| Scott Robert Golding | Ameriprise Financial Services, LLC national BD | Voya Financial Partners, LLC other | Other | Nov 12, 2008 | Nov 19, 2008 |
| Jason Scott Quintus | Ameriprise Financial Services, LLC national BD | Voya Financial Partners, LLC other | Other | Nov 12, 2008 | Nov 26, 2008 |
| James Harman Bishopp | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Voya Financial Partners, LLC other | Other | Oct 16, 2008 | Oct 29, 2008 |
| Steven Brian Bishopp | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Voya Financial Partners, LLC other | Other | Oct 13, 2008 | Nov 4, 2008 |
| Stephen Lee Gaustad | Cetera Advisor Networks LLC other | Voya Financial Partners, LLC other | Other | Sep 17, 2008 | Aug 14, 2000 |
| Joel Hernandez | Strategic Financial Concepts, LLC other | Voya Financial Partners, LLC other | Other | Sep 17, 2008 | Sep 23, 2008 |
| Eric M. Rwiliriza | Wells Fargo Advisors wirehouse | Voya Financial Partners, LLC other | Other | Sep 11, 2008 | Feb 23, 2009 (165 d) |
| Marlene Espinoza | New England Securities Corporation other | Voya Financial Partners, LLC other | Other | Aug 1, 2008 | Oct 30, 2008 (90 d) |
| Christopher Haddad | Comerica Securities other | Voya Financial Partners, LLC other | Other | Jul 28, 2008 | Aug 13, 2008 |
| Jessica Butler Butler | Citigroup Global Markets Inc. other | Voya Financial Partners, LLC other | Other | Jul 3, 2008 | Jul 9, 2008 |
| Cara Corinne Magliocco | Citigroup Global Markets Inc. other | Voya Financial Partners, LLC other | Other | Jun 27, 2008 | Jul 3, 2008 |
| Brian Patrick Devlin | Valic Financial Advisors, Inc. other | Voya Financial Partners, LLC other | Other | Apr 29, 2008 | May 28, 2008 |
| Frederick August Schaefer | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Voya Financial Partners, LLC other | Other | Apr 7, 2008 | Jul 23, 2008 (107 d) |
| Narine K Mardanyan | Morgan Stanley & Co. LLC unclassified | Voya Financial Partners, LLC other | Other | Apr 7, 2008 | Jun 18, 2008 (72 d) |
| Caroline Mira Lee Perry | Stancorp Investment Advisers, Inc. other | Voya Financial Partners, LLC other | Other | Apr 1, 2008 | Apr 22, 2008 |
| Timothy Gilbert Lassen | Equitable Advisors, LLC national BD | Voya Financial Partners, LLC other | Other | Mar 12, 2008 | Apr 23, 2008 (42 d) |
| Thomas John Cama | Cetera Investment Services LLC other | Voya Financial Partners, LLC other | Other | Mar 11, 2008 | Mar 14, 2008 |
| Monte Dean Hinkle | Osaic Fa, Inc. other | Voya Financial Partners, LLC other | Other | Feb 11, 2008 | Nov 4, 2009 (632 d) |
| Cameron Peyton Clear | Citigroup Global Markets Inc. other | Voya Financial Partners, LLC other | Other | Feb 4, 2008 | Jan 29, 2009 (360 d) |
| Jeffrey James Wheeler | Osaic Fa, Inc. other | Voya Financial Partners, LLC other | Other | Jan 22, 2008 | Jan 29, 2008 |
| Robin Jean Laird | Medallion Advisory Services, LLC unclassified | Voya Financial Partners, LLC other | Other | Dec 31, 2007 | Sep 28, 2009 (637 d) |
| Scott Aron Brown | Voya Financial Advisors, Inc. other | Voya Financial Partners, LLC other | Other | Dec 31, 2007 | Apr 29, 2009 (485 d) |
| Michael Joseph Biggus | Valic Financial Advisors, Inc. other | Voya Financial Partners, LLC other | Other | Dec 19, 2007 | Dec 7, 2007 |
| Jeremy Oliver Joaquin | Wells Fargo Investments, LLC unclassified | Voya Financial Partners, LLC other | Other | Dec 18, 2007 | May 2, 2008 (136 d) |
| Debra-Ann E Gebo | Banc Of America Investment Services, Inc. unclassified | Voya Financial Partners, LLC other | Other | Oct 25, 2007 | Oct 23, 2007 |
| Kimberly A Douglas | MML Investors Services, LLC other | Voya Financial Partners, LLC other | Other | Oct 25, 2007 | Oct 25, 2007 |
| James Francis Lohnes | Cetera Investment Services LLC other | Voya Financial Partners, LLC other | Other | Oct 12, 2007 | Aug 22, 2008 (315 d) |
| Derek E Stiles | Fifth Third Securities, Inc. other | Voya Financial Partners, LLC other | Other | Jul 13, 2007 | Jul 26, 2007 |
| Todd Andrew Rosen | Msi Financial Services, Inc. other | Voya Financial Partners, LLC other | Other | Jun 21, 2007 | Jun 28, 2007 |
| James George Davis | Td Ameritrade, Inc. no RAUM | Voya Financial Partners, LLC other | Other | May 22, 2007 | Jun 1, 2007 |
| Adam Kelley Conway | Transamerica Financial Advisors, LLC other | Voya Financial Partners, LLC other | Other | Apr 23, 2007 | May 31, 2007 (38 d) |
| Kent Allan Colwell | Principal Securities, Inc. other | Voya Financial Partners, LLC other | Other | Mar 26, 2007 | Mar 30, 2007 |
| Joel Suarez | Valic Financial Advisors, Inc. other | Voya Financial Partners, LLC other | Other | Feb 6, 2007 | Jan 31, 2007 |
| Greta Messarra Woodward | Cetera Investment Services LLC other | Voya Financial Partners, LLC other | Other | Feb 1, 2007 | Mar 1, 2007 |
| Calvin Eugene Reid | UBS Financial Services Inc. wirehouse | Voya Financial Partners, LLC other | Other | Jan 30, 2007 | Apr 23, 2007 (83 d) |
| Robert Nelson Hamilton | Cetera Advisor Networks LLC other | Voya Financial Partners, LLC other | Other | Dec 31, 2006 | Jan 4, 2007 |
| Curtis Koon Yau Young | Cetera Advisor Networks LLC other | Voya Financial Partners, LLC other | Other | Dec 31, 2006 | Jan 5, 2007 |
| Andrew Tim Look Kam | Cetera Advisor Networks LLC other | Voya Financial Partners, LLC other | Other | Dec 31, 2006 | Jan 4, 2007 |
| Kristina Alexis Bell-Taylor | Cetera Advisor Networks LLC other | Voya Financial Partners, LLC other | Other | Dec 31, 2006 | Jan 4, 2007 |
| Marisa Sacks | Cetera Advisor Networks LLC other | Voya Financial Partners, LLC other | Other | Dec 31, 2006 | Jan 5, 2007 |
| Jeri An C Yamamoto | Cetera Advisor Networks LLC other | Voya Financial Partners, LLC other | Other | Dec 31, 2006 | Jan 8, 2007 |
| Jared Gary Nakamoto | Cetera Advisor Networks LLC other | Voya Financial Partners, LLC other | Other | Dec 31, 2006 | Jan 5, 2007 |
| Adriana Ortiz Pacheco | Planmember Securities Corporation other | Voya Financial Partners, LLC other | Other | Dec 31, 2006 | Jan 29, 2007 |
| Kasi Richardson Boyles | Wells Fargo Advisors wirehouse | Voya Financial Partners, LLC other | Other | Dec 11, 2006 | Feb 5, 2007 (56 d) |
| Michael Sean Woods | Nrp Financial, Inc. unclassified | Voya Financial Partners, LLC other | Other | Dec 7, 2006 | Dec 8, 2006 |
| Cynthia S Spekhart | Charles Schwab & Co., Inc. national BD | Voya Financial Partners, LLC other | Other | Oct 19, 2006 | Oct 31, 2007 (377 d) |
| Theodore Edward Greggis | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Voya Financial Partners, LLC other | Other | Sep 28, 2006 | Sep 1, 2006 |
| H. Terry Martine | UBS Financial Services Inc. wirehouse | Voya Financial Partners, LLC other | Other | Sep 5, 2006 | Sep 25, 2006 |
| Wing Yiu Ng | Td Ameritrade Investment Management, LLC other | Voya Financial Partners, LLC other | Other | Aug 29, 2006 | Sep 20, 2006 |
| Gregory Joseph Jacobs | Gunnallen Financial, Inc unclassified | Voya Financial Partners, LLC other | Other | Aug 9, 2006 | Aug 14, 2006 |
| Karly Therese Bradbury | Thrivent Investment Management Inc. other | Voya Financial Partners, LLC other | Other | Aug 7, 2006 | Sep 13, 2006 (37 d) |
| Randy Allen Sharp | Valic Financial Advisors, Inc. other | Voya Financial Partners, LLC other | Other | Jul 28, 2006 | Aug 14, 2006 |
| Mark Ryszard Ciecko | Strategic Advisers LLC national BD | Voya Financial Partners, LLC other | Other | Jul 11, 2006 | Jul 12, 2006 |
| Donna S Mcandrew | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Voya Financial Partners, LLC other | Other | Jun 21, 2006 | Jul 7, 2006 |
| Cecile Minh Nguyen | Strategic Advisers LLC national BD | Voya Financial Partners, LLC other | Other | Jun 14, 2006 | Sep 14, 2006 (92 d) |
| Don Frederick Eves | Tower Square Securities, Inc. other | Voya Financial Partners, LLC other | Other | Jun 13, 2006 | May 31, 2006 |
| Val Gaylord Vogel | Tower Square Securities, Inc. other | Voya Financial Partners, LLC other | Other | Jun 8, 2006 | Jun 22, 2006 |
| Jeffrey Charles Reynolds | Tower Square Securities, Inc. other | Voya Financial Partners, LLC other | Other | Jun 8, 2006 | Jun 7, 2006 |
| James Thomas Murfee | Tower Square Securities, Inc. other | Voya Financial Partners, LLC other | Other | Jun 8, 2006 | May 24, 2006 |
| Gary Clark Cook | Tower Square Securities, Inc. other | Voya Financial Partners, LLC other | Other | May 31, 2006 | May 2, 2006 |