| Jeffrey Lee Ou Baty | Chase Investment Services Corp. other | 1st Global Advisors Inc other | Other | Aug 31, 2005 | Oct 10, 2007 (770 d) |
| Michael Otto Kurz | Chase Investment Services Corp. other | 1st Global Advisors Inc other | Other | Aug 23, 2005 | Mar 20, 2015 (3496 d) |
| Paul Daniel Brick | Wells Fargo Advisors wirehouse | 1st Global Advisors Inc other | Other | Aug 8, 2005 | Aug 31, 2005 |
| John Edward Fleming | Hancock Capital Management, Inc. other | 1st Global Advisors Inc other | Other | Aug 3, 2005 | Oct 17, 2007 (805 d) |
| Alexandra Odessa Vidal | Ameriprise Advisor Services, Inc. unclassified | 1st Global Advisors Inc other | Other | Jun 2, 2005 | Mar 6, 2009 (1373 d) |
| Bradley Shayne Lester | MML Investors Services, LLC other | 1st Global Advisors Inc other | Other | May 3, 2005 | May 3, 2005 |
| Roderick Renard Washington | Valic Financial Advisors, Inc. other | 1st Global Advisors Inc other | Other | Feb 18, 2005 | Dec 10, 2010 (2121 d) |
| Rahn Johnston Singer | Mony Securities Corporation unclassified | 1st Global Advisors Inc other | Other | Feb 18, 2005 | Jan 24, 2005 |
| Donald Nathan Hoffman | Legg Mason Wood Walker, Incorporated unclassified | 1st Global Advisors Inc other | Other | Dec 31, 2004 | Jan 5, 2005 |
| Gregory James Weisheit | Mony Securities Corporation unclassified | 1st Global Advisors Inc other | Other | Dec 17, 2004 | Dec 17, 2004 |
| Edwin Paul Strickling | Matoaka Money Management, Inc. unclassified | 1st Global Advisors Inc other | Other | Dec 9, 2004 | May 10, 2002 |
| Frank Mario Amelio | Mony Securities Corporation unclassified | 1st Global Advisors Inc other | Other | Dec 3, 2004 | Dec 3, 2004 |
| James Ronald Verlato | Mony Securities Corporation unclassified | 1st Global Advisors Inc other | Other | Nov 23, 2004 | Nov 15, 2004 |
| Gary Dennis Hochman | Mony Securities Corporation unclassified | 1st Global Advisors Inc other | Other | Nov 23, 2004 | Nov 19, 2004 |
| Nick Anthony Torres | Mony Securities Corporation unclassified | 1st Global Advisors Inc other | Other | Nov 23, 2004 | Nov 23, 2004 |
| Chad Pierre Parmenter | Blue Vase Securities, LLC unclassified | 1st Global Advisors Inc other | Other | Nov 22, 2004 | Nov 23, 2004 |
| Jay Barrett Barclay | Equitable Advisors, LLC national BD | 1st Global Advisors Inc other | Other | Nov 15, 2004 | Nov 4, 2004 |
| Dawn Eisele Parks | Pruco Securities, LLC other | 1st Global Advisors Inc other | Other | Nov 9, 2004 | May 2, 2007 (904 d) |
| Keary Lee Foster | New England Securities Corporation other | 1st Global Advisors Inc other | Other | Nov 8, 2004 | Oct 28, 2004 |
| Charles Alexander Smith | Mony Securities Corporation unclassified | 1st Global Advisors Inc other | Other | Nov 5, 2004 | Nov 4, 2004 |
| Jeffrey Smith | Mony Securities Corporation unclassified | 1st Global Advisors Inc other | Other | Nov 5, 2004 | Nov 4, 2004 |
| Brian Eugene Martin | Osaic Fa, Inc. other | 1st Global Advisors Inc other | Other | Oct 14, 2004 | Oct 1, 2004 |
| Jill Helene Kasen | Mony Securities Corporation unclassified | 1st Global Advisors Inc other | Other | Oct 13, 2004 | Sep 24, 2004 |
| Vahick Aram Yedgarian | Mony Securities Corporation unclassified | 1st Global Advisors Inc other | Other | Oct 13, 2004 | Nov 3, 2004 |
| Richard E Yorke | Equitable Advisors, LLC national BD | 1st Global Advisors Inc other | Other | Jul 26, 2004 | Sep 14, 2005 (415 d) |
| Brent Anthony Kalka | Ws Griffith Securities, Inc. unclassified | 1st Global Advisors Inc other | Other | May 5, 2004 | Apr 30, 2004 |
| Jaime Paul Junker | National Planning Corporation ("Npc Of America" In Fl & Ny) other | 1st Global Advisors Inc other | Other | May 3, 2004 | Dec 16, 2013 (3514 d) |
| Alison Elizabeth Painter | William R. Hough & Co. unclassified | 1st Global Advisors Inc other | Other | Feb 27, 2004 | Jan 14, 2014 (3609 d) |
| David Adam Monheit | Mony Securities Corporation unclassified | 1st Global Advisors Inc other | Other | Feb 18, 2004 | Feb 10, 2004 |
| Bart Patrick Allard | Equitable Advisors, LLC national BD | 1st Global Advisors Inc other | Other | Jan 8, 2004 | Jan 2, 2004 |
| Kenneth Gordon Duncan | Charles Schwab & Co., Inc. national BD | 1st Global Advisors Inc other | Other | Dec 19, 2003 | Apr 2, 2008 (1566 d) |
| Brian Michael Oard | Gold Coast Securities, Inc. other | 1st Global Advisors Inc other | Other | Dec 16, 2003 | Dec 16, 2003 |
| Neal James Hebert | Wells Fargo Advisors wirehouse | 1st Global Advisors Inc other | Other | Oct 30, 2003 | Feb 14, 2005 (473 d) |
| Alex Gelb | UBS Financial Services Inc. wirehouse | 1st Global Advisors Inc other | Other | Oct 29, 2003 | Jun 23, 2008 (1699 d) |
| Tom Toshiyuki Teraoka | Avantax Advisory Services other | 1st Global Advisors Inc other | Other | Sep 22, 2003 | May 4, 2005 (590 d) |
| Timothy Francis Schroth | MML Investors Services, LLC other | 1st Global Advisors Inc other | Other | Sep 3, 2003 | Sep 17, 2003 |
| Tonya Gay Fulcher | Morgan Keegan & Company, LLC other | 1st Global Advisors Inc other | Other | Aug 27, 2003 | Sep 17, 2003 |
| Walter Corville Chown | Suntrust Investment Services, Inc. other | 1st Global Advisors Inc other | Other | Aug 4, 2003 | Sep 4, 2003 (31 d) |
| Kathryn Elaine Jabour | Financial West Group other | 1st Global Advisors Inc other | Other | Jul 25, 2003 | Jul 28, 2003 |
| Christopher Hunt Boynton | Fgfe, Inc. unclassified | 1st Global Advisors Inc other | Other | Jul 24, 2003 | Jul 26, 2003 |
| Steven Scott Wilson | Strategic Advisers LLC national BD | 1st Global Advisors Inc other | Other | Jun 9, 2003 | Feb 20, 2008 (1717 d) |
| Frank Thomas Sciuto | Creative Resources Investment Advisors LLC other | 1st Global Advisors Inc other | Other | May 28, 2003 | Jun 25, 2002 |
| Charles Stewart Cannon | Signator Investors, Inc. other | 1st Global Advisors Inc other | Other | Apr 14, 2003 | Mar 11, 2003 |
| William Vaughn Groves | Signator Investors, Inc. other | 1st Global Advisors Inc other | Other | Apr 14, 2003 | Mar 11, 2003 |
| Paul Allen Kraft | Sii Investments, Inc. other | 1st Global Advisors Inc other | Other | Mar 27, 2003 | Mar 20, 2003 |
| Thomas Meade Kampfmueller | LPL Financial LLC other | 1st Global Advisors Inc other | Other | Feb 12, 2003 | Feb 3, 2003 |
| Daniel Dean Ross | Avantax Advisory Services other | 1st Global Advisors Inc other | Other | Jan 28, 2003 | Jul 20, 2007 (1634 d) |
| Jeanette L Gruber | Cetera Investment Advisers LLC other | 1st Global Advisors Inc other | Other | Dec 31, 2002 | Jan 16, 2003 |
| Marsha Sue Rosenberg | Transamerica Financial Advisors, LLC other | 1st Global Advisors Inc other | Other | Nov 26, 2002 | Nov 22, 2002 |
| Roger Dale Brunk | Morgan Stanley Dw Inc. unclassified | 1st Global Advisors Inc other | Other | Nov 20, 2002 | Nov 18, 2002 |
| Carol Elaine Cheeks | Usaa Investment Services Company other | 1st Global Advisors Inc other | Other | Nov 13, 2002 | Apr 5, 2006 (1239 d) |
| Rial Robert Moulton | Woodbury Financial Services, Inc. other | 1st Global Advisors Inc other | Other | Nov 12, 2002 | Dec 4, 2002 |
| Andree Adelle Bidart Rose | National Planning Corporation ("Npc Of America" In Fl & Ny) other | 1st Global Advisors Inc other | Other | Oct 31, 2002 | Jan 9, 2003 (70 d) |
| Donald Joseph Moulton | Woodbury Financial Services, Inc. other | 1st Global Advisors Inc other | Other | Oct 30, 2002 | Nov 27, 2002 |
| Melanie Anne Radcliff | Ameriprise Financial Services, LLC national BD | 1st Global Advisors Inc other | Other | Aug 23, 2002 | Oct 1, 2002 (39 d) |