| Skip Massengill | Td Wealth Management Services Inc. unclassified | Robert W. Baird & Co. Incorporated other | Other | Apr 6, 2009 | May 26, 2009 (50 d) |
| James Matthew Hodges | Citigroup Global Markets Inc. other | Robert W. Baird & Co. Incorporated other | Other | Apr 1, 2009 | Mar 9, 2009 |
| Philip Paul Tetley | Northern Trust Securities, Inc no RAUM | Robert W. Baird & Co. Incorporated other | Other | Mar 27, 2009 | Mar 27, 2009 |
| Bradley Raymond Lundquist | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Robert W. Baird & Co. Incorporated other | Other | Mar 24, 2009 | Mar 17, 2009 |
| William Edward Watt | Citigroup Global Markets Inc. other | Robert W. Baird & Co. Incorporated other | Other | Mar 24, 2009 | Mar 6, 2009 |
| Ana D Geller | Citigroup Global Markets Inc. other | Robert W. Baird & Co. Incorporated other | Other | Mar 24, 2009 | Mar 6, 2009 |
| Jonathan Henry Lee | Wells Fargo Advisors wirehouse | Robert W. Baird & Co. Incorporated other | Other | Mar 23, 2009 | Mar 23, 2009 |
| Benjamin Joseph Kallo | Stanford Group Company unclassified | Robert W. Baird & Co. Incorporated other | Other | Mar 23, 2009 | May 1, 2009 (39 d) |
| David John Ettl | Wells Fargo Advisors wirehouse | Robert W. Baird & Co. Incorporated other | Other | Mar 23, 2009 | Mar 23, 2009 |
| Marie Regina Ahola | Wells Fargo Advisors wirehouse | Robert W. Baird & Co. Incorporated other | Other | Mar 19, 2009 | Mar 18, 2009 |
| John Miller Landberg | Wells Fargo Advisors wirehouse | Robert W. Baird & Co. Incorporated other | Other | Mar 18, 2009 | Mar 17, 2009 |
| Geoffrey Christopher Laughlin | UBS Financial Services Inc. wirehouse | Robert W. Baird & Co. Incorporated other | Other | Mar 17, 2009 | Mar 6, 2009 |
| Jon David Brausch | Wells Fargo Advisors wirehouse | Robert W. Baird & Co. Incorporated other | Other | Mar 16, 2009 | Mar 23, 2009 |
| Gerald Higinio Marquez | Citigroup Global Markets Inc. other | Robert W. Baird & Co. Incorporated other | Other | Mar 10, 2009 | Feb 13, 2009 |
| Nancy Leshko Short | Citigroup Global Markets Inc. other | Robert W. Baird & Co. Incorporated other | Other | Mar 10, 2009 | Feb 13, 2009 |
| Robert Manansala Manankil | Citigroup Global Markets Inc. other | Robert W. Baird & Co. Incorporated other | Other | Mar 10, 2009 | Feb 13, 2009 |
| Marco S Sacca | Citigroup Global Markets Inc. other | Robert W. Baird & Co. Incorporated other | Other | Mar 10, 2009 | Feb 13, 2009 |
| James Louis Mugele | Citigroup Global Markets Inc. other | Robert W. Baird & Co. Incorporated other | Other | Mar 10, 2009 | Feb 13, 2009 |
| Richard Thomas Zink | Citigroup Global Markets Inc. other | Robert W. Baird & Co. Incorporated other | Other | Mar 10, 2009 | Feb 17, 2009 |
| Michael Charles Levin | Citigroup Global Markets Inc. other | Robert W. Baird & Co. Incorporated other | Other | Mar 9, 2009 | Feb 13, 2009 |
| Joseph Mark Fuggi | Citigroup Global Markets Inc. other | Robert W. Baird & Co. Incorporated other | Other | Mar 9, 2009 | Feb 13, 2009 |
| John Fox Graham | Citigroup Global Markets Inc. other | Robert W. Baird & Co. Incorporated other | Other | Mar 9, 2009 | Feb 13, 2009 |
| Jason Charles Harris | Citigroup Global Markets Inc. other | Robert W. Baird & Co. Incorporated other | Other | Mar 9, 2009 | Feb 13, 2009 |
| Richard Lee Duval | Citigroup Global Markets Inc. other | Robert W. Baird & Co. Incorporated other | Other | Mar 9, 2009 | Feb 13, 2009 |
| Michael Ross Johnson | Citigroup Global Markets Inc. other | Robert W. Baird & Co. Incorporated other | Other | Mar 9, 2009 | Feb 13, 2009 |
| Keith Ira Levitt | Citigroup Global Markets Inc. other | Robert W. Baird & Co. Incorporated other | Other | Mar 9, 2009 | Feb 13, 2009 |
| Jeffrey Stewart Hedley | UBS Financial Services Inc. wirehouse | Robert W. Baird & Co. Incorporated other | Other | Mar 4, 2009 | Feb 24, 2009 |
| Sharon T Martin | Citigroup Global Markets Inc. other | Robert W. Baird & Co. Incorporated other | Other | Feb 27, 2009 | Feb 17, 2009 |
| Melinda Jo Hansen | Fifth Third Securities, Inc. other | Robert W. Baird & Co. Incorporated other | Other | Feb 20, 2009 | May 15, 2009 (84 d) |
| Kimberly Haws Falasco | Citigroup Global Markets Inc. other | Robert W. Baird & Co. Incorporated other | Other | Feb 17, 2009 | Feb 2, 2009 |
| Laura Steffey Moss | Citigroup Global Markets Inc. other | Robert W. Baird & Co. Incorporated other | Other | Feb 17, 2009 | Feb 9, 2009 |
| Nassif Dow | Edward Jones national BD | Robert W. Baird & Co. Incorporated other | Other | Feb 6, 2009 | Mar 22, 2010 (409 d) |
| Gilbert Joseph Cervelli | Edward Jones national BD | Robert W. Baird & Co. Incorporated other | Other | Feb 4, 2009 | Dec 6, 2013 (1766 d) |
| Adam Persily | Morgan Stanley & Co. LLC unclassified | Robert W. Baird & Co. Incorporated other | Other | Feb 3, 2009 | Jan 30, 2009 |
| Charles Michael Ankrim | Morgan Stanley & Co. LLC unclassified | Robert W. Baird & Co. Incorporated other | Other | Feb 2, 2009 | Jan 30, 2009 |
| Jeffrey Michael Daft | Wells Fargo Advisors wirehouse | Robert W. Baird & Co. Incorporated other | Other | Feb 2, 2009 | Feb 2, 2009 |
| Stacey Ann Zahoranski | Citigroup Global Markets Inc. other | Robert W. Baird & Co. Incorporated other | Other | Jan 30, 2009 | Feb 2, 2009 |
| Kent Robert Elliott | Wells Fargo Advisors wirehouse | Robert W. Baird & Co. Incorporated other | Other | Jan 14, 2009 | Jan 5, 2009 |
| Matthew Harold Schmitt | Wells Fargo Advisors wirehouse | Robert W. Baird & Co. Incorporated other | Other | Jan 14, 2009 | Jan 5, 2009 |
| Diana Manalang Cavanaugh | Wells Fargo Advisors wirehouse | Robert W. Baird & Co. Incorporated other | Other | Jan 14, 2009 | Jan 5, 2009 |
| Halien Besaw | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Robert W. Baird & Co. Incorporated other | Other | Dec 22, 2008 | Apr 20, 2009 (119 d) |
| James Timothy Chandler | UBS Financial Services Inc. wirehouse | Robert W. Baird & Co. Incorporated other | Other | Nov 17, 2008 | Nov 7, 2008 |
| Vince Richard Hawley | UBS Financial Services Inc. wirehouse | Robert W. Baird & Co. Incorporated other | Other | Nov 17, 2008 | Nov 13, 2008 |
| Joseph Ernest Christ | UBS Financial Services Inc. wirehouse | Robert W. Baird & Co. Incorporated other | Other | Nov 17, 2008 | Nov 7, 2008 |
| Suey Shek Wong | Geneva Capital Management LLC other | Robert W. Baird & Co. Incorporated other | Other | Nov 11, 2008 | Dec 24, 2013 (1869 d) |
| David J Koch | Ameriprise Advisor Services, Inc. unclassified | Robert W. Baird & Co. Incorporated other | Other | Nov 10, 2008 | Nov 7, 2008 |
| Chad Edward Henry | Ameriprise Advisor Services, Inc. unclassified | Robert W. Baird & Co. Incorporated other | Other | Nov 10, 2008 | Nov 7, 2008 |
| Jonathon Frank Bowker | Ameriprise Advisor Services, Inc. unclassified | Robert W. Baird & Co. Incorporated other | Other | Nov 10, 2008 | Nov 7, 2008 |
| Carlos Alberto Alcaine | Wells Fargo Advisors wirehouse | Robert W. Baird & Co. Incorporated other | Other | Nov 7, 2008 | Nov 12, 2008 |
| Stephen Bernard Halterbeck | Wells Fargo Advisors wirehouse | Robert W. Baird & Co. Incorporated other | Other | Nov 7, 2008 | Nov 12, 2008 |
| Seth Levin Kaplan | Wells Fargo Advisors wirehouse | Robert W. Baird & Co. Incorporated other | Other | Nov 3, 2008 | Nov 3, 2008 |
| Amy D Vaccaro | Natcity Investments, Inc. unclassified | Robert W. Baird & Co. Incorporated other | Other | Oct 28, 2008 | Oct 24, 2008 |
| Ryan N Zutter | Allspring Funds Management, LLC other | Robert W. Baird & Co. Incorporated other | Other | Oct 13, 2008 | Oct 31, 2008 |
| Cameron Stirdivant Rios | Edward Jones national BD | Robert W. Baird & Co. Incorporated other | Other | Sep 26, 2008 | Oct 14, 2008 |
| Andrew Joseph Brinkman | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Robert W. Baird & Co. Incorporated other | Other | Sep 22, 2008 | Sep 22, 2008 |
| Matthew Carl Sonder | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Robert W. Baird & Co. Incorporated other | Other | Sep 22, 2008 | Sep 24, 2008 |
| Darin Wayne Hargreaves | Wells Fargo Advisors wirehouse | Robert W. Baird & Co. Incorporated other | Other | Sep 3, 2008 | Aug 21, 2008 |
| Sandra Lee Kirschten | Morgan Stanley & Co. LLC unclassified | Robert W. Baird & Co. Incorporated other | Other | Aug 26, 2008 | Sep 4, 2008 |
| Brian James Mcgrath | Wells Fargo Advisors wirehouse | Robert W. Baird & Co. Incorporated other | Other | Aug 1, 2008 | Jul 28, 2008 |
| John Richard Bickel | Wells Fargo Advisors wirehouse | Robert W. Baird & Co. Incorporated other | Other | Jul 30, 2008 | Nov 3, 2010 (826 d) |