| Gordon L Willoughby | Sunset Financial Services, Inc. other | Park Avenue Securities LLC other | Other | Dec 9, 2010 | Feb 8, 2011 (61 d) |
| Luis Alonso Corrales | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Park Avenue Securities LLC other | Other | Dec 7, 2010 | Jun 24, 2011 (199 d) |
| Thomas Tristany Trela | T. Rowe Price Advisory Services, Inc. no RAUM | Park Avenue Securities LLC other | Other | Nov 18, 2010 | Sep 4, 2014 (1386 d) |
| Erwin Espina Prieto | Chase Investment Services Corp. other | Park Avenue Securities LLC other | Other | Nov 17, 2010 | Dec 7, 2010 |
| Marc Anthony Decuffa | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Park Avenue Securities LLC other | Other | Nov 12, 2010 | Feb 4, 2013 (815 d) |
| Bruce Graev | Ameriprise Financial Services, LLC national BD | Park Avenue Securities LLC other | Other | Oct 6, 2010 | Nov 1, 2010 |
| Richard Scott Ehrlich | Securian Financial Services, Inc. other | Park Avenue Securities LLC other | Other | Sep 30, 2010 | Sep 14, 2012 (715 d) |
| Doan Phuong Nguyen | Signator Investors, Inc. other | Park Avenue Securities LLC other | Other | Sep 22, 2010 | Oct 12, 2010 |
| John Camillo Marino | MML Investors Services, LLC other | Park Avenue Securities LLC other | Other | Sep 13, 2010 | Oct 4, 2010 |
| Holly Amber Hatfield | Chase Investment Services Corp. other | Park Avenue Securities LLC BD affiliated | Other | Sep 7, 2010 | Jan 7, 2021 (3775 d) |
| Atul Pravin Shrimankar | MML Investors Services, LLC other | Park Avenue Securities LLC other | Other | Aug 25, 2010 | Dec 23, 2010 (120 d) |
| Charles Eugene Field | Choice Advisory Group, Inc. other | Park Avenue Securities LLC BD affiliated | Other | Aug 20, 2010 | Apr 25, 2025 (5362 d) |
| Matthew Scott Shaw | Mercer Global Advisors Inc. other | Park Avenue Securities LLC other | Other | Aug 19, 2010 | Jul 2, 2012 (683 d) |
| Marc Lawrence Delia | J. W. Cole Advisors, Inc. other | Park Avenue Securities LLC other | Other | Aug 18, 2010 | Sep 15, 2010 |
| Anju Sharma | Pruco Securities, LLC other | Park Avenue Securities LLC other | Other | Aug 17, 2010 | Sep 14, 2010 |
| Raymond Peter Prendergast | Equitable Advisors, LLC national BD | Park Avenue Securities LLC other | Other | Aug 5, 2010 | Sep 14, 2010 (40 d) |
| Jonathan P Codispoti | New England Securities Corporation other | Park Avenue Securities LLC other | Other | Aug 5, 2010 | May 28, 2015 (1757 d) |
| James Shannon Morris | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Park Avenue Securities LLC other | Other | Jul 29, 2010 | Aug 9, 2010 |
| James Gerald Perry | Msi Financial Services, Inc. other | Park Avenue Securities LLC other | Other | Jul 12, 2010 | Jul 29, 2010 |
| Donald Glyn Kemp | Integrity Alliance, LLC other | Park Avenue Securities LLC other | Other | Jun 30, 2010 | Oct 24, 2011 (481 d) |
| Jeremy Frank Douglas | Wells Fargo Advisors wirehouse | Park Avenue Securities LLC other | Other | Jun 23, 2010 | Jun 8, 2012 (716 d) |
| Brian Dean Hanna | Equitable Advisors, LLC national BD | Park Avenue Securities LLC other | Other | Jun 22, 2010 | Sep 14, 2010 (84 d) |
| Karen Irene Boykin | Hornor, Townsend & Kent, LLC other | Park Avenue Securities LLC other | Other | Jun 15, 2010 | Aug 18, 2010 (64 d) |
| Mary Katherine Brimer | MML Investors Services, LLC other | Park Avenue Securities LLC other | Other | Jun 15, 2010 | Jun 24, 2010 |
| Shawn Jen Hsieh | Edward Jones national BD | Park Avenue Securities LLC other | Other | Jun 11, 2010 | Sep 13, 2010 (94 d) |
| Robert Michael Kiff | Fmsi Advisers other | Park Avenue Securities LLC other | Other | Jun 10, 2010 | Jun 6, 2013 (1092 d) |
| Robert Edward Farrell | Morgan Stanley wirehouse | Park Avenue Securities LLC other | Other | Jun 3, 2010 | May 20, 2016 (2178 d) |
| John Reed Sperry | Securian Financial Services, Inc. other | Park Avenue Securities LLC other | Other | Jun 3, 2010 | Aug 18, 2011 (441 d) |
| Arpi Vardanyan | Choreo, LLC other | Park Avenue Securities LLC other | Other | May 20, 2010 | Aug 15, 2011 (452 d) |
| Rakesh K Sharma | Pruco Securities, LLC other | Park Avenue Securities LLC other | Other | May 19, 2010 | Jun 16, 2010 |
| Michael Lee | Waddell & Reed other | Park Avenue Securities LLC other | Other | May 11, 2010 | Jun 7, 2010 |
| Daniel James Shanahan | Principal Securities, Inc. other | Park Avenue Securities LLC other | Other | Apr 15, 2010 | May 6, 2010 |
| James S Boyd | Equitable Advisors, LLC national BD | Park Avenue Securities LLC other | Other | Apr 12, 2010 | Apr 20, 2010 |
| Patrick Francis Thuecks | Equitable Advisors, LLC national BD | Park Avenue Securities LLC other | Other | Apr 9, 2010 | Apr 30, 2010 |
| Mustafa Ehimeakhe | Td Ameritrade Investment Management, LLC other | Park Avenue Securities LLC other | Other | Apr 1, 2010 | Jan 6, 2016 (2106 d) |
| Kevin James Pent | Msi Financial Services, Inc. other | Park Avenue Securities LLC other | Other | Mar 26, 2010 | May 6, 2010 (41 d) |
| Patricia Ann Kovacic | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Park Avenue Securities LLC other | Other | Mar 24, 2010 | Feb 27, 2012 (705 d) |
| Paul Matthew Barbieri | Northwestern Mutual Investment Services,LLC other | Park Avenue Securities LLC other | Other | Mar 1, 2010 | May 21, 2010 (81 d) |
| William L Dudley | Northwestern Mutual Investment Services,LLC other | Park Avenue Securities LLC other | Other | Feb 23, 2010 | Mar 15, 2010 |
| Joseph Carl Anderson | Msi Financial Services, Inc. other | Park Avenue Securities LLC other | Other | Feb 17, 2010 | May 3, 2011 (440 d) |
| Michael J Lahurd | MML Investors Services, LLC other | Park Avenue Securities LLC other | Other | Feb 10, 2010 | Apr 21, 2010 (70 d) |
| Laura J Penner | Cetera Investment Services LLC other | Park Avenue Securities LLC other | Other | Feb 9, 2010 | Mar 22, 2010 (41 d) |
| Gagandeep K Sahni | Pruco Securities, LLC other | Park Avenue Securities LLC other | Other | Jan 28, 2010 | Jan 30, 2012 (732 d) |
| Nicholas Alexander Munoz | Equitable Advisors, LLC national BD | Park Avenue Securities LLC other | Other | Jan 7, 2010 | Jun 8, 2010 (152 d) |
| Robert F Soler | B. Riley Wealth Advisors, Inc. other | Park Avenue Securities LLC other | Other | Jan 7, 2010 | May 22, 2012 (866 d) |
| Amy Lue Henthorn Powell | Wells Fargo Advisors wirehouse | Park Avenue Securities LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jan 5, 2010 | Jul 11, 2018 (3109 d) |
| Boyd F Cauble | Evergreen Investment Management Co unclassified | Park Avenue Securities LLC other | Other | Dec 31, 2009 | Feb 25, 2010 (56 d) |
| Richard Hunter | New England Securities Corporation other | Park Avenue Securities LLC other | Other | Dec 24, 2009 | Feb 11, 2010 (49 d) |
| Harold Mcintosh | New England Securities Corporation other | Park Avenue Securities LLC other | Other | Dec 23, 2009 | Feb 1, 2010 (40 d) |
| Jeffrey D Plummer | Signator Investors, Inc. other | Park Avenue Securities LLC other | Other | Dec 4, 2009 | Mar 25, 2010 (111 d) |
| Ernest J Guerriero | Ameritas Advisory Services other | Park Avenue Securities LLC other | Other | Nov 30, 2009 | Jul 17, 2014 (1690 d) |
| Abigail Sue Kuo | Wells Fargo Advisors wirehouse | Park Avenue Securities LLC other | Other | Nov 23, 2009 | May 21, 2010 (179 d) |
| Frances E Aguilera | Hornor, Townsend & Kent, LLC other | Park Avenue Securities LLC other | Other | Nov 18, 2009 | Nov 21, 2011 (733 d) |
| Brian K. Jones | Principal Securities, Inc. other | Park Avenue Securities LLC other | Other | Nov 6, 2009 | Dec 15, 2009 (39 d) |
| Joseph John Dankowski | Ameriprise Financial Services, LLC national BD | Park Avenue Securities LLC other | Other | Oct 26, 2009 | Nov 12, 2009 |
| Charles Joseph Ingulli | Barclays Capital Inc. other | Park Avenue Securities LLC other | Other | Oct 7, 2009 | Oct 30, 2009 |
| Steven D Earhart | Karr Barth Financial Planning, Inc. unclassified | Park Avenue Securities LLC other | Other | Oct 6, 2009 | Oct 9, 2009 |
| Robert William Frailey | Natcity Investments, Inc. unclassified | Park Avenue Securities LLC other | Other | Oct 2, 2009 | Jul 16, 2010 (287 d) |
| John Elijah Bell | Value Shield Investment Services LLC unclassified | Park Avenue Securities LLC other | Other | Sep 30, 2009 | Nov 20, 2009 (51 d) |
| Steven D Earhart | Equitable Advisors, LLC national BD | Park Avenue Securities LLC other | Other | Sep 25, 2009 | Oct 9, 2009 |