| Anthony Clayton Rice | Wells Fargo Advisors wirehouse | Wfg Advisors, LP other | Other | Dec 3, 2009 | Dec 10, 2009 |
| David Hansson Tobin | Momentum Independent Network Inc. other | Wfg Advisors, LP other | Other | Dec 2, 2009 | Nov 25, 2009 |
| William Chadwick Barber | Valic Financial Advisors, Inc. other | Wfg Advisors, LP other | Other | Nov 5, 2009 | Oct 29, 2009 |
| Gilbert Ray Zepeda | Osaic Wealth, Inc. other | Wfg Advisors, LP other | Other | Oct 28, 2009 | Oct 27, 2009 |
| Mark Jackson Myers | Workman Securities Corporation unclassified | Wfg Advisors, LP other | Other | Oct 20, 2009 | Nov 2, 2009 |
| Joshua Aaron Rudd | Edward Jones national BD | Wfg Advisors, LP other | Other | Oct 6, 2009 | Oct 2, 2009 |
| William Elliott King | Valic Financial Advisors, Inc. other | Wfg Advisors, LP other | Other | Sep 30, 2009 | Sep 23, 2009 |
| John Huey Neely | Century Advisors, LLC unclassified | Wfg Advisors, LP other | Other | Sep 14, 2009 | Jul 13, 2009 |
| Sherry Ann Hardin | Associated Planners Investment Advisory Inc unclassified | Wfg Advisors, LP other | Other | Aug 25, 2009 | Aug 21, 2009 |
| Joshua Allen Cooper | Associated Planners Investment Advisory Inc unclassified | Wfg Advisors, LP other | Other | Aug 25, 2009 | Aug 21, 2009 |
| Karine Renee Beard | Associated Securities Corp. unclassified | Wfg Advisors, LP other | Other | Aug 24, 2009 | Aug 21, 2009 |
| Bert Allen Cooper | Associated Planners Investment Advisory Inc unclassified | Wfg Advisors, LP other | Other | Aug 24, 2009 | Aug 21, 2009 |
| Patricia Ann Nyborg | Associated Securities Corp. unclassified | Wfg Advisors, LP other | Other | Aug 24, 2009 | Aug 24, 2009 |
| Max K Aten | Valic Financial Advisors, Inc. other | Wfg Advisors, LP other | Other | Aug 11, 2009 | Aug 3, 2009 |
| Mark Nelson Holloway | Century Advisors, LLC unclassified | Wfg Advisors, LP other | Other | Aug 4, 2009 | Aug 4, 2009 |
| Terry William Mclemore | Century Advisors, LLC unclassified | Wfg Advisors, LP other | Other | Aug 4, 2009 | Aug 4, 2009 |
| Timmy Lee Baker | Nfp Advisor Services, LLC other | Wfg Advisors, LP other | Other | Jul 6, 2009 | May 29, 2009 |
| Jessica Ann Edmonds | Usaa Financial Planning Services no RAUM | Wfg Advisors, LP other | Other | Jul 6, 2009 | Nov 25, 2009 (142 d) |
| Ryan Daniel Mcdermott | Edward Jones national BD | Wfg Advisors, LP other | Other | Jun 19, 2009 | Jun 15, 2009 |
| James Neal Turner | Fortitude Advisory Group L.L.C. other | Wfg Advisors, LP other | Other | May 28, 2009 | Apr 29, 2009 |
| Paul Thomas Hughes | Valic Financial Advisors, Inc. other | Wfg Advisors, LP other | Other | May 13, 2009 | May 1, 2009 |
| Daniel Scott Hughes | Valic Financial Advisors, Inc. other | Wfg Advisors, LP other | Other | May 13, 2009 | May 1, 2009 |
| Neal Thomas Leisch | American General Financial Advisors, Inc. unclassified | Wfg Advisors, LP other | Other | May 2, 2009 | Nov 2, 2009 (184 d) |
| Michael C Pemberton | Esi Financial Advisors other | Wfg Advisors, LP other | Other | Apr 2, 2009 | Mar 30, 2009 |
| David Charles Handa | Suntrust Investment Services, Inc. other | Wfg Advisors, LP other | Other | Mar 31, 2009 | Mar 31, 2009 |
| John Bemis Cravens | Stanford Group Company unclassified | Wfg Advisors, LP other | Other | Mar 12, 2009 | Mar 11, 2009 |
| Spencer Farris Murchison | Stanford Group Company unclassified | Wfg Advisors, LP other | Other | Mar 11, 2009 | Mar 10, 2009 |
| Bryan M Rigg | Rjg Financial state registered | Wfg Advisors, LP other | Other | Mar 3, 2009 | Jan 30, 2009 |
| Carie Marie Heckler | Equitable Advisors, LLC national BD | Wfg Advisors, LP other | Other | Feb 23, 2009 | Nov 10, 2009 (260 d) |
| John F Devereaux | Eplanning Advisors Inc unclassified | Wfg Advisors, LP other | Other | Dec 18, 2008 | Dec 17, 2008 |
| Craig Allen Love | Bbva Compass Investment Solutions, Inc unclassified | Wfg Advisors, LP other | Other | Dec 3, 2008 | Mar 2, 2009 (89 d) |
| Lori Ann Clem | Wfg Investments, Inc. unclassified | Wfg Advisors, LP other | Other | Nov 18, 2008 | Nov 21, 2008 |
| Norman Frank Hall | Nfp Advisor Services, LLC other | Wfg Advisors, LP other | Other | Oct 3, 2008 | Oct 20, 2008 |
| Dee Morgan | Osaic Fa, Inc. other | Wfg Advisors, LP other | Other | Sep 10, 2008 | Sep 8, 2008 |
| Cristina Raft | The Quantitative Group, L.P. unclassified | Wfg Advisors, LP other | Other | Aug 27, 2008 | Mar 5, 2009 (190 d) |
| James Michael Perry | Valic Financial Advisors, Inc. other | Wfg Advisors, LP other | Other | Jul 28, 2008 | Aug 27, 2009 (395 d) |
| Charles Beaman Jimerson | Wfg Investments, Inc. unclassified | Wfg Advisors, LP other | Other | Feb 20, 2008 | Apr 28, 2003 |
| Marty Harari | Wfg Investments, Inc. unclassified | Wfg Advisors, LP other | Other | Feb 20, 2008 | Apr 30, 2003 |
| Jonathan Moser Spatz | Carolina Investment Advisors, LLC unclassified | Wfg Advisors, LP other | Other | Dec 31, 2007 | May 13, 2008 (134 d) |
| Samuel Ryan Edwards | Carolina Investment Advisors, LLC unclassified | Wfg Advisors, LP other | Other | Dec 31, 2007 | May 13, 2008 (134 d) |
| Leslie Dyke Stewart | Carolina Investment Advisors, LLC unclassified | Wfg Advisors, LP other | Other | Dec 31, 2007 | May 13, 2008 (134 d) |
| Charles David Robinson | Northwestern Mutual Investment Services,LLC other | Wfg Advisors, LP other | Other | Dec 19, 2007 | May 11, 2011 (1239 d) |
| Dagny Young | Wfg Investments, Inc. unclassified | Wfg Advisors, LP other | Other | Oct 16, 2007 | Apr 29, 2003 |
| James Dan Heard | Wfg Investments, Inc. unclassified | Wfg Advisors, LP other | Other | Oct 16, 2007 | Jan 23, 2004 |
| Michael Joe Vestal | 1st Global Advisors Inc other | Wfg Advisors, LP other | Other | Aug 30, 2007 | Sep 10, 2012 (1838 d) |
| Harry Roger Hughes | Citigroup Global Markets Inc. other | Wfg Advisors, LP other | Other | Jun 11, 2007 | May 25, 2007 |
| Benjamin Herschel Dean | Momentum Independent Network Inc. other | Wfg Advisors, LP other | Other | Jan 4, 2007 | Jan 17, 2007 |
| Edward Raymond Foraker | Wfg Investments, Inc. unclassified | Wfg Advisors, LP other | Other | Nov 14, 2006 | May 8, 2003 |
| Brett Nolan Sizemore | Edward Jones national BD | Wfg Advisors, LP other | Other | Jul 20, 2006 | Aug 1, 2006 |
| Michael David Miller | Mdm Capital Advisors, LLC unclassified | Wfg Advisors, LP other | Other | Mar 21, 2006 | Mar 21, 2006 |
| Mathew Stephan Hammer | Pnc Wealth Management other | Wfg Advisors, LP other | Other | Feb 2, 2006 | Jan 27, 2006 |
| Jim Alan Yockey | Investors Capital Advisory other | Wfg Advisors, LP other | Other | Dec 31, 2005 | Nov 10, 2006 (314 d) |
| James Kevin Pheney | Pro-Integrity Securities, Inc. unclassified | Wfg Advisors, LP other | Other | Dec 31, 2004 | Jan 3, 2005 |
| William Martin Perry | Pro-Integrity Securities, Inc. unclassified | Wfg Advisors, LP other | Other | Dec 31, 2004 | Jan 14, 2005 |
| Gregory James Pasler | Pro-Integrity Securities, Inc. unclassified | Wfg Advisors, LP other | Other | Dec 31, 2004 | Jan 7, 2005 |
| Chris Brian Fletcher | Pro-Integrity Securities, Inc. unclassified | Wfg Advisors, LP other | Other | Dec 31, 2004 | Jan 18, 2005 |
| Katherine Bartlett Kennedy | Pro-Integrity Securities, Inc. unclassified | Wfg Advisors, LP other | Other | Dec 31, 2004 | Jan 18, 2005 |
| William Joseph Sammons | Citigroup Global Markets Inc. other | Wfg Advisors, LP other | Other | Jul 12, 2004 | Jul 1, 2004 |
| Ronald Alan Kern | Citigroup Global Markets Inc. other | Wfg Advisors, LP other | Other | Jul 12, 2004 | Jul 1, 2004 |
| Rollins Schultz Rubsamen | Citigroup Global Markets Inc. other | Wfg Advisors, LP other | Other | Jul 12, 2004 | Jul 1, 2004 |