| Joshua Ross Stark | Ameriprise Financial Services, LLC national BD | Osaic Fa, Inc. other | Other | Nov 19, 2013 | Nov 15, 2013 |
| Erik Alan Scudder | Ameriprise Financial Services, LLC national BD | Osaic Fa, Inc. other | Other | Nov 19, 2013 | Nov 15, 2013 |
| John Stephen Kostukovich | 1st Global Advisors Inc other | Osaic Fa, Inc. other | Other | Nov 12, 2013 | Nov 11, 2013 |
| Mitchell Ira Scher | Msi Financial Services, Inc. other | Osaic Fa, Inc. other | Other | Nov 8, 2013 | Nov 5, 2013 |
| Christian Haas Corts | Nfp Advisor Services, LLC other | Osaic Fa, Inc. other | Other | Nov 5, 2013 | Dec 2, 2013 |
| Gary Kurt Hager | Integrated Wealth Management other | Osaic Fa, Inc. other | Other | Nov 4, 2013 | Sep 28, 2017 (1424 d) |
| John Michael Donaghy | Pnc Wealth Management other | Osaic Fa, Inc. other | Other | Nov 4, 2013 | Nov 1, 2013 |
| Diego Andres Sarmiento | Delaware Capital Management Advisers, Inc no RAUM | Osaic Fa, Inc. other | Other | Oct 31, 2013 | Dec 19, 2013 (49 d) |
| Clark W Newell | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Osaic Fa, Inc. other | Other | Oct 17, 2013 | Jun 6, 2014 (232 d) |
| Christopher Wayne Dunlevy | Cuso Financial Services, L.P. other | Osaic Fa, Inc. other | Other | Oct 16, 2013 | Nov 13, 2013 |
| Edward L Kelley | Nationwide Securities, LLC no RAUM | Osaic Fa, Inc. other | Other | Oct 10, 2013 | Apr 9, 2015 (546 d) |
| Jeff Dinning | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Osaic Fa, Inc. other | Other | Sep 26, 2013 | Aug 21, 2015 (694 d) |
| Joseph R Falisi | Hornor, Townsend & Kent, LLC other | Osaic Fa, Inc. other | Other | Sep 23, 2013 | Dec 23, 2013 (91 d) |
| Peter Damian Palazzo | Ameriprise Financial Services, LLC national BD | Osaic Fa, Inc. other | Other | Sep 20, 2013 | Nov 4, 2013 (45 d) |
| Michael Richard Sima | Morgan Stanley wirehouse | Osaic Fa, Inc. other | Other | Sep 16, 2013 | Sep 23, 2013 |
| Harold Scott Braswell | Valic Financial Advisors, Inc. other | Osaic Fa, Inc. other | Other | Sep 12, 2013 | Sep 25, 2013 |
| Nicholas Dean Kennedy | Pnc Wealth Management other | Osaic Fa, Inc. other | Other | Sep 5, 2013 | Sep 3, 2013 |
| Jeffrey Steven Nome | J.P. Morgan Securities LLC wirehouse | Osaic Fa, Inc. other | Other | Sep 4, 2013 | Sep 20, 2013 |
| Brett Erich Leonhardt | Wells Fargo Advisors wirehouse | Osaic Fa, Inc. other | Other | Aug 26, 2013 | Aug 23, 2013 |
| Shane Oconnor | Wells Fargo Advisors wirehouse | Osaic Fa, Inc. other | Other | Aug 7, 2013 | Nov 4, 2013 (89 d) |
| Jacquelyn Fisher Cortright | LPL Financial LLC other | Osaic Fa, Inc. other | Other | Jul 19, 2013 | Oct 25, 2013 (98 d) |
| Devin J Garofalo | Stratos Wealth Partners, Ltd other | Osaic Fa, Inc. other | Other | Jul 15, 2013 | Jul 12, 2013 |
| Jason Palomares Lavarias | First Command Financial Planning, Inc. other | Osaic Fa, Inc. other | Other | Jul 11, 2013 | Oct 7, 2013 (88 d) |
| Zachary Ryan Schoeck | Edward Jones national BD | Osaic Fa, Inc. other | Other | Jun 12, 2013 | Jul 2, 2013 |
| Catherine Dale Bearce | Ameriprise Financial Services, LLC national BD | Osaic Fa, Inc. other | Other | Jun 10, 2013 | May 28, 2013 |
| Michael Shawn Rankin | Ameritas Advisory Services other | Osaic Fa, Inc. other | Other | Jun 6, 2013 | May 17, 2013 |
| Aleksandr Roytman | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Osaic Fa, Inc. other | Other | Jun 3, 2013 | Jul 24, 2013 (51 d) |
| Andrew Wayne Kern | Ameriprise Financial Services, LLC national BD | Osaic Fa, Inc. other | Other | May 22, 2013 | May 20, 2013 |
| Edick Antonio Lucas | Mariner other | Osaic Fa, Inc. other | Other | May 6, 2013 | May 15, 2013 |
| Steven Brian Marks | MML Investors Services, LLC other | Osaic Fa, Inc. other | Other | May 1, 2013 | Apr 26, 2013 |
| Ann Lamontagne Swartz | New England Securities Corporation other | Osaic Fa, Inc. other | Other | Apr 11, 2013 | Mar 25, 2014 (348 d) |
| Jim L Doyle | Advice And Planning Services other | Osaic Fa, Inc. other | Other | Apr 8, 2013 | Nov 7, 2013 (213 d) |
| Christopher Robert Cahill | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Osaic Fa, Inc. other | Other | Apr 8, 2013 | Apr 5, 2013 |
| Kimberly Jean Brumbaugh | Msi Financial Services, Inc. other | Osaic Fa, Inc. other | Other | Apr 2, 2013 | Mar 28, 2013 |
| Andrew Michael Storti | Msi Financial Services, Inc. other | Osaic Fa, Inc. other | Other | Apr 2, 2013 | Mar 28, 2013 |
| Joseph Thomas Gaeckle | Waddell & Reed other | Osaic Fa, Inc. other | Other | Mar 5, 2013 | Mar 21, 2013 |
| Travis E Dougherty | Edward Jones national BD | Osaic Fa, Inc. other | Other | Feb 19, 2013 | May 19, 2015 (819 d) |
| Greggory Jonas Cowan | Msi Financial Services, Inc. other | Osaic Fa, Inc. other | Other | Feb 19, 2013 | Feb 14, 2013 |
| Keith Larsen | MML Investors Services, LLC other | Osaic Fa, Inc. other | Other | Feb 6, 2013 | Mar 27, 2013 (49 d) |
| James Joseph Kirlin | Cetera Advisor Networks LLC other | Osaic Fa, Inc. other | Other | Jan 15, 2013 | Jan 7, 2013 |
| Daniel Gerard Gilliland | Ssn Advisory, Inc. other | Osaic Fa, Inc. other | Other | Jan 14, 2013 | Jan 11, 2013 |
| Autumn C Soltysiak | Wells Fargo Advisors wirehouse | Osaic Fa, Inc. other | Other | Jan 2, 2013 | Mar 21, 2013 (78 d) |
| Holly Price Mackay | Capital One Financial Advisors LLC unclassified | Osaic Fa, Inc. other | Other | Dec 18, 2012 | Dec 14, 2012 |
| Russell Scott Gorman | Gorman Capital Strategies/"Gcs" unclassified | Osaic Fa, Inc. other | Other | Dec 3, 2012 | May 10, 2016 (1254 d) |
| Kornelia M Forvour | Park Avenue Securities LLC other | Osaic Fa, Inc. other | Other | Nov 26, 2012 | Dec 18, 2012 |
| Evan Michael Mayse | Wells Fargo Advisors wirehouse | Osaic Fa, Inc. other | Other | Nov 15, 2012 | Jan 25, 2013 (71 d) |
| David John Guido | MML Investors Services, LLC other | Osaic Fa, Inc. other | Other | Nov 5, 2012 | Dec 20, 2012 (45 d) |
| Brenda Lynne Larkin | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Osaic Fa, Inc. other | Other | Oct 19, 2012 | Oct 18, 2012 |
| Thomas Joseph Barbaccia | Hornor, Townsend & Kent, LLC other | Osaic Fa, Inc. other | Other | Oct 19, 2012 | Nov 6, 2012 |
| Maribeth Bates | Independent Portfolio Consultants, Inc. other | Osaic Fa, Inc. other | Other | Oct 15, 2012 | Sep 9, 2014 (694 d) |
| Perry S. Meyers | William Blair & Company L.L.C. other | Osaic Fa, Inc. other | Other | Oct 12, 2012 | Nov 2, 2012 |
| Robert Burton Lank | Founders Financial Securities, LLC other | Osaic Fa, Inc. other | Other | Oct 8, 2012 | Nov 6, 2012 |
| Tyler Reid Mccraw | Blackrock Investment Management, LLC other | Osaic Fa, Inc. other | Other | Oct 3, 2012 | Aug 28, 2012 |
| Christopher Dale Millward | Fifth Third Securities, Inc. other | Osaic Fa, Inc. other | Other | Sep 13, 2012 | Sep 6, 2012 |
| Dawn M Peters | LPL Financial LLC other | Osaic Fa, Inc. other | Other | Aug 31, 2012 | Aug 23, 2012 |
| William Patrick Harvey | Charles Schwab & Co., Inc. national BD | Osaic Fa, Inc. other | Other | Aug 23, 2012 | Jan 15, 2013 (145 d) |
| Joshua Kenworthy Rivers | Keel Point Advisors, LLC other | Osaic Fa, Inc. other | Other | Aug 21, 2012 | Aug 29, 2012 |
| Thomas Patrick Thorndike | Sagepoint Financial, Inc. other | Osaic Fa, Inc. other | Other | Aug 21, 2012 | Jan 24, 2014 (521 d) |
| Christopher R. Beauvais | Comerica Securities other | Osaic Fa, Inc. other | Other | Aug 1, 2012 | Aug 27, 2012 |
| John Russell Carpani | Cl Wealth Management LLC other | Osaic Fa, Inc. other | Other | Jul 23, 2012 | May 16, 2014 (662 d) |