| 1 | 08-01-2011 | Paul A. Pagnato, David W. Karp | N/A | N/A | N/A | N/A | $1,300 | N/A | Bank of America Merrill Lynch | Hightower Advisors | Washington | DC | N/A | N/A | N/A | 2011-08-01 | N/A | N/A | N/A | N/A | N/A | N/A | N/A | InvestmentNews | 20110801-Paul-A-Pagnato-David-W-Karp | N/A |
| 1 | 07-13-2011 | John Verfurth, Richard Weeks, Jeff Grinspoon | N/A | N/A | N/A | N/A | $700 | N/A | Morgan Stanley Smith Barney | Hightower Advisors | Vienna | VA | N/A | N/A | N/A | 2011-07-13 | N/A | http://www.prnewswire.com/news-releases/hightower-expands-with-new-team-in-northern-virginia-125349913.html | N/A | N/A | N/A | N/A | N/A | InvestmentNews | 20110713-John-Verfurth-Richard-Weeks-Jeff-Grinspoon | N/A |
| 1 | 05-31-2011 | William F. Blanke, Robert L. Schein, J. Michael Shields | N/A | N/A | N/A | N/A | $300 | N/A | Morgan Stanley Smith Barney | Hightower Advisors | Palm Desert | CA | N/A | N/A | N/A | 2011-05-31 | N/A | http://www.investmentnews.com/article/20110602/FREE/110609988 | N/A | N/A | N/A | N/A | N/A | InvestmentNews | 20110531-William-F-Blanke-Robert-L-Schein-J-Michael-Shields | N/A |
| 1 | 05-09-2011 | Brian P. Amidei, Joseph G. Romano III, Brett C. D'Orlando | N/A | N/A | N/A | N/A | $375 | N/A | Bank of America Merrill Lynch | Hightower Advisors | Palm Desert | CA | N/A | N/A | N/A | 2011-05-09 | N/A | http://www.prnewswire.com/news-releases/hightower-expands-with-new-advisor-team-in-southern-california-121180754.html | N/A | N/A | N/A | N/A | N/A | InvestmentNews | 20110509-Brian-P-Amidei-Joseph-G-Romano-III-Brett-C-D'Orlando | N/A |
| 1 | 03-01-2011 | Mark Masterson, David Emma | N/A | N/A | N/A | N/A | $350 | N/A | Bank of America Merrill Lynch | Hightower Advisors | Naples | FL | N/A | N/A | N/A | 2011-07-14 | N/A | N/A | N/A | N/A | N/A | N/A | N/A | InvestmentNews | 20110301-Mark-Masterson-David-Emma | N/A |
| 1 | 02-23-2011 | Edward Simmons, Gibson Wilkes, Blake Wilkes, Michael Simmons | N/A | N/A | N/A | N/A | $500 | N/A | Bank of America Merrill Lynch | Hightower Advisors | Portland | ME | N/A | N/A | N/A | 2011-02-23 | N/A | http://www.takeoverchatter.com/2011/02/hightower-advisors-adds-merrill-team-in.html | N/A | N/A | N/A | N/A | N/A | InvestmentNews | 20110223-Edward-Simmons-Gibson-Wilkes-Blake-Wilkes-Michael-Simmons | N/A |
| 1 | 11-30-2010 | Tony Morgia, Michael Morgia, Philip | P.J. Banazek, Mark Banazek | N/A | N/A | N/A | $500 | N/A | Morgan Stanley Smith Barney | Hightower Advisors | New York | NY | N/A | N/A | N/A | 2010-11-30 | N/A | http://www.prnewswire.com/news-releases/hightower-announces-new-advisor-team-in-new-york-110963224.html | N/A | N/A | N/A | N/A | N/A | InvestmentNews | 20101130-Tony-Morgia-Michael-Morgia-Philip | N/A |
| 1 | 10-12-2010 | Mike Deggelman, Chris Parker | N/A | N/A | N/A | N/A | $250 | N/A | UBS Financial Services | Hightower Advisors | Menlo Park | CA | N/A | N/A | N/A | 2010-10-12 | N/A | http://www.fundfire.com/c/113875/4627/credit_suisse_snags_advisor | N/A | N/A | N/A | N/A | N/A | InvestmentNews | 20101012-Mike-Deggelman-Chris-Parker | N/A |
| 1 | 09-24-2010 | Tom McGuirk | N/A | N/A | N/A | N/A | $200 | N/A | Citigroup | Hightower Advisors | Menlo Park | CA | N/A | N/A | N/A | 2010-09-24 | N/A | N/A | N/A | N/A | N/A | N/A | N/A | InvestmentNews | 20100924-Tom-McGuirk | N/A |
| 1 | 07-01-2010 | Andrew Morse, Justin Towey, Bob White | N/A | N/A | N/A | N/A | $550 | N/A | UBS Financial Services | Hightower Advisors | New York | NY | N/A | N/A | N/A | 2010-07-01 | N/A | N/A | N/A | N/A | N/A | N/A | N/A | InvestmentNews | 20100701-Andrew-Morse-Justin-Towey-Bob-White | N/A |
| 1 | 05-01-2010 | Pamela Rosenau, Dennis Paul | N/A | N/A | N/A | N/A | $700 | N/A | UBS Financial Services | Hightower Advisors | New York | NY | N/A | N/A | N/A | 2010-05-01 | N/A | N/A | N/A | N/A | N/A | N/A | N/A | InvestmentNews | 20100501-Pamela-Rosenau-Dennis-Paul | N/A |
| 1 | 04-08-2010 | Strata Wealth Management Group | N/A | N/A | N/A | N/A | $500 | N/A | Morgan Stanley Smith Barney | Hightower Advisors | N/A | N/A | N/A | N/A | N/A | 2010-02-21 | IN | http://www.investmentnews.com/article/20100221/REG/302219972 | N/A | N/A | N/A | N/A | N/A | InvestmentNews | 20100408-Strata-Wealth-Management-Group | N/A |
| 1 | 03-19-2010 | Barnaby Levin | N/A | N/A | N/A | N/A | $300 | N/A | Morgan Stanley Smith Barney | Hightower Advisors | N/A | N/A | N/A | N/A | N/A | 2010-03-19 | IN | http://www.investmentnews.com/article/20100319/FREE/100329999 | N/A | N/A | N/A | N/A | N/A | InvestmentNews | 20100319-Barnaby-Levin | N/A |
| 1 | 11-10-2009 | Christopher Davis, Matthias Kuhlmey | N/A | N/A | N/A | N/A | $250 | N/A | UBS Financial Services | Hightower Advisors | N/A | N/A | N/A | N/A | N/A | 2009-11-10 | IN | http://www.investmentnews.com/article/20091110/FREE/911109976 | N/A | N/A | N/A | N/A | N/A | InvestmentNews | 20091110-Christopher-Davis-Matthias-Kuhlmey | N/A |
| 1 | 05-17-2009 | Richard Saperstein | N/A | N/A | N/A | N/A | $10,000 | N/A | Bear Stearns | Hightower Advisors | N/A | N/A | N/A | N/A | N/A | 2009-05-17 | InvestmentNews | http://www.investmentnews.com/article/20090517/REG/305179988 | N/A | N/A | N/A | N/A | N/A | InvestmentNews | 20090517-Richard-Saperstein | N/A |
| 1 | 10-19-2012 | Robert G. Bernardin | N/A | N/A | N/A | N/A | $300 | N/A | Morgan Stanley Smith Barney | Hilliard Lyons | Evansville | IN | N/A | N/A | N/A | 2012-10-19 | N/A | N/A | N/A | Chambers Moore | N/A | cmoore@hilliard.com | N/A | User-submitted | 20121019-Robert-Bernardin | N/A |
| 1 | 05-31-2012 | John T. Gilbert III | N/A | N/A | N/A | N/A | $140 | N/A | Scott & Stringfellow | Hilliard Lyons | Greenville | SC | N/A | N/A | N/A | 2012-05-31 | Chambers Moore | http://www.hilliard.com | N/A | Chambers Moore | N/A | cmoore@hilliard.com | N/A | User-submitted | 20120531-John-T-Gilbert-III | N/A |
| 1 | 06-04-2010 | Middlebrook, Dryden, Carter & Associates | N/A | N/A | N/A | N/A | $150 | N/A | Ameriprise Financial | Insight Wealth Partners | N/A | N/A | N/A | N/A | N/A | 2010-06-04 | David S. Dryden, CFP, ChFC | http://www.insightwp.com/your-iwp-team.aspx | N/A | David S. Dryden, CFP, ChFC | N/A | david.dryden@insightwp.com | N/A | User-submitted | 20100604-Middlebrook-Dryden-Carter-Associates | N/A |
| 1 | 02-07-2013 | John Gray, Jerri Gray, Jim Driskell | N/A | N/A | N/A | N/A | $90 | N/A | Next Financial | Investacorp | Birmingham | AL | N/A | N/A | N/A | 2013-02-04 | N/A | N/A | N/A | Brian Kovener | 786-350-1884 | bkovener@investacorp.com | N/A | InvestmentNews | 2013-02-07-John-Gray-Jerri-Gray-Jim-Driskell | N/A |
| 1 | 09-17-2012 | Francis Vitellaro | N/A | N/A | N/A | N/A | $65 | $0 | Wells Fargo Advisors | Investacorp | Princeton | NJ | N/A | N/A | N/A | 2012-09-14 | N/A | N/A | N/A | Brian Kovener | 786-350-1884 | bkovener@investacorp.com | N/A | User-submitted | 20120917-Francis-Vitellaro | N/A |
| 1 | 08-02-2012 | Matthew Dernis | N/A | N/A | N/A | N/A | $50 | $0 | Royal Alliance | Investacorp | Ft. Lauderdale | FL | N/A | N/A | N/A | 2012-07-31 | N/A | N/A | N/A | Brian Kovener | 786-350-1884 | bkovener@investacorp.com | N/A | User-submitted | 20120802-Matthew-Dernis | N/A |
| 1 | 06-05-2012 | Stephen Kilpatrick | N/A | N/A | N/A | N/A | $40 | N/A | brokersXpress | Investacorp | Atlanta | GA | N/A | N/A | N/A | 2012-06-05 | Brian Kovener | http://www.investacorp.com | N/A | Brian Kovener | N/A | bkovener@investacorp.com | N/A | User-submitted | 20120605-Stephen-Kilpatrick | N/A |
| 1 | 04-16-2012 | Warren Rockmacher | N/A | N/A | N/A | N/A | $68 | N/A | Chase Investment Services | Investacorp | N/A | N/A | N/A | N/A | N/A | 2012-04-16 | Brian Kovener | http://www.investacorp.com | N/A | Brian Kovener | N/A | bkovener@investacorp.com | N/A | User-submitted | 20120416-Warren-Rockmacher | N/A |
| 1 | 04-16-2012 | Warren Rockmacher | N/A | N/A | N/A | N/A | $68 | N/A | Chase Investment Services | Investacorp | N/A | N/A | N/A | N/A | N/A | 2012-04-16 | Brian Kovener | http://www.investacorp.com | N/A | Brian Kovener | N/A | bkovener@investacorp.com | N/A | User-submitted | 20120416-Warren-Rockmacher | N/A |
| 1 | 04-03-2012 | James Paquette | N/A | N/A | N/A | N/A | $52 | N/A | Berthel Fisher | Investacorp | N/A | N/A | N/A | N/A | N/A | 2012-04-04 | Brian Kovener | http://www.investacorp.com | N/A | Brian Kovener | N/A | bkovener@investacorp.com | N/A | User-submitted | 20120403-James-Paquette | N/A |