| Marjorie Lyall Heggie | Citigroup Global Markets Inc. other | Osaic Fs, Inc. other | Other | Jun 29, 2007 | Jun 17, 2009 (719 d) |
| Richard Arthur Shively | Waddell & Reed other | Osaic Fs, Inc. other | Other | May 4, 2007 | May 9, 2007 |
| Dustin Cane Stiefel | Advanced Planning, Inc. unclassified | Osaic Fs, Inc. other | Other | Apr 19, 2007 | Dec 21, 2005 |
| James Howard Mckee | Equitable Advisors, LLC national BD | Osaic Fs, Inc. other | Other | Apr 2, 2007 | Mar 10, 2009 (708 d) |
| James Richard Hill | Citigroup Global Markets Inc. other | Osaic Fs, Inc. other | Other | Mar 21, 2007 | Jul 19, 2011 (1581 d) |
| Ronald Allen Freeman | Msi Financial Services, Inc. other | Osaic Fs, Inc. other | Other | Mar 16, 2007 | Dec 21, 2007 (280 d) |
| Michael Arthur Lynch | Independent Advisers Group Corp other | Osaic Fs, Inc. other | Other | Jan 22, 2007 | Mar 27, 2006 |
| Kenneth Raymond Savage | A. G. Edwards & Sons, Inc. unclassified | Osaic Fs, Inc. other | Other | Jan 10, 2007 | Dec 9, 2008 (699 d) |
| Norman Eugene Webb | Waddell & Reed other | Osaic Fs, Inc. other | Other | Dec 19, 2006 | Feb 2, 2007 (45 d) |
| Joel Wayne Josephs | Independent Advisers Group Corp other | Osaic Fs, Inc. other | Other | Dec 5, 2006 | Mar 27, 2006 |
| William Michael Krzesinski | Geneos Wealth Management, Inc. other | Osaic Fs, Inc. other | Other | Dec 4, 2006 | Dec 14, 2006 |
| Shawn Michael Bragdon | Lincoln Financial Distributors, Inc. unclassified | Osaic Fs, Inc. other | Other | Oct 16, 2006 | Dec 11, 2006 (56 d) |
| Glenn Isamu Yasukochi | Independent Advisers Group Corp other | Osaic Fs, Inc. other | Other | Oct 6, 2006 | Jan 12, 2001 |
| Connie John Reha | Voya Financial Advisors, Inc. other | Osaic Fs, Inc. other | Other | Sep 14, 2006 | Mar 27, 2007 (194 d) |
| Carole Leigh Donohoo | Asset & Financial Planning, Ltd other | Osaic Fs, Inc. other | Other | Sep 7, 2006 | Aug 14, 2006 |
| Bruce Scott Gentilella | Ameritas Advisory Services other | Osaic Fs, Inc. other | Other | Aug 9, 2006 | Jul 31, 2006 |
| Melissa A Geracimos | Deutsche Bank Securities Inc. other | Osaic Fs, Inc. other | Other | Jul 27, 2006 | Aug 10, 2006 |
| Allen Kent Broyles | Windward Securities Corporation unclassified | Osaic Fs, Inc. other | Other | Jul 25, 2006 | Jul 6, 2006 |
| Melissa Marie Spowal | Windward Securities Corporation unclassified | Osaic Fs, Inc. other | Other | Jul 25, 2006 | Jul 17, 2006 |
| Bryan K Scarratt | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Osaic Fs, Inc. other | Other | Jul 21, 2006 | Sep 13, 2011 (1880 d) |
| David Patrick Leathers | Independent Advisers Group Corp other | Osaic Fs, Inc. other | Other | Jul 3, 2006 | Apr 17, 2003 |
| James Anthony Sawczyszyn | Pruco Securities, LLC other | Osaic Fs, Inc. other | Other | Jun 16, 2006 | Aug 15, 2006 (60 d) |
| Brian Scott Tewes | Waddell & Reed other | Osaic Fs, Inc. other | Other | Jun 13, 2006 | Jun 7, 2006 |
| James Min Yoo | Equitable Advisors, LLC national BD | Osaic Fs, Inc. other | Other | Jun 8, 2006 | Aug 3, 2007 (421 d) |
| Ronnie Cavazos Haim | Msi Financial Services, Inc. other | Osaic Fs, Inc. other | Other | May 5, 2006 | Jun 1, 2006 |
| John Clark Stults | Securian Financial Services, Inc. other | Osaic Fs, Inc. other | Other | Apr 17, 2006 | Jun 13, 2006 (57 d) |
| Dean Richard Crouthamel | Independent Advisers Group Corp other | Osaic Fs, Inc. other | Other | Mar 30, 2006 | Apr 26, 2012 (2219 d) |
| Pamela Sue Ghezzi | Independent Advisers Group Corp other | Osaic Fs, Inc. other | Other | Mar 30, 2006 | Mar 27, 2006 |
| Paul Henry Couture | New England Securities Corporation other | Osaic Fs, Inc. other | Other | Feb 28, 2006 | Feb 24, 2006 |
| Shaju Alexander | Pruco Securities, LLC other | Osaic Fs, Inc. other | Other | Jan 31, 2006 | Sep 8, 2006 (220 d) |
| James John Wilson | New England Securities Corporation other | Osaic Fs, Inc. other | Other | Jan 18, 2006 | Apr 3, 2006 (75 d) |
| Robert John Kosty | Investors Capital Advisory other | Osaic Fs, Inc. other | Other | Jan 5, 2006 | Jan 12, 2006 |
| Cecilia Beach Brown | Ameriprise Financial Services, LLC national BD | Osaic Fs, Inc. other | Other | Jan 4, 2006 | Jan 4, 2006 |
| Michael P Cutbirth | Bbva Compass Investment Solutions, Inc unclassified | Osaic Fs, Inc. other | Other | Oct 28, 2005 | Mar 17, 2006 (140 d) |
| Steven Craig Nearman | Investors Security Company, Inc. other | Osaic Fs, Inc. other | Other | Oct 17, 2005 | Nov 2, 2005 |
| Stephen Albert Brophy | Independent Advisers Group Corp other | Osaic Fs, Inc. other | Other | Oct 13, 2005 | Nov 5, 2003 |
| James Patrick Scanlan | New England Securities Corporation other | Osaic Fs, Inc. other | Other | Sep 30, 2005 | May 2, 2006 (214 d) |
| Ernest Andre Williams | Pruco Securities, LLC other | Osaic Fs, Inc. other | Other | Sep 13, 2005 | Feb 14, 2006 (154 d) |
| Daniel Leon Martin | Voya Financial Advisors, Inc. other | Osaic Fs, Inc. other | Other | Aug 25, 2005 | Aug 9, 2005 |
| John Milton Zinaich | Uvest Financial Services Group, Inc. unclassified | Osaic Fs, Inc. other | Other | Aug 10, 2005 | Aug 11, 2005 |
| Gary Charles Haack | Metlife Investment Fund Services LLC unclassified | Osaic Fs, Inc. other | Other | Aug 8, 2005 | Jul 8, 2005 |
| Douglas Dean Alden | Winning Points Advisors, L.L.C. other | Osaic Fs, Inc. other | Other | Aug 2, 2005 | Aug 4, 2005 |
| Jeremy Grant Tincher | Ameriprise Financial Services, LLC national BD | Osaic Fs, Inc. other | Other | Jun 28, 2005 | Jun 28, 2005 |
| Nalin Bhatt | Gold Coast Securities, Inc. other | Osaic Fs, Inc. other | Other | Jun 17, 2005 | Jun 2, 2005 |
| Jonathan Neil Perry | Bb&T Investment Services, Inc. no RAUM | Osaic Fs, Inc. other | Other | Jun 8, 2005 | Jul 9, 2012 (2588 d) |
| Randall Hugh Richard | Pruco Securities, LLC other | Osaic Fs, Inc. other | Other | May 26, 2005 | May 26, 2005 |
| Dominic Michael Caputo | Strategic Advisers LLC national BD | Osaic Fs, Inc. other | Other | Apr 25, 2005 | May 9, 2005 |
| William Judson Hendrickson | Equitable Advisors, LLC national BD | Osaic Fs, Inc. other | Other | Apr 18, 2005 | Oct 19, 2005 (184 d) |
| Jaret Clinton Mutter | UBS Financial Services Inc. wirehouse | Osaic Fs, Inc. other | Other | Apr 15, 2005 | May 19, 2005 (34 d) |
| Peter Blake Salkins | 1717 Capital Management Company unclassified | Osaic Fs, Inc. other | Other | Apr 4, 2005 | Apr 11, 2005 |
| Howard Paul Gerrin | 1717 Capital Management Company unclassified | Osaic Fs, Inc. other | Other | Mar 31, 2005 | May 3, 2005 (33 d) |
| Joan Allison White-Mccain | Equitable Advisors, LLC national BD | Osaic Fs, Inc. other | Other | Mar 18, 2005 | Mar 18, 2005 |
| Steven Rex Billet | Cetera Investment Advisers LLC other | Osaic Fs, Inc. other | Other | Feb 22, 2005 | Mar 4, 2005 |
| Ryan Christopher Hughes | 1 North Wealth Services, LLC other | Osaic Fs, Inc. other | Other | Feb 14, 2005 | Jun 27, 2005 (133 d) |
| Patrick Joseph Cloutier | Osaic Fa, Inc. other | Osaic Fs, Inc. other | Other | Feb 9, 2005 | Mar 2, 2005 |
| Matthew Bryce Gournay | Osaic Fa, Inc. other | Osaic Fs, Inc. other | Other | Feb 9, 2005 | Feb 10, 2005 |
| Michael D Ivey | LPL Financial LLC other | Osaic Fs, Inc. other | Other | Jan 22, 2005 | Apr 4, 2005 (72 d) |
| Paul Jerald Webster | Waddell & Reed other | Osaic Fs, Inc. other | Other | Jan 20, 2005 | Feb 23, 2005 (34 d) |
| Jason Emil Kundis | Pruco Securities, LLC other | Osaic Fs, Inc. other | Other | Jan 19, 2005 | Aug 8, 2006 (566 d) |
| Stephen Michael Locko | Greenbook Investment Management, Inc. unclassified | Osaic Fs, Inc. other | Other | Jan 4, 2005 | Apr 13, 2006 (464 d) |