| John M. Lynch | Equitable Advisors, LLC national BD | Questar Asset Management, Inc. other | Other | Jun 12, 2012 | Jun 5, 2012 |
| Paul Michael Schaefer | Securities America Advisors, Inc. other | Questar Asset Management, Inc. other | Other | May 9, 2012 | Jun 11, 2012 (33 d) |
| Ross L Wamsley | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Questar Asset Management, Inc. other | Other | Apr 19, 2012 | May 30, 2012 (41 d) |
| Thomas Yacovino | Wells Fargo Advisors wirehouse | Questar Asset Management, Inc. other | Other | Apr 11, 2012 | Aug 22, 2012 (133 d) |
| Daniel Joseph Mahle | Waddell & Reed other | Questar Asset Management, Inc. other | Other | Apr 5, 2012 | Apr 4, 2012 |
| James Michael Morris | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Questar Asset Management, Inc. other | Other | Apr 2, 2012 | May 31, 2012 (59 d) |
| Thomas Joseph Casey | Dominari Securities LLC other | Questar Asset Management, Inc. other | Other | Mar 19, 2012 | Mar 16, 2012 |
| Adam Patrick Liquori | Select Portfolio Management Inc other | Questar Asset Management, Inc. other | Other | Mar 1, 2012 | Feb 16, 2012 |
| Daniel Theodore Polster | Wedbush Securities Inc. other | Questar Asset Management, Inc. other | Other | Jan 26, 2012 | Jan 23, 2012 |
| Kent Alan Balch | Kent Balch Money Management, LLC unclassified | Questar Asset Management, Inc. other | Other | Jan 18, 2012 | Jan 25, 2012 |
| Donald Craig Rogers | Signator Financial Services, Inc. other | Questar Asset Management, Inc. other | Other | Dec 31, 2011 | May 15, 2013 (501 d) |
| Scott Allen Blincoe | Nationwide Securities, LLC no RAUM | Questar Asset Management, Inc. other | Other | Dec 31, 2011 | Jan 27, 2012 |
| Robert Willis Bruner | Woodbury Financial Services, Inc. other | Questar Asset Management, Inc. other | Other | Nov 17, 2011 | Nov 15, 2011 |
| George Herbert Zook | Woodbury Financial Services, Inc. other | Questar Asset Management, Inc. other | Other | Nov 17, 2011 | Nov 15, 2011 |
| Tillman Ralph Meetze | Voya Financial Advisors, Inc. other | Questar Asset Management, Inc. other | Other | Nov 11, 2011 | Dec 7, 2011 |
| Mark Christopher Scherba | MML Investors Services, LLC other | Questar Asset Management, Inc. other | Other | Nov 9, 2011 | Nov 22, 2011 |
| Laurel Michelle Packham | Woodbury Financial Services, Inc. other | Questar Asset Management, Inc. other | Other | Nov 8, 2011 | Dec 9, 2011 (31 d) |
| Kyle Kazumi Yanabu | Signator Investors, Inc. other | Questar Asset Management, Inc. other | Other | Nov 7, 2011 | Nov 15, 2011 |
| Michael James Bytnar | MML Investors Services, LLC other | Questar Asset Management, Inc. other | Other | Nov 2, 2011 | Oct 26, 2011 |
| David Christopher Jozefiak | Woodbury Financial Services, Inc. other | Questar Asset Management, Inc. other | Other | Oct 6, 2011 | Oct 26, 2011 |
| Harry James Mcgowan | Concourse Financial Group Advisors other | Questar Asset Management, Inc. other | Other | Sep 29, 2011 | Oct 6, 2011 |
| John William Manzella | LPL Financial LLC other | Questar Asset Management, Inc. other | Other | Sep 23, 2011 | Sep 9, 2011 |
| Gina Goree Mcwhorter | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Questar Asset Management, Inc. other | Other | Sep 16, 2011 | Sep 16, 2011 |
| Kenneth Lawrence Agee | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Questar Asset Management, Inc. other | Other | Sep 15, 2011 | Sep 14, 2011 |
| Michael John Brandone | Signator Financial Services, Inc. other | Questar Asset Management, Inc. other | Other | Aug 23, 2011 | Aug 22, 2011 |
| Terry Glenn Mebane | Osaic Fa, Inc. other | Questar Asset Management, Inc. other | Other | Aug 8, 2011 | Mar 14, 2013 (584 d) |
| Nakia Schwann Martin | Securities America Advisors, Inc. other | Questar Asset Management, Inc. other | Other | Jul 28, 2011 | Aug 22, 2011 |
| Edward Henry Rodriguez | Next Financial Group, Inc. other | Questar Asset Management, Inc. other | Other | Jul 20, 2011 | Jul 27, 2011 |
| Lawrence Alan Stack | Woodbury Financial Services, Inc. other | Questar Asset Management, Inc. other | Other | Jun 29, 2011 | Jun 17, 2011 |
| Richard Dambola | Workman Securities Corporation unclassified | Questar Asset Management, Inc. other | Other | Jun 22, 2011 | Jun 28, 2011 |
| Richard Herbert Nelson | Workman Securities Corporation unclassified | Questar Asset Management, Inc. other | Other | Jun 17, 2011 | Jun 17, 2011 |
| Reid Leonard Allen | Income Architects unclassified | Questar Asset Management, Inc. other | Other | Jun 7, 2011 | Feb 1, 2013 (605 d) |
| Kurt Lash | Concourse Financial Group Advisors other | Questar Asset Management, Inc. other | Other | May 24, 2011 | Jul 19, 2011 (56 d) |
| Charles B Hagel | Fsc Securities Corporation other | Questar Asset Management, Inc. other | Other | May 20, 2011 | Jun 30, 2011 (41 d) |
| Dwight Lamont Ferguson | Osaic Fs, Inc. other | Questar Asset Management, Inc. other | Other | May 18, 2011 | May 12, 2011 |
| Christopher Albert Szalay | Securian Financial Services, Inc. other | Questar Asset Management, Inc. other | Other | May 16, 2011 | May 23, 2011 |
| Shannon London Smith | Wells Fargo Advisors wirehouse | Questar Asset Management, Inc. other | Other | May 2, 2011 | May 11, 2011 |
| Kelly William Buda | Workman Securities Corporation unclassified | Questar Asset Management, Inc. other | Other | Apr 29, 2011 | Dec 20, 2013 (966 d) |
| Brian Paul Hanson | Barking Sands Capital state registered | Questar Asset Management, Inc. other | Other | Feb 14, 2011 | Jun 2, 2011 (108 d) |
| Donald Gregory Stonebarger | Securian Financial Services, Inc. other | Questar Asset Management, Inc. other | Other | Feb 1, 2011 | Mar 3, 2011 |
| Erica Leigh Dunbar | Integrity Alliance, LLC other | Questar Asset Management, Inc. other | Other | Feb 1, 2011 | Feb 2, 2011 |
| David Ta-Wai Yu | Financial Planning Associates,Inc. unclassified | Questar Asset Management, Inc. other | Other | Jan 11, 2011 | May 19, 2011 (128 d) |
| Laura Ann Pesek | Securian Financial Services, Inc. other | Questar Asset Management, Inc. other | Other | Jan 10, 2011 | Jan 5, 2011 |
| Gregory Wendell Quon | B Riley Wealth Management other | Questar Asset Management, Inc. other | Other | Dec 31, 2010 | Jan 10, 2011 |
| Eric Kurt Hite | Level Four Advisory Services other | Questar Asset Management, Inc. other | Other | Dec 31, 2010 | Apr 1, 2011 (91 d) |
| Susan Kay Jurica | Securian Financial Services, Inc. other | Questar Asset Management, Inc. other | Other | Oct 28, 2010 | Nov 3, 2010 |
| David Warren Tate | J P Turner & Company Capital Management, LLC other | Questar Asset Management, Inc. other | Other | Oct 12, 2010 | Oct 20, 2010 |
| Lowell Charles Crabb | J P Turner & Company Capital Management, LLC other | Questar Asset Management, Inc. other | Other | Oct 12, 2010 | Nov 8, 2010 |
| Stephen B Leitzell | LPL Financial LLC other | Questar Asset Management, Inc. other | Other | Oct 11, 2010 | Oct 26, 2010 |
| Robert Frederic Katz | Voya Financial Advisors, Inc. other | Questar Asset Management, Inc. other | Other | Oct 11, 2010 | Oct 5, 2010 |
| Christopher Scott Bourgeois | Securian Financial Services, Inc. other | Questar Asset Management, Inc. other | Other | Oct 1, 2010 | Mar 28, 2012 (544 d) |
| Diana K Nyman | Compass Financial Advisors LLC other | Questar Asset Management, Inc. other | Other | Sep 27, 2010 | Feb 7, 2005 |
| Karen Lea Pong | Securian Financial Services, Inc. other | Questar Asset Management, Inc. other | Other | Sep 2, 2010 | Sep 1, 2010 |
| Jim Bryan Pulley | Eagle Strategies LLC other | Questar Asset Management, Inc. other | Other | Aug 20, 2010 | Aug 27, 2010 |
| Jared Wade Merchant | New England Securities Corporation other | Questar Asset Management, Inc. other | Other | Aug 16, 2010 | Aug 3, 2010 |
| Todd Hayworth | Ameriprise Financial Services, LLC national BD | Questar Asset Management, Inc. other | Other | May 20, 2010 | May 8, 2012 (719 d) |
| Helen Lehmann Thornton | Securian Financial Services, Inc. other | Questar Asset Management, Inc. other | Other | May 10, 2010 | May 7, 2010 |
| Cynthia Gayle Barnett | Securian Financial Services, Inc. other | Questar Asset Management, Inc. other | Other | Apr 22, 2010 | Apr 21, 2010 |
| Deborah Waynell Andrews | Securian Financial Services, Inc. other | Questar Asset Management, Inc. other | Other | Mar 24, 2010 | Mar 19, 2010 |
| John Gerard Lauer | Compass Financial Advisors LLC other | Questar Asset Management, Inc. other | Other | Mar 16, 2010 | May 27, 2005 |