| Brian James Tamasi | Fsc Securities Corporation other | Ssn Advisory, Inc. other | Other | Mar 27, 2007 | Mar 27, 2007 |
| Larry Andrew Prislovsky | Raymond James Financial Services, Inc. unclassified | Ssn Advisory, Inc. other | Other | Feb 2, 2007 | Feb 1, 2007 |
| Warren Sherman Williams | Fsc Securities Corporation other | Ssn Advisory, Inc. other | Other | Jan 26, 2007 | Mar 28, 2007 (61 d) |
| Charles Joseph Minnich | Securities America Advisors, Inc. other | Ssn Advisory, Inc. other | Other | Jan 11, 2007 | Jan 26, 2007 |
| William James Seybold | Voya Financial Partners, LLC other | Ssn Advisory, Inc. other | Other | Jan 3, 2007 | Nov 7, 2011 (1769 d) |
| Paul Woodson Abele | Abele Mcgowen LLC unclassified | Ssn Advisory, Inc. other | Other | Dec 31, 2006 | Jan 12, 2007 |
| Ravi Benjamin Kahan | Ameriprise Financial Services, LLC national BD | Ssn Advisory, Inc. other | Other | Oct 7, 2006 | Jan 28, 2009 (844 d) |
| Jeremy Wilkins Laub | The Retirement Group unclassified | Ssn Advisory, Inc. other | Other | Aug 28, 2006 | Aug 24, 2006 |
| Shawn Michael Mcelderry | The Retirement Group unclassified | Ssn Advisory, Inc. other | Other | Aug 28, 2006 | Jul 12, 2006 |
| Michael David Lambrix | The Retirement Group unclassified | Ssn Advisory, Inc. other | Other | Aug 28, 2006 | Jul 12, 2006 |
| James Joseph Galante | The Retirement Group unclassified | Ssn Advisory, Inc. other | Other | Aug 28, 2006 | Aug 17, 2006 |
| John Douglas Baxley | Landoak Securities, LLC unclassified | Ssn Advisory, Inc. other | Other | Aug 11, 2006 | Aug 18, 2006 |
| Braxton Bragg Comer | Cambridge Investment Research Advisors, Inc. other | Ssn Advisory, Inc. other | Other | Aug 7, 2006 | Jul 31, 2006 |
| Charles Bennett Carlton | Gambrell Financial Advisors, Inc. unclassified | Ssn Advisory, Inc. other | Other | Aug 1, 2006 | Apr 20, 2006 |
| Jose Behar | Suntrust Investment Services, Inc. other | Ssn Advisory, Inc. other | Other | Jun 13, 2006 | Jul 13, 2006 |
| Roger Noel Matson | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Ssn Advisory, Inc. other | Other | Apr 18, 2006 | Sep 6, 2006 (141 d) |
| Lucius Williamson | LPL Financial LLC other | Ssn Advisory, Inc. other | Other | Mar 20, 2006 | Mar 15, 2006 |
| Rodney Kirkner | Securities America Advisors, Inc. other | Ssn Advisory, Inc. other | Other | Mar 8, 2006 | Mar 6, 2006 |
| Gregory Michael Williams | MML Investors Services, LLC other | Ssn Advisory, Inc. other | Other | Feb 27, 2006 | Feb 27, 2006 |
| John Andrew White | Transamerica Financial Advisors, LLC other | Ssn Advisory, Inc. other | Other | Jan 18, 2006 | Feb 1, 2006 |
| Jeremy Landon Keating | Citicorp Investment Services unclassified | Ssn Advisory, Inc. other | Other | Jan 12, 2006 | Sep 23, 2008 (985 d) |
| Stephen Michael Acerra | Commonwealth Financial Network national BD | Ssn Advisory, Inc. other | Other | Dec 19, 2005 | Jan 13, 2006 |
| Allan Lawson Harkness | First Heartland Consultants, Inc. other | Ssn Advisory, Inc. other | Other | Sep 26, 2005 | Sep 27, 2005 |
| John Bright Russell | Independent Advisers Group Corp other | Ssn Advisory, Inc. other | Other | Jun 21, 2005 | Jun 22, 2005 |
| Mark Andrew Coski | Quantum Financial Planning Services, Inc. other | Ssn Advisory, Inc. other | Other | Jun 6, 2005 | Dec 5, 2007 (912 d) |
| John Ross Nanni | Osaic Fs, Inc. other | Ssn Advisory, Inc. other | Other | May 31, 2005 | Sep 13, 2006 (470 d) |
| Ronald Joseph Harpootlian | Citigroup Global Markets Inc. other | Ssn Advisory, Inc. other | Other | May 20, 2005 | Sep 8, 2008 (1207 d) |
| George Byron Thompson | Citigroup Global Markets Inc. other | Ssn Advisory, Inc. other | Other | Feb 3, 2005 | Jan 19, 2005 |
| William Robert Chambers | Securities America Advisors, Inc. other | Ssn Advisory, Inc. other | Other | Jan 6, 2005 | Jan 6, 2005 |
| Stephen Andrew Serati | Msi Financial Services, Inc. other | Ssn Advisory, Inc. other | Other | Dec 6, 2004 | Dec 6, 2004 |
| Steven Edward Lebaron | Veritrust Financial, LLC other | Ssn Advisory, Inc. other | Other | Dec 1, 2004 | Dec 3, 2004 |
| Robert Leroy Gardner | United Planners' Financial Services Of America A Limited Partner other | Ssn Advisory, Inc. other | Other | Sep 30, 2004 | Sep 30, 2004 |
| Karl Joseph Korade | Wilbanks Securities Advisory other | Ssn Advisory, Inc. other | Other | Sep 7, 2004 | Jan 14, 2010 (1955 d) |
| Paul Henri Poulin | Adviceone Advisory Services, LLC other | Ssn Advisory, Inc. other | Other | Aug 19, 2004 | Dec 18, 2006 (851 d) |
| Robert John Bechtold | Morgan Stanley Dw Inc. unclassified | Ssn Advisory, Inc. other | Other | Aug 4, 2004 | Aug 5, 2004 |
| Patrick Lohr Flynn | Hornor, Townsend & Kent, LLC other | Ssn Advisory, Inc. other | Other | Jul 26, 2004 | Jul 29, 2004 |
| John Daniel Sabio | Msi Financial Services, Inc. other | Ssn Advisory, Inc. other | Other | Jun 25, 2004 | Jul 28, 2004 (33 d) |
| Anthony Eugene Cosey | American General Securities Incorporated unclassified | Ssn Advisory, Inc. other | Other | Jun 1, 2004 | Aug 27, 2004 (87 d) |
| Seth David Mcbee | Hornor, Townsend & Kent, LLC other | Ssn Advisory, Inc. other | Other | Feb 4, 2004 | Feb 6, 2004 |
| James Townsend Reeves | Securities America Advisors, Inc. other | Ssn Advisory, Inc. other | Other | Jan 30, 2004 | Feb 6, 2004 |
| Frank Thomas Marzella | Commonwealth Financial Network national BD | Ssn Advisory, Inc. other | Other | Dec 31, 2003 | Jan 15, 2004 |
| Richard S Sentnor | Eastern Point Advisors Inc. unclassified | Ssn Advisory, Inc. other | Other | Dec 31, 2003 | Jul 16, 2004 (198 d) |
| Stephen Joe Williams | Raymond James Financial Services, Inc. unclassified | Ssn Advisory, Inc. other | Other | Oct 1, 2003 | Oct 6, 2003 |
| William Blair Ashworth | Wells Fargo Advisors wirehouse | Ssn Advisory, Inc. other | Other | Jun 17, 2003 | Sep 24, 2003 (99 d) |
| Michael Anthony O'Malley | Investment Advisory Group, Inc. unclassified | Ssn Advisory, Inc. other | Other | Jan 24, 2003 | Jan 2, 2004 (343 d) |