| Christopher M Covello | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Msi Financial Services, Inc. other | Other | Sep 14, 2015 | Jan 26, 2016 (134 d) |
| Andrew Alan Waggoner | Stifel, Nicolaus & Company, Incorporated national BD | Msi Financial Services, Inc. other | Other | Sep 14, 2015 | Nov 12, 2015 (59 d) |
| Taehoon Gang | Hsbc Securities (USA) Inc. other | Msi Financial Services, Inc. other | Other | Sep 11, 2015 | Aug 28, 2015 |
| Quinn Daniel Campbell | Cambridge Investment Research Advisors, Inc. other | Msi Financial Services, Inc. other | Other | Sep 4, 2015 | Sep 8, 2015 |
| Matthew Drew Alpert | Td Ameritrade Investment Management, LLC other | Msi Financial Services, Inc. other | Other | Sep 3, 2015 | Oct 2, 2015 |
| Daniel Paul Stolfa | Investors Financial Group other | Msi Financial Services, Inc. other | Other | Sep 2, 2015 | Aug 28, 2015 |
| Timothy George Garner | Ameriprise Financial Services, LLC national BD | Msi Financial Services, Inc. other | Other | Sep 1, 2015 | Aug 21, 2015 |
| Frank John Petrocelli | Cetera Advisors LLC other | Msi Financial Services, Inc. other | Other | Aug 31, 2015 | Aug 31, 2015 |
| Stephen Neal Karp | Equitable Advisors, LLC national BD | Msi Financial Services, Inc. other | Other | Aug 26, 2015 | Aug 21, 2015 |
| Robert J Sand | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Msi Financial Services, Inc. other | Other | Aug 26, 2015 | Aug 24, 2015 |
| Terrell Wilson | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Msi Financial Services, Inc. other | Other | Aug 24, 2015 | Sep 10, 2015 |
| Joshua David Winston | Morgan Stanley wirehouse | Msi Financial Services, Inc. other | Other | Aug 20, 2015 | Jul 24, 2015 |
| Kathleen Nina Sanford | First Command Financial Planning, Inc. other | Msi Financial Services, Inc. other | Other | Aug 6, 2015 | Jul 31, 2015 |
| Stacy Hoffman | Santander Securities other | Msi Financial Services, Inc. other | Other | Aug 5, 2015 | Jul 30, 2015 |
| David E Gonzalez | First Command Financial Planning, Inc. other | Msi Financial Services, Inc. other | Other | Aug 5, 2015 | Aug 13, 2015 |
| William Benton Pyles | Mariner other | Msi Financial Services, Inc. other | Other | Jul 28, 2015 | Jan 2, 2015 |
| Michael Edmund Zeiter | MML Investors Services, LLC other | Msi Financial Services, Inc. other | Other | Jul 27, 2015 | Jul 24, 2015 |
| Stephanie J O'Hara | Citigroup Global Markets Inc. other | Msi Financial Services, Inc. other | Other | Jul 24, 2015 | Jul 17, 2015 |
| Jaclyn Maurer | UBS Financial Services Inc. wirehouse | Msi Financial Services, Inc. other | Other | Jul 21, 2015 | Aug 24, 2015 (34 d) |
| Christopher Phillip Kramer | Ameriprise Financial Services, LLC national BD | Msi Financial Services, Inc. other | Other | Jul 20, 2015 | Jul 10, 2015 |
| Bassem Samir Moez | LPL Financial LLC other | Msi Financial Services, Inc. other | Other | Jul 20, 2015 | Jul 14, 2015 |
| Jose R Da Cruz | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Msi Financial Services, Inc. other | Other | Jul 13, 2015 | Jul 13, 2015 |
| Mark Christopher Devito | Allstate Financial Advisors, LLC no RAUM | Msi Financial Services, Inc. other | Other | Jul 9, 2015 | Jul 10, 2015 |
| Henry Raymond Conkle | Pnc Managed Account Solutions, Inc. other | Msi Financial Services, Inc. other | Other | Jul 8, 2015 | Jul 22, 2015 |
| Dennis Michael Dehn | LPL Financial LLC other | Msi Financial Services, Inc. other | Other | Jul 7, 2015 | Jun 30, 2015 |
| Paula Fontno Scales | Oppenheimer & Co. Inc. other | Msi Financial Services, Inc. other | Other | Jul 6, 2015 | Jul 29, 2015 |
| Carla C Hellmann | Pruco Securities, LLC other | Msi Financial Services, Inc. other | Other | Jul 6, 2015 | Jul 1, 2015 |
| Anthony Walter Leone | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Msi Financial Services, Inc. other | Other | Jul 6, 2015 | Dec 3, 2015 (150 d) |
| Dominique Nicole Davis | Lifeplan Financial Group, Inc. other | Msi Financial Services, Inc. other | Other | Jul 2, 2015 | Feb 24, 2016 (237 d) |
| Travis A Cloud | Park Avenue Securities LLC other | Msi Financial Services, Inc. other | Other | Jul 1, 2015 | Jun 29, 2015 |
| Hiram Esteban Hernandez | Eagle Strategies LLC other | Msi Financial Services, Inc. other | Other | Jul 1, 2015 | Jun 26, 2015 |
| Ryan Thomas Meyer | Ameriprise Financial Services, LLC national BD | Msi Financial Services, Inc. other | Other | Jun 30, 2015 | Jan 8, 2016 (192 d) |
| Claire Delaney Hart | Woodstock Financial Group, Inc. other | Msi Financial Services, Inc. other | Other | Jun 29, 2015 | Sep 18, 2015 (81 d) |
| Benjamin Aaron Edwards | Morgan Stanley wirehouse | Msi Financial Services, Inc. other | Other | Jun 25, 2015 | Aug 17, 2015 (53 d) |
| Vanessa Aldape | Waddell & Reed other | Msi Financial Services, Inc. other | Other | Jun 24, 2015 | Jun 15, 2015 |
| Ki Ho Shin | Waddell & Reed other | Msi Financial Services, Inc. other | Other | Jun 23, 2015 | Dec 1, 2016 (527 d) |
| Scot Francis Whiskeyman | Concourse Financial Group Advisors other | Msi Financial Services, Inc. other | Other | Jun 22, 2015 | Jan 20, 2016 (212 d) |
| Rebecca Marouski | Wells Fargo Advisors wirehouse | Msi Financial Services, Inc. other | Other | Jun 18, 2015 | Jul 20, 2015 (32 d) |
| Dustin Joseph Zahn | Park Avenue Securities LLC other | Msi Financial Services, Inc. other | Other | Jun 18, 2015 | Jul 28, 2015 (40 d) |
| Randolph Benton Austin | Morgan Stanley wirehouse | Msi Financial Services, Inc. other | Other | Jun 17, 2015 | Oct 23, 2015 (128 d) |
| Anthony Thomas Nofi | Ameriprise Financial Services, LLC national BD | Msi Financial Services, Inc. other | Other | Jun 16, 2015 | Jun 17, 2015 |
| Daniel Fredrick Clements | Eagle Strategies LLC other | Msi Financial Services, Inc. other | Other | Jun 16, 2015 | Jul 31, 2015 (45 d) |
| Marc Jonathan Theien | Associated Investment Services, Inc. other | Msi Financial Services, Inc. other | Other | Jun 15, 2015 | Aug 11, 2015 (57 d) |
| Katherine Burke Flores | LPL Financial LLC other | Msi Financial Services, Inc. other | Other | Jun 10, 2015 | Jun 8, 2015 |
| Scott A Clayton | Fsc Securities Corporation other | Msi Financial Services, Inc. other | Other | Jun 8, 2015 | May 29, 2015 |
| Glen Patrick Martin | LPL Financial LLC other | Msi Financial Services, Inc. other | Other | Jun 5, 2015 | Jul 20, 2015 (45 d) |
| Mark Thomas Walton | LPL Financial LLC other | Msi Financial Services, Inc. other | Other | Jun 5, 2015 | Jun 5, 2015 |
| Jeremiah Michael Sensenig | Investment Professionals, Inc. other | Msi Financial Services, Inc. other | Other | Jun 2, 2015 | May 29, 2015 |
| Paul Geyman | Signator Investors, Inc. other | Msi Financial Services, Inc. other | Other | Jun 2, 2015 | Jun 23, 2015 |
| Jeremy D Rainwater | Mutual Of Omaha Investor Services, Inc. no RAUM | Msi Financial Services, Inc. other | Other | Jun 2, 2015 | Jul 20, 2015 (48 d) |
| David Joseph Allon | Firstrust Financial Advisors state registered | Msi Financial Services, Inc. other | Other | Jun 1, 2015 | Feb 4, 2011 |
| James David Gaunt | J.J.B. Hilliard, W.L. Lyons, LLC other | Msi Financial Services, Inc. other | Other | May 27, 2015 | Aug 28, 2015 (93 d) |
| Joseph Allen Armstrong | Osaic Wealth, Inc. other | Msi Financial Services, Inc. other | Other | May 20, 2015 | May 20, 2015 |
| Trenton Glen Adams | Gwn Securities Inc. other | Msi Financial Services, Inc. other | Other | May 12, 2015 | Apr 24, 2015 |
| Timothy Andrew Chisholm | Brinker Capital Inc other | Msi Financial Services, Inc. other | Other | May 12, 2015 | Aug 7, 2015 (87 d) |
| Matthew Eric Pratzner | Osaic Fa, Inc. other | Msi Financial Services, Inc. other | Other | May 11, 2015 | Apr 29, 2015 |
| Cory James Smith | Edward Jones national BD | Msi Financial Services, Inc. other | Other | Apr 27, 2015 | Aug 18, 2015 (113 d) |
| Derek Edwin Woods | Cambridge Investment Research Advisors, Inc. other | Msi Financial Services, Inc. other | Other | Apr 23, 2015 | Apr 20, 2015 |
| Vicky Lynn Deshazier | Morgan Stanley wirehouse | Msi Financial Services, Inc. other | Other | Apr 22, 2015 | Apr 10, 2015 |
| Gregg Thomas Maleri | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Msi Financial Services, Inc. other | Other | Apr 21, 2015 | Apr 21, 2015 |