| Brian Kenneth Bruggeman | Wells Fargo Investments, LLC unclassified | Cetera Investment Services LLC other | Other | Oct 20, 2009 | Aug 12, 2013 (1392 d) |
| Donald Richard Abaunza | Morgan Keegan & Company, LLC other | Cetera Investment Services LLC other | Other | Sep 28, 2009 | Sep 28, 2009 |
| John M Welsh | Wells Fargo Advisors wirehouse | Cetera Investment Services LLC other | Other | Sep 24, 2009 | Oct 1, 2009 |
| Lucia Partipilo | Vision Asset Management Inc unclassified | Cetera Investment Services LLC other | Other | Sep 3, 2009 | Dec 6, 2011 (824 d) |
| Stefanie Ann Scarp | Vision Asset Management Inc unclassified | Cetera Investment Services LLC other | Other | Sep 3, 2009 | Dec 6, 2011 (824 d) |
| Kevin Robert Osborn | Vision Asset Management Inc unclassified | Cetera Investment Services LLC other | Other | Sep 3, 2009 | Jan 3, 2013 (1218 d) |
| Marion John Charicki | Vision Asset Management Inc unclassified | Cetera Investment Services LLC other | Other | Sep 3, 2009 | Dec 6, 2011 (824 d) |
| Kerry Irene Bleuher | Vision Asset Management Inc unclassified | Cetera Investment Services LLC other | Other | Sep 3, 2009 | Nov 20, 2012 (1174 d) |
| Michael Alexander Goldenberg | Vision Asset Management Inc unclassified | Cetera Investment Services LLC other | Other | Sep 3, 2009 | Dec 6, 2011 (824 d) |
| Aaron J Rigdon | Edward Jones national BD | Cetera Investment Services LLC other | Other | Aug 4, 2009 | Oct 27, 2009 (84 d) |
| Dave Allan Reed | Edward Jones national BD | Cetera Investment Services LLC other | Other | Jul 28, 2009 | Aug 7, 2009 |
| Shaun Eck | Morgan Stanley wirehouse | Cetera Investment Services LLC other | Other | Jul 27, 2009 | Aug 3, 2009 |
| Tracey Lynn Sudo | Banc Of America Investment Services, Inc. unclassified | Cetera Investment Services LLC other | Other | Jun 22, 2009 | Jun 30, 2009 |
| Elizabeth S Kramer | Wells Fargo Advisors wirehouse | Cetera Investment Services LLC other | Other | Jun 16, 2009 | May 17, 2010 (335 d) |
| Suzanne Annette Lake | Waddell & Reed other | Cetera Investment Services LLC other | Other | May 28, 2009 | May 22, 2009 |
| Thomas Eugene Smith | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Cetera Investment Services LLC other | Other | May 12, 2009 | May 19, 2009 |
| Darrin Michael Bradley | LPL Financial LLC other | Cetera Investment Services LLC other | Other | May 8, 2009 | Sep 14, 2009 (129 d) |
| Neil Christopher Zellick | Banc Of America Investment Services, Inc. unclassified | Cetera Investment Services LLC other | Other | Apr 28, 2009 | Jan 5, 2010 (252 d) |
| Bradley Alan Bowman | Banc Of America Investment Services, Inc. unclassified | Cetera Investment Services LLC other | Other | Apr 27, 2009 | Apr 24, 2009 |
| David Lawrence Tuyo | LPL Financial LLC other | Cetera Investment Services LLC other | Other | Apr 27, 2009 | Oct 7, 2009 (163 d) |
| Richard Paul Eisner | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Cetera Investment Services LLC other | Other | Apr 20, 2009 | Apr 20, 2009 |
| Kevin Richard Mcintosh | Russell Investments other | Cetera Investment Services LLC other | Other | Apr 20, 2009 | Jun 23, 2009 (64 d) |
| Andrew D Winaker | Banc Of America Investment Services, Inc. unclassified | Cetera Investment Services LLC other | Other | Apr 3, 2009 | Apr 17, 2009 |
| Jeffrey Mark Detwiler | Wells Fargo Advisors wirehouse | Cetera Investment Services LLC other | Other | Mar 17, 2009 | Mar 17, 2009 |
| Nathan Michael Lee | Wells Fargo Advisors wirehouse | Cetera Investment Services LLC other | Other | Mar 17, 2009 | Mar 26, 2009 |
| Randy Paul Kinchen | LPL Financial LLC other | Cetera Investment Services LLC other | Other | Mar 11, 2009 | Feb 13, 2009 |
| Robert P Coletta | LPL Financial LLC other | Cetera Investment Services LLC other | Other | Mar 11, 2009 | Feb 13, 2009 |
| Graham Garrett Hemelt | LPL Financial LLC other | Cetera Investment Services LLC other | Other | Mar 11, 2009 | Feb 13, 2009 |
| Joseph Hsioh-Tsuei Lee | Ucb Asset Management, Inc. unclassified | Cetera Investment Services LLC other | Other | Mar 4, 2009 | Jan 14, 2011 (681 d) |
| Andrew Karstad Henrickson | Citigroup Global Markets Inc. other | Cetera Investment Services LLC other | Other | Feb 17, 2009 | Feb 2, 2009 |
| Andreas Hess | Wells Fargo Advisors wirehouse | Cetera Investment Services LLC other | Other | Feb 10, 2009 | Feb 19, 2009 |
| Christopher Michael Ingemie | Morgan Stanley & Co. LLC unclassified | Cetera Investment Services LLC other | Other | Jan 27, 2009 | Feb 13, 2009 |
| Gregg Benjamin Reich | UBS Financial Services Inc. wirehouse | Cetera Investment Services LLC other | Other | Dec 26, 2008 | Dec 16, 2008 |
| Joseph Michael Melenick | Cetera Advisor Networks LLC other | Cetera Investment Services LLC other | Other | Dec 18, 2008 | Dec 12, 2008 |
| Thomas Russell Burbank | Valic Financial Advisors, Inc. other | Cetera Investment Services LLC other | Other | Dec 17, 2008 | Dec 17, 2008 |
| Mary B Haverly | Citigroup Global Markets Inc. other | Cetera Investment Services LLC other | Other | Dec 16, 2008 | Oct 27, 2009 (315 d) |
| Debra Lee Powell | Ameriprise Financial Services, LLC national BD | Cetera Investment Services LLC other | Other | Dec 5, 2008 | Jun 18, 2010 (560 d) |
| Douglas John Packard | MML Investors Services, LLC other | Cetera Investment Services LLC other | Other | Nov 25, 2008 | Dec 15, 2008 |
| Kevin Gregory Olson | Ameriprise Financial Services, LLC national BD | Cetera Investment Services LLC other | Other | Nov 14, 2008 | Nov 14, 2008 |
| Fu Lin | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Cetera Investment Services LLC other | Other | Oct 31, 2008 | Mar 3, 2009 (123 d) |
| Christopher James Shoemaker | Morgan Stanley Investment Advisors Inc. unclassified | Cetera Investment Services LLC other | Other | Oct 24, 2008 | Nov 5, 2008 |
| Tyler Chai Chapmon | Ameriprise Financial Services, LLC national BD | Cetera Investment Services LLC other | Other | Oct 3, 2008 | Oct 20, 2008 |
| Brian Keith Morton | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Cetera Investment Services LLC other | Other | Oct 2, 2008 | Oct 1, 2008 |
| Christopher Andrew Birkenbeul | Nrp Advisors, Inc. unclassified | Cetera Investment Services LLC other | Other | Sep 18, 2008 | Jun 2, 2010 (622 d) |
| Donald Joseph Connick | RBC Capital Markets, LLC national BD | Cetera Investment Services LLC other | Other | Sep 11, 2008 | Sep 8, 2008 |
| Kathleen M White | UBS Financial Services Inc. wirehouse | Cetera Investment Services LLC other | Other | Sep 8, 2008 | May 15, 2009 (249 d) |
| Thomas Decourcy | Banc Of America Investment Services, Inc. unclassified | Cetera Investment Services LLC other | Other | Aug 26, 2008 | Sep 15, 2008 |
| Timothy Howard Owings | Ameriprise Financial Services, LLC national BD | Cetera Investment Services LLC other | Other | Aug 18, 2008 | Apr 14, 2008 |
| Kevin Charles Cole | Raymond James Financial Services, Inc. unclassified | Cetera Investment Services LLC other | Other | Aug 12, 2008 | Aug 11, 2008 |
| Mark Lloyd Davis | Natcity Investments, Inc. unclassified | Cetera Investment Services LLC other | Other | Jul 31, 2008 | Aug 25, 2009 (390 d) |
| Amy Jo Shelby | Arvest Wealth Management other | Cetera Investment Services LLC other | Other | Jul 10, 2008 | Jul 25, 2008 |
| Philip Ransom Depriest | Raymond James Financial Services, Inc. unclassified | Cetera Investment Services LLC other | Other | Jul 7, 2008 | Dec 6, 2011 (1247 d) |
| Gerald Dennis Fahey | Osaic Institutions, Inc. other | Cetera Investment Services LLC other | Other | Jul 3, 2008 | Jan 2, 2009 (183 d) |
| Denisse Ximena O'Donnell | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Cetera Investment Services LLC other | Other | Jun 27, 2008 | Jul 11, 2008 |
| Michael Lien Liang | Ameriprise Financial Services, LLC national BD | Cetera Investment Services LLC other | Other | Jun 16, 2008 | Jun 13, 2008 |
| Jason J Belyea | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Cetera Investment Services LLC other | Other | Jun 11, 2008 | Jun 11, 2008 |
| Douglas Dale Gilbert | Mariner Wealth Advisors other | Cetera Investment Services LLC other | Other | Jun 4, 2008 | Jul 25, 2008 (51 d) |
| Christopher John Hanson | Principal Securities, Inc. other | Cetera Investment Services LLC other | Other | Jun 2, 2008 | Jun 3, 2008 |
| Jonathan Del Herz | Principal Securities, Inc. other | Cetera Investment Services LLC other | Other | Jun 2, 2008 | Jun 3, 2008 |
| John Joseph Tekavec | Wells Fargo Advisors wirehouse | Cetera Investment Services LLC other | Other | May 12, 2008 | May 19, 2008 |