| Erik J Gaucher | Wells Fargo Advisors wirehouse | Msi Financial Services, Inc. other | Other | May 28, 2014 | Aug 20, 2014 (84 d) |
| Tae-Shin Kang | Equitable Advisors, LLC national BD | Msi Financial Services, Inc. other | Other | May 27, 2014 | May 23, 2014 |
| David John Guido | Osaic Fa, Inc. other | Msi Financial Services, Inc. other | Other | May 16, 2014 | May 16, 2014 |
| Brian Eugene Meyers | Thrivent Investment Management Inc. other | Msi Financial Services, Inc. other | Other | May 9, 2014 | Jul 29, 2014 (81 d) |
| Tyson R Lokke | Ameriprise Financial Services, LLC national BD | Msi Financial Services, Inc. other | Other | May 6, 2014 | Aug 12, 2014 (98 d) |
| Eric Anthony Rollins | Ameriprise Financial Services, LLC national BD | Msi Financial Services, Inc. other | Other | May 6, 2014 | Oct 22, 2014 (169 d) |
| Gary Patrick Heatherington | New England Securities Corporation other | Msi Financial Services, Inc. other | Other | May 5, 2014 | May 5, 2014 |
| Wallace Edward Cook | New England Securities Corporation other | Msi Financial Services, Inc. other | Other | May 5, 2014 | May 2, 2014 |
| William Mckenzie Forrester | New England Securities Corporation other | Msi Financial Services, Inc. other | Other | May 5, 2014 | May 6, 2014 |
| Orlando Rafael Cruz | Suntrust Investment Services, Inc. other | Msi Financial Services, Inc. other | Other | May 5, 2014 | May 14, 2014 |
| Brian John Norris | Wells Fargo Advisors wirehouse | Msi Financial Services, Inc. other | Other | Apr 22, 2014 | Apr 23, 2014 |
| Joyce Kwanwa Chan | New England Securities Corporation other | Msi Financial Services, Inc. other | Other | Apr 17, 2014 | Sep 23, 2008 |
| Elena Debora Cumberbatch-Lynch | First Command Financial Planning, Inc. other | Msi Financial Services, Inc. other | Other | Apr 16, 2014 | May 1, 2014 |
| Andres Antonio Favela | Edward Jones national BD | Msi Financial Services, Inc. other | Other | Mar 27, 2014 | Aug 6, 2014 (132 d) |
| Michael Min Yang | Equitable Advisors, LLC national BD | Msi Financial Services, Inc. other | Other | Mar 26, 2014 | May 2, 2014 (37 d) |
| Janice Junghwa Ahn | Equitable Advisors, LLC national BD | Msi Financial Services, Inc. other | Other | Mar 25, 2014 | Mar 24, 2014 |
| Steve Eugene Adams | Signator Investors, Inc. other | Msi Financial Services, Inc. other | Other | Mar 11, 2014 | Mar 19, 2014 |
| Patrick James Mccarthy | M&T Securities, Inc. unclassified | Msi Financial Services, Inc. other | Other | Mar 4, 2014 | Mar 11, 2014 |
| Mark Daniel Krupkowski | Mariner other | Msi Financial Services, Inc. other | Other | Feb 21, 2014 | Jan 2, 2015 (315 d) |
| Daniel Eric Simon | Principal Securities, Inc. other | Msi Financial Services, Inc. other | Other | Feb 10, 2014 | Feb 11, 2014 |
| Andrew Grayson | Wells Fargo Advisors wirehouse | Msi Financial Services, Inc. other | Other | Jan 28, 2014 | Jan 28, 2014 |
| Joshua Paul Renfro | Taverik Capital, LLC other | Msi Financial Services, Inc. other | Other | Jan 28, 2014 | May 27, 2014 (119 d) |
| Jill A Dailey | Pnc Wealth Management other | Msi Financial Services, Inc. other | Other | Jan 27, 2014 | Jun 10, 2014 (134 d) |
| Francine Kay Rubinstein | Wells Fargo Advisors wirehouse | Msi Financial Services, Inc. other | Other | Jan 21, 2014 | Jan 15, 2014 |
| Richard Anthony Schega | Usaa Financial Planning Services no RAUM | Msi Financial Services, Inc. other | Other | Jan 21, 2014 | Sep 3, 2014 (225 d) |
| Carlos Antonio Forde Jr | Edward Jones national BD | Msi Financial Services, Inc. other | Other | Jan 7, 2014 | Apr 30, 2014 (113 d) |
| Vance Litchfield | Pruco Securities, LLC other | Msi Financial Services, Inc. other | Other | Jan 6, 2014 | Nov 24, 2015 (687 d) |
| Michael George Wolken | Nationwide Investment Advisors, LLC other | Msi Financial Services, Inc. other | Other | Jan 2, 2014 | Feb 17, 2015 (411 d) |
| Daniel Robert Moruzzi | American Portfolios Advisors, Inc other | Msi Financial Services, Inc. other | Other | Dec 23, 2013 | Feb 6, 2014 (45 d) |
| Richard Carl Sexton | Avantax Advisory Services other | Msi Financial Services, Inc. other | Other | Dec 19, 2013 | Dec 8, 2015 (719 d) |
| William Hardin Bundrant | Pruco Securities, LLC other | Msi Financial Services, Inc. other | Other | Nov 22, 2013 | Dec 17, 2013 |
| Valerie Elizabeth Bevan | LPL Financial LLC other | Msi Financial Services, Inc. other | Other | Nov 14, 2013 | Nov 12, 2013 |
| Mary Syrokwash Earl | Morgan Stanley wirehouse | Msi Financial Services, Inc. other | Other | Oct 30, 2013 | Mar 5, 2014 (126 d) |
| Bradley Robert Scoular | Ameriprise Financial Services, LLC national BD | Msi Financial Services, Inc. other | Other | Oct 30, 2013 | Jun 26, 2015 (604 d) |
| Richard Caiazzo | Equitable Advisors, LLC national BD | Msi Financial Services, Inc. other | Other | Oct 23, 2013 | Oct 18, 2013 |
| Brian Alexander Parmelee | Waddell & Reed other | Msi Financial Services, Inc. other | Other | Oct 22, 2013 | Jan 14, 2014 (84 d) |
| Pamela Putnam Smith | Ameriprise Financial Services, LLC national BD | Msi Financial Services, Inc. other | Other | Oct 21, 2013 | Oct 11, 2013 |
| William D Tsoulos | Ameriprise Financial Services, LLC national BD | Msi Financial Services, Inc. other | Other | Oct 18, 2013 | Apr 24, 2015 (553 d) |
| Olga Tsepalova | Ameriprise Financial Services, LLC national BD | Msi Financial Services, Inc. other | Other | Oct 9, 2013 | Nov 11, 2013 (33 d) |
| Herve Leclerc Vixamar | Equitable Advisors, LLC national BD | Msi Financial Services, Inc. other | Other | Oct 4, 2013 | Oct 3, 2013 |
| Felicia J Carucci | Equitable Advisors, LLC national BD | Msi Financial Services, Inc. other | Other | Oct 4, 2013 | Nov 4, 2013 (31 d) |
| Gerald Edward O'Connor | Firstrust Financial Advisors state registered | Msi Financial Services, Inc. other | Other | Oct 3, 2013 | Feb 4, 2011 |
| Mark Richmond | Edward Jones national BD | Msi Financial Services, Inc. other | Other | Sep 23, 2013 | Sep 20, 2013 |
| Alexian Gomberg | LPL Financial LLC other | Msi Financial Services, Inc. other | Other | Sep 18, 2013 | Sep 25, 2013 |
| Michael Anthony Wilson | Cambridge Investment Research Advisors, Inc. other | Msi Financial Services, Inc. other | Other | Sep 16, 2013 | Sep 6, 2013 |
| David Andrew Iannetto | Foresters Advisory Services, LLC other | Msi Financial Services, Inc. other | Other | Sep 13, 2013 | Oct 1, 2013 |
| David Ray Luedecke | Wells Fargo Advisors wirehouse | Msi Financial Services, Inc. other | Other | Sep 9, 2013 | Dec 10, 2013 (92 d) |
| Shelley Jo Echeverria | Tower Square Securities, Inc. other | Msi Financial Services, Inc. other | Other | Sep 5, 2013 | Aug 13, 2013 |
| Zachary Wyatt Brody | Equitable Advisors, LLC national BD | Msi Financial Services, Inc. other | Other | Aug 30, 2013 | Jan 8, 2014 (131 d) |
| Ralph Townsend Taylor | Securian Financial Services, Inc. other | Msi Financial Services, Inc. other | Other | Aug 29, 2013 | Feb 21, 2014 (176 d) |
| Brenda Louise Labar | J.P. Morgan Securities LLC wirehouse | Msi Financial Services, Inc. other | Other | Aug 21, 2013 | Aug 30, 2013 |
| Timothy John Bol | Signator Investors, Inc. other | Msi Financial Services, Inc. other | Other | Aug 2, 2013 | Sep 20, 2013 (49 d) |
| Randall Gray Daniel | Edward Jones national BD | Msi Financial Services, Inc. other | Other | Jul 30, 2013 | Sep 4, 2013 (36 d) |
| Michael Connole | UBS Financial Services Inc. wirehouse | Msi Financial Services, Inc. other | Other | Jul 29, 2013 | Oct 24, 2013 (87 d) |
| Vincent Nicholas Martino | Osaic Institutions, Inc. other | Msi Financial Services, Inc. other | Other | Jul 17, 2013 | Jul 17, 2013 |
| Robert John Masanotti | Wells Fargo Advisors wirehouse | Msi Financial Services, Inc. other | Other | Jul 15, 2013 | Aug 25, 2014 (406 d) |
| Christopher John Taylor | Pruco Securities, LLC other | Msi Financial Services, Inc. other | Other | Jul 11, 2013 | Sep 26, 2014 (442 d) |
| Mark Steven Kruman | Pruco Securities, LLC other | Msi Financial Services, Inc. other | Other | Jul 9, 2013 | Jul 9, 2013 |
| Charles Joseph Damico | Raymond James & Associates, Inc. national BD | Msi Financial Services, Inc. other | Other | Jul 1, 2013 | Nov 17, 2014 (504 d) |
| Brian Patrick Walsh | Pruco Securities, LLC other | Msi Financial Services, Inc. other | Other | Jun 20, 2013 | Nov 18, 2014 (516 d) |