| Timothy Penn Nugent | Wells Fargo Advisors wirehouse | First Citizens Investor Services, Inc. other | Other | Dec 31, 2005 | Jul 9, 2009 (1286 d) |
| William Fletcher Hester | Bb&T Investment Services, Inc. no RAUM | First Citizens Investor Services, Inc. other | Other | Oct 20, 2005 | Nov 1, 2005 |
| Carol Blade Yochem | Suntrust Investment Services, Inc. other | First Citizens Investor Services, Inc. other | Other | Sep 9, 2005 | Oct 3, 2005 |
| Angela Hughes Smelcer | Captrust Financial Advisors other | First Citizens Investor Services, Inc. other | Other | Aug 2, 2005 | Aug 2, 2005 |
| Eric Rogers Gaddy | RBC Capital Markets, LLC national BD | First Citizens Investor Services, Inc. other | Other | May 9, 2005 | May 2, 2005 |
| Dan Richardson Thomason | Equitable Advisors, LLC national BD | First Citizens Investor Services, Inc. other | Other | May 9, 2005 | May 2, 2005 |
| Paul Andrew Lehman | Raymond James Financial Services, Inc. unclassified | First Citizens Investor Services, Inc. other | Other | Apr 20, 2005 | Apr 28, 2005 |
| Byron Dechellis | Ameriprise Financial Services, LLC national BD | First Citizens Investor Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jan 18, 2005 | Apr 1, 2026 (7743 d) |
| William Howard Dotterer | Charles Schwab & Co., Inc. national BD | First Citizens Investor Services, Inc. other | Other | Nov 29, 2004 | Mar 14, 2005 (105 d) |
| James Woodrow Gillespie | Bb&T Investment Services, Inc. no RAUM | First Citizens Investor Services, Inc. other | Other | Sep 2, 2004 | Sep 9, 2004 |
| William Clay Tucker | First Horizon Advisors, Inc other | First Citizens Investor Services, Inc. other | Other | Jul 16, 2004 | Aug 31, 2004 (46 d) |
| Donna Sawyer Murray | Colton Groome Financial Advisors, LLC independent RIA | First Citizens Investor Services, Inc. other | Other | Jul 2, 2004 | Oct 18, 2004 (108 d) |
| Mark Victor Nabell | Cetera Advisor Networks LLC other | First Citizens Investor Services, Inc. other | Other | Jun 4, 2004 | Jun 7, 2004 |
| Justin Matthew Clapsaddle | Money Concepts Advisory Service other | First Citizens Investor Services, Inc. other | Other | May 17, 2004 | Aug 3, 2004 (78 d) |
| Milton Gay Tynch | Wells Fargo Advisors wirehouse | First Citizens Investor Services, Inc. other | Other | Mar 3, 2004 | Mar 2, 2004 |
| Benjamin Michael Treadwell | Cuso Financial Services, L.P. other | First Citizens Investor Services, Inc. BD affiliated | Other | Sep 24, 2003 | Mar 13, 2026 (8206 d) |
| William Herman Hopkins | Banc Of America Investment Services, Inc. unclassified | First Citizens Investor Services, Inc. other | Other | Jun 13, 2003 | May 21, 2003 |
| Sandra Kay Engstrom | Morgan Stanley Dw Inc. unclassified | First Citizens Investor Services, Inc. other | Other | Jun 4, 2003 | Jun 17, 2003 |
| Robbie O'Neil Chandler | Uvest Financial Services Group, Inc. unclassified | First Citizens Investor Services, Inc. other | Other | Mar 13, 2003 | Mar 11, 2003 |
| Gregory Dana Weiss | Signator Financial Services, Inc. other | First Citizens Investor Services, Inc. other | Other | Jan 3, 2003 | Jan 13, 2003 |
| Marcos Abner Soltren | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | First Citizens Investor Services, Inc. other | Other | Dec 17, 2002 | Dec 19, 2002 |
| Curtis Mason | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | First Citizens Investor Services, Inc. other | Other | Nov 4, 2002 | Feb 20, 2007 (1569 d) |
| Thomas Andrew Hallmark | Boys Arnold & Co. Inc. other | First Citizens Investor Services, Inc. other | Other | Oct 31, 2002 | Oct 16, 2002 |
| Robin Clay Thigpin | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | First Citizens Investor Services, Inc. other | Other | Aug 9, 2002 | Aug 13, 2002 |
| Thad Eugene Tucker | Prudential Equity Group, LLC unclassified | First Citizens Investor Services, Inc. other | Other | Jul 31, 2002 | May 30, 2003 (303 d) |
| Korene Z. Phillips Marsh | Banc Of America Investment Services, Inc. unclassified | First Citizens Investor Services, Inc. other | Other | Jul 17, 2002 | Jul 24, 2002 |
| James Francis Austin | Wachovia Securities, Inc. unclassified | First Citizens Investor Services, Inc. other | Other | Jun 21, 2002 | Jun 18, 2002 |