| Bart Brendan Jagodzinski | RBC Capital Markets, LLC national BD | First Financial Equity Corporation other | Other | Feb 10, 2011 | Feb 1, 2011 |
| Jason Curtis Wise | RBC Capital Markets, LLC national BD | First Financial Equity Corporation other | Other | Jan 13, 2011 | Jan 10, 2011 |
| William Frederick Delano | Vfg Advisors, Inc. other | First Financial Equity Corporation other | Other | Jan 13, 2011 | Oct 1, 2012 (627 d) |
| Gregory Scott Hermes | Wedbush Securities Inc. other | First Financial Equity Corporation other | Other | Oct 15, 2010 | Oct 7, 2010 |
| Jennifer Marie Frey | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | First Financial Equity Corporation other | Other | Oct 4, 2010 | Oct 19, 2010 |
| Zachary Mark Allen | Chase Investment Services Corp. other | First Financial Equity Corporation other | Other | Jun 15, 2010 | Jun 11, 2010 |
| Benjamin Preston Mendenhall | Morgan Stanley wirehouse | First Financial Equity Corporation other | Other | May 28, 2010 | May 27, 2010 |
| Joseph Ernest Hubbard | Truenorth, Inc. other | First Financial Equity Corporation other | Other | Apr 16, 2010 | Apr 26, 2010 |
| Russell C Harris | Ameriprise Financial Services, LLC national BD | First Financial Equity Corporation other | Other | Mar 22, 2010 | Apr 26, 2010 (35 d) |
| Lee Kim Brown | Ameriprise Financial Services, LLC national BD | First Financial Equity Corporation other | Other | Feb 4, 2010 | Feb 16, 2010 |
| William Anthony Lyness | Wells Fargo Investments, LLC unclassified | First Financial Equity Corporation other | Other | Jan 13, 2010 | Nov 8, 2011 (664 d) |
| Tex James Janecek | Msi Financial Services, Inc. other | First Financial Equity Corporation other | Other | Jan 6, 2010 | Dec 21, 2009 |
| Brandon Jamison Gibson | Chase Investment Services Corp. other | First Financial Equity Corporation other | Other | Dec 8, 2009 | Jan 4, 2010 |
| Robert Lynn Huish | Ameriprise Advisor Services, Inc. unclassified | First Financial Equity Corporation other | Other | Oct 21, 2009 | Sep 29, 2009 |
| Steven Kent Rundle | UBS Financial Services Inc. wirehouse | First Financial Equity Corporation other | Other | Aug 6, 2009 | Jul 17, 2009 |
| James Richard Shaver | Morgan Stanley wirehouse | First Financial Equity Corporation other | Other | Jul 1, 2009 | Jun 26, 2009 |
| Lisa Johnson Rizzo | UBS Financial Services Inc. wirehouse | First Financial Equity Corporation other | Other | May 13, 2009 | Apr 29, 2009 |
| Jeremy Windell Smith | Alliance Financial Group, Inc. unclassified | First Financial Equity Corporation other | Other | May 13, 2009 | May 29, 2009 |
| Casey M Vader | Morgan Stanley & Co. LLC unclassified | First Financial Equity Corporation other | Other | Apr 20, 2009 | Apr 16, 2009 |
| Bruce Louis Sutherland | Banc Of America Investment Services, Inc. unclassified | First Financial Equity Corporation other | Other | Mar 25, 2009 | May 6, 2009 (42 d) |
| Lori Schlager Bensing | Stanford Group Company unclassified | First Financial Equity Corporation other | Other | Mar 20, 2009 | Jul 15, 2009 (117 d) |
| Bruce (Brett) Palmer Emmeluth | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | First Financial Equity Corporation other | Other | Mar 20, 2009 | Mar 19, 2009 |
| Donell Roscoe Small | UBS Financial Services Inc. wirehouse | First Financial Equity Corporation other | Other | Feb 11, 2009 | Feb 2, 2009 |
| Paul Zawilenski | Banc Of America Investment Services, Inc. unclassified | First Financial Equity Corporation other | Other | Feb 9, 2009 | Mar 23, 2009 (42 d) |
| Rockwell Stuart Pearson | Ameriprise Advisor Services, Inc. unclassified | First Financial Equity Corporation other | Other | Jan 22, 2009 | Jan 16, 2009 |
| James Andrews Mills | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | First Financial Equity Corporation other | Other | Dec 16, 2008 | Jan 9, 2009 |
| Jesse Thomas Norman | Morgan Stanley & Co. LLC unclassified | First Financial Equity Corporation other | Other | Sep 25, 2008 | Sep 11, 2008 |
| Randy Wayne Sitzman | Morgan Stanley & Co. LLC unclassified | First Financial Equity Corporation other | Other | Sep 5, 2008 | Sep 3, 2008 |
| Rachel Sitzman Bonner | Morgan Stanley & Co. LLC unclassified | First Financial Equity Corporation other | Other | Sep 5, 2008 | Sep 3, 2008 |
| Troy Victor Hunsucker | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | First Financial Equity Corporation other | Other | Aug 19, 2008 | Oct 6, 2008 (48 d) |
| Brian Wesley Armstrong | National Planning Corporation ("Npc Of America" In Fl & Ny) other | First Financial Equity Corporation other | Other | Feb 19, 2008 | Feb 15, 2008 |
| Shawndi Lynn Purselley | National Planning Corporation ("Npc Of America" In Fl & Ny) other | First Financial Equity Corporation other | Other | Feb 19, 2008 | Feb 15, 2008 |
| Brian Hayden Johnson | Ameriprise Advisor Services, Inc. unclassified | First Financial Equity Corporation other | Other | Nov 5, 2007 | Oct 13, 2008 (343 d) |
| Daryl David Eckman | UBS Financial Services Inc. wirehouse | First Financial Equity Corporation other | Other | Jun 4, 2007 | Jun 5, 2007 |
| David Scott Coffee | Banc Of America Investment Services, Inc. unclassified | First Financial Equity Corporation other | Other | Mar 21, 2007 | Mar 29, 2007 |
| David Allen Carter | Sagepoint Financial, Inc. other | First Financial Equity Corporation other | Other | Feb 12, 2007 | Jan 31, 2007 |
| Bobby Glenn James | Tfr Advisors Llp other | First Financial Equity Corporation other | Other | Dec 31, 2006 | Apr 29, 2005 |
| Jim M Wagner | Morgan Stanley Dw Inc. unclassified | First Financial Equity Corporation other | Other | Nov 8, 2006 | Nov 3, 2006 |
| George P Lares | Piper Sandler & Co. no RAUM | First Financial Equity Corporation other | Other | Aug 17, 2006 | Jan 4, 2017 (3793 d) |
| Robert Anthony Spicer | Morgan Stanley Dw Inc. unclassified | First Financial Equity Corporation other | Other | Jun 5, 2006 | Sep 8, 2006 (95 d) |
| Jeffrey Scott Graves | Banc Of America Investment Services, Inc. unclassified | First Financial Equity Corporation other | Other | Feb 23, 2006 | Apr 3, 2007 (404 d) |
| Jay Rabins | Nfsg Corporation other | First Financial Equity Corporation other | Other | Sep 12, 2005 | Dec 20, 2005 (99 d) |
| Christopher Labruce Ward | Banc Of America Investment Services, Inc. unclassified | First Financial Equity Corporation other | Other | Aug 8, 2005 | Sep 25, 2006 (413 d) |
| Kurt Diedrich Rohrs | Sii Investments, Inc. other | First Financial Equity Corporation other | Other | Sep 14, 2004 | Sep 13, 2004 |
| Thomas Clayton Simmons | Morgan Stanley & Co. LLC unclassified | First Financial Equity Corporation other | Other | Jan 24, 2003 | Mar 20, 2006 (1151 d) |
| Gregory Allen Eastman | RBC Capital Markets, LLC national BD | First Financial Equity Corporation other | Other | Jun 17, 2002 | Apr 16, 2013 (3956 d) |