, 2010 |
| Scott Alan Johnson | Klaas Financial Asset Advisors, LLC. other | Robert W. Baird & Co. Incorporated other | Other | Feb 16, 2010 | Jan 29, 2010 |
| Gary Daniel Love | Klaas Financial Asset Advisors, LLC. other | Robert W. Baird & Co. Incorporated other | Other | Feb 16, 2010 | Jan 29, 2010 |
| Robert Joseph Mccarron | UBS Financial Services Inc. wirehouse | Robert W. Baird & Co. Incorporated other | Other | Feb 8, 2010 | Jan 29, 2010 |
| Tupper Gordon Macdowell | Wells Fargo Advisors wirehouse | Robert W. Baird & Co. Incorporated other | Other | Feb 2, 2010 | Feb 1, 2010 |
| Tommy Marcus Collins | Morgan Stanley wirehouse | Robert W. Baird & Co. Incorporated other | Other | Jan 27, 2010 | Jan 8, 2010 |
| Paul Thornhill Mcwane | Morgan Stanley wirehouse | Robert W. Baird & Co. Incorporated other | Other | Jan 27, 2010 | Jan 8, 2010 |
| John Wimbish Craddock | Morgan Stanley wirehouse | Robert W. Baird & Co. Incorporated other | Other | Jan 21, 2010 | Jan 8, 2010 |
| James Vincent Carideo | Morgan Stanley wirehouse | Robert W. Baird & Co. Incorporated other | Other | Jan 20, 2010 | Jan 12, 2010 |
| Joseph William Kraft | Morgan Stanley wirehouse | Robert W. Baird & Co. Incorporated other | Other | Jan 20, 2010 | Jan 19, 2010 |
| Michael P Roethler | Morgan Stanley wirehouse | Robert W. Baird & Co. Incorporated other | Other | Jan 20, 2010 | Jan 19, 2010 |
| Richard Herman Tapke | Tapke Asset Management, LLC unclassified | Robert W. Baird & Co. Incorporated other | Other | Jan 4, 2010 | Mar 9, 2015 (1890 d) |
| William Tayler Johnson | Morgan Stanley wirehouse | Robert W. Baird & Co. Incorporated other | Other | Dec 18, 2009 | Dec 4, 2009 |
| Prescott Carter Terrell | Morgan Stanley wirehouse | Robert W. Baird & Co. Incorporated other | Other | Dec 18, 2009 | Dec 4, 2009 |
| Shayla Faye Boyland | Morgan Stanley wirehouse | Robert W. Baird & Co. Incorporated other | Other | Dec 18, 2009 | Jan 1, 2010 |
| Rebecca Lea Klahn | Morgan Stanley wirehouse | Robert W. Baird & Co. Incorporated other | Other | Dec 18, 2009 | Dec 4, 2009 |
| Christopher Scott Wray | Morgan Stanley wirehouse | Robert W. Baird & Co. Incorporated other | Other | Nov 18, 2009 | Oct 23, 2009 |
| Thomas Michael Boh | Wells Fargo Advisors wirehouse | Robert W. Baird & Co. Incorporated other | Other | Nov 16, 2009 | Nov 13, 2009 |
| Jeffrey Kent Trollinger | Valic Financial Advisors, Inc. other | Robert W. Baird & Co. Incorporated other | Other | Nov 5, 2009 | Oct 23, 2009 |
| Robert Allen Di Donato | Iag Wealth Partners, LLC other | Robert W. Baird & Co. Incorporated other | Other | Oct 26, 2009 | Oct 23, 2009 |
| David Joseph Dettloff | Morgan Keegan & Company, LLC other | Robert W. Baird & Co. Incorporated other | Other | Oct 22, 2009 | Nov 4, 2009 |
| Shawn Joseph Barth | Chase Investment Services Corp. other | Robert W. Baird & Co. Incorporated other | Other | Oct 20, 2009 | Jan 20, 2010 (92 d) |
| Veronica L. Schulz | Wells Fargo Advisors wirehouse | Robert W. Baird & Co. Incorporated other | Other | Oct 6, 2009 | Oct 2, 2009 |
| Kimberly Christine Church | Wells Fargo Advisors wirehouse | Robert W. Baird & Co. Incorporated other | Other | Oct 6, 2009 | Oct 2, 2009 |
| Landrum Hazel Henderson | Banc Of America Investment Services, Inc. unclassified | Robert W. Baird & Co. Incorporated other | Other | Sep 18, 2009 | Oct 19, 2009 (31 d) |
| Brian Michael Penn | Morgan Stanley wirehouse | Robert W. Baird & Co. Incorporated other | Other | Sep 4, 2009 | Aug 14, 2009 |
| Gary Alan Carpenter | Morgan Stanley wirehouse | Robert W. Baird & Co. Incorporated other | Other | Sep 4, 2009 | Aug 14, 2009 |
| James Allyn Franke | Morgan Stanley wirehouse | Robert W. Baird & Co. Incorporated other | Other | Sep 4, 2009 | Aug 17, 2009 |
| Katharine N Christian | Bbva Compass Investment Solutions, Inc unclassified | Robert W. Baird & Co. Incorporated mixed wealth | Other | Sep 2, 2009 | Apr 13, 2018 (3145 d) |
| Brandon Kyle Pribyl | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Robert W. Baird & Co. Incorporated other | Other | Sep 2, 2009 | Jun 20, 2016 (2483 d) |
| Lynne Marie Blodgett | Wells Fargo Advisors wirehouse | Robert W. Baird & Co. Incorporated other | Other | Jul 28, 2009 | Jul 24, 2009 |
| Joel William Beck | Wells Fargo Advisors wirehouse | Robert W. Baird & Co. Incorporated other | Other | Jul 28, 2009 | Jul 24, 2009 |
| Margaret A Prestigiacomo | Morgan Stanley wirehouse | Robert W. Baird & Co. Incorporated other | Other | Jul 1, 2009 | Jun 26, 2009 |
| Christopher Michael Yesbeck | Wells Fargo Advisors wirehouse | Robert W. Baird & Co. Incorporated other | Other | Jun 23, 2009 | Jun 19, 2009 |
| Brook A Brindley | Wells Fargo Advisors wirehouse | Robert W. Baird & Co. Incorporated other | Other | Jun 23, 2009 | Jun 19, 2009 |
| Patrick Michael Foley | Janney Montgomery Scott LLC other | Robert W. Baird & Co. Incorporated other | Other | Jun 18, 2009 | Jun 16, 2009 |
| Rebecca Ann Ross | Citigroup Global Markets Inc. other | Robert W. Baird & Co. Incorporated other | Other | May 28, 2009 | May 15, 2009 |
| Lou Stephen Satchell | Citigroup Global Markets Inc. other | Robert W. Baird & Co. Incorporated other | Other | May 28, 2009 | May 15, 2009 |
| Jeffrey Edward Puissant | Citigroup Global Markets Inc. other | Robert W. Baird & Co. Incorporated other | Other | May 28, 2009 | May 22, 2009 |
| Elizabeth Mary Sherbert | Citigroup Global Markets Inc. other | Robert W. Baird & Co. Incorporated other | Other | May 28, 2009 | May 15, 2009 |
| Craig Timothy Darling | Citigroup Global Markets Inc. other | Robert W. Baird & Co. Incorporated other | Other | May 28, 2009 | May 22, 2009 |
| Jeffrey John Kinziger | Citigroup Global Markets Inc. other | Robert W. Baird & Co. Incorporated other | Other | May 28, 2009 | May 22, 2009 |
| Cheryl Richards Palumbo | Citigroup Global Markets Inc. other | Robert W. Baird & Co. Incorporated other | Other | May 28, 2009 | May 15, 2009 |
| Lindsey Marie Kabat | Citigroup Global Markets Inc. other | Robert W. Baird & Co. Incorporated other | Other | May 28, 2009 | May 22, 2009 |
| Robert James Ferriman | Citigroup Global Markets Inc. other | Robert W. Baird & Co. Incorporated other | Other | May 27, 2009 | May 5, 2009 |
| Sueann D Griffin | Citigroup Global Markets Inc. other | Robert W. Baird & Co. Incorporated other | Other | May 27, 2009 | May 15, 2009 |
| Kari M Van Lanen | Citigroup Global Markets Inc. other | Robert W. Baird & Co. Incorporated other | Other | May 27, 2009 | May 22, 2009 |
| David M Adams | Citigroup Global Markets Inc. other | Robert W. Baird & Co. Incorporated other | Other | May 27, 2009 | May 15, 2009 |
| Darin Dean Roser | Citigroup Global Markets Inc. other | Robert W. Baird & Co. Incorporated other | Other | May 21, 2009 | May 15, 2009 |
| Richard Mandel Stern | Citigroup Global Markets Inc. other | Robert W. Baird & Co. Incorporated other | Other | May 21, 2009 | Jun 1, 2009 |
| Kenneth James Meyers | Wells Fargo Advisors wirehouse | Robert W. Baird & Co. Incorporated other | Other | May 20, 2009 | May 18, 2009 |
| Virginia Marie Moye | Wells Fargo Advisors wirehouse | Robert W. Baird & Co. Incorporated other | Other | May 20, 2009 | May 18, 2009 |
| Amy Frances Loring | Citigroup Global Markets Inc. other | Robert W. Baird & Co. Incorporated other | Other | May 12, 2009 | Apr 20, 2009 |
| Terry Lee Lineberger | Citigroup Global Markets Inc. other | Robert W. Baird & Co. Incorporated other | Other | May 12, 2009 | Apr 20, 2009 |
| Joseph Brendon Mccann | Citigroup Global Markets Inc. other | Robert W. Baird & Co. Incorporated other | Other | May 7, 2009 | Apr 17, 2009 |
| Bruce Michael Yoshida | Citigroup Global Markets Inc. other | Robert W. Baird & Co. Incorporated other | Other | Apr 27, 2009 | Apr 14, 2009 |
| Christian Myles Waite | Wells Fargo Advisors wirehouse | Robert W. Baird & Co. Incorporated other | Other | Apr 27, 2009 | Apr 24, 2009 |
| Bryan Richard Sampson | Citigroup Global Markets Inc. other | Robert W. Baird & Co. Incorporated other | Other | Apr 15, 2009 | Mar 30, 2009 |
| Joseph Gerard Verdi | Morgan Stanley & Co. LLC unclassified | Robert W. Baird & Co. Incorporated other | Other | Apr 7, 2009 | Apr 3, 2009 |