| Narine Videsh Bhola | J.P. Morgan Securities LLC wirehouse | Scottrade Investment Management other | Other | Jun 23, 2015 | Jan 24, 2017 (581 d) |
| Matson Munro Hutchins | Equitable Advisors, LLC national BD | Scottrade Investment Management other | Other | Jun 18, 2015 | Jan 24, 2017 (586 d) |
| Edward Dale Sturdivant | Td Ameritrade Investment Management, LLC other | Scottrade Investment Management other | Other | Jun 16, 2015 | Mar 17, 2016 (275 d) |
| Jeremy Hannah | UBS Financial Services Inc. wirehouse | Scottrade Investment Management other | Other | Jun 9, 2015 | Jan 24, 2017 (595 d) |
| Christian A Schick | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Scottrade Investment Management other | Other | Jun 2, 2015 | Jan 24, 2017 (602 d) |
| Nicholas Stephen Matlock | Stifel, Nicolaus & Company, Incorporated national BD | Scottrade Investment Management other | Other | May 28, 2015 | May 28, 2015 |
| Steven Jodlowski | Securian Financial Services, Inc. other | Scottrade Investment Management other | Other | May 27, 2015 | Apr 27, 2016 (336 d) |
| Bradford William Richardson | Usaa Financial Planning Services no RAUM | Scottrade Investment Management other | Other | May 26, 2015 | Jan 17, 2017 (602 d) |
| David Sebastian Messina | Td Ameritrade Investment Management, LLC other | Scottrade Investment Management other | Other | Apr 27, 2015 | Jan 31, 2017 (645 d) |
| Knitwanza Drayton | Td Ameritrade, Inc. no RAUM | Scottrade Investment Management other | Other | Apr 23, 2015 | Jan 23, 2017 (641 d) |
| William Scott Beasley | Edward Jones national BD | Scottrade Investment Management other | Other | Apr 15, 2015 | Jan 24, 2017 (650 d) |
| Eulalie Rohelia Stokes | Td Ameritrade Investment Management, LLC other | Scottrade Investment Management other | Other | Apr 13, 2015 | Jan 24, 2017 (652 d) |
| Rajesh Gulrajani | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Scottrade Investment Management other | Other | Mar 31, 2015 | Jan 12, 2017 (653 d) |
| Todd F Goessling | Wells Fargo Advisors wirehouse | Scottrade Investment Management other | Other | Mar 31, 2015 | Apr 14, 2017 (745 d) |
| Julie Louise Shumake | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Scottrade Investment Management other | Other | Mar 19, 2015 | Mar 27, 2015 |
| William Jared Salansky | Valic Financial Advisors, Inc. other | Scottrade Investment Management other | Other | Mar 19, 2015 | Mar 24, 2017 (736 d) |
| Jonathan Farmer Kirby | Edward Jones national BD | Scottrade Investment Management other | Other | Mar 13, 2015 | Feb 10, 2017 (700 d) |
| Michael Irving Tan | J.P. Morgan Securities LLC wirehouse | Scottrade Investment Management other | Other | Mar 11, 2015 | Jan 12, 2017 (673 d) |
| Anthony M Domenella | Td Ameritrade Investment Management, LLC other | Scottrade Investment Management other | Other | Feb 25, 2015 | Jan 19, 2017 (694 d) |
| Evelyn Rhines | Cetera Advisor Networks LLC other | Scottrade Investment Management other | Other | Feb 3, 2015 | Jan 12, 2017 (709 d) |
| Christopher Koertge | Edward Jones national BD | Scottrade Investment Management other | Other | Feb 2, 2015 | Feb 3, 2015 |
| Alex Louis Greenspon | Charles Schwab & Co., Inc. national BD | Scottrade Investment Management other | Other | Jan 26, 2015 | Dec 1, 2016 (675 d) |
| David Ross Bowles | Edward Jones national BD | Scottrade Investment Management other | Other | Jan 23, 2015 | Nov 15, 2016 (662 d) |
| Paul F Kennedy | Thrivent Investment Management Inc. other | Scottrade Investment Management other | Other | Jan 14, 2015 | Oct 6, 2016 (631 d) |
| Daniel Robert Tenney | Wells Fargo Advisors wirehouse | Scottrade Investment Management other | Other | Jan 6, 2015 | Oct 6, 2016 (639 d) |
| James Gansner | Wells Fargo Advisors wirehouse | Scottrade Investment Management other | Other | Jan 6, 2015 | Jan 15, 2015 |
| Christopher Stephen Ewens | Wells Fargo Advisors wirehouse | Scottrade Investment Management other | Other | Jan 2, 2015 | Jan 20, 2015 |
| Mark Robert Phillips | Citigroup Global Markets Inc. other | Scottrade Investment Management other | Other | Dec 31, 2014 | Oct 6, 2016 (645 d) |
| Ian K Foo | Citigroup Global Markets Inc. other | Scottrade Investment Management other | Other | Dec 31, 2014 | Oct 6, 2016 (645 d) |
| Kyle Benjamin Smith | Cambridge Investment Research Advisors, Inc. other | Scottrade Investment Management other | Other | Dec 26, 2014 | Sep 7, 2016 (621 d) |
| Jeffrey William-Powers Tuttle | Morgan Stanley wirehouse | Scottrade Investment Management other | Other | Dec 9, 2014 | Oct 27, 2016 (688 d) |
| Tiffany Elizabeth Clark | Waddell & Reed other | Scottrade Investment Management other | Other | Nov 25, 2014 | Apr 14, 2015 (140 d) |
| Drew Achter | Principal Securities, Inc. other | Scottrade Investment Management other | Other | Nov 21, 2014 | Nov 16, 2016 (726 d) |
| David L Bailey | Pnc Wealth Management other | Scottrade Investment Management other | Other | Nov 19, 2014 | Oct 5, 2016 (686 d) |
| Heath Michael Cato | Wells Fargo Advisors wirehouse | Scottrade Investment Management other | Other | Nov 19, 2014 | Mar 24, 2017 (856 d) |
| Matthew S Ramos | Td Ameritrade Investment Management, LLC other | Scottrade Investment Management other | Other | Nov 10, 2014 | Sep 15, 2016 (675 d) |
| Christine Boyce | Edward Jones national BD | Scottrade Investment Management other | Other | Nov 10, 2014 | Dec 8, 2016 (759 d) |
| Mckay Robbins | Td Ameritrade, Inc. no RAUM | Scottrade Investment Management other | Other | Nov 10, 2014 | Oct 5, 2016 (695 d) |
| Tracy Leader | Edward Jones national BD | Scottrade Investment Management other | Other | Nov 5, 2014 | Jul 7, 2016 (610 d) |
| Christopher Jay Davis | 3d Asset Management, Inc. other | Scottrade Investment Management other | Other | Nov 4, 2014 | Apr 25, 2016 (538 d) |
| Michael Hermann | Td Ameritrade Investment Management, LLC other | Scottrade Investment Management other | Other | Nov 3, 2014 | Nov 3, 2014 |
| Cameron Ryan Prewitt | Td Ameritrade Investment Management, LLC other | Scottrade Investment Management other | Other | Oct 31, 2014 | Sep 15, 2016 (685 d) |
| Martin Noonan Holt | Maddock Financial, LLC other | Scottrade Investment Management other | Other | Oct 29, 2014 | Apr 28, 2016 (547 d) |
| Matthew Lindley | Wells Fargo Advisors wirehouse | Scottrade Investment Management other | Other | Oct 27, 2014 | Apr 7, 2016 (528 d) |
| Nicholas Ryan Buchanan | Wells Fargo Advisors wirehouse | Scottrade Investment Management other | Other | Oct 24, 2014 | Sep 15, 2016 (692 d) |
| Stacey Corrine Cicotello | Td Ameritrade, Inc. no RAUM | Scottrade Investment Management other | Other | Oct 14, 2014 | May 27, 2016 (591 d) |
| Andrew Thomas Shields | Edward Jones national BD | Scottrade Investment Management other | Other | Oct 7, 2014 | Sep 15, 2016 (709 d) |
| Thomas Ray Hamilton | Allstate Financial Advisors, LLC no RAUM | Scottrade Investment Management other | Other | Oct 6, 2014 | Sep 15, 2016 (710 d) |
| Michael Chingyuan Chen | Td Ameritrade, Inc. no RAUM | Scottrade Investment Management other | Other | Oct 3, 2014 | Sep 15, 2016 (713 d) |
| Luke Aaron Andreassen | Td Ameritrade Investment Management, LLC other | Scottrade Investment Management other | Other | Oct 3, 2014 | Sep 12, 2016 (710 d) |
| William Perry Marshall | Wells Fargo Advisors wirehouse | Scottrade Investment Management other | Other | Sep 23, 2014 | Sep 1, 2016 (709 d) |
| Stephen Daniel Tichacek | Wells Fargo Advisors wirehouse | Scottrade Investment Management other | Other | Sep 3, 2014 | Aug 1, 2016 (698 d) |
| Jason Andrew Carpenter | Regal Advisory Services, Inc. other | Scottrade Investment Management other | Other | Aug 27, 2014 | Sep 8, 2016 (743 d) |
| Todd Muncy | Wells Fargo Advisors wirehouse | Scottrade Investment Management other | Other | Aug 26, 2014 | Sep 7, 2016 (743 d) |
| Ross Mcnabb | E*Trade Capital Management, LLC other | Scottrade Investment Management other | Other | Aug 5, 2014 | Mar 17, 2016 (590 d) |
| Roy E Mcclung | Edward Jones national BD | Scottrade Investment Management other | Other | Jul 29, 2014 | Jul 14, 2016 (716 d) |
| Jonathon Knight | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Scottrade Investment Management other | Other | Jul 28, 2014 | Jun 28, 2016 (701 d) |
| Matthew Joseph Morzy | Pnc Wealth Management other | Scottrade Investment Management other | Other | Jul 28, 2014 | Jun 28, 2016 (701 d) |
| Jason Souder | J.P. Morgan Securities LLC wirehouse | Scottrade Investment Management other | Other | Jul 25, 2014 | Jun 28, 2016 (704 d) |
| Shawn Hayward | Santander Securities other | Scottrade Investment Management other | Other | Jul 22, 2014 | Sep 21, 2016 (792 d) |