| Erik Bradley Niland | John Hancock Investment Management LLC other | Signator Investors, Inc. other | Other | Nov 18, 2010 | Nov 23, 2010 |
| Jose Luis Madrigal | Valic Financial Advisors, Inc. other | Signator Investors, Inc. other | Other | Oct 20, 2010 | Jan 30, 2012 (467 d) |
| Scott Akiyo Nishida | Equitable Advisors, LLC national BD | Signator Investors, Inc. other | Other | Oct 12, 2010 | Oct 7, 2010 |
| Derenig Michael Kostikian | Aarp Financial unclassified | Signator Investors, Inc. other | Other | Oct 11, 2010 | Apr 27, 2011 (198 d) |
| Jennifer Iwalani Michi Chalaire | Equitable Advisors, LLC national BD | Signator Investors, Inc. other | Other | Aug 11, 2010 | Sep 1, 2010 |
| Jose Gautier | Edward Jones national BD | Signator Investors, Inc. other | Other | Jul 22, 2010 | Oct 26, 2012 (827 d) |
| Michael Tartarini | Sagepoint Financial, Inc. other | Signator Investors, Inc. other | Other | Jul 12, 2010 | Feb 24, 2011 (227 d) |
| Lyly Obayashi | LPL Financial LLC other | Signator Investors, Inc. other | Other | Jul 2, 2010 | Jul 7, 2010 |
| Mark Monkarsh | Northwestern Mutual Investment Services,LLC other | Signator Investors, Inc. other | Other | Jun 22, 2010 | Feb 22, 2011 (245 d) |
| Jennifer Lynn Main | Northwestern Mutual Investment Services,LLC other | Signator Investors, Inc. other | Other | Jun 21, 2010 | Jun 18, 2010 |
| Kathleen Sunshine Kim Stephens | Edward Jones national BD | Signator Investors, Inc. other | Other | Jun 10, 2010 | Jun 7, 2012 (728 d) |
| Jeffrey Ronald Susskind | Summit Financial Resources Inc no RAUM | Signator Investors, Inc. other | Other | Jun 1, 2010 | Jul 1, 2010 |
| Jonathan Leif Holljes | First Allied Securities, Inc. other | Signator Investors, Inc. other | Other | May 27, 2010 | Jun 13, 2012 (748 d) |
| Brian Seisuke Kawano | Principal Securities, Inc. other | Signator Investors, Inc. other | Other | Apr 20, 2010 | May 5, 2010 |
| Scott K Tobey | Envestnet Portfolio Solutions, Inc. other | Signator Investors, Inc. other | Other | Mar 19, 2010 | Apr 8, 2010 |
| Brian Sai Hon Young | Principal Securities, Inc. other | Signator Investors, Inc. other | Other | Mar 16, 2010 | Apr 9, 2010 |
| Kirk S Barth | Principal Securities, Inc. other | Signator Investors, Inc. other | Other | Mar 16, 2010 | Mar 19, 2010 |
| Joseph Nicholas Cantore | Edward Jones national BD | Signator Investors, Inc. other | Other | Mar 16, 2010 | Jun 29, 2011 (470 d) |
| Jerald T Pawlowicz | Equitable Advisors, LLC national BD | Signator Investors, Inc. other | Other | Mar 3, 2010 | Mar 25, 2010 |
| Skip A Ames | Ladenburg Thalmann Asset Management Inc other | Signator Investors, Inc. other | Other | Feb 22, 2010 | Apr 11, 2017 (2605 d) |
| Kaelene Kauionalani Wong | Edward Jones national BD | Signator Investors, Inc. other | Other | Feb 5, 2010 | May 10, 2010 (94 d) |
| Jonathan Jay Frydman | Msi Financial Services, Inc. other | Signator Investors, Inc. other | Other | Jan 27, 2010 | Feb 17, 2010 |
| William Chalmers Hollway | Wells Fargo Investments, LLC unclassified | Signator Investors, Inc. other | Other | Jan 25, 2010 | Feb 2, 2010 |
| James Alfred Halprin | Jah Capital Management LLC unclassified | Signator Investors, Inc. other | Other | Dec 31, 2009 | Mar 9, 2010 (68 d) |
| William James Buehler | Securian Financial Services, Inc. other | Signator Investors, Inc. other | Other | Dec 21, 2009 | Dec 16, 2009 |
| Troy Allen Aarthun | Td Wealth Management Services Inc. unclassified | Signator Investors, Inc. other | Other | Dec 18, 2009 | Jan 20, 2010 (33 d) |
| Jordan Erin Berryhill | Securian Financial Services, Inc. other | Signator Investors, Inc. other | Other | Dec 18, 2009 | Dec 16, 2009 |
| Steve Eugene Adams | Principal Securities, Inc. other | Signator Investors, Inc. other | Other | Dec 11, 2009 | Apr 7, 2010 (117 d) |
| Luke Thomas Pfannenstiel | Securities America Advisors, Inc. other | Signator Investors, Inc. other | Other | Nov 2, 2009 | Jun 25, 2010 (235 d) |
| Richard Mark Bass | Park Avenue Securities LLC other | Signator Investors, Inc. other | Other | Sep 16, 2009 | Oct 7, 2009 |
| Scott Gilliam Russell | Transamerica Financial Advisors, Inc. unclassified | Signator Investors, Inc. other | Other | Sep 4, 2009 | May 13, 2016 (2443 d) |
| Mark David Wilcox | Wilcox Wealth Advisors unclassified | Signator Investors, Inc. other | Other | Aug 26, 2009 | Sep 2, 2009 |
| Matthew Alan Hayes | Overridge Wealth Advisors other | Signator Investors, Inc. other | Other | Jul 31, 2009 | May 13, 2016 (2478 d) |
| Stephen James Geis | Equitable Advisors, LLC national BD | Signator Investors, Inc. other | Other | Jul 9, 2009 | Aug 5, 2009 |
| David James Dominici | Equitable Advisors, LLC national BD | Signator Investors, Inc. other | Other | Jul 8, 2009 | Jul 17, 2009 |
| Willard Dean Klink | Cetera Investment Services LLC other | Signator Investors, Inc. other | Other | Jul 7, 2009 | Feb 10, 2010 (218 d) |
| James Michael Burkert | Edward Jones national BD | Signator Investors, Inc. other | Other | May 27, 2009 | Sep 5, 2013 (1562 d) |
| Michael Francis Whitney | UBS Financial Services Inc. wirehouse | Signator Investors, Inc. other | Other | May 13, 2009 | Jun 4, 2009 |
| Brenda Lynn Calkins | Banc Of America Investment Services, Inc. unclassified | Signator Investors, Inc. other | Other | May 11, 2009 | May 11, 2009 |
| Zachary Allen Zettergren | Next Financial Group, Inc. other | Signator Investors, Inc. other | Other | Apr 29, 2009 | Apr 28, 2009 |
| Sarah Jane Walkinshaw | Advice And Planning Services other | Signator Investors, Inc. BD affiliated | Other | Apr 28, 2009 | Apr 17, 2018 (3276 d) |
| Mark Robert Bossey | Park Avenue Securities LLC other | Signator Investors, Inc. other | Other | Mar 19, 2009 | Jan 24, 2011 (676 d) |
| George R. Bello | Natcity Investments, Inc. unclassified | Signator Investors, Inc. other | Other | Mar 16, 2009 | Apr 24, 2009 (39 d) |
| Marc E Young | Banc Of America Investment Services, Inc. unclassified | Signator Investors, Inc. other | Other | Mar 12, 2009 | Jan 12, 2010 (306 d) |
| Jonathan Dean Fabrizio | Raymond James Financial Services Advisors, Inc other | Signator Investors, Inc. other | Other | Mar 12, 2009 | Apr 2, 2009 |
| Aleksandar Glebov | MML Investors Services, LLC other | Signator Investors, Inc. other | Other | Mar 9, 2009 | Mar 11, 2009 |
| Derrick Gin | MML Investors Services, LLC other | Signator Investors, Inc. other | Other | Mar 5, 2009 | Mar 11, 2009 |
| Kabirudeen Salami | Msi Financial Services, Inc. other | Signator Investors, Inc. other | Other | Feb 12, 2009 | May 21, 2009 (98 d) |
| Mark Christopher Freeland | Banc Of America Investment Services, Inc. unclassified | Signator Investors, Inc. other | Other | Jan 29, 2009 | Jul 25, 2012 (1273 d) |
| Matthew Charles Howard | MML Investors Services, LLC other | Signator Investors, Inc. other | Other | Dec 31, 2008 | Jan 14, 2009 |
| Polychronis Alexander Bonaros | Msi Financial Services, Inc. other | Signator Investors, Inc. other | Other | Nov 20, 2008 | Jan 9, 2009 (50 d) |
| Edward Joseph Bosch | U.S. Bancorp Investments, Inc. other | Signator Investors, Inc. other | Other | Nov 7, 2008 | Apr 8, 2009 (152 d) |
| Nicolas Longpre | Fsc Securities Corporation other | Signator Investors, Inc. other | Other | Aug 26, 2008 | Sep 5, 2008 |
| Matthew Glenn Ottinger | Edward Jones national BD | Signator Investors, Inc. other | Other | Jul 29, 2008 | Sep 25, 2009 (423 d) |
| Andrew A Liss | Ameriprise Financial Services, LLC national BD | Signator Investors, Inc. other | Other | Jul 11, 2008 | Sep 19, 2008 (70 d) |
| Luiz Henrique Moreira Boscardin | Fsc Securities Corporation other | Signator Investors, Inc. other | Other | Jul 2, 2008 | Jul 3, 2008 |
| Benjamin John Bruins | Msi Financial Services, Inc. other | Signator Investors, Inc. other | Other | Jun 11, 2008 | Jun 16, 2008 |
| Mark Barkasy | Voya Financial Partners, LLC other | Signator Investors, Inc. other | Other | Jun 4, 2008 | Sep 17, 2008 (105 d) |
| James Daniel Heavey | Waddell & Reed other | Signator Investors, Inc. other | Other | Jun 3, 2008 | Apr 23, 2010 (689 d) |
| Chris Anthony Ferrante | Msi Financial Services, Inc. other | Signator Investors, Inc. other | Other | Feb 29, 2008 | Mar 19, 2008 |