| Jon Edward Maitz | New England Securities Corporation other | Msi Financial Services, Inc. other | Other | Jul 13, 2012 | Aug 14, 2012 (32 d) |
| Raymond Earl Nelson | Equitable Advisors, LLC national BD | Msi Financial Services, Inc. other | Other | Jul 2, 2012 | Jun 25, 2012 |
| Michael Wade Housden | Morgan Stanley wirehouse | Msi Financial Services, Inc. other | Other | Jun 21, 2012 | Aug 14, 2012 (54 d) |
| Levi Allen Lamfers | Commonwealth Financial Network national BD | Msi Financial Services, Inc. other | Other | Jun 18, 2012 | Aug 15, 2012 (58 d) |
| Christopher John Spratt | LPL Financial LLC other | Msi Financial Services, Inc. other | Other | Jun 15, 2012 | Jun 20, 2012 |
| Sten Jacoby Morgan | Raymond James Financial Services Advisors, Inc other | Msi Financial Services, Inc. other | Other | Jun 8, 2012 | Jun 11, 2012 |
| Jason Harris Gold | Equitable Advisors, LLC national BD | Msi Financial Services, Inc. other | Other | Jun 7, 2012 | Jun 4, 2012 |
| Derek Scott De Pol | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Msi Financial Services, Inc. other | Other | Jun 5, 2012 | Jun 27, 2012 |
| Barry Dean Fasenmyer | Tlg Advisors, Inc. other | Msi Financial Services, Inc. other | Other | Jun 1, 2012 | Jun 18, 2012 |
| Jeffrey Quinn | Chase Investment Services Corp. other | Msi Financial Services, Inc. other | Other | May 24, 2012 | Jun 18, 2012 |
| Jonathan James Miles | Equitable Advisors, LLC national BD | Msi Financial Services, Inc. other | Other | May 10, 2012 | Jul 5, 2012 (56 d) |
| David Christian Booker | Ameriprise Financial Services, LLC national BD | Msi Financial Services, Inc. other | Other | May 9, 2012 | May 9, 2012 |
| Joshua Glenn Rothbard | Cetera Advisor Networks LLC other | Msi Financial Services, Inc. other | Other | May 7, 2012 | May 11, 2012 |
| Nichole Dove Jansen | First Command Financial Planning, Inc. other | Msi Financial Services, Inc. other | Other | May 7, 2012 | May 3, 2012 |
| John M Jacobs | Osaic Fa, Inc. other | Msi Financial Services, Inc. other | Other | Apr 30, 2012 | Jun 12, 2012 (43 d) |
| Erik Scherr | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Msi Financial Services, Inc. other | Other | Apr 23, 2012 | May 16, 2012 |
| Ashwini Kumar Ahluwalia | Hornor, Townsend & Kent, LLC other | Msi Financial Services, Inc. other | Other | Apr 20, 2012 | Apr 24, 2012 |
| Dennis John Andres | Morgan Stanley wirehouse | Msi Financial Services, Inc. other | Other | Apr 18, 2012 | May 3, 2012 |
| Larry Deron Grant | Waddell & Reed other | Msi Financial Services, Inc. other | Other | Apr 16, 2012 | Jan 6, 2015 (995 d) |
| Myles R. Luster | Bff Wealth Management, Inc. state registered | Msi Financial Services, Inc. other | Other | Apr 10, 2012 | Mar 1, 2012 |
| Michael Alexander Geotes | Wells Fargo Advisors wirehouse | Msi Financial Services, Inc. other | Other | Mar 27, 2012 | Apr 26, 2012 |
| Terry Albert Pasquale | Cetera Investment Services LLC other | Msi Financial Services, Inc. other | Other | Mar 23, 2012 | Jul 31, 2012 (130 d) |
| Russell Glenn Gochneaur | U.S. Bancorp Investments, Inc. other | Msi Financial Services, Inc. other | Other | Mar 23, 2012 | Jun 13, 2012 (82 d) |
| Mark Lehman Bobruff | Allstate Financial Advisors, LLC no RAUM | Msi Financial Services, Inc. other | Other | Mar 23, 2012 | May 3, 2012 (41 d) |
| Anthony Marino | Ridgewood Associates Inc. Nj unclassified | Msi Financial Services, Inc. other | Other | Mar 19, 2012 | Mar 1, 2013 (347 d) |
| Shelly M Maas | Forward Management, LLC other | Msi Financial Services, Inc. other | Other | Mar 19, 2012 | Jun 6, 2012 (79 d) |
| John Pershing Sayers | Charles Schwab & Co., Inc. national BD | Msi Financial Services, Inc. other | Other | Mar 13, 2012 | May 15, 2012 (63 d) |
| Ian Joseph Tollefsen | Tower Square Securities, Inc. other | Msi Financial Services, Inc. other | Other | Feb 24, 2012 | Sep 19, 2008 |
| Ian Joseph Tollefsen | Walnut Street Securities, Inc. other | Msi Financial Services, Inc. other | Other | Feb 24, 2012 | Sep 19, 2008 |
| Matthew David Phillips | Walnut Street Securities, Inc. other | Msi Financial Services, Inc. other | Other | Feb 24, 2012 | Sep 18, 2008 |
| Matthew David Phillips | Tower Square Securities, Inc. other | Msi Financial Services, Inc. other | Other | Feb 24, 2012 | Sep 18, 2008 |
| Leo Esses | UBS Financial Services Inc. wirehouse | Msi Financial Services, Inc. other | Other | Feb 21, 2012 | Feb 10, 2012 |
| John Smith Swarts | Independent Alliance Advisors, LLC unclassified | Msi Financial Services, Inc. other | Other | Feb 14, 2012 | Jul 16, 2013 (518 d) |
| Louis Frederick Body | Principal Securities, Inc. other | Msi Financial Services, Inc. other | Other | Feb 14, 2012 | Feb 24, 2012 |
| Carla W Thrasher | LPL Financial LLC other | Msi Financial Services, Inc. other | Other | Feb 14, 2012 | May 25, 2012 (101 d) |
| Adam Michael Laakko | Morgan Stanley wirehouse | Msi Financial Services, Inc. other | Other | Feb 1, 2012 | Feb 8, 2012 |
| Bailey Lynn Bynum | Waddell & Reed other | Msi Financial Services, Inc. other | Other | Jan 31, 2012 | Feb 8, 2012 |
| James Paul Cooney | Voya Financial Advisors, Inc. other | Msi Financial Services, Inc. other | Other | Jan 26, 2012 | Mar 27, 2012 (61 d) |
| Shannon Littlejohn | T. Rowe Price Advisory Services, Inc. no RAUM | Msi Financial Services, Inc. other | Other | Jan 25, 2012 | Mar 27, 2012 (62 d) |
| Daniel Mark Mccoy | New England Securities Corporation other | Msi Financial Services, Inc. other | Other | Jan 18, 2012 | Mar 31, 2015 (1168 d) |
| Myles R. Luster | First Allied Securities, Inc. other | Msi Financial Services, Inc. other | Other | Jan 18, 2012 | Mar 1, 2012 (43 d) |
| Mark Anthony Rossbach | Equitable Advisors, LLC national BD | Msi Financial Services, Inc. other | Other | Jan 13, 2012 | Mar 14, 2012 (61 d) |
| Derrek Lewis Metz | Ameriprise Financial Services, LLC national BD | Msi Financial Services, Inc. other | Other | Jan 13, 2012 | Feb 28, 2012 (46 d) |
| David Keith Riffe | Charles Schwab & Co., Inc. national BD | Msi Financial Services, Inc. other | Other | Jan 9, 2012 | Jan 25, 2012 |
| Michael Stephen Krzywdzinski | Commonwealth Financial Network national BD | Msi Financial Services, Inc. other | Other | Jan 6, 2012 | Jan 6, 2012 |
| John A Marlis | Aegis Wealth Advisors. LLC state registered | Msi Financial Services, Inc. other | Other | Jan 4, 2012 | Feb 16, 2012 (43 d) |
| Paula Demars Megan | Bb&T Investment Services, Inc. no RAUM | Msi Financial Services, Inc. other | Other | Jan 3, 2012 | Feb 2, 2012 |
| Kevin David Crowley | Northwestern Mutual Investment Services,LLC other | Msi Financial Services, Inc. other | Other | Dec 21, 2011 | Jan 9, 2012 |
| Larry Vance Parman | 1st Global Advisors Inc other | Msi Financial Services, Inc. other | Other | Dec 21, 2011 | Apr 16, 2012 (117 d) |
| Matthew James Rush | Morgan Stanley wirehouse | Msi Financial Services, Inc. other | Other | Dec 20, 2011 | Jan 3, 2012 |
| Cynthia Lee Balkwell | Ameriprise Financial Services, LLC national BD | Msi Financial Services, Inc. other | Other | Dec 19, 2011 | Jan 27, 2012 (39 d) |
| Donald Sada | Investment Professionals, Inc. other | Msi Financial Services, Inc. other | Other | Dec 16, 2011 | Sep 21, 2012 (280 d) |
| Kevin Melamed | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Msi Financial Services, Inc. other | Other | Dec 7, 2011 | Feb 4, 2014 (790 d) |
| Thomas Francis Gallagher | Wells Fargo Advisors wirehouse | Msi Financial Services, Inc. other | Other | Dec 5, 2011 | Dec 5, 2011 |
| Marcel Richard Morin | Centaurus Financial, Inc. other | Msi Financial Services, Inc. other | Other | Dec 1, 2011 | Jan 3, 2012 (33 d) |
| Adam Michael Laibson | Primerica Advisors national BD | Msi Financial Services, Inc. other | Other | Nov 30, 2011 | Dec 23, 2011 |
| Jeremy Michael Dalidowitz | Ameriprise Financial Services, LLC national BD | Msi Financial Services, Inc. other | Other | Nov 30, 2011 | Jan 10, 2012 (41 d) |
| Timothy Caso | Nationwide Securities, LLC no RAUM | Msi Financial Services, Inc. other | Other | Nov 28, 2011 | Mar 13, 2012 (106 d) |
| William Allen Barton | Swbc Investment Company other | Msi Financial Services, Inc. other | Other | Nov 22, 2011 | Apr 11, 2012 (141 d) |
| Jeannie Temple Mainland | Investment Advisors International, Inc. unclassified | Msi Financial Services, Inc. other | Other | Nov 14, 2011 | Mar 27, 2012 (134 d) |