| Maeda Ann Webster | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | U.S. Bancorp Advisors, LLC other | Other | Nov 21, 2014 | Apr 20, 2015 (150 d) |
| Eatan Vijan | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | U.S. Bancorp Advisors, LLC other | Other | Oct 24, 2014 | Nov 24, 2014 (31 d) |
| Rex B Ramsey | Wells Fargo Advisors wirehouse | U.S. Bancorp Advisors, LLC other | Other | Oct 16, 2014 | Sep 3, 2015 (322 d) |
| Rhonda L Mills | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | U.S. Bancorp Advisors, LLC other | Other | Aug 30, 2014 | Sep 9, 2014 |
| Jasmine Alicea | Valic Financial Advisors, Inc. other | U.S. Bancorp Advisors, LLC other | Other | Aug 28, 2014 | Aug 27, 2014 |
| John Nathan Sinnema | RBC Securities, Inc. other | U.S. Bancorp Advisors, LLC other | Other | Aug 15, 2014 | Oct 9, 2014 (55 d) |
| Anthony Michael Calomeni | LPL Financial LLC other | U.S. Bancorp Advisors, LLC other | Other | Aug 7, 2014 | Aug 4, 2014 |
| Cassandra Vincent | Citigroup Global Markets Inc. other | U.S. Bancorp Advisors, LLC other | Other | Jul 18, 2014 | Jan 29, 2015 (195 d) |
| Eric Paul Abbe | Wells Fargo Advisors wirehouse | U.S. Bancorp Advisors, LLC other | Other | Jul 15, 2014 | Jul 16, 2014 |
| Mark Alan Gerardi | Raymond James Financial Services Advisors, Inc other | U.S. Bancorp Advisors, LLC other | Other | Feb 27, 2014 | Mar 7, 2014 |
| Neal Brian Wilson | National Planning Corporation ("Npc Of America" In Fl & Ny) other | U.S. Bancorp Advisors, LLC other | Other | Feb 18, 2014 | Feb 27, 2014 |
| Christopher B Bannon | Securian Financial Services, Inc. other | U.S. Bancorp Advisors, LLC other | Other | Feb 4, 2014 | Feb 4, 2014 |
| Michael Joshua Dahms | Raymond James Financial Services Advisors, Inc other | U.S. Bancorp Advisors, LLC BD affiliated | Other | Dec 31, 2013 | Nov 4, 2025 (4326 d) |
| Mark Raymond Palmer | Presidio Capital Advisors LLC other | U.S. Bancorp Advisors, LLC other | Other | Dec 10, 2013 | Jan 8, 2015 (394 d) |
| Waqas Ahmad Khan | Wells Fargo Advisors wirehouse | U.S. Bancorp Advisors, LLC other | Other | Nov 26, 2013 | Nov 18, 2013 |
| David Jay Ohanian | Comerica Securities other | U.S. Bancorp Advisors, LLC other | Other | Nov 6, 2013 | Dec 3, 2013 |
| Michael Allen Anderson | Citigroup Global Markets Inc. other | U.S. Bancorp Advisors, LLC other | Other | Nov 1, 2013 | Oct 29, 2013 |
| Terry L Thomason | U.S. Bancorp Investments, Inc. other | U.S. Bancorp Advisors, LLC other | Other | Oct 29, 2013 | Oct 30, 2013 |
| Boo Young Song | Cetera Investment Services LLC other | U.S. Bancorp Advisors, LLC other | Other | Oct 7, 2013 | Oct 24, 2013 |
| Michael Barrett Metzger | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | U.S. Bancorp Advisors, LLC other | Other | Oct 1, 2013 | Sep 30, 2013 |
| Robert Grant Forys | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | U.S. Bancorp Advisors, LLC other | Other | Sep 30, 2013 | Oct 31, 2013 (31 d) |
| Thomas Francis Bennett | Bancwest Investment Services, Inc. (Bwis) other | U.S. Bancorp Advisors, LLC other | Other | Sep 25, 2013 | May 21, 2014 (238 d) |
| Jennifer N Broemeling | Invest Financial Corporation other | U.S. Bancorp Advisors, LLC other | Other | Sep 3, 2013 | Sep 11, 2013 |
| Nicholas Justin Di Paolo | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | U.S. Bancorp Advisors, LLC other | Other | Aug 30, 2013 | Apr 21, 2014 (234 d) |
| Mark Anthony Migrino | Wells Fargo Advisors wirehouse | U.S. Bancorp Advisors, LLC other | Other | Aug 28, 2013 | Mar 17, 2014 (201 d) |
| Daniel Rayhim Babai | Morgan Stanley wirehouse | U.S. Bancorp Advisors, LLC other | Other | Aug 27, 2013 | Aug 6, 2013 |
| Minhlan Thi Nguyen | Ameriprise Financial Services, LLC national BD | U.S. Bancorp Advisors, LLC other | Other | Aug 13, 2013 | Aug 19, 2013 |
| Mitchell Marriott | U.S. Bancorp Investments, Inc. other | U.S. Bancorp Advisors, LLC other | Other | Aug 1, 2013 | Sep 13, 2013 (43 d) |
| Daniel Patrick Weeks | Wells Fargo Advisors wirehouse | U.S. Bancorp Advisors, LLC other | Other | Jul 22, 2013 | Mar 17, 2014 (238 d) |
| Sabrina Noelani-Ngiau Kranz | Morgan Stanley wirehouse | U.S. Bancorp Advisors, LLC other | Other | Jul 11, 2013 | Jul 1, 2013 |
| Daniel John Lind | Wells Fargo Advisors wirehouse | U.S. Bancorp Advisors, LLC other | Other | Jun 11, 2013 | Jun 25, 2013 |
| Besart Morina | Wells Fargo Advisors wirehouse | U.S. Bancorp Advisors, LLC other | Other | Apr 18, 2013 | Jul 17, 2014 (455 d) |
| Teuta Morina | Wells Fargo Advisors wirehouse | U.S. Bancorp Advisors, LLC other | Other | Apr 18, 2013 | Jul 17, 2014 (455 d) |
| Robin Doreen Martin | Cetera Investment Services LLC other | U.S. Bancorp Advisors, LLC other | Other | Mar 22, 2013 | May 7, 2013 (46 d) |
| Michael Quan Dao | Wells Fargo Advisors wirehouse | U.S. Bancorp Advisors, LLC other | Other | Mar 19, 2013 | Mar 22, 2013 |
| Craig Stephen Maytubby | Bancwest Investment Services, Inc. (Bwis) other | U.S. Bancorp Advisors, LLC other | Other | Feb 11, 2013 | Feb 19, 2013 |
| Betsy T Edmunson | Wells Fargo Advisors wirehouse | U.S. Bancorp Advisors, LLC other | Other | Jan 23, 2013 | May 7, 2013 (104 d) |
| Joseph Dane Addy | J.P. Morgan Securities LLC wirehouse | U.S. Bancorp Advisors, LLC other | Other | Jan 4, 2013 | Jan 10, 2013 |
| Andrew M. Nakagawa | Cetera Investment Services LLC other | U.S. Bancorp Advisors, LLC other | Other | Dec 20, 2012 | Mar 14, 2013 (84 d) |
| Deborah Lee-Kavousi | Comerica Securities other | U.S. Bancorp Advisors, LLC other | Other | Dec 18, 2012 | Apr 9, 2013 (112 d) |
| Vincent Glen Learned | Wells Fargo Advisors wirehouse | U.S. Bancorp Advisors, LLC other | Other | Nov 27, 2012 | Nov 18, 2013 (356 d) |
| Marina Adamson | Wells Fargo Advisors wirehouse | U.S. Bancorp Advisors, LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Nov 15, 2012 | May 11, 2026 (4925 d) |
| Roy Martinez | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | U.S. Bancorp Advisors, LLC other | Other | Nov 1, 2012 | Jan 24, 2013 (84 d) |
| Jason Patrick Liu | Chase Investment Services Corp. other | U.S. Bancorp Advisors, LLC other | Other | Sep 19, 2012 | Oct 19, 2012 |
| Daniel Santillan Cotamagana | Transamerica Financial Advisors, LLC other | U.S. Bancorp Advisors, LLC other | Other | Sep 18, 2012 | Oct 11, 2012 |
| Nicholas Curran Kolata | Edward Jones national BD | U.S. Bancorp Advisors, LLC other | Other | Sep 12, 2012 | May 8, 2014 (603 d) |
| Christel Djossinou | Wells Fargo Advisors wirehouse | U.S. Bancorp Advisors, LLC other | Other | Sep 5, 2012 | Nov 14, 2012 (70 d) |
| Sean K Heslin | Strategic Advisers LLC national BD | U.S. Bancorp Advisors, LLC other | Other | Sep 4, 2012 | Oct 9, 2012 (35 d) |
| Seana Chung | U.S. Bancorp Investments, Inc. other | U.S. Bancorp Advisors, LLC other | Other | Sep 4, 2012 | Sep 12, 2012 |
| Marilu Hernandez | Wells Fargo Advisors wirehouse | U.S. Bancorp Advisors, LLC other | Other | Aug 29, 2012 | Nov 26, 2012 (89 d) |
| Craig Evan Ward | Wells Fargo Advisors wirehouse | U.S. Bancorp Advisors, LLC other | Other | Aug 14, 2012 | Oct 4, 2012 (51 d) |
| Carine Krikorian | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | U.S. Bancorp Advisors, LLC other | Other | Aug 14, 2012 | Dec 13, 2012 (121 d) |
| Tasha Immacolata Mauss | Key Investment Services LLC other | U.S. Bancorp Advisors, LLC other | Other | Aug 8, 2012 | Aug 20, 2012 |
| Ralph Vallega Ganchero | Wells Fargo Advisors wirehouse | U.S. Bancorp Advisors, LLC other | Other | Aug 1, 2012 | Aug 2, 2012 |
| Hajime James Sakiyama | Citigroup Global Markets Inc. other | U.S. Bancorp Advisors, LLC other | Other | Jul 12, 2012 | Jul 20, 2012 |
| Michael O Solis | Citigroup Global Markets Inc. other | U.S. Bancorp Advisors, LLC other | Other | Jun 28, 2012 | Aug 8, 2012 (41 d) |
| Eugene Min Lee | Morgan Stanley wirehouse | U.S. Bancorp Advisors, LLC other | Other | Jun 6, 2012 | May 25, 2012 |
| Kristine Lee | Chase Investment Services Corp. other | U.S. Bancorp Advisors, LLC other | Other | Jun 5, 2012 | Jul 23, 2012 (48 d) |
| Brady Charles Boyd | Oneamerica Securities, Inc. other | U.S. Bancorp Advisors, LLC other | Other | May 17, 2012 | May 16, 2012 |
| Lara Jane Deutchman | LPL Financial LLC other | U.S. Bancorp Advisors, LLC other | Other | May 8, 2012 | May 18, 2012 |