| Sonya Oliver | Credit Suisse Securities (USA) LLC other | J.P. Morgan Private Wealth Advisors LLC other | Other | Dec 28, 2015 | Dec 9, 2015 |
| Michael Schanna | Credit Suisse Securities (USA) LLC other | J.P. Morgan Private Wealth Advisors LLC other | Other | Dec 28, 2015 | Dec 8, 2015 |
| Jeffrey Titus | Credit Suisse Securities (USA) LLC other | J.P. Morgan Private Wealth Advisors LLC other | Other | Dec 28, 2015 | Dec 16, 2015 |
| Jacqueline Lazerus | Credit Suisse Securities (USA) LLC other | J.P. Morgan Private Wealth Advisors LLC other | Other | Dec 28, 2015 | Dec 9, 2015 |
| Steven Soja | Credit Suisse Securities (USA) LLC other | J.P. Morgan Private Wealth Advisors LLC other | Other | Dec 21, 2015 | Dec 7, 2015 |
| Bret Baker | Credit Suisse Securities (USA) LLC other | J.P. Morgan Private Wealth Advisors LLC other | Other | Dec 21, 2015 | Dec 7, 2015 |
| Phillip Gilbert | Credit Suisse Securities (USA) LLC other | J.P. Morgan Private Wealth Advisors LLC other | Other | Dec 9, 2015 | Nov 13, 2015 |
| Zachary Berg | Credit Suisse Securities (USA) LLC other | J.P. Morgan Private Wealth Advisors LLC other | Other | Dec 9, 2015 | Nov 13, 2015 |
| Lisa Ann Paraizo-Smith | Credit Suisse Securities (USA) LLC other | J.P. Morgan Private Wealth Advisors LLC other | Other | Dec 8, 2015 | Nov 13, 2015 |
| Natalie Mcnulty Schnuck | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | J.P. Morgan Private Wealth Advisors LLC other | Other | Dec 8, 2015 | Dec 7, 2015 |
| Melinda Cramer | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | J.P. Morgan Private Wealth Advisors LLC other | Other | Dec 4, 2015 | Dec 7, 2015 |
| Linda Meejung Yang | U.S. Bancorp Advisors, LLC other | J.P. Morgan Private Wealth Advisors LLC other | Other | Dec 4, 2015 | Nov 17, 2015 |
| Amy Spiker | Cetera Investment Advisers LLC other | J.P. Morgan Private Wealth Advisors LLC other | Other | Nov 24, 2015 | Nov 25, 2015 |
| Dagny Maidman | Credit Suisse Securities (USA) LLC other | J.P. Morgan Private Wealth Advisors LLC other | Other | Nov 5, 2015 | Oct 9, 2015 |
| Steve Ching | Credit Suisse Securities (USA) LLC other | J.P. Morgan Private Wealth Advisors LLC other | Other | Nov 5, 2015 | Oct 9, 2015 |
| Christopher Chase | Credit Suisse Securities (USA) LLC other | J.P. Morgan Private Wealth Advisors LLC other | Other | Nov 5, 2015 | Oct 9, 2015 |
| Andrew Huang | Credit Suisse Securities (USA) LLC other | J.P. Morgan Private Wealth Advisors LLC other | Other | Nov 5, 2015 | Oct 12, 2015 |
| Erik Ralston | Credit Suisse Securities (USA) LLC other | J.P. Morgan Private Wealth Advisors LLC other | Other | Nov 5, 2015 | Oct 9, 2015 |
| Paul Eric Tramontano | Constellation Wealth Advisors LLC other | J.P. Morgan Private Wealth Advisors LLC other | Other | Nov 4, 2015 | Sep 30, 2015 |
| James Barr | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | J.P. Morgan Private Wealth Advisors LLC other | Other | Nov 4, 2015 | Nov 4, 2015 |
| Jon Michael Goldstein | Constellation Wealth Advisors LLC other | J.P. Morgan Private Wealth Advisors LLC other | Other | Nov 4, 2015 | Oct 1, 2015 |
| Jeanmarie Macari Labonte | Comerica Securities other | J.P. Morgan Private Wealth Advisors LLC other | Other | Nov 4, 2015 | Nov 16, 2015 |
| Christopher David Shea | Cetera Advisor Networks LLC other | J.P. Morgan Private Wealth Advisors LLC other | Other | Nov 2, 2015 | Nov 18, 2015 |
| Tejas Borse | Morgan Stanley wirehouse | J.P. Morgan Private Wealth Advisors LLC other | Other | Oct 28, 2015 | Nov 18, 2015 |
| Justin H Steingraber | Constellation Wealth Advisors LLC other | J.P. Morgan Private Wealth Advisors LLC other | Other | Oct 2, 2015 | Oct 1, 2015 |
| Michael Ames Texido | Constellation Wealth Advisors LLC other | J.P. Morgan Private Wealth Advisors LLC other | Other | Oct 1, 2015 | Sep 30, 2015 |
| Angela Sarah Raitzin | Constellation Wealth Advisors LLC other | J.P. Morgan Private Wealth Advisors LLC other | Other | Oct 1, 2015 | Sep 30, 2015 |
| Mark Thomas Mulvoy | Constellation Wealth Advisors LLC other | J.P. Morgan Private Wealth Advisors LLC other | Other | Oct 1, 2015 | Sep 30, 2015 |
| Steven Christopher Bono | Constellation Wealth Advisors LLC other | J.P. Morgan Private Wealth Advisors LLC other | Other | Sep 30, 2015 | Sep 30, 2015 |
| David Ralph Arizini | Constellation Wealth Advisors LLC other | J.P. Morgan Private Wealth Advisors LLC other | Other | Sep 30, 2015 | Sep 30, 2015 |
| Dean Jackson | Constellation Wealth Advisors LLC other | J.P. Morgan Private Wealth Advisors LLC other | Other | Sep 30, 2015 | Sep 30, 2015 |
| Sam Katzman | Constellation Wealth Advisors LLC other | J.P. Morgan Private Wealth Advisors LLC other | Other | Sep 30, 2015 | Sep 30, 2015 |
| Darci M Hawkins | Constellation Wealth Advisors LLC other | J.P. Morgan Private Wealth Advisors LLC other | Other | Sep 30, 2015 | Oct 1, 2015 |
| Yanira Rojas | Credit Suisse Securities (USA) LLC other | J.P. Morgan Private Wealth Advisors LLC other | Other | Sep 28, 2015 | Sep 8, 2015 |
| Roy Corr | Salem Partners Wealth Management, LLC other | J.P. Morgan Private Wealth Advisors LLC other | Other | Sep 17, 2015 | Dec 17, 2015 (91 d) |
| Mike Shayestehfar | Wells Fargo Advisors wirehouse | J.P. Morgan Private Wealth Advisors LLC other | Other | Sep 17, 2015 | Sep 11, 2015 |
| John Raring | UBS Financial Services Inc. wirehouse | J.P. Morgan Private Wealth Advisors LLC other | Other | Sep 11, 2015 | Sep 2, 2015 |
| Timothy Woodall | UBS Financial Services Inc. wirehouse | J.P. Morgan Private Wealth Advisors LLC other | Other | Sep 11, 2015 | Sep 2, 2015 |
| Lisa Diane Snyder | UBS Financial Services Inc. wirehouse | J.P. Morgan Private Wealth Advisors LLC other | Other | Sep 1, 2015 | Sep 15, 2015 |
| Catherine Chase Kramer | Credit Suisse Securities (USA) LLC other | J.P. Morgan Private Wealth Advisors LLC other | Other | Aug 25, 2015 | Jul 31, 2015 |
| Wendi Lohmar | Credit Suisse Securities (USA) LLC other | J.P. Morgan Private Wealth Advisors LLC other | Other | Aug 24, 2015 | Jul 31, 2015 |
| Daniel Chang | Credit Suisse Securities (USA) LLC other | J.P. Morgan Private Wealth Advisors LLC other | Other | Aug 24, 2015 | Jul 31, 2015 |
| Brian Riley | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | J.P. Morgan Private Wealth Advisors LLC other | Other | Jul 7, 2015 | Jul 15, 2015 |
| Cynthia Alston | LPL Financial LLC other | J.P. Morgan Private Wealth Advisors LLC other | Other | Jun 25, 2015 | Jun 30, 2015 |
| David Lim | Citigroup Global Markets Inc. other | J.P. Morgan Private Wealth Advisors LLC other | Other | Jun 25, 2015 | Jun 24, 2015 |
| Andrew Alexander Bunnin | Wells Fargo Advisors wirehouse | J.P. Morgan Private Wealth Advisors LLC other | Other | Jun 2, 2015 | Jun 9, 2015 |
| Laura Liu Yick | Morgan Stanley wirehouse | J.P. Morgan Private Wealth Advisors LLC other | Other | May 15, 2015 | Oct 24, 2017 (893 d) |
| Samuel Curtis Brumbaugh | UBS Financial Services Inc. wirehouse | J.P. Morgan Private Wealth Advisors LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | May 8, 2015 | May 2, 2019 (1455 d) |
| Alastair Ipapo | H. Beck, Inc. other | J.P. Morgan Private Wealth Advisors LLC other | Other | May 1, 2015 | Sep 19, 2016 (507 d) |
| Kevin K Chung | Jackson Financial Management other | J.P. Morgan Private Wealth Advisors LLC other | Other | Mar 27, 2015 | May 24, 2016 (424 d) |
| William Evarts Benjamin | Strategic Advisers LLC national BD | J.P. Morgan Private Wealth Advisors LLC other | Other | Mar 13, 2015 | Jun 9, 2015 (88 d) |
| Hugh W Beecher | Barclays Capital Inc. other | J.P. Morgan Private Wealth Advisors LLC other | Other | Jan 30, 2015 | Jan 16, 2015 |
| Harriet C Dower | Barclays Capital Inc. other | J.P. Morgan Private Wealth Advisors LLC other | Other | Jan 30, 2015 | Jan 16, 2015 |
| Richard I Gordon | Barclays Capital Inc. other | J.P. Morgan Private Wealth Advisors LLC other | Other | Jan 30, 2015 | Jan 16, 2015 |
| Vivian Loy | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | J.P. Morgan Private Wealth Advisors LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jan 27, 2015 | Mar 21, 2022 (2610 d) |
| Michael James Curley | First Republic Securities Company, LLC no RAUM | J.P. Morgan Private Wealth Advisors LLC other | Other | Oct 9, 2014 | Oct 13, 2014 |
| Jeffrey Charles Coburn | Whv Investments, Inc. other | J.P. Morgan Private Wealth Advisors LLC other | Other | Sep 19, 2014 | Apr 23, 2014 |
| Alma Lerseth | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | J.P. Morgan Private Wealth Advisors LLC other | Other | Sep 12, 2014 | Sep 18, 2014 |
| Eileen King Bohn | Wells Fargo Advisors wirehouse | J.P. Morgan Private Wealth Advisors LLC other | Other | Jun 19, 2014 | Oct 27, 2015 (495 d) |
| James Michael Gersack | Cetera Investment Advisers LLC other | J.P. Morgan Private Wealth Advisors LLC mixed wealth | Other | Jun 9, 2014 | Feb 13, 2019 (1710 d) |