| Sherry Lynn Tomasello | Wells Fargo Advisors wirehouse | U.S. Bancorp Investments, Inc. other | Other | Jul 5, 2011 | Jul 28, 2011 |
| Neil Leon Ferguson | Investment Professionals, Inc. other | U.S. Bancorp Investments, Inc. other | Other | Jul 1, 2011 | Jun 20, 2011 |
| Anastacio Gamino | Chase Investment Services Corp. other | U.S. Bancorp Investments, Inc. other | Other | Jun 30, 2011 | Jun 30, 2011 |
| Donald Matthew Storm | Edward Jones national BD | U.S. Bancorp Investments, Inc. other | Other | Jun 29, 2011 | May 30, 2012 (336 d) |
| Tammi Adele Dauby | Chase Investment Services Corp. other | U.S. Bancorp Investments, Inc. other | Other | Jun 28, 2011 | Jun 30, 2011 |
| Chester Anthony Winn | Chase Investment Services Corp. other | U.S. Bancorp Investments, Inc. other | Other | Jun 27, 2011 | Jun 30, 2011 |
| Angela R Kelly | Chase Investment Services Corp. other | U.S. Bancorp Investments, Inc. other | Other | Jun 20, 2011 | Nov 30, 2012 (529 d) |
| Richelle Melanie Caswell | Edward Jones national BD | U.S. Bancorp Investments, Inc. other | Other | Jun 17, 2011 | Jun 17, 2011 |
| Kenneth Rick Craig | Chase Investment Services Corp. other | U.S. Bancorp Investments, Inc. other | Other | Jun 16, 2011 | Jun 16, 2011 |
| Joseph Roderick Cilley | LPL Financial LLC other | U.S. Bancorp Investments, Inc. other | Other | Jun 13, 2011 | May 17, 2011 |
| Christopher Michael Wilkinson | LPL Financial LLC other | U.S. Bancorp Investments, Inc. other | Other | Jun 13, 2011 | May 16, 2011 |
| Laura Anne Johnson | UBS Financial Services Inc. wirehouse | U.S. Bancorp Investments, Inc. other | Other | Jun 8, 2011 | Jun 10, 2011 |
| Sean P Wenham | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | U.S. Bancorp Investments, Inc. other | Other | Jun 2, 2011 | Jun 6, 2011 |
| Nava Goldenberg Spivak | Cetera Investment Services LLC other | U.S. Bancorp Investments, Inc. other | Other | Jun 2, 2011 | Jul 14, 2011 (42 d) |
| Carol Helen Larson | Chase Investment Services Corp. other | U.S. Bancorp Investments, Inc. other | Other | Jun 1, 2011 | Jun 1, 2011 |
| Bryan Wayne Smith | Edward Jones national BD | U.S. Bancorp Investments, Inc. other | Other | Jun 1, 2011 | Jun 1, 2011 |
| Dale Edward Colclasure | Transamerica Financial Advisors, LLC other | U.S. Bancorp Investments, Inc. other | Other | May 26, 2011 | May 16, 2011 |
| Joanna Sevilla Sheffron | Uvest Financial Services Group, Inc. unclassified | U.S. Bancorp Investments, Inc. other | Other | May 19, 2011 | May 4, 2011 |
| Joseph Luis Martinez | Ameriprise Financial Services, LLC national BD | U.S. Bancorp Investments, Inc. other | Other | May 5, 2011 | May 5, 2011 |
| Charles Edward Zwiefelhofer | Wells Fargo Advisors wirehouse | U.S. Bancorp Investments, Inc. other | Other | May 5, 2011 | Apr 29, 2011 |
| Terry L Thomason | Chase Investment Services Corp. other | U.S. Bancorp Investments, Inc. other | Other | May 4, 2011 | May 3, 2011 |
| Daryl Allan Salcedo | Chase Investment Services Corp. other | U.S. Bancorp Investments, Inc. other | Other | May 3, 2011 | May 3, 2011 |
| William Scott Beeson | Key Investment Services LLC other | U.S. Bancorp Investments, Inc. other | Other | May 2, 2011 | May 11, 2011 |
| Mark Robert Finney | Pnc Wealth Management other | U.S. Bancorp Investments, Inc. other | Other | Apr 25, 2011 | Apr 27, 2011 |
| Maxine Annapolen Drexler | Chase Investment Services Corp. other | U.S. Bancorp Investments, Inc. other | Other | Apr 20, 2011 | May 3, 2011 |
| Joseph Robert Watson | Pnc Wealth Management other | U.S. Bancorp Investments, Inc. other | Other | Apr 18, 2011 | Apr 29, 2011 |
| Michael Lendell Foland | Wells Fargo Advisors wirehouse | U.S. Bancorp Investments, Inc. other | Other | Apr 11, 2011 | Mar 28, 2011 |
| Brian Jonathan Matz | Wells Fargo Advisors wirehouse | U.S. Bancorp Investments, Inc. other | Other | Apr 6, 2011 | Apr 1, 2011 |
| Jayson James Capling | Edward Jones national BD | U.S. Bancorp Investments, Inc. other | Other | Apr 6, 2011 | Apr 4, 2011 |
| Janet Lynn Hawkins | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | U.S. Bancorp Investments, Inc. other | Other | Apr 5, 2011 | Sep 3, 2014 (1247 d) |
| Eric Schraeder | Wells Fargo Advisors wirehouse | U.S. Bancorp Investments, Inc. other | Other | Mar 31, 2011 | Apr 1, 2011 |
| Scott Matthew Irwin | Wells Fargo Advisors wirehouse | U.S. Bancorp Investments, Inc. other | Other | Mar 24, 2011 | Apr 6, 2011 |
| Alexander Noel Varela | Edward Jones national BD | U.S. Bancorp Investments, Inc. other | Other | Mar 23, 2011 | Mar 22, 2011 |
| Jennifer Jo Siefring | Dean Investments other | U.S. Bancorp Investments, Inc. other | Other | Mar 18, 2011 | Mar 22, 2011 |
| Jennifer Jo Siefring | Dean Financial Services other | U.S. Bancorp Investments, Inc. other | Other | Mar 18, 2011 | Mar 22, 2011 |
| Shane Boehm | Fintegra, LLC other | U.S. Bancorp Investments, Inc. other | Other | Mar 18, 2011 | Mar 22, 2011 |
| Eric Sheffron | Chase Investment Services Corp. other | U.S. Bancorp Investments, Inc. other | Other | Mar 17, 2011 | Mar 17, 2011 |
| Adam Charles Bormann | Wells Fargo Advisors wirehouse | U.S. Bancorp Investments, Inc. other | Other | Mar 15, 2011 | Mar 16, 2011 |
| David Kosobucki | Ameriprise Financial Services, LLC national BD | U.S. Bancorp Investments, Inc. other | Other | Mar 14, 2011 | Mar 4, 2011 |
| Lamar Dieter Rahden | Morgan Stanley wirehouse | U.S. Bancorp Investments, Inc. other | Other | Mar 8, 2011 | Mar 4, 2011 |
| Marie Annette Azbill | Huntington Financial Advisors other | U.S. Bancorp Investments, Inc. other | Other | Mar 4, 2011 | Mar 16, 2011 |
| Carrie Delynn Grisso | Chase Investment Services Corp. other | U.S. Bancorp Investments, Inc. other | Other | Mar 1, 2011 | Mar 11, 2011 |
| Timothy James Brennan | Ausdal Financial Partners, Inc. other | U.S. Bancorp Investments, Inc. other | Other | Feb 28, 2011 | Feb 28, 2011 |
| Jeffrey Creech | Wells Fargo Advisors wirehouse | U.S. Bancorp Investments, Inc. other | Other | Feb 28, 2011 | Feb 22, 2011 |
| Shawn Derek Hampton | Edward Jones national BD | U.S. Bancorp Investments, Inc. other | Other | Feb 25, 2011 | Mar 23, 2011 |
| Grover Cleaveland Musser | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | U.S. Bancorp Investments, Inc. other | Other | Feb 18, 2011 | Feb 16, 2011 |
| Nathan W Rainbolt | Chase Investment Services Corp. other | U.S. Bancorp Investments, Inc. other | Other | Feb 15, 2011 | Mar 2, 2011 |
| Mera Tawfik-Oshana | Wells Fargo Advisors wirehouse | U.S. Bancorp Investments, Inc. other | Other | Feb 10, 2011 | Feb 16, 2011 |
| Ayako Tsuboya | U.S. Bancorp Advisors, LLC other | U.S. Bancorp Investments, Inc. other | Other | Jan 25, 2011 | Jan 28, 2011 |
| Daniel Leon Guenther | Key Investment Services LLC other | U.S. Bancorp Investments, Inc. other | Other | Jan 20, 2011 | Feb 2, 2011 |
| Justin Ryan Martinez | LPL Financial LLC other | U.S. Bancorp Investments, Inc. other | Other | Jan 20, 2011 | Jan 21, 2011 |
| Todd James Marescalco | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | U.S. Bancorp Investments, Inc. other | Other | Jan 18, 2011 | Jan 9, 2013 (722 d) |
| Greg Lynn Pratte | Edward Jones national BD | U.S. Bancorp Investments, Inc. other | Other | Jan 5, 2011 | Feb 24, 2011 (50 d) |
| Robin Dean Hobbs | Wells Fargo Advisors wirehouse | U.S. Bancorp Investments, Inc. other | Other | Jan 4, 2011 | Feb 23, 2011 (50 d) |
| Gavin Arthur Licht | Wells Fargo Investments, LLC unclassified | U.S. Bancorp Investments, Inc. other | Other | Dec 22, 2010 | Dec 21, 2010 |
| Bradly Germain Masek | Walnut Street Securities, Inc. other | U.S. Bancorp Investments, Inc. other | Other | Dec 20, 2010 | Jan 4, 2011 |
| Joseph Gledhill | Td Ameritrade Investment Management, LLC other | U.S. Bancorp Investments, Inc. other | Other | Dec 15, 2010 | Dec 13, 2010 |
| Joseph Gledhill | Td Ameritrade, Inc. no RAUM | U.S. Bancorp Investments, Inc. other | Other | Dec 15, 2010 | Dec 13, 2010 |
| Brian Scott Whatley | Wells Fargo Investments, LLC unclassified | U.S. Bancorp Investments, Inc. other | Other | Dec 13, 2010 | Dec 7, 2010 |
| Brian William Scheel | Ameriprise Financial Services, LLC national BD | U.S. Bancorp Investments, Inc. other | Other | Dec 9, 2010 | Dec 6, 2010 |