| Jason Stephen Morrow | LPL Financial LLC other | Citizens Securities, Inc. other | Other | Aug 15, 2011 | Aug 25, 2011 |
| Adam Robert Freund | Edward Jones national BD | Citizens Securities, Inc. other | Other | Jul 14, 2011 | Aug 4, 2011 |
| Thomas David Mckeon | Osaic Institutions, Inc. other | Citizens Securities, Inc. other | Other | Jun 10, 2011 | Jun 17, 2011 |
| Patrick Stephen Mullen | LPL Financial LLC other | Citizens Securities, Inc. other | Other | May 13, 2011 | May 23, 2011 |
| Joseph Francis Zanca | Investment Professionals, Inc. other | Citizens Securities, Inc. other | Other | Apr 27, 2011 | Apr 18, 2011 |
| Robert Norman Fisch | Valic Financial Advisors, Inc. other | Citizens Securities, Inc. other | Other | Apr 8, 2011 | Apr 21, 2011 |
| William Edward Baker | Select Financial Group, LLC other | Citizens Securities, Inc. other | Other | Apr 4, 2011 | Jan 13, 2016 (1745 d) |
| Gregory Michael Vallee | Waddell & Reed other | Citizens Securities, Inc. other | Other | Apr 4, 2011 | Mar 30, 2011 |
| Richard Michael Curcio | LPL Financial LLC other | Citizens Securities, Inc. other | Other | Mar 29, 2011 | Mar 25, 2011 |
| Denis Kazalac | Chase Investment Services Corp. other | Citizens Securities, Inc. other | Other | Mar 15, 2011 | Apr 27, 2011 (43 d) |
| Aric E. H. Friend | Strategic Advisers LLC national BD | Citizens Securities, Inc. other | Other | Feb 24, 2011 | Mar 4, 2011 |
| Philip Thomas Webb | LPL Financial LLC other | Citizens Securities, Inc. other | Other | Feb 15, 2011 | Aug 16, 2010 |
| Elias Padron | Morgan Stanley wirehouse | Citizens Securities, Inc. other | Other | Jan 12, 2011 | Jan 14, 2011 |
| Eric Anthony Tunstall | Ameriprise Financial Services, LLC national BD | Citizens Securities, Inc. other | Other | Jan 11, 2011 | Jan 20, 2011 |
| Todd Michael Myatt | Amundi Pioneer Institutional Asset Management, Inc. other | Citizens Securities, Inc. other | Other | Jan 7, 2011 | Dec 2, 2010 |
| Kristy Michelle Snippert | LPL Financial LLC other | Citizens Securities, Inc. other | Other | Dec 31, 2010 | Jun 7, 2012 (524 d) |
| John Anthony Machonga | Investment Professionals, Inc. other | Citizens Securities, Inc. other | Other | Dec 22, 2010 | Jan 10, 2011 |
| Maurice E Miller | Pnc Wealth Management other | Citizens Securities, Inc. other | Other | Dec 21, 2010 | Jan 5, 2011 |
| Patrick Joseph Abatiell | Edward Jones national BD | Citizens Securities, Inc. other | Other | Nov 30, 2010 | Jan 13, 2011 (44 d) |
| David Robert Mcginley | Essex National Securities, Inc. other | Citizens Securities, Inc. other | Other | Oct 19, 2010 | Nov 1, 2010 |
| Corrine Renee Clark | Pnc Wealth Management other | Citizens Securities, Inc. other | Other | Oct 8, 2010 | Oct 25, 2010 |
| John Patrick Davitt | Essex National Securities, Inc. other | Citizens Securities, Inc. other | Other | Oct 8, 2010 | Oct 7, 2010 |
| Michael Andrew Waverka | LPL Financial LLC other | Citizens Securities, Inc. other | Other | Sep 7, 2010 | Sep 7, 2010 |
| Scott Doucet | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Citizens Securities, Inc. other | Other | Aug 30, 2010 | Aug 31, 2010 |
| Kenneth Bruce Lundquist | Pnc Wealth Management other | Citizens Securities, Inc. other | Other | Aug 20, 2010 | Sep 27, 2010 (38 d) |
| Richard Kenneth Wiethorn | LPL Financial LLC other | Citizens Securities, Inc. other | Other | Aug 12, 2010 | Aug 10, 2010 |
| Philip Thomas Webb | Essex National Securities, Inc. other | Citizens Securities, Inc. other | Other | Aug 5, 2010 | Aug 16, 2010 |
| Keith R Fulton | Essex National Securities, Inc. other | Citizens Securities, Inc. other | Other | Aug 5, 2010 | Aug 10, 2010 |
| Terri Spetrini Harbour | LPL Financial LLC other | Citizens Securities, Inc. other | Other | Jun 28, 2010 | Jun 28, 2010 |
| John Andrew Mcloughlin | Uvest Financial Services Group, Inc. unclassified | Citizens Securities, Inc. other | Other | Jun 21, 2010 | Jun 17, 2011 (361 d) |
| John Walter Rekasie | Essex National Securities, Inc. other | Citizens Securities, Inc. other | Other | Jun 16, 2010 | Jun 23, 2010 |
| Sebastiano Mancarella | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Citizens Securities, Inc. other | Other | May 25, 2010 | Jun 23, 2010 |
| Ryan Michael Sullivan | Ameriprise Financial Services, LLC national BD | Citizens Securities, Inc. other | Other | May 24, 2010 | Jun 2, 2010 |
| Dawn Autin Dupre | Pnc Wealth Management other | Citizens Securities, Inc. other | Other | May 3, 2010 | May 28, 2010 |
| Jeffrey L Slavich | Pnc Wealth Management other | Citizens Securities, Inc. other | Other | Apr 26, 2010 | May 6, 2010 |
| Brian James Hoeckh | M&T Securities, Inc. unclassified | Citizens Securities, Inc. BD affiliated | Other | Apr 15, 2010 | Apr 8, 2021 (4011 d) |
| Robert Whitcomb Damon | Investment Professionals, Inc. other | Citizens Securities, Inc. other | Other | Apr 7, 2010 | Mar 22, 2010 |
| James Arvid Marks | Bny Mellon Securities Corporation other | Citizens Securities, Inc. other | Other | Apr 7, 2010 | Mar 8, 2013 (1066 d) |
| John Paine Reger | Ameriprise Financial Services, LLC national BD | Citizens Securities, Inc. other | Other | Mar 22, 2010 | Mar 16, 2010 |
| Jeffrey Marc Alexander | Investment Professionals, Inc. other | Citizens Securities, Inc. other | Other | Mar 8, 2010 | Feb 22, 2010 |
| Barbara Joan Bauer | Td Wealth Management Services Inc. unclassified | Citizens Securities, Inc. other | Other | Feb 23, 2010 | May 12, 2010 (78 d) |
| Thomas Edward Guidici | Bofa Advisors, LLC other | Citizens Securities, Inc. other | Other | Feb 23, 2010 | Mar 12, 2010 |
| Travis James Sousa | MML Investors Services, LLC other | Citizens Securities, Inc. other | Other | Feb 9, 2010 | Mar 31, 2010 (50 d) |
| Terence William Tinkham | LPL Financial LLC other | Citizens Securities, Inc. other | Other | Jan 19, 2010 | Jan 28, 2010 |
| Matthew John Wilcox | Northwestern Mutual Investment Services,LLC other | Citizens Securities, Inc. other | Other | Jan 5, 2010 | Dec 23, 2009 |
| Frederick Hepfer | Morgan Stanley wirehouse | Citizens Securities, Inc. other | Other | Dec 31, 2009 | Aug 23, 2013 (1331 d) |
| Zane Jason Michalski | Pnc Wealth Management other | Citizens Securities, Inc. other | Other | Dec 22, 2009 | Dec 23, 2009 |
| Scott Allen Wertz | Citigroup Global Markets Inc. other | Citizens Securities, Inc. other | Other | Dec 17, 2009 | Mar 9, 2010 (82 d) |
| Merima Ramushi | Citigroup Global Markets Inc. other | Citizens Securities, Inc. other | Other | Dec 17, 2009 | Jan 21, 2010 (35 d) |
| Michael Stephen Jilling | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Citizens Securities, Inc. other | Other | Dec 16, 2009 | Dec 16, 2009 |
| Joseph Emerick Bakaysa | LPL Financial LLC other | Citizens Securities, Inc. other | Other | Dec 16, 2009 | Jan 27, 2014 (1503 d) |
| Nathan Andrew Kaufman | Natcity Investments, Inc. unclassified | Citizens Securities, Inc. other | Other | Nov 13, 2009 | Nov 12, 2009 |
| Paul Edward Henry | LPL Financial LLC other | Citizens Securities, Inc. other | Other | Nov 2, 2009 | Mar 31, 2011 (514 d) |
| Gilbert Christopher Crews | Td Ameritrade Investment Management, LLC other | Citizens Securities, Inc. other | Other | Oct 14, 2009 | Feb 4, 2010 (113 d) |
| Gilbert Christopher Crews | Td Ameritrade, Inc. no RAUM | Citizens Securities, Inc. other | Other | Oct 14, 2009 | Feb 4, 2010 (113 d) |
| Kevin James Callaghan | Td Ameritrade, Inc. no RAUM | Citizens Securities, Inc. other | Other | Oct 1, 2009 | Nov 13, 2009 (43 d) |
| Kevin James Callaghan | Td Ameritrade Investment Management, LLC other | Citizens Securities, Inc. other | Other | Oct 1, 2009 | Nov 13, 2009 (43 d) |
| Matthew Peter Smith | LPL Financial LLC other | Citizens Securities, Inc. other | Other | Sep 21, 2009 | Sep 17, 2009 |
| Daniel Gary Paris | Td Ameritrade Investment Management, LLC other | Citizens Securities, Inc. other | Other | Sep 21, 2009 | Nov 11, 2009 (51 d) |
| Daniel Gary Paris | Td Ameritrade, Inc. no RAUM | Citizens Securities, Inc. other | Other | Sep 21, 2009 | Nov 11, 2009 (51 d) |