| Thomas Badger Herbruck | Valmark Advisers, Inc. other | Nfp Advisor Services, LLC other | Other | May 3, 2011 | May 3, 2011 |
| Price Chipley French | Creative Financial Designs, Inc. other | Nfp Advisor Services, LLC other | Other | Mar 31, 2011 | Mar 31, 2011 |
| Robert Lee Holland | Invest Financial Corporation other | Nfp Advisor Services, LLC other | Other | Mar 28, 2011 | Mar 24, 2011 |
| Dov Joseph Robinson | Equitable Advisors, LLC national BD | Nfp Advisor Services, LLC other | Other | Mar 8, 2011 | Mar 4, 2011 |
| Daniel Ray Snover | Transamerica Financial Advisors, LLC other | Nfp Advisor Services, LLC other | Other | Mar 7, 2011 | Feb 22, 2011 |
| Dan Christian Roehm | Valmark Advisers, Inc. other | Nfp Advisor Services, LLC other | Other | Feb 28, 2011 | Mar 21, 2011 |
| Jonathan Mark Taporco | Chase Investment Services Corp. other | Nfp Advisor Services, LLC other | Other | Jan 25, 2011 | Dec 15, 2014 (1420 d) |
| Maurice Anthony Gelfo | Signator Investors, Inc. other | Nfp Advisor Services, LLC other | Other | Jan 20, 2011 | Jan 25, 2011 |
| Timothy Mark Rolls | Wells Fargo Advisors wirehouse | Nfp Advisor Services, LLC other | Other | Jan 3, 2011 | Jan 6, 2011 |
| Allan Oehrlein | Directed Services LLC other | Nfp Advisor Services, LLC other | Other | Dec 31, 2010 | Mar 29, 2011 (88 d) |
| William Taylor Purcell | Suntrust Investment Services, Inc. other | Nfp Advisor Services, LLC other | Other | Dec 2, 2010 | Jan 14, 2011 (43 d) |
| Andrew James Degroat | Nrp Advisors, Inc. unclassified | Nfp Advisor Services, LLC other | Other | Dec 1, 2010 | Feb 2, 2009 |
| Joseph M Brooks | Nrp Advisors, Inc. unclassified | Nfp Advisor Services, LLC other | Other | Nov 29, 2010 | Nov 30, 2010 |
| Katherine Marie Jamil | Nrp Advisors, Inc. unclassified | Nfp Advisor Services, LLC other | Other | Nov 29, 2010 | Dec 3, 2010 |
| Kristen Sanders Leclair | LPL Financial LLC other | Nfp Advisor Services, LLC other | Other | Nov 15, 2010 | Dec 17, 2010 (32 d) |
| Susan Michele Mitcheltree | Park Avenue Securities LLC other | Nfp Advisor Services, LLC other | Other | Nov 15, 2010 | Dec 1, 2010 |
| Paul L Gibert | Morgan Stanley wirehouse | Nfp Advisor Services, LLC other | Other | Nov 12, 2010 | Oct 29, 2010 |
| Max Joseph Meltzer | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Nfp Advisor Services, LLC other | Other | Nov 9, 2010 | Dec 15, 2010 (36 d) |
| Thomas Joseph Johnson | Newport Group Consulting, LLC other | Nfp Advisor Services, LLC other | Other | Nov 3, 2010 | Mar 8, 2011 (125 d) |
| Wesley Greg Alston | Nrp Advisors, Inc. unclassified | Nfp Advisor Services, LLC other | Other | Oct 25, 2010 | Oct 22, 2010 |
| Chau My Quach | Commonwealth Financial Network national BD | Nfp Advisor Services, LLC other | Other | Oct 13, 2010 | Oct 21, 2010 |
| Steven Edward Hacker | Nrp Advisors, Inc. unclassified | Nfp Advisor Services, LLC other | Other | Oct 11, 2010 | Oct 11, 2010 |
| Thomas John Oley | Institutional Securities Corporation other | Nfp Advisor Services, LLC other | Other | Sep 17, 2010 | Sep 2, 2010 |
| Gentry Parks Moore | Institutional Securities Corporation other | Nfp Advisor Services, LLC other | Other | Sep 17, 2010 | Sep 1, 2010 |
| Eszter Klara Koch | MML Investors Services, LLC other | Nfp Advisor Services, LLC other | Other | Sep 3, 2010 | Aug 30, 2010 |
| Keith John Burgess | Osaic Institutions, Inc. other | Nfp Advisor Services, LLC other | Other | Aug 31, 2010 | Apr 13, 2012 (591 d) |
| Brian Gregory Lizzi | MML Investors Services, LLC other | Nfp Advisor Services, LLC other | Other | Aug 31, 2010 | Aug 30, 2010 |
| Francis J Aiello | Oppenheimer & Co. Inc. other | Nfp Advisor Services, LLC other | Other | Jul 30, 2010 | Aug 6, 2010 |
| Catherine Constance Christ | Benefit Financial Services Group other | Nfp Advisor Services, LLC other | Other | Jul 20, 2010 | Feb 3, 2012 (563 d) |
| Robert Joseph Shull | Financial Telesis, Inc. other | Nfp Advisor Services, LLC other | Other | Jul 1, 2010 | Aug 17, 2010 (47 d) |
| Kyle Randall Jones | Midwestern Securities Trading Co.,LLC other | Nfp Advisor Services, LLC other | Other | Jun 30, 2010 | Jul 16, 2010 |
| Hillary Louise Kent | MML Investors Services, LLC other | Nfp Advisor Services, LLC other | Other | Jun 21, 2010 | Jun 17, 2010 |
| Carolyn Jane Smith | Padgett Financial Services, LLC unclassified | Nfp Advisor Services, LLC other | Other | Jun 15, 2010 | Aug 26, 2010 (72 d) |
| Lisa Ann Garza | Morgan Stanley wirehouse | Nfp Advisor Services, LLC other | Other | Jun 3, 2010 | Jul 1, 2010 |
| Robert Randolph Lott | Equitable Advisors, LLC national BD | Nfp Advisor Services, LLC other | Other | Jun 3, 2010 | Jun 10, 2010 |
| Matthew Shannon Wilson | Equitable Advisors, LLC national BD | Nfp Advisor Services, LLC other | Other | Jun 2, 2010 | May 27, 2010 |
| Donald Albert Lueke | Berthel Fisher & Company Financial Services, Inc. other | Nfp Advisor Services, LLC other | Other | May 27, 2010 | May 26, 2010 |
| James Nendel Pepperman | New England Securities Corporation other | Nfp Advisor Services, LLC other | Other | May 24, 2010 | May 19, 2010 |
| James S Trotter | New England Securities Corporation other | Nfp Advisor Services, LLC other | Other | May 24, 2010 | May 24, 2010 |
| Robert Edward Fish | New England Securities Corporation other | Nfp Advisor Services, LLC other | Other | May 5, 2010 | May 5, 2010 |
| Christopher Evans Moreland | Raymond James Financial Services Advisors, Inc other | Nfp Advisor Services, LLC other | Other | May 5, 2010 | Apr 15, 2011 (345 d) |
| Hunter Scott Trotter | New England Securities Corporation other | Nfp Advisor Services, LLC other | Other | May 5, 2010 | May 5, 2010 |
| David Charles Betz | Waddell & Reed other | Nfp Advisor Services, LLC other | Other | Apr 7, 2010 | Jun 10, 2011 (429 d) |
| Manos Guy Cito | Securian Financial Services, Inc. other | Nfp Advisor Services, LLC other | Other | Mar 26, 2010 | Mar 25, 2010 |
| Lynette S. Twedt | LPL Financial LLC other | Nfp Advisor Services, LLC other | Other | Mar 16, 2010 | Aug 16, 2010 (153 d) |
| Bryan Edward Smith | Signator Investors, Inc. other | Nfp Advisor Services, LLC other | Other | Mar 4, 2010 | Mar 3, 2010 |
| Jason Ryan Reeves | Ameritas Advisory Services other | Nfp Advisor Services, LLC other | Other | Feb 17, 2010 | Feb 10, 2010 |
| Stephanie Rae Gallegos | The Bostonian Group unclassified | Nfp Advisor Services, LLC other | Other | Feb 12, 2010 | Sep 28, 2010 (228 d) |
| Jason Corey Griggs | Osaic Fa, Inc. other | Nfp Advisor Services, LLC other | Other | Feb 4, 2010 | Feb 23, 2010 |
| Gary Robert Sax | H. Beck, Inc. other | Nfp Advisor Services, LLC other | Other | Feb 3, 2010 | Feb 23, 2010 |
| Robert Samuel Mcwilliams | Alphastream Portfolios, Inc. unclassified | Nfp Advisor Services, LLC other | Other | Feb 1, 2010 | Mar 29, 2010 (56 d) |
| John Christopher Liddicoat | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Nfp Advisor Services, LLC other | Other | Feb 1, 2010 | Feb 11, 2010 |
| Jason Charles Haswell | United Brokerage Services Inc other | Nfp Advisor Services, LLC other | Other | Jan 15, 2010 | Mar 25, 2010 (69 d) |
| Thomas Kevin Bowman | Medallion Advisory Services, LLC unclassified | Nfp Advisor Services, LLC other | Other | Dec 31, 2009 | Jan 4, 2010 |
| Tamara Denise Snider | Charles Schwab & Co., Inc. national BD | Nfp Advisor Services, LLC other | Other | Nov 17, 2009 | Jul 6, 2011 (596 d) |
| Brian E Orr | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Nfp Advisor Services, LLC other | Other | Nov 13, 2009 | Mar 3, 2010 (110 d) |
| Preston David Cherry | Wealth Development Strategies Investment Advisory, Inc. state registered | Nfp Advisor Services, LLC other | Other | Oct 9, 2009 | Feb 18, 2010 (132 d) |
| Charles Douglas Robinson | Ameriprise Financial Services, LLC national BD | Nfp Advisor Services, LLC other | Other | Sep 15, 2009 | Sep 29, 2009 |
| Eric Alan Jacoby | Mutual Service Corporation unclassified | Nfp Advisor Services, LLC other | Other | Sep 8, 2009 | Sep 9, 2009 |
| Andrew C Denny | Transamerica Financial Advisors, Inc. unclassified | Nfp Advisor Services, LLC other | Other | Aug 11, 2009 | Aug 10, 2009 |