| Christopher Pace | Edward Jones national BD | Key Investment Services LLC BD affiliated | Affiliated broker-dealer or bank to another | May 31, 2018 | Jul 11, 2018 (41 d) |
| Daniel Zamoshnikov | Waddell & Reed BD affiliated | Key Investment Services LLC BD affiliated | Affiliated broker-dealer or bank to another | May 22, 2018 | Nov 17, 2021 (1275 d) |
| Marcus Burns | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Key Investment Services LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Apr 17, 2018 | Jul 11, 2018 (85 d) |
| Josh W Oliver | Aurora Private Wealth, Inc. independent RIA | Key Investment Services LLC BD affiliated | RIA to affiliated broker-dealer or bank | Apr 17, 2018 | Apr 24, 2018 |
| Alfred David Barbato | Wells Fargo Advisors wirehouse | Key Investment Services LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Apr 5, 2018 | Apr 16, 2018 |
| Paul Henry Partridge | Pnc Wealth Management BD affiliated | Key Investment Services LLC BD affiliated | Affiliated broker-dealer or bank to another | Mar 19, 2018 | Feb 15, 2019 (333 d) |
| Susan Mara Berchak | Scottrade Investment Management BD affiliated | Key Investment Services LLC BD affiliated | Affiliated broker-dealer or bank to another | Mar 9, 2018 | Jan 30, 2019 (327 d) |
| Jason Joseph Tarr | Capital One Advisors, LLC other | Key Investment Services LLC BD affiliated | Other | Mar 6, 2018 | Mar 6, 2018 |
| Kimberly A Barley | Citizens Securities, Inc. BD affiliated | Key Investment Services LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 9, 2018 | Sep 16, 2019 (584 d) |
| David Jonathan Dershteller | Umb Financial Services, Inc. other | Key Investment Services LLC BD affiliated | Other | Jan 17, 2018 | Feb 16, 2018 |
| Michael G Costa | Citizens Securities, Inc. BD affiliated | Key Investment Services LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 26, 2017 | Apr 10, 2019 (470 d) |
| Geoffrey Michael James | Wells Fargo Advisors wirehouse | Key Investment Services LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Nov 29, 2017 | Jan 25, 2022 (1518 d) |
| Justin Michael Wainwright | Citigroup Global Markets Inc. other | Key Investment Services LLC BD affiliated | Other | Oct 12, 2017 | Jun 12, 2025 (2800 d) |
| Keven Lee Graber | Citizens Securities, Inc. other | Key Investment Services LLC other | Other | Oct 9, 2017 | Oct 9, 2017 |
| Carlos Emmanuel Salmon | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Key Investment Services LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Aug 23, 2017 | Jan 17, 2018 (147 d) |
| Patrick Stephen Mullen | Santander Securities other | Key Investment Services LLC other | Other | Aug 22, 2017 | Sep 5, 2017 |
| Daniel Lee Weidenhammer | Santander Securities other | Key Investment Services LLC other | Other | Aug 22, 2017 | Sep 5, 2017 |
| Richard Todd Evans | Valic Financial Advisors, Inc. other | Key Investment Services LLC BD affiliated | Other | Aug 10, 2017 | Aug 26, 2020 (1112 d) |
| Brett Alan Garver | MML Investors Services, LLC other | Key Investment Services LLC other | Other | Aug 2, 2017 | Aug 3, 2017 |
| Erica Leigh Acheson-Dunay | Fifth Third Securities, Inc. other | Key Investment Services LLC BD affiliated | Other | Aug 1, 2017 | Jan 3, 2019 (520 d) |
| Ryan B Slater | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Key Investment Services LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jul 28, 2017 | Mar 29, 2021 (1340 d) |
| Joan B Kaye | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Key Investment Services LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jul 19, 2017 | Mar 26, 2021 (1346 d) |
| Michael Christopher Clementi | Equitable Advisors, LLC national BD | Key Investment Services LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 13, 2017 | Jul 2, 2022 (1845 d) |
| Kenneth Simon | Edward Jones national BD | Key Investment Services LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 1, 2017 | Mar 26, 2021 (1394 d) |
| John Joseph Scarpino | First Command Advisory Services other | Key Investment Services LLC BD affiliated | Other | May 18, 2017 | Mar 26, 2021 (1408 d) |
| Brian Kenneth Marois | Osaic Institutions, Inc. other | Key Investment Services LLC other | Other | May 10, 2017 | May 9, 2017 |
| Daniel Christopher Damore | Ameriprise Financial Services, LLC national BD | Key Investment Services LLC other | Other | May 5, 2017 | May 8, 2017 |
| Douglas M Gibson | Pnc Wealth Management other | Key Investment Services LLC BD affiliated | Other | May 3, 2017 | Jan 29, 2019 (636 d) |
| Brian M Haschke | Pnc Wealth Management other | Key Investment Services LLC BD affiliated | Other | May 2, 2017 | Dec 15, 2017 (227 d) |
| Paul Andrew Muskin | Pnc Wealth Management other | Key Investment Services LLC other | Other | Apr 28, 2017 | May 2, 2017 |
| Richard Resling | Pnc Wealth Management other | Key Investment Services LLC BD affiliated | Other | Apr 28, 2017 | Mar 10, 2021 (1412 d) |
| Mehnmah Marie Reeves | Wells Fargo Advisors wirehouse | Key Investment Services LLC other | Other | Mar 13, 2017 | Mar 13, 2017 |
| Brian David Weigel | Citizens Securities, Inc. other | Key Investment Services LLC BD affiliated | Other | Mar 13, 2017 | Dec 3, 2019 (995 d) |
| Thomas Francis Scaturro | Wells Fargo Advisors wirehouse | Key Investment Services LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jan 10, 2017 | Mar 26, 2021 (1536 d) |
| Carmine Rae Lafleur | Valic Financial Advisors, Inc. other | Key Investment Services LLC other | Other | Dec 15, 2016 | Mar 6, 2017 (81 d) |
| Dennis John Keyser | Osaic Institutions, Inc. other | Key Investment Services LLC other | Other | Dec 9, 2016 | Dec 12, 2016 |
| Diane Johns Gilger | LPL Financial LLC other | Key Investment Services LLC BD affiliated | Other | Dec 4, 2016 | Mar 11, 2024 (2654 d) |
| Jonathan Paul Fucci | Osaic Institutions, Inc. other | Key Investment Services LLC other | Other | Nov 28, 2016 | Dec 1, 2016 |
| Jason Wayne Wegner | Wells Fargo Advisors wirehouse | Key Investment Services LLC other | Other | Oct 31, 2016 | Nov 1, 2016 |
| Sean Michael Jones | Wells Fargo Advisors wirehouse | Key Investment Services LLC other | Other | Oct 13, 2016 | Oct 17, 2016 |
| Scott Ryan Gonzales | U.S. Bancorp Investments, Inc. other | Key Investment Services LLC other | Other | Oct 4, 2016 | Oct 13, 2016 |
| Kimberly Dawn Buzyniski | LPL Financial LLC other | Key Investment Services LLC BD affiliated | Other | Sep 22, 2016 | Mar 26, 2021 (1646 d) |
| Nathan Michael Lee | LPL Financial LLC other | Key Investment Services LLC other | Other | Sep 22, 2016 | Sep 21, 2016 |
| Joseph Thomas Murphy | LPL Financial LLC other | Key Investment Services LLC other | Other | Sep 21, 2016 | Sep 21, 2016 |
| Kevin Barry Manghan | LPL Financial LLC other | Key Investment Services LLC other | Other | Sep 21, 2016 | Sep 21, 2016 |
| Janene Ruth Culmo | LPL Financial LLC other | Key Investment Services LLC other | Other | Sep 21, 2016 | May 5, 2017 (226 d) |
| Daniel Weimer | LPL Financial LLC other | Key Investment Services LLC other | Other | Sep 21, 2016 | Sep 21, 2016 |
| Amy Austin Roxin | LPL Financial LLC other | Key Investment Services LLC other | Other | Sep 21, 2016 | Sep 21, 2016 |
| Margaret Mary Koetzner | LPL Financial LLC other | Key Investment Services LLC other | Other | Sep 21, 2016 | Sep 21, 2016 |
| Carol B Mayer | LPL Financial LLC other | Key Investment Services LLC other | Other | Sep 21, 2016 | Sep 21, 2016 |
| Timothy Kenneth Pelcher | LPL Financial LLC other | Key Investment Services LLC BD affiliated | Other | Sep 21, 2016 | Mar 26, 2021 (1647 d) |
| John Randolph Mackenzie | LPL Financial LLC other | Key Investment Services LLC other | Other | Sep 21, 2016 | Sep 21, 2016 |
| Mark Richard Lomonaco | LPL Financial LLC other | Key Investment Services LLC BD affiliated | Other | Sep 21, 2016 | Mar 26, 2021 (1647 d) |
| Kendra Marie O'Reilly | LPL Financial LLC other | Key Investment Services LLC other | Other | Sep 21, 2016 | Sep 21, 2016 |
| Theresa Marie Smith | LPL Financial LLC other | Key Investment Services LLC BD affiliated | Other | Sep 21, 2016 | Mar 26, 2021 (1647 d) |
| William Jerome Reynolds | LPL Financial LLC other | Key Investment Services LLC BD affiliated | Other | Sep 21, 2016 | Mar 26, 2021 (1647 d) |
| Christopher Alan Brennen | LPL Financial LLC other | Key Investment Services LLC other | Other | Sep 21, 2016 | Sep 21, 2016 |
| John Patrick Mcinerney | LPL Financial LLC other | Key Investment Services LLC other | Other | Sep 21, 2016 | Dec 22, 2016 (92 d) |
| Kevin Francis Sullivan | LPL Financial LLC other | Key Investment Services LLC other | Other | Sep 21, 2016 | Sep 21, 2016 |
| Louis Christopher Goeckel | LPL Financial LLC other | Key Investment Services LLC other | Other | Sep 21, 2016 | Sep 21, 2016 |