| Christopher John Wittrig | Wells Fargo Advisors wirehouse | Bancwest Investment Services, Inc. (Bwis) other | Other | Aug 13, 2013 | Dec 6, 2013 (115 d) |
| Amrinder Singh Dhaliwal | J.P. Morgan Securities LLC wirehouse | Bancwest Investment Services, Inc. (Bwis) other | Other | Aug 8, 2013 | Aug 7, 2013 |
| Bryan David Ward | Partnervest Advisory Services LLC other | Bancwest Investment Services, Inc. (Bwis) other | Other | Jul 22, 2013 | Jul 19, 2013 |
| Sophie Iliescu | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Bancwest Investment Services, Inc. (Bwis) other | Other | Jul 18, 2013 | Jul 19, 2013 |
| Francis Kulak | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Bancwest Investment Services, Inc. (Bwis) other | Other | Jun 13, 2013 | Feb 7, 2017 (1335 d) |
| Kun Li | Usaa Financial Planning Services no RAUM | Bancwest Investment Services, Inc. (Bwis) other | Other | Jun 7, 2013 | Jun 12, 2013 |
| Thomas Francis Bennett | New England Securities Corporation other | Bancwest Investment Services, Inc. (Bwis) other | Other | May 1, 2013 | Jun 11, 2013 (41 d) |
| Tiffney Chang | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Bancwest Investment Services, Inc. (Bwis) other | Other | Apr 25, 2013 | Apr 29, 2013 |
| Paul Michael Dorsey | Equitable Advisors, LLC national BD | Bancwest Investment Services, Inc. (Bwis) other | Other | Apr 25, 2013 | Apr 19, 2013 |
| Angie Linlin Feng | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Bancwest Investment Services, Inc. (Bwis) other | Other | Apr 9, 2013 | Apr 12, 2013 |
| Steve Lee | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Bancwest Investment Services, Inc. (Bwis) other | Other | Mar 6, 2013 | May 2, 2013 (57 d) |
| Gregory Surat | Charles Schwab & Co., Inc. national BD | Bancwest Investment Services, Inc. (Bwis) other | Other | Mar 4, 2013 | Aug 19, 2013 (168 d) |
| Bradley James Hanus | J. W. Cole Advisors, Inc. other | Bancwest Investment Services, Inc. (Bwis) other | Other | Feb 20, 2013 | Mar 7, 2013 |
| Mark Timothy Fitch | Edward Jones national BD | Bancwest Investment Services, Inc. (Bwis) other | Other | Feb 20, 2013 | Mar 5, 2013 |
| Jai Linh Huynh | J.P. Morgan Securities LLC wirehouse | Bancwest Investment Services, Inc. (Bwis) other | Other | Feb 14, 2013 | Feb 21, 2013 |
| Efrem D Jackson | Principal Asset Management other | Bancwest Investment Services, Inc. (Bwis) other | Other | Feb 8, 2013 | Feb 25, 2013 |
| Joseph Thomas Olson | Ameriprise Financial Services, LLC national BD | Bancwest Investment Services, Inc. (Bwis) other | Other | Feb 5, 2013 | Apr 10, 2013 (64 d) |
| Robert M Molnar | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Bancwest Investment Services, Inc. (Bwis) other | Other | Jan 30, 2013 | Nov 4, 2014 (643 d) |
| Peter Thomas Moormeier | Fisher Investments other | Bancwest Investment Services, Inc. (Bwis) other | Other | Dec 20, 2012 | Jan 9, 2013 |
| Scott Richard Ebert | Schwab Wealth Advisory, Inc. other | Bancwest Investment Services, Inc. (Bwis) BD affiliated | Other | Sep 26, 2012 | Dec 18, 2018 (2274 d) |
| Steven Han Yun | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Bancwest Investment Services, Inc. (Bwis) other | Other | Sep 26, 2012 | Jun 13, 2014 (625 d) |
| Sean Masao Umetsu | Bankoh Advisors other | Bancwest Investment Services, Inc. (Bwis) other | Other | Sep 20, 2012 | Sep 28, 2012 |
| Nicole Marie Emrick | Wells Fargo Advisors wirehouse | Bancwest Investment Services, Inc. (Bwis) other | Other | Sep 18, 2012 | Oct 15, 2012 |
| Chad Michael Webster | Sorrento Pacific Financial, LLC other | Bancwest Investment Services, Inc. (Bwis) other | Other | Sep 6, 2012 | Aug 16, 2012 |
| Nancy Barillas Vega | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Bancwest Investment Services, Inc. (Bwis) other | Other | Aug 29, 2012 | Oct 17, 2012 (49 d) |
| Susan Se Suk Lee | LPL Financial LLC other | Bancwest Investment Services, Inc. (Bwis) other | Other | Aug 20, 2012 | Aug 17, 2012 |
| Daniel Kanwar Singh Dhillon | Valic Financial Advisors, Inc. other | Bancwest Investment Services, Inc. (Bwis) other | Other | Aug 16, 2012 | Aug 15, 2012 |
| Nathan Leroy Bosek | Edward Jones national BD | Bancwest Investment Services, Inc. (Bwis) other | Other | Jul 31, 2012 | Aug 27, 2012 |
| Karen Lynn Johnston | Wells Fargo Advisors wirehouse | Bancwest Investment Services, Inc. (Bwis) other | Other | Jul 24, 2012 | Jul 13, 2012 |
| Liny Li | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Bancwest Investment Services, Inc. (Bwis) other | Other | Jul 11, 2012 | Nov 5, 2012 (117 d) |
| Michael Allen Reed | Wells Fargo Advisors wirehouse | Bancwest Investment Services, Inc. (Bwis) other | Other | Jun 25, 2012 | Jun 26, 2012 |
| David Michael Budd | Ims Capital Management other | Bancwest Investment Services, Inc. (Bwis) other | Other | Jun 19, 2012 | Jun 19, 2012 |
| Mohammed Bunyad | Wells Fargo Advisors wirehouse | Bancwest Investment Services, Inc. (Bwis) other | Other | May 22, 2012 | May 11, 2012 |
| Yen Chen | Wells Fargo Advisors wirehouse | Bancwest Investment Services, Inc. (Bwis) BD affiliated | Wirehouse to affiliated broker-dealer or bank | May 22, 2012 | Jun 25, 2018 (2225 d) |
| Sienna Pualani Yoshida | Bankoh Advisors other | Bancwest Investment Services, Inc. (Bwis) other | Other | May 15, 2012 | May 23, 2012 |
| Jitendra Chandershaikher Mehta | Ameriprise Financial Services, LLC national BD | Bancwest Investment Services, Inc. (Bwis) other | Other | May 3, 2012 | May 15, 2012 |
| Stephen Van Besien | Cenario Capital Management unclassified | Bancwest Investment Services, Inc. (Bwis) BD affiliated | Other | Mar 30, 2012 | Oct 16, 2019 (2756 d) |
| Ternel Norbert Martinez | Msi Financial Services, Inc. other | Bancwest Investment Services, Inc. (Bwis) other | Other | Mar 22, 2012 | Mar 22, 2012 |
| Andee Christine Vorel | Securities America Advisors, Inc. other | Bancwest Investment Services, Inc. (Bwis) other | Other | Feb 28, 2012 | Feb 25, 2014 (728 d) |
| Amber Lynn Kimie Suhas | E*Trade Capital Management, LLC other | Bancwest Investment Services, Inc. (Bwis) other | Other | Feb 21, 2012 | Feb 23, 2012 |
| Ryan Masayuki Uwono | Ameriprise Financial Services, LLC national BD | Bancwest Investment Services, Inc. (Bwis) other | Other | Jan 25, 2012 | Jan 17, 2012 |
| John Matthew Pierce | Bok Financial Advisors other | Bancwest Investment Services, Inc. (Bwis) other | Other | Jan 24, 2012 | Jan 26, 2012 |
| Clayton Harvey Riddell | J.P. Morgan Institutional Investments other | Bancwest Investment Services, Inc. (Bwis) other | Other | Dec 31, 2011 | Mar 24, 2015 (1179 d) |
| Jimmy Edward Rhymer | LPL Financial LLC other | Bancwest Investment Services, Inc. (Bwis) other | Other | Dec 21, 2011 | Dec 20, 2011 |
| Lorraine Sim | Essex National Securities, Inc. other | Bancwest Investment Services, Inc. (Bwis) other | Other | Dec 5, 2011 | Dec 20, 2011 |
| Amy Voong | LPL Financial LLC other | Bancwest Investment Services, Inc. (Bwis) other | Other | Nov 7, 2011 | Oct 18, 2011 |
| Gloria Rodriguez | Wells Fargo Advisors wirehouse | Bancwest Investment Services, Inc. (Bwis) other | Other | Oct 10, 2011 | Oct 13, 2011 |
| Tabrenia Lynn Davidson | Key Investment Services LLC other | Bancwest Investment Services, Inc. (Bwis) other | Other | Sep 16, 2011 | Sep 21, 2011 |
| Albert Armendariz | Securities America Advisors, Inc. other | Bancwest Investment Services, Inc. (Bwis) other | Other | Sep 14, 2011 | Sep 26, 2011 |
| Jeffrey Gene Engelman | Morgan Stanley wirehouse | Bancwest Investment Services, Inc. (Bwis) other | Other | Sep 13, 2011 | Sep 13, 2011 |
| Robyn L Martinez | Wells Fargo Advisors wirehouse | Bancwest Investment Services, Inc. (Bwis) other | Other | Sep 13, 2011 | Feb 23, 2012 (163 d) |
| Amy Lynne Shroff | U.S. Bancorp Investments, Inc. other | Bancwest Investment Services, Inc. (Bwis) other | Other | Aug 24, 2011 | Aug 16, 2011 |
| Craig Stephen Maytubby | Chase Investment Services Corp. other | Bancwest Investment Services, Inc. (Bwis) other | Other | Aug 18, 2011 | Aug 18, 2011 |
| David Robert Seufer | Transamerica Financial Advisors, LLC other | Bancwest Investment Services, Inc. (Bwis) other | Other | Jul 21, 2011 | Jul 26, 2011 |
| Chirho S Garcia | Chase Investment Services Corp. other | Bancwest Investment Services, Inc. (Bwis) other | Other | Jul 20, 2011 | Jul 19, 2011 |
| Theresa M Roberts | Carbahal Olsen Financial Services Group LLC other | Bancwest Investment Services, Inc. (Bwis) other | Other | Jul 15, 2011 | Jul 13, 2011 |
| Richard Bert Reed | Securities America Advisors, Inc. other | Bancwest Investment Services, Inc. (Bwis) other | Other | Jul 1, 2011 | Jul 11, 2011 |
| Michael Andrew Grodotzke | Ameriprise Financial Services, LLC national BD | Bancwest Investment Services, Inc. (Bwis) other | Other | Jun 30, 2011 | Jun 21, 2011 |
| Geoff Louis Grabe | Sorrento Pacific Financial, LLC other | Bancwest Investment Services, Inc. (Bwis) other | Other | May 31, 2011 | May 16, 2011 |
| Brandon Lee Jenkins | Ameriprise Financial Services, LLC national BD | Bancwest Investment Services, Inc. (Bwis) other | Other | May 13, 2011 | May 16, 2011 |