| John David Haller | Cetera Advisors LLC other | Brokersxpress LLC other | Other | Dec 10, 2008 | Dec 9, 2008 |
| Brian Keith Moon | Institutional Securities Corporation other | Brokersxpress LLC other | Other | Nov 7, 2008 | Nov 6, 2008 |
| David Brandon Cottrell | Fmsi Advisers other | Brokersxpress LLC other | Other | Oct 29, 2008 | Sep 30, 2008 |
| Steven Paul Van Metre | Capital Financial Services, Inc. other | Brokersxpress LLC other | Other | Sep 4, 2008 | Aug 28, 2008 |
| Peter Stuart Wyrough | Raymond James Financial Services, Inc. unclassified | Brokersxpress LLC other | Other | Aug 15, 2008 | Nov 4, 2008 (81 d) |
| Scott Kendall Branson | Ssn Advisory, Inc. other | Brokersxpress LLC other | Other | May 19, 2008 | May 22, 2008 |
| Jennifer Marie Tarnoff | Fmsi Advisers other | Brokersxpress LLC other | Other | Apr 29, 2008 | Apr 28, 2008 |
| Jackson John Lounsberry | Jmg Capital Advisors, LLC unclassified | Brokersxpress LLC other | Other | Mar 25, 2008 | Dec 10, 2007 |
| William Michael Stewart | Oneamerica Securities, Inc. other | Brokersxpress LLC other | Other | Mar 7, 2008 | Feb 29, 2008 |
| James Thomas Caulfield | Madison Avenue Advisors, Inc. unclassified | Brokersxpress LLC other | Other | Dec 6, 2007 | Dec 10, 2007 |
| John S Emmett | Wells Fargo Advisors wirehouse | Brokersxpress LLC other | Other | Dec 5, 2007 | Jan 9, 2008 (35 d) |
| David Lawrence Dosik | Financial West Group other | Brokersxpress LLC other | Other | Dec 3, 2007 | Dec 4, 2007 |
| Mark Thomas Kollar | UBS Financial Services Inc. wirehouse | Brokersxpress LLC other | Other | Sep 19, 2007 | Jan 14, 2009 (483 d) |
| Sean Joseph Green | A. G. Edwards & Sons, Inc. unclassified | Brokersxpress LLC other | Other | Jul 6, 2007 | Jan 18, 2008 (196 d) |
| Brian James Wiley | Securities America Advisors, Inc. other | Brokersxpress LLC other | Other | Jun 23, 2007 | Jun 21, 2007 |
| Kris Michael Pelster | Securities America Advisors, Inc. other | Brokersxpress LLC other | Other | Jun 23, 2007 | Jun 25, 2007 |
| Michael Stephen Constantine | Ameriprise Financial Services, LLC national BD | Brokersxpress LLC other | Other | Jun 19, 2007 | Jun 19, 2007 |
| James Scott Wolter | Osaic Fa, Inc. other | Brokersxpress LLC other | Other | Oct 31, 2006 | Aug 17, 2007 (290 d) |
| David Michael Warrick | J.C. Warrick & Co. Inc. unclassified | Brokersxpress LLC other | Other | Sep 29, 2006 | Oct 19, 2006 |
| Michael Alan Hamilton | Walnut Street Securities, Inc. other | Brokersxpress LLC other | Other | Sep 29, 2006 | Jun 19, 2009 (994 d) |
| Allyson Marta Saldana | Citicorp Investment Services unclassified | Brokersxpress LLC other | Other | Jul 26, 2006 | Apr 2, 2008 (616 d) |
| Kathlene Elizabeth Garber | Charles Schwab & Co., Inc. national BD | Brokersxpress LLC other | Other | Mar 30, 2006 | Oct 12, 2006 (196 d) |
| Daniel R Levene | Salomon Grey Financial Corporation unclassified | Brokersxpress LLC other | Other | Feb 17, 2006 | Jul 30, 2010 (1624 d) |
| John Harrison Ellis | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Brokersxpress LLC other | Other | Nov 30, 2005 | Aug 8, 2007 (616 d) |
| Glenn Anthony Cunningham | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Brokersxpress LLC other | Other | Oct 3, 2005 | Jan 3, 2008 (822 d) |
| Michael R Tosaw | Voya Financial Advisors, Inc. other | Brokersxpress LLC other | Other | Apr 21, 2005 | Jul 14, 2009 (1545 d) |
| Alexander L Rynkovsky | Insight Securities, Inc. other | Brokersxpress LLC other | Other | Mar 31, 2004 | Nov 30, 2010 (2435 d) |
| Gabriel Simon Kora | Msi Financial Services, Inc. other | Brokersxpress LLC other | Other | Mar 26, 2003 | Apr 21, 2008 (1853 d) |