| Giulio Cannatello | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | U.S. Bancorp Advisors, LLC other | Other | Apr 5, 2012 | Jun 29, 2016 (1546 d) |
| Aramis Perez | Chase Investment Services Corp. other | U.S. Bancorp Advisors, LLC other | Other | Apr 3, 2012 | Apr 19, 2012 |
| John Michael Greene | Wescom Financial Services, LLC independent RIA | U.S. Bancorp Advisors, LLC other | Other | Mar 19, 2012 | Jul 20, 2012 (123 d) |
| Rafael Galeno | Wells Fargo Advisors wirehouse | U.S. Bancorp Advisors, LLC other | Other | Mar 15, 2012 | Dec 19, 2012 (279 d) |
| Mona Felicia Corbett | National Planning Corporation ("Npc Of America" In Fl & Ny) other | U.S. Bancorp Advisors, LLC other | Other | Mar 12, 2012 | Mar 6, 2012 |
| Michelle Lynne Swint | Wells Fargo Advisors wirehouse | U.S. Bancorp Advisors, LLC other | Other | Feb 28, 2012 | Apr 2, 2012 (34 d) |
| Stephen Gelina | Wells Fargo Advisors wirehouse | U.S. Bancorp Advisors, LLC other | Other | Feb 14, 2012 | Jun 28, 2012 (135 d) |
| Amber Kay Ortiz | Cetera Investment Services LLC other | U.S. Bancorp Advisors, LLC other | Other | Feb 10, 2012 | May 8, 2013 (453 d) |
| Michael Craig Forgea | UBS Financial Services Inc. wirehouse | U.S. Bancorp Advisors, LLC other | Other | Jan 17, 2012 | Mar 20, 2013 (428 d) |
| Lee Burton Jones | Chase Investment Services Corp. other | U.S. Bancorp Advisors, LLC other | Other | Jan 4, 2012 | Jan 6, 2012 |
| Damon Wallace Francis | Wells Fargo Advisors wirehouse | U.S. Bancorp Advisors, LLC other | Other | Jan 3, 2012 | Feb 22, 2012 (50 d) |
| Kelly Marie Lind | Chase Investment Services Corp. other | U.S. Bancorp Advisors, LLC other | Other | Dec 19, 2011 | Jan 6, 2012 |
| Simon Alexander Rawlinson | Bancwest Investment Services, Inc. (Bwis) other | U.S. Bancorp Advisors, LLC other | Other | Nov 23, 2011 | Nov 3, 2016 (1807 d) |
| Katherine Marie Whelan | Wells Fargo Advisors wirehouse | U.S. Bancorp Advisors, LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Nov 7, 2011 | Nov 19, 2025 (5126 d) |
| Leo Peter Hamill | Wells Fargo Advisors wirehouse | U.S. Bancorp Advisors, LLC other | Other | Nov 7, 2011 | Apr 18, 2013 (528 d) |
| Guneet Kaur Bains-Ajmani | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | U.S. Bancorp Advisors, LLC other | Other | Oct 11, 2011 | Feb 2, 2012 (114 d) |
| Charmaine Chow | Wells Fargo Advisors wirehouse | U.S. Bancorp Advisors, LLC other | Other | Aug 10, 2011 | Oct 27, 2011 (78 d) |
| Fadi F Jahshan | Chase Investment Services Corp. other | U.S. Bancorp Advisors, LLC other | Other | Aug 5, 2011 | Oct 19, 2011 (75 d) |
| Christopher George Muniz | Wells Fargo Advisors wirehouse | U.S. Bancorp Advisors, LLC other | Other | Jul 15, 2011 | May 11, 2012 (301 d) |
| Max James Hangartner | Chase Investment Services Corp. other | U.S. Bancorp Advisors, LLC other | Other | Jul 11, 2011 | Jul 19, 2011 |
| Chih-Tao Ma | Bancwest Investment Services, Inc. (Bwis) other | U.S. Bancorp Advisors, LLC other | Other | Jul 1, 2011 | Jul 7, 2011 |
| Alison Anne Coacher | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | U.S. Bancorp Advisors, LLC other | Other | Jun 3, 2011 | Jul 26, 2011 (53 d) |
| Lisa Jean Rookaird | Chase Investment Services Corp. other | U.S. Bancorp Advisors, LLC other | Other | May 5, 2011 | Jul 26, 2011 (82 d) |
| Patricia Louise Hirata | Chase Investment Services Corp. other | U.S. Bancorp Advisors, LLC other | Other | Mar 15, 2011 | Mar 16, 2011 |
| Kelly Lee Ausburn | Wells Fargo Advisors wirehouse | U.S. Bancorp Advisors, LLC other | Other | Feb 23, 2011 | Aug 24, 2012 (548 d) |
| Eduardo Larios | National Planning Corporation ("Npc Of America" In Fl & Ny) other | U.S. Bancorp Advisors, LLC other | Other | Feb 14, 2011 | Nov 8, 2012 (633 d) |
| Jonathan Michael Good | Financial Designs Ltd. unclassified | U.S. Bancorp Advisors, LLC other | Other | Jan 28, 2011 | Jan 20, 2011 |
| Christine Renee Ross | Chase Investment Services Corp. other | U.S. Bancorp Advisors, LLC other | Other | Jan 6, 2011 | May 5, 2011 (119 d) |
| Dane Michael Brockman | LPL Financial LLC other | U.S. Bancorp Advisors, LLC other | Other | Dec 22, 2010 | Jan 20, 2011 |
| Zelalem Baalu Girma | Cuso Financial Services, L.P. other | U.S. Bancorp Advisors, LLC other | Other | Dec 17, 2010 | Jan 24, 2011 (38 d) |
| Jessica A Blount | Citigroup Global Markets Inc. other | U.S. Bancorp Advisors, LLC other | Other | Oct 27, 2010 | Nov 3, 2010 |
| Andrew Charles Wheeler | Wells Fargo Advisors wirehouse | U.S. Bancorp Advisors, LLC other | Other | Sep 24, 2010 | Sep 24, 2010 |
| Robbin Narike Preciado | Wells Fargo Investments, LLC unclassified | U.S. Bancorp Advisors, LLC other | Other | Aug 25, 2010 | Oct 28, 2010 (64 d) |
| Susan M Barnett | U.S. Bancorp Investments, Inc. other | U.S. Bancorp Advisors, LLC other | Other | Aug 20, 2010 | Aug 20, 2010 |
| Nicholas Barnett | Morgan Stanley wirehouse | U.S. Bancorp Advisors, LLC other | Other | Jul 21, 2010 | Aug 25, 2010 (35 d) |
| Victor Hugo Hernandez | Wells Fargo Investments, LLC unclassified | U.S. Bancorp Advisors, LLC other | Other | Jul 13, 2010 | Jul 23, 2010 |
| Evan Fredrick Seibly | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | U.S. Bancorp Advisors, LLC other | Other | Jun 8, 2010 | Jun 15, 2010 |
| Ying Wang | Wells Fargo Advisors wirehouse | U.S. Bancorp Advisors, LLC other | Other | May 20, 2010 | May 28, 2010 |
| Ronald Lawrence Rigsby | Chase Investment Services Corp. other | U.S. Bancorp Advisors, LLC other | Other | May 5, 2010 | May 13, 2010 |
| Julia Katherine Earle | U.S. Bancorp Investments, Inc. other | U.S. Bancorp Advisors, LLC other | Other | Mar 16, 2010 | Mar 24, 2010 |
| Jason Jeffrey Zeroll | Citigroup Global Markets Inc. other | U.S. Bancorp Advisors, LLC other | Other | Mar 10, 2010 | Apr 21, 2010 (42 d) |
| William Shyan Chan | Citigroup Global Markets Inc. other | U.S. Bancorp Advisors, LLC other | Other | Feb 4, 2010 | Feb 3, 2010 |
| Elizabeth Anne Kilmer | Wfp Securities unclassified | U.S. Bancorp Advisors, LLC other | Other | Feb 1, 2010 | Jun 14, 2010 (133 d) |
| Eri Takahashi | Waddell & Reed other | U.S. Bancorp Advisors, LLC other | Other | Jan 19, 2010 | Nov 18, 2011 (668 d) |
| George Chris Sinanis | Citigroup Global Markets Inc. other | U.S. Bancorp Advisors, LLC other | Other | Dec 19, 2009 | Dec 17, 2009 |
| Alex E Matsumura | LPL Financial LLC other | U.S. Bancorp Advisors, LLC other | Other | Nov 17, 2009 | Jan 8, 2010 (52 d) |
| Serpouhi Susan Karamanoukian | Citigroup Global Markets Inc. other | U.S. Bancorp Advisors, LLC other | Other | Nov 16, 2009 | Oct 30, 2009 |
| Julie Xiang | Wells Fargo Investments, LLC unclassified | U.S. Bancorp Advisors, LLC other | Other | Nov 10, 2009 | Mar 22, 2010 (132 d) |
| David Soong Park | Wescom Financial Services, LLC independent RIA | U.S. Bancorp Advisors, LLC other | Other | Nov 9, 2009 | Nov 10, 2009 |
| Elaine Yefun Lee | Hsbc Securities (USA) Inc. other | U.S. Bancorp Advisors, LLC other | Other | Sep 17, 2009 | Nov 12, 2010 (421 d) |
| Stuart Shaun Choy | Wells Fargo Investments, LLC unclassified | U.S. Bancorp Advisors, LLC other | Other | Sep 14, 2009 | Apr 28, 2010 (226 d) |
| Nader Razavi | Wells Fargo Advisors wirehouse | U.S. Bancorp Advisors, LLC other | Other | Aug 12, 2009 | Feb 10, 2010 (182 d) |
| Darlene Flores Swatik | Chase Investment Services Corp. other | U.S. Bancorp Advisors, LLC other | Other | Jul 31, 2009 | Aug 5, 2009 |
| Timothy Eugene Warren | Wells Fargo Investments, LLC unclassified | U.S. Bancorp Advisors, LLC other | Other | Jun 12, 2009 | Apr 29, 2010 (321 d) |
| Richard George Engbrecht | Wells Fargo Investments, LLC unclassified | U.S. Bancorp Advisors, LLC other | Other | Jun 9, 2009 | Apr 8, 2010 (303 d) |
| Kathleen M White | Cetera Investment Services LLC other | U.S. Bancorp Advisors, LLC other | Other | Jun 5, 2009 | Sep 10, 2009 (97 d) |
| Jose De La Torre Ojeda | Chase Investment Services Corp. other | U.S. Bancorp Advisors, LLC other | Other | May 15, 2009 | Jul 29, 2010 (440 d) |
| Michael Steven Padilla | Chase Investment Services Corp. other | U.S. Bancorp Advisors, LLC other | Other | May 11, 2009 | May 20, 2009 |
| Brent Carl Frisbee | Wells Fargo Advisors wirehouse | U.S. Bancorp Advisors, LLC other | Other | May 8, 2009 | May 8, 2009 |
| Michael James Rodgers | Cuso Financial Services, L.P. other | U.S. Bancorp Advisors, LLC other | Other | May 8, 2009 | May 13, 2009 |