| Steven J Reina | UBS Financial Services Inc. wirehouse | Essex National Securities, Inc. other | Other | May 25, 2006 | Jul 21, 2006 (57 d) |
| Joseph Henry Gonzalez | Chase Investment Services Corp. other | Essex National Securities, Inc. other | Other | May 15, 2006 | Jul 24, 2006 (70 d) |
| Dario Orosco | Citicorp Investment Services unclassified | Essex National Securities, Inc. other | Other | Mar 7, 2006 | Mar 29, 2006 |
| Jeffrey Thomas Beebe | Citigroup Global Markets Inc. other | Essex National Securities, Inc. other | Other | Feb 9, 2006 | Oct 4, 2007 (602 d) |
| Kevin Gerard Mullins | Bny Investment Center Inc. unclassified | Essex National Securities, Inc. other | Other | Jan 30, 2006 | Feb 3, 2006 |
| Peggy W Neal | Wells Fargo Investments, LLC unclassified | Essex National Securities, Inc. other | Other | Dec 7, 2005 | Feb 10, 2007 (430 d) |
| Craig Douglas Munson | Banc Of America Investment Services, Inc. unclassified | Essex National Securities, Inc. other | Other | Oct 25, 2005 | Oct 26, 2005 |
| Michael L Bencivengo | Banc Of America Investment Services, Inc. unclassified | Essex National Securities, Inc. other | Other | Oct 25, 2005 | Oct 26, 2005 |
| John Natale Russo | Banc Of America Investment Services, Inc. unclassified | Essex National Securities, Inc. other | Other | Sep 6, 2005 | Sep 12, 2005 |
| Jonathan Howard Jarvis | Cetera Investment Services LLC other | Essex National Securities, Inc. other | Other | Sep 1, 2005 | Aug 24, 2005 |
| Michael A Comperchio | Cetera Investment Services LLC other | Essex National Securities, Inc. other | Other | Sep 1, 2005 | Aug 24, 2005 |
| Christine Pando | Citicorp Investment Services unclassified | Essex National Securities, Inc. other | Other | Apr 18, 2005 | May 23, 2005 (35 d) |
| Paul H Schott | Banc Of America Investment Services, Inc. unclassified | Essex National Securities, Inc. other | Other | Feb 18, 2005 | Mar 9, 2005 |
| Jeffrey Frank Damasco | Banc Of America Investment Services, Inc. unclassified | Essex National Securities, Inc. other | Other | Feb 17, 2005 | Jun 29, 2006 (497 d) |
| David Venneri | Blue Vase Securities, LLC unclassified | Essex National Securities, Inc. other | Other | Jan 20, 2005 | Sep 12, 2011 (2426 d) |
| Jonathan Daniel Magpayo | Morgan Stanley Dw Inc. unclassified | Essex National Securities, Inc. other | Other | Nov 1, 2004 | Feb 10, 2005 (101 d) |
| Robert Andrew Desalvo | Quick & Reilly, Inc. unclassified | Essex National Securities, Inc. other | Other | Aug 31, 2004 | Aug 24, 2004 |
| Michael Keith Graham | John Hancock Distributors LLC unclassified | Essex National Securities, Inc. other | Other | May 17, 2004 | Jun 1, 2004 |
| Christopher Walter Eble | Pnc Wealth Management other | Essex National Securities, Inc. other | Other | Mar 8, 2004 | Mar 9, 2004 |
| Luis Vinicio Alvarado | Equitable Advisors, LLC national BD | Essex National Securities, Inc. other | Other | Feb 18, 2004 | Feb 20, 2004 |
| Marcus Alan Silver | Wamu Investments, Inc. unclassified | Essex National Securities, Inc. other | Other | Nov 20, 2003 | Dec 15, 2003 |
| Cuong Le | UBS Financial Services Inc. wirehouse | Essex National Securities, Inc. other | Other | Nov 12, 2003 | Jan 8, 2004 (57 d) |
| Steven Fuchs | Morgan Stanley Dw Inc. unclassified | Essex National Securities, Inc. other | Other | Sep 4, 2003 | Sep 4, 2003 |
| Justin Samuel Robertson | Quick & Reilly, Inc. unclassified | Essex National Securities, Inc. other | Other | Aug 26, 2003 | Aug 26, 2003 |
| Alex A Eshmoili | Quick & Reilly, Inc. unclassified | Essex National Securities, Inc. other | Other | Aug 7, 2003 | Feb 28, 2005 (571 d) |
| Zoran Ivan Lozo | Principal Securities, Inc. other | Essex National Securities, Inc. other | Other | Jul 24, 2003 | Nov 7, 2003 (106 d) |
| Craig Douglas Munson | Prudential Equity Group, LLC unclassified | Essex National Securities, Inc. other | Other | May 19, 2003 | May 20, 2003 |
| Michael L Bencivengo | Morgan Stanley Dw Inc. unclassified | Essex National Securities, Inc. other | Other | May 16, 2003 | Jan 22, 2004 (251 d) |
| Annette Quigley | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Essex National Securities, Inc. other | Other | Apr 22, 2003 | May 12, 2003 |
| Paula Gallagher Moseley | Bb&T Investment Services, Inc. no RAUM | Essex National Securities, Inc. other | Other | Mar 5, 2003 | Nov 4, 2004 (610 d) |
| Antonio Avelino Garcia | Equitable Advisors, LLC national BD | Essex National Securities, Inc. other | Other | Feb 18, 2003 | Feb 19, 2003 |
| Michele Anne Tellstone | Quick & Reilly, Inc. unclassified | Essex National Securities, Inc. other | Other | Dec 16, 2002 | Jan 8, 2003 |
| Robert Ralph Reidinger | Morgan Stanley Dw Inc. unclassified | Essex National Securities, Inc. other | Other | Nov 4, 2002 | Jul 24, 2003 (262 d) |
| Norman James De Angelis | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Essex National Securities, Inc. other | Other | May 17, 2002 | Aug 5, 2004 (811 d) |