| Heather Stella Oliver | Morgan Stanley & Co. LLC unclassified | Cetera Investment Services LLC other | Other | May 5, 2008 | May 8, 2008 |
| Valerie Jean Zwosta | Cuna Brokerage Services, Inc. other | Cetera Investment Services LLC other | Other | May 2, 2008 | May 8, 2008 |
| Holly Durdel | Edward Jones national BD | Cetera Investment Services LLC other | Other | May 2, 2008 | May 9, 2008 |
| Kelly Allen Woerdeman | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Cetera Investment Services LLC other | Other | Apr 26, 2008 | May 13, 2008 |
| Jeffrey Joseph Moore | Natcity Investments, Inc. unclassified | Cetera Investment Services LLC other | Other | Apr 21, 2008 | Apr 25, 2008 |
| Jeff Olbina | Chase Investment Services Corp. other | Cetera Investment Services LLC other | Other | Apr 15, 2008 | Apr 25, 2008 |
| Murad Huson Royal | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Cetera Investment Services LLC other | Other | Apr 15, 2008 | May 5, 2008 |
| Brian Thomas Brown | Edward Jones national BD | Cetera Investment Services LLC other | Other | Apr 14, 2008 | Apr 16, 2008 |
| Arthur Pipit Wright | Edward Jones national BD | Cetera Investment Services LLC other | Other | Apr 1, 2008 | Apr 16, 2008 |
| Seth Patrick Mcnally | Banc Of America Investment Services, Inc. unclassified | Cetera Investment Services LLC other | Other | Mar 20, 2008 | Apr 7, 2008 |
| Eric Todd Lanshe | Newport Capital Group, LLC other | Cetera Investment Services LLC other | Other | Mar 19, 2008 | Mar 27, 2008 |
| John Allen Seaman | Osaic Fa, Inc. other | Cetera Investment Services LLC other | Other | Mar 17, 2008 | Mar 13, 2008 |
| Digna Enid Feliciano | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Cetera Investment Services LLC other | Other | Mar 6, 2008 | Apr 9, 2008 (34 d) |
| Brad Jason Feldman | Banc Of America Investment Services, Inc. unclassified | Cetera Investment Services LLC other | Other | Mar 4, 2008 | Mar 14, 2008 |
| James Min Yoo | Osaic Fs, Inc. other | Cetera Investment Services LLC other | Other | Feb 26, 2008 | Feb 21, 2008 |
| Robert Edward Szymanski | Bny Mellon Advisors, Inc. other | Cetera Investment Services LLC other | Other | Feb 25, 2008 | Apr 11, 2013 (1872 d) |
| Michelle Jennifer Blass | Vanguard Advisers, Inc. other | Cetera Investment Services LLC other | Other | Feb 6, 2008 | Feb 5, 2008 |
| Robert Louis Puz | Advice And Planning Services other | Cetera Investment Services LLC other | Other | Feb 5, 2008 | Aug 1, 2012 (1639 d) |
| James Dejulio | Osaic Fa, Inc. other | Cetera Investment Services LLC other | Other | Jan 29, 2008 | Jan 29, 2008 |
| Troy Allen Aarthun | Edward Jones national BD | Cetera Investment Services LLC other | Other | Jan 29, 2008 | Feb 21, 2008 |
| Kevin Daley | Banc Of America Investment Services, Inc. unclassified | Cetera Investment Services LLC other | Other | Jan 25, 2008 | Feb 13, 2008 |
| Jon Bradley Burnett | Citigroup Global Markets Inc. other | Cetera Investment Services LLC other | Other | Dec 18, 2007 | Dec 14, 2007 |
| Wendi Chrystina Cowdrey-Ragon | Charles Schwab & Co., Inc. national BD | Cetera Investment Services LLC other | Other | Dec 10, 2007 | Dec 14, 2007 |
| Benedetto Tony Agostino | Cetera Advisor Networks LLC other | Cetera Investment Services LLC other | Other | Dec 7, 2007 | Dec 4, 2007 |
| John Andrew Gordon | Morgan Stanley & Co. LLC unclassified | Cetera Investment Services LLC other | Other | Dec 4, 2007 | Jan 31, 2008 (58 d) |
| Christopher Russell Walter | Ifmg Securities, Inc. unclassified | Cetera Investment Services LLC other | Other | Nov 28, 2007 | Nov 27, 2007 |
| Randall Smith | Banc Of America Investment Services, Inc. unclassified | Cetera Investment Services LLC other | Other | Nov 7, 2007 | Nov 13, 2007 |
| Jennifer Jae Young Baick | Cetera Advisor Networks LLC other | Cetera Investment Services LLC other | Other | Oct 26, 2007 | Nov 2, 2007 |
| Mary M Phillips | Hsbc Securities (USA) Inc. other | Cetera Investment Services LLC other | Other | Oct 22, 2007 | Jan 24, 2008 (94 d) |
| Mary Elizabeth Blackard | Banc Of America Investment Services, Inc. unclassified | Cetera Investment Services LLC other | Other | Oct 3, 2007 | Oct 10, 2007 |
| Jenifer Gilchrist | Sterne Agee Asset Management, Inc. other | Cetera Investment Services LLC other | Other | Oct 3, 2007 | Sep 25, 2007 |
| Mark Neale Tompkins | Afs Brokerage, Inc. unclassified | Cetera Investment Services LLC other | Other | Oct 1, 2007 | Oct 1, 2007 |
| John Robert Heller | Northwestern Mutual Investment Services,LLC other | Cetera Investment Services LLC other | Other | Sep 26, 2007 | Oct 3, 2007 |
| James J Quinlan | Cetera Advisor Networks LLC other | Cetera Investment Services LLC other | Other | Sep 19, 2007 | Sep 14, 2007 |
| Gregory Jay Seppanen | Wells Fargo Investments, LLC unclassified | Cetera Investment Services LLC other | Other | Sep 17, 2007 | Jul 2, 2009 (654 d) |
| Dennis Michael Silva | Raymond James Financial Services, Inc. unclassified | Cetera Investment Services LLC other | Other | Sep 5, 2007 | Oct 1, 2007 |
| Anthony Todd Duke | First Montauk Securities Corp. unclassified | Cetera Investment Services LLC other | Other | Sep 5, 2007 | Sep 26, 2007 |
| Thomas John Cama | Harvest Capital Advisors, LLC unclassified | Cetera Investment Services LLC other | Other | Aug 21, 2007 | Aug 27, 2007 |
| Alfredo Garza | Ameriprise Financial Services, LLC national BD | Cetera Investment Services LLC other | Other | Aug 1, 2007 | Aug 7, 2007 |
| Timothy L Johnson | Edward Jones national BD | Cetera Investment Services LLC other | Other | Jul 31, 2007 | Aug 22, 2007 |
| James Francis Lohnes | Great American Advisors, Inc. other | Cetera Investment Services LLC other | Other | Jul 20, 2007 | Aug 2, 2007 |
| Jason A Phipps | LPL Financial LLC other | Cetera Investment Services LLC other | Other | Jul 16, 2007 | Jun 20, 2007 |
| Skye Taber | Banc Of America Investment Services, Inc. unclassified | Cetera Investment Services LLC other | Other | Jul 5, 2007 | Jul 20, 2007 |
| Brooke C Johnsen | Wells Fargo Investments, LLC unclassified | Cetera Investment Services LLC other | Other | Jun 25, 2007 | Apr 28, 2009 (673 d) |
| Denise Lynnette Storm | Spectrum Capital, LLC unclassified | Cetera Investment Services LLC other | Other | Jun 18, 2007 | Jun 19, 2007 |
| Sandra Cerqueira | UBS Financial Services Inc. wirehouse | Cetera Investment Services LLC other | Other | Jun 11, 2007 | Sep 5, 2007 (86 d) |
| John Joseph Dallahan | Swbc Investment Company other | Cetera Investment Services LLC other | Other | May 22, 2007 | Sep 19, 2007 (120 d) |
| Kristin Nicole Campbell | Wells Fargo Investments, LLC unclassified | Cetera Investment Services LLC other | Other | May 14, 2007 | May 21, 2007 |
| Jason Holt | Wells Fargo Investments, LLC unclassified | Cetera Investment Services LLC other | Other | May 7, 2007 | May 9, 2007 |
| Todd Garrett Barnes | Wells Fargo Investments, LLC unclassified | Cetera Investment Services LLC other | Other | Apr 16, 2007 | Jun 12, 2008 (423 d) |
| Keith Frederick France | Morgan Keegan & Company, LLC other | Cetera Investment Services LLC other | Other | Apr 13, 2007 | May 11, 2007 |
| Matthew Wayne Schmidt | Raymond James Financial Services, Inc. unclassified | Cetera Investment Services LLC other | Other | Apr 9, 2007 | Apr 4, 2007 |
| Kirk A Mullen | Strategic Advisers LLC national BD | Cetera Investment Services LLC other | Other | Apr 3, 2007 | May 5, 2008 (398 d) |
| Nava Goldenberg Spivak | Wamu Investments, Inc. unclassified | Cetera Investment Services LLC other | Other | Apr 3, 2007 | Apr 13, 2007 |
| Monica Lea Sherman | Raymond James Financial Services, Inc. unclassified | Cetera Investment Services LLC other | Other | Apr 3, 2007 | Apr 4, 2007 |
| John Michael Everett | Chase Investment Services Corp. other | Cetera Investment Services LLC other | Other | Mar 20, 2007 | Mar 29, 2007 |
| David John Wallach | Osaic Institutions, Inc. other | Cetera Investment Services LLC other | Other | Mar 12, 2007 | Nov 15, 2007 (248 d) |
| Russell Anthony Kuchera | Pnc Wealth Management other | Cetera Investment Services LLC other | Other | Mar 8, 2007 | Mar 10, 2007 |
| Paula M Parrish | Valic Financial Advisors, Inc. other | Cetera Investment Services LLC other | Other | Mar 7, 2007 | Mar 8, 2007 |
| Kevin John Wheeler | Ameriprise Financial Services, LLC national BD | Cetera Investment Services LLC other | Other | Feb 2, 2007 | Jan 26, 2009 (724 d) |