| Eric David Duncan | Msi Financial Services, Inc. other | Morgan Keegan & Company, LLC other | Other | Jan 5, 2009 | Mar 24, 2009 (78 d) |
| Rosa Lares Schulte | Regions Investment Management, Inc. other | Morgan Keegan & Company, LLC other | Other | Dec 31, 2008 | Jul 11, 2003 |
| Shannon Wayne Holland | Wells Fargo Advisors wirehouse | Morgan Keegan & Company, LLC other | Other | Dec 19, 2008 | Jan 12, 2009 |
| Justin Tate | Wells Fargo Advisors wirehouse | Morgan Keegan & Company, LLC other | Other | Dec 19, 2008 | Nov 2, 2010 (683 d) |
| Mark S Sargon | Charles Schwab & Co., Inc. national BD | Morgan Keegan & Company, LLC other | Other | Dec 18, 2008 | Dec 23, 2008 |
| Maria Bethany Howe | UBS Financial Services Inc. wirehouse | Morgan Keegan & Company, LLC other | Other | Dec 18, 2008 | Dec 11, 2008 |
| Stephen Darryl Carroll | UBS Financial Services Inc. wirehouse | Morgan Keegan & Company, LLC other | Other | Dec 16, 2008 | Dec 11, 2008 |
| Mack Wayne Bryson | Hornor, Townsend & Kent, LLC other | Morgan Keegan & Company, LLC other | Other | Dec 8, 2008 | Dec 17, 2008 |
| Heidi Suzanne Gough | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Morgan Keegan & Company, LLC other | Other | Dec 6, 2008 | Dec 10, 2008 |
| Stanley Lee Crisci | Huntington Financial Advisors other | Morgan Keegan & Company, LLC other | Other | Nov 28, 2008 | Nov 28, 2008 |
| Jordan Girton | Ameriprise Financial Services, LLC national BD | Morgan Keegan & Company, LLC other | Other | Nov 14, 2008 | Jul 15, 2009 (243 d) |
| Marc Allen Miller | Edward Jones national BD | Morgan Keegan & Company, LLC other | Other | Nov 7, 2008 | Nov 3, 2008 |
| Stephen Francis Valeri | Wells Fargo Advisors wirehouse | Morgan Keegan & Company, LLC other | Other | Nov 4, 2008 | Nov 25, 2008 |
| Lauren Brian Housel | Wells Fargo Advisors wirehouse | Morgan Keegan & Company, LLC other | Other | Nov 4, 2008 | Nov 21, 2008 |
| Thompson Gress Lemaistre | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Morgan Keegan & Company, LLC other | Other | Nov 3, 2008 | Apr 15, 2009 (163 d) |
| Marc W Chait | Wells Fargo Advisors wirehouse | Morgan Keegan & Company, LLC other | Other | Oct 24, 2008 | Oct 15, 2008 |
| Carmelita Yunaranie Singh-Mayer | Wells Fargo Advisors wirehouse | Morgan Keegan & Company, LLC other | Other | Oct 6, 2008 | Oct 8, 2008 |
| Oscar Mauricio Gonzalez | Morgan Stanley & Co. LLC unclassified | Morgan Keegan & Company, LLC other | Other | Oct 6, 2008 | Nov 6, 2008 (31 d) |
| Douglas Allen Drabik | Citigroup Global Markets Inc. other | Morgan Keegan & Company, LLC other | Other | Oct 1, 2008 | Aug 23, 2010 (691 d) |
| Timothy Brian Walls | Securities America Advisors, Inc. other | Morgan Keegan & Company, LLC other | Other | Sep 26, 2008 | Oct 8, 2008 |
| Robert Lee Yi | Citigroup Global Markets Inc. other | Morgan Keegan & Company, LLC other | Other | Sep 9, 2008 | Apr 22, 2010 (590 d) |
| Randall Paul Macneill | Citigroup Global Markets Inc. other | Morgan Keegan & Company, LLC other | Other | Aug 28, 2008 | Aug 29, 2008 |
| Richard Steven Bernstein | Wells Fargo Advisors wirehouse | Morgan Keegan & Company, LLC other | Other | Aug 27, 2008 | Aug 29, 2008 |
| John Roland Roussell | Wells Fargo Advisors wirehouse | Morgan Keegan & Company, LLC other | Other | Aug 21, 2008 | Aug 15, 2008 |
| James Michael Irvin | Wells Fargo Advisors wirehouse | Morgan Keegan & Company, LLC other | Other | Aug 20, 2008 | Aug 29, 2008 |
| Barry Jay Dekreek | Wells Fargo Advisors wirehouse | Morgan Keegan & Company, LLC other | Other | Aug 13, 2008 | Aug 13, 2008 |
| Robin P. Seale | J.P. Morgan Securities Inc. unclassified | Morgan Keegan & Company, LLC other | Other | Aug 7, 2008 | Aug 7, 2008 |
| Robert Lee Pollard | J.P. Morgan Securities Inc. unclassified | Morgan Keegan & Company, LLC other | Other | Aug 7, 2008 | Aug 6, 2008 |
| Zachary Dean Gladen | Wells Fargo Advisors wirehouse | Morgan Keegan & Company, LLC other | Other | Jul 17, 2008 | Jul 10, 2008 |
| Cesar Rafael Otero | Ameriprise Financial Services, LLC national BD | Morgan Keegan & Company, LLC other | Other | Jul 17, 2008 | Oct 6, 2008 (81 d) |
| Scott Brian Ramo | Janney Montgomery Scott LLC other | Morgan Keegan & Company, LLC other | Other | Jul 15, 2008 | Jun 25, 2008 |
| Edward Barton Moore | Edward Jones national BD | Morgan Keegan & Company, LLC other | Other | Jun 26, 2008 | Jun 30, 2008 |
| Brian Reid Markowitz | Wells Fargo Advisors wirehouse | Morgan Keegan & Company, LLC other | Other | Jun 20, 2008 | Jul 2, 2008 |
| Brett Jurgen Fisher | Citigroup Global Markets Inc. other | Morgan Keegan & Company, LLC other | Other | Jun 12, 2008 | Jul 3, 2008 |
| Gary Lane Glover | Ameriprise Advisor Services, Inc. unclassified | Morgan Keegan & Company, LLC other | Other | Jun 4, 2008 | May 30, 2008 |
| Paul William Kerbey | Ameriprise Advisor Services, Inc. unclassified | Morgan Keegan & Company, LLC other | Other | Jun 4, 2008 | May 30, 2008 |
| Lisa N Lubar | Wells Fargo Advisors wirehouse | Morgan Keegan & Company, LLC other | Other | May 8, 2008 | Aug 3, 2009 (452 d) |
| Jennifer Adams | Stanford Capital Management, LLC unclassified | Morgan Keegan & Company, LLC other | Other | May 6, 2008 | Aug 6, 2008 (92 d) |
| Donna Suzanne Mcphillips | Wells Fargo Advisors wirehouse | Morgan Keegan & Company, LLC other | Other | Apr 29, 2008 | Jun 12, 2008 (44 d) |
| Wilson Allen Moore | Fisher Investments other | Morgan Keegan & Company, LLC other | Other | Apr 16, 2008 | Jun 17, 2008 (62 d) |
| Donald Joe Davis | Wells Fargo Advisors wirehouse | Morgan Keegan & Company, LLC other | Other | Apr 10, 2008 | Apr 8, 2008 |
| Carson Skottowe Wannamaker | Bb&T Investment Services, Inc. no RAUM | Morgan Keegan & Company, LLC other | Other | Apr 10, 2008 | Dec 8, 2009 (607 d) |
| John Joseph Asta | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Morgan Keegan & Company, LLC other | Other | Apr 2, 2008 | Apr 24, 2008 |
| Monty David Hatcher | Edward Jones national BD | Morgan Keegan & Company, LLC other | Other | Mar 25, 2008 | Mar 20, 2008 |
| Todd Stephen Tillotson | Wells Fargo Advisors wirehouse | Morgan Keegan & Company, LLC other | Other | Feb 29, 2008 | Nov 17, 2008 (262 d) |
| Wilkes Thomas Martin | Citigroup Global Markets Inc. other | Morgan Keegan & Company, LLC other | Other | Feb 28, 2008 | Feb 20, 2008 |
| Brent Patrick Nicks | First Horizon Advisors, Inc other | Morgan Keegan & Company, LLC other | Other | Feb 25, 2008 | Mar 3, 2008 |
| Jeremy Wayne Ginn | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Morgan Keegan & Company, LLC other | Other | Feb 21, 2008 | Feb 22, 2008 |
| Anne Barbara Platt | Amsouth Asset Management, Inc. unclassified | Morgan Keegan & Company, LLC other | Other | Jan 25, 2008 | May 1, 2007 |
| Frank Owings Smith | Suntrust Investment Services, Inc. other | Morgan Keegan & Company, LLC other | Other | Jan 24, 2008 | Jan 18, 2008 |
| Lisamarie Lozon | Citigroup Global Markets Inc. other | Morgan Keegan & Company, LLC other | Other | Jan 24, 2008 | Jun 2, 2008 (130 d) |
| Jonathan Garson Cameron | Ameriprise Financial Services, LLC national BD | Morgan Keegan & Company, LLC other | Other | Jan 18, 2008 | Mar 11, 2008 (53 d) |
| David Howard Lilliston | A. G. Edwards & Sons, Inc. unclassified | Morgan Keegan & Company, LLC other | Other | Jan 16, 2008 | Jan 16, 2008 |
| Christopher Wade Isom | Valic Financial Advisors, Inc. other | Morgan Keegan & Company, LLC other | Other | Jan 3, 2008 | Oct 1, 2008 (272 d) |
| Tammy Lynn Courtney | Buckingham Strategic Wealth, LLC other | Morgan Keegan & Company, LLC other | Other | Jan 2, 2008 | May 28, 2009 (512 d) |
| David Anthony Martin | Suntrust Investment Services, Inc. other | Morgan Keegan & Company, LLC other | Other | Dec 19, 2007 | Dec 18, 2007 |
| Zachariah Buchanan Davis | Wells Fargo Advisors wirehouse | Morgan Keegan & Company, LLC other | Other | Dec 13, 2007 | Feb 1, 2008 (50 d) |
| James Aaron Hargis | Invest Financial Corporation other | Morgan Keegan & Company, LLC other | Other | Nov 27, 2007 | Nov 21, 2007 |
| Matthew Christopher Durham | Banc Of America Investment Services, Inc. unclassified | Morgan Keegan & Company, LLC other | Other | Nov 27, 2007 | Feb 5, 2008 (70 d) |
| Peter James Gaughan | UBS Financial Services Inc. wirehouse | Morgan Keegan & Company, LLC other | Other | Nov 14, 2007 | Nov 9, 2007 |