| J. Burke Howard | Ameritas Advisory Services other | Nfp Advisor Services, LLC other | Other | Jul 24, 2009 | Jun 29, 2009 |
| Peter Raymond Christie | Huntington Financial Advisors other | Nfp Advisor Services, LLC other | Other | Jul 2, 2009 | Jul 27, 2009 |
| John Constantine Rousos | Suntrust Investment Services, Inc. other | Nfp Advisor Services, LLC other | Other | Jul 2, 2009 | May 10, 2010 (312 d) |
| Jason Bezanson Maples | Hornor, Townsend & Kent, LLC other | Nfp Advisor Services, LLC other | Other | Jun 9, 2009 | Jun 1, 2009 |
| Robert Paul Marcoux | UBS Financial Services Inc. wirehouse | Nfp Advisor Services, LLC other | Other | May 13, 2009 | Jun 2, 2009 |
| Mark Vaughn Snider | Cetera Advisors LLC other | Nfp Advisor Services, LLC other | Other | May 4, 2009 | May 1, 2009 |
| Joyce M Mcdaniel | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Nfp Advisor Services, LLC other | Other | Apr 29, 2009 | Jul 31, 2009 (93 d) |
| Gary Allen Harris | Voya Financial Advisors, Inc. other | Nfp Advisor Services, LLC other | Other | Mar 23, 2009 | Mar 20, 2009 |
| Nikhil K Majithia | Vantage Financial Partners Limited other | Nfp Advisor Services, LLC other | Other | Mar 11, 2009 | May 19, 2011 (799 d) |
| Robert Bradley Knowles | Voya Financial Advisors, Inc. other | Nfp Advisor Services, LLC other | Other | Mar 2, 2009 | Feb 27, 2009 |
| Michael Paul Ziccardi | Cbiz Retirement Plan Advisory Services other | Nfp Advisor Services, LLC other | Other | Feb 5, 2009 | Aug 17, 2012 (1289 d) |
| Timothy Alexander Quigley | Msi Financial Services, Inc. other | Nfp Advisor Services, LLC other | Other | Jan 23, 2009 | Jan 4, 2010 (346 d) |
| John E. Layug | Chesapeake Advisors, Inc. unclassified | Nfp Advisor Services, LLC other | Other | Jan 9, 2009 | Oct 10, 2008 |
| Julie Denise Mcdaniel | UBS Financial Services Inc. wirehouse | Nfp Advisor Services, LLC other | Other | Jan 7, 2009 | Apr 13, 2009 (96 d) |
| James Brennan | Wells Fargo Advisors wirehouse | Nfp Advisor Services, LLC other | Other | Jan 2, 2009 | Jan 5, 2009 |
| Richard John Brock | Tice Mcninch Capital Management, Inc. unclassified | Nfp Advisor Services, LLC other | Other | Dec 31, 2008 | Jan 16, 2009 |
| Matthew Philip Douglas | Equitable Advisors, LLC national BD | Nfp Advisor Services, LLC other | Other | Dec 31, 2008 | Feb 27, 2009 (58 d) |
| Kenneth Jeffrey Hanna | Stancorp Investment Advisers, Inc. other | Nfp Advisor Services, LLC other | Other | Dec 31, 2008 | Feb 11, 2009 (42 d) |
| John James Sullivan | Capital Management Consultants,Inc. unclassified | Nfp Advisor Services, LLC other | Other | Dec 9, 2008 | Jul 26, 2007 |
| Jeffrey P Deiss | Citigroup Global Markets Inc. other | Nfp Advisor Services, LLC other | Other | Nov 21, 2008 | Apr 13, 2009 (143 d) |
| Steven Ira Hein | Avantax Advisory Services other | Nfp Advisor Services, LLC other | Other | Nov 12, 2008 | Nov 14, 2007 |
| Jo Ann Elisabeth Favia | Park Avenue Securities LLC other | Nfp Advisor Services, LLC other | Other | Nov 7, 2008 | Nov 5, 2008 |
| Sherrie Lynn Keylon | MML Investors Services, LLC other | Nfp Advisor Services, LLC other | Other | Nov 6, 2008 | Nov 11, 2008 |
| Scott Taylor Steves | Voya Financial Advisors, Inc. other | Nfp Advisor Services, LLC other | Other | Nov 3, 2008 | Oct 31, 2008 |
| Sekhar Vemparala | Qa3 Financial LLC unclassified | Nfp Advisor Services, LLC other | Other | Oct 16, 2008 | Oct 9, 2008 |
| Joe Malave | Next Financial Group, Inc. other | Nfp Advisor Services, LLC other | Other | Oct 13, 2008 | Oct 20, 2008 |
| Michael Steven Welger | Cadaret Grant & Co Inc other | Nfp Advisor Services, LLC other | Other | Oct 8, 2008 | Oct 9, 2008 |
| Robin Michael Slaughter | Cic Advisers, LLC unclassified | Nfp Advisor Services, LLC other | Other | Sep 8, 2008 | Sep 8, 2008 |
| Steven Michael Kampwerth | Banc Of America Investment Services, Inc. unclassified | Nfp Advisor Services, LLC other | Other | Sep 4, 2008 | Oct 28, 2008 (54 d) |
| Edmundo Gerardo Fuentes | Lincoln Financial Distributors, Inc. unclassified | Nfp Advisor Services, LLC other | Other | Aug 25, 2008 | Jan 26, 2016 (2710 d) |
| Mark Allen Schweiss | Moneta Group Investment Advisors, LLC other | Nfp Advisor Services, LLC other | Other | Aug 25, 2008 | Sep 8, 2008 |
| Kimberly M. Silvestri | Credit Suisse Securities (USA) LLC other | Nfp Advisor Services, LLC other | Other | Aug 1, 2008 | May 7, 2009 (279 d) |
| William Thomas Downey | Wells Fargo Advisors wirehouse | Nfp Advisor Services, LLC other | Other | Jul 23, 2008 | Oct 14, 2010 (813 d) |
| Donald Anthony Cafero | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Nfp Advisor Services, LLC other | Other | Jul 15, 2008 | Sep 2, 2008 (49 d) |
| Jody Kim Hinsey | Investment Advisors International, Inc. unclassified | Nfp Advisor Services, LLC other | Other | Jul 7, 2008 | May 3, 2010 (665 d) |
| Patrick Allen Haney | Osaic Fa, Inc. other | Nfp Advisor Services, LLC other | Other | Apr 9, 2008 | Apr 22, 2008 |
| Mitchell Keith Smith | Osaic Fs, Inc. other | Nfp Advisor Services, LLC other | Other | Apr 2, 2008 | Apr 7, 2008 |
| Connie John Reha | Osaic Fs, Inc. other | Nfp Advisor Services, LLC other | Other | Apr 1, 2008 | Apr 4, 2008 |
| Joel Wayne Josephs | Osaic Fs, Inc. other | Nfp Advisor Services, LLC other | Other | Mar 31, 2008 | Mar 18, 2008 |
| Christopher George Nichols | Osaic Fs, Inc. other | Nfp Advisor Services, LLC other | Other | Mar 31, 2008 | Mar 18, 2008 |
| Daintry Noelle Price | Cetera Advisor Networks LLC other | Nfp Advisor Services, LLC other | Other | Feb 20, 2008 | Jan 31, 2008 |
| Michael J Calandruccio | Ifmg Securities, Inc. unclassified | Nfp Advisor Services, LLC other | Other | Feb 19, 2008 | Feb 1, 2008 |
| Ronald Goldberg | Park Avenue Securities LLC other | Nfp Advisor Services, LLC other | Other | Feb 8, 2008 | Jan 30, 2008 |
| Robert B Wellendorf | MML Investors Services, LLC other | Nfp Advisor Services, LLC other | Other | Jan 31, 2008 | Feb 1, 2008 |
| Kurt Charles Jackson | UBS Financial Services Inc. wirehouse | Nfp Advisor Services, LLC other | Other | Jan 17, 2008 | Jan 9, 2008 |
| Leo Dominic Barczewski | Uvest Financial Services Group, Inc. unclassified | Nfp Advisor Services, LLC other | Other | Jan 15, 2008 | Jan 18, 2008 |
| Mickey Shawn Bryan | Equitable Advisors, LLC national BD | Nfp Advisor Services, LLC other | Other | Jan 14, 2008 | Jan 18, 2012 (1465 d) |
| Dale Robert Scofield | Ameriprise Financial Services, LLC national BD | Nfp Advisor Services, LLC other | Other | Jan 2, 2008 | Jan 22, 2008 |
| Sally Brandt Lieb | Voya Financial Advisors, Inc. other | Nfp Advisor Services, LLC other | Other | Dec 31, 2007 | Jan 2, 2008 |
| John Thomas Chatmas | Morgan Keegan & Company, LLC other | Nfp Advisor Services, LLC other | Other | Dec 5, 2007 | Nov 29, 2007 |
| Jason Godfrey Lytle | M Holdings Securities, Inc. other | Nfp Advisor Services, LLC other | Other | Nov 15, 2007 | Nov 20, 2007 |
| Michael Spencer Ledford | First Horizon Advisors, Inc other | Nfp Advisor Services, LLC other | Other | Nov 8, 2007 | Nov 9, 2007 |
| Dennis F Weldon | New England Securities Corporation other | Nfp Advisor Services, LLC other | Other | Oct 29, 2007 | Jun 4, 2008 (219 d) |
| Robert Franklin | 1717 Capital Management Company unclassified | Nfp Advisor Services, LLC other | Other | Oct 26, 2007 | Oct 29, 2007 |
| Rebecca Lauren Trachtenberg | Morgan Stanley & Co. LLC unclassified | Nfp Advisor Services, LLC other | Other | Oct 26, 2007 | Mar 13, 2012 (1600 d) |
| Jeffrey Thomas Loehwing | Mfp Strategies other | Nfp Advisor Services, LLC other | Other | Oct 15, 2007 | Jan 14, 2008 (91 d) |
| Thomas Gene Bartley | Citigroup Global Markets Inc. other | Nfp Advisor Services, LLC other | Other | Oct 11, 2007 | Nov 8, 2007 |
| David Wayne Johnston | Northwestern Mutual Investment Services,LLC other | Nfp Advisor Services, LLC other | Other | Oct 4, 2007 | Oct 1, 2007 |
| James Alan Ian Laschinger | Mmc Securities LLC no RAUM | Nfp Advisor Services, LLC other | Other | Oct 2, 2007 | Oct 18, 2007 |
| Blair Hunt Rogers | Summit Financial Group unclassified | Nfp Advisor Services, LLC other | Other | Oct 1, 2007 | Oct 18, 2006 |