| Shima Salehi | Wells Fargo Advisors wirehouse | Bancwest Investment Services, Inc. (Bwis) other | Other | Mar 14, 2016 | Mar 3, 2016 |
| Jessica Rae Poehler | Wells Fargo Advisors wirehouse | Bancwest Investment Services, Inc. (Bwis) other | Other | Mar 14, 2016 | Mar 4, 2016 |
| Cameron Dl Lagala | Edward Jones national BD | Bancwest Investment Services, Inc. (Bwis) other | Other | Mar 14, 2016 | Mar 21, 2016 |
| Charles K Truong | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Bancwest Investment Services, Inc. (Bwis) other | Other | Feb 18, 2016 | Mar 2, 2016 |
| Troy A Ross | U.S. Bancorp Advisors, LLC other | Bancwest Investment Services, Inc. (Bwis) other | Other | Feb 8, 2016 | Mar 18, 2016 (39 d) |
| Saba C Jahanian | Morgan Stanley wirehouse | Bancwest Investment Services, Inc. (Bwis) other | Other | Feb 5, 2016 | Feb 4, 2016 |
| Scott Vincent Cheo | Wells Fargo Advisors wirehouse | Bancwest Investment Services, Inc. (Bwis) other | Other | Feb 2, 2016 | Feb 8, 2016 |
| Gurvinder Kaur Aujla | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Bancwest Investment Services, Inc. (Bwis) other | Other | Jan 20, 2016 | Aug 29, 2016 (222 d) |
| Stephane Johnston | Fisher Investments other | Bancwest Investment Services, Inc. (Bwis) other | Other | Jan 15, 2016 | Jan 14, 2016 |
| Nathan P Clark | Bmo Harris Financial Advisors, Inc other | Bancwest Investment Services, Inc. (Bwis) other | Other | Jan 5, 2016 | Feb 22, 2016 (48 d) |
| Sean Michael Mullin | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Bancwest Investment Services, Inc. (Bwis) other | Other | Jan 4, 2016 | Jan 20, 2016 |
| Cody Michael Okeefe | Strategic Advisers LLC national BD | Bancwest Investment Services, Inc. (Bwis) other | Other | Dec 17, 2015 | Feb 1, 2016 (46 d) |
| Anthony Samuel Grazziano | Td Ameritrade, Inc. no RAUM | Bancwest Investment Services, Inc. (Bwis) other | Other | Dec 15, 2015 | Dec 22, 2015 |
| David Lee Tipple | Thrivent Investment Management Inc. other | Bancwest Investment Services, Inc. (Bwis) other | Other | Dec 15, 2015 | Dec 15, 2015 |
| Bee Bee Au | LPL Financial LLC other | Bancwest Investment Services, Inc. (Bwis) other | Other | Dec 9, 2015 | Nov 23, 2015 |
| Steven Dale Gabriel | Key Investment Services LLC other | Bancwest Investment Services, Inc. (Bwis) other | Other | Dec 4, 2015 | Dec 12, 2015 |
| Jeffrey Michael Bonk | Edward Jones national BD | Bancwest Investment Services, Inc. (Bwis) other | Other | Dec 3, 2015 | Jan 6, 2016 (34 d) |
| Daniel Aaron Lampe | Wells Fargo Advisors wirehouse | Bancwest Investment Services, Inc. (Bwis) other | Other | Nov 25, 2015 | Apr 3, 2017 (495 d) |
| Jay Blakeley Willcox | Eide Bailly Advisors, LLC other | Bancwest Investment Services, Inc. (Bwis) other | Other | Nov 12, 2015 | Oct 9, 2015 |
| Viviana Bigolin | Edward Jones national BD | Bancwest Investment Services, Inc. (Bwis) other | Other | Oct 29, 2015 | Nov 23, 2015 |
| Tone Dai H Tran | Wells Fargo Advisors wirehouse | Bancwest Investment Services, Inc. (Bwis) other | Other | Oct 26, 2015 | Nov 12, 2015 |
| Timothy Tai-Liang Liu | Cetera Investment Advisers LLC other | Bancwest Investment Services, Inc. (Bwis) other | Other | Oct 26, 2015 | Nov 13, 2015 |
| Todd Sargent Strasser | Wells Fargo Advisors wirehouse | Bancwest Investment Services, Inc. (Bwis) other | Other | Oct 23, 2015 | Nov 16, 2015 |
| Wayne Minh Loi | Edward Jones national BD | Bancwest Investment Services, Inc. (Bwis) other | Other | Oct 22, 2015 | May 12, 2016 (203 d) |
| Robert Oliver Dela Cruz | Charles Schwab & Co., Inc. national BD | Bancwest Investment Services, Inc. (Bwis) other | Other | Oct 16, 2015 | Nov 2, 2015 |
| Greg Laurence Coburn | Advice And Planning Services other | Bancwest Investment Services, Inc. (Bwis) other | Other | Oct 15, 2015 | Jul 6, 2016 (265 d) |
| Gary Scott Huband | RBC Capital Markets, LLC national BD | Bancwest Investment Services, Inc. (Bwis) other | Other | Oct 14, 2015 | Jun 22, 2016 (252 d) |
| Jeffrey Clay Goodrich | Valley Financial Management, Inc. BD affiliated | Bancwest Investment Services, Inc. (Bwis) other | Other | Sep 30, 2015 | Sep 18, 2015 |
| Jessica Elisabeth Beck | Cuso Financial Services, L.P. other | Bancwest Investment Services, Inc. (Bwis) other | Other | Sep 21, 2015 | Feb 22, 2016 (154 d) |
| Philip Kwon Hoa Cheng | Spc other | Bancwest Investment Services, Inc. (Bwis) other | Other | Sep 16, 2015 | Sep 25, 2015 |
| Ross Patrick Salas | Edward Jones national BD | Bancwest Investment Services, Inc. (Bwis) other | Other | Sep 16, 2015 | Oct 13, 2015 |
| James David Armer | Wells Fargo Advisors wirehouse | Bancwest Investment Services, Inc. (Bwis) other | Other | Sep 9, 2015 | Oct 5, 2015 |
| Jason Thomas Cyza | Mutual Of Omaha Investor Services, Inc. no RAUM | Bancwest Investment Services, Inc. (Bwis) other | Other | Sep 2, 2015 | Sep 9, 2015 |
| Gregory C Muir | Northwestern Mutual Investment Services,LLC other | Bancwest Investment Services, Inc. (Bwis) other | Other | Aug 13, 2015 | Aug 14, 2015 |
| Jeffrey Scott Berg | Cambridge Investment Research Advisors, Inc. other | Bancwest Investment Services, Inc. (Bwis) other | Other | Aug 12, 2015 | Aug 14, 2015 |
| William Rodrick Carrillo | Stifel, Nicolaus & Company, Incorporated national BD | Bancwest Investment Services, Inc. (Bwis) other | Other | Aug 3, 2015 | Aug 15, 2015 |
| Ying Juan Xie | Cetera Investment Advisers LLC other | Bancwest Investment Services, Inc. (Bwis) other | Other | Jul 30, 2015 | Jul 7, 2016 (343 d) |
| Michael Brannon | LPL Financial LLC other | Bancwest Investment Services, Inc. (Bwis) other | Other | Jul 28, 2015 | Jun 17, 2016 (325 d) |
| Maximus Xuan Nguyen | Td Ameritrade, Inc. no RAUM | Bancwest Investment Services, Inc. (Bwis) other | Other | Jul 17, 2015 | Jul 13, 2015 |
| Clayton David Cox | Td Ameritrade, Inc. no RAUM | Bancwest Investment Services, Inc. (Bwis) other | Other | Jul 13, 2015 | Jul 27, 2015 |
| Nylene F Numazawa | LPL Financial LLC other | Bancwest Investment Services, Inc. (Bwis) other | Other | Jul 7, 2015 | Jul 14, 2015 |
| John Jungki Koh | Gold Coast Securities, Inc. other | Bancwest Investment Services, Inc. (Bwis) other | Other | Jun 30, 2015 | Jul 21, 2015 |
| Matthew William Benz | Strategic Advisers LLC national BD | Bancwest Investment Services, Inc. (Bwis) other | Other | Jun 8, 2015 | Jun 2, 2015 |
| Andrew Douglas Eggert | Wells Fargo Advisors wirehouse | Bancwest Investment Services, Inc. (Bwis) other | Other | May 28, 2015 | May 28, 2015 |
| Cheryl Hom | Wells Fargo Advisors wirehouse | Bancwest Investment Services, Inc. (Bwis) other | Other | May 19, 2015 | Jun 11, 2015 |
| Stephen Crowder | Wells Fargo Advisors wirehouse | Bancwest Investment Services, Inc. (Bwis) BD affiliated | Wirehouse to affiliated broker-dealer or bank | May 14, 2015 | Apr 3, 2019 (1420 d) |
| Dale L Malleck | Wells Fargo Advisors wirehouse | Bancwest Investment Services, Inc. (Bwis) other | Other | May 13, 2015 | Jun 17, 2015 (35 d) |
| Brook P Kramer | Syntrinsic Investment Counsel, LLC. other | Bancwest Investment Services, Inc. (Bwis) BD affiliated | Other | Mar 31, 2015 | Aug 2, 2022 (2681 d) |
| Charles Spencer Gould | First Foundation Advisors other | Bancwest Investment Services, Inc. (Bwis) other | Other | Mar 31, 2015 | Mar 24, 2015 |
| Matthew Orian | Waddell & Reed other | Bancwest Investment Services, Inc. (Bwis) other | Other | Mar 4, 2015 | May 13, 2015 (70 d) |
| Anthony Chiu | Eagle Strategies LLC other | Bancwest Investment Services, Inc. (Bwis) other | Other | Feb 19, 2015 | Mar 5, 2015 |
| Jeremy Henry Uzqueda | J.P. Morgan Securities LLC wirehouse | Bancwest Investment Services, Inc. (Bwis) other | Other | Feb 11, 2015 | Feb 12, 2015 |
| Cynthia M Serbia | Charles Schwab & Co., Inc. national BD | Bancwest Investment Services, Inc. (Bwis) other | Other | Feb 3, 2015 | Oct 7, 2015 (246 d) |
| Sergio A Del Puerto | Efg Capital Advisors Inc. other | Bancwest Investment Services, Inc. (Bwis) other | Other | Feb 2, 2015 | Mar 17, 2015 (43 d) |
| Jeremy Michael Remily | Invest Financial Corporation other | Bancwest Investment Services, Inc. (Bwis) other | Other | Jan 28, 2015 | Feb 2, 2015 |
| Kevin Duane Mayo | Td Ameritrade Investment Management, LLC other | Bancwest Investment Services, Inc. (Bwis) other | Other | Jan 26, 2015 | Jan 30, 2015 |
| Dae Young Chung | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Bancwest Investment Services, Inc. (Bwis) other | Other | Jan 20, 2015 | Feb 2, 2015 |
| Chad Wayne Hansen | Waddell & Reed other | Bancwest Investment Services, Inc. (Bwis) other | Other | Jan 14, 2015 | Jan 26, 2015 |
| Jesse Thurber | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Bancwest Investment Services, Inc. (Bwis) other | Other | Dec 26, 2014 | Jan 9, 2015 |
| Daryl Joseph Martin | Wells Fargo Advisors wirehouse | Bancwest Investment Services, Inc. (Bwis) other | Other | Dec 23, 2014 | Jul 25, 2016 (580 d) |