| Ryan Charles Bosler | Equitable Advisors, LLC national BD | On Investment Management Co other | Other | Mar 19, 2010 | Mar 29, 2010 |
| David N Schofield | Securities America Advisors, Inc. other | On Investment Management Co other | Other | Jan 27, 2010 | Jan 26, 2010 |
| Matthew Nicholaus Porter | Securities America Advisors, Inc. other | On Investment Management Co other | Other | Dec 31, 2009 | Jan 4, 2010 |
| Deepak Nervanda Appaya | Buckman Advisory Group LLC other | On Investment Management Co other | Other | Dec 18, 2009 | Apr 11, 2011 (479 d) |
| Robert Alfred Brockland | Voya Financial Advisors, Inc. other | On Investment Management Co other | Other | Dec 8, 2009 | Feb 3, 2010 (57 d) |
| Bobby Gene Junkin | Msi Financial Services, Inc. other | On Investment Management Co other | Other | Nov 4, 2009 | Nov 24, 2009 |
| Lawrence Philip Rose | U.S. Bancorp Investments, Inc. other | On Investment Management Co other | Other | Oct 27, 2009 | Apr 19, 2011 (539 d) |
| Gregory James Pasler | Wfg Advisors, LP other | On Investment Management Co other | Other | Aug 17, 2009 | Dec 11, 2009 (116 d) |
| Dianne Therese Fay | Msi Financial Services, Inc. other | On Investment Management Co other | Other | Aug 6, 2009 | Sep 9, 2009 (34 d) |
| Matthew Vaughn Roth | Wells Fargo Advisors wirehouse | On Investment Management Co BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jul 28, 2009 | May 31, 2018 (3229 d) |
| Dennis Workman Ferguson | J P Turner & Company Capital Management, LLC other | On Investment Management Co other | Other | Jun 16, 2009 | Jun 10, 2009 |
| Kimberly Dolson Gustafson | Banc Of America Investment Services, Inc. unclassified | On Investment Management Co BD affiliated | Other | May 7, 2009 | Apr 9, 2024 (5451 d) |
| Ryan Matthew Gill | Edward Jones national BD | On Investment Management Co BD affiliated | Affiliated broker-dealer or bank to another | Apr 22, 2009 | Jan 2, 2021 (4273 d) |
| Brian Keith Laspino | Td Ameritrade Investment Management, LLC other | On Investment Management Co other | Other | Apr 20, 2009 | Jun 30, 2009 (71 d) |
| Robert Joseph Hubbard | Equitable Advisors, LLC national BD | On Investment Management Co other | Other | Feb 26, 2009 | Feb 13, 2009 |
| Paul Steven Elkind | Equitable Advisors, LLC national BD | On Investment Management Co other | Other | Feb 24, 2009 | Feb 19, 2014 (1821 d) |
| Timothy Patrick Reidy | Msi Financial Services, Inc. other | On Investment Management Co other | Other | Jan 21, 2009 | Jan 25, 2010 (369 d) |
| Reginald Donald Clark | Equitas America, LLC unclassified | On Investment Management Co other | Other | Dec 31, 2008 | Jun 7, 2017 (3080 d) |
| David Guy Robichaud | Hornor, Townsend & Kent, LLC other | On Investment Management Co other | Other | Nov 24, 2008 | Dec 22, 2008 |
| David Scott Downey | Cambridge Investment Research Advisors, Inc. other | On Investment Management Co other | Other | Nov 17, 2008 | Oct 21, 2010 (703 d) |
| Jason C Lohnes | Chase Investment Services Corp. other | On Investment Management Co other | Other | Sep 22, 2008 | Sep 18, 2009 (361 d) |
| Scott Anthony Mansfield | Valic Financial Advisors, Inc. other | On Investment Management Co other | Other | Aug 21, 2008 | Aug 14, 2008 |
| Conrad Stephen Kunkel | Securian Financial Services, Inc. other | On Investment Management Co other | Other | May 1, 2008 | May 9, 2008 |
| Brian Keith Dennis | Esi Financial Advisors other | On Investment Management Co other | Other | Mar 24, 2008 | Mar 20, 2008 |
| Jeffry Alan Vogel | Capital Portfolio Management L.L.C. other | On Investment Management Co other | Other | Mar 5, 2008 | Feb 4, 2008 |
| John Andrew Shumski | Next Financial Group, Inc. other | On Investment Management Co other | Other | Jan 17, 2008 | Jan 6, 2009 (355 d) |
| David Ralph Weber | USA Wealth Management LLC other | On Investment Management Co other | Other | Dec 5, 2007 | Feb 25, 2008 (82 d) |
| Trevor John Bauer | Bauer Planning Group, LLC unclassified | On Investment Management Co other | Other | Dec 5, 2007 | Nov 6, 2008 (337 d) |
| Steven K Bennett | Park Avenue Securities LLC other | On Investment Management Co other | Other | Sep 19, 2007 | Mar 3, 2008 (166 d) |
| James Robert Murphree II | LPL Financial LLC other | On Investment Management Co other | Other | Aug 20, 2007 | Sep 4, 2007 |
| Albert Michael Daniels | Country Trust Bank unclassified | On Investment Management Co other | Other | Jul 27, 2007 | Apr 21, 2017 (3556 d) |
| Andrew Thomas Ullmann | MML Investors Services, LLC other | On Investment Management Co other | Other | Jun 25, 2007 | Jun 25, 2007 |
| Daniel Oliver Mackey | Rea Capital Management, LLC other | On Investment Management Co other | Other | Jun 19, 2007 | Dec 2, 2005 |
| David Vinton Ludwinski | American General Securities Incorporated unclassified | On Investment Management Co other | Other | Mar 20, 2007 | Mar 20, 2007 |
| Amy Jeanne Berry | Edward Jones national BD | On Investment Management Co other | Other | Jan 26, 2007 | Aug 21, 2008 (573 d) |
| Steven Michael Temple | Park Avenue Securities LLC other | On Investment Management Co other | Other | Jan 23, 2007 | Apr 10, 2007 (77 d) |
| Kerry Lee Lawing | Mason James Asset Management, Inc. unclassified | On Investment Management Co other | Other | Dec 31, 2006 | May 6, 2010 (1222 d) |
| Michael Vincent Webb | Sunset Financial Services, Inc. other | On Investment Management Co other | Other | Dec 12, 2006 | Jan 9, 2007 |
| Brent Allen Ward | Ameritas Advisory Services other | On Investment Management Co other | Other | Nov 17, 2006 | Apr 1, 2008 (501 d) |
| Michael Forrest Copeland | National Planning Corporation ("Npc Of America" In Fl & Ny) other | On Investment Management Co other | Other | Oct 30, 2006 | Dec 1, 2006 (32 d) |
| Brian Michael Keswick | Commonwealth Financial Network national BD | On Investment Management Co other | Other | Oct 9, 2006 | Jan 29, 2008 (477 d) |
| Randall John Winkler | Wipfli Hewins Investment Advisors LLC other | On Investment Management Co other | Other | Jul 12, 2006 | Aug 6, 2007 (390 d) |
| Alan Donald Cooper | Park Avenue Securities LLC other | On Investment Management Co other | Other | Apr 6, 2006 | Mar 28, 2006 |
| Edgar Marvin Hawkins | Park Avenue Securities LLC other | On Investment Management Co other | Other | Apr 4, 2006 | Mar 20, 2006 |
| Peter M Lampert | Park Avenue Securities LLC other | On Investment Management Co other | Other | Mar 28, 2006 | May 31, 2006 (64 d) |
| Debra Ann Hartsfield | Barrington Financial Advisors, Inc. other | On Investment Management Co other | Other | Dec 16, 2005 | Mar 29, 2006 (103 d) |
| Michael Winston Bain | Equity Analysts Inc. unclassified | On Investment Management Co other | Other | Nov 9, 2005 | May 28, 2010 (1661 d) |
| Robert James Clancy | Intervest International, Inc. other | On Investment Management Co other | Other | Nov 7, 2005 | Oct 27, 2005 |
| Joanne Marie Koster-Wilson | Gunnallen Financial, Inc unclassified | On Investment Management Co other | Other | Nov 2, 2005 | Nov 7, 2005 |
| Michael Dennis Worch | Park Avenue Securities LLC other | On Investment Management Co other | Other | Aug 26, 2005 | Aug 19, 2005 |
| Stanley Ray Edgell | Nfp Advisor Services, LLC other | On Investment Management Co other | Other | Jun 22, 2005 | Jul 7, 2005 |
| John Jay Takacs | Park Avenue Securities LLC other | On Investment Management Co other | Other | Apr 18, 2005 | May 20, 2005 (32 d) |
| Tienchia Wang | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | On Investment Management Co other | Other | Apr 5, 2005 | Jul 2, 2007 (818 d) |
| Keith Wayne Reed | Legend Advisory, LLC other | On Investment Management Co other | Other | Apr 1, 2005 | Jul 19, 2006 (474 d) |
| Jeffery Paul Boutin | Park Avenue Securities LLC other | On Investment Management Co other | Other | Mar 29, 2005 | Sep 15, 2006 (535 d) |
| Samuel Killgore Ross | Msi Financial Services, Inc. other | On Investment Management Co other | Other | Feb 24, 2005 | Jun 8, 2007 (834 d) |
| Eric Ray Heckman | Eagle Strategies LLC other | On Investment Management Co other | Other | Oct 1, 2004 | Sep 13, 2004 |
| Douglas Baugh Doster | Raymond James Financial Services, Inc. unclassified | On Investment Management Co other | Other | Aug 3, 2004 | Aug 3, 2004 |
| Christopher Leo Arnold | Cue Financial Group, Inc. other | On Investment Management Co other | Other | Jul 16, 2004 | May 29, 2008 (1413 d) |
| John Martini Jansen | Financial Security Advisory Inc other | On Investment Management Co other | Other | Jul 13, 2004 | Aug 9, 2004 |