| Eric Scott Franklin | Wells Fargo Advisors wirehouse | First Citizens Investor Services, Inc. other | Other | Jun 25, 2014 | Jul 1, 2014 |
| Christopher Ryan Manning | Edward Jones national BD | First Citizens Investor Services, Inc. other | Other | Jun 4, 2014 | Jul 1, 2014 |
| Richard Kenneth Wiethorn | Essex National Securities, Inc. other | First Citizens Investor Services, Inc. other | Other | Jun 2, 2014 | Jun 4, 2014 |
| James Harrison Martin | Wells Fargo Advisors wirehouse | First Citizens Investor Services, Inc. other | Other | May 27, 2014 | Jun 2, 2014 |
| Michael Christopher Wilson | Comerica Securities other | First Citizens Investor Services, Inc. other | Other | Nov 14, 2013 | Dec 5, 2013 |
| Jacob Lee Hedrick | Suntrust Investment Services, Inc. other | First Citizens Investor Services, Inc. other | Other | Oct 14, 2013 | Oct 15, 2013 |
| Jeffrey Michael White | Ameriprise Financial Services, LLC national BD | First Citizens Investor Services, Inc. other | Other | Sep 16, 2013 | Sep 2, 2015 (716 d) |
| Marisa Beth Lindsey | Newport Group Securities, Inc. other | First Citizens Investor Services, Inc. other | Other | Aug 9, 2013 | Aug 12, 2013 |
| Eric Sheldon Stern | Morgan Stanley wirehouse | First Citizens Investor Services, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jul 9, 2013 | Jul 10, 2024 (4019 d) |
| Kemp Battle Mebane | Equitable Advisors, LLC national BD | First Citizens Investor Services, Inc. other | Other | Feb 26, 2013 | Feb 2, 2015 (706 d) |
| Brian Michael Mccormack | Captrust Financial Advisors other | First Citizens Investor Services, Inc. other | Other | Jan 10, 2013 | Jun 20, 2013 (161 d) |
| Ernest L Kiefer | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | First Citizens Investor Services, Inc. other | Other | Dec 18, 2012 | Dec 19, 2012 |
| Clinton Jonathan Allen | Morgan Stanley wirehouse | First Citizens Investor Services, Inc. other | Other | Oct 5, 2012 | Sep 20, 2012 |
| Robert Keith Tilson | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | First Citizens Investor Services, Inc. other | Other | Sep 7, 2012 | Sep 19, 2012 |
| Marcus Eugene Atkinson | Suntrust Investment Services, Inc. other | First Citizens Investor Services, Inc. other | Other | Aug 21, 2012 | Aug 27, 2012 |
| Robin Keith Miller | Suntrust Investment Services, Inc. other | First Citizens Investor Services, Inc. other | Other | Jul 31, 2012 | Jul 29, 2014 (728 d) |
| Brian Merritt Sherwood | Nationwide Investment Advisors, LLC other | First Citizens Investor Services, Inc. other | Other | Jun 4, 2012 | Oct 1, 2013 (484 d) |
| Karen Michelle Hamlin | Wells Fargo Advisors wirehouse | First Citizens Investor Services, Inc. other | Other | May 9, 2012 | May 6, 2014 (727 d) |
| John Gary Bennett | Morgan Stanley wirehouse | First Citizens Investor Services, Inc. other | Other | Apr 12, 2012 | Apr 2, 2012 |
| Jonathan Andrew Ingram | Msi Financial Services, Inc. other | First Citizens Investor Services, Inc. other | Other | Nov 23, 2011 | Nov 4, 2011 |
| Shawn Startti | First Allied Securities, Inc. other | First Citizens Investor Services, Inc. other | Other | Oct 17, 2011 | Nov 2, 2011 |
| Nelson Mahan Kelly | Winthrop Capital Management other | First Citizens Investor Services, Inc. other | Other | Jul 19, 2011 | Aug 15, 2011 |
| Jonathan Frank Woodward | Synovus Securities, Inc. other | First Citizens Investor Services, Inc. other | Other | Jun 29, 2011 | Mar 8, 2012 (253 d) |
| Jay Allen Wilderman | Wells Fargo Advisors wirehouse | First Citizens Investor Services, Inc. other | Other | May 17, 2011 | Oct 7, 2011 (143 d) |
| Thomas Sanderlin Owens | Suntrust Investment Services, Inc. other | First Citizens Investor Services, Inc. other | Other | May 13, 2011 | Jun 8, 2011 |
| Joseph Weston Norton | Msi Financial Services, Inc. other | First Citizens Investor Services, Inc. other | Other | Apr 19, 2011 | Nov 12, 2014 (1303 d) |
| Kenneth Hayes Marsh | Wells Fargo Advisors wirehouse | First Citizens Investor Services, Inc. other | Other | Mar 29, 2011 | Apr 27, 2011 |
| Faith Goldman Rash | Cic Advisers, LLC unclassified | First Citizens Investor Services, Inc. other | Other | Jan 18, 2011 | Jan 24, 2011 |
| David Winfield Miller | Edward Jones national BD | First Citizens Investor Services, Inc. other | Other | Jan 10, 2011 | May 9, 2011 (119 d) |
| William Robert Wiggins | Cic Advisers, LLC unclassified | First Citizens Investor Services, Inc. other | Other | Jan 5, 2011 | Jan 4, 2011 |
| Amy Melissa Keating | Cantella & Co., Inc. other | First Citizens Investor Services, Inc. BD affiliated | Other | Oct 15, 2010 | Nov 17, 2021 (4051 d) |
| Julie S Carroll | Morgan Stanley wirehouse | First Citizens Investor Services, Inc. other | Other | Oct 11, 2010 | Sep 20, 2010 |
| Ashley Moody Gallion | Edward Jones national BD | First Citizens Investor Services, Inc. other | Other | Sep 29, 2010 | Sep 27, 2010 |
| Angela Marie Sanders | Wells Fargo Advisors wirehouse | First Citizens Investor Services, Inc. other | Other | Jul 22, 2010 | Oct 4, 2010 (74 d) |
| Frances Opfer Cronlund | Bb&T Asset Management, Inc. unclassified | First Citizens Investor Services, Inc. other | Other | Jul 8, 2010 | Jul 26, 2010 |
| Rene Michelle Karsko | Osaic Fs, Inc. other | First Citizens Investor Services, Inc. other | Other | Apr 13, 2010 | Sep 15, 2011 (520 d) |
| Charles Reid Fridinger | Concourse Financial Group Advisors other | First Citizens Investor Services, Inc. other | Other | Nov 17, 2009 | Dec 2, 2010 (380 d) |
| Robert Lee Dickinson | Valic Financial Advisors, Inc. other | First Citizens Investor Services, Inc. other | Other | Aug 26, 2009 | Aug 27, 2013 (1462 d) |
| Martin Davis Hensley | Suntrust Investment Services, Inc. other | First Citizens Investor Services, Inc. other | Other | Aug 5, 2009 | Aug 4, 2009 |
| Chad Everette Reynolds | Bb&T Investment Services, Inc. no RAUM | First Citizens Investor Services, Inc. other | Other | Aug 5, 2009 | Aug 18, 2009 |
| Trent R. Storino | Principal Securities, Inc. other | First Citizens Investor Services, Inc. other | Other | Jul 6, 2009 | Jul 13, 2009 |
| Alexander R Bastron | Cambridge Investment Research Advisors, Inc. other | First Citizens Investor Services, Inc. other | Other | Mar 17, 2009 | Mar 17, 2009 |
| Christina K Wilson | Banc Of America Investment Services, Inc. unclassified | First Citizens Investor Services, Inc. BD affiliated | Other | Jan 29, 2009 | Jan 15, 2025 (5830 d) |
| Todd Alan Davis | Pasi Investments, LLC other | First Citizens Investor Services, Inc. BD affiliated | Other | Nov 6, 2008 | Jun 9, 2025 (6059 d) |
| Troy Lee Fairbank | Ironstone Securities, Inc. unclassified | First Citizens Investor Services, Inc. other | Other | Oct 1, 2008 | Oct 1, 2008 |
| Cameron Merrill Evans | LPL Financial LLC other | First Citizens Investor Services, Inc. other | Other | May 13, 2008 | Jun 24, 2008 (42 d) |
| Ralph Santford Garner | Bb&T Investment Services, Inc. no RAUM | First Citizens Investor Services, Inc. other | Other | Mar 24, 2008 | Apr 3, 2008 |
| Michael James Junior Bryant | Uvest Financial Services Group, Inc. unclassified | First Citizens Investor Services, Inc. other | Other | Feb 20, 2008 | Feb 27, 2008 |
| Charice Estelle Biggins | Edward Jones national BD | First Citizens Investor Services, Inc. other | Other | Jan 9, 2008 | Feb 19, 2008 (41 d) |
| Adam Paul Davis | Bb&T Investment Services, Inc. no RAUM | First Citizens Investor Services, Inc. other | Other | Oct 24, 2007 | Feb 21, 2018 (3773 d) |
| Frederick Perry Turner | Bb&T Investment Services, Inc. no RAUM | First Citizens Investor Services, Inc. other | Other | Sep 26, 2007 | Oct 11, 2007 |
| Theresa Lloyd Harris | Waddell & Reed other | First Citizens Investor Services, Inc. other | Other | Sep 13, 2007 | Apr 8, 2008 (208 d) |
| Brian Gary Tarrant | Morgan Stanley & Co. LLC unclassified | First Citizens Investor Services, Inc. other | Other | Aug 13, 2007 | Jan 29, 2008 (169 d) |
| Stephen Michael Fleming | Suntrust Investment Services, Inc. other | First Citizens Investor Services, Inc. other | Other | Aug 7, 2007 | Aug 7, 2007 |
| Thomas J Brunson | Equitable Advisors, LLC national BD | First Citizens Investor Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jan 4, 2007 | Mar 10, 2022 (5544 d) |
| James Mark Appleby | Morgan Stanley Dw Inc. unclassified | First Citizens Investor Services, Inc. other | Other | Nov 15, 2006 | May 22, 2007 (188 d) |
| Jamie Gayle Smothers | Ameriprise Financial Services, LLC national BD | First Citizens Investor Services, Inc. other | Other | Sep 20, 2006 | Sep 27, 2006 |
| Charles Gardner Claus | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | First Citizens Investor Services, Inc. other | Other | Mar 7, 2006 | Mar 3, 2006 |
| Richard Robert Loy | Morgan Stanley Dw Inc. unclassified | First Citizens Investor Services, Inc. other | Other | Mar 2, 2006 | Mar 3, 2006 |
| William Ward Allen | Northwestern Mutual Investment Services,LLC other | First Citizens Investor Services, Inc. other | Other | Feb 23, 2006 | Feb 27, 2006 |