| Aaron T Olson | Chase Investment Services Corp. other | U.S. Bancorp Investments, Inc. other | Other | Mar 13, 2012 | Mar 12, 2012 |
| Joel H Yudenfreund | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | U.S. Bancorp Investments, Inc. other | Other | Mar 6, 2012 | Nov 14, 2012 (253 d) |
| Neil John Okeeffe | Alliancebernstein L.P. other | U.S. Bancorp Investments, Inc. other | Other | Feb 28, 2012 | Mar 28, 2013 (394 d) |
| Kyle Christopher Laube | Waddell & Reed other | U.S. Bancorp Investments, Inc. other | Other | Feb 28, 2012 | Feb 22, 2012 |
| Dru Berton Hull | Edward Jones national BD | U.S. Bancorp Investments, Inc. other | Other | Feb 22, 2012 | Feb 23, 2012 |
| Omar Chyou | Wells Fargo Advisors wirehouse | U.S. Bancorp Investments, Inc. other | Other | Feb 7, 2012 | Mar 8, 2013 (395 d) |
| Kenneth Michael Wachtendorf | Key Investment Services LLC other | U.S. Bancorp Investments, Inc. other | Other | Jan 24, 2012 | Feb 2, 2012 |
| Frank Jerome Grossman | Fifth Third Securities, Inc. other | U.S. Bancorp Investments, Inc. other | Other | Jan 6, 2012 | Jan 4, 2012 |
| Michael Anthony New | Fifth Third Securities, Inc. other | U.S. Bancorp Investments, Inc. other | Other | Jan 6, 2012 | Jan 4, 2012 |
| Jeremy Beauregard Sloan | Wells Fargo Advisors wirehouse | U.S. Bancorp Investments, Inc. other | Other | Jan 3, 2012 | Jan 3, 2012 |
| Kristi Ann Crisman | Edward Jones national BD | U.S. Bancorp Investments, Inc. other | Other | Jan 3, 2012 | Jan 3, 2012 |
| Grant Richard Melquist | RBC Capital Markets, LLC national BD | U.S. Bancorp Investments, Inc. other | Other | Dec 22, 2011 | Jan 6, 2012 |
| Adam Randal Floto | Edward Jones national BD | U.S. Bancorp Investments, Inc. other | Other | Dec 21, 2011 | Dec 20, 2011 |
| Laszlo Fodor | Wells Fargo Advisors wirehouse | U.S. Bancorp Investments, Inc. other | Other | Dec 20, 2011 | Dec 20, 2011 |
| Jeffrey Allen Borrowman | Wells Fargo Advisors wirehouse | U.S. Bancorp Investments, Inc. other | Other | Dec 2, 2011 | Nov 30, 2011 |
| William Dan Gotses | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | U.S. Bancorp Investments, Inc. other | Other | Nov 28, 2011 | Nov 22, 2011 |
| Christine Lynn Lambert | Fifth Third Securities, Inc. other | U.S. Bancorp Investments, Inc. other | Other | Nov 23, 2011 | Nov 23, 2011 |
| Gary Whitworth Pearson | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | U.S. Bancorp Investments, Inc. other | Other | Nov 22, 2011 | Nov 23, 2011 |
| Stephen Francis Stroup | Ameriprise Financial Services, LLC national BD | U.S. Bancorp Investments, Inc. other | Other | Nov 16, 2011 | Aug 5, 2014 (993 d) |
| Michael Jay Haney | Morgan Stanley wirehouse | U.S. Bancorp Investments, Inc. other | Other | Nov 9, 2011 | Nov 7, 2011 |
| William Cheng Wu Tung | Wells Fargo Advisors wirehouse | U.S. Bancorp Investments, Inc. other | Other | Nov 7, 2011 | Apr 8, 2013 (518 d) |
| Matthew Hans Weidinger | Wells Fargo Advisors wirehouse | U.S. Bancorp Investments, Inc. other | Other | Nov 7, 2011 | Mar 6, 2012 (120 d) |
| Kent Ryo Matsumoto | U.S. Bancorp Advisors, LLC other | U.S. Bancorp Investments, Inc. other | Other | Nov 7, 2011 | Nov 10, 2011 |
| Mark T Frederick | LPL Financial LLC other | U.S. Bancorp Investments, Inc. other | Other | Nov 7, 2011 | Oct 13, 2011 |
| Edward Alan Wyatt | Edward Jones national BD | U.S. Bancorp Investments, Inc. other | Other | Nov 7, 2011 | Nov 8, 2011 |
| Gregory Stephen Secaur | Wells Fargo Advisors wirehouse | U.S. Bancorp Investments, Inc. other | Other | Nov 7, 2011 | Aug 15, 2012 (282 d) |
| David Jared Anderson | Wells Fargo Advisors wirehouse | U.S. Bancorp Investments, Inc. other | Other | Nov 7, 2011 | Apr 30, 2012 (175 d) |
| Thoeurn Indy | Wells Fargo Advisors wirehouse | U.S. Bancorp Investments, Inc. other | Other | Nov 1, 2011 | Nov 8, 2011 |
| Leroy Born | U.S. Bancorp Advisors, LLC other | U.S. Bancorp Investments, Inc. other | Other | Oct 31, 2011 | Nov 1, 2011 |
| Larry Keith Eggers | LPL Financial LLC other | U.S. Bancorp Investments, Inc. other | Other | Oct 31, 2011 | Oct 17, 2011 |
| Feraas Isa Suleyman | Fifth Third Securities, Inc. other | U.S. Bancorp Investments, Inc. other | Other | Oct 28, 2011 | Nov 7, 2011 |
| Rachel Trimble | UBS Financial Services Inc. wirehouse | U.S. Bancorp Investments, Inc. other | Other | Oct 25, 2011 | Oct 18, 2011 |
| Robert Louis Van Erem | Wells Fargo Advisors wirehouse | U.S. Bancorp Investments, Inc. other | Other | Oct 5, 2011 | Sep 19, 2011 |
| Adam Fowler | Chase Investment Services Corp. other | U.S. Bancorp Investments, Inc. other | Other | Oct 5, 2011 | Oct 6, 2011 |
| Jeffrey David Lammert | Chase Investment Services Corp. other | U.S. Bancorp Investments, Inc. other | Other | Oct 4, 2011 | Oct 4, 2011 |
| Diane Isabela Fredericks | Edward Jones national BD | U.S. Bancorp Investments, Inc. other | Other | Sep 29, 2011 | Sep 30, 2011 |
| Justin D Black | Strategic Advisers LLC national BD | U.S. Bancorp Investments, Inc. other | Other | Sep 27, 2011 | Apr 16, 2013 (567 d) |
| Vartges Mark Markarian | J.P. Morgan Private Wealth Advisors LLC other | U.S. Bancorp Investments, Inc. other | Other | Sep 23, 2011 | Apr 17, 2013 (572 d) |
| Tyler Landon Williams | Pnc Wealth Management other | U.S. Bancorp Investments, Inc. other | Other | Sep 22, 2011 | Oct 3, 2011 |
| Jason Scott Hildebrant | Phillips & Company other | U.S. Bancorp Investments, Inc. other | Other | Sep 20, 2011 | Sep 12, 2011 |
| Matthew Edward Balecki | Chase Investment Services Corp. other | U.S. Bancorp Investments, Inc. other | Other | Sep 19, 2011 | Oct 3, 2011 |
| Wesley Jonathan Robbins | LPL Financial LLC other | U.S. Bancorp Investments, Inc. other | Other | Sep 15, 2011 | Mar 25, 2011 |
| David John Legus | Alliancebernstein L.P. other | U.S. Bancorp Investments, Inc. other | Other | Sep 15, 2011 | Dec 6, 2012 (448 d) |
| Michael Larry Martin | LPL Financial LLC other | U.S. Bancorp Investments, Inc. other | Other | Sep 13, 2011 | Sep 9, 2011 |
| Scott Ryan Gonzales | Edward Jones national BD | U.S. Bancorp Investments, Inc. other | Other | Sep 9, 2011 | Sep 7, 2011 |
| Beau Gutierrez | Ameriprise Financial Services, LLC national BD | U.S. Bancorp Investments, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 6, 2011 | Mar 6, 2020 (3104 d) |
| Scott Christopher Linden | Morgan Stanley wirehouse | U.S. Bancorp Investments, Inc. other | Other | Aug 30, 2011 | Sep 30, 2011 (31 d) |
| Stephanie Michelle Patton | Fifth Third Securities, Inc. other | U.S. Bancorp Investments, Inc. other | Other | Aug 5, 2011 | Aug 11, 2011 |
| Vernos Kenneth Williams | Fifth Third Securities, Inc. other | U.S. Bancorp Investments, Inc. other | Other | Aug 5, 2011 | Jul 28, 2011 |
| Jeffrey Neal Mcwhorter | Chase Investment Services Corp. other | U.S. Bancorp Investments, Inc. other | Other | Aug 3, 2011 | Aug 2, 2011 |
| Chad William Davey | Edward Jones national BD | U.S. Bancorp Investments, Inc. other | Other | Aug 2, 2011 | Aug 3, 2011 |
| Heather Anne Shea | Palouse Capital Management, Inc. other | U.S. Bancorp Investments, Inc. other | Other | Jul 29, 2011 | May 21, 2012 (297 d) |
| Kyle Ross Hidlebaugh | Wells Fargo Advisors wirehouse | U.S. Bancorp Investments, Inc. other | Other | Jul 22, 2011 | Jul 28, 2011 |
| Jason Daniel Lee Herman | Wells Fargo Advisors wirehouse | U.S. Bancorp Investments, Inc. other | Other | Jul 18, 2011 | Jul 28, 2011 |
| Paul William Borowski | Alliancebernstein L.P. other | U.S. Bancorp Investments, Inc. other | Other | Jul 15, 2011 | Apr 8, 2013 (633 d) |
| Matthew Paul Giesler | Chase Investment Services Corp. other | U.S. Bancorp Investments, Inc. other | Other | Jul 13, 2011 | Jul 12, 2011 |
| Patrick Michael O'Connell | Chase Investment Services Corp. other | U.S. Bancorp Investments, Inc. BD affiliated | Other | Jul 11, 2011 | Nov 17, 2023 (4512 d) |
| Christopher Ryan Krzus | Bmo Harris Financial Advisors, Inc other | U.S. Bancorp Investments, Inc. other | Other | Jul 8, 2011 | Jun 27, 2011 |
| Anthony Paul Rahrig | Fifth Third Securities, Inc. other | U.S. Bancorp Investments, Inc. other | Other | Jul 8, 2011 | Jul 7, 2011 |
| Jon Springer | Wells Fargo Advisors wirehouse | U.S. Bancorp Investments, Inc. other | Other | Jul 7, 2011 | Jul 29, 2011 |