| Troy V Zerveskes | Mariner other | Msi Financial Services, Inc. other | Other | Apr 21, 2015 | Jan 2, 2015 |
| Rachel Marie Mccray | Edward Jones national BD | Msi Financial Services, Inc. other | Other | Apr 21, 2015 | Jun 2, 2015 (42 d) |
| Carol A Underwood | MML Investors Services, LLC other | Msi Financial Services, Inc. other | Other | Apr 15, 2015 | Apr 15, 2015 |
| Maria Magdalena Fessler | Wells Fargo Advisors wirehouse | Msi Financial Services, Inc. other | Other | Apr 7, 2015 | Jul 27, 2015 (111 d) |
| Sheri-Anne Natalia Danner | Wells Fargo Advisors wirehouse | Msi Financial Services, Inc. other | Other | Apr 7, 2015 | Apr 28, 2015 |
| Brian C Forseth | Independent Financial Partners other | Msi Financial Services, Inc. other | Other | Apr 6, 2015 | Apr 8, 2015 |
| Andrew Seymour Adil | Allstate Financial Advisors, LLC no RAUM | Msi Financial Services, Inc. other | Other | Apr 6, 2015 | Sep 30, 2015 (177 d) |
| Millard Philmore Coleman II | Valic Financial Advisors, Inc. other | Msi Financial Services, Inc. other | Other | Mar 26, 2015 | Mar 30, 2015 |
| Gabriel Davidoff | Hsbc Securities (USA) Inc. other | Msi Financial Services, Inc. other | Other | Mar 19, 2015 | Jun 15, 2015 (88 d) |
| Michael P Sexton | Northwestern Mutual Investment Services,LLC other | Msi Financial Services, Inc. other | Other | Mar 17, 2015 | Mar 16, 2015 |
| Saksoknik Sopheak | Wells Fargo Advisors wirehouse | Msi Financial Services, Inc. other | Other | Mar 11, 2015 | Sep 23, 2015 (196 d) |
| Michael Bayer | Park Avenue Securities LLC other | Msi Financial Services, Inc. other | Other | Mar 10, 2015 | Mar 6, 2015 |
| Daniel Wagner | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Msi Financial Services, Inc. other | Other | Mar 5, 2015 | Mar 2, 2015 |
| Gary Grigorian | Interactive Advisers, Interactive Advisors other | Msi Financial Services, Inc. other | Other | Mar 5, 2015 | Apr 15, 2015 (41 d) |
| Michael A Stein | Securian Financial Services, Inc. other | Msi Financial Services, Inc. other | Other | Mar 2, 2015 | Mar 9, 2015 |
| Bradly Germain Masek | U.S. Bancorp Investments, Inc. other | Msi Financial Services, Inc. other | Other | Feb 25, 2015 | Feb 20, 2015 |
| Brett Alan Garver | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Msi Financial Services, Inc. other | Other | Feb 24, 2015 | Feb 20, 2015 |
| Vincent Jude Saul | Morgan Stanley wirehouse | Msi Financial Services, Inc. other | Other | Feb 23, 2015 | Feb 6, 2015 |
| Jason Robert Odette | Teamwork Financial Advisors, LLC independent RIA | Msi Financial Services, Inc. other | Other | Feb 18, 2015 | Mar 4, 2015 |
| Kerri A Melley | Mariner other | Msi Financial Services, Inc. other | Other | Feb 18, 2015 | Jan 2, 2015 |
| Jeffre Scott Reininger | Mutual Of Omaha Investor Services, Inc. no RAUM | Msi Financial Services, Inc. other | Other | Feb 17, 2015 | Apr 23, 2015 (65 d) |
| Walter Richard May | Northwestern Mutual Investment Services,LLC other | Msi Financial Services, Inc. other | Other | Feb 12, 2015 | Feb 20, 2015 |
| Robert Samuel Berman | Northwestern Mutual Investment Services,LLC other | Msi Financial Services, Inc. other | Other | Feb 12, 2015 | Feb 13, 2015 |
| Marc J Bernstein | Newsquare Capital, LLC other | Msi Financial Services, Inc. other | Other | Feb 10, 2015 | Jul 20, 2012 |
| Stephen Wayne Strong | Ameriprise Financial Services, LLC national BD | Msi Financial Services, Inc. other | Other | Feb 10, 2015 | Feb 10, 2015 |
| Francis Frederico | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Msi Financial Services, Inc. other | Other | Feb 10, 2015 | Feb 6, 2015 |
| Logan Michelle Lupia | Wells Fargo Advisors wirehouse | Msi Financial Services, Inc. other | Other | Feb 9, 2015 | Mar 11, 2015 |
| Richard Warren Hart | Signator Investors, Inc. other | Msi Financial Services, Inc. other | Other | Feb 6, 2015 | Jun 17, 2015 (131 d) |
| Harris D Greene | Eagle Strategies LLC other | Msi Financial Services, Inc. other | Other | Feb 6, 2015 | May 26, 2015 (109 d) |
| Christopher Scott Mcilraith | Equitable Advisors, LLC national BD | Msi Financial Services, Inc. other | Other | Feb 6, 2015 | Jan 30, 2015 |
| Debra Lynn Wachter | Everence Trust Company other | Msi Financial Services, Inc. other | Other | Feb 4, 2015 | Feb 12, 2015 |
| Maryjo Morello | American Portfolios Advisors, Inc other | Msi Financial Services, Inc. other | Other | Jan 29, 2015 | Jan 26, 2015 |
| Deborah Wallace Anzelc | American Portfolios Advisors, Inc other | Msi Financial Services, Inc. other | Other | Jan 29, 2015 | Jan 30, 2015 |
| Andrew Dominick Roselli | Morgan Stanley wirehouse | Msi Financial Services, Inc. other | Other | Jan 28, 2015 | Jan 16, 2015 |
| Thomas George Bongiorno | United Planners' Financial Services Of America A Limited Partner other | Msi Financial Services, Inc. other | Other | Jan 27, 2015 | Mar 16, 2015 (48 d) |
| Michael Sean Kelsey | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Msi Financial Services, Inc. other | Other | Jan 27, 2015 | Feb 12, 2015 |
| Kimberly Myers-Turner | LPL Financial LLC other | Msi Financial Services, Inc. other | Other | Jan 23, 2015 | Jun 7, 2016 (501 d) |
| Jeffrey Charles Dorward | Midwest Professional Planners, Ltd. other | Msi Financial Services, Inc. other | Other | Jan 22, 2015 | Jan 6, 2015 |
| Jeffrey M Nelson | A.G.P / Alliance Global Partners other | Msi Financial Services, Inc. other | Other | Jan 21, 2015 | Sep 8, 2015 (230 d) |
| Heather Ogren Hale | Transamerica Financial Advisors, LLC other | Msi Financial Services, Inc. other | Other | Jan 20, 2015 | Jan 16, 2015 |
| Heidi Locastro | Advice And Planning Services other | Msi Financial Services, Inc. other | Other | Jan 15, 2015 | Apr 15, 2015 (90 d) |
| Kurt Schaefer | People'S Securities, Inc. other | Msi Financial Services, Inc. other | Other | Jan 9, 2015 | Jan 22, 2015 |
| Sung Gun Park | Equitable Advisors, LLC national BD | Msi Financial Services, Inc. other | Other | Jan 5, 2015 | Oct 17, 2014 |
| Daniel Scott Lengyel | New England Securities Corporation other | Msi Financial Services, Inc. other | Other | Dec 31, 2014 | Jun 19, 2014 |
| Damon Jerome Drew | Primerica Advisors national BD | Msi Financial Services, Inc. other | Other | Dec 31, 2014 | Apr 5, 2016 (461 d) |
| Keith D. Lewandoski | Gl Investment Services, LLC other | Msi Financial Services, Inc. other | Other | Dec 31, 2014 | Feb 1, 2016 (397 d) |
| Alan D Sanders | Edward Jones national BD | Msi Financial Services, Inc. other | Other | Dec 26, 2014 | Jan 13, 2015 |
| Andrea Lewis | Transamerica Financial Advisors, LLC other | Msi Financial Services, Inc. other | Other | Dec 22, 2014 | Apr 1, 2015 (100 d) |
| Edward Thomas Munoz | Park Avenue Securities LLC other | Msi Financial Services, Inc. other | Other | Dec 22, 2014 | Dec 10, 2014 |
| Tyler Lee Van Donge | Suntrust Investment Services, Inc. other | Msi Financial Services, Inc. other | Other | Dec 19, 2014 | Feb 2, 2015 (45 d) |
| Edward Alferoff | Equitable Advisors, LLC national BD | Msi Financial Services, Inc. other | Other | Dec 17, 2014 | Dec 10, 2014 |
| Alexander Tomei Jr | Equitable Advisors, LLC national BD | Msi Financial Services, Inc. other | Other | Dec 16, 2014 | Dec 16, 2014 |
| Burak Alpaslan | Equitable Advisors, LLC national BD | Msi Financial Services, Inc. other | Other | Dec 16, 2014 | Dec 10, 2014 |
| David Michael Medick | Ameriprise Financial Services, LLC national BD | Msi Financial Services, Inc. other | Other | Dec 12, 2014 | Dec 12, 2014 |
| Ilyas Akbar | Equitable Advisors, LLC national BD | Msi Financial Services, Inc. other | Other | Dec 12, 2014 | Dec 10, 2014 |
| Stephen Brian Levy | New England Securities Corporation other | Msi Financial Services, Inc. other | Other | Dec 11, 2014 | Dec 4, 2009 |
| Dmitriy Konnov | Hsbc Securities (USA) Inc. other | Msi Financial Services, Inc. other | Other | Dec 11, 2014 | Feb 13, 2015 (64 d) |
| Gregory David Vasher | Regal Investment Advisors LLC other | Msi Financial Services, Inc. other | Other | Dec 1, 2014 | Dec 16, 2014 |
| Daniel Fahringer | Invest Financial Corporation other | Msi Financial Services, Inc. other | Other | Nov 28, 2014 | Jan 15, 2015 (48 d) |
| Robert A Smith | Securian Financial Services, Inc. other | Msi Financial Services, Inc. other | Other | Nov 24, 2014 | Nov 21, 2014 |