| 1 | 04-08-2013 | Sam Clark, James Davenport, Les Barber | N/A | N/A | N/A | N/A | $300 | N/A | Lincoln Financial | Royal Alliance | Salt Lake City | UT | N/A | N/A | N/A | 2013-03-06 | N/A | N/A | N/A | Linda Malamut | N/A | linda.malamut@aig.com | N/A | User-submitted | 2013-04-12-Sam-Clark-James-Davenport-Les-Barber | N/A |
| 1 | 04-08-2013 | Robert Iocco, Francis Ciocari | N/A | N/A | N/A | N/A | $200 | N/A | Bank of America Merrill Lynch | Morgan Stanley Smith Barney | Blue Bell | PA | N/A | N/A | N/A | 2013-04-05 | N/A | N/A | N/A | N/A | N/A | N/A | N/A | InvestmentNews | 2013-04-08-Robert-Iocco-Francis-Ciocari | N/A |
| 1 | 04-08-2013 | William Seabrook, Kathleen Chiappone | N/A | N/A | N/A | N/A | $180 | N/A | Wells Fargo Advisors | Morgan Stanley Smith Barney | Orlando | FL | N/A | N/A | N/A | 2013-04-05 | N/A | N/A | N/A | N/A | N/A | N/A | N/A | InvestmentNews | 2013-04-08-William-Seabrook-Kathleen-Chiappone | N/A |
| 1 | 04-08-2013 | Paul D. Emrick, Troy Hottenstein, Scott Holland | N/A | N/A | N/A | N/A | $400 | N/A | J.P. Morgan Securities LLC | Morgan Stanley Smith Barney | Philadelphia | PA | N/A | N/A | N/A | 2013-04-05 | N/A | N/A | N/A | N/A | N/A | N/A | N/A | InvestmentNews | 2013-04-08-Paul-Emrick-Troy-Hottenstein-Scott-Holland | N/A |
| 1 | 04-08-2013 | Gaston Abello, Felix Jaimovich | N/A | N/A | N/A | N/A | $165 | N/A | Bank of America Merrill Lynch | Morgan Stanley Smith Barney | Aventura | FL | N/A | N/A | N/A | 2013-04-05 | N/A | N/A | N/A | N/A | N/A | N/A | N/A | InvestmentNews | 2013-04-08-Gaston-Abello-Felix-Jaimovich | N/A |
| 1 | 03-28-2013 | Russel Sherred, Pamela Pasterick, Ken Kuska, Kathleen Corrales, Matthew Lawrence | N/A | N/A | N/A | N/A | $380 | N/A | Morgan Stanley Smith Barney | RBC Wealth Management | Pittsburgh | PA | N/A | N/A | N/A | 2013-02-28 | N/A | N/A | N/A | N/A | N/A | N/A | N/A | InvestmentNews | 2013-04-05-Russell-Sherred-Pamela-Pasterick-Ken-Kuska-Kathleen-Corrales-Mathew-Lawrence | N/A |
| 1 | 04-03-2013 | David Strulowitz | N/A | N/A | N/A | N/A | $50 | N/A | Forum Financial Management LLC | Cetera | Skokie | IL | N/A | N/A | N/A | 2013-04-04 | N/A | N/A | N/A | Jayson Hron | N/A | jayson.hron@cetera.com | N/A | User-submitted | 2013-04-04-David-Strulowitz | N/A |
| 1 | 04-03-2013 | Edward Rosenberg, Robert Rosenberg | N/A | N/A | N/A | N/A | $50 | N/A | Waddell and Reed | Summit Brokerage Services | Sarasota | FL | N/A | N/A | N/A | 2013-03-25 | N/A | N/A | N/A | Mindy Clapp | N/A | mclapp@summitbrokerage.com | N/A | User-submitted | 2013-04-04- | Edward-Rosenberg-Robert-Rosenberg |
| 1 | 04-03-2013 | Jerome Repovz | N/A | N/A | N/A | N/A | $55 | N/A | Securities America | Summit Brokerage Services | Brighton | MI | N/A | N/A | N/A | 2012-12-10 | N/A | N/A | N/A | Mindy Clapp | N/A | mclapp@summitbrokerage.com | N/A | User-submitted | 2013-04-04-Jerome-Repovz | N/A |
| 1 | 04-02-2013 | John Russo, Jerry West, Robert Schlueter, James Maher | Archford Capital Strategies | N/A | N/A | N/A | $420 | N/A | Bank of America Merrill Lynch | Dynasty Financial Partners | St. Louis | MO | N/A | N/A | N/A | 2013-03-28 | N/A | N/A | N/A | N/A | N/A | N/A | N/A | InvestmentNews | 2013-04-02-Archford-Capital-Strategies | N/A |
| 1 | 04-02-2013 | David Gordon, Kirsten Gordon | Gordon Financial Group | N/A | N/A | N/A | $300 | N/A | Wells Fargo Advisors | Morgan Stanley Smith Barney | Riverwoods | IL | N/A | N/A | N/A | 2013-03-28 | N/A | N/A | N/A | N/A | N/A | N/A | N/A | InvestmentNews | 2013-04-02-Gordon-Financial-Group | N/A |
| 1 | 04-02-2013 | Mark Pentella, Jessica Palmer | N/A | N/A | N/A | N/A | $125 | N/A | Bank of America Merrill Lynch | Morgan Stanley Smith Barney | Akron | OH | N/A | N/A | N/A | 2013-03-22 | N/A | N/A | N/A | N/A | N/A | N/A | N/A | InvestmentNews | 2013-04-02-Mark-Pentella | N/A |
| 1 | 04-02-2013 | Stephen Shipley, Jay Rubottom | N/A | N/A | N/A | N/A | $121 | N/A | Morgan Stanley Smith Barney | Prospera Financial Services | Irving | TX | N/A | N/A | N/A | 2013-03-28 | N/A | N/A | N/A | Grecha Stephens | 972.581.3032 | grecha.stephens@prosperafinancial.com | N/A | User-submitted | 2013-04-02-Stephen-Shipley-Jay-Rubottom | N/A |
| 1 | 03-28-2013 | Roger W Harrington | N/A | N/A | N/A | N/A | $65 | N/A | Morgan Stanley Smith Barney | Williams Financial Group | Dallas | TX | N/A | N/A | N/A | 2013-03-22 | N/A | N/A | N/A | N/A | N/A | N/A | N/A | InvestmentNews | 2013-03-28-Roger-Harrington | N/A |
| 1 | 03-15-2013 | Cynthia M. Boyle, D. Jordan Josey, John N. Boyle | N/A | N/A | N/A | N/A | $125 | N/A | Raymond James | Wells Fargo Advisors | Landrum | SC | N/A | N/A | N/A | 2013-02-15 | N/A | N/A | N/A | Erica Vanross | N/A | erica.vanross@wellsfargoadvisors.com | N/A | User-submitted | 2013-03-15-Cynthia-Boyle-Jordan-Josey-John-Boyle | N/A |
| 1 | 03-15-2013 | Sid Martin, Steve Clark, Wes Kaufman | N/A | N/A | N/A | N/A | $689 | N/A | Bank of America Merrill Lynch | Wells Fargo Advisors | Richmond | VA | N/A | N/A | N/A | 2013-02-22 | N/A | N/A | N/A | Erica Vanross | N/A | erica.vanross@wellsfargoadvisors.com | N/A | User-submitted | 2013-03-15-Sid-Martin-Steve-Clark-Wes-Kaufman | N/A |
| 1 | 03-15-2013 | Evan Meltzer. Edward Hill, Philip Meltzer | N/A | N/A | N/A | N/A | $400 | N/A | Morgan Stanley Smith Barney | Wells Fargo Advisors | Kingston | NY | N/A | N/A | N/A | 2013-03-05 | N/A | N/A | N/A | Erica Vanross | N/A | erica.vanross@wellsfargoadvisors.com | N/A | User-submitted | 2013-03-15-Evan-Meltzer-Edward-Hill-Philip-Meltzer | N/A |
| 1 | 03-15-2013 | Eric Whipple, Stephen Cooper | Cooper Group | N/A | N/A | N/A | $195 | N/A | Morgan Stanley Smith Barney | Wells Fargo Advisors | Troy | MI | N/A | N/A | N/A | 2013-03-08 | N/A | N/A | N/A | Erica Vanross | N/A | erica.vanross@wellsfargoadvisors.com | N/A | User-submitted | 2013-03-15-Eric-Whipple-Stephen-Cooper | N/A |
| 1 | 03-15-2013 | Richard Powell | N/A | N/A | N/A | N/A | $176 | N/A | Morgan Stanley Smith Barney | Wells Fargo Advisors | Troy | MI | N/A | N/A | N/A | 2013-02-15 | N/A | N/A | N/A | Erica Vanross | N/A | erica.vanross@wellsfargoadvisors.com | N/A | User-submitted | 2013-03-15-Richard-Powell | N/A |
| 1 | 03-15-2013 | Geoffrey Silver, Sybil Fields, Adena Smith | Fields, Silver, Smith Group | N/A | N/A | N/A | $950 | N/A | Morgan Stanley Smith Barney | Wells Fargo Advisors | Beverly Hills | CA | N/A | N/A | N/A | 2013-02-15 | N/A | N/A | N/A | Erica Vanross | N/A | erica.vanross@wellsfargoadvisors.com | N/A | User-submitted | 2013-03-15-Geoffrey-Silver-Sybil-Fields-Adena-Smith | N/A |
| 1 | 03-15-2013 | Lisa Kern | N/A | N/A | N/A | N/A | $105 | N/A | Davenport | Wells Fargo Advisors | Richmond | VA | N/A | N/A | N/A | 2013-02-11 | N/A | N/A | N/A | Erica Vanross | N/A | erica.vanross@wellsfargoadvisors.com | N/A | User-submitted | 2013-03-15-lisa-Kern | N/A |
| 1 | 03-15-2013 | John DeLuca, John Fabris | The Alliance Group | N/A | N/A | N/A | $245 | N/A | Morgan Stanley Smith Barney | Wells Fargo Advisors | Garden City | NY | N/A | N/A | N/A | 2013-01-25 | N/A | N/A | N/A | Erica Vanross | N/A | erica.vanross@wellsfargoadvisors.com | N/A | User-submitted | 2013-03-15-John-DeLuca-John-Fabris | N/A |
| 1 | 03-15-2013 | Lisa Turner, Micheal Murrow | N/A | N/A | N/A | N/A | $108 | N/A | Morgan Stanley Smith Barney | Wells Fargo Advisors | Salem | OR | N/A | N/A | N/A | 2013-01-18 | N/A | N/A | N/A | Erica Vanross | N/A | erica.vanross@wellsfargoadvisors.com | N/A | User-submitted | 2013-03-15-Lisa-Turner-Michael-Morrow | N/A |
| 1 | 03-15-2013 | Lawrence Schwartz | N/A | N/A | N/A | N/A | $106 | N/A | Morgan Stanley Smith Barney | Wells Fargo Advisors | Albuquerque | NM | N/A | N/A | N/A | 2013-02-08 | N/A | N/A | N/A | Erica Vanross | N/A | erica.vanross@wellsfargoadvisors.com | N/A | User-submitted | 2013-03-15-Lawrence-Schwartz | N/A |
| 1 | 03-15-2013 | Paul Martin, Alfred Pasaoa, Michael Rowland | The Martin Group | N/A | N/A | N/A | $267 | N/A | Bank of America Merrill Lynch | Wells Fargo Advisors | Pleasonton | CA | N/A | N/A | N/A | 2013-01-11 | N/A | N/A | N/A | Erica Vanross | N/A | erica.vanross@wellsfargoadvisors.com | N/A | User-submitted | 2013-03-15-Paul-Martin-Alfred-Pasaoa-Michael-Rowland | N/A |