| Rodney L. Watkins | Ameriprise Financial Services, LLC national BD | Investacorp Advisory Services Inc other | Other | Oct 26, 2011 | Oct 24, 2011 |
| Mario Livecchi | Wells Fargo Advisors wirehouse | Investacorp Advisory Services Inc other | Other | May 6, 2011 | Jun 28, 2011 (53 d) |
| Willie Joe Howard | Edward Jones national BD | Investacorp Advisory Services Inc other | Other | May 4, 2011 | Jun 10, 2011 (37 d) |
| Candy D Murphy | Raymond James & Associates, Inc. national BD | Investacorp Advisory Services Inc other | Other | Feb 2, 2011 | Feb 14, 2011 |
| John G Chess | Investors Capital Advisory other | Investacorp Advisory Services Inc other | Other | Dec 31, 2010 | Jan 6, 2011 |
| Eric Alan Sands | Cambridge Investment Research Advisors, Inc. other | Investacorp Advisory Services Inc other | Other | Dec 23, 2010 | Dec 23, 2010 |
| Brian Scott Kovener | Summit Financial Group Inc other | Investacorp Advisory Services Inc other | Other | Dec 22, 2010 | Jan 25, 2011 (34 d) |
| Matthew Jay Dernis | New Century Financial Group, LLC other | Investacorp Advisory Services Inc other | Other | Aug 17, 2010 | Aug 10, 2012 (724 d) |
| Michelle Otts Bailey | Next Financial Group, Inc. other | Investacorp Advisory Services Inc other | Other | Jul 22, 2010 | Aug 18, 2010 |
| William T Adamski | New England Securities Corporation other | Investacorp Advisory Services Inc other | Other | Jun 14, 2010 | Jun 8, 2010 |
| Joseph Bernardo Lora | Wells Fargo Advisors wirehouse | Investacorp Advisory Services Inc other | Other | Jan 14, 2010 | Feb 3, 2010 |
| Jonathan David Cummings | Equitable Advisors, LLC national BD | Investacorp Advisory Services Inc other | Other | Dec 23, 2009 | Dec 14, 2009 |
| Steven Ray Allison | Equitable Advisors, LLC national BD | Investacorp Advisory Services Inc other | Other | Dec 21, 2009 | Dec 18, 2009 |
| Doyle Eugene Walters | Equitable Advisors, LLC national BD | Investacorp Advisory Services Inc other | Other | Dec 21, 2009 | Dec 14, 2009 |
| Dayle Nelson Scheinman | Equitable Advisors, LLC national BD | Investacorp Advisory Services Inc other | Other | Dec 21, 2009 | Dec 15, 2009 |
| Dean Leonard Spada | Connecticut Investment Management unclassified | Investacorp Advisory Services Inc other | Other | Dec 11, 2009 | Apr 12, 2011 (487 d) |
| Steven Douglas Voshall | Esi Financial Advisors other | Investacorp Advisory Services Inc other | Other | Nov 4, 2009 | Nov 4, 2009 |
| Kevin Patrick Fitzgerald | Berthel Fisher & Company Financial Services, Inc. other | Investacorp Advisory Services Inc other | Other | Jun 26, 2009 | Aug 24, 2009 (59 d) |
| Neil Brian Greenberg | Chase Investment Services Corp. other | Investacorp Advisory Services Inc other | Other | May 11, 2009 | Aug 21, 2009 (102 d) |
| Brad Allan Herman | Centara Capital Management Group, Inc. other | Investacorp Advisory Services Inc other | Other | Mar 3, 2009 | Sep 15, 2016 (2753 d) |
| Juan Carlos Rosario | Securities America Advisors, Inc. other | Investacorp Advisory Services Inc other | Other | Feb 26, 2009 | Feb 27, 2009 |
| Michael Thomas Mundo | Ladenburg Thalmann Asset Management Inc other | Investacorp Advisory Services Inc other | Other | Jan 29, 2009 | Jan 6, 2008 |
| Steven B Goldstein | Ameriprise Financial Services, LLC national BD | Investacorp Advisory Services Inc other | Other | Dec 18, 2008 | Dec 12, 2008 |
| David Andrew Thompson | Ameriprise Financial Services, LLC national BD | Investacorp Advisory Services Inc other | Other | Oct 27, 2008 | Dec 12, 2008 (46 d) |
| Franklin David Clark | Cornerstone Investment Services, Inc. unclassified | Investacorp Advisory Services Inc other | Other | Sep 16, 2008 | Dec 22, 2011 (1192 d) |
| Michel Cowdery | Ameriprise Financial Services, LLC national BD | Investacorp Advisory Services Inc other | Other | Sep 12, 2008 | Sep 24, 2008 |
| Kile Eugene Lewis | Ameriprise Financial Services, LLC national BD | Investacorp Advisory Services Inc other | Other | Sep 3, 2008 | Sep 4, 2008 |
| Theodore Michael Jenkin | Ameriprise Financial Services, LLC national BD | Investacorp Advisory Services Inc other | Other | Sep 2, 2008 | Sep 5, 2008 |
| Eric Donato Pucciarelli | Ameriprise Financial Services, LLC national BD | Investacorp Advisory Services Inc other | Other | Aug 29, 2008 | Sep 12, 2008 |
| Ronald Lawrence Myers | Raymond James Financial Services, Inc. unclassified | Investacorp Advisory Services Inc other | Other | Aug 6, 2008 | Aug 11, 2008 |
| Scott Medrick Marcoe | Securian Financial Services, Inc. other | Investacorp Advisory Services Inc other | Other | Apr 25, 2008 | Jan 12, 2010 (627 d) |
| Alberto Valdes | Banc Of America Investment Services, Inc. unclassified | Investacorp Advisory Services Inc other | Other | Jan 9, 2008 | Apr 18, 2008 (100 d) |
| Marcus Anthony Arneaud | H. Beck, Inc. other | Investacorp Advisory Services Inc other | Other | Dec 18, 2007 | May 19, 2009 (518 d) |
| Gregory Keith Vereen | Valic Financial Advisors, Inc. other | Investacorp Advisory Services Inc other | Other | Sep 13, 2007 | Oct 9, 2007 |
| Piero Rosas | Wamu Investments, Inc. unclassified | Investacorp Advisory Services Inc other | Other | Sep 7, 2007 | Sep 19, 2007 |
| Winter Andrew Troxel | On Investment Management Co other | Investacorp Advisory Services Inc other | Other | Sep 4, 2007 | Sep 7, 2007 |
| Bradley Allan Schott | Commonwealth Financial Network national BD | Investacorp Advisory Services Inc other | Other | Jun 22, 2007 | Jun 19, 2007 |
| Michael Alan Armour | Vsr Advisory Services other | Investacorp Advisory Services Inc other | Other | Jun 1, 2007 | Oct 1, 2007 (122 d) |
| Tracy Neal Adams | Huntington Financial Advisors other | Investacorp Advisory Services Inc other | Other | Mar 29, 2007 | Oct 14, 2010 (1295 d) |
| Peter George Pecci | Suntrust Investment Services, Inc. other | Investacorp Advisory Services Inc other | Other | Jan 24, 2007 | May 20, 2008 (482 d) |
| Laura Noel Woods | Vsr Advisory Services other | Investacorp Advisory Services Inc other | Other | Dec 31, 2006 | Jan 17, 2007 |
| John Clifford Huxford | Valic Financial Advisors, Inc. other | Investacorp Advisory Services Inc other | Other | Dec 20, 2006 | Jan 4, 2007 |
| Robert Lewis Hawkins | Investors Capital Advisory other | Investacorp Advisory Services Inc other | Other | Nov 28, 2006 | Jan 22, 2014 (2612 d) |
| Jose Manuel Mateo | Valic Financial Advisors, Inc. other | Investacorp Advisory Services Inc other | Other | Oct 5, 2006 | Oct 5, 2006 |
| Patrick Joseph Lynch | Osaic Fa, Inc. other | Investacorp Advisory Services Inc other | Other | Aug 2, 2006 | Aug 1, 2006 |
| Steve James Markey | Osaic Fa, Inc. other | Investacorp Advisory Services Inc other | Other | Aug 2, 2006 | Aug 1, 2006 |
| Arturo Gilberto Torres | Osaic Fa, Inc. other | Investacorp Advisory Services Inc other | Other | Aug 2, 2006 | Aug 1, 2006 |
| Scott James Langham | Osaic Fa, Inc. other | Investacorp Advisory Services Inc other | Other | Aug 2, 2006 | Aug 1, 2006 |
| Ronald Edward Shibley | Transamerica Financial Advisors, LLC other | Investacorp Advisory Services Inc other | Other | Jun 8, 2006 | Jun 12, 2006 |
| Frank Jefferies Held | Valic Financial Advisors, Inc. other | Investacorp Advisory Services Inc other | Other | Jun 6, 2006 | Jan 4, 2007 (212 d) |
| Arielle Kim Jaffe | Suntrust Investment Services, Inc. other | Investacorp Advisory Services Inc other | Other | May 19, 2006 | May 20, 2008 (732 d) |
| David Andrew Knierim | Valic Financial Advisors, Inc. other | Investacorp Advisory Services Inc other | Other | Apr 3, 2006 | Mar 8, 2006 |
| Clifford Blair Benjamin | On Investment Management Co other | Investacorp Advisory Services Inc other | Other | Apr 3, 2006 | Jun 9, 2008 (798 d) |
| Kevin David Smallwood | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Investacorp Advisory Services Inc other | Other | Mar 16, 2006 | Jun 5, 2006 (81 d) |
| Jennifer Harris Williamson | Citigroup Global Markets Inc. other | Investacorp Advisory Services Inc other | Other | Feb 10, 2006 | Oct 29, 2007 (626 d) |
| Anthony Vincent Pranzo | Ladenburg Thalmann Asset Management Inc other | Investacorp Advisory Services Inc other | Other | Dec 7, 2004 | Nov 6, 2006 (699 d) |
| Paul Ralph Caccomo | Osaic Wealth, Inc. other | Investacorp Advisory Services Inc other | Other | Aug 20, 2004 | Sep 1, 2004 |
| Frank Reid Hartsfield | Citigroup Global Markets Inc. other | Investacorp Advisory Services Inc other | Other | Aug 5, 2004 | Aug 5, 2004 |
| Joseph James Maslar | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Investacorp Advisory Services Inc other | Other | Apr 5, 2004 | Apr 21, 2009 (1842 d) |
| Gary Daniel Love | Wells Fargo Advisors wirehouse | Investacorp Advisory Services Inc other | Other | Feb 25, 2004 | Jan 20, 2005 (330 d) |