| Eugene Alan Cheng | Commonwealth Financial Network national BD | Cantella & Co., Inc. other | Other | Jul 1, 2009 | Jul 7, 2009 |
| John Emerson Willse | Tlg Advisors, Inc. other | Cantella & Co., Inc. other | Other | May 21, 2009 | May 21, 2009 |
| John Paul Destefanis | U.S. Financial Advisors other | Cantella & Co., Inc. other | Other | May 21, 2009 | May 29, 2009 |
| Amy Melissa Keating | UBS Financial Services Inc. wirehouse | Cantella & Co., Inc. other | Other | May 13, 2009 | May 14, 2009 |
| Michael Charles Weber | Raymond James Financial Services Advisors, Inc other | Cantella & Co., Inc. other | Other | Apr 22, 2009 | Apr 17, 2009 |
| Luann Driscoll | Raymond James Financial Services Advisors, Inc other | Cantella & Co., Inc. other | Other | Apr 22, 2009 | Apr 17, 2009 |
| Michael Wayne Wiginton | Wells Fargo Advisors wirehouse | Cantella & Co., Inc. other | Other | Apr 7, 2009 | Apr 4, 2009 |
| Joseph Nicholas Azevedo | Edward Jones national BD | Cantella & Co., Inc. other | Other | Apr 6, 2009 | Apr 21, 2009 |
| Michelle Marie Martin-Yoder | Raymond James Financial Services Advisors, Inc other | Cantella & Co., Inc. other | Other | Mar 10, 2009 | Mar 9, 2009 |
| Kevin Bradley Martin | Crocker Securities LLC unclassified | Cantella & Co., Inc. other | Other | Jul 11, 2008 | Jul 14, 2008 |
| John Michael Salley | Raymond James Financial Services, Inc. unclassified | Cantella & Co., Inc. other | Other | Feb 6, 2008 | Feb 26, 2008 |
| Paul Richard Stephens | Comerica Securities other | Cantella & Co., Inc. other | Other | Nov 27, 2007 | Dec 19, 2007 |
| Bradford Marlon Pine | Joseph Gunnar & Co., LLC other | Cantella & Co., Inc. other | Other | Nov 9, 2007 | Dec 4, 2007 |
| Brian David Colubiale | UBS Financial Services Inc. wirehouse | Cantella & Co., Inc. other | Other | Mar 1, 2007 | May 1, 2007 (61 d) |
| Thomas Robert Manning | Brecek & Young Advisors, Inc. other | Cantella & Co., Inc. other | Other | Jan 3, 2007 | Dec 18, 2006 |
| Keith Geoffrey Fosler | Wells Fargo Advisors wirehouse | Cantella & Co., Inc. other | Other | Dec 19, 2006 | Jan 5, 2007 |
| Harley Lance Kaplan | Compass Capital Corporation other | Cantella & Co., Inc. other | Other | Oct 13, 2006 | Mar 9, 2007 (147 d) |
| Jill Barry Shea | Mmc Securities LLC no RAUM | Cantella & Co., Inc. other | Other | Sep 26, 2006 | Sep 13, 2006 |
| Thomas Arcuik | Raymond James Financial Services, Inc. unclassified | Cantella & Co., Inc. other | Other | Aug 10, 2006 | Aug 17, 2006 |
| Gregory Keith Kempner | UBS Financial Services Inc. wirehouse | Cantella & Co., Inc. other | Other | Jul 14, 2006 | Jun 27, 2006 |
| Lee Michael Turek | Piper Sandler & Co. no RAUM | Cantella & Co., Inc. other | Other | Jun 26, 2006 | Sep 8, 2006 (74 d) |
| Richard Edmond Wedge | Financial Telesis, Inc. other | Cantella & Co., Inc. other | Other | May 25, 2006 | May 23, 2006 |
| Edward Christopher Burke | LPL Financial LLC other | Cantella & Co., Inc. other | Other | Apr 3, 2006 | Apr 3, 2006 |
| Herbert Thomas Wolf | Raymond James Financial Services, Inc. unclassified | Cantella & Co., Inc. other | Other | Dec 31, 2005 | Jan 3, 2006 |
| Peter Henry Gore | Raymond James Financial Services, Inc. unclassified | Cantella & Co., Inc. other | Other | Dec 31, 2005 | Jan 3, 2006 |
| Larry Stephen Golub | Raymond James Financial Services, Inc. unclassified | Cantella & Co., Inc. other | Other | Dec 31, 2005 | Jan 3, 2006 |
| Gregory Thomas Cimmino | New England Securities Corporation other | Cantella & Co., Inc. other | Other | Sep 7, 2005 | Sep 6, 2005 |
| Frank Gustave Demaio | Morgan Stanley Dw Inc. unclassified | Cantella & Co., Inc. other | Other | Aug 29, 2005 | Aug 16, 2005 |
| Arthur Floyd Hazen | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Cantella & Co., Inc. other | Other | Aug 5, 2005 | Aug 8, 2005 |
| Kerry Constantine Geaneas | Gunnallen Financial, Inc unclassified | Cantella & Co., Inc. other | Other | Jun 17, 2005 | Jun 16, 2005 |
| Philip John Cawley | Legg Mason Wood Walker, Incorporated unclassified | Cantella & Co., Inc. other | Other | Mar 7, 2005 | Mar 23, 2005 |
| William Saunders Mccloud | Morgan Stanley Dw Inc. unclassified | Cantella & Co., Inc. other | Other | Feb 18, 2005 | Mar 1, 2005 |
| Jeffrey J Knight | Morgan Stanley Dw Inc. unclassified | Cantella & Co., Inc. other | Other | Feb 7, 2005 | Feb 4, 2005 |
| Thomas Harmon Ferrell | Southtrust Securities, LLC unclassified | Cantella & Co., Inc. other | Other | Dec 13, 2004 | Jun 19, 2017 (4571 d) |
| Antonio Americo Ciocca | Ai Plan Services, Inc. unclassified | Cantella & Co., Inc. other | Other | Nov 23, 2004 | Jan 5, 2005 (43 d) |
| William Robert Todd | First Allied Securities, Inc. other | Cantella & Co., Inc. other | Other | Nov 19, 2004 | Nov 10, 2004 |
| Eric Butler Lusk | First Allied Securities, Inc. other | Cantella & Co., Inc. other | Other | Nov 19, 2004 | Nov 10, 2004 |
| Andre Monsour | Raymond James Financial Services, Inc. unclassified | Cantella & Co., Inc. other | Other | Nov 1, 2004 | Oct 22, 2004 |
| John Michael Butler | The Capital Group, Inc. unclassified | Cantella & Co., Inc. other | Other | Oct 28, 2004 | Sep 15, 2009 (1783 d) |
| Andrew Michael Monsour | Raymond James Financial Services, Inc. unclassified | Cantella & Co., Inc. other | Other | Sep 23, 2004 | Sep 21, 2004 |
| Troy Charles Jordan | UBS Financial Services Inc. wirehouse | Cantella & Co., Inc. other | Other | Apr 2, 2004 | Mar 19, 2004 |
| Martin William Krikorian | Cetera Advisor Networks LLC other | Cantella & Co., Inc. other | Other | Feb 18, 2004 | Jul 16, 2004 (149 d) |
| Steven Teruo Nakao | Raymond James Financial Services, Inc. unclassified | Cantella & Co., Inc. other | Other | Jan 5, 2004 | Jan 6, 2004 |
| William Dyer Fendley | Morgan Stanley Dw Inc. unclassified | Cantella & Co., Inc. other | Other | Jan 5, 2004 | Dec 19, 2003 |
| Chris Alfred Nelson | RBC Capital Markets, LLC national BD | Cantella & Co., Inc. other | Other | Dec 16, 2003 | Dec 1, 2003 |
| Gregory Gordon James | Raymond James Financial Services, Inc. unclassified | Cantella & Co., Inc. other | Other | Dec 4, 2003 | Jan 28, 2004 (55 d) |
| Michael William Kozemchak | Wells Fargo Advisors wirehouse | Cantella & Co., Inc. other | Other | Oct 15, 2003 | Jun 7, 2004 (236 d) |
| Jeffrey Seth Fishman | Osaic Wealth, Inc. other | Cantella & Co., Inc. other | Other | Sep 24, 2003 | Sep 16, 2003 |
| Thomas Joseph Monahan | Wells Fargo Investments, LLC unclassified | Cantella & Co., Inc. other | Other | Sep 12, 2003 | Oct 14, 2003 (32 d) |
| Stephen Russell Story | Raymond James Financial Services, Inc. unclassified | Cantella & Co., Inc. other | Other | Aug 27, 2003 | Sep 8, 2003 |
| Douglas Carl Van Dyke | Wells Fargo Advisors wirehouse | Cantella & Co., Inc. other | Other | Aug 15, 2003 | Nov 14, 2003 (91 d) |
| Thomas Edward Lawnsby | Hornor, Townsend & Kent, LLC other | Cantella & Co., Inc. other | Other | Jul 1, 2003 | Jan 3, 2003 |
| Gordon Tracy Lange | Raymond James Financial Services, Inc. unclassified | Cantella & Co., Inc. other | Other | May 13, 2003 | May 13, 2003 |
| Thomas Joseph Diem | Raymond James Financial Services, Inc. unclassified | Cantella & Co., Inc. other | Other | Feb 5, 2003 | Oct 28, 2003 (265 d) |
| Roger Cunhui Yang | Hornor, Townsend & Kent, LLC other | Cantella & Co., Inc. other | Other | Nov 6, 2002 | Oct 16, 2002 |
| John Fiske Faustino | Equitable Advisors, LLC national BD | Cantella & Co., Inc. other | Other | Oct 30, 2002 | Oct 21, 2002 |