| Wayne Richard Brunck | Walnut Street Securities, Inc. other | Questar Asset Management, Inc. other | Other | Dec 23, 2009 | Jan 6, 2010 |
| Andrew Jack Cohen | Securities America Advisors, Inc. other | Questar Asset Management, Inc. other | Other | Dec 17, 2009 | Dec 21, 2009 |
| Anthony Edward Locascio | Anthony Locascio Consulting, LLC unclassified | Questar Asset Management, Inc. other | Other | Dec 10, 2009 | Dec 21, 2009 |
| Michelle Leanne Ford | Securities America Advisors, Inc. other | Questar Asset Management, Inc. other | Other | Dec 8, 2009 | May 27, 2010 (170 d) |
| Benjamin Nathaniel Ricker | Ricker, Benjamin N. unclassified | Questar Asset Management, Inc. other | Other | Dec 2, 2009 | Dec 11, 2009 |
| Steven Mark Cervantes | Morgan Keegan & Company, LLC other | Questar Asset Management, Inc. other | Other | Nov 24, 2009 | Jan 5, 2012 (772 d) |
| Henry William Fox | Morgan Stanley wirehouse | Questar Asset Management, Inc. other | Other | Nov 23, 2009 | Jul 26, 2011 (610 d) |
| Kenneth J Gertie | Msi Financial Services, Inc. other | Questar Asset Management, Inc. other | Other | Nov 18, 2009 | Jan 8, 2010 (51 d) |
| Jasper Carl Schanna | Voya Financial Advisors, Inc. other | Questar Asset Management, Inc. other | Other | Nov 13, 2009 | Nov 16, 2009 |
| Scottie B Ringer | Suntrust Investment Services, Inc. other | Questar Asset Management, Inc. other | Other | Nov 2, 2009 | Jul 13, 2010 (253 d) |
| George Matthew Barberich | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Questar Asset Management, Inc. other | Other | Oct 22, 2009 | Oct 20, 2009 |
| Brian Joseph Zardavets | Uvest Financial Services Group, Inc. unclassified | Questar Asset Management, Inc. other | Other | Oct 19, 2009 | Dec 22, 2009 (64 d) |
| Megan Louise Avery | Berthel Fisher & Company Financial Services, Inc. other | Questar Asset Management, Inc. other | Other | Aug 24, 2009 | Mar 22, 2012 (941 d) |
| Frank J Calise | LPL Financial LLC other | Questar Asset Management, Inc. other | Other | Aug 18, 2009 | Aug 9, 2011 (721 d) |
| Cynthia Jacqueline Tam | Investors Capital Advisory other | Questar Asset Management, Inc. other | Other | Aug 11, 2009 | Aug 7, 2009 |
| Barry Vigilanti Munro | Envision Investment Advisors, LLC unclassified | Questar Asset Management, Inc. other | Other | Jul 22, 2009 | Sep 2, 2009 (42 d) |
| Michael John Townsend | Wells Fargo Advisors wirehouse | Questar Asset Management, Inc. other | Other | Jul 2, 2009 | Nov 7, 2016 (2685 d) |
| Darren Michael Limesand | LPL Financial LLC other | Questar Asset Management, Inc. other | Other | Jun 26, 2009 | Aug 17, 2009 (52 d) |
| Evelyn Kay Duka | Financial Telesis, Inc. other | Questar Asset Management, Inc. other | Other | Jun 19, 2009 | Jul 13, 2009 |
| Larry W Farr | Investment Advisors International, Inc. unclassified | Questar Asset Management, Inc. other | Other | Jun 3, 2009 | Aug 4, 2009 (62 d) |
| Jack Christopher Carini | Esi Financial Advisors other | Questar Asset Management, Inc. other | Other | Jun 1, 2009 | Jun 29, 2009 |
| Pamela Marie Echegaray | Securities America Advisors, Inc. other | Questar Asset Management, Inc. other | Other | May 14, 2009 | Jun 25, 2009 (42 d) |
| Eric Dixon Loaiza | Securities America Advisors, Inc. other | Questar Asset Management, Inc. other | Other | May 11, 2009 | May 29, 2009 |
| Peter Daniel Notaro | Park Avenue Securities LLC other | Questar Asset Management, Inc. other | Other | Apr 13, 2009 | Mar 31, 2009 |
| David John Venegas | Banc Of America Investment Services, Inc. unclassified | Questar Asset Management, Inc. other | Other | Mar 26, 2009 | Jun 15, 2009 (81 d) |
| Michael Thomas Mason | Bancwest Investment Services, Inc. (Bwis) other | Questar Asset Management, Inc. other | Other | Mar 26, 2009 | Apr 1, 2009 |
| Jane M Hyland | 1st Discount Brokerage, Inc. other | Questar Asset Management, Inc. other | Other | Mar 24, 2009 | Sep 29, 2015 (2380 d) |
| Earl Cornelius Stevenson | Traderight Securities, Inc. unclassified | Questar Asset Management, Inc. other | Other | Mar 10, 2009 | Mar 11, 2009 |
| David Michael Warrick | Brokersxpress LLC other | Questar Asset Management, Inc. other | Other | Feb 6, 2009 | Jan 16, 2009 |
| Edward E-Vaughn Bradley | MML Investors Services, LLC other | Questar Asset Management, Inc. other | Other | Feb 3, 2009 | Jan 26, 2009 |
| Tara Ashley Sanders | Transamerica Financial Advisors, LLC other | Questar Asset Management, Inc. other | Other | Jan 30, 2009 | Mar 6, 2009 (35 d) |
| Billie Lavelle Odom | Transamerica Financial Advisors, LLC other | Questar Asset Management, Inc. other | Other | Dec 31, 2008 | Jan 5, 2009 |
| Brock Matthew Alspaugh | Transamerica Financial Advisors, LLC other | Questar Asset Management, Inc. other | Other | Dec 31, 2008 | Jan 5, 2009 |
| Seth Eric Krussman | Phillips & Company other | Questar Asset Management, Inc. other | Other | Dec 3, 2008 | Jul 18, 2014 (2053 d) |
| Melissa L George | Investher Fiduciary Solutions, LLC state registered | Questar Asset Management, Inc. other | Other | Oct 7, 2008 | Sep 30, 2008 |
| Gary Thomas Hughes | Pension Planners Securities, Inc. unclassified | Questar Asset Management, Inc. other | Other | Sep 5, 2008 | Sep 2, 2008 |
| Loy Douglas Holt | Pension Planners Securities, Inc. unclassified | Questar Asset Management, Inc. other | Other | Sep 5, 2008 | Sep 3, 2008 |
| John T Morrow | Invest Financial Corporation other | Questar Asset Management, Inc. other | Other | Aug 1, 2008 | Oct 7, 2008 (67 d) |
| Shawn Christian Everett | Everett Financial Group unclassified | Questar Asset Management, Inc. other | Other | Jul 11, 2008 | Jul 14, 2008 |
| Randolph Andrew Fisher | Voya Financial Advisors, Inc. other | Questar Asset Management, Inc. other | Other | Jun 27, 2008 | Nov 18, 2008 (144 d) |
| Carrie Ann Wells | UBS Financial Services Inc. wirehouse | Questar Asset Management, Inc. other | Other | Jun 13, 2008 | Sep 3, 2008 (82 d) |
| Gordon Sylvester | Morgan Stanley & Co. LLC unclassified | Questar Asset Management, Inc. other | Other | Apr 1, 2008 | Mar 30, 2010 (728 d) |
| Charles Randolph Lee | Principal Securities, Inc. other | Questar Asset Management, Inc. other | Other | Mar 6, 2008 | Mar 6, 2008 |
| Peter Jose' D'Arruda | Capital Financial Advisory Group, LLC state registered | Questar Asset Management, Inc. other | Other | Feb 11, 2008 | Feb 28, 2008 |
| Xavier M Ray | Securities America Advisors, Inc. other | Questar Asset Management, Inc. other | Other | Jan 14, 2008 | Jan 25, 2008 |
| Ryan Michael Oliver | Waddell & Reed other | Questar Asset Management, Inc. other | Other | Jan 11, 2008 | May 3, 2011 (1208 d) |
| Edgar Marvin Hawkins | On Investment Management Co other | Questar Asset Management, Inc. other | Other | Dec 31, 2007 | Jan 4, 2008 |
| Alan Donald Cooper | On Investment Management Co other | Questar Asset Management, Inc. other | Other | Dec 5, 2007 | Jan 4, 2008 |
| Robert Joseph Ostapower | Nfp Advisor Services, LLC other | Questar Asset Management, Inc. other | Other | Nov 28, 2007 | Jan 22, 2008 (55 d) |
| Michael Joseph Bruzzichesi | LPL Financial LLC other | Questar Asset Management, Inc. other | Other | Nov 13, 2007 | Mar 19, 2008 (127 d) |
| Charles Howard Fitzpatrick | Southeast Investments, N.C. Inc unclassified | Questar Asset Management, Inc. other | Other | Sep 14, 2007 | Sep 23, 2008 (375 d) |
| Michael David Bean | Triad Advisors, LLC other | Questar Asset Management, Inc. other | Other | Sep 10, 2007 | Oct 18, 2007 (38 d) |
| Janet M Stanley | Money Concepts Advisory Service other | Questar Asset Management, Inc. other | Other | Aug 29, 2007 | Oct 4, 2007 (36 d) |
| David Wesley Bown | MML Investors Services, LLC other | Questar Asset Management, Inc. other | Other | Aug 15, 2007 | Sep 4, 2007 |
| Nathan Liang Wong | Oneamerica Securities, Inc. other | Questar Asset Management, Inc. other | Other | Jul 28, 2007 | Aug 2, 2007 |
| Jason Chandler Ullom | Investors Capital Advisory other | Questar Asset Management, Inc. other | Other | Jun 28, 2007 | Aug 17, 2007 (50 d) |
| Joseph Ralph Fenstermacher | Voya Financial Advisors, Inc. other | Questar Asset Management, Inc. other | Other | May 18, 2007 | Sep 4, 2015 (3031 d) |
| Scott Lavell Cluff | Oneamerica Securities, Inc. other | Questar Asset Management, Inc. other | Other | May 3, 2007 | May 10, 2007 |
| Julie Ann Mochan | Securities America Advisors, Inc. other | Questar Asset Management, Inc. other | Other | Mar 26, 2007 | Mar 23, 2007 |
| Marcus Nathan Seiter | Sagepoint Financial, Inc. other | Questar Asset Management, Inc. other | Other | Jan 26, 2007 | Aug 26, 2010 (1308 d) |