| Michael Joseph Vicars | Northwestern Mutual Investment Services,LLC other | U.S. Bancorp Investments, Inc. BD affiliated | Other | Nov 8, 2012 | Sep 13, 2023 (3961 d) |
| Kristi Kathryn Palmer | Morgan Stanley wirehouse | U.S. Bancorp Investments, Inc. other | Other | Nov 6, 2012 | Feb 5, 2013 (91 d) |
| Todd William Nichols | J.P. Morgan Securities LLC wirehouse | U.S. Bancorp Investments, Inc. other | Other | Oct 9, 2012 | Oct 5, 2012 |
| Matthew Meyer Ordway | Pnc Wealth Management other | U.S. Bancorp Investments, Inc. other | Other | Oct 3, 2012 | Apr 9, 2013 (188 d) |
| Michael Lewis Miller | Edward Jones national BD | U.S. Bancorp Investments, Inc. other | Other | Oct 1, 2012 | Sep 28, 2012 |
| Andrea Patricia Carpenter | Gwn Securities Inc. other | U.S. Bancorp Investments, Inc. other | Other | Sep 28, 2012 | Sep 28, 2012 |
| Mary Kennedy Martuscelli | J.P. Morgan Securities LLC wirehouse | U.S. Bancorp Investments, Inc. other | Other | Sep 27, 2012 | Jun 11, 2013 (257 d) |
| Marshall Ward Phillips | Wells Fargo Advisors wirehouse | U.S. Bancorp Investments, Inc. other | Other | Sep 26, 2012 | Sep 28, 2012 |
| Joseph Lawrence Weidenbach | J.P. Morgan Securities LLC wirehouse | U.S. Bancorp Investments, Inc. other | Other | Sep 21, 2012 | Dec 11, 2012 (81 d) |
| John Vincent Rack | Equitable Advisors, LLC national BD | U.S. Bancorp Investments, Inc. other | Other | Sep 12, 2012 | Aug 31, 2012 |
| Patrick Neal Lundy | Associated Investment Services, Inc. other | U.S. Bancorp Investments, Inc. other | Other | Sep 11, 2012 | Aug 30, 2012 |
| Blaise Thomas Wethern | Edward Jones national BD | U.S. Bancorp Investments, Inc. other | Other | Sep 11, 2012 | Jan 10, 2014 (486 d) |
| Lisa P Britt | Pnc Wealth Management other | U.S. Bancorp Investments, Inc. other | Other | Sep 7, 2012 | Aug 31, 2012 |
| Eric Jean Overvig | Associated Investment Services, Inc. other | U.S. Bancorp Investments, Inc. other | Other | Aug 21, 2012 | Aug 17, 2012 |
| Raymond Cripps De Witt | Ameriprise Financial Services, LLC national BD | U.S. Bancorp Investments, Inc. other | Other | Aug 10, 2012 | Aug 8, 2012 |
| Thomas Allen Barten | Edward Jones national BD | U.S. Bancorp Investments, Inc. other | Other | Aug 2, 2012 | Feb 12, 2013 (194 d) |
| Lincoln Paul Kopetski | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | U.S. Bancorp Investments, Inc. other | Other | Aug 1, 2012 | Jul 30, 2012 |
| Helen Hui Zhou | Wells Fargo Advisors wirehouse | U.S. Bancorp Investments, Inc. other | Other | Jul 18, 2012 | Mar 4, 2013 (229 d) |
| Robert Jeffrey Hawkins | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | U.S. Bancorp Investments, Inc. other | Other | Jul 17, 2012 | Jul 13, 2012 |
| Nicole Maria Casp | Pnc Wealth Management other | U.S. Bancorp Investments, Inc. other | Other | Jul 10, 2012 | Jul 23, 2012 |
| Daryl Roam Gourley | Edward Jones national BD | U.S. Bancorp Investments, Inc. other | Other | Jul 2, 2012 | Jun 29, 2012 |
| Kristi D Hill | Fifth Third Securities, Inc. other | U.S. Bancorp Investments, Inc. other | Other | Jun 28, 2012 | Jun 25, 2012 |
| Benjamin Joseph Burkemper | Edward Jones national BD | U.S. Bancorp Investments, Inc. other | Other | Jun 28, 2012 | Jul 11, 2012 |
| Kenneth Wayne Bane | Strategic Advisers LLC national BD | U.S. Bancorp Investments, Inc. other | Other | Jun 27, 2012 | Jun 25, 2012 |
| Joseph John Zaiter | Edward Jones national BD | U.S. Bancorp Investments, Inc. other | Other | Jun 26, 2012 | Jul 3, 2012 |
| Michael Steven Millman | Wells Fargo Advisors wirehouse | U.S. Bancorp Investments, Inc. other | Other | Jun 22, 2012 | Apr 19, 2013 (301 d) |
| Frank N Cradduck | Fifth Third Securities, Inc. other | U.S. Bancorp Investments, Inc. other | Other | Jun 21, 2012 | Jun 21, 2012 |
| Gene Lee Gloriani | Wells Fargo Advisors wirehouse | U.S. Bancorp Investments, Inc. other | Other | Jun 19, 2012 | Jun 13, 2012 |
| Stephen Joseph Mckinstry | Morgan Keegan & Company, LLC other | U.S. Bancorp Investments, Inc. other | Other | Jun 18, 2012 | Jun 15, 2012 |
| Richard Lee Chambers | Cuso Financial Services, L.P. other | U.S. Bancorp Investments, Inc. other | Other | Jun 8, 2012 | May 31, 2012 |
| Bradley Steven Stark | UBS Financial Services Inc. wirehouse | U.S. Bancorp Investments, Inc. other | Other | Jun 8, 2012 | May 31, 2012 |
| Damon R Couch | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | U.S. Bancorp Investments, Inc. other | Other | Jun 7, 2012 | Jun 5, 2012 |
| Brian Henry Bruscino | Citizens Securities, Inc. other | U.S. Bancorp Investments, Inc. other | Other | Jun 7, 2012 | Jun 1, 2012 |
| Michael John Mathis | Edward Jones national BD | U.S. Bancorp Investments, Inc. other | Other | Jun 6, 2012 | Jun 4, 2012 |
| Eric Michael Yudis | Chase Investment Services Corp. other | U.S. Bancorp Investments, Inc. other | Other | Jun 5, 2012 | May 31, 2012 |
| Justin Anthony Mcbride | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | U.S. Bancorp Investments, Inc. other | Other | Jun 4, 2012 | Jun 1, 2012 |
| Darrin Leon Wiseman | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | U.S. Bancorp Investments, Inc. other | Other | Jun 4, 2012 | Jun 1, 2012 |
| Esteban Rene Zuno | Chase Investment Services Corp. other | U.S. Bancorp Investments, Inc. other | Other | Jun 4, 2012 | Jun 1, 2012 |
| Brian Russell Vowinkel | Ranger Select LLC unclassified | U.S. Bancorp Investments, Inc. other | Other | Jun 1, 2012 | Jul 27, 2012 (56 d) |
| Jeffrey David Shrives | Wells Fargo Advisors wirehouse | U.S. Bancorp Investments, Inc. other | Other | Jun 1, 2012 | Jun 1, 2012 |
| Robert Michael Rubottom | Wells Fargo Advisors wirehouse | U.S. Bancorp Investments, Inc. other | Other | May 30, 2012 | Jul 25, 2012 (56 d) |
| Janelle Evon Williams | Morgan Stanley wirehouse | U.S. Bancorp Investments, Inc. other | Other | May 29, 2012 | May 15, 2012 |
| Francis J Deblasi | J.P. Morgan Securities LLC wirehouse | U.S. Bancorp Investments, Inc. other | Other | May 15, 2012 | Dec 9, 2013 (573 d) |
| Ali M Banki | J.P. Morgan Securities LLC wirehouse | U.S. Bancorp Investments, Inc. other | Other | May 15, 2012 | Jul 18, 2017 (1890 d) |
| Harold Thomas Boucher | Edward Jones national BD | U.S. Bancorp Investments, Inc. other | Other | May 11, 2012 | May 16, 2012 |
| Vince Lagatta | Bancwest Investment Services, Inc. (Bwis) other | U.S. Bancorp Investments, Inc. other | Other | May 1, 2012 | May 2, 2012 |
| Timothy Carroll | Edward Jones national BD | U.S. Bancorp Investments, Inc. other | Other | Apr 30, 2012 | May 9, 2012 |
| Luke Kreikemeier Rihanek | Edward Jones national BD | U.S. Bancorp Investments, Inc. other | Other | Apr 26, 2012 | May 4, 2012 |
| Richard Omar Wilson | LPL Financial LLC other | U.S. Bancorp Investments, Inc. other | Other | Apr 19, 2012 | Mar 21, 2012 |
| Elizabeth Anne Kilmer | U.S. Bancorp Advisors, LLC other | U.S. Bancorp Investments, Inc. other | Other | Apr 16, 2012 | Apr 16, 2012 |
| Mitchell Marriott | Cetera Investment Advisers LLC other | U.S. Bancorp Investments, Inc. other | Other | Apr 11, 2012 | Jun 29, 2012 (79 d) |
| Charles Richard Eller | LPL Financial LLC other | U.S. Bancorp Investments, Inc. other | Other | Apr 10, 2012 | Mar 30, 2012 |
| William Blaine Burton | Morgan Stanley wirehouse | U.S. Bancorp Investments, Inc. other | Other | Apr 5, 2012 | Mar 8, 2012 |
| Peter Douglas Holoien | Cuna Brokerage Services, Inc. other | U.S. Bancorp Investments, Inc. other | Other | Apr 4, 2012 | Apr 4, 2012 |
| Scott Joseph Wilson | Edward Jones national BD | U.S. Bancorp Investments, Inc. other | Other | Apr 2, 2012 | Mar 30, 2012 |
| Matthew Aaron Goldstein | Ameriprise Financial Services, LLC national BD | U.S. Bancorp Investments, Inc. other | Other | Apr 2, 2012 | Apr 2, 2012 |
| Heidi Eileen Spurlock | Chase Investment Services Corp. other | U.S. Bancorp Investments, Inc. other | Other | Mar 30, 2012 | Apr 3, 2012 |
| Robert Kenyon Spears | Chase Investment Services Corp. other | U.S. Bancorp Investments, Inc. other | Other | Mar 30, 2012 | Mar 26, 2012 |
| Sean Michael Fairclough | Morgan Stanley wirehouse | U.S. Bancorp Investments, Inc. other | Other | Mar 20, 2012 | Mar 15, 2012 |
| Randy Patrick Ekenberg | Wells Fargo Advisors wirehouse | U.S. Bancorp Investments, Inc. other | Other | Mar 19, 2012 | Oct 11, 2013 (571 d) |