| 1 | 11-30--0001 | | N/A | N/A | N/A | N/A | N/A | N/A | N/A | N/A | N/A | N/A | N/A | N/A | N/A | 0000-00-00 | N/A | N/A | N/A | N/A | N/A | N/A | N/A | N/A | N/A | N/A |
| 1 | 03-18-2010 | Edward Sokolosky, Shane Sullivan | N/A | N/A | N/A | N/A | $50 | $1 | Wells Fargo Advisors | A.G. Edwards & Sons | Hudson | NY | N/A | N/A | Robert Lane | 2010-03-18 | N/A | N/A | N/A | Chris Radford | N/A | cradford@vsrfs.com | N/A | User-submitted | 20100318-Edward-Sokolosky-Shane-Sullivan | N/A |
| 1 | 01-04-2010 | Paul Bedinger | N/A | N/A | N/A | N/A | $38 | N/A | Wells Fargo Advisors | A.G. Edwards & Sons | N/A | N/A | N/A | N/A | N/A | 2010-01-04 | shawn smith | http://www.financialadvisorplacementservices.com | N/A | shawn smith | N/A | faplacementservices@comcast.net | N/A | User-submitted | 20100104-Paul-Bedinger | N/A |
| 1 | 09-20-2011 | David Drucker | N/A | N/A | N/A | N/A | N/A | $1 | Oppenheimer | Aegis Capital | New York | NY | N/A | N/A | N/A | 2011-09-20 | Phil Michals | http://www.aegiscap.com/upload/files/annuncemtn%20DD.pdf | N/A | Phil Michals | N/A | pmichals@aegiscap.com | N/A | User-submitted | 20110920-David-Drucker | N/A |
| 1 | 07-11-2011 | Stanley Crouch, Victor Saul | N/A | N/A | N/A | N/A | $250 | N/A | Herbert J. Sims & Co. | Aegis Capital | New York | NY | N/A | N/A | N/A | 2011-07-11 | Phil Michals | http://www.aegiscap.com/upload/files/Crouch.pdf | N/A | Phil Michals | N/A | pmichals@aegiscap.com | N/A | User-submitted | 20110711-Stanley-Crouch-Victor-Saul | N/A |
| 1 | 04-15-2011 | Robert Millstone | N/A | N/A | N/A | N/A | $100 | N/A | Bishop Rosen | Aegis Capital | New York | NY | N/A | N/A | N/A | 2011-04-15 | Phil Michals | N/A | N/A | Phil Michals | N/A | pmichals@aegiscap.com | N/A | User-submitted | 20110415-Robert-Millstone | N/A |
| 1 | 04-11-2011 | Daniel Freedman | N/A | N/A | N/A | N/A | $60 | $1 | Bishop Rosen | Aegis Capital | New York | NY | N/A | N/A | N/A | 2011-04-12 | Phil Michals | http://www.aegiscap.com/upload/files/announcement-dan%20(3).pdf | N/A | Phil Michals | N/A | pmichals@aegiscap.com | N/A | User-submitted | 20110411-Daniel-Freedman | N/A |
| 1 | 02-14-2011 | Randy Ross | N/A | N/A | N/A | N/A | $60 | N/A | UBS Financial Services | Aegis Capital | New York | NY | N/A | N/A | N/A | 2011-02-14 | Phil Michals | http://www.aegiscap.com | N/A | Phil Michals | N/A | pmichals@aegiscap.com | N/A | User-submitted | 20110214-Randy-Ross | N/A |
| 1 | 02-04-2011 | David Ferri, Michael McDonald | N/A | N/A | N/A | N/A | $60 | N/A | JHS Capital Advisors | Aegis Capital | Orlando | FL | N/A | N/A | N/A | 2011-02-04 | David Ferri | http://www.aegiscap.com/upload/files/announcement-Kendal%20CM.pdf | N/A | David Ferri | N/A | dferri@aegiscap.com | N/A | User-submitted | 20110204-David-Ferri-Michael-McDonald | N/A |
| 1 | 12-09-2010 | Michael Moss, Phil Smolowitz | N/A | N/A | N/A | N/A | $150 | $1 | Stifel Nicolaus & Co. | Aegis Capital | New York | NY | N/A | N/A | N/A | 2010-12-09 | Aegis Capital | N/A | N/A | Phil Michals | N/A | pmichals@aegiscap.com | N/A | User-submitted | 20101209-Michael-Moss-Phil-Smolowitz | N/A |
| 1 | 03-26-2010 | Gunn Allen Branch at 40 Wall St. | N/A | N/A | N/A | N/A | $375 | $11 | Gunn Allen Financial | Aegis Capital | N/A | N/A | N/A | N/A | N/A | 2010-03-26 | IN | http://www.investmentnews.com/article/20100326/FREE/100329907 | N/A | N/A | N/A | N/A | N/A | InvestmentNews | 20100326-Gunn-Allen-Branch-at-40-Wall-St | N/A |
| 1 | 05-01-2012 | Terry Tolbert | N/A | N/A | N/A | N/A | $121 | N/A | Bank of America Merrill Lynch | Allen & Co. of Florida | Viera | FL | N/A | N/A | N/A | 2012-05-01 | Scott McHugh | http://www.prlog.org/10872138-summit-brokerage-services-welcomes-new-advisors.html | N/A | Keith Albritton | N/A | keith@alleninvestments.com | N/A | User-submitted | 20120501-Terry-Tolbert | N/A |
| 1 | 12-08-2010 | James Schipper, Steve Osterink Sr, Steve Osterink Jr. | N/A | N/A | N/A | N/A | $75 | N/A | Sagepoint Financial | American Portfolios Financial Services | KENTWOOD | MI | N/A | N/A | N/A | 2010-12-08 | Regal Financial Group | http://www.reuters.com/article/idUSN0521349220101005 | N/A | Lies Hamilton | N/A | lhamilton@regalfin.com | N/A | User-submitted | 20101208-James-Schipper-Steve-Osterink-Sr-Steve-Osterink-Jr | N/A |
| 1 | 04-30-2013 | Jay L. Geaslen | N/A | N/A | N/A | N/A | $194 | N/A | Bank of America Merrill Lynch | Ameriprise Financial | Alpharetta | GA | N/A | N/A | N/A | 2013-04-08 | N/A | N/A | N/A | Chris L. Reese | 612-678-5410 | chris.l.reese@ampf.com | N/A | User-submitted | 2013-04-30-Jay-L-Geaslen | N/A |
| 1 | 04-29-2013 | Leasha D. Flammio-Watson | N/A | N/A | N/A | N/A | $90 | N/A | Wells Fargo Advisors | Ameriprise Financial | Melbourne | FL | N/A | N/A | N/A | 2013-03-01 | N/A | N/A | N/A | Chris L. Reese | 612-678-5410 | chris.l.reese@ampf.com | N/A | User-submitted | 2013-04-29-Leasha-D-Flammio-Watson | N/A |
| 1 | 04-29-2013 | John J. Nelson, Jon T. Nelson | N/A | N/A | N/A | N/A | $125 | N/A | Wells Fargo Advisors | Ameriprise Financial | Norwalk | CT | N/A | N/A | N/A | 2013-04-12 | N/A | N/A | N/A | Chris L. Reese | 612-678-5410 | chris.l.reese@ampf.com | N/A | User-submitted | 2013-04-29-John-J-Nelson-Jon-T-Nelson | N/A |
| 1 | 04-29-2013 | Donald A. Jones, Trevor Jones | N/A | N/A | N/A | N/A | N/A | N/A | UBS Financial Services | Ameriprise Financial | Florham Park | NJ | N/A | N/A | N/A | 2013-04-19 | N/A | N/A | N/A | Chris L. Reese | 612-678-5410 | chris.l.reese@ampf.com | N/A | User-submitted | 2013-04-29-Donald-A-Jones-Trevor-Jones | N/A |
| 1 | 04-29-2013 | William T. Patton | N/A | N/A | N/A | N/A | $150 | N/A | Morgan Stanley Smith Barney | Ameriprise Financial | Virginia Beach | VA | N/A | N/A | N/A | 2013-04-26 | N/A | N/A | N/A | Chris L. Reese | 612-678-5410 | chris.l.reese@ampf.com | N/A | User-submitted | 2013-04-29-William-T-Patton | N/A |
| 1 | 04-29-2013 | Norman G. Howarth | N/A | N/A | N/A | N/A | $195 | N/A | LPL Financial | Ameriprise Financial | Charlestown | MA | N/A | N/A | N/A | 2013-04-25 | N/A | N/A | N/A | Chris L. Reese | 612-678-5410 | chris.l.reese@ampf.com | N/A | User-submitted | 2013-04-29-Norman-G-Howarth | N/A |
| 1 | 11-28-2012 | Levent Bayrasli, Russell Smith | N/A | N/A | N/A | N/A | $95 | N/A | Bank of America Merrill Lynch | Ameriprise Financial | Branchburg | NJ | N/A | N/A | N/A | 2012-11-16 | N/A | N/A | N/A | N/A | N/A | N/A | N/A | InvestmentNews | 20121128-Levent-Bayrasli- Russell-Smith | N/A |
| 1 | 11-28-2012 | Ziv Ohel, Bill Duncan | N/A | N/A | N/A | N/A | $275 | $2 | Morgan Stanley Smith Barney | Ameriprise Financial | Deerfield | IL | N/A | N/A | N/A | 2012-11-16 | N/A | N/A | N/A | N/A | N/A | N/A | N/A | InvestmentNews | 20121128-Ziv-Ohel-Bill-Duncan | N/A |
| 1 | 08-23-2012 | John Cartolano | N/A | N/A | N/A | N/A | $200 | N/A | LPL Financial | Ameriprise Financial | Scottsdale | AZ | N/A | N/A | N/A | 2012-08-17 | N/A | N/A | N/A | Chris L. Reese | 612.678.5410 | chris.l.reese@ampf.com | N/A | User-submitted | 20120823-John-Cartolano | N/A |
| 1 | 08-21-2012 | John Lupi and Associates | N/A | N/A | N/A | N/A | $101 | N/A | Wells Fargo Advisors | Ameriprise Financial | Colts Neck | NJ | N/A | N/A | N/A | 2012-08-14 | N/A | N/A | N/A | Chris L. Reese | 612.678.5410 | chris.l.reese@ampf.com | N/A | User-submitted | 20120821-John-Lupi-and-Associates | N/A |
| 1 | 08-21-2012 | James Marchesi and Associates | N/A | N/A | N/A | N/A | $115 | N/A | LPL Financial | Ameriprise Financial | Chester | NJ | N/A | N/A | N/A | 2012-08-17 | N/A | N/A | N/A | Chris L. Reese | 612.678.5410 | chris.l.reese@ampf.com | N/A | User-submitted | 20120821-James-Marchesi-and-Associates | N/A |
| 1 | 04-10-2012 | Kevin Donoghue, James Donoghue | N/A | N/A | N/A | N/A | $84 | N/A | Lincoln Financial | Ameriprise Financial | Dunedin | FL | N/A | N/A | N/A | 2012-04-10 | N/A | http://www.investmentnews.com/article/20100524/FREE/100529960 | N/A | Chris Reese | N/A | Chris.L.Reese@ampf.com | N/A | User-submitted | 20120410-Kevin-Donoghue-James-Donoghue | N/A |