| Nathan Darryl Poorbaugh | LPL Financial LLC other | Key Investment Services LLC other | Other | Sep 21, 2016 | Jul 19, 2017 (301 d) |
| Elizabeth Jane Meyer | LPL Financial LLC other | Key Investment Services LLC other | Other | Sep 21, 2016 | Sep 21, 2016 |
| Shawna L Sklarsky | LPL Financial LLC other | Key Investment Services LLC other | Other | Sep 21, 2016 | Sep 21, 2016 |
| Anne M Faunce | LPL Financial LLC other | Key Investment Services LLC other | Other | Sep 21, 2016 | Sep 21, 2016 |
| Justin M Binion | LPL Financial LLC other | Key Investment Services LLC other | Other | Sep 21, 2016 | Sep 21, 2016 |
| Ioana Gavris Wagle | LPL Financial LLC other | Key Investment Services LLC other | Other | Sep 21, 2016 | Sep 21, 2016 |
| Sean Patrick Mest | LPL Financial LLC other | Key Investment Services LLC other | Other | Sep 21, 2016 | Sep 21, 2016 |
| Nathan Louis Fulkman | LPL Financial LLC other | Key Investment Services LLC other | Other | Sep 21, 2016 | Sep 21, 2016 |
| Charles Garlock | LPL Financial LLC other | Key Investment Services LLC other | Other | Sep 21, 2016 | Sep 21, 2016 |
| Samantha Lynn Burke | LPL Financial LLC other | Key Investment Services LLC other | Other | Sep 21, 2016 | Sep 21, 2016 |
| Gabriel Hall | LPL Financial LLC other | Key Investment Services LLC other | Other | Sep 21, 2016 | Sep 21, 2016 |
| Daniel Jerome Kruper | LPL Financial LLC other | Key Investment Services LLC other | Other | Sep 21, 2016 | Sep 21, 2016 |
| Albert C Erni | Morgan Stanley wirehouse | Key Investment Services LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Sep 8, 2016 | Mar 26, 2021 (1660 d) |
| Jordan Jennifer Kelly | Waddell & Reed other | Key Investment Services LLC BD affiliated | Other | Sep 8, 2016 | Sep 3, 2024 (2917 d) |
| Parker Russell Hardt | Waddell & Reed other | Key Investment Services LLC BD affiliated | Other | Sep 6, 2016 | Oct 18, 2017 (407 d) |
| Kevin Patrick Smith | Huntington Financial Advisors other | Key Investment Services LLC other | Other | Aug 18, 2016 | Aug 23, 2016 |
| William Grochala | Equitable Advisors, LLC national BD | Key Investment Services LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 17, 2016 | Mar 26, 2021 (1682 d) |
| Jennifer Sue Ramsey | Pnc Wealth Management other | Key Investment Services LLC other | Other | Aug 8, 2016 | Aug 8, 2016 |
| Luann Marie Spaethe | Valmark Advisers, Inc. other | Key Investment Services LLC other | Other | Aug 2, 2016 | Sep 1, 2016 |
| Traci J. Underhill | Morgan Stanley wirehouse | Key Investment Services LLC other | Other | Jul 29, 2016 | Jul 25, 2016 |
| Eric Wade Hudson | Ameriprise Financial Services, LLC national BD | Key Investment Services LLC other | Other | Jul 28, 2016 | Feb 21, 2017 (208 d) |
| Tyler Preston Eliason | Centaurus Financial, Inc. other | Key Investment Services LLC BD affiliated | Other | Jun 21, 2016 | Nov 30, 2017 (527 d) |
| Debra Diane Starkey | Kms Financial Services, Inc other | Key Investment Services LLC other | Other | Jun 13, 2016 | Jun 20, 2016 |
| Janet Lynn Hawkins | U.S. Bancorp Investments, Inc. other | Key Investment Services LLC other | Other | May 27, 2016 | Jun 30, 2016 (34 d) |
| Nicholas Hesse | Citizens Securities, Inc. other | Key Investment Services LLC BD affiliated | Other | May 17, 2016 | May 2, 2018 (715 d) |
| Christopher John Lannon | Goldman Sachs Wealth Services, L.P. other | Key Investment Services LLC other | Other | May 16, 2016 | Nov 15, 2016 (183 d) |
| Jeffrey David Shrives | Waddell & Reed other | Key Investment Services LLC other | Other | Apr 19, 2016 | Apr 22, 2016 |
| John Edward Mcvay | J.P. Morgan Securities LLC wirehouse | Key Investment Services LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Apr 14, 2016 | Mar 1, 2018 (686 d) |
| Steven David Vale | Huntington Financial Advisors other | Key Investment Services LLC other | Other | Mar 24, 2016 | Mar 29, 2016 |
| Bryn Malagon | Cetera Investment Advisers LLC other | Key Investment Services LLC BD affiliated | Other | Feb 25, 2016 | Mar 27, 2018 (761 d) |
| Eric David Farnsworth | Ameriprise Financial Services, LLC national BD | Key Investment Services LLC other | Other | Feb 18, 2016 | Feb 24, 2016 |
| Joseph John Badolato | Citizens Securities, Inc. other | Key Investment Services LLC BD affiliated | Other | Jan 13, 2016 | Mar 26, 2021 (1899 d) |
| Benjamin Hopper | Waddell & Reed other | Key Investment Services LLC other | Other | Dec 31, 2015 | May 15, 2017 (501 d) |
| Ronald John Gubelman | Steward Partners Investment Solutions, LLC other | Key Investment Services LLC other | Other | Oct 30, 2015 | Nov 5, 2015 |
| Brandon Decastro | Allstate Financial Advisors, LLC no RAUM | Key Investment Services LLC other | Other | Sep 18, 2015 | Sep 21, 2015 |
| Trevor Looney | Wells Fargo Advisors wirehouse | Key Investment Services LLC other | Other | Sep 16, 2015 | Sep 15, 2015 |
| Robert Evan Cipriano | J.P. Morgan Securities LLC wirehouse | Key Investment Services LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Aug 28, 2015 | Jul 25, 2025 (3619 d) |
| Brian Jason Evans | J.P. Morgan Securities LLC wirehouse | Key Investment Services LLC other | Other | Aug 14, 2015 | Oct 28, 2015 (75 d) |
| Christopher Hernandez | Pnc Wealth Management other | Key Investment Services LLC other | Other | Jul 15, 2015 | Oct 25, 2016 (468 d) |
| Caleb Richard Frankart | Fifth Third Securities, Inc. other | Key Investment Services LLC other | Other | Jun 29, 2015 | Jul 1, 2015 |
| Joseph T Murphy | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Key Investment Services LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | May 11, 2015 | Mar 26, 2021 (2146 d) |
| Anthony Joseph Nigh | Fifth Third Securities, Inc. other | Key Investment Services LLC other | Other | Apr 13, 2015 | May 20, 2015 (37 d) |
| Michael Allen Curley | Wealth Dimensions Group, Ltd. other | Key Investment Services LLC other | Other | Apr 1, 2015 | Apr 1, 2015 |
| Chris A. Luttman | Bancwest Investment Services, Inc. (Bwis) other | Key Investment Services LLC other | Other | Mar 27, 2015 | Mar 20, 2015 |
| Steven Dale Gabriel | Wells Fargo Advisors wirehouse | Key Investment Services LLC other | Other | Jan 29, 2015 | Feb 3, 2015 |
| Jonathan M Castle | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Key Investment Services LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jan 16, 2015 | Mar 26, 2021 (2261 d) |
| Brigitte Ann Murphy | LPL Financial LLC other | Key Investment Services LLC BD affiliated | Other | Dec 31, 2014 | Mar 26, 2021 (2277 d) |
| Michael D Stobbe | J.P. Morgan Securities LLC wirehouse | Key Investment Services LLC other | Other | Dec 19, 2014 | Feb 27, 2015 (70 d) |
| Nancy Kitson | Huntington Financial Advisors other | Key Investment Services LLC other | Other | Dec 11, 2014 | Dec 11, 2014 |
| Eileen Marie Kurth | U.S. Bancorp Investments, Inc. other | Key Investment Services LLC other | Other | Dec 5, 2014 | Dec 8, 2014 |
| Louis C Benton | Equitable Advisors, LLC national BD | Key Investment Services LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 4, 2014 | Mar 26, 2021 (2304 d) |
| Greg Emmack | Pnc Wealth Management other | Key Investment Services LLC other | Other | Nov 14, 2014 | Nov 21, 2014 |
| Benjamin Duggan | Hazard & Siegel Advisory Services LLC other | Key Investment Services LLC BD affiliated | Other | Oct 10, 2014 | Mar 26, 2021 (2359 d) |
| Bryce Derek Holley | Cuna Brokerage Services, Inc. other | Key Investment Services LLC other | Other | Oct 6, 2014 | Oct 20, 2014 |
| John L Knight | Morgan Stanley wirehouse | Key Investment Services LLC other | Other | Sep 15, 2014 | Jun 11, 2015 (269 d) |
| Matthew Nutter | J.P. Morgan Securities LLC wirehouse | Key Investment Services LLC other | Other | Aug 28, 2014 | Sep 5, 2014 |
| Stephanie L Russell | Huntington Financial Advisors other | Key Investment Services LLC other | Other | Jul 2, 2014 | Aug 11, 2014 (40 d) |
| Michael Lin | J.P. Morgan Securities LLC wirehouse | Key Investment Services LLC other | Other | Jun 17, 2014 | Oct 20, 2014 (125 d) |
| Cynthia Lee Montgomery-Adams | Edward Jones national BD | Key Investment Services LLC other | Other | May 8, 2014 | May 7, 2015 (364 d) |
| Cyril James Kanagaraj | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Key Investment Services LLC other | Other | May 5, 2014 | May 7, 2014 |