| 1 | 04-30-2013 | Jay L. Geaslen | N/A | N/A | N/A | N/A | $194 | N/A | Bank of America Merrill Lynch | Ameriprise Financial | Alpharetta | GA | N/A | N/A | N/A | 2013-04-08 | N/A | N/A | N/A | Chris L. Reese | 612-678-5410 | chris.l.reese@ampf.com | N/A | User-submitted | 2013-04-30-Jay-L-Geaslen | N/A |
| 1 | 04-25-2013 | Teresa M. Brokaw, Donald G. O'Neal, Trent J. O'Neal | O'Neal & Brokaw Private Retirement Group | N/A | N/A | N/A | $193 | N/A | Bank of America Merrill Lynch | Wells Fargo Advisors | Lynnwood | WA | N/A | N/A | N/A | 2013-04-12 | N/A | N/A | N/A | Erica Vanross | 314-875-4044 | erica.vanross@wellsfargoadvisors.com | N/A | User-submitted | 2013-04-25-ONeal-Brokaw-Private-Retirement-Group | N/A |
| 1 | 04-25-2013 | James P. Butler, James L. Butler, Neil Butler | Butler Wealth Management | N/A | N/A | N/A | $356 | N/A | Bank of America Merrill Lynch | Wells Fargo Advisors | Mercer Island | WA | N/A | N/A | N/A | 2013-03-28 | N/A | N/A | N/A | Erica Vanross | 314-875-4044 | erica.vanross@wellsfargoadvisors.com | N/A | User-submitted | 2013-04-25-Butler-Wealth-Management | N/A |
| 1 | 04-25-2013 | Thomas J. McCann Jr. | N/A | N/A | N/A | N/A | $200 | N/A | Bank of America Merrill Lynch | Morgan Stanley Smith Barney | La Jolla | CA | N/A | N/A | N/A | 2013-04-19 | N/A | N/A | N/A | Christine Jockle | 914 225 6827 | Christine.Jockle@morganstanley.com | N/A | User-submitted | 2013-04-25-Thomas-J-McCann-Jr | N/A |
| 1 | 04-22-2013 | Greg Bauer | N/A | N/A | N/A | N/A | $75 | N/A | Bank of America Merrill Lynch | Wells Fargo Advisors | West Nyack | NY | N/A | N/A | N/A | 2013-04-19 | N/A | N/A | N/A | Peter Pappas | (516)-308-4817 | Peter@victoriakris.com | N/A | User-submitted | 2013-04-23-Greg-Bauer | N/A |
| 1 | 04-08-2013 | Robert Locco, 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 | User-submitted | 2013-04-16-Robert-Locco-Francis-Ciocari | 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 | 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 | 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 | 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 | 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 | 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 |
| 1 | 03-15-2013 | Tom Wozniak, Doug Freeman | The WS Group | N/A | N/A | N/A | $211 | N/A | Bank of America Merrill Lynch | Wells Fargo Advisors | Missoula | MT | N/A | N/A | N/A | 2013-01-03 | N/A | N/A | N/A | Erica Vanross | N/A | erica.vanross@wellsfargoadvisors.com | N/A | User-submitted | 2013-03-15-Tom-Wozniak-Doug-Freeman | N/A |
| 1 | 05-01-2012 | Terry Tolbert | N/A | N/A | N/A | N/A | $121 | N/A | Bank of America Merrill Lynch | Allen & Co. of Florida | Viera | FL | N/A | N/A | N/A | 2012-05-01 | Scott McHugh | http://www.prlog.org/10872138-summit-brokerage-services-welcomes-new-advisors.html | N/A | Keith Albritton | N/A | keith@alleninvestments.com | N/A | User-submitted | 20120501-Terry-Tolbert | N/A |
| 1 | 11-28-2012 | Levent Bayrasli, Russell Smith | N/A | N/A | N/A | N/A | $95 | N/A | Bank of America Merrill Lynch | Ameriprise Financial | Branchburg | NJ | N/A | N/A | N/A | 2012-11-16 | N/A | N/A | N/A | N/A | N/A | N/A | N/A | InvestmentNews | 20121128-Levent-Bayrasli- Russell-Smith | N/A |
| 1 | 03-22-2012 | David Lowe | N/A | N/A | N/A | N/A | $88 | N/A | Bank of America Merrill Lynch | Ameriprise Financial | Miamisburg | OH | N/A | N/A | N/A | 2012-03-09 | N/A | N/A | N/A | Chris Reese | N/A | Chris.L.Reese@ampf.com | N/A | User-submitted | 20120322-David-Lowe | 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 | 06-30-2010 | Purinton Rains | N/A | N/A | N/A | N/A | $78 | N/A | Bank of America Merrill Lynch | Cetera Financial Group | N/A | N/A | N/A | N/A | N/A | 2010-06-30 | OSJ | http://www.investacorp.com | N/A | Paul Ewing | N/A | paul@prosperityworks.com | N/A | User-submitted | 20100630-Purinton-Rains | N/A |
| 1 | 09-17-2012 | Kevin Stophel, Matthew McCoy | N/A | N/A | N/A | N/A | $90 | N/A | 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 | N/A | 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 | 09-30-2011 | Carl Choy, Lynne Kinney, Ronald Wo | N/A | N/A | N/A | N/A | $900 | N/A | Bank of America Merrill Lynch | Financial Advisers of America | Honolulu | HI | N/A | N/A | N/A | 2011-09-30 | N/A | N/A | N/A | N/A | N/A | N/A | N/A | InvestmentNews | 20110930-Carl-Choy-Lynne-Kinney-Ronald-Wo | N/A |
| 1 | 02-08-2012 | John Beirne Jr., John-Oliver Beirne, Jim Betzig, Eric Passeri | N/A | N/A | N/A | N/A | $2,000 | N/A | Bank of America Merrill Lynch | Focus Financial Partners | Milford | CT | N/A | N/A | N/A | 2012-02-08 | N/A | http://www.investmentnews.com/article/20120207/FREE/120209940 | N/A | N/A | N/A | N/A | N/A | InvestmentNews | 20120208-John-Beirne-Jr-John-Oliver-Beirne-Jim-Betzig-Eric-Passeri | N/A |
| 1 | 02-19-2013 | Gregory C. Sarian, Francis X. Masse II | The Sarian Group | N/A | N/A | N/A | $650 | N/A | Bank of America Merrill Lynch | Hightower Advisors | Chicago | IL | N/A | N/A | N/A | 2013-02-15 | N/A | N/A | N/A | Melinda Brodbeck | 973-850-7348 | msnyder@jcprinc.com | N/A | InvestmentNews | 2013-02-19-Gregory-Sarian-Francis-Masse | N/A |
| 1 | 09-04-2012 | Hugh Anderson, Sheila Delutri | Anderson & Delutri | N/A | N/A | N/A | $450 | N/A | Bank of America Merrill Lynch | Hightower Advisors | Las Vegas | NV | N/A | N/A | N/A | 2012-08-31 | N/A | N/A | N/A | Nicole Abbott | 973-850-7315 | nabbott@jcprinc.com | N/A | User-submitted | 20120904-Anderson-and-Delutri | N/A |
| 1 | 09-04-2012 | Mike PeQueen, Ned Evans, Adam Thurgood | MNA Group | N/A | N/A | N/A | $340 | N/A | Bank of America Merrill Lynch | Hightower Advisors | Las Vegas | NV | N/A | N/A | N/A | 2012-08-31 | N/A | N/A | N/A | Nicole Abbott | 973-850-7315 | nabbott@jcprinc.com | N/A | User-submitted | 20120904-MNA-Group | N/A |