| Mark Frederick Swingle | MML Investors Services, LLC other | Nfp Advisor Services, LLC other | Other | Dec 13, 2004 | Dec 10, 2004 |
| Chad Allen Leigh | Principal Securities, Inc. other | Nfp Advisor Services, LLC other | Other | Dec 7, 2004 | Dec 1, 2004 |
| Timmy Lee Baker | Baker Capital Advisors, Ltd. unclassified | Nfp Advisor Services, LLC other | Other | Dec 2, 2004 | Sep 10, 2004 |
| Mero Joseph Capo | Apb Financial Group Ltd unclassified | Nfp Advisor Services, LLC other | Other | Nov 23, 2004 | Jul 31, 2009 (1711 d) |
| Glen Michael Oconnor | Apb Financial Group Ltd unclassified | Nfp Advisor Services, LLC other | Other | Nov 23, 2004 | Mar 9, 2012 (2663 d) |
| Stephen Kyle Taylor | Transamerica Financial Advisors, LLC other | Nfp Advisor Services, LLC other | Other | Oct 13, 2004 | Feb 5, 2008 (1210 d) |
| Timothy Kevin Taylor | Transamerica Financial Advisors, LLC other | Nfp Advisor Services, LLC other | Other | Oct 13, 2004 | Dec 21, 2007 (1164 d) |
| Edward Allan Knowles | Morgan Stanley Dw Inc. unclassified | Nfp Advisor Services, LLC other | Other | Oct 7, 2004 | Mar 19, 2013 (3085 d) |
| Martin John Flahive | UBS Financial Services Inc. wirehouse | Nfp Advisor Services, LLC other | Other | Oct 1, 2004 | Aug 10, 2015 (3965 d) |
| Herman Laibe Kahn | Raymond James Financial Services, Inc. unclassified | Nfp Advisor Services, LLC other | Other | Sep 22, 2004 | Mar 31, 2009 (1651 d) |
| Denise Eileen Leddy | MML Investors Services, LLC other | Nfp Advisor Services, LLC other | Other | Sep 2, 2004 | Nov 5, 2004 (64 d) |
| John Charles Panter | Capital Investment Management other | Nfp Advisor Services, LLC other | Other | Sep 1, 2004 | Aug 2, 2004 |
| Michael Charles Moller | Steele Capital Management, Inc. other | Nfp Advisor Services, LLC other | Other | Aug 26, 2004 | Jul 1, 2004 |
| James Edward Bey | Steele Capital Management, Inc. other | Nfp Advisor Services, LLC other | Other | Aug 26, 2004 | Mar 29, 2004 |
| Duane Robert Mattson | Chase Investment Services Corp. other | Nfp Advisor Services, LLC other | Other | Aug 25, 2004 | Oct 26, 2004 (62 d) |
| Ellen Rose Schriver | Citigroup Global Markets Inc. other | Nfp Advisor Services, LLC other | Other | Aug 11, 2004 | Feb 14, 2006 (552 d) |
| Thomas Scott Nevitt | Park Avenue Securities LLC other | Nfp Advisor Services, LLC other | Other | Jul 9, 2004 | Jul 1, 2004 |
| Charles Mel Campbell | Spelman & Co., Inc. unclassified | Nfp Advisor Services, LLC other | Other | Jun 10, 2004 | Aug 2, 2004 (53 d) |
| Vincent Raymond Ferrara | Transamerica Financial Advisors, LLC other | Nfp Advisor Services, LLC other | Other | Jun 8, 2004 | Oct 27, 2003 |
| Melissa Williams Thomas | New Perspectives, Inc. other | Nfp Advisor Services, LLC other | Other | May 5, 2004 | Jul 6, 2004 (62 d) |
| Steve Mangold | Hilltop Securities Inc. other | Nfp Advisor Services, LLC other | Other | May 4, 2004 | Mar 21, 2005 (321 d) |
| William Thomas Black | Principal Securities, Inc. other | Nfp Advisor Services, LLC other | Other | Feb 25, 2004 | Oct 5, 2004 (223 d) |
| Marcello Salvatore Cutrupi | Stifel, Nicolaus & Company, Incorporated national BD | Nfp Advisor Services, LLC other | Other | Feb 19, 2004 | Feb 18, 2004 |
| Timothy Robert Brown | Apd Financial unclassified | Nfp Advisor Services, LLC other | Other | Jan 28, 2004 | Nov 4, 2003 |
| Michael Richard Hyser | Pruco Securities, LLC other | Nfp Advisor Services, LLC other | Other | Jan 20, 2004 | Jun 4, 2004 (136 d) |
| Jeffrey Sean Yoder | New England Securities Corporation other | Nfp Advisor Services, LLC other | Other | Jan 9, 2004 | Jan 6, 2004 |
| Andrew Gene Duchan | Waddell & Reed other | Nfp Advisor Services, LLC other | Other | Jan 9, 2004 | Jan 8, 2004 |
| Brad Michael Residori | Cambridge Investment Research, Inc. unclassified | Nfp Advisor Services, LLC other | Other | Dec 31, 2003 | May 3, 2004 (124 d) |
| Clair Gene Crossland | Veravest Investment Advisors, Inc. unclassified | Nfp Advisor Services, LLC other | Other | Dec 19, 2003 | Dec 16, 2003 |
| Mark Wayne Flenniken | MML Investors Services, LLC other | Nfp Advisor Services, LLC other | Other | Dec 19, 2003 | Jul 18, 2005 (577 d) |
| Michael Jacob Reiman | Veravest Investment Advisors, Inc. unclassified | Nfp Advisor Services, LLC other | Other | Dec 19, 2003 | Dec 18, 2003 |
| Daniel William Sopher | Veravest Investment Advisors, Inc. unclassified | Nfp Advisor Services, LLC other | Other | Dec 18, 2003 | Nov 25, 2003 |
| Mark Alan Mappa | Veravest Investment Advisors, Inc. unclassified | Nfp Advisor Services, LLC other | Other | Dec 18, 2003 | Dec 11, 2003 |
| Jeffrey Weronick | Osaic Fa, Inc. other | Nfp Advisor Services, LLC other | Other | Nov 4, 2003 | Nov 19, 2003 |
| Scott Christopher Nolen | Walnut Street Advisers Inc unclassified | Nfp Advisor Services, LLC other | Other | Oct 28, 2003 | Sep 19, 2003 |
| Clark Spengler Bellin | Ameritas Advisory Services other | Nfp Advisor Services, LLC other | Other | Oct 27, 2003 | Oct 31, 2003 |
| Lee Thomas Penland | Osaic Fa, Inc. other | Nfp Advisor Services, LLC other | Other | Oct 24, 2003 | Oct 2, 2003 |
| Lawrence Philip Rose | Pruco Securities, LLC other | Nfp Advisor Services, LLC other | Other | Oct 9, 2003 | Sep 29, 2003 |
| Peggy Dessert Martin | Family Wealth Consultants, Inc. unclassified | Nfp Advisor Services, LLC other | Other | Sep 9, 2003 | Sep 12, 2003 |
| Paul Robert Volpe | Ameriprise Financial Services, LLC national BD | Nfp Advisor Services, LLC other | Other | Sep 8, 2003 | Sep 22, 2003 |
| Bob Tetsuya Kawabe | Kawabe & Associates, LLC unclassified | Nfp Advisor Services, LLC other | Other | Sep 5, 2003 | Jan 30, 2007 (1243 d) |
| Brian Christopher Aylieff | UBS Financial Services Inc. wirehouse | Nfp Advisor Services, LLC other | Other | Aug 28, 2003 | Sep 13, 2004 (382 d) |
| Mariah Riley Horn | Chase Investment Services Corp. other | Nfp Advisor Services, LLC other | Other | Aug 20, 2003 | Aug 11, 2003 |
| Stephen Daniel Mann | Park Avenue Securities LLC other | Nfp Advisor Services, LLC other | Other | Aug 18, 2003 | May 21, 2013 (3564 d) |
| Gregory Charles Freeman | Osaic Fa, Inc. other | Nfp Advisor Services, LLC other | Other | Aug 18, 2003 | Aug 21, 2003 |
| Christopher Thomas Cochran | Mid Central Financial Advisors, Inc. unclassified | Nfp Advisor Services, LLC other | Other | Aug 11, 2003 | Apr 6, 2006 (969 d) |
| Jeffrey Cross Taylor | Osaic Fa, Inc. other | Nfp Advisor Services, LLC other | Other | Aug 11, 2003 | Sep 2, 2003 |
| Timothy David Wyrobek | Osaic Fa, Inc. other | Nfp Advisor Services, LLC other | Other | Aug 11, 2003 | Sep 25, 2003 (45 d) |
| Katherine Ann Robertson | Equitable Advisors, LLC national BD | Nfp Advisor Services, LLC other | Other | Jul 21, 2003 | Sep 17, 2003 (58 d) |
| Samantha Amanda Fraelich-Rohe | UBS Financial Services Inc. wirehouse | Nfp Advisor Services, LLC other | Other | Jun 27, 2003 | Oct 8, 2008 (1930 d) |
| Thomas Curts Smith | Veravest Investment Advisors, Inc. unclassified | Nfp Advisor Services, LLC other | Other | Jun 16, 2003 | May 13, 2003 |
| David Neate | Osaic Fa, Inc. other | Nfp Advisor Services, LLC other | Other | Jun 10, 2003 | Aug 15, 2003 (66 d) |
| David Wayne Bargetzi | M Holdings Securities, Inc. other | Nfp Advisor Services, LLC other | Other | Jun 6, 2003 | Jul 1, 2005 (756 d) |
| Joseph M Brooks | Osaic Fa, Inc. other | Nfp Advisor Services, LLC other | Other | Jun 2, 2003 | Apr 1, 2005 (669 d) |
| Michelle Marie Shaheen-Wires | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Nfp Advisor Services, LLC other | Other | May 28, 2003 | May 23, 2003 |
| Lee Scott Rawiszer | 1717 Capital Management Company unclassified | Nfp Advisor Services, LLC other | Other | May 12, 2003 | May 2, 2003 |
| Thomas Clarkson Worth | Wells Fargo Advisors wirehouse | Nfp Advisor Services, LLC other | Other | May 9, 2003 | Apr 13, 2005 (705 d) |
| Theodore Gilbert Baer | Ameriprise Financial Services, LLC national BD | Nfp Advisor Services, LLC other | Other | Apr 10, 2003 | Apr 11, 2003 |
| Daniel John Reagan | Nathan & Lewis Securities, Inc. unclassified | Nfp Advisor Services, LLC other | Other | Apr 8, 2003 | Apr 9, 2003 |
| Roger Lane Webster | Nathan & Lewis Securities, Inc. unclassified | Nfp Advisor Services, LLC other | Other | Apr 8, 2003 | Apr 9, 2003 |