| Shannon Hayes Abel | Ameriprise Financial Services, LLC national BD | Fsc Securities Corporation other | Other | Apr 1, 2008 | Apr 7, 2008 |
| Paul John Pfeiffer | Nationwide Investment Advisors, LLC other | Fsc Securities Corporation other | Other | Mar 11, 2008 | Mar 17, 2008 |
| Michael Anthony Flanagan | Ffr Advisory LLC other | Fsc Securities Corporation other | Other | Jan 29, 2008 | Jan 24, 2007 |
| Robert Eric Hoffman | UBS Financial Services Inc. wirehouse | Fsc Securities Corporation other | Other | Jan 24, 2008 | Jan 15, 2008 |
| Tiiffany Mah Maclean | Securities America Advisors, Inc. other | Fsc Securities Corporation other | Other | Jan 7, 2008 | Jan 8, 2008 |
| Barbara Wilbur Sullins | King, Mohamed And Associates, Inc. unclassified | Fsc Securities Corporation other | Other | Dec 31, 2007 | Jan 29, 2007 |
| Michael Stephen Holbrook | 1717 Capital Management Company unclassified | Fsc Securities Corporation other | Other | Dec 19, 2007 | Dec 18, 2007 |
| Johnson George Andrews | Equitable Advisors, LLC national BD | Fsc Securities Corporation other | Other | Dec 18, 2007 | Dec 14, 2007 |
| Damon Ridley | Voya Financial Advisors, Inc. other | Fsc Securities Corporation other | Other | Dec 13, 2007 | Dec 14, 2007 |
| Christopher Allen Salyer | Voya Financial Advisors, Inc. other | Fsc Securities Corporation other | Other | Dec 12, 2007 | Dec 12, 2007 |
| Jonathan Hunter Bodwell | Voya Financial Advisors, Inc. other | Fsc Securities Corporation other | Other | Dec 12, 2007 | Dec 14, 2007 |
| Eric David Antrobius | Voya Financial Advisors, Inc. other | Fsc Securities Corporation other | Other | Dec 7, 2007 | Dec 4, 2007 |
| Erich Andulan Castillo | Voya Financial Advisors, Inc. other | Fsc Securities Corporation other | Other | Dec 7, 2007 | Dec 6, 2007 |
| Lauren Lehman | Convergent Wealth Advisors, LLC other | Fsc Securities Corporation other | Other | Dec 4, 2007 | Apr 16, 2009 (499 d) |
| Paige Pickar Guinn | Linscomb Wealth, Inc. other | Fsc Securities Corporation other | Other | Dec 1, 2007 | Nov 26, 2007 |
| Jonathan Craig Blackwell | Uvest Financial Services Group, Inc. unclassified | Fsc Securities Corporation other | Other | Nov 20, 2007 | Mar 20, 2012 (1582 d) |
| Jyoti Gujral | Capitol Wealth Management, Inc. other | Fsc Securities Corporation other | Other | Oct 31, 2007 | Jan 28, 2005 |
| Timothy Dale Vessell | Capitol Wealth Management, Inc. other | Fsc Securities Corporation other | Other | Oct 31, 2007 | Jan 28, 2005 |
| David Westlund | Voya Financial Advisors, Inc. other | Fsc Securities Corporation other | Other | Oct 26, 2007 | Dec 4, 2007 (39 d) |
| Eric Charles Shearer | Chase Investment Services Corp. other | Fsc Securities Corporation other | Other | Oct 26, 2007 | Oct 30, 2007 |
| Steven Edward Silvey | Northwestern Mutual Investment Services,LLC other | Fsc Securities Corporation other | Other | Oct 23, 2007 | Oct 22, 2007 |
| David B Smith | Edward Jones national BD | Fsc Securities Corporation BD affiliated | Affiliated broker-dealer or bank to another | Oct 3, 2007 | Jul 31, 2020 (4685 d) |
| Luiz Henrique Moreira Boscardin | Signator Investors, Inc. other | Fsc Securities Corporation other | Other | Sep 18, 2007 | Oct 3, 2007 |
| Daniel Vernon | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Fsc Securities Corporation other | Other | Sep 5, 2007 | Aug 31, 2007 |
| Erin M Maynard | Nationwide Investment Advisors, LLC other | Fsc Securities Corporation other | Other | Aug 13, 2007 | Sep 4, 2007 |
| Jeffrey Alan Browne | Equitable Advisors, LLC national BD | Fsc Securities Corporation other | Other | Aug 3, 2007 | Jul 30, 2007 |
| John Allen Draper | Equitable Advisors, LLC national BD | Fsc Securities Corporation other | Other | Aug 3, 2007 | Jul 30, 2007 |
| Matthew Land | Equitable Advisors, LLC national BD | Fsc Securities Corporation other | Other | Aug 3, 2007 | Jul 30, 2007 |
| Johnathan Aaron Cherry | A. G. Edwards & Sons, Inc. unclassified | Fsc Securities Corporation other | Other | Jul 5, 2007 | Jul 24, 2007 |
| Evan Finnell Cole | Valic Financial Advisors, Inc. other | Fsc Securities Corporation other | Other | Jun 5, 2007 | Jun 11, 2007 |
| Alaina Spilkevitz | Chase Investment Services Corp. other | Fsc Securities Corporation other | Other | Jun 4, 2007 | Jun 20, 2007 |
| Charles Conrad | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Fsc Securities Corporation other | Other | Jun 4, 2007 | Sep 7, 2007 (95 d) |
| Richard Paul Pucci | UBS Financial Services Inc. wirehouse | Fsc Securities Corporation other | Other | May 15, 2007 | Apr 30, 2007 |
| Michael Craig Waldow | Hornor, Townsend & Kent, LLC other | Fsc Securities Corporation other | Other | Apr 26, 2007 | Apr 25, 2007 |
| Alysia Antoinette-Sonia Mcgee | Suntrust Investment Services, Inc. other | Fsc Securities Corporation other | Other | Apr 24, 2007 | May 25, 2007 (31 d) |
| Lee Stanley Martin | Transamerica Financial Advisors, LLC other | Fsc Securities Corporation other | Other | Apr 23, 2007 | Apr 11, 2007 |
| Jennifer Cox Mann | Citigroup Global Markets Inc. other | Fsc Securities Corporation other | Other | Apr 23, 2007 | May 4, 2007 |
| Cheri Yu | Citicorp Investment Services unclassified | Fsc Securities Corporation other | Other | Apr 3, 2007 | Apr 25, 2007 |
| Jeffrey Martin Winter | Ameriprise Advisor Services, Inc. unclassified | Fsc Securities Corporation other | Other | Mar 26, 2007 | Oct 9, 2008 (563 d) |
| Carol Lee Anderson | Osaic Fa, Inc. other | Fsc Securities Corporation other | Other | Feb 28, 2007 | Feb 26, 2007 |
| Eric Boyle | Ameriprise Financial Services, LLC national BD | Fsc Securities Corporation other | Other | Feb 14, 2007 | Mar 13, 2007 |
| Robert Andrew Heksch | Aspen Management Group Ltd unclassified | Fsc Securities Corporation other | Other | Jan 24, 2007 | Apr 17, 2003 |
| Sheri Eddings Robinson | Amsouth Investment Management Company LLC unclassified | Fsc Securities Corporation other | Other | Jan 12, 2007 | May 1, 2007 (109 d) |
| Robert E Mefford | Cpf Texas other | Fsc Securities Corporation other | Other | Jan 5, 2007 | Feb 8, 2007 (34 d) |
| Charles Wilkes Smith | Strategic Wealth Advisors Group other | Fsc Securities Corporation other | Other | Jan 4, 2007 | Dec 12, 2006 |
| Benjamin Robert Kobrin | Strategic Wealth Advisors Group other | Fsc Securities Corporation other | Other | Jan 4, 2007 | Dec 12, 2006 |
| Jessica Peck Donnerstein | Aegis Financial Group, Inc. unclassified | Fsc Securities Corporation other | Other | Dec 5, 2006 | Jan 23, 2007 (49 d) |
| Joshua Matteo | Ffp Advisory Services Inc unclassified | Fsc Securities Corporation other | Other | Nov 6, 2006 | Oct 16, 2007 (344 d) |
| Susan Jane Marshall | Pnc Wealth Management other | Fsc Securities Corporation other | Other | Oct 31, 2006 | Sep 13, 2007 (317 d) |
| Jason Clark Richards | Capitol Wealth Management, Inc. other | Fsc Securities Corporation other | Other | Oct 27, 2006 | Jan 28, 2005 |
| Joely Kim Mauck | Capitol Wealth Management, Inc. other | Fsc Securities Corporation other | Other | Oct 27, 2006 | Jan 28, 2005 |
| Roger Paul Bedillion | Pnc Wealth Management other | Fsc Securities Corporation other | Other | Oct 26, 2006 | Oct 6, 2006 |
| Edward Fredrick Walker | J.P. Morgan Securities Inc. unclassified | Fsc Securities Corporation other | Other | Oct 12, 2006 | Feb 10, 2010 (1217 d) |
| Shane Edward Westhoelter | Gateway Financial Advisors, Inc. unclassified | Fsc Securities Corporation other | Other | Oct 11, 2006 | May 29, 2003 |
| Joseph Doc Bryson | Wells Fargo Advisors wirehouse | Fsc Securities Corporation other | Other | Sep 29, 2006 | Jun 15, 2007 (259 d) |
| Zahra Panjwani Guest | Ameriprise Financial Services, LLC national BD | Fsc Securities Corporation other | Other | Sep 26, 2006 | Jun 4, 2007 (251 d) |
| Nimish Navin Patel | Suntrust Investment Services, Inc. other | Fsc Securities Corporation other | Other | Sep 21, 2006 | May 24, 2007 (245 d) |
| Guiseppi John Morabito | Msi Financial Services, Inc. other | Fsc Securities Corporation other | Other | Sep 21, 2006 | Jun 20, 2008 (638 d) |
| Richard Stanley Rebello | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Fsc Securities Corporation other | Other | Sep 14, 2006 | Aug 30, 2006 |
| Steven Canali | Waddell & Reed other | Fsc Securities Corporation other | Other | Sep 7, 2006 | Oct 25, 2006 (48 d) |