| Andrea Lynn Empie | Msi Financial Services, Inc. other | Hornor, Townsend & Kent, LLC other | Other | Dec 3, 2015 | Dec 8, 2015 |
| James Harold Ross | Msi Financial Services, Inc. other | Hornor, Townsend & Kent, LLC other | Other | Nov 24, 2015 | Dec 11, 2015 |
| Michael Isaac Cooper | Ernst & Young Investment Advisers Llp no RAUM | Hornor, Townsend & Kent, LLC other | Other | Nov 20, 2015 | Feb 25, 2016 (97 d) |
| Nils Alain Nolan | Park Avenue Securities LLC other | Hornor, Townsend & Kent, LLC other | Other | Nov 20, 2015 | Dec 11, 2015 |
| Gregory A Herbison | Morgan Stanley wirehouse | Hornor, Townsend & Kent, LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Nov 18, 2015 | Mar 19, 2021 (1948 d) |
| Christopher J Kilrain | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Hornor, Townsend & Kent, LLC other | Other | Oct 20, 2015 | Nov 13, 2015 |
| Donald Gregory White | Oneamerica Securities, Inc. other | Hornor, Townsend & Kent, LLC other | Other | Oct 7, 2015 | Jan 25, 2017 (476 d) |
| Nicholas Anthony Crippen | Equitable Advisors, LLC national BD | Hornor, Townsend & Kent, LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 6, 2015 | Oct 16, 2020 (1837 d) |
| Gregory Carl Drozdow | Mcadam LLC other | Hornor, Townsend & Kent, LLC other | Other | Sep 25, 2015 | Oct 14, 2015 |
| Devaron Maurius Yates | Waddell & Reed other | Hornor, Townsend & Kent, LLC other | Other | Sep 8, 2015 | Sep 21, 2015 |
| David Brian Vaikness | 1st Global Advisors Inc other | Hornor, Townsend & Kent, LLC other | Other | Jul 13, 2015 | Mar 29, 2016 (260 d) |
| Tara Elizabeth Stewart | Pruco Securities, LLC other | Hornor, Townsend & Kent, LLC other | Other | Jun 2, 2015 | Nov 6, 2015 (157 d) |
| Richard Alan Hellberg | Merion Wealth Partners, LLC other | Hornor, Townsend & Kent, LLC other | Other | Jun 2, 2015 | Jun 9, 2015 |
| Michael David Kendall | Pruco Securities, LLC other | Hornor, Townsend & Kent, LLC other | Other | May 29, 2015 | Jul 6, 2015 (38 d) |
| Nancy Keosathit Guynn | Msi Financial Services, Inc. other | Hornor, Townsend & Kent, LLC other | Other | May 22, 2015 | Jan 27, 2016 (250 d) |
| John R Hack | Private Client Services, LLC other | Hornor, Townsend & Kent, LLC other | Other | May 14, 2015 | Jan 14, 2016 (245 d) |
| Paul Bullara | Park Avenue Securities LLC other | Hornor, Townsend & Kent, LLC other | Other | May 8, 2015 | Jul 17, 2015 (70 d) |
| Andrew Richard Hauber | Msi Financial Services, Inc. other | Hornor, Townsend & Kent, LLC other | Other | Mar 23, 2015 | Apr 15, 2015 |
| Kevin David Crowley | Msi Financial Services, Inc. other | Hornor, Townsend & Kent, LLC other | Other | Mar 23, 2015 | Apr 15, 2015 |
| Jigisha Himanshoo Thakor | Msi Financial Services, Inc. other | Hornor, Townsend & Kent, LLC other | Other | Mar 10, 2015 | Apr 15, 2015 (36 d) |
| Isidore R Ogoussan | Msi Financial Services, Inc. other | Hornor, Townsend & Kent, LLC other | Other | Feb 20, 2015 | Feb 23, 2015 |
| Todd Robert Ockovic | Msi Financial Services, Inc. other | Hornor, Townsend & Kent, LLC other | Other | Feb 18, 2015 | Mar 6, 2015 |
| James Patrick Bergmaier | Msi Financial Services, Inc. other | Hornor, Townsend & Kent, LLC other | Other | Feb 18, 2015 | Feb 25, 2015 |
| Christopher Todd Chilcoat | Msi Financial Services, Inc. other | Hornor, Townsend & Kent, LLC other | Other | Feb 9, 2015 | Apr 10, 2015 (60 d) |
| Jefferson John Nash | Avantax Advisory Services other | Hornor, Townsend & Kent, LLC other | Other | Jan 27, 2015 | Sep 24, 2015 (240 d) |
| William David Chambley | Equitable Advisors, LLC national BD | Hornor, Townsend & Kent, LLC other | Other | Jan 22, 2015 | Jan 29, 2015 |
| Izella Annette Anderson | MML Investors Services, LLC other | Hornor, Townsend & Kent, LLC other | Other | Jan 13, 2015 | Sep 8, 2015 (238 d) |
| Chase Michael Vaseleou | Morgan Stanley wirehouse | Hornor, Townsend & Kent, LLC other | Other | Jan 6, 2015 | Feb 25, 2015 (50 d) |
| Christopher James Selvar | Pruco Securities, LLC other | Hornor, Townsend & Kent, LLC other | Other | Jan 5, 2015 | Jun 10, 2015 (156 d) |
| Brett Michael Palmquist | Wells Fargo Advisors wirehouse | Hornor, Townsend & Kent, LLC other | Other | Jan 2, 2015 | Jan 16, 2015 |
| Ryan John Shanley | New England Securities Corporation other | Hornor, Townsend & Kent, LLC other | Other | Dec 24, 2014 | Mar 2, 2015 (68 d) |
| Andrew Lee Burton | Northwestern Mutual Investment Services,LLC other | Hornor, Townsend & Kent, LLC other | Other | Dec 22, 2014 | Feb 12, 2015 (52 d) |
| Jeffrey Allen Borrowman | U.S. Bancorp Investments, Inc. other | Hornor, Townsend & Kent, LLC BD affiliated | Other | Dec 19, 2014 | Jun 16, 2020 (2006 d) |
| William Arthur Keeney | First Command Financial Planning, Inc. other | Hornor, Townsend & Kent, LLC other | Other | Dec 18, 2014 | Jun 4, 2015 (168 d) |
| Marc J Bernstein | Msi Financial Services, Inc. other | Hornor, Townsend & Kent, LLC other | Other | Dec 10, 2014 | Mar 31, 2015 (111 d) |
| Thomas Jude Semmes Hughs | Hancock Whitney Investment Services Inc. other | Hornor, Townsend & Kent, LLC other | Other | Dec 2, 2014 | Jul 16, 2015 (226 d) |
| Tinh Trong Vu | Principal Securities, Inc. other | Hornor, Townsend & Kent, LLC other | Other | Nov 6, 2014 | Feb 10, 2015 (96 d) |
| Nicholas Richard Weidman | Msi Financial Services, Inc. other | Hornor, Townsend & Kent, LLC other | Other | Nov 6, 2014 | Dec 23, 2014 (47 d) |
| Fernando A Pohina | Pruco Securities, LLC other | Hornor, Townsend & Kent, LLC other | Other | Oct 14, 2014 | Jul 6, 2015 (265 d) |
| Erick Gerardo Colon | Voya Financial Advisors, Inc. other | Hornor, Townsend & Kent, LLC other | Other | Oct 3, 2014 | Nov 3, 2014 (31 d) |
| Blake Charles Knoefel | Crown Capital Securities, L.P. other | Hornor, Townsend & Kent, LLC other | Other | Sep 30, 2014 | Oct 27, 2014 |
| Trevor M Williams | Janney Montgomery Scott LLC other | Hornor, Townsend & Kent, LLC other | Other | Sep 10, 2014 | Nov 3, 2014 (54 d) |
| Richard Donado | Pruco Securities, LLC other | Hornor, Townsend & Kent, LLC other | Other | Sep 9, 2014 | Jan 30, 2015 (143 d) |
| Justin Shad Mcneal | Park Avenue Securities LLC other | Hornor, Townsend & Kent, LLC other | Other | Jun 12, 2014 | Aug 8, 2014 (57 d) |
| Erin Marie Jagusak | Janney Montgomery Scott LLC other | Hornor, Townsend & Kent, LLC BD affiliated | Other | May 23, 2014 | Jul 22, 2023 (3347 d) |
| Brendan Morgan Farrelly | Park Avenue Securities LLC other | Hornor, Townsend & Kent, LLC other | Other | May 8, 2014 | Jun 11, 2014 (34 d) |
| Charles Joseph Ingulli | Park Avenue Securities LLC other | Hornor, Townsend & Kent, LLC other | Other | May 6, 2014 | May 30, 2014 |
| Donald Craig Rogers | Questar Asset Management, Inc. other | Hornor, Townsend & Kent, LLC other | Other | Apr 16, 2014 | Mar 17, 2016 (701 d) |
| Michael Craig Rothrock | Msi Financial Services, Inc. other | Hornor, Townsend & Kent, LLC other | Other | Apr 14, 2014 | Jun 5, 2014 (52 d) |
| Jon Edward Maitz | Msi Financial Services, Inc. other | Hornor, Townsend & Kent, LLC other | Other | Apr 14, 2014 | Jun 13, 2014 (60 d) |
| Richard Douglas Weinstein | Osaic Wealth, Inc. other | Hornor, Townsend & Kent, LLC other | Other | Mar 7, 2014 | Sep 9, 2014 (186 d) |
| Richard Louis Galzarano | Pruco Securities, LLC other | Hornor, Townsend & Kent, LLC other | Other | Feb 12, 2014 | Apr 2, 2014 (49 d) |
| Danielle Edwards | Waddell & Reed other | Hornor, Townsend & Kent, LLC other | Other | Feb 4, 2014 | Apr 18, 2014 (73 d) |
| Dennis Michael Dean | New England Securities Corporation other | Hornor, Townsend & Kent, LLC other | Other | Jan 22, 2014 | Feb 26, 2014 (35 d) |
| Sarabjeet Singh Thapar | Equitable Advisors, LLC national BD | Hornor, Townsend & Kent, LLC other | Other | Jan 16, 2014 | Feb 18, 2014 (33 d) |
| Bruce Alfred Bird | MML Investors Services, LLC other | Hornor, Townsend & Kent, LLC other | Other | Jan 13, 2014 | Apr 24, 2014 (101 d) |
| Tiiffany Mah Maclean | Valley Forge Asset Management, LLC other | Hornor, Townsend & Kent, LLC other | Other | Jan 9, 2014 | Mar 25, 2014 (75 d) |
| Cynthia Lynn Early | Edward Jones national BD | Hornor, Townsend & Kent, LLC other | Other | Jan 7, 2014 | Apr 6, 2015 (454 d) |
| Pai-Su Kang | Esi Financial Advisors other | Hornor, Townsend & Kent, LLC other | Other | Dec 24, 2013 | Mar 11, 2014 (77 d) |
| Tracy Zimmerer | MML Investors Services, LLC other | Hornor, Townsend & Kent, LLC other | Other | Dec 20, 2013 | Feb 13, 2014 (55 d) |