| Lillian Mae Crusan | Trustmont Advisory Group, Inc. other | Msi Financial Services, Inc. other | Other | Nov 19, 2014 | Jun 9, 2015 (202 d) |
| Michael Fitzgerald Cotton | Fifth Third Securities, Inc. other | Msi Financial Services, Inc. other | Other | Nov 18, 2014 | Nov 18, 2014 |
| James Spencer Jones | Independent Advisers Group Corp other | Msi Financial Services, Inc. other | Other | Nov 17, 2014 | Oct 27, 2014 |
| Terry Toth | Equitable Advisors, LLC national BD | Msi Financial Services, Inc. other | Other | Nov 7, 2014 | May 22, 2015 (196 d) |
| Raja Ramchand Mahtani | Equitable Advisors, LLC national BD | Msi Financial Services, Inc. other | Other | Nov 4, 2014 | Oct 31, 2014 |
| Melissa A Ciotoli | Private Advisor Group, LLC other | Msi Financial Services, Inc. other | Other | Nov 4, 2014 | Oct 28, 2014 |
| Douglas Dandrea | Park Avenue Securities LLC other | Msi Financial Services, Inc. other | Other | Nov 3, 2014 | Nov 12, 2014 |
| Justin Blake Beavers | Raymond James & Associates, Inc. national BD | Msi Financial Services, Inc. other | Other | Oct 29, 2014 | Nov 7, 2014 |
| Daniel Michael Rodgers | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Msi Financial Services, Inc. other | Other | Oct 28, 2014 | Nov 12, 2014 |
| Joseph Nicholas Moore | Northwestern Mutual Investment Services,LLC other | Msi Financial Services, Inc. other | Other | Oct 21, 2014 | Oct 10, 2014 |
| John Charles Navien | Northwestern Mutual Investment Services,LLC other | Msi Financial Services, Inc. other | Other | Oct 16, 2014 | Oct 3, 2014 |
| Charles G Brown IV | Northwestern Mutual Investment Services,LLC other | Msi Financial Services, Inc. other | Other | Oct 13, 2014 | Oct 10, 2014 |
| Brett Mckinley Graham | New England Securities Corporation other | Msi Financial Services, Inc. other | Other | Oct 9, 2014 | Jan 5, 2015 (88 d) |
| Robert William Kowaleski | Mutual Of Omaha Investor Services, Inc. no RAUM | Msi Financial Services, Inc. other | Other | Oct 8, 2014 | Oct 6, 2014 |
| Paul Flood | Equitable Advisors, LLC national BD | Msi Financial Services, Inc. other | Other | Oct 6, 2014 | Feb 18, 2015 (135 d) |
| Robert Patrick Gerl | MML Investors Services, LLC other | Msi Financial Services, Inc. other | Other | Sep 30, 2014 | Dec 11, 2014 (72 d) |
| Mathias Joseph Rick | Foresters Advisory Services, LLC other | Msi Financial Services, Inc. other | Other | Sep 26, 2014 | Oct 3, 2014 |
| Judith Wolcott Frantz | Avantax Advisory Services other | Msi Financial Services, Inc. other | Other | Sep 19, 2014 | Sep 12, 2014 |
| Matthew Thomas Uno | Edward Jones national BD | Msi Financial Services, Inc. other | Other | Sep 19, 2014 | Feb 9, 2015 (143 d) |
| Wendy Mae Meyer | Wealth Enhancement Advisory Services, LLC other | Msi Financial Services, Inc. other | Other | Sep 16, 2014 | Oct 22, 2014 (36 d) |
| Crystal Aesook Nguyen | UBS Financial Services Inc. wirehouse | Msi Financial Services, Inc. other | Other | Sep 12, 2014 | Mar 2, 2015 (171 d) |
| Neal Wayne Cloer | Pruco Securities, LLC other | Msi Financial Services, Inc. other | Other | Sep 10, 2014 | Jun 10, 2015 (273 d) |
| Isaiah N Johnson | Northwestern Mutual Investment Services,LLC other | Msi Financial Services, Inc. other | Other | Sep 9, 2014 | Jan 30, 2015 (143 d) |
| Douglas Glenn Huie | Equitable Advisors, LLC national BD | Msi Financial Services, Inc. other | Other | Sep 8, 2014 | Sep 22, 2014 |
| Lynn Marie Mack | Voya Financial Advisors, Inc. other | Msi Financial Services, Inc. other | Other | Sep 8, 2014 | Sep 11, 2014 |
| Walter David Jezak Jr | Principal Securities, Inc. other | Msi Financial Services, Inc. other | Other | Sep 5, 2014 | Aug 22, 2014 |
| Melissa M Pleasants | UBS Financial Services Inc. wirehouse | Msi Financial Services, Inc. other | Other | Sep 4, 2014 | Aug 17, 2016 (713 d) |
| Patrick James Modjeski | Park Avenue Securities LLC other | Msi Financial Services, Inc. other | Other | Sep 4, 2014 | Oct 3, 2014 |
| Charlton J Bulkin | Equitable Advisors, LLC national BD | Msi Financial Services, Inc. other | Other | Aug 28, 2014 | Oct 6, 2014 (39 d) |
| Jon D Hunt | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Msi Financial Services, Inc. other | Other | Aug 27, 2014 | Aug 15, 2014 |
| Jeffrey Bruce Lerner | Wells Fargo Advisors wirehouse | Msi Financial Services, Inc. other | Other | Aug 26, 2014 | Aug 26, 2014 |
| Robert James Mascia | MML Investors Services, LLC other | Msi Financial Services, Inc. other | Other | Aug 22, 2014 | Aug 27, 2014 |
| James Paul Cooney | Esi Financial Advisors other | Msi Financial Services, Inc. other | Other | Aug 21, 2014 | Oct 8, 2014 (48 d) |
| Jennifer Funk | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Msi Financial Services, Inc. other | Other | Aug 19, 2014 | Aug 15, 2014 |
| Darrin Michael Bradley | Cetera Investment Advisers LLC other | Msi Financial Services, Inc. other | Other | Aug 15, 2014 | Aug 19, 2014 |
| Christopher Todd Chilcoat | Hornor, Townsend & Kent, LLC other | Msi Financial Services, Inc. other | Other | Aug 12, 2014 | Oct 21, 2014 (70 d) |
| Kevin Ryan Adams | Mutual Of Omaha Investor Services, Inc. no RAUM | Msi Financial Services, Inc. other | Other | Aug 8, 2014 | Jul 30, 2015 (356 d) |
| Charlie Henry Sottoriva | Edward Jones national BD | Msi Financial Services, Inc. other | Other | Aug 4, 2014 | Aug 15, 2014 |
| Calvin Allen Rowland | Brooklight Place Securities, Inc. unclassified | Msi Financial Services, Inc. other | Other | Aug 1, 2014 | Dec 5, 2014 (126 d) |
| David M Lieberman | Sagepoint Financial, Inc. other | Msi Financial Services, Inc. other | Other | Aug 1, 2014 | Aug 19, 2014 |
| Seth David Asher | New England Securities Corporation other | Msi Financial Services, Inc. other | Other | Jul 31, 2014 | Nov 16, 2012 |
| Traci-Anne Dracoulis | MML Investors Services, LLC other | Msi Financial Services, Inc. other | Other | Jul 28, 2014 | Jul 21, 2014 |
| Kathryn Louise Fitzgerald | Newport Coast Asset Management other | Msi Financial Services, Inc. other | Other | Jul 25, 2014 | Jul 28, 2014 |
| Zachary Plager Mulford | LPL Financial LLC other | Msi Financial Services, Inc. other | Other | Jul 25, 2014 | Jul 25, 2014 |
| Jared Seth Levy | Equitable Advisors, LLC national BD | Msi Financial Services, Inc. other | Other | Jul 23, 2014 | Jul 23, 2014 |
| Nicholas R Flatness | Waddell & Reed other | Msi Financial Services, Inc. other | Other | Jul 22, 2014 | Aug 12, 2014 |
| Sean David Spellman | New England Securities Corporation other | Msi Financial Services, Inc. other | Other | Jul 17, 2014 | Aug 24, 2007 |
| Paul Christopher Moxen | Park Avenue Securities LLC other | Msi Financial Services, Inc. other | Other | Jul 14, 2014 | Jan 5, 2015 (175 d) |
| Kevin Patrick Janus | Pruco Securities, LLC other | Msi Financial Services, Inc. other | Other | Jul 11, 2014 | Aug 10, 2015 (395 d) |
| Joseph R Brancaleone | Capital One Financial Advisors LLC unclassified | Msi Financial Services, Inc. other | Other | Jul 9, 2014 | Jul 16, 2014 |
| Kyle Scott Brennan | Signator Financial Services, Inc. other | Msi Financial Services, Inc. other | Other | Jul 3, 2014 | Sep 16, 2014 (75 d) |
| Louis Arthur Himelreich | Nationwide Securities, LLC no RAUM | Msi Financial Services, Inc. other | Other | Jun 20, 2014 | Jun 27, 2014 |
| Kaelene Kauionalani Wong | Signator Investors, Inc. other | Msi Financial Services, Inc. other | Other | Jun 17, 2014 | Jun 30, 2014 |
| Arthur Wayne Potter | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Msi Financial Services, Inc. other | Other | Jun 13, 2014 | May 19, 2014 |
| Steve R Palmer | New England Securities Corporation other | Msi Financial Services, Inc. other | Other | Jun 13, 2014 | May 30, 2014 |
| Royceton Shane Pinder | Valic Financial Advisors, Inc. other | Msi Financial Services, Inc. other | Other | Jun 4, 2014 | May 23, 2014 |
| Emmanuel Thomas Floyd Gilmore | Ameriprise Financial Services, LLC national BD | Msi Financial Services, Inc. other | Other | May 30, 2014 | May 16, 2014 |
| Kirk S Barth | Signator Investors, Inc. other | Msi Financial Services, Inc. other | Other | May 29, 2014 | May 28, 2014 |
| Kristopher Bryan Wackerlin | Pruco Securities, LLC other | Msi Financial Services, Inc. other | Other | May 29, 2014 | Jun 13, 2014 |
| Brooks Matthew Wallington | Pruco Securities, LLC other | Msi Financial Services, Inc. other | Other | May 29, 2014 | Jun 4, 2014 |