| Lucy Xuan Du Chism | Suntrust Investment Services, Inc. other | U.S. Bancorp Investments, Inc. other | Other | Dec 4, 2013 | Dec 2, 2013 |
| David Mack Ellington | Pnc Wealth Management other | U.S. Bancorp Investments, Inc. other | Other | Dec 2, 2013 | Sep 25, 2014 (297 d) |
| Giuseppe Alessandro Distefano | E*Trade Capital Management, LLC other | U.S. Bancorp Investments, Inc. other | Other | Dec 2, 2013 | Nov 26, 2013 |
| James Thomas Rotter | Commerce Brokerage Services, Inc other | U.S. Bancorp Investments, Inc. other | Other | Nov 4, 2013 | Oct 31, 2013 |
| Jesse Zaragoza | Invest Financial Corporation other | U.S. Bancorp Investments, Inc. other | Other | Nov 4, 2013 | Oct 31, 2013 |
| Ronald Edwin Barnette | Cetera Investment Services LLC other | U.S. Bancorp Investments, Inc. other | Other | Nov 4, 2013 | Nov 18, 2013 |
| Travis Denkenberger | Cetera Investment Services LLC other | U.S. Bancorp Investments, Inc. other | Other | Oct 31, 2013 | Oct 28, 2013 |
| Ryan Thomas Conley | Pnc Wealth Management other | U.S. Bancorp Investments, Inc. other | Other | Oct 29, 2013 | Oct 28, 2013 |
| Timothy David Williamson | J.P. Morgan Securities LLC wirehouse | U.S. Bancorp Investments, Inc. other | Other | Oct 25, 2013 | Oct 17, 2013 |
| Sergio Mikel Ceja | Forvis Mazars Wealth Advisors, LLC other | U.S. Bancorp Investments, Inc. other | Other | Oct 9, 2013 | Sep 25, 2013 |
| Andrea Ringer Koslowsky | Edward Jones national BD | U.S. Bancorp Investments, Inc. other | Other | Oct 8, 2013 | Nov 13, 2013 (36 d) |
| Kevin Andrew Witowich | Edward Jones national BD | U.S. Bancorp Investments, Inc. other | Other | Sep 26, 2013 | Sep 24, 2013 |
| Philip Eugene Yockey | Pnc Wealth Management other | U.S. Bancorp Investments, Inc. other | Other | Sep 24, 2013 | Sep 20, 2013 |
| Anthony A. Lyons | Pnc Wealth Management other | U.S. Bancorp Investments, Inc. other | Other | Sep 12, 2013 | Sep 12, 2013 |
| Derek Mcshane Bartle | Wells Fargo Advisors wirehouse | U.S. Bancorp Investments, Inc. other | Other | Sep 12, 2013 | Aug 18, 2015 (705 d) |
| Steve Ching Huang Chen | Cetera Investment Services LLC other | U.S. Bancorp Investments, Inc. other | Other | Sep 9, 2013 | Sep 6, 2013 |
| Scott Timothy Simon | Fifth Third Securities, Inc. other | U.S. Bancorp Investments, Inc. other | Other | Aug 23, 2013 | Aug 16, 2013 |
| Steven Edward Farris | Fifth Third Securities, Inc. other | U.S. Bancorp Investments, Inc. other | Other | Aug 23, 2013 | Aug 16, 2013 |
| Lillie Ann Lindsay | Edward Jones national BD | U.S. Bancorp Investments, Inc. other | Other | Aug 22, 2013 | Aug 15, 2013 |
| Jill Lauren Henson | Raymond James Financial Services Advisors, Inc other | U.S. Bancorp Investments, Inc. other | Other | Aug 6, 2013 | Aug 24, 2015 (748 d) |
| Jeremy Eugene Merlino | Edward Jones national BD | U.S. Bancorp Investments, Inc. other | Other | Aug 5, 2013 | Aug 12, 2013 |
| Terry E Davis | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | U.S. Bancorp Investments, Inc. other | Other | Jul 31, 2013 | Oct 28, 2013 (89 d) |
| Ryan Patrick Fargen | Equitable Advisors, LLC national BD | U.S. Bancorp Investments, Inc. other | Other | Jul 10, 2013 | Dec 2, 2013 (145 d) |
| Daniel Lee Greer | Raymond James & Associates, Inc. national BD | U.S. Bancorp Investments, Inc. other | Other | Jul 3, 2013 | Jun 28, 2013 |
| Gregg Shepard Sherman | Wells Fargo Advisors wirehouse | U.S. Bancorp Investments, Inc. other | Other | Jun 25, 2013 | Jul 2, 2013 |
| Patrick David Meister | LPL Financial LLC other | U.S. Bancorp Investments, Inc. other | Other | Jun 24, 2013 | Jun 10, 2013 |
| Saimir Astrit Prapaniku | Invest Financial Corporation other | U.S. Bancorp Investments, Inc. other | Other | Jun 19, 2013 | Jun 18, 2013 |
| Andrew Perceleanu | Hsbc Securities (USA) Inc. other | U.S. Bancorp Investments, Inc. other | Other | Jun 6, 2013 | Jun 3, 2013 |
| Cleveland Ashley | Wells Fargo Advisors wirehouse | U.S. Bancorp Investments, Inc. other | Other | Jun 4, 2013 | May 30, 2013 |
| Brent A Caswell | Edward Jones national BD | U.S. Bancorp Investments, Inc. other | Other | May 28, 2013 | May 24, 2013 |
| Steven Craig Felchle | Wells Fargo Advisors wirehouse | U.S. Bancorp Investments, Inc. other | Other | Apr 24, 2013 | Apr 29, 2013 |
| Jason John Ernst | Wells Fargo Advisors wirehouse | U.S. Bancorp Investments, Inc. other | Other | Apr 24, 2013 | Apr 29, 2013 |
| Benjamin Nephi Jensen | Edward Jones national BD | U.S. Bancorp Investments, Inc. other | Other | Apr 23, 2013 | Apr 22, 2013 |
| Amanda Marie Ross | Investment Centers Of America, Inc. other | U.S. Bancorp Investments, Inc. other | Other | Apr 17, 2013 | Apr 22, 2013 |
| Amanda Marie Ross | Sii Investments, Inc. other | U.S. Bancorp Investments, Inc. other | Other | Apr 17, 2013 | Apr 22, 2013 |
| Kevin Dean Enomoto | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | U.S. Bancorp Investments, Inc. other | Other | Apr 16, 2013 | Jul 15, 2014 (455 d) |
| Jessica Kirsten Mohrman | Bancwest Investment Services, Inc. (Bwis) other | U.S. Bancorp Investments, Inc. other | Other | Apr 12, 2013 | Apr 3, 2013 |
| Martim Luis De Arantes Oliveira | Silver Bridge other | U.S. Bancorp Investments, Inc. other | Other | Apr 11, 2013 | Aug 18, 2014 (494 d) |
| Andrew Odish | J.P. Morgan Securities LLC wirehouse | U.S. Bancorp Investments, Inc. other | Other | Apr 10, 2013 | May 21, 2013 (41 d) |
| Peter T Smith | Edward Jones national BD | U.S. Bancorp Investments, Inc. other | Other | Apr 9, 2013 | Apr 5, 2013 |
| Jessica A Blount | U.S. Bancorp Advisors, LLC other | U.S. Bancorp Investments, Inc. other | Other | Apr 3, 2013 | Apr 2, 2013 |
| Robert Douglas Roar | Edward Jones national BD | U.S. Bancorp Investments, Inc. other | Other | Apr 2, 2013 | Apr 1, 2013 |
| William Neumann Thomas | Edward Jones national BD | U.S. Bancorp Investments, Inc. other | Other | Mar 28, 2013 | Mar 27, 2013 |
| Steven J Merline | Edward Jones national BD | U.S. Bancorp Investments, Inc. other | Other | Mar 18, 2013 | Mar 14, 2013 |
| Scott David Mickelson | Edward Jones national BD | U.S. Bancorp Investments, Inc. other | Other | Mar 14, 2013 | Mar 12, 2013 |
| Michael Henry | Raymond James Financial Services Advisors, Inc other | U.S. Bancorp Investments, Inc. other | Other | Mar 5, 2013 | Mar 13, 2013 |
| Jeff Anton Nizich | Wells Fargo Advisors wirehouse | U.S. Bancorp Investments, Inc. other | Other | Mar 4, 2013 | Apr 1, 2013 |
| Michael John Violette | Wells Fargo Advisors wirehouse | U.S. Bancorp Investments, Inc. other | Other | Feb 20, 2013 | Feb 28, 2013 |
| Freeman Leung | Hsbc Securities (USA) Inc. other | U.S. Bancorp Investments, Inc. other | Other | Jan 25, 2013 | Jan 28, 2013 |
| Demetrios John Zarefakis | Waddell & Reed other | U.S. Bancorp Investments, Inc. other | Other | Jan 18, 2013 | May 2, 2013 (104 d) |
| Patrick M Grooms | Edward Jones national BD | U.S. Bancorp Investments, Inc. other | Other | Jan 4, 2013 | Jan 7, 2013 |
| Gregory R Brun | Wells Fargo Advisors wirehouse | U.S. Bancorp Investments, Inc. other | Other | Dec 17, 2012 | Apr 4, 2013 (108 d) |
| Seth Adam Prescott | LPL Financial LLC other | U.S. Bancorp Investments, Inc. other | Other | Dec 14, 2012 | Dec 17, 2012 |
| Leopold David Alapont | Edward Jones national BD | U.S. Bancorp Investments, Inc. other | Other | Dec 14, 2012 | Nov 27, 2012 |
| Charles Edward Rhoades | Edward Jones national BD | U.S. Bancorp Investments, Inc. other | Other | Dec 12, 2012 | Dec 10, 2012 |
| Timothy Brian Maguire | Morgan Keegan & Company, LLC other | U.S. Bancorp Investments, Inc. other | Other | Dec 10, 2012 | Nov 30, 2012 |
| Hasina Saleh | Bancwest Investment Services, Inc. (Bwis) other | U.S. Bancorp Investments, Inc. other | Other | Nov 29, 2012 | Nov 26, 2012 |
| Arthur James Johnson | Bancwest Investment Services, Inc. (Bwis) other | U.S. Bancorp Investments, Inc. other | Other | Nov 19, 2012 | Nov 8, 2012 |
| Shiri Mae Ayalon | Ameriprise Financial Services, LLC national BD | U.S. Bancorp Investments, Inc. other | Other | Nov 9, 2012 | Jan 17, 2013 (69 d) |
| Bryant Shan Tchan | J.P. Morgan Securities LLC wirehouse | U.S. Bancorp Investments, Inc. other | Other | Nov 9, 2012 | Jan 3, 2013 (55 d) |