| Nicole Reviello | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Osaic Fa, Inc. other | Other | Feb 24, 2016 | Feb 24, 2016 |
| Paul Catlow Crawford | Ameriprise Financial Services, LLC national BD | Osaic Fa, Inc. other | Other | Feb 8, 2016 | Feb 1, 2016 |
| Heidi Marie Patterson | Ameriprise Financial Services, LLC national BD | Osaic Fa, Inc. other | Other | Feb 4, 2016 | Jan 15, 2016 |
| William Edward Fagan | Wells Fargo Advisors wirehouse | Osaic Fa, Inc. other | Other | Jan 26, 2016 | Jan 21, 2016 |
| Daniel Joshua Leo | Financial Counseling Resources LLC other | Osaic Fa, Inc. other | Other | Jan 26, 2016 | Nov 20, 2015 |
| John R Bonnemort | Edward Jones national BD | Osaic Fa, Inc. other | Other | Jan 19, 2016 | Jan 19, 2016 |
| Aaron Allan Stanley | Equitable Advisors, LLC national BD | Osaic Fa, Inc. other | Other | Jan 13, 2016 | Jan 5, 2016 |
| Bruce Wayne Robertson | Valic Financial Advisors, Inc. other | Osaic Fa, Inc. other | Other | Jan 6, 2016 | Dec 21, 2015 |
| Michael George Watson | Citizens Securities, Inc. other | Osaic Fa, Inc. other | Other | Jan 5, 2016 | Dec 23, 2015 |
| Shane Austin Morrow | Sage Advisory Services Ltd Co other | Osaic Fa, Inc. other | Other | Jan 4, 2016 | Jan 26, 2016 |
| Crawford Brown Edwards | Voya Financial Advisors, Inc. other | Osaic Fa, Inc. other | Other | Dec 28, 2015 | Jan 9, 2017 (378 d) |
| Brian Reed Brown | Ameriprise Financial Services, LLC national BD | Osaic Fa, Inc. other | Other | Dec 28, 2015 | Dec 4, 2015 |
| Scott Nolde Russell | Msi Financial Services, Inc. other | Osaic Fa, Inc. other | Other | Dec 28, 2015 | Dec 24, 2015 |
| William Kenneth Mitchell | Voya Financial Advisors, Inc. other | Osaic Fa, Inc. other | Other | Dec 26, 2015 | Jan 5, 2015 |
| Charles Michael Moore | Voya Financial Advisors, Inc. other | Osaic Fa, Inc. other | Other | Dec 26, 2015 | Jan 5, 2015 |
| David E Hudson | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Osaic Fa, Inc. other | Other | Dec 18, 2015 | Jan 5, 2015 |
| Trenton Larsen | Alamo Capital independent RIA | Osaic Fa, Inc. other | Other | Dec 17, 2015 | May 23, 2016 (158 d) |
| Thomas Richard Sawyer | Cetera Investment Advisers LLC other | Osaic Fa, Inc. other | Other | Dec 16, 2015 | Dec 16, 2015 |
| Jeffrey Scott Lukowiak | Edward Jones national BD | Osaic Fa, Inc. other | Other | Dec 16, 2015 | Dec 11, 2015 |
| Patrick Joseph Cloutier | Osaic Fs, Inc. other | Osaic Fa, Inc. other | Other | Dec 11, 2015 | Jan 10, 2008 |
| Michael Paul Dionne | Investment Professionals, Inc. other | Osaic Fa, Inc. other | Other | Dec 2, 2015 | Jan 11, 2016 (40 d) |
| Nathan Blake Wilmot | MML Investors Services, LLC other | Osaic Fa, Inc. other | Other | Dec 2, 2015 | Nov 20, 2015 |
| Jeffrey Keith Ruffing | Msi Financial Services, Inc. other | Osaic Fa, Inc. other | Other | Nov 25, 2015 | Nov 20, 2015 |
| Richard J. Smith | Msi Financial Services, Inc. other | Osaic Fa, Inc. other | Other | Nov 25, 2015 | Nov 20, 2015 |
| Brett Alan Kuykendall | Strategic Advisers LLC national BD | Osaic Fa, Inc. other | Other | Nov 19, 2015 | Dec 1, 2015 |
| Mark Joseph Meehan | MML Investors Services, LLC other | Osaic Fa, Inc. other | Other | Nov 10, 2015 | Nov 2, 2015 |
| Georgeanne Graydon Aist | Osaic Institutions, Inc. other | Osaic Fa, Inc. other | Other | Nov 2, 2015 | Nov 2, 2015 |
| Marcus Luckeneder | Equitable Advisors, LLC national BD | Osaic Fa, Inc. other | Other | Nov 2, 2015 | Nov 2, 2015 |
| Marc Lawrence Delia | Questar Asset Management, Inc. other | Osaic Fa, Inc. other | Other | Oct 23, 2015 | Oct 22, 2015 |
| Richard Cossa | J.P. Morgan Securities LLC wirehouse | Osaic Fa, Inc. other | Other | Oct 22, 2015 | Oct 16, 2015 |
| Junior Rondeau | Kovack Advisors, Inc. other | Osaic Fa, Inc. other | Other | Oct 20, 2015 | Jul 25, 2016 (279 d) |
| David Matthew Thailing | Morgan Stanley wirehouse | Osaic Fa, Inc. other | Other | Oct 13, 2015 | Oct 2, 2015 |
| Kelly Joseph Malone | J.P. Morgan Securities LLC wirehouse | Osaic Fa, Inc. other | Other | Oct 7, 2015 | Oct 8, 2015 |
| Robert James Burdumy | Ic Advisory Services, Inc. other | Osaic Fa, Inc. other | Other | Oct 5, 2015 | Oct 2, 2015 |
| Aaron Paul Karas | Wells Fargo Advisors wirehouse | Osaic Fa, Inc. other | Other | Sep 28, 2015 | Sep 30, 2015 |
| Christopher Edward Portner | Psa Financial Advisors Inc other | Osaic Fa, Inc. other | Other | Sep 22, 2015 | Sep 18, 2015 |
| Mark Anthony Ruffo | Charles Schwab & Co., Inc. national BD | Osaic Fa, Inc. other | Other | Sep 21, 2015 | Apr 24, 2017 (581 d) |
| Krystian Leonard Cieplucha | Questar Asset Management, Inc. other | Osaic Fa, Inc. other | Other | Sep 15, 2015 | Sep 9, 2015 |
| William Heartsill Young | Cetera Investment Advisers LLC other | Osaic Fa, Inc. other | Other | Sep 11, 2015 | Sep 11, 2015 |
| Landon Jaeger Mance | J.P. Morgan Securities LLC wirehouse | Osaic Fa, Inc. other | Other | Sep 9, 2015 | Sep 15, 2015 |
| Kevin Andrew Weber | Vanguard Advisers, Inc. other | Osaic Fa, Inc. other | Other | Sep 8, 2015 | Sep 22, 2015 |
| David Albert Urovsky | Capitol Securities Management, Inc. other | Osaic Fa, Inc. other | Other | Aug 21, 2015 | Aug 25, 2015 |
| Reed Salony | Northwestern Mutual Investment Services,LLC other | Osaic Fa, Inc. other | Other | Aug 20, 2015 | Nov 4, 2015 (76 d) |
| Joseph A Weber | Principal Securities, Inc. other | Osaic Fa, Inc. other | Other | Aug 18, 2015 | Jul 17, 2015 |
| Cortland Luster Golightly | Morgan Stanley wirehouse | Osaic Fa, Inc. other | Other | Jul 31, 2015 | Jul 16, 2015 |
| Christopher Allen Neece | Missionsquare Retirement other | Osaic Fa, Inc. other | Other | Jul 24, 2015 | Jul 23, 2015 |
| Kevin James Gravley | LPL Financial LLC other | Osaic Fa, Inc. other | Other | Jul 23, 2015 | Jul 17, 2015 |
| Ali Catalina Salazar | Seia other | Osaic Fa, Inc. other | Other | Jul 22, 2015 | Aug 28, 2015 (37 d) |
| Christin Nicole Clark | Creative Financial Designs, Inc. other | Osaic Fa, Inc. other | Other | Jul 21, 2015 | Jul 15, 2015 |
| Janine M Tanker | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Osaic Fa, Inc. other | Other | Jul 20, 2015 | Jul 21, 2015 |
| Joseph Yang | LPL Financial LLC other | Osaic Fa, Inc. other | Other | Jul 16, 2015 | Jul 15, 2015 |
| Sean Mccomber | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Osaic Fa, Inc. other | Other | Jul 9, 2015 | Jun 30, 2015 |
| Annelise Chayka | Capital One Advisors, LLC no RAUM | Osaic Fa, Inc. other | Other | Jul 1, 2015 | Jul 5, 2016 (370 d) |
| Joshua Winkler | Msi Financial Services, Inc. other | Osaic Fa, Inc. other | Other | Jun 17, 2015 | Jun 5, 2015 |
| Chrystal L Woollett | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Osaic Fa, Inc. other | Other | Jun 16, 2015 | Jun 24, 2015 |
| Jack M. Hosmer | Equitable Advisors, LLC national BD | Osaic Fa, Inc. other | Other | Jun 5, 2015 | Jun 4, 2015 |
| James Paul Jump | MML Investors Services, LLC other | Osaic Fa, Inc. other | Other | Jun 3, 2015 | Jun 4, 2015 |
| Christian Andrew Amsberry | Bellwether Capital Management LLC state registered | Osaic Fa, Inc. other | Other | May 29, 2015 | Jun 24, 2015 |
| Brian Edward Noe | Park Avenue Securities LLC other | Osaic Fa, Inc. other | Other | May 15, 2015 | Apr 27, 2015 |
| Brian Ashley Martin | Wells Fargo Advisors wirehouse | Osaic Fa, Inc. other | Other | May 11, 2015 | May 4, 2015 |