| Jon Charles Mcaleney | Ameriprise Financial Services, LLC national BD | Ic Advisory Services, Inc. other | Other | Sep 8, 2010 | Sep 7, 2010 |
| Glen Richards Pier | Next Financial Group, Inc. other | Ic Advisory Services, Inc. other | Other | Jul 26, 2010 | Jul 26, 2010 |
| John Francis Ryan | Next Financial Group, Inc. other | Ic Advisory Services, Inc. other | Other | Jul 22, 2010 | Jul 23, 2010 |
| Christopher Hess | Next Financial Group, Inc. other | Ic Advisory Services, Inc. other | Other | Jul 22, 2010 | Jul 22, 2010 |
| Aderito Edward Morais | Next Financial Group, Inc. other | Ic Advisory Services, Inc. other | Other | Jul 22, 2010 | Jul 22, 2010 |
| Walter Franklin Greenwald | Next Financial Group, Inc. other | Ic Advisory Services, Inc. other | Other | Jul 20, 2010 | Jul 20, 2010 |
| Steven Ray Studebaker | Next Financial Group, Inc. other | Ic Advisory Services, Inc. other | Other | Jul 20, 2010 | Jul 21, 2010 |
| Jerry Bradford Grimes | Next Financial Group, Inc. other | Ic Advisory Services, Inc. other | Other | Jun 25, 2010 | Jun 28, 2010 |
| Timothy Brian Kenyon | Securities America Advisors, Inc. other | Ic Advisory Services, Inc. other | Other | Jun 9, 2010 | May 24, 2010 |
| Jeffrey Raymond Kenyon | Securities America Advisors, Inc. other | Ic Advisory Services, Inc. other | Other | Jun 9, 2010 | May 24, 2010 |
| David Michael Mc Corison | Equitable Advisors, LLC national BD | Ic Advisory Services, Inc. other | Other | Apr 22, 2010 | Apr 16, 2010 |
| Ryan Scott Brewer | Equitable Advisors, LLC national BD | Ic Advisory Services, Inc. other | Other | Apr 22, 2010 | Apr 21, 2010 |
| Valerie M. Downs | Private Client Services, LLC other | Ic Advisory Services, Inc. other | Other | Apr 20, 2010 | Apr 22, 2010 |
| Jeffrey Lloyd Gibbens | Gwn Securities Inc. other | Ic Advisory Services, Inc. other | Other | Dec 31, 2009 | Jan 6, 2010 |
| Thomas Bezigian | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Ic Advisory Services, Inc. other | Other | Oct 27, 2009 | Oct 26, 2009 |
| David Edward Jozefek | UBS Financial Services Inc. wirehouse | Ic Advisory Services, Inc. other | Other | Oct 5, 2009 | Nov 19, 2009 (45 d) |
| Michael A Piccione | Woodbury Financial Services, Inc. other | Ic Advisory Services, Inc. other | Other | Sep 29, 2009 | Sep 25, 2009 |
| Christopher John Parios | Fsc Securities Corporation other | Ic Advisory Services, Inc. other | Other | Aug 24, 2009 | Aug 20, 2009 |
| Philip Arthur Gleason | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Ic Advisory Services, Inc. other | Other | Jun 29, 2009 | Jun 29, 2009 |
| Kevin Bonner Glynn | Morgan Stanley wirehouse | Ic Advisory Services, Inc. other | Other | Jun 23, 2009 | Jun 12, 2009 |
| Keith Lamor Latimer | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Ic Advisory Services, Inc. other | Other | Jun 16, 2009 | Jun 12, 2009 |
| David Swee Hock Lim | Waddell & Reed other | Ic Advisory Services, Inc. other | Other | Jun 2, 2009 | Jun 4, 2009 |
| James Richard Reim | Morgan Stanley & Co. LLC unclassified | Ic Advisory Services, Inc. other | Other | Apr 14, 2009 | May 11, 2009 |
| Michael Wayne Scruggs | Ameriprise Financial Services, LLC national BD | Ic Advisory Services, Inc. other | Other | Mar 18, 2009 | Mar 18, 2009 |
| Michael Stuart Hillgen-Santa | Morgan Stanley & Co. LLC unclassified | Ic Advisory Services, Inc. other | Other | Feb 26, 2009 | Feb 26, 2009 |
| Quinn Ilkyu Im | Msi Financial Services, Inc. other | Ic Advisory Services, Inc. other | Other | Feb 25, 2009 | Feb 6, 2009 |
| Mary Mee Goon | RBC Capital Markets, LLC national BD | Ic Advisory Services, Inc. other | Other | Jan 21, 2009 | Feb 3, 2009 |
| Rebecca Suzanne Obermeier | Citigroup Global Markets Inc. other | Ic Advisory Services, Inc. other | Other | Dec 17, 2008 | Dec 2, 2010 (715 d) |
| Annette Louise Schiavone | Goldman Sachs Wealth Services, L.P. other | Ic Advisory Services, Inc. other | Other | Nov 25, 2008 | Feb 13, 2009 (80 d) |
| Steven Jay Greenberg | Citigroup Global Markets Inc. other | Ic Advisory Services, Inc. other | Other | Oct 28, 2008 | Nov 12, 2008 |
| Christopher Powell Hill | LPL Financial LLC other | Ic Advisory Services, Inc. other | Other | Sep 9, 2008 | Sep 5, 2008 |
| George Khalsa | MML Investors Services, LLC other | Ic Advisory Services, Inc. other | Other | Jan 8, 2008 | Jan 7, 2008 |
| Paul Charles Lobosco | UBS Financial Services Inc. wirehouse | Ic Advisory Services, Inc. other | Other | Oct 2, 2007 | Oct 3, 2007 |
| Michael Francis Jennetta | Citigroup Global Markets Inc. other | Ic Advisory Services, Inc. other | Other | Aug 9, 2007 | Aug 27, 2007 |
| Louis Tranquilli | Eltekon Advisors, LLC. independent RIA | Ic Advisory Services, Inc. other | Other | Jul 5, 2007 | Jul 6, 2007 |
| Darrin Mcclain Wallace | Multi-Financial Services Company unclassified | Ic Advisory Services, Inc. other | Other | Apr 3, 2007 | Jul 16, 2007 (104 d) |
| Kyle Edwin Roser | Uvest Financial Services Group, Inc. unclassified | Ic Advisory Services, Inc. other | Other | Feb 14, 2007 | Jan 9, 2007 |
| Dan Edward Wagner | Uvest Financial Services Group, Inc. unclassified | Ic Advisory Services, Inc. other | Other | Jan 30, 2007 | Jan 8, 2007 |
| Daniel Joseph Sullivan | Ifmg Securities, Inc. unclassified | Ic Advisory Services, Inc. other | Other | Jan 9, 2007 | Oct 3, 2012 (2094 d) |
| Joseph Paul Campisi | The Investment Center, Inc. unclassified | Ic Advisory Services, Inc. other | Other | Oct 2, 2006 | Jun 2, 2006 |
| John G Garretson | The Investment Center, Inc. unclassified | Ic Advisory Services, Inc. other | Other | Oct 2, 2006 | Jun 2, 2006 |
| Kevin Steven Morin | The Investment Center, Inc. unclassified | Ic Advisory Services, Inc. other | Other | Oct 2, 2006 | Jun 2, 2006 |
| Robert James Ellis | The Investment Center, Inc. unclassified | Ic Advisory Services, Inc. other | Other | Oct 2, 2006 | Jun 2, 2006 |
| Maria Ann Avento | The Investment Center, Inc. unclassified | Ic Advisory Services, Inc. other | Other | Oct 2, 2006 | Jun 2, 2006 |
| Stanley Lozinski | The Investment Center, Inc. unclassified | Ic Advisory Services, Inc. other | Other | Oct 2, 2006 | Jun 2, 2006 |
| James Charbonneau | The Investment Center, Inc. unclassified | Ic Advisory Services, Inc. other | Other | Oct 2, 2006 | Jun 2, 2006 |
| Howard Raymond Solomon | The Investment Center, Inc. unclassified | Ic Advisory Services, Inc. other | Other | Oct 2, 2006 | Jun 2, 2006 |
| Gina Marie Portelles | The Investment Center, Inc. unclassified | Ic Advisory Services, Inc. other | Other | Oct 2, 2006 | Jun 2, 2006 |
| Raymond Michael Heidel | The Investment Center, Inc. unclassified | Ic Advisory Services, Inc. other | Other | Oct 2, 2006 | Jun 2, 2006 |
| Martin Alexander Scheinkman | The Investment Center, Inc. unclassified | Ic Advisory Services, Inc. other | Other | Oct 2, 2006 | Jun 2, 2006 |
| Charles W Crews | The Investment Center, Inc. unclassified | Ic Advisory Services, Inc. other | Other | Oct 2, 2006 | Jun 2, 2006 |
| Louis Benjamin Carpenter | The Investment Center, Inc. unclassified | Ic Advisory Services, Inc. other | Other | Oct 2, 2006 | Jun 2, 2006 |
| Paul Victor Clough | Fsc Securities Corporation other | Ic Advisory Services, Inc. other | Other | Sep 5, 2006 | Aug 30, 2006 |
| A Charles Krempa | Hornor, Townsend & Kent, LLC other | Ic Advisory Services, Inc. other | Other | Sep 1, 2006 | Sep 1, 2006 |
| William Thomas Krempa | Hornor, Townsend & Kent, LLC other | Ic Advisory Services, Inc. other | Other | Sep 1, 2006 | Sep 1, 2006 |
| John Edward Myers | Wells Fargo Advisors wirehouse | Ic Advisory Services, Inc. other | Other | Jul 17, 2006 | Jul 14, 2006 |
| Royce Leonard Winsten | UBS Financial Services Inc. wirehouse | Ic Advisory Services, Inc. other | Other | Jul 28, 2005 | Jan 4, 2008 (890 d) |
| Edward Philip Lewis | Raymond James Financial Services, Inc. unclassified | Ic Advisory Services, Inc. other | Other | Nov 11, 2003 | Oct 27, 2010 (2542 d) |
| Adam Zeliger | UBS Financial Services Inc. wirehouse | Ic Advisory Services, Inc. other | Other | Oct 2, 2003 | Jan 14, 2008 (1565 d) |
| John Kyle Richards | Choreo, LLC other | Ic Advisory Services, Inc. other | Other | Jul 10, 2003 | Jan 25, 2007 (1295 d) |