| Dale Deval Carey | Transamerica Financial Advisors, LLC other | Invest Financial Corporation other | Other | Feb 20, 2009 | Feb 17, 2009 |
| Matthew Thomas Bumstead | Transamerica Financial Advisors, LLC other | Invest Financial Corporation other | Other | Feb 20, 2009 | Feb 19, 2009 |
| William Joseph Logue | Osaic Fa, Inc. other | Invest Financial Corporation other | Other | Feb 19, 2009 | Feb 17, 2009 |
| Gary Alan Richardson | Transamerica Financial Advisors, LLC other | Invest Financial Corporation other | Other | Feb 18, 2009 | Feb 10, 2009 |
| Mark Duran | Transamerica Financial Advisors, LLC other | Invest Financial Corporation other | Other | Feb 13, 2009 | Feb 25, 2009 |
| Jerome Richard Jones | Transamerica Financial Advisors, LLC other | Invest Financial Corporation other | Other | Feb 13, 2009 | Feb 9, 2009 |
| Aquilino Alfredo Mayo | Transamerica Financial Advisors, LLC other | Invest Financial Corporation other | Other | Feb 13, 2009 | Feb 17, 2009 |
| Keith Motusesky | Osaic Wealth, Inc. other | Invest Financial Corporation other | Other | Feb 12, 2009 | Feb 12, 2009 |
| Darin Andrew Stevens | Osaic Wealth, Inc. other | Invest Financial Corporation other | Other | Feb 11, 2009 | Feb 18, 2009 |
| Bryan Bartlett Rex | Osaic Wealth, Inc. other | Invest Financial Corporation other | Other | Feb 9, 2009 | Feb 2, 2009 |
| David Alexander Hertl | Fsc Securities Corporation other | Invest Financial Corporation other | Other | Feb 6, 2009 | Jan 12, 2009 |
| Richard Norman Andersen | Waddell & Reed other | Invest Financial Corporation other | Other | Feb 6, 2009 | Dec 14, 2016 (2868 d) |
| Steven I-Kang Yeh | Osaic Fs, Inc. other | Invest Financial Corporation other | Other | Feb 4, 2009 | Feb 3, 2009 |
| Robin Lee Vance | J.P. Morgan Securities LLC wirehouse | Invest Financial Corporation other | Other | Feb 4, 2009 | Mar 2, 2009 |
| Stephanie Lynn Leduc | Wells Fargo Investments, LLC unclassified | Invest Financial Corporation other | Other | Feb 2, 2009 | Feb 17, 2009 |
| Patrick Roger Suprise | Sagepoint Financial, Inc. other | Invest Financial Corporation other | Other | Jan 30, 2009 | Jan 29, 2009 |
| Michael Robin Scott | Osaic Wealth, Inc. other | Invest Financial Corporation other | Other | Jan 26, 2009 | Feb 2, 2009 |
| Michael Douglas Weldy | Edward Jones national BD | Invest Financial Corporation other | Other | Jan 13, 2009 | Jan 29, 2009 |
| Robert E. Lutz | Osaic Fa, Inc. other | Invest Financial Corporation other | Other | Jan 8, 2009 | Jan 6, 2009 |
| David Hunter O'Neil | Morgan Stanley & Co. LLC unclassified | Invest Financial Corporation other | Other | Jan 6, 2009 | Oct 29, 2013 (1757 d) |
| Michael Nguyen Bui | Wells Fargo Advisors wirehouse | Invest Financial Corporation other | Other | Jan 6, 2009 | Jan 2, 2009 |
| Michael Cory Everett | D.A. Davidson & Co. other | Invest Financial Corporation other | Other | Jan 5, 2009 | Jan 7, 2009 |
| Patricia Garlan Lawrence | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Invest Financial Corporation other | Other | Jan 2, 2009 | Mar 25, 2009 (82 d) |
| Frederick Roy Hoffman | Transamerica Financial Advisors, LLC other | Invest Financial Corporation other | Other | Dec 31, 2008 | Feb 10, 2009 (41 d) |
| Brant Edward Garber | Transamerica Financial Advisors, LLC other | Invest Financial Corporation other | Other | Dec 31, 2008 | Mar 5, 2009 (64 d) |
| Peter John Falcone | Transamerica Financial Advisors, LLC other | Invest Financial Corporation other | Other | Dec 31, 2008 | Feb 9, 2009 (40 d) |
| Daniel R Callahan | Principal Securities, Inc. other | Invest Financial Corporation other | Other | Dec 31, 2008 | Oct 13, 2010 (651 d) |
| Howard French Daugherty | Wells Fargo Advisors wirehouse | Invest Financial Corporation other | Other | Dec 12, 2008 | Aug 10, 2009 (241 d) |
| Jeffrey Marshall Wadsworth | Oneamerica Securities, Inc. other | Invest Financial Corporation other | Other | Dec 10, 2008 | Dec 5, 2008 |
| Christopher Brian Labadie | Oneamerica Securities, Inc. other | Invest Financial Corporation other | Other | Dec 1, 2008 | Sep 8, 2009 (281 d) |
| Constance Chilvers Bolen | Chase Investment Services Corp. other | Invest Financial Corporation other | Other | Nov 24, 2008 | Nov 17, 2010 (723 d) |
| David James Metzger | Questar Asset Management, Inc. other | Invest Financial Corporation other | Other | Nov 11, 2008 | Nov 12, 2008 |
| Timothy Joseph Forman | Citizens Securities, Inc. other | Invest Financial Corporation other | Other | Nov 7, 2008 | Feb 7, 2014 (1918 d) |
| Dana Christopher Go | Nationwide Investment Advisors, LLC other | Invest Financial Corporation other | Other | Nov 7, 2008 | May 11, 2009 (185 d) |
| Erich William Raasch | Cetera Investment Services LLC other | Invest Financial Corporation other | Other | Nov 4, 2008 | Nov 19, 2008 |
| Charles Howard Fitzpatrick | Questar Asset Management, Inc. other | Invest Financial Corporation other | Other | Oct 22, 2008 | Oct 15, 2008 |
| Ty Matthew Wilkinson | Cetera Advisor Networks LLC other | Invest Financial Corporation other | Other | Oct 21, 2008 | Nov 17, 2008 |
| Ralph John Fetrow | Cetera Advisor Networks LLC other | Invest Financial Corporation other | Other | Oct 21, 2008 | Oct 21, 2008 |
| Paul Anthony Restante | Hsbc Securities (USA) Inc. other | Invest Financial Corporation other | Other | Oct 20, 2008 | Jan 24, 2011 (826 d) |
| Kathleen Marie Indiano | Questar Asset Management, Inc. other | Invest Financial Corporation other | Other | Oct 17, 2008 | Oct 15, 2008 |
| J Stephen Richardson | Pnc Wealth Management other | Invest Financial Corporation other | Other | Oct 14, 2008 | Oct 29, 2008 |
| Jacob C Kent | Edward Jones national BD | Invest Financial Corporation other | Other | Oct 9, 2008 | Jun 20, 2012 (1350 d) |
| Charles Michael Taylor | Synergy Investment Group, LLC other | Invest Financial Corporation other | Other | Oct 7, 2008 | Oct 17, 2008 |
| Erika Hernandez Marin | Strategic Financial Concepts, LLC other | Invest Financial Corporation other | Other | Sep 22, 2008 | Jun 20, 2008 |
| Jessica Lee Liska | Sii Investments, Inc. other | Invest Financial Corporation other | Other | Sep 2, 2008 | Mar 2, 2009 (181 d) |
| Lawrence Willard Ford | Great American Advisors, Inc. other | Invest Financial Corporation other | Other | Aug 21, 2008 | Aug 21, 2008 |
| Allison H Reeves | Hinton Mccurry, LLC unclassified | Invest Financial Corporation other | Other | Aug 4, 2008 | May 6, 2009 (275 d) |
| Michael Eric Monson | Bancwest Investment Services, Inc. (Bwis) other | Invest Financial Corporation other | Other | Jul 30, 2008 | Aug 20, 2008 |
| Phillip Joseph Susi | Raymond James Financial Services, Inc. unclassified | Invest Financial Corporation other | Other | Jul 28, 2008 | Jul 5, 2011 (1072 d) |
| Sherida Lynn Ferguson | Citigroup Global Markets Inc. other | Invest Financial Corporation other | Other | Jun 23, 2008 | Aug 26, 2008 (64 d) |
| Lee Allan Abramovitz | Osaic Fa, Inc. other | Invest Financial Corporation other | Other | Jun 17, 2008 | Jun 16, 2008 |
| James P. Williams | Huntington Financial Advisors other | Invest Financial Corporation other | Other | Jun 16, 2008 | Jun 25, 2008 |
| Michael Scott Allison | Gunnallen Financial, Inc unclassified | Invest Financial Corporation other | Other | Jun 9, 2008 | Jun 10, 2008 |
| David Wayne Grossnickle | UBS Financial Services Inc. wirehouse | Invest Financial Corporation other | Other | May 29, 2008 | May 21, 2008 |
| Kristy Marie Haley | Gunnallen Financial, Inc unclassified | Invest Financial Corporation other | Other | May 22, 2008 | May 30, 2008 |
| Marilyn Alise Wood | Cetera Advisor Networks LLC other | Invest Financial Corporation other | Other | May 15, 2008 | May 23, 2008 |
| Sara Joy Arnold | Cetera Advisor Networks LLC other | Invest Financial Corporation other | Other | May 15, 2008 | May 19, 2008 |
| Ronald Allen Freeman | Osaic Fs, Inc. other | Invest Financial Corporation other | Other | Apr 18, 2008 | Feb 10, 2009 (298 d) |
| Eva Marie Rullo | Thrivent Investment Management Inc. other | Invest Financial Corporation other | Other | Apr 2, 2008 | Mar 31, 2008 |
| Kevin Dru Korondi | Thrivent Investment Management Inc. other | Invest Financial Corporation other | Other | Apr 2, 2008 | Mar 31, 2008 |