| 1 | 03-22-2012 | Michele Colarusso | N/A | N/A | N/A | N/A | $65 | N/A | LPL Financial | Ameriprise Financial | Hopkinton | MA | N/A | N/A | N/A | 2012-03-16 | N/A | http://online.wsj.com/article/BT-CO-20100126-713497.html | N/A | Chris Reese | N/A | Chris.L.Reese@ampf.com | N/A | User-submitted | 20120322-Michele-Colarusso | N/A |
| 1 | 03-22-2012 | Dan Dijak | N/A | N/A | N/A | N/A | $81 | N/A | Raymond James | Ameriprise Financial | Saginaw | MI | N/A | N/A | N/A | 2012-02-02 | N/A | http://www.investmentnews.com/article/20100504/FREE/100509962/-1/INDaily01 | N/A | Chris Reese | N/A | chris.l.reese@ampf.com | N/A | User-submitted | 20120322-Dan-Dijak | N/A |
| 1 | 03-22-2012 | Mark Brellis | N/A | N/A | N/A | N/A | $81 | N/A | Morgan Stanley Smith Barney | Ameriprise Financial | Melville | NY | N/A | N/A | N/A | 2012-03-16 | N/A | http://www.marketwire.com/press-release/New-Atlanta-Branch-Makes-Ten-for-Brokerage-Benjamin-F-Edwards-Co-1288310.htm | N/A | Chris Reese | N/A | chris.l.reese@ampf.com | N/A | User-submitted | 20120322-Mark-Brellis | N/A |
| 1 | 03-22-2012 | Robert Holland, Denise Holland | N/A | N/A | N/A | N/A | $96 | N/A | Summit Brokerage Services | Ameriprise Financial | Grants Pass | OR | N/A | N/A | N/A | 2012-02-03 | N/A | http://online.wsj.com/article/BT-CO-20100804-712668.html | N/A | Chris Reese | N/A | Chris.L.Reese@ampf.com | N/A | User-submitted | 20120322-Robert-Holland-Denise-Holland | N/A |
| 1 | 03-22-2012 | Ed Hanks | N/A | N/A | N/A | N/A | $134 | N/A | Wells Fargo Advisors | Ameriprise Financial | Galax | VA | N/A | N/A | N/A | 2012-01-20 | N/A | http://online.wsj.com/article/BT-CO-20100514-712207.html?mod=WSJ_World_MIDDLEHeadlinesEurope | N/A | Chris Reese | N/A | Chris.L.Reese@ampf.com | N/A | User-submitted | 20120322-Ed-Hanks | N/A |
| 1 | 03-16-2012 | Doug Viellette, Dan Danoto | N/A | N/A | N/A | N/A | $211 | N/A | Morgan Stanley Smith Barney | Ameriprise Financial | Hartford | CT | N/A | N/A | N/A | 2012-03-16 | N/A | http://www.investmentnews.com/article/20100903/FREE/100909966 | N/A | N/A | N/A | N/A | N/A | InvestmentNews | 20120316-Doug-Viellette-Dan-Danoto | N/A |
| 1 | 02-17-2012 | Aaron Wolson | N/A | N/A | N/A | N/A | $52 | N/A | Wells Fargo Advisors | Ameriprise Financial | Menlo Park | CA | N/A | N/A | N/A | 2012-02-17 | N/A | N/A | N/A | Chris Reese | N/A | chris.l.reese@ampf.com | N/A | User-submitted | 20120217-Aaron-Wolson | N/A |
| 1 | 02-17-2012 | Joseph O'Keefe | N/A | N/A | N/A | N/A | $64 | N/A | Morgan Stanley Smith Barney | Ameriprise Financial | N/A | N/A | N/A | N/A | N/A | 2012-02-17 | N/A | http://www.investmentnews.com/article/20100124/REG/301249974 | N/A | N/A | N/A | N/A | N/A | InvestmentNews | 20120217-Joseph-O'Keefe | N/A |
| 1 | 02-13-2012 | Brian McCarren | N/A | N/A | N/A | N/A | $114 | N/A | Janney Montgomery Scott | Ameriprise Financial | Boston | MA | N/A | N/A | N/A | 2012-02-13 | N/A | http://www.aegiscap.com | N/A | N/A | N/A | N/A | N/A | InvestmentNews | 20120213-Brian-McCarren | N/A |
| 1 | 02-03-2012 | Dong Choi | N/A | N/A | N/A | N/A | $55 | N/A | Morgan Stanley Smith Barney | Ameriprise Financial | Portland | OR | N/A | N/A | N/A | 2012-02-03 | N/A | N/A | N/A | N/A | N/A | N/A | N/A | InvestmentNews | 20120203-Dong-Choi | N/A |
| 1 | 01-13-2012 | David Boersig | N/A | N/A | N/A | N/A | N/A | N/A | UBS Financial Services | Ameriprise Financial | New York | NY | N/A | N/A | N/A | 2012-01-13 | 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 | 20120113-David-Boersig | N/A |
| 1 | 11-17-2011 | Craig Russ, Robert Furciato | N/A | N/A | N/A | N/A | $83 | N/A | Bank of America Merrill Lynch | Ameriprise Financial | Florham Park | NJ | N/A | N/A | N/A | 2011-11-14 | N/A | N/A | N/A | N/A | N/A | N/A | N/A | InvestmentNews | 20111117-Craig-Russ-Robert-Furciato | N/A |
| 1 | 11-09-2011 | Allan Raub | N/A | N/A | N/A | N/A | $105 | N/A | VSR Financial Services | Ameriprise Financial | Fort Worth | TX | N/A | N/A | N/A | 2011-11-09 | N/A | N/A | N/A | N/A | N/A | N/A | N/A | InvestmentNews | 20111109-Allan-Raub | N/A |
| 1 | 10-20-2011 | Bruce McGaugh | N/A | N/A | N/A | N/A | $100 | N/A | RBC Wealth Management | Ameriprise Financial | Houston | TX | N/A | N/A | N/A | 2011-10-20 | BrokerCheck | http://brokercheck.finra.org/Individual/IndividualSummary.aspx?SearchGroup=Individual&FirmKey=-1&BrokerKey=1268028&IndvlBCCtgry=1&IndvlIACtgry=1 | N/A | N/A | N/A | N/A | N/A | InvestmentNews | 20111020-Bruce-McGaugh | N/A |
| 1 | 10-13-2011 | Sheila Spicehandler | N/A | N/A | N/A | N/A | $200 | N/A | Morgan Stanley Smith Barney | Ameriprise Financial | Rye Brook | NY | N/A | N/A | N/A | 2011-10-03 | N/A | http://www.ameripriseadvisors.com/geri.e.pell/ | N/A | April K. Langus | N/A | april.k.langus@ampf.com | N/A | User-submitted | 20111013-Sheila-Spicehandler | N/A |
| 1 | 11-01-2010 | Greg Vandergrift | N/A | N/A | N/A | N/A | $70 | N/A | LPL Financial | Ameriprise Financial | Orlando | FL | N/A | N/A | N/A | 2010-11-01 | N/A | http://www.reuters.com/article/idUSN0626795620100506 | N/A | N/A | N/A | N/A | N/A | InvestmentNews | 20101101-Greg-Vandergrift | N/A |
| 1 | 10-18-2010 | Angelo Ferlisi, Randy Laird, Bill Morris, Pearson Matthews | N/A | N/A | N/A | N/A | $134 | N/A | Morgan Stanley Smith Barney | Ameriprise Financial | Birmingham | AL | N/A | N/A | N/A | 2010-10-15 | N/A | N/A | N/A | N/A | N/A | N/A | N/A | InvestmentNews | 20101018-Angelo-Ferlisi-Randy-Laird-Bill-Morris-Pearson-Matthews | N/A |
| 1 | 10-03-2011 | Nilos T. Sakellariou | N/A | N/A | N/A | N/A | $100 | $750 | Glen Eagle Advisors | Arete Wealth Management | Annapolis | MD | N/A | N/A | N/A | 2011-10-03 | self | N/A | N/A | Nilos T. Sakellariou | N/A | nsakellariou@NTSBearing.com | N/A | User-submitted | 20111003-Nilos-T-Sakellariou | N/A |
| 1 | 10-14-2011 | Gary Pattengale | N/A | N/A | N/A | N/A | $181 | N/A | Leavitt Capital Management | Balasa Dinverno Foltz | Itasca | IL | N/A | N/A | N/A | 2011-08-01 | Balasa Dinverno Foltz LLC | http://www.bdfllc.com | N/A | Alycia Dinverno | N/A | alyciadinverno@bdfllc.com | N/A | User-submitted | 20111014-Gary-Pattengale | N/A |
| 1 | 03-14-2013 | Brian Moore | N/A | N/A | N/A | N/A | $113 | N/A | Morgan Stanley Smith Barney | Bank of America Merrill Lynch | Red Bank | NJ | N/A | N/A | N/A | 2013-02-27 | N/A | N/A | N/A | Lauren Sambrotto | N/A | l.sambrotto@bankofamerica.com | N/A | User-submitted | 2013-03-14-Brian-Moore | N/A |
| 1 | 03-14-2013 | Mark Johnson | N/A | N/A | N/A | N/A | $192 | N/A | Morgan Stanley Smith Barney | Bank of America Merrill Lynch | Bloomington | MN | N/A | N/A | N/A | 2013-02-27 | N/A | N/A | N/A | Lauren Sambrotto | N/A | l.sambrotto@bankofamerica.com | N/A | User-submitted | 2013-03-14-Mark-Johnson | N/A |
| 1 | 02-26-2013 | David Frank, John Judkins | N/A | N/A | N/A | N/A | $168 | N/A | Morgan Stanley Smith Barney | Bank of America Merrill Lynch | Hunt ValleyMA | N/A | N/A | N/A | N/A | 2013-02-01 | N/A | N/A | N/A | Susan Atran | N/A | susan.atran@bankofamerica.com | N/A | User-submitted | 2013-02-26-David-Frank-John-Judkin | N/A |
| 1 | 02-26-2013 | Edward Glenn, Pamela Staples | N/A | N/A | N/A | N/A | $300 | N/A | RBC Wealth Management | Bank of America Merrill Lynch | Austin | TX | N/A | N/A | N/A | 2013-02-15 | N/A | N/A | N/A | Susan Atran | N/A | susan.atran@bankofamerica.com | N/A | User-submitted | 2013-02-26-Edward-Glenn-Pamela-Staples | N/A |
| 1 | 02-26-2013 | Mickey Littmann | N/A | N/A | N/A | N/A | $151 | N/A | Morgan Stanley Smith Barney | Bank of America Merrill Lynch | New York | NY | N/A | N/A | N/A | 2013-02-12 | N/A | N/A | N/A | Susan Atran | N/A | susan.atran@bankofamerica.com | N/A | User-submitted | 2013-02-26-Micket-Littmann | N/A |
| 1 | 02-14-2013 | Quoc (Jon) Pham | N/A | N/A | N/A | N/A | $82 | N/A | Morgan Stanley Smith Barney | Bank of America Merrill Lynch | San Jose | CA | N/A | N/A | N/A | 2013-01-18 | N/A | N/A | N/A | Susan Atran | N/A | susan.atran@bankofamerica.com | N/A | User-submitted | 2013-02-13-Quoc-Jon-Pham | N/A |