| Parviz Tahsini | Wamu Investments, Inc. unclassified | U.S. Bancorp Advisors, LLC other | Other | May 6, 2009 | Mar 27, 2015 (2151 d) |
| Junko Nagai | Morgan Stanley & Co. LLC unclassified | U.S. Bancorp Advisors, LLC other | Other | Apr 29, 2009 | May 5, 2009 |
| Vu Hoang Nguyen | Wamu Investments, Inc. unclassified | U.S. Bancorp Advisors, LLC other | Other | Apr 7, 2009 | Mar 31, 2009 |
| Matthew J. Rigoli | Banc Of America Investment Services, Inc. unclassified | U.S. Bancorp Advisors, LLC other | Other | Apr 3, 2009 | Feb 25, 2010 (328 d) |
| Keliikai Seto Ah Mook Castillo | Banc Of America Investment Services, Inc. unclassified | U.S. Bancorp Advisors, LLC other | Other | Mar 26, 2009 | May 5, 2009 (40 d) |
| Esaul Guerrero | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | U.S. Bancorp Advisors, LLC other | Other | Feb 12, 2009 | May 8, 2009 (85 d) |
| Nicholas Eugene Toy | Wells Fargo Advisors wirehouse | U.S. Bancorp Advisors, LLC other | Other | Jan 28, 2009 | Jan 29, 2009 |
| Kennon Rene Mccarthy | Wells Fargo Investments, LLC unclassified | U.S. Bancorp Advisors, LLC other | Other | Jan 20, 2009 | Jan 13, 2009 |
| William Burke Allred | Zions Capital Advisors, Inc. other | U.S. Bancorp Advisors, LLC other | Other | Dec 8, 2008 | Dec 24, 2008 |
| Rock Allen Mirich | Commonwealth Financial Network national BD | U.S. Bancorp Advisors, LLC other | Other | Nov 24, 2008 | Nov 13, 2008 |
| Damian Siegfried Mossbarger | Wamu Investments, Inc. unclassified | U.S. Bancorp Advisors, LLC other | Other | Nov 7, 2008 | Nov 7, 2008 |
| Sharon Donna Azgour | Wamu Investments, Inc. unclassified | U.S. Bancorp Advisors, LLC other | Other | Sep 24, 2008 | Aug 10, 2009 (320 d) |
| Jonathan Mark Lising | Edward Jones national BD | U.S. Bancorp Advisors, LLC other | Other | Sep 24, 2008 | Oct 9, 2008 |
| Zachary Zwilling | Countrywide Investment Services, Inc. unclassified | U.S. Bancorp Advisors, LLC other | Other | Sep 3, 2008 | Apr 8, 2010 (582 d) |
| Daniel Cesar Caneva | Citigroup Global Markets Inc. other | U.S. Bancorp Advisors, LLC other | Other | Aug 22, 2008 | Aug 22, 2008 |
| Jonathan Scott Rogers | Citigroup Global Markets Inc. other | U.S. Bancorp Advisors, LLC other | Other | Aug 18, 2008 | Sep 26, 2008 (39 d) |
| Randy Reyes | Wamu Investments, Inc. unclassified | U.S. Bancorp Advisors, LLC other | Other | Aug 6, 2008 | Aug 8, 2008 |
| Robert Keith Jacques | Citigroup Global Markets Inc. other | U.S. Bancorp Advisors, LLC other | Other | Jul 29, 2008 | Oct 29, 2008 (92 d) |
| Rose Gabrielle Odland | Wells Fargo Investments, LLC unclassified | U.S. Bancorp Advisors, LLC other | Other | Jul 25, 2008 | Aug 13, 2008 |
| Isela D Ortega-Wu | Wamu Investments, Inc. unclassified | U.S. Bancorp Advisors, LLC other | Other | Jul 17, 2008 | Jul 17, 2008 |
| Patrick Thor | Wells Fargo Advisors wirehouse | U.S. Bancorp Advisors, LLC other | Other | May 21, 2008 | Mar 19, 2009 (302 d) |
| Claudia Mata | Banc Of America Investment Services, Inc. unclassified | U.S. Bancorp Advisors, LLC other | Other | May 9, 2008 | Apr 27, 2010 (718 d) |
| Aaron Michael Brickley | Ameriprise Financial Services, LLC national BD | U.S. Bancorp Advisors, LLC other | Other | Mar 18, 2008 | Jun 5, 2008 (79 d) |
| Emmanuel Asuncion | Ameriprise Financial Services, LLC national BD | U.S. Bancorp Advisors, LLC other | Other | Feb 19, 2008 | Jan 15, 2010 (696 d) |
| Brian Robert Koch | Ameriprise Financial Services, LLC national BD | U.S. Bancorp Advisors, LLC other | Other | Feb 11, 2008 | Mar 13, 2008 (31 d) |
| Stephen In Hee Lee | Wells Fargo Advisors wirehouse | U.S. Bancorp Advisors, LLC other | Other | Jan 28, 2008 | Feb 11, 2008 |
| Roger Romero Szendrey | U.S. Bancorp Investments, Inc. other | U.S. Bancorp Advisors, LLC other | Other | Jan 9, 2008 | Apr 17, 2008 (99 d) |
| Michael Brescione | Wamu Investments, Inc. unclassified | U.S. Bancorp Advisors, LLC other | Other | Nov 29, 2007 | Dec 11, 2007 |
| Ryan Evans Kirby | Ameriprise Financial Services, LLC national BD | U.S. Bancorp Advisors, LLC other | Other | Oct 23, 2007 | Nov 8, 2007 |
| Matthew Edward Wheeler | Securian Financial Services, Inc. other | U.S. Bancorp Advisors, LLC other | Other | Oct 10, 2007 | Oct 5, 2007 |
| Manus Duffy | U.S. Bancorp Investments, Inc. other | U.S. Bancorp Advisors, LLC other | Other | Aug 30, 2007 | Aug 30, 2007 |
| Luis Alfonso Almendarez | Principal Securities, Inc. other | U.S. Bancorp Advisors, LLC other | Other | Aug 13, 2007 | Nov 29, 2007 (108 d) |
| Linda Joyce James | Northwestern Mutual Investment Services,LLC other | U.S. Bancorp Advisors, LLC other | Other | Aug 6, 2007 | Aug 20, 2007 |
| Vint Wayne Stevenson | Waddell & Reed other | U.S. Bancorp Advisors, LLC other | Other | Aug 6, 2007 | Aug 9, 2007 |
| Teresa Marie Tabel | Lasalle Financial Services, Inc. unclassified | U.S. Bancorp Advisors, LLC other | Other | Jun 1, 2007 | May 12, 2009 (711 d) |
| Edward Eugene Herrera | Wells Fargo Investments, LLC unclassified | U.S. Bancorp Advisors, LLC other | Other | May 21, 2007 | Sep 20, 2007 (122 d) |
| Jennifer Ho-Chung Jung | Wells Fargo Investments, LLC unclassified | U.S. Bancorp Advisors, LLC other | Other | May 15, 2007 | May 22, 2007 |
| Marvin Kang | Pruco Securities, LLC other | U.S. Bancorp Advisors, LLC other | Other | May 9, 2007 | May 2, 2007 |
| Deborah Lashaun Watson-Triggs | Wells Fargo Investments, LLC unclassified | U.S. Bancorp Advisors, LLC other | Other | May 7, 2007 | Jun 8, 2007 (32 d) |
| Steve Sakamoto | Wells Fargo Investments, LLC unclassified | U.S. Bancorp Advisors, LLC other | Other | Apr 9, 2007 | Apr 25, 2007 |
| Michael Keith Harnett | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | U.S. Bancorp Advisors, LLC other | Other | Mar 26, 2007 | Jan 28, 2008 (308 d) |
| Franklin Fernandez | Park Avenue Securities LLC other | U.S. Bancorp Advisors, LLC other | Other | Feb 16, 2007 | Feb 15, 2007 |
| Yekaterina Tervinsky | Wells Fargo Investments, LLC unclassified | U.S. Bancorp Advisors, LLC other | Other | Jan 3, 2007 | Jan 10, 2007 |
| John Jacobson | Banc Of America Investment Services, Inc. unclassified | U.S. Bancorp Advisors, LLC other | Other | Dec 16, 2006 | Dec 20, 2006 |
| Peter Raymundo Castillo | Wamu Investments, Inc. unclassified | U.S. Bancorp Advisors, LLC other | Other | Dec 15, 2006 | Jan 4, 2007 |
| Michael William Johns | American General Financial Advisors, Inc. unclassified | U.S. Bancorp Advisors, LLC other | Other | Nov 30, 2006 | Nov 8, 2006 |
| James Isamu King | Wells Fargo Investments, LLC unclassified | U.S. Bancorp Advisors, LLC other | Other | Nov 8, 2006 | Nov 8, 2006 |
| Charles K Truong | Wells Fargo Investments, LLC unclassified | U.S. Bancorp Advisors, LLC other | Other | Oct 17, 2006 | Oct 17, 2006 |
| Bryant K Scott | Charles Schwab & Co., Inc. national BD | U.S. Bancorp Advisors, LLC other | Other | Sep 19, 2006 | Sep 12, 2006 |
| William Patrick Nugent | Ameriprise Financial Services, LLC national BD | U.S. Bancorp Advisors, LLC other | Other | Aug 25, 2006 | Nov 8, 2006 (75 d) |
| Jacqulyn Martin Bishop | Equitable Advisors, LLC national BD | U.S. Bancorp Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 22, 2006 | Jan 27, 2026 (7098 d) |
| Frank Charles Parlato | Wells Fargo Investments, LLC unclassified | U.S. Bancorp Advisors, LLC other | Other | Jul 11, 2006 | Jul 20, 2006 |
| Anthony Chiu | U.S. Bancorp Investments, Inc. other | U.S. Bancorp Advisors, LLC other | Other | Jun 26, 2006 | Jul 1, 2009 (1101 d) |
| Bryce Jacob Bordwell | Morgan Stanley Dw Inc. unclassified | U.S. Bancorp Advisors, LLC other | Other | Jun 5, 2006 | Jul 24, 2006 (49 d) |
| Yuji Chao | Wamu Investments, Inc. unclassified | U.S. Bancorp Advisors, LLC BD affiliated | Other | Feb 9, 2006 | Apr 4, 2025 (6994 d) |
| Martin James Flores | Wells Fargo Investments, LLC unclassified | U.S. Bancorp Advisors, LLC other | Other | Dec 7, 2005 | Dec 7, 2005 |
| Rafael Fernandes Molina | Dunham other | U.S. Bancorp Advisors, LLC other | Other | Oct 10, 2005 | Nov 4, 2005 |
| Charles Spencer Gould | Wells Fargo Investments, LLC unclassified | U.S. Bancorp Advisors, LLC other | Other | Oct 3, 2005 | May 2, 2013 (2768 d) |
| Willy Ong Tan | Ifmg Securities, Inc. unclassified | U.S. Bancorp Advisors, LLC other | Other | Sep 2, 2005 | Aug 31, 2005 |
| Dawn Kim | Citicorp Investment Services unclassified | U.S. Bancorp Advisors, LLC other | Other | Aug 2, 2005 | Aug 22, 2005 |