| James Gregory Everlof | Santander Securities other | Citizens Securities, Inc. other | Other | Apr 28, 2014 | May 2, 2014 |
| Stephen Edward O'Callaghan | Santander Securities other | Citizens Securities, Inc. other | Other | Apr 16, 2014 | Apr 14, 2014 |
| Brian T Sullivan | Santander Securities other | Citizens Securities, Inc. other | Other | Apr 8, 2014 | Apr 11, 2014 |
| Aubrea Ryan | UBS Financial Services Inc. wirehouse | Citizens Securities, Inc. other | Other | Apr 1, 2014 | Aug 6, 2014 (127 d) |
| Michael D Snoeyink | Raymond James & Associates, Inc. national BD | Citizens Securities, Inc. other | Other | Mar 26, 2014 | May 25, 2017 (1156 d) |
| Eric Dale Baker | Fifth Third Securities, Inc. other | Citizens Securities, Inc. other | Other | Mar 21, 2014 | Apr 3, 2014 |
| Scott Wayne Coulter | Santander Securities other | Citizens Securities, Inc. other | Other | Mar 18, 2014 | Mar 21, 2014 |
| Deborah Ann Farrell | Wells Fargo Advisors wirehouse | Citizens Securities, Inc. other | Other | Mar 17, 2014 | Apr 30, 2014 (44 d) |
| James Bernard Simon | Wells Fargo Advisors wirehouse | Citizens Securities, Inc. other | Other | Feb 24, 2014 | Feb 24, 2014 |
| Austin Lacey Alamander Holbrook | Pnc Wealth Management other | Citizens Securities, Inc. other | Other | Feb 21, 2014 | Feb 11, 2014 |
| Gregory H Kirwan | LPL Financial LLC other | Citizens Securities, Inc. other | Other | Feb 3, 2014 | Jan 28, 2014 |
| Frank Frederick Loria | People'S Securities, Inc. other | Citizens Securities, Inc. other | Other | Jan 13, 2014 | Jan 13, 2014 |
| Jared D Dykes | LPL Financial LLC other | Citizens Securities, Inc. other | Other | Dec 23, 2013 | Dec 16, 2013 |
| James Allen Stein | Pnc Wealth Management other | Citizens Securities, Inc. other | Other | Dec 16, 2013 | Dec 16, 2013 |
| Nicholas Selca | Mangotree Capital, LLC state registered | Citizens Securities, Inc. other | Other | Dec 2, 2013 | Dec 9, 2013 |
| Jonathan Daly | Harvest Capital Advisors, LLC unclassified | Citizens Securities, Inc. other | Other | Nov 27, 2013 | Jan 5, 2015 (404 d) |
| William Robert Jirousek | Key Investment Services LLC other | Citizens Securities, Inc. other | Other | Nov 18, 2013 | Nov 18, 2013 |
| Stephen Victor Wolff | Pnc Wealth Management other | Citizens Securities, Inc. other | Other | Nov 5, 2013 | Nov 12, 2013 |
| Daniel Lemuel Andrews | Td Ameritrade, Inc. no RAUM | Citizens Securities, Inc. other | Other | Oct 28, 2013 | Oct 6, 2014 (343 d) |
| Daniel Lemuel Andrews | Td Ameritrade Investment Management, LLC other | Citizens Securities, Inc. other | Other | Oct 28, 2013 | Oct 6, 2014 (343 d) |
| Dennis L Gump | Investors Capital Advisory other | Citizens Securities, Inc. other | Other | Oct 4, 2013 | Oct 1, 2013 |
| Jeff Ryan Osaer | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Citizens Securities, Inc. other | Other | Oct 3, 2013 | Oct 11, 2013 |
| Eric R Belsky | Santander Securities other | Citizens Securities, Inc. other | Other | Sep 27, 2013 | Sep 30, 2013 |
| Preeti Shah Tandon | Wells Fargo Advisors wirehouse | Citizens Securities, Inc. other | Other | Sep 24, 2013 | May 13, 2014 (231 d) |
| Scott J Palmatier | Icapital, LLC other | Citizens Securities, Inc. other | Other | Sep 17, 2013 | Aug 19, 2015 (701 d) |
| Robert S Lonardo | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Citizens Securities, Inc. other | Other | Aug 12, 2013 | Mar 23, 2015 (588 d) |
| Todd Michael Fischer | MML Investors Services, LLC other | Citizens Securities, Inc. other | Other | Jul 26, 2013 | Aug 6, 2013 |
| Philip Michael Cadden | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Citizens Securities, Inc. other | Other | Jul 17, 2013 | Jul 30, 2013 |
| Danielle Starr Washington | J.P. Morgan Securities LLC wirehouse | Citizens Securities, Inc. other | Other | Jul 3, 2013 | Jul 15, 2013 |
| Robert Brian Ferreira | Pnc Wealth Management other | Citizens Securities, Inc. other | Other | Jul 2, 2013 | Jul 12, 2013 |
| Kevin Darnell Newmuis | Invest Financial Corporation other | Citizens Securities, Inc. other | Other | Jun 18, 2013 | Jun 20, 2013 |
| Frank Wesley Morgan | Pnc Wealth Management other | Citizens Securities, Inc. other | Other | Jun 14, 2013 | Jul 2, 2013 |
| Edward Francis Pero | Key Investment Services LLC other | Citizens Securities, Inc. other | Other | Jun 13, 2013 | Jun 18, 2013 |
| Kelly Jane Romano | Pnc Wealth Management other | Citizens Securities, Inc. other | Other | Jun 12, 2013 | Jun 25, 2013 |
| Richard Cole | Oppenheimer & Co. Inc. other | Citizens Securities, Inc. other | Other | Jun 3, 2013 | Oct 24, 2014 (508 d) |
| Kwun (Kevin) Yue Wong | Hsbc Securities (USA) Inc. other | Citizens Securities, Inc. other | Other | May 28, 2013 | May 31, 2013 |
| Luis Dolan | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Citizens Securities, Inc. other | Other | May 16, 2013 | May 29, 2013 |
| Stephen Jude Wilson | Eagle Strategies LLC other | Citizens Securities, Inc. other | Other | May 16, 2013 | May 3, 2013 |
| Matthew James Mapley | Pnc Wealth Management other | Citizens Securities, Inc. other | Other | May 10, 2013 | May 17, 2013 |
| Christopher Anteau | Fifth Third Securities, Inc. other | Citizens Securities, Inc. other | Other | Apr 26, 2013 | May 1, 2013 |
| Adam Richard Wojtkowski | LPL Financial LLC other | Citizens Securities, Inc. other | Other | Apr 17, 2013 | Apr 24, 2013 |
| Frederick Paul Reiner | Morgan Stanley wirehouse | Citizens Securities, Inc. other | Other | Apr 10, 2013 | Apr 23, 2013 |
| Kimberly A Crespi | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Citizens Securities, Inc. other | Other | Apr 8, 2013 | Apr 25, 2013 |
| John Pikras | Pnc Wealth Management other | Citizens Securities, Inc. other | Other | Apr 8, 2013 | Apr 17, 2013 |
| Tiffany Marie Lyga | Morgan Stanley wirehouse | Citizens Securities, Inc. other | Other | Apr 8, 2013 | Jun 30, 2014 (448 d) |
| Steven Thomas Dean | Msi Financial Services, Inc. other | Citizens Securities, Inc. other | Other | Apr 3, 2013 | Apr 11, 2013 |
| Steven Thomas Dean | Walnut Street Securities, Inc. other | Citizens Securities, Inc. other | Other | Apr 3, 2013 | Apr 11, 2013 |
| Steven Thomas Dean | New England Securities Corporation other | Citizens Securities, Inc. other | Other | Apr 3, 2013 | Apr 11, 2013 |
| Steven Thomas Dean | Tower Square Securities, Inc. other | Citizens Securities, Inc. other | Other | Apr 3, 2013 | Apr 11, 2013 |
| Aldin Rakovic | J.P. Morgan Securities LLC wirehouse | Citizens Securities, Inc. other | Other | Apr 3, 2013 | Apr 5, 2013 |
| Robert Steven Handley | Msi Financial Services, Inc. other | Citizens Securities, Inc. other | Other | Apr 2, 2013 | Jun 13, 2014 (437 d) |
| Daniel Michael Calarco | Wells Fargo Advisors wirehouse | Citizens Securities, Inc. other | Other | Mar 25, 2013 | Mar 27, 2013 |
| Jason C Bugg | Signator Investors, Inc. other | Citizens Securities, Inc. other | Other | Mar 22, 2013 | May 8, 2014 (412 d) |
| Dace Andrew Dekruif | Pnc Wealth Management other | Citizens Securities, Inc. other | Other | Mar 21, 2013 | Mar 25, 2013 |
| Pierre-Henry Masoin | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Citizens Securities, Inc. other | Other | Mar 19, 2013 | Nov 7, 2013 (233 d) |
| Ketan B Shah | Msi Financial Services, Inc. other | Citizens Securities, Inc. other | Other | Mar 18, 2013 | Jul 17, 2013 (121 d) |
| Stephen Eric Nichols | Principal Securities, Inc. other | Citizens Securities, Inc. other | Other | Mar 13, 2013 | Nov 12, 2015 (974 d) |
| Joseph Lagner | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Citizens Securities, Inc. other | Other | Mar 1, 2013 | Dec 15, 2016 (1385 d) |
| Armin Hrncic | Huntington Financial Advisors other | Citizens Securities, Inc. other | Other | Mar 1, 2013 | Mar 25, 2013 |
| Collin Roy Church Glover | Pnc Wealth Management other | Citizens Securities, Inc. other | Other | Feb 26, 2013 | Feb 28, 2013 |