| Thaddeus Adonis Howell | Ameriprise Financial Services, LLC national BD | U.S. Bancorp Advisors, LLC other | Other | Jun 17, 2005 | Aug 15, 2005 (59 d) |
| Kent Ryo Matsumoto | Wells Fargo Investments, LLC unclassified | U.S. Bancorp Advisors, LLC other | Other | May 18, 2005 | Aug 8, 2008 (1178 d) |
| Douglas Robert Gundermann | Morgan Stanley Dw Inc. unclassified | U.S. Bancorp Advisors, LLC other | Other | Apr 1, 2005 | Apr 12, 2005 |
| Charles K Truong | Citicorp Investment Services unclassified | U.S. Bancorp Advisors, LLC other | Other | Jan 25, 2005 | Feb 3, 2005 |
| Andrew Tung Tran | Ameriprise Advisor Services, Inc. unclassified | U.S. Bancorp Advisors, LLC other | Other | Jan 21, 2005 | Jan 20, 2005 |
| Chad Eric Leon | Essex National Securities, Inc. other | U.S. Bancorp Advisors, LLC other | Other | Jan 4, 2005 | Jan 27, 2005 |
| Tammy R Jones | Citigroup Global Markets Inc. other | U.S. Bancorp Advisors, LLC other | Other | Dec 31, 2004 | Jan 5, 2005 |
| Anthony Perez | Wells Fargo Investments, LLC unclassified | U.S. Bancorp Advisors, LLC other | Other | Dec 14, 2004 | Jun 1, 2012 (2726 d) |
| Betty Won Lee | Banc Of America Investment Services, Inc. unclassified | U.S. Bancorp Advisors, LLC other | Other | Dec 3, 2004 | Dec 14, 2004 |
| Kevin Chang Kyun Pak | Citicorp Investment Services unclassified | U.S. Bancorp Advisors, LLC other | Other | Nov 23, 2004 | Dec 9, 2005 (381 d) |
| Stasia Elaine Cato-Washington | Northern Trust Securities, Inc no RAUM | U.S. Bancorp Advisors, LLC other | Other | Nov 1, 2004 | Dec 7, 2004 (36 d) |
| Mario Reynaldo Reina | Equitable Advisors, LLC national BD | U.S. Bancorp Advisors, LLC other | Other | Oct 14, 2004 | Aug 11, 2006 (666 d) |
| Boris Michael Castillo | Wells Fargo Investments, LLC unclassified | U.S. Bancorp Advisors, LLC other | Other | Aug 13, 2004 | Apr 28, 2005 (258 d) |
| Octavio Saenz Torres | Citicorp Investment Services unclassified | U.S. Bancorp Advisors, LLC other | Other | Jul 12, 2004 | Jul 22, 2004 |
| Anthony Reynard Westerfield | Strategic Advisers LLC national BD | U.S. Bancorp Advisors, LLC other | Other | Jul 2, 2004 | Aug 5, 2004 (34 d) |
| Rex B Ramsey | Strategic Advisers LLC national BD | U.S. Bancorp Advisors, LLC other | Other | May 28, 2004 | May 11, 2004 |
| Sean K Heslin | Uvest Financial Services Group, Inc. unclassified | U.S. Bancorp Advisors, LLC other | Other | Apr 30, 2004 | Aug 24, 2004 (116 d) |
| Karyn Erne Beltran-Medina | Citicorp Investment Services unclassified | U.S. Bancorp Advisors, LLC other | Other | Mar 30, 2004 | Apr 12, 2004 |
| Karin Ann Frieden | Securian Financial Services, Inc. other | U.S. Bancorp Advisors, LLC other | Other | Dec 3, 2003 | Dec 2, 2003 |
| Celeste Frances Basuino | Ifmg Securities, Inc. unclassified | U.S. Bancorp Advisors, LLC other | Other | Oct 6, 2003 | Oct 10, 2003 |
| William Kenneth Young Terry | Partnervest Advisory Services LLC other | U.S. Bancorp Advisors, LLC other | Other | Jul 15, 2003 | Jul 16, 2003 |
| James Anthony Kenison | Banc Of America Investment Services, Inc. unclassified | U.S. Bancorp Advisors, LLC other | Other | Jun 20, 2003 | May 21, 2003 |
| Casi Dileva | Ifmg Securities, Inc. unclassified | U.S. Bancorp Advisors, LLC other | Other | May 30, 2003 | Sep 4, 2009 (2289 d) |
| Lim Leigh | Banc Of America Investment Services, Inc. unclassified | U.S. Bancorp Advisors, LLC other | Other | May 23, 2003 | May 20, 2003 |
| Gary Alan Kubesh | Citigroup Global Markets Inc. other | U.S. Bancorp Advisors, LLC other | Other | Apr 25, 2003 | Apr 21, 2003 |
| John Robert Sturgis | LPL Financial LLC other | U.S. Bancorp Advisors, LLC other | Other | Mar 6, 2003 | Mar 14, 2003 |
| Gavin John Carter | Banc Of America Investment Services, Inc. unclassified | U.S. Bancorp Advisors, LLC other | Other | Jan 15, 2003 | Jul 10, 2006 (1272 d) |
| Lester Scott Pyle | Walnut Street Advisers Inc unclassified | U.S. Bancorp Advisors, LLC other | Other | Nov 25, 2002 | Nov 14, 2002 |
| Kambiz Mahdavi | Wamu Investments, Inc. unclassified | U.S. Bancorp Advisors, LLC other | Other | Sep 13, 2002 | Mar 1, 2004 (535 d) |