| Drew Fisher Catanese | Waddell & Reed other | Msi Financial Services, Inc. other | Other | Jan 30, 2017 | Jan 27, 2017 |
| Daniel Joseph Heidelberger | Thrivent Investment Management Inc. other | Msi Financial Services, Inc. other | Other | Jan 4, 2017 | Jan 3, 2017 |
| Ledell Johnson | St. Bernard Financial Services, Inc. other | Msi Financial Services, Inc. other | Other | Dec 31, 2016 | Jan 26, 2017 |
| Michael Paul Darragh | Equitable Advisors, LLC national BD | Msi Financial Services, Inc. other | Other | Dec 16, 2016 | Dec 2, 2016 |
| Stephen Terry Wagstaff | Equitable Advisors, LLC national BD | Msi Financial Services, Inc. other | Other | Dec 16, 2016 | Dec 14, 2016 |
| Patrick Tantoco | Independent Financial Group, LLC other | Msi Financial Services, Inc. other | Other | Dec 13, 2016 | Dec 12, 2016 |
| Michael James Dimaggio | Mariner other | Msi Financial Services, Inc. other | Other | Dec 8, 2016 | Jan 2, 2015 |
| Sameer Srivastava | Pruco Securities, LLC other | Msi Financial Services, Inc. other | Other | Nov 15, 2016 | Jan 23, 2017 (69 d) |
| Roger Dale Malcolm | Mutual Of Omaha Investor Services, Inc. no RAUM | Msi Financial Services, Inc. other | Other | Nov 4, 2016 | Jan 6, 2017 (63 d) |
| Jennifer Rhine Dillee | Kestra Advisory Services, LLC other | Msi Financial Services, Inc. other | Other | Oct 31, 2016 | Nov 28, 2016 |
| Brett Kahnert | Waddell & Reed other | Msi Financial Services, Inc. other | Other | Oct 12, 2016 | Oct 12, 2016 |
| Cameron Guy Cubberley | Northwestern Mutual Investment Services,LLC no RAUM | Msi Financial Services, Inc. other | Other | Oct 5, 2016 | Nov 2, 2016 |
| David Nelson Drysdale | Hantz Financial Services, Inc. no RAUM | Msi Financial Services, Inc. other | Other | Oct 4, 2016 | Oct 18, 2016 |
| Michael Elias Houssan | Trustee Empowerment & Protection, Inc. other | Msi Financial Services, Inc. other | Other | Sep 30, 2016 | Sep 9, 2016 |
| David Richard Ojerholm | Trustee Empowerment & Protection, Inc. other | Msi Financial Services, Inc. other | Other | Sep 30, 2016 | Sep 9, 2016 |
| Gregg Carol Buxton | LPL Financial LLC other | Msi Financial Services, Inc. other | Other | Sep 26, 2016 | Sep 26, 2016 |
| Troy Lynn Olson | Fbl Investment Management Services, Inc. other | Msi Financial Services, Inc. other | Other | Sep 23, 2016 | Oct 3, 2016 |
| Michelle Chavez | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Msi Financial Services, Inc. other | Other | Sep 22, 2016 | Dec 7, 2016 (76 d) |
| Matthew Crowe | Equitable Advisors, LLC national BD | Msi Financial Services, Inc. other | Other | Sep 12, 2016 | Mar 1, 2017 (170 d) |
| Robert Thomas Weil | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Msi Financial Services, Inc. other | Other | Sep 2, 2016 | Sep 8, 2016 |
| Laura Jean Haynes | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Msi Financial Services, Inc. other | Other | Sep 2, 2016 | Sep 2, 2016 |
| Glennel Warren Jordan | LPL Financial LLC other | Msi Financial Services, Inc. other | Other | Aug 31, 2016 | Aug 18, 2016 |
| Gary C Markham | Northwestern Mutual Investment Services,LLC no RAUM | Msi Financial Services, Inc. other | Other | Aug 29, 2016 | Aug 26, 2016 |
| Blair Hunt Rogers | Kestra Advisory Services, LLC other | Msi Financial Services, Inc. other | Other | Aug 26, 2016 | Aug 31, 2016 |
| Neal James Hebert | Concourse Financial Group Advisors other | Msi Financial Services, Inc. other | Other | Aug 24, 2016 | Dec 16, 2016 (114 d) |
| John Edward Williams | Eagle Strategies LLC other | Msi Financial Services, Inc. other | Other | Aug 23, 2016 | Aug 15, 2016 |
| Douglas Padden | Eagle Strategies LLC other | Msi Financial Services, Inc. other | Other | Aug 15, 2016 | Aug 10, 2016 |
| Stephen Kenneth Goldberg | Firstrust Financial Advisors state registered | Msi Financial Services, Inc. other | Other | Aug 8, 2016 | Feb 4, 2011 |
| Adam Todd Sherman | Firstrust Financial Advisors state registered | Msi Financial Services, Inc. other | Other | Aug 2, 2016 | Feb 7, 2011 |
| Paul Allen Markowich | Firstrust Financial Advisors state registered | Msi Financial Services, Inc. other | Other | Aug 2, 2016 | Feb 4, 2011 |
| John Adam Trouy | Russell Investments other | Msi Financial Services, Inc. other | Other | Aug 2, 2016 | Sep 30, 2016 (59 d) |
| Herbert Karl Daroff | Mariner other | Msi Financial Services, Inc. other | Other | Jul 28, 2016 | Jan 2, 2015 |
| Paul Richard Buckley | Mariner other | Msi Financial Services, Inc. other | Other | Jul 28, 2016 | Jan 2, 2015 |
| William Ryan | Mariner other | Msi Financial Services, Inc. other | Other | Jul 28, 2016 | Jan 2, 2015 |
| John Hoogenboom | Mariner other | Msi Financial Services, Inc. other | Other | Jul 28, 2016 | Jan 2, 2015 |
| Michael Everett Genetti | Mariner other | Msi Financial Services, Inc. other | Other | Jul 28, 2016 | Jan 2, 2015 |
| John Esrom Anderson | First Command Advisory Services other | Msi Financial Services, Inc. other | Other | Jul 15, 2016 | Oct 21, 2016 (98 d) |
| Stephen Belsanti | Mariner other | Msi Financial Services, Inc. other | Other | Jul 13, 2016 | Jan 2, 2015 |
| Patrick Nee | Alpha Pension Group, Inc. no RAUM | Msi Financial Services, Inc. other | Other | Jul 11, 2016 | Aug 9, 2016 |
| Michael Thomas Meehan | Mariner other | Msi Financial Services, Inc. other | Other | Jun 15, 2016 | Jan 2, 2015 |
| Craig Barry Weiss | Comprehensive Capital Management, Inc. other | Msi Financial Services, Inc. other | Other | Jun 14, 2016 | Jul 1, 2016 |
| Matt Schommer | Waddell & Reed other | Msi Financial Services, Inc. other | Other | May 25, 2016 | Sep 23, 2016 (121 d) |
| John Michael Shelton | Ameritas Advisory Services other | Msi Financial Services, Inc. other | Other | May 20, 2016 | Apr 22, 2016 |
| Todd Richard Graham | Osaic Wealth, Inc. other | Msi Financial Services, Inc. other | Other | Apr 26, 2016 | Apr 25, 2016 |
| Bradley R Jones | Hantz Financial Services, Inc. no RAUM | Msi Financial Services, Inc. other | Other | Apr 22, 2016 | Apr 26, 2016 |
| Leor Baruch Getzel | Equitable Advisors, LLC national BD | Msi Financial Services, Inc. other | Other | Apr 20, 2016 | Apr 12, 2016 |
| Erica Lihong Pu | Hsbc Securities (USA) Inc. other | Msi Financial Services, Inc. other | Other | Apr 15, 2016 | Apr 28, 2016 |
| Anthony Leonardo Maiuolo | B. Riley Wealth Advisors, Inc. other | Msi Financial Services, Inc. other | Other | Apr 8, 2016 | Apr 21, 2016 |
| Christopher John Ricketts | Valic Financial Advisors, Inc. other | Msi Financial Services, Inc. other | Other | Apr 8, 2016 | Mar 31, 2016 |
| Tillman Ralph Meetze | LPL Financial LLC other | Msi Financial Services, Inc. other | Other | Apr 1, 2016 | Mar 18, 2016 |
| Gerad Martin Thorell | Newsquare Capital, LLC other | Msi Financial Services, Inc. other | Other | Mar 23, 2016 | Jan 2, 2015 |
| Judith Darlene Tucker | Mwa Financial Services, Inc. other | Msi Financial Services, Inc. other | Other | Mar 15, 2016 | Mar 14, 2016 |
| Alexander Quinton Graham | Nfsg Corporation other | Msi Financial Services, Inc. other | Other | Mar 8, 2016 | Mar 8, 2016 |
| Chester Ryan Westfall | Transamerica Financial Advisors, LLC other | Msi Financial Services, Inc. other | Other | Mar 5, 2016 | Feb 19, 2016 |
| Rachel Metallo | Equitable Advisors, LLC national BD | Msi Financial Services, Inc. other | Other | Mar 2, 2016 | Feb 22, 2016 |
| David Bowen | M&T Securities, Inc. unclassified | Msi Financial Services, Inc. other | Other | Mar 1, 2016 | Aug 30, 2016 (182 d) |
| Michael Vincent Milillo | Woodstock Financial Group, Inc. other | Msi Financial Services, Inc. other | Other | Feb 19, 2016 | Feb 12, 2016 |
| Anne Marie Clayton | Transamerica Financial Advisors, LLC other | Msi Financial Services, Inc. other | Other | Feb 11, 2016 | Feb 2, 2016 |
| Robin Lou Depies | Nova Financial Services other | Msi Financial Services, Inc. other | Other | Feb 11, 2016 | Sep 26, 2016 (228 d) |
| Victor Christopher Garra | Ameriprise Financial Services, LLC national BD | Msi Financial Services, Inc. other | Other | Feb 4, 2016 | Feb 5, 2016 |