| 1 | 10-19-2011 | Summit Financial | N/A | N/A | N/A | N/A | $1,200 | $0 | Ogilvie Security Advisors | Commonwealth Financial Network | Burlington | MA | N/A | N/A | N/A | 2011-10-19 | N/A | http://brokercheck.finra.org/Individual/IndividualSummary.aspx?SearchGroup=Individual&FirmKey=-1&BrokerKey=25450&IndvlBCCtgry=1&IndvlIACtgry=-1 | N/A | N/A | N/A | N/A | N/A | InvestmentNews | 20111019-Summit-Financial | N/A |
| 1 | 09-06-2011 | Eric Peterson | N/A | N/A | N/A | N/A | $75 | $0 | Securities America | Commonwealth Financial Network | Springfield | MO | N/A | N/A | N/A | 2011-09-06 | N/A | N/A | N/A | N/A | N/A | N/A | N/A | InvestmentNews | 20110906-Eric-Peterson | N/A |
| 1 | 09-06-2011 | Chuck Olsen | N/A | N/A | N/A | N/A | $250 | $0 | Securities America | Commonwealth Financial Network | Norfolk | NE | N/A | N/A | N/A | 2011-09-06 | N/A | http://www.investmentnews.com/article/20090517/REG/305179988 | N/A | N/A | N/A | N/A | N/A | InvestmentNews | 20110906-Chuck-Olsen | N/A |
| 1 | 09-06-2011 | Brian Fischer | N/A | N/A | N/A | N/A | $400 | $0 | Securities America | Commonwealth Financial Network | Annandale | NJ | N/A | N/A | N/A | 2011-09-06 | N/A | N/A | N/A | N/A | N/A | N/A | N/A | InvestmentNews | 20110906-Brian-Fischer | N/A |
| 1 | 07-25-2011 | Thomas J. Hine | N/A | N/A | N/A | N/A | $120 | $0 | Securities America | Commonwealth Financial Network | Glastonbury | CT | N/A | N/A | N/A | 2011-07-26 | N/A | http://online.wsj.com/article/BT-CO-20101001-706851.html | N/A | N/A | N/A | N/A | N/A | InvestmentNews | 20110725-Thomas-J-Hine | N/A |
| 1 | 07-25-2011 | Richard Tonkinson | N/A | N/A | N/A | N/A | $200 | $2 | Securities America | Commonwealth Financial Network | Miami | FL | N/A | N/A | N/A | 2011-07-26 | N/A | http://www.reuters.com/article/2012/04/03/us-concert-wealth-idUSBRE8320ZL20120403 | N/A | N/A | N/A | N/A | N/A | InvestmentNews | 20110725-Richard-Tonkinson | N/A |
| 1 | 07-25-2011 | John L. Smallwood | N/A | N/A | N/A | N/A | $100 | $0 | Securities America | Commonwealth Financial Network | Shrewsbury | NJ | N/A | N/A | N/A | 2011-07-26 | N/A | http://online.wsj.com/article/BT-CO-20111018-711225.html | N/A | N/A | N/A | N/A | N/A | InvestmentNews | 20110725-John-L-Smallwood | N/A |
| 1 | 09-17-2012 | Kevin Stophel, Matthew McCoy | N/A | N/A | N/A | N/A | $90 | $0 | Bank of America Merrill Lynch | Concert Wealth Management | Chattanooga | TN | N/A | N/A | N/A | 2012-09-13 | N/A | N/A | N/A | Felipe Luna (CEO of Concert Global Group Ltd.) | N/A | N/A | N/A | InvestmentNews | 20120917-Kevin-Stophel-Matthew-McCoy | N/A |
| 1 | 04-06-2012 | Myles Pritchard | N/A | N/A | N/A | N/A | $100 | $0 | Bank of America Merrill Lynch | Concert Wealth Management | Los Angeles | CA | N/A | N/A | N/A | 2012-04-06 | N/A | http://www.reuters.com/article/2012/04/03/us-concert-wealth-idUSBRE8320ZL20120403 | N/A | N/A | N/A | N/A | N/A | InvestmentNews | 20120406-Myles-Pritchard | N/A |
| 1 | 09-16-2010 | Frank Hogan, David Andrew, David Searls | N/A | N/A | N/A | N/A | $300 | $3 | Goldman Sachs | Credit Suisse Wealth Services | Houston | TX | N/A | N/A | N/A | 2010-09-16 | N/A | http://www.fundfire.com/c/117480/11271/credit_suisse_snares_goldman_advisor_team | N/A | N/A | N/A | N/A | N/A | InvestmentNews | 20100916-Frank-Hogan-David-Andrew-David-Searls | N/A |
| 1 | 05-20-2010 | Richard Ziegelasch, Wendy Holmes | N/A | N/A | N/A | N/A | $258 | $0 | UBS Financial Services | Credit Suisse Wealth Services | New York | NY | N/A | N/A | N/A | 2010-05-20 | N/A | http://www.fundfire.com/c/113875/4627/credit_suisse_snags_advisor | N/A | N/A | N/A | N/A | N/A | InvestmentNews | 20100520-Richard-Ziegelasch-Wendy-Holmes | N/A |
| 1 | 08-20-2010 | Jeffrey Grange | N/A | N/A | N/A | N/A | $50 | $0 | Morgan Stanley Smith Barney | Crowell Weedon & Co. | West Lake Village | CA | N/A | N/A | N/A | 2010-08-20 | Crowell, Weedon & Co. | http://www.review.net/section/detail/5-3-2011-raymond-james-hires-away-three/ | N/A | Alan Griffin | N/A | agriffin@crowellweedon.com | N/A | User-submitted | 20100820-Jeffrey-Grange | N/A |
| 1 | 08-20-2010 | Mark Delgadillo | N/A | N/A | N/A | N/A | $35 | $0 | Morgan Stanley Smith Barney | Crowell Weedon & Co. | N/A | N/A | N/A | N/A | N/A | 2010-08-20 | Crowell, Weedon & Co. | http://www.investacorp.com | N/A | alan griffin | N/A | agriffin@croiwellweeedon.com | N/A | User-submitted | 20100820-Mark-Delgadillo | N/A |
| 1 | 07-28-2010 | Ross Adams | N/A | N/A | N/A | N/A | $120 | $0 | Morgan Stanley Smith Barney | Crowell Weedon & Co. | N/A | N/A | N/A | N/A | N/A | 2010-07-28 | Alan Griffin | http://www.investacorp.com | N/A | Alan Griffin | N/A | agriffin@crowellweedon.com | N/A | User-submitted | 20100728-Ross-Adams | N/A |
| 1 | 05-03-2010 | Ted Kenney | N/A | N/A | N/A | N/A | $50 | $0 | Morgan Stanley Smith Barney | Crowell Weedon & Co. | N/A | N/A | N/A | N/A | N/A | 2010-05-03 | Alan Griffin | http://www.noozhawk.com/news_releases/article/050310_ted_kenney_joins_santa_barbaras_crowell_weedon_co/ | N/A | Alan Griffin | N/A | agriffin@crowellweedon.com | N/A | User-submitted | 20100503-Ted-Kenney | N/A |
| 1 | 06-16-2010 | Marc Channick, Keith McKenzie, Darren Reinig | N/A | N/A | N/A | N/A | $100 | $0 | Bernstein Global Wealth Management | Delphi Private Advisors | San Diego | CA | N/A | N/A | N/A | 2010-06-16 | N/A | http://www.benzinga.com/press-releases/10/06/b311543/delphi-private-advisors-marks-six-months-since-launch | N/A | N/A | N/A | N/A | N/A | InvestmentNews | 20100616-Marc-Channick-Keith-McKenzie-Darren-Reinig | N/A |
| 1 | 05-21-2010 | Thomas Karsten | N/A | N/A | N/A | N/A | $180 | $2 | H.D. Vest Investment Services | DeWaay Financial Network | Clive | IA | N/A | N/A | N/A | 2010-05-21 | N/A | http://www.investmentnews.com/article/20100521/FREE/100529975 | N/A | N/A | N/A | N/A | N/A | InvestmentNews | 20100521-Thomas-Karsten | N/A |
| 1 | 05-11-2010 | Erin Botsford | N/A | N/A | N/A | N/A | $750 | $3 | FSC Securities | DeWaay Financial Network | Frisco | TX | N/A | N/A | N/A | 2010-05-11 | N/A | http://www.investmentnews.com/article/20100511/FREE/100519970 | N/A | N/A | N/A | N/A | N/A | InvestmentNews | 20100511-Erin-Botsford | N/A |
| 1 | 07-09-2012 | Michael Hull, Patrick Hull | N/A | N/A | N/A | N/A | $3,831 | $0 | Morgan Stanley Smith Barney | Dynasty Financial Partners | Madison | WI | N/A | N/A | N/A | 2012-07-09 | N/A | N/A | N/A | Sally Cates | N/A | sallycates@dynastyfinancialpartners.com | N/A | User-submitted | 20120709-Michael-Hull-Patrick-Hull | N/A |
| 1 | 02-06-2012 | Larry King | N/A | N/A | N/A | N/A | $1,200 | $0 | Morgan Stanley Smith Barney | Dynasty Financial Partners | Saratoga Springs | NY | N/A | N/A | N/A | 2012-02-06 | N/A | http://www.marketwatch.com/story/dynasty-financial-partners-welcomes-king-wealth-management-group-to-its-network-of-independent-advisors-2012-02-06 | N/A | N/A | N/A | N/A | N/A | InvestmentNews | 20120206-Larry-King | N/A |
| 1 | 12-05-2010 | Michael C. Brown | N/A | N/A | N/A | N/A | $5,900 | $0 | U.S. Trust Bank of America Private Wealth Management | Dynasty Financial Partners | New York | NY | N/A | N/A | N/A | 2010-12-06 | N/A | http://www.investmentnews.com/article/20101206/FREE/101209959/0/REG | N/A | N/A | N/A | N/A | N/A | InvestmentNews | 20101205-Michael-C-Brown | N/A |
| 1 | 05-12-2010 | Morse Williams | N/A | N/A | N/A | N/A | $190 | $0 | Morse Williams and Co. | Evercore Wealth Management | New York | NY | N/A | N/A | N/A | 2010-05-12 | N/A | http://www.investmentnews.com/article/20100125/FREE/100129936 | N/A | N/A | N/A | N/A | N/A | InvestmentNews | 20100512-Morse-Williams | N/A |
| 1 | 08-10-2012 | Mark Logan, Bill Unrein | N/A | N/A | N/A | N/A | $100 | $0 | Morgan Stanley Smith Barney | Fairhaven Financial Advisors Inc | Bellingham | WA | N/A | N/A | N/A | 2012-08-10 | N/A | N/A | N/A | Mark Logan | 360-306-3977 | Mark@fairfinad.com | N/A | User-submitted | 2013-02-12-Mark-Logan-Bill-Unrein | N/A |
| 1 | 11-07-2012 | Waldron Group | N/A | N/A | N/A | N/A | $1,200 | $0 | LPL Financial | Fidelity | Bridgeville | PA | N/A | N/A | N/A | 2012-11-06 | N/A | N/A | N/A | RIAbiz dotcom | 858-450-9606 | info@www.riabiz.com | N/A | User-submitted | 20121107-Waldron-Group | N/A |
| 1 | 09-17-2010 | Allan Boomer | N/A | N/A | N/A | N/A | $250 | $2 | Goldman Sachs | Fiduciary Management Group | New York | NY | N/A | N/A | N/A | 2010-09-01 | Allan Boomer (Self) | http://www.fmgwealth.com | N/A | Allan Boomer | N/A | ab@fmgwealth.com | N/A | User-submitted | 20100917-Allan-Boomer | N/A |