| Harold Charles Morrow | Avantax Advisory Services other | Signature Investments, Inc. other | Other | Aug 5, 2013 | Aug 2, 2013 |
| Barbara Jean Swiatek | Coppell Advisory Solutions LLC other | Signature Investments, Inc. other | Other | Jul 15, 2013 | Jul 15, 2013 |
| Paul Woodson Abele | Modern Capital Advisors, LLC other | Signature Investments, Inc. other | Other | May 21, 2013 | May 21, 2013 |
| Donald Leonard Ross | Sicor Securities Inc unclassified | Signature Investments, Inc. other | Other | Dec 31, 2012 | Jan 4, 2013 |
| Robert Mark Cerrito | Sicor Securities Inc unclassified | Signature Investments, Inc. other | Other | Dec 31, 2012 | Mar 25, 2013 (84 d) |
| John Andrew Mears | Sicor Securities Inc unclassified | Signature Investments, Inc. other | Other | Dec 31, 2012 | Jan 2, 2013 |
| John Lee Heinze | Sicor Securities Inc unclassified | Signature Investments, Inc. other | Other | Dec 31, 2012 | Jan 4, 2013 |
| James Philip Wood | Sicor Securities Inc unclassified | Signature Investments, Inc. other | Other | Dec 31, 2012 | Jan 2, 2013 |
| J'Neanne Mary Theus | Sicor Securities Inc unclassified | Signature Investments, Inc. other | Other | Dec 31, 2012 | Jan 2, 2013 |
| Lee Hyder | Sicor Securities Inc unclassified | Signature Investments, Inc. other | Other | Dec 31, 2012 | Jan 4, 2013 |
| Mayo Mcgill Fitzhugh | Sicor Securities Inc unclassified | Signature Investments, Inc. other | Other | Dec 31, 2012 | Jan 2, 2013 |
| James Leland Hancock | Sicor Securities Inc unclassified | Signature Investments, Inc. other | Other | Dec 18, 2012 | Dec 5, 2012 |
| Joshua David Wheeler | Diehl Wealth Management Group, LLC unclassified | Signature Investments, Inc. other | Other | May 10, 2011 | Jan 2, 2013 (603 d) |
| Eldon Duane Brown | LPL Financial LLC other | Signature Investments, Inc. other | Other | Jun 29, 2010 | Dec 5, 2012 (890 d) |