| Jennifer Lynn Pritchett | Charles Schwab & Co., Inc. national BD | Bancwest Investment Services, Inc. (Bwis) other | Other | Dec 18, 2014 | Feb 3, 2015 (47 d) |
| Nichole Dove Jansen | Msi Financial Services, Inc. other | Bancwest Investment Services, Inc. (Bwis) other | Other | Dec 12, 2014 | Dec 8, 2014 |
| Michael Wayne Wagner | Wells Fargo Advisors wirehouse | Bancwest Investment Services, Inc. (Bwis) other | Other | Dec 10, 2014 | Dec 17, 2014 |
| Jason Matthew Lazarow | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Bancwest Investment Services, Inc. (Bwis) other | Other | Dec 1, 2014 | Dec 17, 2014 |
| Barclay Kung | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Bancwest Investment Services, Inc. (Bwis) other | Other | Nov 28, 2014 | Dec 2, 2014 |
| Robert Bender | Waddell & Reed other | Bancwest Investment Services, Inc. (Bwis) other | Other | Nov 24, 2014 | Nov 18, 2014 |
| Brad Michael Maurer | Grant Williams L.P. unclassified | Bancwest Investment Services, Inc. (Bwis) other | Other | Nov 12, 2014 | Aug 3, 2015 (264 d) |
| Tiffany Ann Gunsorek | Citigroup Global Markets Inc. other | Bancwest Investment Services, Inc. (Bwis) other | Other | Nov 6, 2014 | Nov 18, 2014 |
| Guneet Kaur Bains-Ajmani | U.S. Bancorp Advisors, LLC other | Bancwest Investment Services, Inc. (Bwis) other | Other | Oct 15, 2014 | Feb 3, 2015 (111 d) |
| Valerie Nguyen Tu | Citigroup Global Markets Inc. other | Bancwest Investment Services, Inc. (Bwis) other | Other | Oct 2, 2014 | Oct 16, 2014 |
| Thomas James Alderson | Charles Schwab & Co., Inc. national BD | Bancwest Investment Services, Inc. (Bwis) other | Other | Aug 27, 2014 | Oct 9, 2014 (43 d) |
| Alfred Escamilla | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Bancwest Investment Services, Inc. (Bwis) other | Other | Aug 20, 2014 | Jul 21, 2015 (335 d) |
| Alex Patner Lukoff | Allstate Financial Advisors, LLC no RAUM | Bancwest Investment Services, Inc. (Bwis) other | Other | Aug 8, 2014 | Aug 1, 2014 |
| James Bryan Pearson | Bok Financial Advisors other | Bancwest Investment Services, Inc. (Bwis) other | Other | Aug 7, 2014 | Aug 18, 2014 |
| Virgil James Salsman | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Bancwest Investment Services, Inc. (Bwis) BD affiliated | Wirehouse to affiliated broker-dealer or bank | Aug 4, 2014 | Apr 20, 2018 (1355 d) |
| Catherine Grace Nakamura | Wealthbridge, Inc. unclassified | Bancwest Investment Services, Inc. (Bwis) other | Other | Aug 1, 2014 | Jul 31, 2014 |
| Larry Dale Ellis | Edward Jones national BD | Bancwest Investment Services, Inc. (Bwis) other | Other | Jul 30, 2014 | Jul 31, 2014 |
| Jonathan James Derra | Securities America Advisors, Inc. other | Bancwest Investment Services, Inc. (Bwis) other | Other | Jul 9, 2014 | Jul 14, 2014 |
| Todd Robert Hobson | Wells Fargo Advisors wirehouse | Bancwest Investment Services, Inc. (Bwis) other | Other | Jul 8, 2014 | Jul 8, 2014 |
| Ronny Inniger | Advice And Planning Services other | Bancwest Investment Services, Inc. (Bwis) other | Other | Jun 26, 2014 | Jul 21, 2014 |
| Ian Robert Yarberry | T. Rowe Price Advisory Services, Inc. no RAUM | Bancwest Investment Services, Inc. (Bwis) other | Other | Jun 16, 2014 | Jan 9, 2015 (207 d) |
| Michael Arden Mccoy | Valic Financial Advisors, Inc. other | Bancwest Investment Services, Inc. (Bwis) other | Other | Jun 12, 2014 | Jun 3, 2014 |
| James Michael Murphy | Wells Fargo Advisors wirehouse | Bancwest Investment Services, Inc. (Bwis) other | Other | Jun 5, 2014 | May 12, 2015 (341 d) |
| Jay Frederick Haffley | Sii Investments, Inc. other | Bancwest Investment Services, Inc. (Bwis) other | Other | Jun 3, 2014 | Aug 6, 2014 (64 d) |
| Jesus Alberto Soto | Waddell & Reed other | Bancwest Investment Services, Inc. (Bwis) other | Other | May 30, 2014 | May 28, 2014 |
| Negin Banaei | Hsbc Securities (USA) Inc. other | Bancwest Investment Services, Inc. (Bwis) other | Other | May 29, 2014 | Aug 27, 2014 (90 d) |
| Thomas Francis Kennedy | Pnc Managed Account Solutions, Inc. other | Bancwest Investment Services, Inc. (Bwis) other | Other | May 13, 2014 | Jun 3, 2014 |
| Shelly Lynne Schell | Capital Investment Counsel Inc other | Bancwest Investment Services, Inc. (Bwis) other | Other | May 13, 2014 | Jul 5, 2011 |
| Peter Shu | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Bancwest Investment Services, Inc. (Bwis) other | Other | May 6, 2014 | Aug 15, 2014 (101 d) |
| Leslie A Ashton | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Bancwest Investment Services, Inc. (Bwis) other | Other | Apr 2, 2014 | Sep 17, 2014 (168 d) |
| Tasha Gartner Allard | Investment Centers Of America, Inc. other | Bancwest Investment Services, Inc. (Bwis) other | Other | Apr 1, 2014 | Apr 7, 2014 |
| Ross Blount | Edward Jones national BD | Bancwest Investment Services, Inc. (Bwis) other | Other | Mar 25, 2014 | May 27, 2014 (63 d) |
| John Cleary | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Bancwest Investment Services, Inc. (Bwis) other | Other | Mar 24, 2014 | Jun 5, 2014 (73 d) |
| Alexey Bulankov | Mccarthy Asset Management, Inc. other | Bancwest Investment Services, Inc. (Bwis) other | Other | Feb 14, 2014 | Feb 4, 2014 |
| William Scott Freedman | U.S. Bancorp Advisors, LLC other | Bancwest Investment Services, Inc. (Bwis) other | Other | Feb 11, 2014 | Feb 14, 2014 |
| Samineh Najafi Shaeghi | Strategic Advisers LLC national BD | Bancwest Investment Services, Inc. (Bwis) other | Other | Feb 11, 2014 | Feb 19, 2014 |
| Herbert Roldan Flores | U.S. Bancorp Advisors, LLC other | Bancwest Investment Services, Inc. (Bwis) other | Other | Feb 5, 2014 | Feb 13, 2014 |
| Karen Lee Looper | Wells Fargo Advisors wirehouse | Bancwest Investment Services, Inc. (Bwis) other | Other | Feb 4, 2014 | Feb 10, 2014 |
| Mark Allen Jagow | First Allied Advisory Services, Inc. other | Bancwest Investment Services, Inc. (Bwis) other | Other | Jan 15, 2014 | Jan 16, 2014 |
| David C Cheng | Wells Fargo Advisors wirehouse | Bancwest Investment Services, Inc. (Bwis) other | Other | Jan 14, 2014 | Jan 13, 2014 |
| David Ta-Wei Lee | Morgan Stanley wirehouse | Bancwest Investment Services, Inc. (Bwis) other | Other | Jan 13, 2014 | Jul 10, 2014 (178 d) |
| Vera Jalilla Feldbusch | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Bancwest Investment Services, Inc. (Bwis) other | Other | Jan 10, 2014 | Jan 22, 2014 |
| Darrin Andrew Chow | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Bancwest Investment Services, Inc. (Bwis) other | Other | Dec 10, 2013 | Dec 9, 2013 |
| Troy Wayne Bender | Integrity Alliance, LLC other | Bancwest Investment Services, Inc. (Bwis) other | Other | Dec 9, 2013 | Dec 6, 2013 |
| Donella R Winkler | Schwab Wealth Advisory, Inc. other | Bancwest Investment Services, Inc. (Bwis) other | Other | Dec 9, 2013 | May 28, 2015 (535 d) |
| Nancy Louise Mccready | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Bancwest Investment Services, Inc. (Bwis) other | Other | Dec 6, 2013 | Dec 11, 2013 |
| Helmut Garcia | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Bancwest Investment Services, Inc. (Bwis) other | Other | Dec 3, 2013 | Jul 14, 2014 (223 d) |
| Douglas Brent Arnell | Key Investment Services LLC other | Bancwest Investment Services, Inc. (Bwis) other | Other | Dec 3, 2013 | Dec 9, 2013 |
| Michael Robb | J.P. Morgan Private Wealth Advisors LLC other | Bancwest Investment Services, Inc. (Bwis) other | Other | Nov 22, 2013 | Mar 23, 2017 (1217 d) |
| Tommy Tho Tran | J.P. Morgan Securities LLC wirehouse | Bancwest Investment Services, Inc. (Bwis) other | Other | Nov 22, 2013 | Oct 21, 2014 (333 d) |
| Patrick Lee | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Bancwest Investment Services, Inc. (Bwis) other | Other | Nov 6, 2013 | Nov 14, 2013 |
| Chris A. Luttman | Personal Capital Advisors Corporation other | Bancwest Investment Services, Inc. (Bwis) other | Other | Oct 25, 2013 | Nov 14, 2014 (385 d) |
| Mark I Hiramoto | Equitable Advisors, LLC national BD | Bancwest Investment Services, Inc. (Bwis) other | Other | Oct 23, 2013 | Oct 15, 2014 (357 d) |
| Jonathan Frank Woodward | First Citizens Investor Services, Inc. other | Bancwest Investment Services, Inc. (Bwis) other | Other | Oct 8, 2013 | Jul 23, 2015 (653 d) |
| David Michel Haik | Bmo Harris Financial Advisors, Inc other | Bancwest Investment Services, Inc. (Bwis) other | Other | Oct 7, 2013 | Nov 6, 2013 |
| Ryan James Shaughnessy | MML Investors Services, LLC other | Bancwest Investment Services, Inc. (Bwis) other | Other | Oct 2, 2013 | Oct 3, 2013 |
| Dionne Michelle Terzoli | LPL Financial LLC other | Bancwest Investment Services, Inc. (Bwis) other | Other | Sep 24, 2013 | Sep 24, 2013 |
| Lidia Leach | Charles Schwab & Co., Inc. national BD | Bancwest Investment Services, Inc. (Bwis) other | Other | Sep 11, 2013 | Oct 21, 2013 (40 d) |
| Linda E. Moran | Ameriprise Financial Services, LLC national BD | Bancwest Investment Services, Inc. (Bwis) other | Other | Aug 23, 2013 | Jun 11, 2014 (292 d) |
| Roberto Ugalde | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Bancwest Investment Services, Inc. (Bwis) other | Other | Aug 22, 2013 | Aug 19, 2013 |