| Charles B Carroll | Essex National Securities, Inc. other | Cetera Investment Services LLC other | Other | May 4, 2006 | May 2, 2006 |
| John Natale Russo | Essex National Securities, Inc. other | Cetera Investment Services LLC other | Other | May 4, 2006 | Jun 1, 2006 |
| Michael L Bencivengo | Essex National Securities, Inc. other | Cetera Investment Services LLC other | Other | May 4, 2006 | May 4, 2006 |
| Chad Charles Czerwinski | Webster Investment Services, Inc. unclassified | Cetera Investment Services LLC other | Other | Apr 27, 2006 | Jun 1, 2006 (35 d) |
| Richard Frank Parnigoni | Jesup & Lamont Securities Corp unclassified | Cetera Investment Services LLC other | Other | Apr 24, 2006 | Nov 7, 2007 (562 d) |
| Chris Weston | Invest Financial Corporation other | Cetera Investment Services LLC other | Other | Apr 17, 2006 | Apr 17, 2006 |
| David Eaton Rathgeb | Waddell & Reed other | Cetera Investment Services LLC other | Other | Apr 7, 2006 | Apr 4, 2006 |
| Kelly Lopez Atkinson | Waddell & Reed other | Cetera Investment Services LLC other | Other | Apr 6, 2006 | Feb 20, 2007 (320 d) |
| Jon Kendal Frick | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Cetera Investment Services LLC other | Other | Apr 6, 2006 | May 19, 2006 (43 d) |
| Stephen Francis Starzec | MML Investors Services, LLC other | Cetera Investment Services LLC other | Other | Apr 5, 2006 | Jun 13, 2006 (69 d) |
| John Charles Cameron | Charles Schwab & Co., Inc. national BD | Cetera Investment Services LLC other | Other | Apr 4, 2006 | May 7, 2007 (398 d) |
| Bruce Meade | Wells Fargo Investments, LLC unclassified | Cetera Investment Services LLC other | Other | Mar 28, 2006 | Apr 17, 2006 |
| Matthew Thomas Simard | Advest, Inc. unclassified | Cetera Investment Services LLC other | Other | Mar 8, 2006 | Apr 16, 2007 (404 d) |
| Becky Sue Lynch | Ifmg Securities, Inc. unclassified | Cetera Investment Services LLC other | Other | Mar 2, 2006 | May 31, 2006 (90 d) |
| Angela Lyons | Cuso Financial Services, L.P. other | Cetera Investment Services LLC other | Other | Feb 21, 2006 | May 30, 2006 (98 d) |
| Anthony James Losh | Natcity Investments, Inc. unclassified | Cetera Investment Services LLC other | Other | Feb 1, 2006 | Feb 15, 2006 |
| Allan Jay Thompson | Fsc Securities Corporation other | Cetera Investment Services LLC other | Other | Jan 31, 2006 | Mar 8, 2006 (36 d) |
| Jay Lynn Guyer | Citizens Securities, Inc. other | Cetera Investment Services LLC other | Other | Jan 12, 2006 | Aug 23, 2007 (588 d) |
| David Grant Patton | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Cetera Investment Services LLC other | Other | Jan 10, 2006 | Jan 13, 2006 |
| Mary Jean Robbins | Metlife Investment Fund Services LLC unclassified | Cetera Investment Services LLC other | Other | Dec 31, 2005 | Jan 6, 2006 |
| Dwight Latham Davenport | Commonwealth Financial Network national BD | Cetera Investment Services LLC other | Other | Dec 31, 2005 | Dec 17, 2007 (716 d) |
| Keith Dandridge Lea | Investment Professionals, Inc. other | Cetera Investment Services LLC other | Other | Nov 30, 2005 | Nov 28, 2005 |
| Bradley Scott Johannes | Investment Centers Of America, Inc. other | Cetera Investment Services LLC other | Other | Nov 29, 2005 | Apr 17, 2006 (139 d) |
| Mark Steven Fantasia | Banc Of America Investment Services, Inc. unclassified | Cetera Investment Services LLC other | Other | Oct 25, 2005 | Oct 18, 2005 |
| Jaroy Kent Mulkey | Security Service Cuso, L.L.C. unclassified | Cetera Investment Services LLC other | Other | Oct 21, 2005 | Aug 16, 2005 |
| James Eric Quillen | Icba Financial Services Corporation unclassified | Cetera Investment Services LLC other | Other | Oct 14, 2005 | Oct 9, 2007 (725 d) |
| Christine Elizabeth Walker | Icba Financial Services Corporation unclassified | Cetera Investment Services LLC other | Other | Oct 14, 2005 | Oct 14, 2005 |
| Christopher Bram Dent | Icba Financial Services Corporation unclassified | Cetera Investment Services LLC other | Other | Oct 14, 2005 | Oct 14, 2005 |
| Chad Evan Polin | Icba Financial Services Corporation unclassified | Cetera Investment Services LLC other | Other | Oct 14, 2005 | Oct 14, 2005 |
| Christopher Frances O'Reilly | Icba Financial Services Corporation unclassified | Cetera Investment Services LLC other | Other | Oct 14, 2005 | Oct 14, 2005 |
| Alan Barry Krichman | Chase Investment Services Corp. other | Cetera Investment Services LLC other | Other | Oct 4, 2005 | Jun 2, 2006 (241 d) |
| Asta Sanders | Ryan Beck & Co. unclassified | Cetera Investment Services LLC other | Other | Sep 20, 2005 | Sep 6, 2005 |
| Daniel Joseph Flood | Pnc Wealth Management other | Cetera Investment Services LLC other | Other | Sep 15, 2005 | Oct 19, 2007 (764 d) |
| Nicole Lauree Trottier-Rogers | UBS Financial Services Inc. wirehouse | Cetera Investment Services LLC other | Other | Sep 2, 2005 | Sep 14, 2005 |
| Jeff Chad Carlile | Morgan Stanley Dw Inc. unclassified | Cetera Investment Services LLC other | Other | Aug 29, 2005 | May 21, 2007 (630 d) |
| Ryan David Hale | Banc Of America Investment Services, Inc. unclassified | Cetera Investment Services LLC other | Other | Aug 23, 2005 | Sep 16, 2005 |
| James Wesley Oliver | Webster Investment Services, Inc. unclassified | Cetera Investment Services LLC other | Other | Aug 16, 2005 | Jan 19, 2006 (156 d) |
| Donald Leon Hawkinson | Citigroup Global Markets Inc. other | Cetera Investment Services LLC other | Other | Aug 8, 2005 | Aug 8, 2005 |
| Michael Grant Neill | Onb Investment Services, Inc. unclassified | Cetera Investment Services LLC other | Other | Jul 18, 2005 | Jul 26, 2005 |
| Steven Scott Smith | Voya Retirement Advisors, LLC other | Cetera Investment Services LLC other | Other | Jun 20, 2005 | Jun 10, 2005 |
| Kevan Edward Mcnaught | Keybanc Capital Markets Inc. unclassified | Cetera Investment Services LLC other | Other | Jun 16, 2005 | Jun 14, 2005 |
| Raymond E Nichols | Ifmg Securities, Inc. unclassified | Cetera Investment Services LLC other | Other | Jun 6, 2005 | Jun 10, 2005 |
| Amin Brent Antoine | Wamu Investments, Inc. unclassified | Cetera Investment Services LLC other | Other | Apr 21, 2005 | Apr 22, 2005 |
| John Joseph Crosby | Legg Mason Wood Walker, Incorporated unclassified | Cetera Investment Services LLC other | Other | Apr 14, 2005 | Dec 2, 2005 (232 d) |
| Robert David Zoda | Voya Financial Advisors, Inc. other | Cetera Investment Services LLC other | Other | Apr 13, 2005 | May 11, 2005 |
| Daniel Charles Regan | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Cetera Investment Services LLC other | Other | Apr 6, 2005 | Mar 18, 2005 |
| Heather Lee Lemon | Chittenden Securities, LLC. unclassified | Cetera Investment Services LLC other | Other | Mar 25, 2005 | May 6, 2005 (42 d) |
| Robert Joseph Caron | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Cetera Investment Services LLC other | Other | Mar 18, 2005 | Sep 4, 2007 (900 d) |
| Robert George Bem | Invest Financial Corporation other | Cetera Investment Services LLC other | Other | Mar 15, 2005 | Oct 16, 2007 (945 d) |
| Gregory Patrick Russo | Invest Financial Corporation other | Cetera Investment Services LLC other | Other | Mar 15, 2005 | Oct 19, 2007 (948 d) |
| Mark Kenneth Johnson | Wells Fargo Investments, LLC unclassified | Cetera Investment Services LLC other | Other | Mar 7, 2005 | May 23, 2005 (77 d) |
| Ryan Francis Horner | Banc Of America Investment Services, Inc. unclassified | Cetera Investment Services LLC other | Other | Feb 14, 2005 | Jan 28, 2005 |
| Ryan Patrick Moll | Dfc Investor Services unclassified | Cetera Investment Services LLC other | Other | Jan 21, 2005 | May 9, 2011 (2299 d) |
| Michael A Comperchio | Raymond James Financial Services, Inc. unclassified | Cetera Investment Services LLC other | Other | Jan 10, 2005 | Feb 7, 2005 |
| Christopher Mark Quintin | Chittenden Securities, LLC. unclassified | Cetera Investment Services LLC other | Other | Jan 3, 2005 | Mar 4, 2005 (60 d) |
| Paul Randall Walker | U.S. Bancorp Investments, Inc. other | Cetera Investment Services LLC other | Other | Nov 15, 2004 | Oct 27, 2005 (346 d) |
| Janet Dianne Leleux | Wamu Investments, Inc. unclassified | Cetera Investment Services LLC other | Other | Sep 24, 2004 | Jan 15, 2008 (1208 d) |
| Peter Francis Forbes | Quick & Reilly, Inc. unclassified | Cetera Investment Services LLC other | Other | Sep 22, 2004 | Sep 14, 2004 |
| Jennifer Teresa Murawski | Morgan Stanley Dw Inc. unclassified | Cetera Investment Services LLC other | Other | Sep 14, 2004 | Feb 15, 2005 (154 d) |
| William Ralph Keenan | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Cetera Investment Services LLC other | Other | Aug 19, 2004 | Aug 19, 2004 |