| Joshua Bruce Walzer | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Fifth Third Securities, Inc. other | Other | Feb 17, 2016 | Mar 3, 2016 |
| Karen L Conrad | UBS Financial Services Inc. wirehouse | Fifth Third Securities, Inc. other | Other | Feb 16, 2016 | Mar 22, 2016 (35 d) |
| Joshua Tyler Shank | Spc other | Fifth Third Securities, Inc. other | Other | Feb 9, 2016 | Mar 18, 2016 (38 d) |
| Rebecca A Mclean | Charles Schwab & Co., Inc. national BD | Fifth Third Securities, Inc. other | Other | Feb 2, 2016 | Mar 24, 2016 (51 d) |
| John Thomas Desantis | Cetera Investment Advisers LLC other | Fifth Third Securities, Inc. other | Other | Feb 1, 2016 | Feb 23, 2016 |
| Richard Joseph Mcgowan | Cuna Brokerage Services, Inc. other | Fifth Third Securities, Inc. other | Other | Jan 19, 2016 | Feb 9, 2016 |
| Susan Sandra Cruz | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Fifth Third Securities, Inc. other | Other | Jan 4, 2016 | Oct 13, 2016 (283 d) |
| Nicholas Kaminsky | Edward Jones national BD | Fifth Third Securities, Inc. other | Other | Dec 24, 2015 | Feb 27, 2017 (431 d) |
| Kelly Meyers Malatesta | Edward Jones national BD | Fifth Third Securities, Inc. other | Other | Dec 22, 2015 | Dec 21, 2015 |
| Michael James Cason | Pnc Wealth Management other | Fifth Third Securities, Inc. other | Other | Dec 17, 2015 | Mar 16, 2016 (90 d) |
| Johanna Imhof | Hsbc Securities (USA) Inc. other | Fifth Third Securities, Inc. other | Other | Dec 15, 2015 | Feb 7, 2017 (420 d) |
| Michael Bravo | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Fifth Third Securities, Inc. other | Other | Nov 12, 2015 | Dec 7, 2015 |
| Daryl J Evans | Morgan Stanley wirehouse | Fifth Third Securities, Inc. other | Other | Oct 20, 2015 | Oct 21, 2015 |
| Kevin P Koeninger | Strategic Advisers LLC national BD | Fifth Third Securities, Inc. other | Other | Oct 12, 2015 | Mar 30, 2016 (170 d) |
| Logan Mariel Bullard | LPL Financial LLC other | Fifth Third Securities, Inc. other | Other | Sep 30, 2015 | Oct 6, 2015 |
| Dejha Lee Krajcar | Citizens Securities, Inc. other | Fifth Third Securities, Inc. other | Other | Sep 23, 2015 | Oct 1, 2015 |
| Orlando Garcia | J.P. Morgan Securities LLC wirehouse | Fifth Third Securities, Inc. other | Other | Sep 23, 2015 | Sep 17, 2015 |
| Michael Gary Argenbright | Suntrust Investment Services, Inc. other | Fifth Third Securities, Inc. other | Other | Sep 8, 2015 | Sep 17, 2015 |
| Haya Deis | J.P. Morgan Securities LLC wirehouse | Fifth Third Securities, Inc. other | Other | Aug 12, 2015 | Aug 4, 2015 |
| Gregory Carlton | Strategic Advisers LLC national BD | Fifth Third Securities, Inc. other | Other | Aug 10, 2015 | Oct 23, 2015 (74 d) |
| Jarrett Andrew Krienes | Invest Financial Corporation other | Fifth Third Securities, Inc. other | Other | Jul 24, 2015 | Jul 30, 2015 |
| Ryan Von Borstel | Thrivent Investment Management Inc. other | Fifth Third Securities, Inc. other | Other | Jun 26, 2015 | Oct 20, 2015 (116 d) |
| Genan Marie Kirby | Creative Financial Designs, Inc. other | Fifth Third Securities, Inc. other | Other | Jun 24, 2015 | Aug 21, 2015 (58 d) |
| Travis J Harris | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Fifth Third Securities, Inc. other | Other | Jun 8, 2015 | Jun 23, 2015 |
| Marcellus Joseph Hollendoner | Wells Fargo Advisors wirehouse | Fifth Third Securities, Inc. other | Other | May 27, 2015 | May 26, 2015 |
| William Henry Cox | Investment Professionals, Inc. other | Fifth Third Securities, Inc. other | Other | May 18, 2015 | May 6, 2015 |
| Dolores Angela Angus | J.P. Morgan Securities LLC wirehouse | Fifth Third Securities, Inc. other | Other | May 12, 2015 | Jul 14, 2015 (63 d) |
| Jerry Dale Lawhead | Raymond James & Associates, Inc. national BD | Fifth Third Securities, Inc. other | Other | May 8, 2015 | Apr 27, 2015 |
| Joseph Anthony Lopardi | Wells Fargo Advisors wirehouse | Fifth Third Securities, Inc. other | Other | May 6, 2015 | May 7, 2015 |
| Rachell Danielle Blanchard | Advice And Planning Services other | Fifth Third Securities, Inc. other | Other | Apr 30, 2015 | May 26, 2015 |
| Daniel Eugene Murphy | Pnc Wealth Management other | Fifth Third Securities, Inc. other | Other | Apr 17, 2015 | Aug 5, 2015 (110 d) |
| Yahaira Felix | J.P. Morgan Securities LLC wirehouse | Fifth Third Securities, Inc. other | Other | Apr 16, 2015 | Nov 4, 2015 (202 d) |
| Milta Hernandez | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Fifth Third Securities, Inc. other | Other | Apr 6, 2015 | May 29, 2015 (53 d) |
| Erica Leigh Acheson-Dunay | Wells Fargo Advisors wirehouse | Fifth Third Securities, Inc. other | Other | Mar 27, 2015 | Jul 6, 2015 (101 d) |
| Lewis Marlin Rowe | Oppenheimer & Co. Inc. other | Fifth Third Securities, Inc. other | Other | Mar 17, 2015 | Mar 24, 2015 |
| Brian K Meeks II | L.M. Kohn & Company other | Fifth Third Securities, Inc. other | Other | Mar 17, 2015 | Aug 7, 2015 (143 d) |
| Michael Steven Ames | Suntrust Investment Services, Inc. other | Fifth Third Securities, Inc. other | Other | Mar 17, 2015 | Mar 31, 2015 |
| Brent Neal Bruggink | Edward Jones national BD | Fifth Third Securities, Inc. other | Other | Feb 18, 2015 | Sep 2, 2015 (196 d) |
| Ali Kae Hilvers | Strategic Advisers LLC national BD | Fifth Third Securities, Inc. other | Other | Feb 6, 2015 | Jul 16, 2015 (160 d) |
| Bruce Allen Corsaro | Pnc Wealth Management other | Fifth Third Securities, Inc. other | Other | Jan 27, 2015 | Jan 14, 2015 |
| Adam P Smith | J.P. Morgan Securities LLC wirehouse | Fifth Third Securities, Inc. other | Other | Jan 23, 2015 | Feb 17, 2015 |
| Brandon Wayne Gregg | Edward Jones national BD | Fifth Third Securities, Inc. other | Other | Jan 23, 2015 | Apr 10, 2015 (77 d) |
| Byron Michael Smith | Raymond James & Associates, Inc. national BD | Fifth Third Securities, Inc. other | Other | Jan 20, 2015 | Feb 10, 2015 |
| Sheri Turek | Tlg Advisors, Inc. other | Fifth Third Securities, Inc. other | Other | Jan 14, 2015 | Feb 25, 2015 (42 d) |
| Sean M Hannigan | Edward Jones national BD | Fifth Third Securities, Inc. other | Other | Jan 9, 2015 | Dec 17, 2015 (342 d) |
| Alain Bahram Brown | Pnc Wealth Management other | Fifth Third Securities, Inc. other | Other | Jan 8, 2015 | Jan 8, 2015 |
| Adam Zachary Taylor | Pnc Wealth Management other | Fifth Third Securities, Inc. other | Other | Jan 8, 2015 | Jan 5, 2015 |
| Lori Jeanne Taylor | Suntrust Investment Services, Inc. other | Fifth Third Securities, Inc. other | Other | Dec 22, 2014 | Jan 15, 2015 |
| Scott Robert Barlow | Pnc Wealth Management other | Fifth Third Securities, Inc. other | Other | Dec 3, 2014 | Dec 22, 2014 |
| Scott A. Schmidt | Meritus Capital Management, Inc. other | Fifth Third Securities, Inc. other | Other | Dec 3, 2014 | Dec 5, 2014 |
| George A Von Zedlitz | Wells Fargo Advisors wirehouse | Fifth Third Securities, Inc. other | Other | Nov 28, 2014 | Jan 5, 2015 (38 d) |
| Mark Josaitis | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Fifth Third Securities, Inc. other | Other | Nov 20, 2014 | Nov 28, 2014 |
| John Michael Ruby | Edward Jones national BD | Fifth Third Securities, Inc. other | Other | Nov 18, 2014 | Nov 19, 2014 |
| Michael Louis Koltz | Wells Fargo Advisors wirehouse | Fifth Third Securities, Inc. other | Other | Nov 5, 2014 | Mar 5, 2015 (120 d) |
| Kurtis Wade Abraham | Pnc Wealth Management other | Fifth Third Securities, Inc. other | Other | Nov 3, 2014 | Nov 10, 2014 |
| Joel Scott Mullins | LPL Financial LLC other | Fifth Third Securities, Inc. other | Other | Oct 24, 2014 | Oct 27, 2014 |
| Nicholas Barulic | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Fifth Third Securities, Inc. other | Other | Oct 20, 2014 | Oct 17, 2014 |
| Nicholas Nolen Bradley | Pnc Wealth Management other | Fifth Third Securities, Inc. other | Other | Oct 17, 2014 | Jan 30, 2015 (105 d) |
| Kyle Williams | Bb&T Investment Services, Inc. no RAUM | Fifth Third Securities, Inc. other | Other | Oct 16, 2014 | Oct 24, 2014 |
| Tanya Michelle Carroll | Seaside Capital Management, Inc. unclassified | Fifth Third Securities, Inc. other | Other | Sep 16, 2014 | Apr 14, 2014 |