| Andre S Habib | Pruco Securities, LLC other | Citizens Securities, Inc. other | Other | Apr 8, 2015 | Apr 6, 2015 |
| Brandy Sue Mohan | Investors Capital Advisory other | Citizens Securities, Inc. other | Other | Mar 27, 2015 | Jul 14, 2015 (109 d) |
| Brian Robert Gaumont | Santander Securities other | Citizens Securities, Inc. other | Other | Mar 27, 2015 | Apr 3, 2015 |
| James Leo Carlisle | Commonwealth Financial Network national BD | Citizens Securities, Inc. other | Other | Mar 9, 2015 | Mar 19, 2015 |
| Dwayne O Marsh | Santander Securities other | Citizens Securities, Inc. other | Other | Mar 5, 2015 | Apr 10, 2015 (36 d) |
| Giuseppe Feraco | LPL Financial LLC other | Citizens Securities, Inc. other | Other | Feb 24, 2015 | Apr 10, 2015 (45 d) |
| Mark Barron | Morgan Stanley wirehouse | Citizens Securities, Inc. other | Other | Feb 17, 2015 | Apr 28, 2015 (70 d) |
| Donna Jean Potter | Cambridge Investment Research Advisors, Inc. other | Citizens Securities, Inc. other | Other | Feb 11, 2015 | Nov 24, 2015 (286 d) |
| Michael Craig Welch | J.P. Morgan Securities LLC wirehouse | Citizens Securities, Inc. other | Other | Feb 6, 2015 | Apr 28, 2015 (81 d) |
| Leonard Scott Peffer | J.P. Morgan Securities LLC wirehouse | Citizens Securities, Inc. other | Other | Jan 26, 2015 | Feb 2, 2015 |
| Howard Louis Margolis | Cig Asset Management, Inc. other | Citizens Securities, Inc. other | Other | Jan 21, 2015 | Jun 9, 2015 (139 d) |
| Heather Lee Hersey | Td Ameritrade, Inc. no RAUM | Citizens Securities, Inc. other | Other | Jan 15, 2015 | Jul 2, 2015 (168 d) |
| Heather Lee Hersey | Td Ameritrade Investment Management, LLC other | Citizens Securities, Inc. other | Other | Jan 15, 2015 | Jul 2, 2015 (168 d) |
| Thomas Lawrence Reid | Mcadam LLC no RAUM | Citizens Securities, Inc. other | Other | Jan 14, 2015 | Mar 4, 2015 (49 d) |
| Kaleb Matthew Burns | Santander Securities other | Citizens Securities, Inc. other | Other | Jan 13, 2015 | Jan 12, 2015 |
| William Douglas Mccullough | Pnc Wealth Management other | Citizens Securities, Inc. other | Other | Jan 7, 2015 | Feb 4, 2015 |
| Derek Miles Robson | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Citizens Securities, Inc. other | Other | Jan 5, 2015 | Jan 7, 2016 (367 d) |
| Murad Huson Royal | LPL Financial LLC other | Citizens Securities, Inc. other | Other | Jan 2, 2015 | Jan 23, 2015 |
| Sanjaya Krishna Balu | Primerica Advisors national BD | Citizens Securities, Inc. other | Other | Dec 31, 2014 | Aug 6, 2015 (218 d) |
| David Michael Joseph | Pnc Wealth Management other | Citizens Securities, Inc. other | Other | Dec 5, 2014 | Dec 8, 2014 |
| John Francis Franzago | Santander Securities other | Citizens Securities, Inc. other | Other | Dec 3, 2014 | Dec 16, 2014 |
| David Matthew Reynolds | LPL Financial LLC other | Citizens Securities, Inc. other | Other | Dec 2, 2014 | Aug 13, 2015 (254 d) |
| Krishnaa Ghosh | Pnc Wealth Management other | Citizens Securities, Inc. other | Other | Dec 1, 2014 | Mar 21, 2015 (110 d) |
| Preston J Walker | Santander Securities other | Citizens Securities, Inc. other | Other | Nov 18, 2014 | Nov 21, 2014 |
| Bernabe Villanueva | Sentinel Pension Advisors, LLC. other | Citizens Securities, Inc. other | Other | Nov 5, 2014 | May 12, 2015 (188 d) |
| Alexander Gurin | E*Trade Capital Management, LLC other | Citizens Securities, Inc. other | Other | Nov 5, 2014 | Nov 17, 2014 |
| Eric D. Wrights | Wells Fargo Advisors wirehouse | Citizens Securities, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Oct 28, 2014 | Jul 15, 2020 (2087 d) |
| Leshawn Powers | J.P. Morgan Securities LLC wirehouse | Citizens Securities, Inc. other | Other | Oct 27, 2014 | Nov 7, 2014 |
| Nicholas Michael Luise | Amundi Pioneer Institutional Asset Management, Inc. other | Citizens Securities, Inc. other | Other | Oct 23, 2014 | Jan 5, 2015 (74 d) |
| Chad R Balhoff | Fifth Third Securities, Inc. other | Citizens Securities, Inc. other | Other | Oct 20, 2014 | Oct 16, 2014 |
| Elizabeth Ann Williams | Executive Wealth Management, LLC other | Citizens Securities, Inc. other | Other | Oct 16, 2014 | Aug 19, 2014 |
| Rui B Pacheco | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Citizens Securities, Inc. other | Other | Oct 6, 2014 | Dec 5, 2014 (60 d) |
| Emre Oztunc | Allstate Financial Advisors, LLC no RAUM | Citizens Securities, Inc. other | Other | Oct 6, 2014 | Oct 3, 2014 |
| William Anderson Harig | Commonwealth Financial Network national BD | Citizens Securities, Inc. other | Other | Sep 29, 2014 | Oct 3, 2014 |
| Kenneth Michael Jarvis | Pnc Wealth Management other | Citizens Securities, Inc. BD affiliated | Other | Sep 29, 2014 | Feb 26, 2021 (2342 d) |
| Danielle Christina Patterson | Pnc Wealth Management other | Citizens Securities, Inc. other | Other | Sep 16, 2014 | Dec 11, 2014 (86 d) |
| Gregory Aaron Resnick | Fifth Third Securities, Inc. other | Citizens Securities, Inc. other | Other | Sep 15, 2014 | Sep 15, 2014 |
| Brian Andrew Argiro | Santander Securities other | Citizens Securities, Inc. other | Other | Sep 15, 2014 | Sep 23, 2014 |
| Darron Lamont Carpenter | Thrivent Investment Management Inc. other | Citizens Securities, Inc. BD affiliated | Other | Sep 10, 2014 | Aug 17, 2020 (2168 d) |
| Paul L. Hagen | Barclays Capital Inc. other | Citizens Securities, Inc. other | Other | Sep 8, 2014 | Apr 18, 2016 (588 d) |
| John Joseph Stanton | Pnc Wealth Management other | Citizens Securities, Inc. other | Other | Sep 4, 2014 | Oct 22, 2014 (48 d) |
| Joyce Maria Skaperdas | Granite Investment Advisors, LLC other | Citizens Securities, Inc. other | Other | Sep 3, 2014 | Mar 25, 2015 (203 d) |
| Erik M Wilcox | Morgan Stanley wirehouse | Citizens Securities, Inc. other | Other | Aug 18, 2014 | Aug 6, 2014 |
| Zachary Armand Leighton | Santander Securities other | Citizens Securities, Inc. other | Other | Aug 1, 2014 | Jul 28, 2014 |
| Matthew H Staples | Osaic Fs, Inc. other | Citizens Securities, Inc. other | Other | Jul 21, 2014 | Jan 22, 2015 (185 d) |
| Jason Anthony Ruel | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Citizens Securities, Inc. other | Other | Jul 16, 2014 | Jul 16, 2014 |
| Meghan Leigh Stone | LPL Financial LLC other | Citizens Securities, Inc. other | Other | Jul 9, 2014 | Jun 30, 2014 |
| Susan Catherine Heinrich | Santander Securities other | Citizens Securities, Inc. other | Other | Jul 2, 2014 | Jul 15, 2014 |
| John M Welsh | Santander Securities other | Citizens Securities, Inc. other | Other | Jun 24, 2014 | Jul 1, 2014 |
| Hari Sharma | Santander Securities other | Citizens Securities, Inc. other | Other | Jun 17, 2014 | Jun 18, 2014 |
| Daniel J Frizzell | Huntington Financial Advisors other | Citizens Securities, Inc. other | Other | Jun 6, 2014 | Jun 9, 2014 |
| Christopher Walter Ethier | Santander Securities other | Citizens Securities, Inc. other | Other | Jun 5, 2014 | Jun 4, 2014 |
| Steven Mark Marantz | Osaic Institutions, Inc. other | Citizens Securities, Inc. other | Other | May 23, 2014 | May 28, 2014 |
| John Felix Ciocca | Ameriprise Financial Services, LLC national BD | Citizens Securities, Inc. other | Other | May 23, 2014 | May 19, 2014 |
| Zachary Alden Brinkley | Pnc Wealth Management other | Citizens Securities, Inc. other | Other | May 15, 2014 | May 14, 2014 |
| Andrew Patrick Augustine | Comerica Securities other | Citizens Securities, Inc. other | Other | May 6, 2014 | Aug 25, 2014 (111 d) |
| Brandon C May | New England Securities Corporation other | Citizens Securities, Inc. other | Other | May 6, 2014 | Apr 29, 2014 |
| David Dexter Oxley | Morgan Stanley wirehouse | Citizens Securities, Inc. other | Other | May 5, 2014 | Apr 28, 2014 |
| Dejha Lee Krajcar | Fifth Third Securities, Inc. other | Citizens Securities, Inc. other | Other | May 2, 2014 | May 1, 2014 |
| Eric Robert Dewalt | Edward Jones national BD | Citizens Securities, Inc. other | Other | Apr 30, 2014 | Jun 30, 2014 (61 d) |