| Edward A Suero | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | U.S. Bancorp Advisors, LLC other | Other | Jun 7, 2017 | Jun 1, 2017 |
| Dan Julius Nguyen | Osaic Institutions, Inc. other | U.S. Bancorp Advisors, LLC other | Other | May 4, 2017 | May 1, 2017 |
| Lawrence M Parente | LPL Financial LLC other | U.S. Bancorp Advisors, LLC other | Other | Apr 26, 2017 | Apr 5, 2017 |
| Kevin Chang Kyun Pak | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | U.S. Bancorp Advisors, LLC other | Other | Apr 20, 2017 | Apr 25, 2017 |
| Bradley Wayne Larson | J.P. Morgan Securities LLC wirehouse | U.S. Bancorp Advisors, LLC other | Other | Apr 12, 2017 | Apr 5, 2017 |
| Michael Chan | J.P. Morgan Securities LLC wirehouse | U.S. Bancorp Advisors, LLC other | Other | Mar 22, 2017 | Mar 8, 2017 |
| Reza Sarem Aslani | Northwestern Mutual Investment Services,LLC no RAUM | U.S. Bancorp Advisors, LLC other | Other | Mar 17, 2017 | May 4, 2017 (48 d) |
| Shannon Marlene Drobny | Wells Fargo Advisors wirehouse | U.S. Bancorp Advisors, LLC other | Other | Feb 23, 2017 | Mar 1, 2017 |
| Richard Yuen | Citigroup Global Markets Inc. other | U.S. Bancorp Advisors, LLC other | Other | Feb 17, 2017 | Mar 22, 2017 (33 d) |
| Nicholas Harvey Gums | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | U.S. Bancorp Advisors, LLC other | Other | Feb 1, 2017 | Feb 16, 2017 |
| Robert Paul Kimmel | J.P. Morgan Securities LLC wirehouse | U.S. Bancorp Advisors, LLC other | Other | Jan 31, 2017 | Jan 24, 2017 |
| Eugene Lee | J.P. Morgan Securities LLC wirehouse | U.S. Bancorp Advisors, LLC other | Other | Jan 25, 2017 | Jan 25, 2017 |
| Charles Nmn Lim | First Allied Advisory Services, Inc. other | U.S. Bancorp Advisors, LLC other | Other | Jan 12, 2017 | Jan 24, 2017 |
| Matthew David Bowen | J.P. Morgan Securities LLC wirehouse | U.S. Bancorp Advisors, LLC other | Other | Dec 6, 2016 | Dec 5, 2016 |
| Michael Aaron Padilla | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | U.S. Bancorp Advisors, LLC other | Other | Dec 5, 2016 | Dec 20, 2016 |
| Aaron James Malardino | Wells Fargo Advisors wirehouse | U.S. Bancorp Advisors, LLC other | Other | Nov 22, 2016 | Mar 29, 2017 (127 d) |
| Omid Noori | Wells Fargo Advisors wirehouse | U.S. Bancorp Advisors, LLC other | Other | Nov 10, 2016 | Nov 29, 2016 |
| Jason Kurt Davis | Wells Fargo Advisors wirehouse | U.S. Bancorp Advisors, LLC other | Other | Nov 10, 2016 | Nov 21, 2016 |
| Michael Richard Judge | J.P. Morgan Securities LLC wirehouse | U.S. Bancorp Advisors, LLC other | Other | Nov 8, 2016 | Nov 9, 2016 |
| Austin Park | Wells Fargo Advisors wirehouse | U.S. Bancorp Advisors, LLC other | Other | Nov 3, 2016 | Oct 28, 2016 |
| Barry Asher Wellins | Raymond James Financial Services Advisors, Inc other | U.S. Bancorp Advisors, LLC BD affiliated | Other | Nov 3, 2016 | Apr 4, 2018 (517 d) |
| Bahram Shidoosh | Morgan Stanley wirehouse | U.S. Bancorp Advisors, LLC other | Other | Oct 12, 2016 | Sep 30, 2016 |
| Mark Stephen Radesic | J.P. Morgan Securities LLC wirehouse | U.S. Bancorp Advisors, LLC other | Other | Sep 15, 2016 | Sep 9, 2016 |
| Yun Ze Feng | Td Ameritrade Investment Management, LLC other | U.S. Bancorp Advisors, LLC other | Other | Sep 6, 2016 | Sep 29, 2016 |
| Michelle Denise Boyd | Cetera Advisors LLC other | U.S. Bancorp Advisors, LLC BD affiliated | Other | Jul 25, 2016 | Jan 26, 2026 (3472 d) |
| Heather Lynn Ristanovic | LPL Financial LLC other | U.S. Bancorp Advisors, LLC BD affiliated | Other | Jul 5, 2016 | Mar 20, 2026 (3545 d) |
| Virak Mann | J.P. Morgan Securities LLC wirehouse | U.S. Bancorp Advisors, LLC other | Other | Jun 27, 2016 | Jun 22, 2016 |
| Erika Danina Williams | J.P. Morgan Securities LLC wirehouse | U.S. Bancorp Advisors, LLC other | Other | Jun 27, 2016 | Jul 21, 2016 |
| John Marshall Frantz | J.P. Morgan Securities LLC wirehouse | U.S. Bancorp Advisors, LLC other | Other | Jun 27, 2016 | Jun 20, 2016 |
| Tyler Dean Schaper | Visionary Wealth Advisors, LLC other | U.S. Bancorp Advisors, LLC BD affiliated | Other | Jun 23, 2016 | Feb 13, 2026 (3522 d) |
| Kendra L. Kearney | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | U.S. Bancorp Advisors, LLC other | Other | Jun 22, 2016 | Jun 22, 2016 |
| Eric W Wilson | Key Investment Services LLC other | U.S. Bancorp Advisors, LLC other | Other | Jun 21, 2016 | Jun 22, 2016 |
| Daniel Domingo Anderle | J.P. Morgan Securities LLC wirehouse | U.S. Bancorp Advisors, LLC other | Other | Jun 13, 2016 | Jun 9, 2016 |
| Enrique Felix Cotto | National Planning Corporation ("Npc Of America" In Fl & Ny) other | U.S. Bancorp Advisors, LLC other | Other | Jun 7, 2016 | Jun 8, 2016 |
| Elaine Yefun Lee | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | U.S. Bancorp Advisors, LLC other | Other | Jun 6, 2016 | Jul 28, 2016 (52 d) |
| Adam Michael Franklin | J.P. Morgan Securities LLC wirehouse | U.S. Bancorp Advisors, LLC other | Other | May 19, 2016 | May 18, 2016 |
| Ryan K Yasukawa | Bancwest Investment Services, Inc. (Bwis) other | U.S. Bancorp Advisors, LLC other | Other | May 11, 2016 | May 17, 2016 |
| Shawn Huynh | Wells Fargo Advisors wirehouse | U.S. Bancorp Advisors, LLC other | Other | May 3, 2016 | May 2, 2016 |
| Francisco E Lopez | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | U.S. Bancorp Advisors, LLC other | Other | Apr 27, 2016 | May 17, 2016 |
| Rebecca Morgan Busalacchi | J.P. Morgan Securities LLC wirehouse | U.S. Bancorp Advisors, LLC other | Other | Mar 30, 2016 | Apr 7, 2016 |
| Simone Sabbagh Branigan | RBC Securities, Inc. other | U.S. Bancorp Advisors, LLC other | Other | Mar 16, 2016 | Mar 25, 2016 |
| Jackie Lou Daclan D'Avolio-Raquidan | Pfg Advisors other | U.S. Bancorp Advisors, LLC other | Other | Mar 11, 2016 | Apr 20, 2016 (40 d) |
| Sophie Iliescu | Bancwest Investment Services, Inc. (Bwis) other | U.S. Bancorp Advisors, LLC other | Other | Feb 10, 2016 | Feb 5, 2016 |
| Michael Ken Hawkes | Bancwest Investment Services, Inc. (Bwis) other | U.S. Bancorp Advisors, LLC other | Other | Jan 25, 2016 | Jan 14, 2016 |
| Melinda Rae Tudor | Thrivent Investment Management Inc. other | U.S. Bancorp Advisors, LLC BD affiliated | Other | Nov 24, 2015 | Jul 2, 2025 (3508 d) |
| Stanley Mako Takikawa | Morgan Stanley wirehouse | U.S. Bancorp Advisors, LLC other | Other | Oct 19, 2015 | Mar 29, 2016 (162 d) |
| Amy Lynn Drake | U.S. Bancorp Investments, Inc. other | U.S. Bancorp Advisors, LLC BD affiliated | Other | Oct 6, 2015 | Jan 14, 2026 (3753 d) |
| Nader Hosseinzadeh | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | U.S. Bancorp Advisors, LLC other | Other | Jul 15, 2015 | Aug 17, 2015 (33 d) |
| Anthony Alberico | J.P. Morgan Securities LLC wirehouse | U.S. Bancorp Advisors, LLC other | Other | Jul 7, 2015 | Jul 30, 2015 |
| Shane M Reniker | Advice And Planning Services other | U.S. Bancorp Advisors, LLC other | Other | May 29, 2015 | Jun 30, 2015 (32 d) |
| Breanna May Stott | Wells Fargo Advisors wirehouse | U.S. Bancorp Advisors, LLC other | Other | May 28, 2015 | Jun 30, 2015 (33 d) |
| Blair Allan Jamieson | Bancwest Investment Services, Inc. (Bwis) other | U.S. Bancorp Advisors, LLC other | Other | May 14, 2015 | Jun 12, 2015 |
| Brandon Lee Jenkins | Citigroup Global Markets Inc. other | U.S. Bancorp Advisors, LLC other | Other | May 7, 2015 | May 4, 2015 |
| Scott James Hofman | Citigroup Global Markets Inc. other | U.S. Bancorp Advisors, LLC other | Other | May 7, 2015 | May 4, 2015 |
| Vera Jalilla Feldbusch | Bancwest Investment Services, Inc. (Bwis) other | U.S. Bancorp Advisors, LLC other | Other | Apr 7, 2015 | Apr 28, 2015 |
| Roy Chia Jen Lin | D.A. Davidson & Co. other | U.S. Bancorp Advisors, LLC other | Other | Mar 26, 2015 | Apr 23, 2015 |
| Rupert B Gregorio | Morgan Stanley wirehouse | U.S. Bancorp Advisors, LLC other | Other | Mar 9, 2015 | Feb 26, 2015 |
| Douglas Waller Harman | Bancwest Investment Services, Inc. (Bwis) other | U.S. Bancorp Advisors, LLC other | Other | Jan 28, 2015 | Jan 20, 2015 |
| Joana Ramirez Youssefzadeh | National Planning Corporation ("Npc Of America" In Fl & Ny) other | U.S. Bancorp Advisors, LLC other | Other | Jan 3, 2015 | Jan 8, 2015 |
| David Inhyuk Lee | J.P. Morgan Securities LLC wirehouse | U.S. Bancorp Advisors, LLC other | Other | Dec 2, 2014 | Nov 25, 2014 |