| Jason Edward Kobilka | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Citizens Securities, Inc. other | Other | Sep 14, 2009 | Sep 8, 2009 |
| Evan Daniel Ho | Td Ameritrade Investment Management, LLC other | Citizens Securities, Inc. other | Other | Sep 9, 2009 | Oct 30, 2009 (51 d) |
| Evan Daniel Ho | Td Ameritrade, Inc. no RAUM | Citizens Securities, Inc. other | Other | Sep 9, 2009 | Oct 30, 2009 (51 d) |
| David Alan Meek | LPL Financial LLC other | Citizens Securities, Inc. other | Other | Aug 26, 2009 | Sep 2, 2009 |
| John T Valentine | Banc Of America Investment Services, Inc. unclassified | Citizens Securities, Inc. other | Other | Aug 25, 2009 | Aug 13, 2009 |
| Jeremy Matthew Lathrop | Td Ameritrade Investment Management, LLC other | Citizens Securities, Inc. other | Other | Aug 17, 2009 | Mar 11, 2010 (206 d) |
| Jeremy Matthew Lathrop | Td Ameritrade, Inc. no RAUM | Citizens Securities, Inc. other | Other | Aug 17, 2009 | Mar 11, 2010 (206 d) |
| Nicholas Curinga | Natcity Investments, Inc. unclassified | Citizens Securities, Inc. other | Other | Aug 4, 2009 | Aug 24, 2009 |
| Christopher Walkiewicz | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Citizens Securities, Inc. other | Other | Aug 3, 2009 | Dec 20, 2011 (869 d) |
| Gary Ernest Pugh | Chase Investment Services Corp. other | Citizens Securities, Inc. other | Other | Jul 31, 2009 | Aug 26, 2009 |
| Jason Devlin | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Citizens Securities, Inc. other | Other | Jul 23, 2009 | Jul 20, 2009 |
| Michael Santifort | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Citizens Securities, Inc. other | Other | Jun 18, 2009 | Jun 16, 2009 |
| Stephen L Paneral | Fifth Third Securities, Inc. other | Citizens Securities, Inc. other | Other | May 21, 2009 | Jun 26, 2009 (36 d) |
| Denise Annemarie Crispino | Banc Of America Investment Services, Inc. unclassified | Citizens Securities, Inc. other | Other | May 20, 2009 | Jun 2, 2009 |
| Cory Mark Allen | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Citizens Securities, Inc. other | Other | May 20, 2009 | May 21, 2009 |
| Matthew Shreve Collier | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Citizens Securities, Inc. other | Other | May 18, 2009 | May 8, 2009 |
| John Joseph Alessi | Lincoln Financial Distributors, Inc. unclassified | Citizens Securities, Inc. other | Other | May 11, 2009 | Sep 8, 2009 (120 d) |
| Jayson Laurence Spring | Morgan Stanley & Co. LLC unclassified | Citizens Securities, Inc. other | Other | May 5, 2009 | May 7, 2009 |
| Timothy G Jennings | Banc Of America Investment Services, Inc. unclassified | Citizens Securities, Inc. other | Other | Apr 28, 2009 | Oct 13, 2009 (168 d) |
| Richard Murray Held | Banc Of America Investment Services, Inc. unclassified | Citizens Securities, Inc. other | Other | Apr 28, 2009 | Jan 20, 2010 (267 d) |
| Janet Irene Burnett | Banc Of America Investment Services, Inc. unclassified | Citizens Securities, Inc. other | Other | Apr 28, 2009 | Mar 12, 2010 (318 d) |
| Eileen Marie Keegan | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Citizens Securities, Inc. other | Other | Apr 16, 2009 | Apr 17, 2009 |
| Beverly Marie Ketel | Ameriprise Financial Services, LLC national BD | Citizens Securities, Inc. other | Other | Apr 15, 2009 | Apr 13, 2009 |
| Kimberly B Dulaurence | Banc Of America Investment Services, Inc. unclassified | Citizens Securities, Inc. other | Other | Apr 14, 2009 | Apr 17, 2009 |
| Eric John Docherty | Pnc Wealth Management other | Citizens Securities, Inc. other | Other | Apr 6, 2009 | May 1, 2009 |
| Paul Stephen Mcnulty | Banc Of America Investment Services, Inc. unclassified | Citizens Securities, Inc. other | Other | Mar 24, 2009 | Apr 6, 2009 |
| Jason Michael Jeffers | LPL Financial LLC other | Citizens Securities, Inc. other | Other | Mar 23, 2009 | Apr 15, 2009 |
| Joshua David Giuliano | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Citizens Securities, Inc. other | Other | Mar 23, 2009 | Mar 26, 2009 |
| Robert Edward Jean | Ameriprise Financial Services, LLC national BD | Citizens Securities, Inc. other | Other | Mar 13, 2009 | Jun 23, 2010 (467 d) |
| Ronald Edward Talley | Wells Fargo Advisors wirehouse | Citizens Securities, Inc. other | Other | Mar 10, 2009 | Mar 16, 2009 |
| Richard Farley Decker | Banc Of America Investment Services, Inc. unclassified | Citizens Securities, Inc. other | Other | Mar 6, 2009 | Aug 13, 2015 (2351 d) |
| Laureen Maebeth Landgren | Banc Of America Investment Services, Inc. unclassified | Citizens Securities, Inc. other | Other | Feb 23, 2009 | Mar 16, 2009 |
| Daniel Naumann | Putnam Investment Management, LLC other | Citizens Securities, Inc. other | Other | Feb 19, 2009 | Dec 9, 2009 (293 d) |
| Julie Wong Sumitomo | Citigroup Global Markets Inc. other | Citizens Securities, Inc. other | Other | Feb 9, 2009 | Sep 10, 2009 (213 d) |
| Robert Russell Brouthers | Banc Of America Investment Services, Inc. unclassified | Citizens Securities, Inc. other | Other | Jan 29, 2009 | Jan 4, 2010 (340 d) |
| John W Farmer | LPL Financial LLC other | Citizens Securities, Inc. other | Other | Dec 1, 2008 | Nov 21, 2008 |
| Mark C Witt | LPL Financial LLC other | Citizens Securities, Inc. other | Other | Oct 10, 2008 | Oct 23, 2008 |
| Joseph Uradnik | LPL Financial LLC other | Citizens Securities, Inc. other | Other | Oct 3, 2008 | Sep 8, 2008 |
| Gerard George Guertin | Citigroup Global Markets Inc. other | Citizens Securities, Inc. other | Other | Oct 2, 2008 | Sep 29, 2008 |
| Michael George Watson | Pnc Wealth Management other | Citizens Securities, Inc. other | Other | Sep 24, 2008 | Oct 2, 2008 |
| Jeffrey Stuart King | UBS Financial Services Inc. wirehouse | Citizens Securities, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Sep 19, 2008 | Oct 8, 2019 (4036 d) |
| John Kennedy Buggy | Pnc Wealth Management other | Citizens Securities, Inc. other | Other | Sep 18, 2008 | Sep 24, 2008 |
| Joseph Query | Fifth Third Securities, Inc. other | Citizens Securities, Inc. other | Other | Sep 11, 2008 | Sep 17, 2008 |
| Adam S Locke | LPL Financial LLC other | Citizens Securities, Inc. other | Other | Sep 3, 2008 | Sep 24, 2009 (386 d) |
| Keven Lee Graber | Ameriprise Financial Services, LLC national BD | Citizens Securities, Inc. other | Other | Sep 3, 2008 | Sep 4, 2008 |
| Bethany Anne Dever | LPL Financial LLC other | Citizens Securities, Inc. other | Other | Aug 25, 2008 | Sep 3, 2008 |
| Michael Walter Freeman | Strategic Advisers LLC national BD | Citizens Securities, Inc. other | Other | Aug 1, 2008 | Aug 13, 2015 (2568 d) |
| Sue Ellen Bigley | Chase Investment Services Corp. other | Citizens Securities, Inc. other | Other | Jul 29, 2008 | Aug 13, 2008 |
| Stephen Marc Lubin | Ifmg Securities, Inc. unclassified | Citizens Securities, Inc. other | Other | Apr 23, 2008 | Apr 21, 2008 |
| Brian E Wooten | Chittenden Securities, LLC. unclassified | Citizens Securities, Inc. other | Other | Apr 2, 2008 | Jun 4, 2008 (63 d) |
| Peter Vincent Donohoe | U.S. Financial Advisors other | Citizens Securities, Inc. other | Other | Mar 24, 2008 | Jul 1, 2014 (2290 d) |
| Joshua Perry Davis | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Citizens Securities, Inc. other | Other | Mar 6, 2008 | Mar 10, 2008 |
| Darlene Simard Dickson | Cetera Investment Services LLC other | Citizens Securities, Inc. other | Other | Feb 6, 2008 | Feb 12, 2008 |
| William Garland Lacey | Chase Investment Services Corp. other | Citizens Securities, Inc. other | Other | Feb 1, 2008 | Feb 7, 2008 |
| Kevin Reigh Shope | Chase Investment Services Corp. other | Citizens Securities, Inc. other | Other | Dec 21, 2007 | Jun 19, 2008 (181 d) |
| Richard Carl Sexton | Cetera Investment Services LLC other | Citizens Securities, Inc. other | Other | Oct 16, 2007 | Nov 6, 2007 |
| Sandra Alterio Barry | Hsbc Securities (USA) Inc. other | Citizens Securities, Inc. other | Other | Oct 16, 2007 | Sep 20, 2007 |
| Michael Stephen Leone | Cetera Investment Services LLC other | Citizens Securities, Inc. other | Other | Oct 4, 2007 | Oct 5, 2007 |
| Phillip Peter Parziale | Cetera Investment Services LLC other | Citizens Securities, Inc. other | Other | Oct 4, 2007 | Oct 3, 2007 |
| Michael Lee Paquette | Cetera Investment Services LLC other | Citizens Securities, Inc. other | Other | Sep 18, 2007 | Sep 24, 2007 |