| David Eugene Miller | Ameriprise Financial Services, LLC national BD | Cuso Financial Services, L.P. other | Other | Dec 6, 2016 | Dec 12, 2016 |
| Sun Dinh | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Cuso Financial Services, L.P. other | Other | Nov 4, 2016 | Nov 7, 2016 |
| Christian Michael Barnett | Osaic Institutions, Inc. other | Cuso Financial Services, L.P. other | Other | Nov 3, 2016 | Nov 1, 2016 |
| Young Suh Kim | Wescom Financial Services, LLC independent RIA | Cuso Financial Services, L.P. other | Other | Nov 1, 2016 | Nov 4, 2016 |
| William Francis Cassidy | LPL Financial LLC other | Cuso Financial Services, L.P. other | Other | Oct 12, 2016 | Oct 11, 2016 |
| John Michael Greene | LPL Financial LLC other | Cuso Financial Services, L.P. other | Other | Oct 7, 2016 | Oct 3, 2016 |
| Milissa Marie Hengel | Invest Financial Corporation other | Cuso Financial Services, L.P. other | Other | Oct 7, 2016 | Nov 1, 2016 |
| Dana Christopher Go | LPL Financial LLC other | Cuso Financial Services, L.P. other | Other | Oct 7, 2016 | Oct 3, 2016 |
| Sean R Coumans | LPL Financial LLC other | Cuso Financial Services, L.P. other | Other | Oct 7, 2016 | Oct 3, 2016 |
| James Harold Yocom | U.S. Bancorp Advisors, LLC other | Cuso Financial Services, L.P. other | Other | Oct 5, 2016 | Oct 24, 2016 |
| David Wayne Keely | Edward Jones national BD | Cuso Financial Services, L.P. other | Other | Oct 4, 2016 | Oct 24, 2016 |
| Samuel James Bernard | Cadaret Grant & Co Inc other | Cuso Financial Services, L.P. other | Other | Oct 4, 2016 | Oct 12, 2016 |
| Travis Corbin Smith | Cuna Brokerage Services, Inc. other | Cuso Financial Services, L.P. other | Other | Sep 26, 2016 | Sep 26, 2016 |
| Hsiao-Chuan Chang | UBS Financial Services Inc. wirehouse | Cuso Financial Services, L.P. other | Other | Sep 19, 2016 | Sep 6, 2016 |
| Travis Clark Pasma | Spc other | Cuso Financial Services, L.P. other | Other | Sep 15, 2016 | Sep 19, 2016 |
| Thomas George Collins | Schwab Wealth Advisory, Inc. other | Cuso Financial Services, L.P. other | Other | Sep 15, 2016 | Feb 8, 2017 (146 d) |
| Clayton Odell Borders | Edward Jones national BD | Cuso Financial Services, L.P. other | Other | Sep 15, 2016 | Sep 21, 2016 |
| Kelly Michael Rhine | Valic Financial Advisors, Inc. other | Cuso Financial Services, L.P. other | Other | Sep 14, 2016 | Sep 12, 2016 |
| Catherine Ann Bryant | Pnc Wealth Management other | Cuso Financial Services, L.P. other | Other | Sep 6, 2016 | Sep 7, 2016 |
| Jennifer Lynne Hope | Commonwealth Financial Network national BD | Cuso Financial Services, L.P. other | Other | Aug 31, 2016 | Sep 1, 2016 |
| Carol Ann Donahue | Independent Financial Partners other | Cuso Financial Services, L.P. other | Other | Aug 24, 2016 | Aug 29, 2016 |
| David R Miller | Waddell & Reed other | Cuso Financial Services, L.P. other | Other | Aug 22, 2016 | Aug 1, 2016 |
| Srinath Michael Desilva | Cetera Investment Advisers LLC other | Cuso Financial Services, L.P. other | Other | Aug 19, 2016 | Aug 18, 2016 |
| Tiffany M Yee | Ameriprise Financial Services, LLC national BD | Cuso Financial Services, L.P. other | Other | Aug 17, 2016 | Aug 16, 2016 |
| Matthew E Harris | Usaa Financial Planning Services no RAUM | Cuso Financial Services, L.P. other | Other | Aug 10, 2016 | Mar 13, 2017 (215 d) |
| Justin Nathaniel Perkins | Fifth Third Securities, Inc. other | Cuso Financial Services, L.P. other | Other | Aug 9, 2016 | Aug 1, 2016 |
| Scott Douglas Cramer | Waddell & Reed other | Cuso Financial Services, L.P. other | Other | Aug 3, 2016 | Aug 2, 2016 |
| Christopher Eric Dziklinski | Charles Schwab & Co., Inc. national BD | Cuso Financial Services, L.P. other | Other | Jul 26, 2016 | Jul 27, 2016 |
| Kayla L Gunderson | Morgan Stanley wirehouse | Cuso Financial Services, L.P. other | Other | Jul 22, 2016 | Jul 15, 2016 |
| Matthew Lee Bacon | Msi Financial Services, Inc. other | Cuso Financial Services, L.P. other | Other | Jul 22, 2016 | Jul 11, 2016 |
| Kenny Nhu Truong | Wells Fargo Advisors wirehouse | Cuso Financial Services, L.P. other | Other | Jul 20, 2016 | Jul 25, 2016 |
| Jeffrey James Clements | Coppell Advisory Solutions LLC other | Cuso Financial Services, L.P. other | Other | Jul 18, 2016 | Jul 13, 2016 |
| Lamont Adrian Brown | Osaic Institutions, Inc. other | Cuso Financial Services, L.P. other | Other | Jul 5, 2016 | Jul 5, 2016 |
| Terence Francis Powell | LPL Financial LLC other | Cuso Financial Services, L.P. other | Other | Jun 29, 2016 | Jun 20, 2016 |
| Laura Ann Turo Corbiani | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Cuso Financial Services, L.P. other | Other | Jun 29, 2016 | Jun 28, 2016 |
| Philip Glenn Sherman | Kms Financial Services, Inc other | Cuso Financial Services, L.P. other | Other | Jun 20, 2016 | Sep 30, 2016 (102 d) |
| Luis C Mir | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Cuso Financial Services, L.P. other | Other | Jun 15, 2016 | Jul 20, 2017 (400 d) |
| Mary Virginia Lamphere | Raymond James Financial Services Advisors, Inc other | Cuso Financial Services, L.P. other | Other | Jun 13, 2016 | Jun 20, 2016 |
| Angela Sue Diehl | Capital Investment Advisory Services, LLC other | Cuso Financial Services, L.P. other | Other | Jun 10, 2016 | Jun 13, 2016 |
| Daniel T. Devonald | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Cuso Financial Services, L.P. other | Other | Jun 9, 2016 | Jul 18, 2016 (39 d) |
| Jack Randall Jensen | Advice And Planning Services other | Cuso Financial Services, L.P. other | Other | Jun 8, 2016 | Jul 6, 2016 |
| Christopher J Dame | Strategic Advisers LLC national BD | Cuso Financial Services, L.P. other | Other | Jun 8, 2016 | May 25, 2016 |
| Justin K Parks | U.S. Bancorp Investments, Inc. other | Cuso Financial Services, L.P. other | Other | Jun 3, 2016 | Jun 6, 2016 |
| Robert J Woerner | Ameriprise Financial Services, LLC national BD | Cuso Financial Services, L.P. other | Other | May 31, 2016 | Jun 21, 2016 |
| Stuart Evan Smith | Edward Jones national BD | Cuso Financial Services, L.P. other | Other | May 6, 2016 | May 9, 2016 |
| Richard Wilson | Planmember Securities Corporation other | Cuso Financial Services, L.P. other | Other | May 3, 2016 | Apr 29, 2016 |
| Richard Todd Holden | Securities America Advisors, Inc. other | Cuso Financial Services, L.P. other | Other | May 2, 2016 | May 2, 2016 |
| Richard Romero | Hsbc Securities (USA) Inc. other | Cuso Financial Services, L.P. other | Other | Apr 22, 2016 | Mar 29, 2016 |
| William David Harwood | Advisors Asset Management, Inc. other | Cuso Financial Services, L.P. other | Other | Apr 13, 2016 | Nov 28, 2016 (229 d) |
| Terrance William Arges | LPL Financial LLC other | Cuso Financial Services, L.P. other | Other | Apr 6, 2016 | Apr 4, 2016 |
| Thomas D Lewis | Voya Investment Management Co. LLC other | Cuso Financial Services, L.P. other | Other | Apr 4, 2016 | Dec 5, 2016 (245 d) |
| John O'Connors | J.P. Morgan Securities LLC wirehouse | Cuso Financial Services, L.P. other | Other | Apr 2, 2016 | Mar 28, 2016 |
| Kevin Zickler | Edward Jones national BD | Cuso Financial Services, L.P. other | Other | Apr 1, 2016 | May 2, 2016 (31 d) |
| Anatoly Vilderman | Wells Fargo Advisors wirehouse | Cuso Financial Services, L.P. other | Other | Mar 31, 2016 | Jul 12, 2016 (103 d) |
| James David Armer | Bancwest Investment Services, Inc. (Bwis) other | Cuso Financial Services, L.P. other | Other | Mar 30, 2016 | Apr 5, 2016 |
| Christopher Ellis | Independent Financial Group, LLC other | Cuso Financial Services, L.P. other | Other | Mar 28, 2016 | Mar 28, 2016 |
| Susan E Hoyt | Valic Financial Advisors, Inc. other | Cuso Financial Services, L.P. other | Other | Mar 24, 2016 | Mar 28, 2016 |
| Ryan David West | LPL Financial LLC other | Cuso Financial Services, L.P. other | Other | Mar 21, 2016 | Mar 30, 2016 |
| Nicholas Isaac Cohen | Waddell & Reed other | Cuso Financial Services, L.P. other | Other | Mar 19, 2016 | Apr 18, 2016 |
| Mitch Wayne Hamilton | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Cuso Financial Services, L.P. other | Other | Mar 10, 2016 | Mar 7, 2016 |