| 1 | 11-19-2010 | Darrick Walker, David Liebowitz, Michael Muniz | N/A | N/A | N/A | N/A | $350 | $0 | Morgan Stanley Smith Barney | Bank of America Merrill Lynch | Pleasanton | CA | N/A | N/A | N/A | 2010-11-19 | N/A | http://www.reuters.com/article/idUSN1917036320101119 | N/A | N/A | N/A | N/A | N/A | InvestmentNews | 20101119-Darrick-Walker-David-Liebowitz-Michael-Muniz | N/A |
| 1 | 11-19-2010 | Juan Cabanas | N/A | N/A | N/A | N/A | $192 | $2 | UBS Financial Services | Bank of America Merrill Lynch | San Diego | CA | N/A | N/A | N/A | 2010-11-19 | N/A | http://www.reuters.com/article/idUSN1917036320101119 | N/A | N/A | N/A | N/A | N/A | InvestmentNews | 20101119-Juan-Cabanas | N/A |
| 1 | 11-19-2010 | Michael Appelbaum | N/A | N/A | N/A | N/A | $450 | $2 | UBS Financial Services | Bank of America Merrill Lynch | New York | NY | N/A | N/A | N/A | 2010-11-19 | N/A | http://www.reuters.com/article/idUSN1917036320101119 | N/A | N/A | N/A | N/A | N/A | InvestmentNews | 20101119-Michael-Appelbaum | N/A |
| 1 | 10-15-2010 | Jerome Bookstein, Adam Bornstein | N/A | N/A | N/A | N/A | $170 | $0 | UBS Financial Services | Bank of America Merrill Lynch | Bloomfield Hills | MI | N/A | N/A | N/A | 2010-10-15 | N/A | http://uk.reuters.com/article/idUKN1326092920101013 | N/A | N/A | N/A | N/A | N/A | InvestmentNews | 20101015-Jerome-Bookstein-Adam-Bornstein | N/A |
| 1 | 10-01-2010 | Louis Cappitelli | N/A | N/A | N/A | N/A | $110 | $1 | Morgan Stanley Smith Barney | Bank of America Merrill Lynch | Juniper | FL | N/A | N/A | N/A | 2010-10-01 | N/A | http://online.wsj.com/article/BT-CO-20101001-706851.html | N/A | N/A | N/A | N/A | N/A | InvestmentNews | 20101001-Louis-Cappitelli | N/A |
| 1 | 10-01-2010 | Christine Heim | N/A | N/A | N/A | N/A | $178 | $1 | Wells Fargo Advisors | Bank of America Merrill Lynch | Morristown | NJ | N/A | N/A | N/A | 2010-10-01 | N/A | http://online.wsj.com/article/BT-CO-20101001-706851.html | N/A | N/A | N/A | N/A | N/A | InvestmentNews | 20101001-Christine-Heim | N/A |
| 1 | 10-01-2010 | Michael Lehman | N/A | N/A | N/A | N/A | $154 | $1 | Wells Fargo Advisors | Bank of America Merrill Lynch | Florham | NJ | N/A | N/A | N/A | 2010-10-01 | N/A | http://online.wsj.com/article/BT-CO-20101001-706851.html | N/A | N/A | N/A | N/A | N/A | InvestmentNews | 20101001-Michael-Lehman | N/A |
| 1 | 05-04-2010 | Rebecca Frazier | N/A | N/A | N/A | N/A | $0 | $1 | Edward Jones | Bank of America Merrill Lynch | N/A | N/A | N/A | N/A | N/A | 2010-05-04 | N/A | http://www.investmentnews.com/article/20100504/FREE/100509962/-1/INDaily01 | N/A | N/A | N/A | N/A | N/A | InvestmentNews | 20100504-Rebecca-Frazier | N/A |
| 1 | 03-22-2010 | Daniel Honan | N/A | N/A | N/A | N/A | $180 | $1 | Morgan Stanley Smith Barney | Bank of America Merrill Lynch | N/A | N/A | N/A | N/A | N/A | 2010-03-22 | Dow Jones | http://online.wsj.com/article/BT-CO-20100322-709931.html?mod=WSJ_latestheadlines | N/A | N/A | N/A | N/A | N/A | InvestmentNews | 20100322-Daniel-Honan | N/A |
| 1 | 05-16-2012 | Darin Laub | N/A | N/A | N/A | N/A | $0 | $0 | Morgan Stanley Smith Barney | Barclays Wealth | New York | NY | N/A | N/A | N/A | 2012-05-16 | N/A | http://online.wsj.com/article/BT-CO-20100126-713497.html | N/A | N/A | N/A | N/A | N/A | InvestmentNews | 20120516-Darin-Laub | N/A |
| 1 | 05-16-2012 | Gannon McCaffery | N/A | N/A | N/A | N/A | $0 | $0 | Deutsche Bank | Barclays Wealth | New York | NY | N/A | N/A | N/A | 2012-05-16 | N/A | N/A | N/A | N/A | N/A | N/A | N/A | InvestmentNews | 20120516-Gannon-McCaffery | N/A |
| 1 | 05-16-2012 | Mark Leyton | N/A | N/A | N/A | N/A | $0 | $0 | Deutsche Bank | Barclays Wealth | New York | NY | N/A | N/A | N/A | 2012-05-16 | N/A | N/A | N/A | N/A | N/A | N/A | N/A | InvestmentNews | 20120516-Mark-Leyton | N/A |
| 1 | 05-16-2012 | Zach Shillingford | N/A | N/A | N/A | N/A | $0 | $0 | Deutsche Bank | Barclays Wealth | New York | NY | N/A | N/A | N/A | 2012-05-16 | N/A | N/A | N/A | N/A | N/A | N/A | N/A | InvestmentNews | 20120516-Zach-Shillingford | N/A |
| 1 | 04-04-2012 | Matthew Celenza, Larry DiGioia | N/A | N/A | N/A | N/A | $2,700 | $0 | Morgan Stanley Smith Barney | Barclays Wealth | Los Angeles | CA | N/A | N/A | N/A | 2012-04-04 | N/A | http://www.prnewswire.com/news-releases/barclays-hires-investment-representative-team-in-los-angeles-145766915.html | N/A | N/A | N/A | N/A | N/A | InvestmentNews | 20120404-Matthew-Celenza-Larry-DiGioia | N/A |
| 1 | 01-14-2011 | William Clements | N/A | N/A | N/A | N/A | $850 | $0 | Bernstein Global Wealth Management | Barclays Wealth | San Francisco | CA | N/A | N/A | N/A | 2011-01-14 | N/A | N/A | N/A | Dana Lamb | N/A | dlamb@consultantsperiod.com | N/A | User-submitted | 20110114-William-Clements | N/A |
| 1 | 12-13-2010 | James Egan, George Kolodka, Michael Reiser, Ria Hart, Jamie Weeks III, Hunter Hamm, Michael Schwartz | N/A | N/A | N/A | N/A | $2,200 | $17 | Multiple (see profile) | Barclays Wealth | N/A | N/A | N/A | N/A | N/A | 2010-12-13 | N/A | http://online.wsj.com/article/BT-CO-20101206-712190.html | N/A | N/A | N/A | N/A | N/A | InvestmentNews | 20101213-James-Egan-George-Kolodka-Michael-Reiser-Ria-Hart-Jamie-Weeks-III-Hunter-Hamm-Michael-Schwartz | N/A |
| 1 | 06-16-2010 | Don Milich, Clifford Wang | N/A | N/A | N/A | N/A | $750 | $1 | Morgan Stanley Smith Barney | Barclays Wealth | Atlanta | GA | N/A | N/A | N/A | 2010-06-16 | N/A | http://www.investmentnews.com/article/20100617/FREE/100619922 | N/A | N/A | N/A | N/A | N/A | InvestmentNews | 20100616-Don-Milich-Clifford-Wang | N/A |
| 1 | 06-06-2010 | Dana Jacobs, Alan Vorwald | N/A | N/A | N/A | N/A | $1,700 | $0 | HSBC Private Bank | Barclays Wealth | Beverly Hills | CA | N/A | N/A | N/A | 2010-06-05 | N/A | http://www.fundfire.com/c/114240/10944/barclays_wealth_nabs_advisor_pair | N/A | N/A | N/A | N/A | N/A | InvestmentNews | 20100606-Dana-Jacobs-Alan-Vorwald | N/A |
| 1 | 04-21-2010 | Scott Zelnick, Patrick McBrien, Heidi Guldbrandsen | N/A | N/A | N/A | N/A | $5,500 | $15 | Deutsche Bank | Barclays Wealth | N/A | N/A | N/A | N/A | N/A | 2010-04-20 | Reuters | http://www.reuters.com/article/idUSN1921999620100419?type=marketsNews | N/A | N/A | N/A | N/A | N/A | InvestmentNews | 20100421-Scott-Zelnick-Patrick-McBrien-Heidi-Guldbrandsen | N/A |
| 1 | 02-24-2010 | Preston McSwain & Team | N/A | N/A | N/A | N/A | $1,000 | $0 | Neuberger Berman | Barclays Wealth | N/A | N/A | N/A | N/A | N/A | 2010-02-24 | IN | http://www.investmentnews.com/article/20100224/FREE/100229951 | N/A | N/A | N/A | N/A | N/A | InvestmentNews | 20100224-Preston-McSwain-Team | N/A |
| 1 | 01-17-2012 | Charles Blatz | N/A | N/A | N/A | N/A | $0 | $0 | Wells Fargo Advisors | Benjamin F. Edwards & Co. | Red Bank | NJ | N/A | N/A | N/A | 2012-01-17 | N/A | http://www.marketwatch.com/story/benjamin-f-edwards-co-branches-in-red-bank-nj-and-panama-city-fla-each-add-an-advisor-2012-01-17 | N/A | N/A | N/A | N/A | N/A | InvestmentNews | 20120117-Charles-Blatz | N/A |
| 1 | 01-17-2012 | John Harris | N/A | N/A | N/A | N/A | $0 | $0 | Wells Fargo Advisors | Benjamin F. Edwards & Co. | Panama City | FL | N/A | N/A | N/A | 2012-01-17 | N/A | N/A | N/A | N/A | N/A | N/A | N/A | InvestmentNews | 20120117-John-Harris | N/A |
| 1 | 01-16-2012 | Quinten E. (Bret) Spivey, Janet M. Bone, Troy D. Cox, R. Todd Stone, Jeffrey J. Luechtefeld, Brent A. Wilhelm | N/A | N/A | N/A | N/A | $0 | $0 | Wells Fargo Advisors | Benjamin F. Edwards & Co. | O?Fallon | IL | N/A | N/A | N/A | 2012-01-16 | N/A | N/A | N/A | N/A | N/A | N/A | N/A | InvestmentNews | 20120116-Quinten-E-Bret-Spivey-Janet-M-Bone-Troy-D-Cox-R-Todd-Stone-Jeffrey-J-Luechtefeld-Brent-A-Wilhelm | N/A |
| 1 | 11-21-2011 | Chad A. Steinbach | N/A | N/A | N/A | N/A | $0 | $0 | Wells Fargo Advisors | Benjamin F. Edwards & Co. | LaSalle-Peru | IL | N/A | N/A | N/A | 2011-11-21 | N/A | N/A | N/A | N/A | N/A | N/A | N/A | InvestmentNews | 20111121-Chad-A-Steinbach | N/A |
| 1 | 10-28-2011 | Peter Ferrante | N/A | N/A | N/A | N/A | $0 | $0 | Wells Fargo Advisors | Benjamin F. Edwards & Co. | Mentor | OH | N/A | N/A | N/A | 2011-10-28 | N/A | http://www.marketwatch.com/story/benjamin-f-edwards-co-cleveland-area-office-adds-veteran-financial-consultant-2011-10-28 | N/A | N/A | N/A | N/A | N/A | InvestmentNews | 20111028-Peter-Ferrante | N/A |