| Paul Michael Costa | Cetera Advisors LLC other | On Investment Management Co other | Other | May 16, 2013 | May 16, 2013 |
| Jeffrey Alan Duncan | LPL Financial LLC other | On Investment Management Co other | Other | Jan 28, 2013 | Jan 14, 2013 |
| Micah John Webb | Msi Financial Services, Inc. other | On Investment Management Co other | Other | Nov 29, 2012 | Dec 11, 2012 |
| Stephen Joseph Agrista | Npa Asset Management, LLC other | On Investment Management Co other | Other | Oct 24, 2012 | Oct 22, 2012 |
| Joseph Hurley | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | On Investment Management Co other | Other | Oct 10, 2012 | May 30, 2013 (232 d) |
| Roger Joseph Betcher | New England Securities Corporation other | On Investment Management Co other | Other | Oct 3, 2012 | Oct 1, 2012 |
| Aaron Edward Stewart | The America Group Financial Advisory Services, LLC unclassified | On Investment Management Co other | Other | Aug 28, 2012 | Aug 28, 2012 |
| Robert Eugene Walker | MML Investors Services, LLC other | On Investment Management Co other | Other | May 9, 2012 | Jan 4, 2013 (240 d) |
| Thomas Scott Widener | J.J.B. Hilliard, W.L. Lyons, LLC other | On Investment Management Co other | Other | May 8, 2012 | May 19, 2014 (741 d) |
| Christopher Nicholas Van Horn | Lincoln Investment other | On Investment Management Co other | Other | Apr 24, 2012 | Apr 26, 2012 |
| Nathan James Furniss | Pruco Securities, LLC other | On Investment Management Co other | Other | Apr 20, 2012 | Aug 27, 2012 (129 d) |
| Shawn Michael Wyatt | Ameriprise Financial Services, LLC national BD | On Investment Management Co other | Other | Apr 2, 2012 | Jul 10, 2014 (829 d) |
| Randall Wayne Fowler | Fowler, Hart & Associates, L.L.C. unclassified | On Investment Management Co other | Other | Mar 22, 2012 | Jan 9, 2013 (293 d) |
| Tilden Lester Sowdon | Brookstone Investment Advisory Services other | On Investment Management Co other | Other | Feb 10, 2012 | Mar 8, 2012 |
| George Joseph Randall | Pruco Securities, LLC other | On Investment Management Co other | Other | Feb 3, 2012 | Apr 1, 2013 (423 d) |
| Richard Paul Boccaccio | Park Avenue Securities LLC other | On Investment Management Co other | Other | Jan 26, 2012 | Jan 24, 2012 |
| Steven Michael Milligan | Msi Financial Services, Inc. other | On Investment Management Co other | Other | Jan 18, 2012 | Jan 3, 2012 |
| Fernando Patricio Romero | Pruco Securities, LLC other | On Investment Management Co other | Other | Jan 10, 2012 | Nov 2, 2012 (297 d) |
| Donald R Ayers | International Planning Alliance, LLC unclassified | On Investment Management Co other | Other | Dec 31, 2011 | Aug 27, 2015 (1335 d) |
| Michael G Romanello | Independence Capital Co., Inc. independent RIA | On Investment Management Co other | Other | Dec 31, 2011 | Jan 22, 2016 (1483 d) |
| Nelson Jay Merwitzer | Esi Financial Advisors other | On Investment Management Co other | Other | Dec 31, 2011 | Jan 3, 2012 |
| Marvin Henry Dennard | Woodbury Financial Services, Inc. other | On Investment Management Co other | Other | Nov 23, 2011 | Dec 9, 2011 |
| Scott Lavell Cluff | Questar Asset Management, Inc. other | On Investment Management Co other | Other | Nov 7, 2011 | Nov 8, 2011 |
| Nathan Liang Wong | Questar Asset Management, Inc. other | On Investment Management Co other | Other | Nov 4, 2011 | Nov 4, 2011 |
| Matthew Atanacio Trujillo | MML Investors Services, LLC other | On Investment Management Co other | Other | Nov 2, 2011 | Dec 8, 2011 (36 d) |
| Theresa Ann Sherman | New England Securities Corporation other | On Investment Management Co other | Other | Oct 12, 2011 | Oct 17, 2012 (371 d) |
| Dennis M Burns | MML Investors Services, LLC other | On Investment Management Co other | Other | Oct 7, 2011 | Oct 24, 2011 |
| Mary Katherine Brimer | Park Avenue Securities LLC other | On Investment Management Co other | Other | Aug 31, 2011 | Aug 18, 2011 |
| William Edward Husson | Husson Financial Advisory Services, LLC unclassified | On Investment Management Co other | Other | Aug 19, 2011 | Sep 15, 2011 |
| Jack Branch | Branch Wealth Strategies unclassified | On Investment Management Co other | Other | Aug 4, 2011 | Aug 5, 2011 |
| Nickolas Paul Sanchez | Global Financial Private Capital, Inc. other | On Investment Management Co other | Other | Jun 29, 2011 | Jun 7, 2011 |
| Christopher Powell Hill | Ic Advisory Services, Inc. other | On Investment Management Co other | Other | Jun 23, 2011 | Jun 21, 2013 (729 d) |
| Kurt Allen Berry | MML Investors Services, LLC other | On Investment Management Co other | Other | May 13, 2011 | May 10, 2011 |
| Andrew J Gersbach | Chase Investment Services Corp. other | On Investment Management Co other | Other | May 13, 2011 | Jun 14, 2017 (2224 d) |
| Bradley Dean Ewerth | Equitable Advisors, LLC national BD | On Investment Management Co other | Other | Apr 18, 2011 | Nov 12, 2014 (1304 d) |
| Michael Ryan Kren | Pruco Securities, LLC other | On Investment Management Co other | Other | Apr 15, 2011 | Apr 20, 2012 (371 d) |
| Kevin John Snow | Equity Design Advisors, LLC unclassified | On Investment Management Co other | Other | Mar 31, 2011 | Aug 11, 2009 |
| Jason Chris Hohenstein | Equity Design Advisors, LLC unclassified | On Investment Management Co other | Other | Mar 31, 2011 | Aug 11, 2009 |
| Craig Mark Siminski | Equity Design Advisors, LLC unclassified | On Investment Management Co other | Other | Mar 31, 2011 | May 20, 2010 |
| Randall Lloyd Diehl | Securian Financial Services, Inc. other | On Investment Management Co other | Other | Mar 21, 2011 | Mar 16, 2011 |
| Michael Alan Thein | Thein Financial Group unclassified | On Investment Management Co other | Other | Mar 21, 2011 | Sep 13, 2004 |
| Phillip P. Lawson | Securian Financial Services, Inc. other | On Investment Management Co other | Other | Mar 21, 2011 | Mar 17, 2011 |
| Norman G. Wright | Msi Financial Services, Inc. other | On Investment Management Co other | Other | Mar 2, 2011 | Mar 7, 2011 |
| Ross Daniel Cochrell | Pnc Wealth Management other | On Investment Management Co other | Other | Feb 28, 2011 | Feb 23, 2011 |
| Jeffrey Keegan Martin | Suntrust Investment Services, Inc. other | On Investment Management Co other | Other | Jan 21, 2011 | Aug 22, 2012 (579 d) |
| Theresa Jean Yarosh | International Planning Alliance, LLC unclassified | On Investment Management Co other | Other | Jan 20, 2011 | Nov 1, 2010 |
| Andrew Paul Charbonneau | Chase Investment Services Corp. other | On Investment Management Co other | Other | Dec 21, 2010 | Nov 16, 2017 (2522 d) |
| Dennis Lee Travis | Msi Financial Services, Inc. other | On Investment Management Co other | Other | Dec 17, 2010 | Jan 26, 2011 (40 d) |
| John Hyrum Koyle | D.A. Davidson & Co. other | On Investment Management Co other | Other | Nov 12, 2010 | Nov 15, 2010 |
| Richard Andrew Borba | Qa3 Financial LLC unclassified | On Investment Management Co other | Other | Oct 29, 2010 | Nov 19, 2010 |
| Brent Richard Ewert | Lawing Financial Inc other | On Investment Management Co other | Other | Oct 26, 2010 | Jan 21, 2010 |
| Kerry Richard Whalen | Steele Capital Management, Inc. other | On Investment Management Co other | Other | Oct 25, 2010 | Aug 27, 2013 (1037 d) |
| Justin Michael Struble | Waddell & Reed other | On Investment Management Co other | Other | Sep 23, 2010 | Mar 12, 2012 (536 d) |
| Thomas Peter Schmidtke | Wells Fargo Investments, LLC unclassified | On Investment Management Co other | Other | Aug 24, 2010 | Aug 11, 2003 |
| Dawn Marie Santoriello | Msi Financial Services, Inc. other | On Investment Management Co other | Other | May 18, 2010 | May 21, 2010 |
| Jason Paul Henrich | B. C. Ziegler And Company other | On Investment Management Co other | Other | May 4, 2010 | Apr 19, 2010 |
| Frank John Cariola | Cincinnati Analysts, Inc other | On Investment Management Co other | Other | Apr 13, 2010 | Apr 15, 2010 |
| Trent Arthur Yost | Securities America Advisors, Inc. other | On Investment Management Co other | Other | Apr 7, 2010 | Apr 6, 2010 |
| Douglas Roger Woolley | Securities America Advisors, Inc. other | On Investment Management Co other | Other | Apr 7, 2010 | Apr 6, 2010 |
| Richard Dale Almond | Securities America Advisors, Inc. other | On Investment Management Co other | Other | Apr 7, 2010 | Apr 6, 2010 |