| Peter Kurt Heger | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Janney Montgomery Scott LLC other | Other | Feb 22, 2007 | Feb 22, 2007 |
| Rochelle Kipperman Bullen | Citigroup Global Markets Inc. other | Janney Montgomery Scott LLC other | Other | Feb 1, 2007 | Jan 22, 2007 |
| Richard Thomas Steury | Keybanc Capital Markets Inc. unclassified | Janney Montgomery Scott LLC other | Other | Jan 22, 2007 | Jan 11, 2007 |
| Clare Marian Schwemlein-Brownfield | Keybanc Capital Markets Inc. unclassified | Janney Montgomery Scott LLC other | Other | Jan 22, 2007 | Jan 11, 2007 |
| Susan Jones Kirkpatrick | Fortitude Advisory Group L.L.C. other | Janney Montgomery Scott LLC other | Other | Jan 9, 2007 | Feb 12, 2007 (34 d) |
| Kenneth Souser | Key Investment Services LLC other | Janney Montgomery Scott LLC other | Other | Dec 31, 2006 | Sep 30, 2011 (1734 d) |
| Jeffrey Robert Scharf | Nuveen Fund Advisors, LLC other | Janney Montgomery Scott LLC other | Other | Dec 5, 2006 | Dec 11, 2006 |
| Joseph David Falcone | UBS Financial Services Inc. wirehouse | Janney Montgomery Scott LLC other | Other | Dec 1, 2006 | Dec 1, 2006 |
| Gail Marie Kelly-Brown | Wells Fargo Advisors wirehouse | Janney Montgomery Scott LLC other | Other | Dec 1, 2006 | Dec 4, 2006 |
| Thomas Joseph Urban | Ameriprise Advisor Services, Inc. unclassified | Janney Montgomery Scott LLC other | Other | Nov 7, 2006 | Nov 6, 2006 |
| Maureen Agnes Cunningham | Morgan Stanley Dw Inc. unclassified | Janney Montgomery Scott LLC other | Other | Nov 3, 2006 | Nov 2, 2006 |
| Mark Elwyn Van Houten | Td Ameritrade Investment Management, LLC other | Janney Montgomery Scott LLC other | Other | Oct 3, 2006 | Nov 16, 2006 (44 d) |
| Roy Michael Blumberg | Sterne Agee Asset Management, Inc. other | Janney Montgomery Scott LLC other | Other | Sep 29, 2006 | Jul 17, 2006 |
| Lysandra Danielle Maxim | Hsbc Securities (USA) Inc. other | Janney Montgomery Scott LLC BD affiliated | Other | Sep 28, 2006 | Apr 3, 2018 (4205 d) |
| Brian Scott Parness | UBS Financial Services Inc. wirehouse | Janney Montgomery Scott LLC other | Other | Sep 12, 2006 | Sep 8, 2006 |
| Gary Richard Neigeborn | Wells Fargo Advisors wirehouse | Janney Montgomery Scott LLC other | Other | Sep 11, 2006 | Sep 25, 2006 |
| Christina Anne Nagy | Td Wealth Management Services Inc. unclassified | Janney Montgomery Scott LLC other | Other | Aug 15, 2006 | Aug 14, 2006 |
| Mark Leslie Mohan | Wells Fargo Advisors wirehouse | Janney Montgomery Scott LLC other | Other | Jul 5, 2006 | Jul 5, 2006 |
| David John Horonzy | Raymond James Financial Services, Inc. unclassified | Janney Montgomery Scott LLC other | Other | Jun 21, 2006 | Jul 20, 2006 |
| Christopher Edward Gardner | Taylor Securities, Inc. other | Janney Montgomery Scott LLC BD affiliated | Other | Jun 16, 2006 | Nov 6, 2025 (7083 d) |
| John Raymond Buoni | Pnc Wealth Management other | Janney Montgomery Scott LLC other | Other | May 30, 2006 | May 19, 2006 |
| Gerald Myron Berman | Advest, Inc. unclassified | Janney Montgomery Scott LLC other | Other | Dec 21, 2005 | Dec 6, 2005 |
| Robert Wayne Martin | Sterne Agee Asset Management, Inc. other | Janney Montgomery Scott LLC other | Other | Dec 19, 2005 | Dec 14, 2005 |
| Thomas Earle Day | Advest, Inc. unclassified | Janney Montgomery Scott LLC other | Other | Dec 12, 2005 | Nov 21, 2005 |
| Michael Brian Levin | Advest, Inc. unclassified | Janney Montgomery Scott LLC other | Other | Dec 9, 2005 | Nov 15, 2005 |
| Michael John Gordon | Wells Fargo Advisors wirehouse | Janney Montgomery Scott LLC other | Other | Nov 23, 2005 | Nov 23, 2005 |
| Stacey Gean Englander | Advest, Inc. unclassified | Janney Montgomery Scott LLC other | Other | Nov 14, 2005 | Nov 7, 2005 |
| Barbara Kinsey | Morgan Stanley Dw Inc. unclassified | Janney Montgomery Scott LLC other | Other | Aug 23, 2005 | Aug 12, 2005 |
| Jonathan Kent Ganzert | UBS Financial Services Inc. wirehouse | Janney Montgomery Scott LLC other | Other | Jul 29, 2005 | Jul 29, 2005 |
| Lynn Suzanne Erskine | Amg Distributors, Inc. unclassified | Janney Montgomery Scott LLC other | Other | Jul 5, 2005 | Jan 13, 2014 (3114 d) |
| Drew Randall Pickard | Morgan Stanley Dw Inc. unclassified | Janney Montgomery Scott LLC other | Other | Jun 2, 2005 | May 31, 2005 |
| Jonathan Pastor Gomez | A. G. Edwards & Sons, Inc. unclassified | Janney Montgomery Scott LLC other | Other | May 19, 2005 | Apr 28, 2005 |
| Eric Peter Rabaskas | Ryan Beck & Co. unclassified | Janney Montgomery Scott LLC other | Other | May 17, 2005 | May 17, 2005 |
| Kenneth Andrew Feiertag | A. G. Edwards & Sons, Inc. unclassified | Janney Montgomery Scott LLC other | Other | Mar 29, 2005 | Mar 25, 2005 |
| William Joseph Flynn | Morgan Stanley Dw Inc. unclassified | Janney Montgomery Scott LLC other | Other | Mar 16, 2005 | Dec 6, 2007 (995 d) |
| Walter J Mack | Morgan Stanley Dw Inc. unclassified | Janney Montgomery Scott LLC other | Other | Feb 28, 2005 | May 15, 2006 (441 d) |
| Daniel Trent Lancaster | UBS Financial Services Inc. wirehouse | Janney Montgomery Scott LLC other | Other | Feb 8, 2005 | Feb 10, 2005 |
| Allison Taylor Casey | Rorer Asset Management LLC unclassified | Janney Montgomery Scott LLC other | Other | Jan 4, 2005 | Jan 12, 2005 |
| Christopher John Guandolo | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Janney Montgomery Scott LLC other | Other | Dec 14, 2004 | Aug 27, 2007 (986 d) |
| Marc Allen Brown | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Janney Montgomery Scott LLC other | Other | Dec 10, 2004 | Aug 23, 2007 (986 d) |
| Randall Charles Cohen | Putnam Investment Management, LLC other | Janney Montgomery Scott LLC other | Other | Nov 9, 2004 | Nov 24, 2004 |
| Daniel Gene Smith | Wells Fargo Advisors wirehouse | Janney Montgomery Scott LLC other | Other | Sep 13, 2004 | Feb 27, 2008 (1262 d) |
| Gregory Alan Lester | Wells Fargo Advisors wirehouse | Janney Montgomery Scott LLC other | Other | Jul 13, 2004 | Oct 21, 2004 (100 d) |
| Davis Page Smith | Ameriprise Financial Services, LLC national BD | Janney Montgomery Scott LLC other | Other | May 20, 2004 | Dec 3, 2008 (1658 d) |
| Norma Ivette Montalvo | Wells Fargo Advisors wirehouse | Janney Montgomery Scott LLC other | Other | May 14, 2004 | Jan 27, 2006 (623 d) |
| Richard Albert Bonnette | Citigroup Global Markets Inc. other | Janney Montgomery Scott LLC other | Other | May 6, 2004 | Aug 23, 2005 (474 d) |
| Paul Alfred Tropea | Citigroup Global Markets Inc. other | Janney Montgomery Scott LLC other | Other | May 6, 2004 | Aug 2, 2005 (453 d) |
| Carol Ann Mansour-Ezzell | UBS Financial Services Inc. wirehouse | Janney Montgomery Scott LLC other | Other | Mar 11, 2004 | Dec 17, 2004 (281 d) |
| David Alan Cormier | Citigroup Global Markets Inc. other | Janney Montgomery Scott LLC other | Other | Oct 10, 2003 | Oct 15, 2003 |
| Chad Matthew Kupreanik | UBS Financial Services Inc. wirehouse | Janney Montgomery Scott LLC other | Other | Aug 28, 2003 | Oct 29, 2004 (428 d) |
| Stuart Michael Singer | UBS Financial Services Inc. wirehouse | Janney Montgomery Scott LLC other | Other | Aug 28, 2003 | Nov 1, 2004 (431 d) |
| Mark Douglas Mensack | Legg Mason Wood Walker, Incorporated unclassified | Janney Montgomery Scott LLC other | Other | Aug 7, 2003 | Feb 18, 2005 (561 d) |
| William Edward Keenan | Morgan Stanley Dw Inc. unclassified | Janney Montgomery Scott LLC other | Other | Jul 30, 2003 | Apr 1, 2005 (611 d) |
| Charles Alexander Creekmore | Wells Fargo Advisors wirehouse | Janney Montgomery Scott LLC other | Other | Jun 19, 2003 | Dec 17, 2004 (547 d) |
| Fredrick Ross Bennett | Prudential Equity Group, LLC unclassified | Janney Montgomery Scott LLC other | Other | Jun 2, 2003 | Apr 5, 2006 (1038 d) |
| Sandy Meyer Leff | Wells Fargo Advisors wirehouse | Janney Montgomery Scott LLC other | Other | May 19, 2003 | Apr 4, 2005 (686 d) |
| Brendan Kernkamp Leavey | UBS Financial Services Inc. wirehouse | Janney Montgomery Scott LLC other | Other | Feb 14, 2003 | Jan 18, 2006 (1069 d) |
| Michael Edouard Blankenship | Morgan Stanley Dw Inc. unclassified | Janney Montgomery Scott LLC other | Other | Feb 11, 2003 | May 10, 2005 (819 d) |
| Jeffrey Allen Schnee | UBS Financial Services Inc. wirehouse | Janney Montgomery Scott LLC other | Other | Jan 30, 2003 | May 18, 2005 (839 d) |
| Eric Leigh Jacobs | Prudential Equity Group, LLC unclassified | Janney Montgomery Scott LLC other | Other | Jan 10, 2003 | Jun 7, 2006 (1244 d) |