| Zackary Brian Vaughn | Wells Fargo Advisors wirehouse | Benjamin F. Edwards & Company, Incorporated other | Other | Mar 7, 2017 | Mar 6, 2017 |
| Cansada Marie Coleman | Waddell & Reed other | Benjamin F. Edwards & Company, Incorporated other | Other | Feb 28, 2017 | Feb 27, 2017 |
| Theresa Carol Clemmons | Wells Fargo Advisors wirehouse | Benjamin F. Edwards & Company, Incorporated other | Other | Jan 30, 2017 | Jan 27, 2017 |
| Greg Alan Thornton | Wells Fargo Advisors wirehouse | Benjamin F. Edwards & Company, Incorporated other | Other | Jan 30, 2017 | Jan 27, 2017 |
| Nancy Ann Parsons | Wells Fargo Advisors wirehouse | Benjamin F. Edwards & Company, Incorporated other | Other | Jan 23, 2017 | Jan 20, 2017 |
| William Robert Parrilli | Wells Fargo Advisors wirehouse | Benjamin F. Edwards & Company, Incorporated other | Other | Dec 19, 2016 | Dec 16, 2016 |
| Lisa Ann Hock | Umb Financial Services, Inc. other | Benjamin F. Edwards & Company, Incorporated other | Other | Nov 3, 2016 | Nov 7, 2016 |
| James Peter Duralia | Wells Fargo Advisors wirehouse | Benjamin F. Edwards & Company, Incorporated other | Other | Oct 31, 2016 | Nov 1, 2016 |
| Mavis Ann Lehr | Wells Fargo Advisors wirehouse | Benjamin F. Edwards & Company, Incorporated other | Other | Oct 26, 2016 | Oct 21, 2016 |
| Richard S Danielson | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Benjamin F. Edwards & Company, Incorporated other | Other | Oct 17, 2016 | Oct 14, 2016 |
| Douglas C Tate | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Benjamin F. Edwards & Company, Incorporated other | Other | Oct 17, 2016 | Oct 14, 2016 |
| William Arthur Kearney | Wedbush Securities Inc. other | Benjamin F. Edwards & Company, Incorporated other | Other | Oct 14, 2016 | Oct 13, 2016 |
| Lois Evelyn Parker | Wedbush Securities Inc. other | Benjamin F. Edwards & Company, Incorporated other | Other | Oct 14, 2016 | Oct 13, 2016 |
| Gregory Zini | Wedbush Securities Inc. other | Benjamin F. Edwards & Company, Incorporated other | Other | Oct 14, 2016 | Oct 13, 2016 |
| Henry Lamb Richter | Morgan Stanley wirehouse | Benjamin F. Edwards & Company, Incorporated other | Other | Sep 30, 2016 | Jun 13, 2017 (256 d) |
| Nicole A Avery-Young | Morgan Stanley wirehouse | Benjamin F. Edwards & Company, Incorporated other | Other | Sep 16, 2016 | Mar 13, 2017 (178 d) |
| Cynthia J Lewis | Stephens other | Benjamin F. Edwards & Company, Incorporated other | Other | Sep 15, 2016 | Sep 9, 2016 |
| Brian Todd Erwin | Stephens other | Benjamin F. Edwards & Company, Incorporated other | Other | Sep 15, 2016 | Sep 9, 2016 |
| Christopher Daniel Larrabee | Stifel, Nicolaus & Company, Incorporated national BD | Benjamin F. Edwards & Company, Incorporated other | Other | Aug 18, 2016 | Jul 29, 2016 |
| Curtis Blake Loveday | Morgan Stanley wirehouse | Benjamin F. Edwards & Company, Incorporated other | Other | Aug 11, 2016 | Jul 20, 2016 |
| Allen Cecil Rogers | Wells Fargo Advisors wirehouse | Benjamin F. Edwards & Company, Incorporated other | Other | Jul 6, 2016 | Aug 1, 2016 |
| Gregory Arndt Hicks | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Benjamin F. Edwards & Company, Incorporated other | Other | May 23, 2016 | May 31, 2016 |
| Marc Leonard Breuer | Morgan Stanley wirehouse | Benjamin F. Edwards & Company, Incorporated other | Other | May 10, 2016 | Apr 25, 2016 |
| Frederic Kirby Newburger | Raymond James Financial Services Advisors, Inc other | Benjamin F. Edwards & Company, Incorporated other | Other | Apr 25, 2016 | Apr 22, 2016 |
| Mary Lauerman Schulte | Morgan Stanley wirehouse | Benjamin F. Edwards & Company, Incorporated other | Other | Feb 22, 2016 | Feb 12, 2016 |
| Thomas J Cleland | Morgan Stanley wirehouse | Benjamin F. Edwards & Company, Incorporated other | Other | Feb 22, 2016 | Feb 12, 2016 |
| J Randolph Sidio | Morgan Stanley wirehouse | Benjamin F. Edwards & Company, Incorporated other | Other | Feb 22, 2016 | Feb 12, 2016 |
| Angela Wolfe | Edward Jones national BD | Benjamin F. Edwards & Company, Incorporated other | Other | Feb 17, 2016 | Feb 12, 2016 |
| Percy Hallam Kaigler | Wells Fargo Advisors wirehouse | Benjamin F. Edwards & Company, Incorporated other | Other | Feb 17, 2016 | Feb 12, 2016 |
| Bridget Ladner Weatherly | Wells Fargo Advisors wirehouse | Benjamin F. Edwards & Company, Incorporated other | Other | Feb 17, 2016 | Mar 14, 2016 |
| William Patrick Ferry | Oppenheimer & Co. Inc. other | Benjamin F. Edwards & Company, Incorporated other | Other | Feb 12, 2016 | Feb 11, 2016 |
| Maurice Mathy | Morgan Stanley wirehouse | Benjamin F. Edwards & Company, Incorporated other | Other | Feb 3, 2016 | Jan 29, 2016 |
| Steven Randall Potter | Stifel, Nicolaus & Company, Incorporated national BD | Benjamin F. Edwards & Company, Incorporated other | Other | Jan 7, 2016 | Feb 17, 2016 (41 d) |
| Clay P Cook | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Benjamin F. Edwards & Company, Incorporated other | Other | Nov 17, 2015 | Dec 3, 2015 |
| Katelyn Clare Stevens | Edward Jones national BD | Benjamin F. Edwards & Company, Incorporated other | Other | Oct 27, 2015 | Nov 3, 2015 |
| Michele Jo Stuban-Peters | Wells Fargo Advisors wirehouse | Benjamin F. Edwards & Company, Incorporated other | Other | Oct 21, 2015 | Oct 16, 2015 |
| James Horsley Smith | Wells Fargo Advisors wirehouse | Benjamin F. Edwards & Company, Incorporated other | Other | Oct 21, 2015 | Oct 16, 2015 |
| Marsha Himes Mayben | Wells Fargo Advisors wirehouse | Benjamin F. Edwards & Company, Incorporated other | Other | Oct 21, 2015 | Oct 22, 2015 |
| Michael Scott Wood | Wells Fargo Advisors wirehouse | Benjamin F. Edwards & Company, Incorporated other | Other | Oct 21, 2015 | Oct 16, 2015 |
| Howell Gilmore Taylor | Wells Fargo Advisors wirehouse | Benjamin F. Edwards & Company, Incorporated other | Other | Oct 15, 2015 | Nov 17, 2015 (33 d) |
| Todd William Brunner | Edward Jones national BD | Benjamin F. Edwards & Company, Incorporated other | Other | Sep 14, 2015 | Sep 11, 2015 |
| Jamie Leigh Brunner | Edward Jones national BD | Benjamin F. Edwards & Company, Incorporated other | Other | Sep 14, 2015 | Sep 11, 2015 |
| Anthony John Miceli | Wells Fargo Advisors wirehouse | Benjamin F. Edwards & Company, Incorporated other | Other | Aug 19, 2015 | Aug 14, 2015 |
| Charles E. Porter | Wells Fargo Advisors wirehouse | Benjamin F. Edwards & Company, Incorporated other | Other | Aug 19, 2015 | Aug 14, 2015 |
| Peter Allen Borho | Raymond James & Associates, Inc. national BD | Benjamin F. Edwards & Company, Incorporated other | Other | Jul 22, 2015 | Aug 3, 2015 |
| Timothy Lance Oman | Wells Fargo Advisors wirehouse | Benjamin F. Edwards & Company, Incorporated other | Other | Jun 16, 2015 | May 29, 2015 |
| Robert Jay Kahne | Morgan Stanley wirehouse | Benjamin F. Edwards & Company, Incorporated other | Other | Apr 30, 2015 | Apr 24, 2015 |
| Patricia Anne Maxwell | Morgan Stanley wirehouse | Benjamin F. Edwards & Company, Incorporated other | Other | Apr 30, 2015 | Apr 24, 2015 |
| Arthur Clifford Laine | Morgan Stanley wirehouse | Benjamin F. Edwards & Company, Incorporated other | Other | Apr 27, 2015 | Apr 17, 2015 |
| Justin Andrew Souma | LPL Financial LLC other | Benjamin F. Edwards & Company, Incorporated other | Other | Mar 23, 2015 | Mar 16, 2015 |
| Rachel Lynn Urban | Wells Fargo Advisors wirehouse | Benjamin F. Edwards & Company, Incorporated other | Other | Feb 24, 2015 | Mar 2, 2015 |
| Christopher Stephen Mcnew | Wells Fargo Advisors wirehouse | Benjamin F. Edwards & Company, Incorporated other | Other | Feb 3, 2015 | Jan 16, 2015 |
| Richard Joseph Milliard | Wells Fargo Advisors wirehouse | Benjamin F. Edwards & Company, Incorporated other | Other | Jan 20, 2015 | Feb 9, 2015 |
| Debra Lynne Goodwin | Wells Fargo Advisors wirehouse | Benjamin F. Edwards & Company, Incorporated other | Other | Jan 2, 2015 | Jan 5, 2015 |
| Charles Randall Raney | Wells Fargo Advisors wirehouse | Benjamin F. Edwards & Company, Incorporated other | Other | Oct 28, 2014 | Oct 24, 2014 |
| Debra Taylor Targett | Wells Fargo Advisors wirehouse | Benjamin F. Edwards & Company, Incorporated other | Other | Oct 1, 2014 | Sep 29, 2014 |
| Steven Mark Brill | Wells Fargo Advisors wirehouse | Benjamin F. Edwards & Company, Incorporated other | Other | Sep 29, 2014 | Sep 29, 2014 |
| Trent Robert Rosenbloom | Wells Fargo Advisors wirehouse | Benjamin F. Edwards & Company, Incorporated other | Other | Aug 25, 2014 | Aug 22, 2014 |
| John Hamilton Weir | Wells Fargo Advisors wirehouse | Benjamin F. Edwards & Company, Incorporated other | Other | Jul 14, 2014 | Jul 15, 2014 |
| Joshua William Willard | Wells Fargo Advisors wirehouse | Benjamin F. Edwards & Company, Incorporated other | Other | Jul 14, 2014 | Jul 11, 2014 |