| Paul Joseph Carico | LPL Financial LLC other | Msi Financial Services, Inc. other | Other | Feb 2, 2016 | Jan 22, 2016 |
| Kateryna Puchowicz | MML Investors Services, LLC other | Msi Financial Services, Inc. other | Other | Feb 2, 2016 | Jan 29, 2016 |
| Joseph James Di Biasi | Equitable Advisors, LLC national BD | Msi Financial Services, Inc. other | Other | Feb 1, 2016 | Feb 12, 2016 |
| Ashley A Miller | Vicus Capital, Inc. other | Msi Financial Services, Inc. other | Other | Jan 27, 2016 | Jan 29, 2016 |
| Kelley Mei Lin Yoshie Tom | LPL Financial LLC other | Msi Financial Services, Inc. other | Other | Jan 25, 2016 | Jan 12, 2016 |
| Robert M Gaines | Mutual Of Omaha Investor Services, Inc. no RAUM | Msi Financial Services, Inc. other | Other | Jan 25, 2016 | Jan 11, 2016 |
| Matthew S Crane | Mutual Of Omaha Investor Services, Inc. no RAUM | Msi Financial Services, Inc. other | Other | Jan 25, 2016 | Jan 11, 2016 |
| Wesley Jordan Burke | Mutual Of Omaha Investor Services, Inc. no RAUM | Msi Financial Services, Inc. other | Other | Jan 25, 2016 | Jan 11, 2016 |
| Wilbert Lamar Hamilton | Kovack Advisors, Inc. other | Msi Financial Services, Inc. other | Other | Jan 14, 2016 | Jan 14, 2016 |
| E. B Loomis | Cetera Advisor Networks LLC other | Msi Financial Services, Inc. other | Other | Jan 13, 2016 | Apr 20, 2016 (98 d) |
| Brett Andrew Laferrera | Valic Financial Advisors, Inc. other | Msi Financial Services, Inc. other | Other | Jan 4, 2016 | Jan 25, 2016 |
| Jessica Lynn Laferrera | Valic Financial Advisors, Inc. other | Msi Financial Services, Inc. other | Other | Jan 4, 2016 | Jan 25, 2016 |
| Kelly Ann Weaver | Osaic Fa, Inc. other | Msi Financial Services, Inc. other | Other | Dec 28, 2015 | Jan 7, 2016 |
| Christopher Walter Eble | Wells Fargo Advisors wirehouse | Msi Financial Services, Inc. other | Other | Dec 23, 2015 | Dec 18, 2015 |
| Arnie Kenneth Cabiles | LPL Financial LLC other | Msi Financial Services, Inc. other | Other | Dec 22, 2015 | May 9, 2016 (139 d) |
| Diane L Mannino | Wells Fargo Advisors wirehouse | Msi Financial Services, Inc. other | Other | Dec 22, 2015 | Jan 22, 2016 (31 d) |
| Michael L Caputo | LPL Financial LLC other | Msi Financial Services, Inc. other | Other | Dec 21, 2015 | Dec 17, 2015 |
| Matthew J Freeman | Oneamerica Securities, Inc. other | Msi Financial Services, Inc. other | Other | Dec 21, 2015 | Dec 11, 2015 |
| Harris Todd Doobrow | MML Investors Services, LLC other | Msi Financial Services, Inc. other | Other | Dec 18, 2015 | Dec 18, 2015 |
| Dane Michael Brockman | U.S. Bancorp Advisors, LLC other | Msi Financial Services, Inc. other | Other | Dec 17, 2015 | Dec 14, 2015 |
| Mark Essenfeld | LPL Financial LLC other | Msi Financial Services, Inc. other | Other | Dec 14, 2015 | Jan 22, 2016 (39 d) |
| Noah S. Jackson | Primerica Advisors national BD | Msi Financial Services, Inc. other | Other | Dec 3, 2015 | Dec 11, 2015 |
| Russell William Strickler | Citizens Securities, Inc. other | Msi Financial Services, Inc. other | Other | Dec 2, 2015 | Nov 10, 2015 |
| Jeffrey Krug | Lanark Financial, Inc. other | Msi Financial Services, Inc. other | Other | Dec 1, 2015 | Dec 7, 2015 |
| David Patrick Nadeau | LPL Financial LLC other | Msi Financial Services, Inc. other | Other | Nov 27, 2015 | Jan 4, 2017 (404 d) |
| Kerri Allison Allen | Northwestern Mutual Investment Services,LLC other | Msi Financial Services, Inc. other | Other | Nov 23, 2015 | Dec 22, 2015 |
| Jonathan Kisch | LPL Financial LLC other | Msi Financial Services, Inc. other | Other | Nov 20, 2015 | Feb 5, 2016 (77 d) |
| James Harold Ross | Mariner other | Msi Financial Services, Inc. other | Other | Nov 20, 2015 | Jan 2, 2015 |
| John Patrick Dakin | Valic Financial Advisors, Inc. other | Msi Financial Services, Inc. other | Other | Nov 19, 2015 | Nov 12, 2015 |
| Richard S Hyams | B. Riley Wealth Advisors, Inc. other | Msi Financial Services, Inc. other | Other | Nov 18, 2015 | Dec 24, 2015 (36 d) |
| Thomas James Jordan | Northwestern Mutual Investment Services,LLC other | Msi Financial Services, Inc. other | Other | Nov 18, 2015 | Dec 7, 2015 |
| Samuel Hawks Goodhue | Signator Investors, Inc. other | Msi Financial Services, Inc. other | Other | Nov 18, 2015 | Nov 16, 2015 |
| Arthur Neil Schlosser | LPL Financial LLC other | Msi Financial Services, Inc. other | Other | Nov 16, 2015 | Nov 6, 2015 |
| Alejandro Mendieta | LPL Financial LLC other | Msi Financial Services, Inc. other | Other | Nov 16, 2015 | Nov 16, 2015 |
| Jonathan Mead | Eagle Strategies LLC other | Msi Financial Services, Inc. other | Other | Nov 12, 2015 | Oct 30, 2015 |
| Garrett William Hurley | Pruco Securities, LLC other | Msi Financial Services, Inc. other | Other | Nov 9, 2015 | Nov 6, 2015 |
| Benjamin Feiner | Equitable Advisors, LLC national BD | Msi Financial Services, Inc. other | Other | Nov 6, 2015 | Nov 6, 2015 |
| Ottilia Boechat Stura | J.P. Morgan Securities LLC wirehouse | Msi Financial Services, Inc. other | Other | Nov 5, 2015 | Nov 6, 2015 |
| Daniel Jun Lee | Edward Jones national BD | Msi Financial Services, Inc. other | Other | Nov 5, 2015 | Feb 16, 2016 (103 d) |
| Mark Alan Mclafferty | MML Investors Services, LLC other | Msi Financial Services, Inc. other | Other | Nov 3, 2015 | Jan 21, 2016 (79 d) |
| Pete Scheurman | Edward Jones national BD | Msi Financial Services, Inc. other | Other | Nov 3, 2015 | Feb 17, 2016 (106 d) |
| John A. Occhipinti | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Msi Financial Services, Inc. other | Other | Nov 2, 2015 | Nov 6, 2015 |
| Gary Britton Underbrink | Next Financial Group, Inc. other | Msi Financial Services, Inc. other | Other | Nov 2, 2015 | Nov 2, 2015 |
| Neal Gordon | J.P. Morgan Securities LLC wirehouse | Msi Financial Services, Inc. other | Other | Oct 29, 2015 | Oct 23, 2015 |
| David Mark Selenko | Morgan Stanley wirehouse | Msi Financial Services, Inc. other | Other | Oct 28, 2015 | Oct 23, 2015 |
| Maria Victoria Sarthou Fought | Eagle Strategies LLC other | Msi Financial Services, Inc. other | Other | Oct 28, 2015 | Oct 28, 2015 |
| Mikael C Lee | Wells Fargo Advisors wirehouse | Msi Financial Services, Inc. other | Other | Oct 26, 2015 | Dec 17, 2015 (52 d) |
| Amrish Navnitbhai Patel | Securities America Advisors, Inc. other | Msi Financial Services, Inc. other | Other | Oct 23, 2015 | Oct 23, 2015 |
| Gretchen Elizabeth Chapdelaine | M Holdings Securities, Inc. other | Msi Financial Services, Inc. other | Other | Oct 22, 2015 | Nov 4, 2015 |
| Robert John Broadhead | Oneamerica Securities, Inc. other | Msi Financial Services, Inc. other | Other | Oct 7, 2015 | Oct 6, 2015 |
| John Joseph Minton | First Command Financial Planning, Inc. other | Msi Financial Services, Inc. other | Other | Oct 7, 2015 | Oct 1, 2015 |
| Manuel Reynoso | Waddell & Reed other | Msi Financial Services, Inc. other | Other | Oct 6, 2015 | Oct 1, 2015 |
| Brian Robert Schmuke | N1 Advisors other | Msi Financial Services, Inc. other | Other | Oct 2, 2015 | Oct 8, 2015 |
| John Christopher Woodrome | Invest Financial Corporation other | Msi Financial Services, Inc. other | Other | Sep 29, 2015 | Nov 4, 2015 (36 d) |
| Carlyn J Bouchard | Public Safety Financial/Galloway other | Msi Financial Services, Inc. other | Other | Sep 28, 2015 | Feb 1, 2016 (126 d) |
| Christopher L. Eklund | Mariner other | Msi Financial Services, Inc. other | Other | Sep 23, 2015 | Jan 2, 2015 |
| David Jay Weisman | Churchill Management Group other | Msi Financial Services, Inc. other | Other | Sep 22, 2015 | Jun 6, 2016 (258 d) |
| Stephanie S Fralin | Suntrust Investment Services, Inc. other | Msi Financial Services, Inc. other | Other | Sep 21, 2015 | Dec 1, 2015 (71 d) |
| Bruce Allen Joseph | Cuso Financial Services, L.P. other | Msi Financial Services, Inc. other | Other | Sep 21, 2015 | Sep 21, 2015 |
| Aaron Phillip Hughes | Curian Capital, LLC other | Msi Financial Services, Inc. other | Other | Sep 15, 2015 | Dec 16, 2015 (92 d) |