| Keith Jackson | Oneamerica Securities, Inc. other | Msi Financial Services, Inc. other | Other | Nov 11, 2011 | Feb 28, 2012 (109 d) |
| Tey H Kim | Park Avenue Securities LLC other | Msi Financial Services, Inc. other | Other | Nov 7, 2011 | Nov 22, 2011 |
| William Matthew J Guinn | Edward Jones national BD | Msi Financial Services, Inc. other | Other | Nov 4, 2011 | Feb 27, 2012 (115 d) |
| Theodore Gilbert Baer | Wells Fargo Advisors wirehouse | Msi Financial Services, Inc. other | Other | Nov 2, 2011 | Feb 1, 2012 (91 d) |
| Kimberly Christine Riccoboni | Newport Capital Group, LLC other | Msi Financial Services, Inc. other | Other | Nov 2, 2011 | Nov 4, 2011 |
| Raul Emilio Miranda | Edward Jones national BD | Msi Financial Services, Inc. other | Other | Nov 2, 2011 | Feb 16, 2012 (106 d) |
| John Thomas Hill | Edward Jones national BD | Msi Financial Services, Inc. other | Other | Oct 27, 2011 | Jan 23, 2012 (88 d) |
| Robert Warren Brooks | Ameriprise Financial Services, LLC national BD | Msi Financial Services, Inc. other | Other | Oct 26, 2011 | Nov 22, 2011 |
| Edward Eric Zang | LPL Financial LLC other | Msi Financial Services, Inc. other | Other | Oct 19, 2011 | Sep 30, 2011 |
| Anna Tyutyunik | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Msi Financial Services, Inc. other | Other | Oct 13, 2011 | Aug 27, 2014 (1049 d) |
| George Leavell Coxhead | Esi Financial Advisors other | Msi Financial Services, Inc. other | Other | Oct 3, 2011 | Oct 21, 2011 |
| Samuel Robert Morales | J.P. Morgan Securities LLC wirehouse | Msi Financial Services, Inc. other | Other | Sep 29, 2011 | Nov 16, 2011 (48 d) |
| Anne Marie Webster | Edward Jones national BD | Msi Financial Services, Inc. other | Other | Sep 28, 2011 | Dec 15, 2011 (78 d) |
| Steven Thomas Dean | Commonwealth Financial Network national BD | Msi Financial Services, Inc. other | Other | Sep 26, 2011 | Nov 2, 2012 (403 d) |
| Perry Bishop Bean | Morgan Stanley wirehouse | Msi Financial Services, Inc. other | Other | Sep 26, 2011 | Mar 28, 2013 (549 d) |
| Walter Brian Girnis | Nationwide Securities, LLC no RAUM | Msi Financial Services, Inc. other | Other | Sep 22, 2011 | Oct 28, 2011 (36 d) |
| Roger Lee Strunk | Private Client Services, LLC other | Msi Financial Services, Inc. other | Other | Sep 20, 2011 | Feb 2, 2012 (135 d) |
| Allison Balmores | Voya Financial Advisors, Inc. other | Msi Financial Services, Inc. other | Other | Sep 13, 2011 | Aug 13, 2012 (335 d) |
| William Kevin Burton | Nationwide Investment Advisors, LLC other | Msi Financial Services, Inc. other | Other | Sep 8, 2011 | Sep 23, 2011 |
| Kimberly Leander Turner | Morgan Stanley wirehouse | Msi Financial Services, Inc. other | Other | Sep 2, 2011 | Apr 23, 2012 (234 d) |
| Michael Henry Gavan | Equitable Advisors, LLC national BD | Msi Financial Services, Inc. other | Other | Sep 1, 2011 | Oct 28, 2011 (57 d) |
| Brett James Dipasquale | Equitable Advisors, LLC national BD | Msi Financial Services, Inc. other | Other | Sep 1, 2011 | Sep 26, 2011 |
| Michael Vitas Kane | New England Securities Corporation other | Msi Financial Services, Inc. other | Other | Aug 30, 2011 | Nov 16, 2011 (78 d) |
| Maria Popa | Morgan Stanley wirehouse | Msi Financial Services, Inc. other | Other | Aug 24, 2011 | Sep 22, 2011 |
| Dennis J Harp | MML Investors Services, LLC other | Msi Financial Services, Inc. other | Other | Aug 23, 2011 | Sep 12, 2011 |
| Lawrence Bernard Hudson | Morgan Stanley wirehouse | Msi Financial Services, Inc. other | Other | Aug 19, 2011 | Oct 18, 2011 (60 d) |
| Edward Joseph Bevilacqua | Chase Investment Services Corp. other | Msi Financial Services, Inc. other | Other | Aug 16, 2011 | Apr 3, 2012 (231 d) |
| John Donald Galligan | Morgan Stanley wirehouse | Msi Financial Services, Inc. other | Other | Aug 15, 2011 | Aug 15, 2011 |
| Melissa Ann Saxton | Threadline Wealth other | Msi Financial Services, Inc. other | Other | Aug 15, 2011 | May 14, 2012 (273 d) |
| Debra Lynn Nelson | LPL Financial LLC other | Msi Financial Services, Inc. other | Other | Aug 15, 2011 | Aug 16, 2011 |
| Steven Devine Mercer | Equitable Advisors, LLC national BD | Msi Financial Services, Inc. other | Other | Aug 11, 2011 | Aug 29, 2011 |
| Ernest Lino Jordan | Planmember Securities Corporation other | Msi Financial Services, Inc. other | Other | Aug 8, 2011 | Aug 26, 2011 |
| Lori Christine Stephenson | Edward Jones national BD | Msi Financial Services, Inc. other | Other | Aug 4, 2011 | Apr 13, 2012 (253 d) |
| Kelli Lyn Gabriel | Securian Financial Services, Inc. other | Msi Financial Services, Inc. other | Other | Jul 28, 2011 | Aug 2, 2011 |
| James Ryan Snellen | Securian Financial Services, Inc. other | Msi Financial Services, Inc. other | Other | Jul 28, 2011 | Sep 2, 2011 (36 d) |
| Jerry Dean Carpenter | Hornor, Townsend & Kent, LLC other | Msi Financial Services, Inc. other | Other | Jul 22, 2011 | Aug 31, 2011 (40 d) |
| Kelly Vance Moise | Thrivent Investment Management Inc. other | Msi Financial Services, Inc. other | Other | Jul 15, 2011 | Oct 31, 2011 (108 d) |
| Shaun David O'Connor | Esi Financial Advisors other | Msi Financial Services, Inc. other | Other | Jul 12, 2011 | Jul 19, 2011 |
| Frank Llyod Davidson | Chase Investment Services Corp. other | Msi Financial Services, Inc. other | Other | Jul 6, 2011 | Feb 18, 2014 (958 d) |
| Ryshiem Henderson | Principal Securities, Inc. other | Msi Financial Services, Inc. other | Other | Jul 6, 2011 | Jul 1, 2013 (726 d) |
| David Hickson | Peak American Investment Advisors, Inc. independent RIA | Msi Financial Services, Inc. other | Other | Jul 6, 2011 | Aug 29, 2011 (54 d) |
| Timothy Clayton Volce | Wells Fargo Advisors wirehouse | Msi Financial Services, Inc. other | Other | Jul 1, 2011 | Dec 21, 2011 (173 d) |
| Todd Matthew Reamann | Berthel Fisher & Company Financial Services, Inc. other | Msi Financial Services, Inc. other | Other | Jun 30, 2011 | Jul 25, 2011 |
| Gerald John Janosko | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Msi Financial Services, Inc. other | Other | Jun 29, 2011 | Jul 8, 2011 |
| Jeremy Mark Stalcup | Pacific West Financial Consultants Inc other | Msi Financial Services, Inc. other | Other | Jun 27, 2011 | Sep 25, 2013 (821 d) |
| Christopher Mitchell Kwilinski | Park Avenue Securities LLC other | Msi Financial Services, Inc. other | Other | Jun 17, 2011 | Jul 25, 2011 (38 d) |
| Charles Lewis Green | Morgan Stanley wirehouse | Msi Financial Services, Inc. other | Other | Jun 17, 2011 | Sep 16, 2011 (91 d) |
| Rebecca L Maurer | LPL Financial LLC other | Msi Financial Services, Inc. other | Other | Jun 10, 2011 | Aug 19, 2011 (70 d) |
| Craig Gerard Desimone | Ameriprise Financial Services, LLC national BD | Msi Financial Services, Inc. other | Other | May 31, 2011 | Mar 27, 2012 (301 d) |
| Barbara Jean Doyne | Morgan Stanley wirehouse | Msi Financial Services, Inc. other | Other | May 23, 2011 | Jun 15, 2011 |
| Matthew Francis Ely | Edward Jones national BD | Msi Financial Services, Inc. other | Other | May 18, 2011 | Jul 8, 2011 (51 d) |
| Michael Howard Axelrod | Stifel, Nicolaus & Company, Incorporated national BD | Msi Financial Services, Inc. other | Other | May 10, 2011 | Aug 22, 2011 (104 d) |
| Jeffrey Harold Stern | Jhs Capital Advisors, LLC other | Msi Financial Services, Inc. other | Other | May 6, 2011 | Apr 17, 2012 (347 d) |
| Christine Mitchell Mccafferty | Quest Capital Strategies, Inc. other | Msi Financial Services, Inc. other | Other | Apr 28, 2011 | Jun 7, 2011 (40 d) |
| David Kenneth Hicok | Osaic Fa, Inc. other | Msi Financial Services, Inc. other | Other | Apr 28, 2011 | Aug 5, 2011 (99 d) |
| Thomas Michael Abboud | Valic Financial Advisors, Inc. other | Msi Financial Services, Inc. other | Other | Apr 25, 2011 | May 25, 2011 |
| Cindy Ann Ryan | Morgan Stanley wirehouse | Msi Financial Services, Inc. other | Other | Apr 11, 2011 | Apr 5, 2011 |
| Zoria Ospina | Equitable Advisors, LLC national BD | Msi Financial Services, Inc. other | Other | Apr 7, 2011 | Mar 29, 2011 |
| Michael Patrick Nolan | Thrivent Investment Management Inc. other | Msi Financial Services, Inc. other | Other | Mar 30, 2011 | Apr 1, 2011 |
| Andrea Lewis | Chase Investment Services Corp. other | Msi Financial Services, Inc. other | Other | Mar 29, 2011 | May 10, 2011 (42 d) |