| Jay Thoburn Brown | Morgan Stanley wirehouse | Hilltop Securities Inc. other | Other | Jun 26, 2009 | Jun 22, 2009 |
| Joan Geurkink Lawson | Citigroup Global Markets Inc. other | Hilltop Securities Inc. other | Other | Jun 16, 2009 | Jun 5, 2009 |
| James Earl Pence | Citigroup Global Markets Inc. other | Hilltop Securities Inc. other | Other | Jun 16, 2009 | Jun 5, 2009 |
| Steven Alexander Sarkissian | UBS Financial Services Inc. wirehouse | Hilltop Securities Inc. other | Other | Jun 3, 2009 | May 8, 2009 |
| Monika A Bennett | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Hilltop Securities Inc. other | Other | May 22, 2009 | Aug 11, 2009 (81 d) |
| Michael Keith Lauterbach | Citigroup Global Markets Inc. other | Hilltop Securities Inc. other | Other | May 18, 2009 | May 13, 2009 |
| Stephen Paul Crossman | UBS Financial Services Inc. wirehouse | Hilltop Securities Inc. other | Other | May 13, 2009 | May 12, 2009 |
| Elridge Nicholas Bollich | UBS Financial Services Inc. wirehouse | Hilltop Securities Inc. other | Other | May 13, 2009 | Apr 28, 2009 |
| Shannon Kelly Mckeehan | UBS Financial Services Inc. wirehouse | Hilltop Securities Inc. other | Other | May 13, 2009 | May 8, 2009 |
| Michael Emerson Campbell | UBS Financial Services Inc. wirehouse | Hilltop Securities Inc. other | Other | May 13, 2009 | May 6, 2009 |
| Ronnie Russell Rushing | Citigroup Global Markets Inc. other | Hilltop Securities Inc. other | Other | May 8, 2009 | Apr 17, 2009 |
| Bradley Kyle Scott | Citigroup Global Markets Inc. other | Hilltop Securities Inc. other | Other | May 8, 2009 | Apr 17, 2009 |
| Carol Diane Garza | Citigroup Global Markets Inc. other | Hilltop Securities Inc. other | Other | Apr 23, 2009 | Apr 6, 2009 |
| William Robert Brandenberger | Citigroup Global Markets Inc. other | Hilltop Securities Inc. other | Other | Apr 23, 2009 | Apr 9, 2009 |
| Dustin Tye Hellams | Citigroup Global Markets Inc. other | Hilltop Securities Inc. other | Other | Apr 16, 2009 | Mar 23, 2009 |
| William Sean Coyle | Citigroup Global Markets Inc. other | Hilltop Securities Inc. other | Other | Apr 15, 2009 | Mar 30, 2009 |
| Marcel Fred Hamburger | Citigroup Global Markets Inc. other | Hilltop Securities Inc. other | Other | Apr 15, 2009 | Mar 27, 2009 |
| Michael Wayne Mcguire | Citigroup Global Markets Inc. other | Hilltop Securities Inc. other | Other | Apr 14, 2009 | Mar 27, 2009 |
| Stephen John Mchale | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Hilltop Securities Inc. other | Other | Apr 13, 2009 | Jun 12, 2009 (60 d) |
| Tia Stephanie Tomlin | Citigroup Global Markets Inc. other | Hilltop Securities Inc. other | Other | Apr 9, 2009 | Mar 13, 2009 |
| Jon Christopher Lam | M.L. Stern & Co., LLC. unclassified | Hilltop Securities Inc. other | Other | Apr 7, 2009 | Dec 10, 2008 |
| Milford Lee Stern | M.L. Stern & Co., LLC. unclassified | Hilltop Securities Inc. other | Other | Apr 7, 2009 | Oct 22, 2008 |
| William Edward Livingston Coster | Wells Fargo Advisors wirehouse | Hilltop Securities Inc. other | Other | Apr 6, 2009 | Apr 3, 2009 |
| Eugene Walt Parrish | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Hilltop Securities Inc. other | Other | Mar 30, 2009 | Apr 27, 2009 |
| Shawn E Lemko | Morgan Stanley & Co. LLC unclassified | Hilltop Securities Inc. other | Other | Mar 6, 2009 | Sep 18, 2009 (196 d) |
| William H Skelton | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Hilltop Securities Inc. other | Other | Feb 2, 2009 | Jan 30, 2009 |
| Peter George Cappos | M.L. Stern & Co., LLC. unclassified | Hilltop Securities Inc. other | Other | Jan 21, 2009 | Oct 21, 2008 |
| John William Madison | M.L. Stern & Co., LLC. unclassified | Hilltop Securities Inc. other | Other | Jan 7, 2009 | Dec 10, 2008 |
| William Ernest Stockum | Morgan Stanley & Co. LLC unclassified | Hilltop Securities Inc. other | Other | Jan 6, 2009 | Dec 19, 2008 |
| Dagmara Katarzyna Frankowska | Snider Advisors other | Hilltop Securities Inc. other | Other | Jan 2, 2009 | Jan 6, 2009 |
| Yen A Schicke | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Hilltop Securities Inc. other | Other | Jan 2, 2009 | Feb 14, 2012 (1138 d) |
| John Andrew Schick | Asset Management Partners Inc unclassified | Hilltop Securities Inc. other | Other | Dec 31, 2008 | Jul 30, 2008 |
| Alan Aldo Waker | Charles Schwab & Co., Inc. national BD | Hilltop Securities Inc. other | Other | Oct 31, 2008 | Dec 23, 2008 (53 d) |
| Shawn Baxter | 1st Global Advisors Inc other | Hilltop Securities Inc. other | Other | Oct 16, 2008 | Oct 21, 2008 |
| Matthew Salvador Houston | Citigroup Global Markets Inc. other | Hilltop Securities Inc. other | Other | Oct 7, 2008 | Sep 24, 2008 |
| Craig Thomas Moore | Avantax Advisory Services other | Hilltop Securities Inc. other | Other | Jun 19, 2008 | Jun 25, 2008 |
| Robert David Bourland | Stifel Independent Advisors, LLC other | Hilltop Securities Inc. other | Other | May 16, 2008 | May 9, 2008 |
| Edward Joseph Schiavi | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Hilltop Securities Inc. other | Other | May 14, 2008 | Jun 11, 2008 |
| Walter Joseph Anthony | Cuna Brokerage Services, Inc. other | Hilltop Securities Inc. other | Other | Feb 1, 2008 | Jan 25, 2008 |
| Ronald Lee Gershon | Oppenheimer Asset Management other | Hilltop Securities Inc. BD affiliated | Other | Nov 12, 2007 | Jul 15, 2022 (5359 d) |
| Sean Paul Weaver | First Midamerica Investment Corporation unclassified | Hilltop Securities Inc. other | Other | Nov 1, 2007 | Nov 2, 2007 |
| Rex Arvil Hinshaw | A. G. Edwards & Sons, Inc. unclassified | Hilltop Securities Inc. other | Other | Oct 25, 2007 | Oct 19, 2007 |
| Ronald Howard Meckler | A. G. Edwards & Sons, Inc. unclassified | Hilltop Securities Inc. other | Other | Oct 22, 2007 | Oct 12, 2007 |
| Adam Carter Rich | Raa Wealth Management, LLC unclassified | Hilltop Securities Inc. other | Other | Jul 3, 2007 | Jun 27, 2007 |
| Thomas Brian Allred | Sanders Morris LLC other | Hilltop Securities Inc. other | Other | May 22, 2007 | May 18, 2007 |
| Donald Gene Blake | Wells Fargo Advisors wirehouse | Hilltop Securities Inc. other | Other | Dec 19, 2006 | Dec 15, 2006 |
| Blas Steven Catalani | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Hilltop Securities Inc. other | Other | Apr 20, 2006 | Apr 21, 2006 |
| Bruce Allen Lewin | Wells Fargo Advisors wirehouse | Hilltop Securities Inc. other | Other | Aug 29, 2005 | Aug 26, 2005 |
| Elio Eduardo King | Citigroup Global Markets Inc. other | Hilltop Securities Inc. other | Other | Mar 31, 2005 | Sep 2, 2005 (155 d) |
| Leonard Anshelevich | UBS Financial Services Inc. wirehouse | Hilltop Securities Inc. other | Other | Mar 24, 2005 | Mar 11, 2005 |
| David Boyers | Banc Of America Investment Services, Inc. unclassified | Hilltop Securities Inc. other | Other | Feb 28, 2005 | Feb 25, 2005 |
| Lane Scott Swisher | Morgan Stanley Dw Inc. unclassified | Hilltop Securities Inc. other | Other | Oct 6, 2004 | Oct 1, 2004 |
| Janelle Marie Skelton | Morgan Stanley Dw Inc. unclassified | Hilltop Securities Inc. other | Other | Aug 6, 2004 | Jul 29, 2004 |
| Samuel Clifford Munhollon | Morgan Stanley Dw Inc. unclassified | Hilltop Securities Inc. other | Other | Aug 6, 2004 | Jul 29, 2004 |
| David Hansson Tobin | UBS Financial Services Inc. wirehouse | Hilltop Securities Inc. other | Other | Mar 11, 2004 | Mar 1, 2004 |
| Jay Owen Brainard | UBS Financial Services Inc. wirehouse | Hilltop Securities Inc. other | Other | Mar 11, 2004 | Mar 1, 2004 |
| Ralph Dennis Barker | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Hilltop Securities Inc. other | Other | Feb 19, 2004 | Feb 20, 2004 |
| Marcia Sue Schoolfield Spellman | Spellman Capital Corporation unclassified | Hilltop Securities Inc. other | Other | Dec 31, 2003 | Dec 17, 2003 |
| Steven Sarosy | Chase Investment Services Corp. other | Hilltop Securities Inc. other | Other | Dec 18, 2003 | Dec 15, 2003 |
| Jerry Odell Mcdonald | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Hilltop Securities Inc. other | Other | Oct 7, 2003 | Oct 3, 2003 |