| Jennifer Rhine Dillee | Summit Financial Group unclassified | Nfp Advisor Services, LLC other | Other | Sep 25, 2007 | Oct 18, 2006 |
| Evan Davis Kirkpatrick | Equitable Advisors, LLC national BD | Nfp Advisor Services, LLC other | Other | Sep 20, 2007 | Sep 25, 2007 |
| Michelle Ann Hyde | Equitable Advisors, LLC national BD | Nfp Advisor Services, LLC other | Other | Sep 18, 2007 | Sep 14, 2007 |
| Michael Glenn Snyder | Equitable Advisors, LLC national BD | Nfp Advisor Services, LLC other | Other | Sep 18, 2007 | Sep 14, 2007 |
| Vito S. Manno | Equitable Advisors, LLC national BD | Nfp Advisor Services, LLC other | Other | Sep 18, 2007 | Sep 14, 2007 |
| Thomas Jardim | Equitable Advisors, LLC national BD | Nfp Advisor Services, LLC other | Other | Sep 18, 2007 | Sep 14, 2007 |
| Rodger Adam Hoofnagle | Curian Capital, LLC other | Nfp Advisor Services, LLC other | Other | Aug 20, 2007 | Dec 17, 2007 (119 d) |
| John W Weber | 1717 Capital Management Company unclassified | Nfp Advisor Services, LLC other | Other | Aug 13, 2007 | Aug 10, 2007 |
| James Charles Scott | Ameriprise Advisor Services, Inc. unclassified | Nfp Advisor Services, LLC other | Other | Aug 3, 2007 | Jul 24, 2007 |
| Ryan Louis Miller | Ameriprise Advisor Services, Inc. unclassified | Nfp Advisor Services, LLC other | Other | Aug 3, 2007 | Jul 24, 2007 |
| Hamid Sasaninejad | Equitable Advisors, LLC national BD | Nfp Advisor Services, LLC other | Other | Jun 25, 2007 | Jul 27, 2007 (32 d) |
| Paul John Cella | Northwestern Mutual Investment Services,LLC other | Nfp Advisor Services, LLC other | Other | Jun 19, 2007 | Jun 18, 2007 |
| Jason Michael Loyd | Uvest Financial Services Group, Inc. unclassified | Nfp Advisor Services, LLC other | Other | Jun 18, 2007 | Jun 18, 2007 |
| Derek David Ripp | Vsr Advisory Services other | Nfp Advisor Services, LLC other | Other | Jun 15, 2007 | Jul 9, 2007 |
| Christine Marie Soscia | Associated Planners Investment Advisory Inc unclassified | Nfp Advisor Services, LLC other | Other | Jun 14, 2007 | Jun 1, 2007 |
| Ron Scott Kirkpatrick | Cetera Advisor Networks LLC other | Nfp Advisor Services, LLC other | Other | Jun 12, 2007 | May 22, 2007 |
| Gregory Conibear Kutrow | Principal Securities, Inc. other | Nfp Advisor Services, LLC other | Other | Apr 17, 2007 | Apr 23, 2007 |
| Jon Westfall Courtney | Banc Of America Investment Services, Inc. unclassified | Nfp Advisor Services, LLC other | Other | Apr 16, 2007 | Aug 26, 2008 (498 d) |
| Kittredge Lee Griffin | Sii Investments, Inc. other | Nfp Advisor Services, LLC other | Other | Apr 13, 2007 | Apr 4, 2007 |
| Michael Curtis Deguchi | Osaic Fa, Inc. other | Nfp Advisor Services, LLC other | Other | Mar 26, 2007 | Mar 23, 2007 |
| Timothy John Ellsworth | Cambridge Investment Research Advisors, Inc. other | Nfp Advisor Services, LLC other | Other | Mar 12, 2007 | Mar 5, 2007 |
| Greg Randall Creech | Chase Investment Services Corp. other | Nfp Advisor Services, LLC other | Other | Mar 7, 2007 | Mar 27, 2007 |
| Robert Jordan Kelly | Cincinnati Analysts, Inc other | Nfp Advisor Services, LLC other | Other | Feb 28, 2007 | Feb 28, 2007 |
| Timothy David Peyko | Equitable Advisors, LLC national BD | Nfp Advisor Services, LLC other | Other | Feb 23, 2007 | Feb 23, 2007 |
| John J Miller | 1717 Capital Management Company unclassified | Nfp Advisor Services, LLC other | Other | Feb 12, 2007 | Feb 5, 2007 |
| Douglas Lee Skinner | Raymond James Financial Services, Inc. unclassified | Nfp Advisor Services, LLC other | Other | Jan 29, 2007 | Jan 26, 2007 |
| Melanie Kay Lesko | Raymond James Financial Services, Inc. unclassified | Nfp Advisor Services, LLC other | Other | Jan 29, 2007 | Jan 29, 2007 |
| Tony Matthew Oommen | Osaic Fa, Inc. other | Nfp Advisor Services, LLC other | Other | Jan 22, 2007 | Feb 13, 2007 |
| Alfred Peter Mataloni | Woodbury Financial Services, Inc. other | Nfp Advisor Services, LLC other | Other | Jan 17, 2007 | Jan 18, 2007 |
| Jeremiah Eli Patterson | Ameriprise Financial Services, LLC national BD | Nfp Advisor Services, LLC other | Other | Jan 10, 2007 | Feb 5, 2007 |
| Henry Rudolph Peeler | Hartford Investment Financial Services, LLC other | Nfp Advisor Services, LLC other | Other | Jan 3, 2007 | Dec 24, 2014 (2912 d) |
| Todd Michael Lohman | Voya Financial Advisors, Inc. other | Nfp Advisor Services, LLC other | Other | Dec 31, 2006 | Jan 4, 2007 |
| Steven Harris Livitz | Livitz Trading Group, LLC unclassified | Nfp Advisor Services, LLC other | Other | Dec 31, 2006 | Apr 21, 2011 (1572 d) |
| Rebecca Evelyn Hipp | Principal Securities, Inc. other | Nfp Advisor Services, LLC other | Other | Dec 18, 2006 | Feb 15, 2007 (59 d) |
| William Howard Webster | Park Avenue Securities LLC other | Nfp Advisor Services, LLC other | Other | Dec 6, 2006 | Jul 9, 2008 (581 d) |
| Bunn Fawcett | Sagepoint Financial, Inc. other | Nfp Advisor Services, LLC other | Other | Nov 16, 2006 | Nov 7, 2006 |
| Fred Mcclusky Palmer | Uvest Financial Services Group, Inc. unclassified | Nfp Advisor Services, LLC other | Other | Nov 8, 2006 | Jan 29, 2008 (447 d) |
| Bradley Howell Cantrill | Osaic Fa, Inc. other | Nfp Advisor Services, LLC other | Other | Oct 30, 2006 | Oct 27, 2006 |
| Nathan Wayne Murphy | Sagepoint Financial, Inc. other | Nfp Advisor Services, LLC other | Other | Oct 25, 2006 | Oct 18, 2006 |
| Rebecca J Baggett | Valic Financial Advisors, Inc. other | Nfp Advisor Services, LLC other | Other | Oct 10, 2006 | Oct 12, 2006 |
| Mark Douglas Ray | Northwestern Mutual Investment Services,LLC other | Nfp Advisor Services, LLC other | Other | Sep 28, 2006 | Sep 26, 2006 |
| Brent Coleman Elliott | New England Securities Corporation other | Nfp Advisor Services, LLC other | Other | Aug 24, 2006 | Aug 21, 2006 |
| Timothy Arthur Mellon | New England Securities Corporation other | Nfp Advisor Services, LLC other | Other | Aug 24, 2006 | Aug 21, 2006 |
| Jason Duffaut | Equitable Advisors, LLC national BD | Nfp Advisor Services, LLC other | Other | Aug 22, 2006 | Sep 7, 2006 |
| Christopher Charles Knoche | H. Beck, Inc. other | Nfp Advisor Services, LLC other | Other | Jul 17, 2006 | Jul 19, 2006 |
| Norman Douglas Hostetler | Hostetler Church,LLC unclassified | Nfp Advisor Services, LLC other | Other | Jun 26, 2006 | Jan 19, 2005 |
| Mark Alan Melnychuk | Sii Investments, Inc. other | Nfp Advisor Services, LLC other | Other | Jun 12, 2006 | Jul 20, 2006 (38 d) |
| Edward Massenburg Wood | Suntrust Investment Services, Inc. other | Nfp Advisor Services, LLC other | Other | Jun 9, 2006 | Sep 8, 2006 (91 d) |
| Matthew Thomas Powers | Citigroup Global Markets Inc. other | Nfp Advisor Services, LLC other | Other | Jun 8, 2006 | May 22, 2006 |
| James Benjamin Leyhew | Gunnallen Financial, Inc unclassified | Nfp Advisor Services, LLC other | Other | May 26, 2006 | May 26, 2006 |
| Brian Dee Heckert | MML Investors Services, LLC other | Nfp Advisor Services, LLC other | Other | May 12, 2006 | Jul 26, 2006 (75 d) |
| Gregory Davis | Hornor, Townsend & Kent, LLC other | Nfp Advisor Services, LLC other | Other | May 11, 2006 | May 27, 2014 (2938 d) |
| William Allen Barton | Investment Professionals, Inc. other | Nfp Advisor Services, LLC other | Other | May 11, 2006 | Jun 15, 2006 (35 d) |
| Carl Lance Huntley | Riverstone Wealth Management other | Nfp Advisor Services, LLC other | Other | May 9, 2006 | May 18, 2006 |
| Lance Douglas Jamerson | Ameriprise Financial Services, LLC national BD | Nfp Advisor Services, LLC other | Other | Apr 13, 2006 | May 11, 2006 |
| James Lewis Worrell | M Holdings Securities, Inc. other | Nfp Advisor Services, LLC other | Other | Apr 11, 2006 | Mar 29, 2006 |
| Matthew Joel Kolenich | Chapman & Chapman Advisors LLC other | Nfp Advisor Services, LLC other | Other | Mar 22, 2006 | Dec 19, 2005 |
| Melanie Dee Hagan | Banc Of America Investment Services, Inc. unclassified | Nfp Advisor Services, LLC other | Other | Mar 22, 2006 | Sep 25, 2009 (1283 d) |
| Brandon A Zatopek | Securian Financial Services, Inc. other | Nfp Advisor Services, LLC other | Other | Mar 20, 2006 | Nov 16, 2006 (241 d) |
| William Brad Brantley | Citigroup Global Markets Inc. other | Nfp Advisor Services, LLC other | Other | Mar 4, 2006 | Feb 17, 2006 |