| 1 | 06-07-2013 | The Bishoff Financial Group | N/A | N/A | N/A | N/A | $130 | $0 | LPL Financial | Prospera Financial Services | Worthington | OH | N/A | N/A | N/A | 2013-06-03 | N/A | N/A | N/A | Grecha Stephens | 972-581-3032 | grecha.stephens@prosperafinancial.com | N/A | User-submitted | 2013-06-07-Bishoff-Financial-Group | N/A |
| 1 | 05-14-2013 | Tricia Gunter | N/A | N/A | N/A | N/A | $51 | $0 | LPL Financial | Waddell and Reed | Albuquerque | NM | N/A | N/A | N/A | 2013-04-12 | N/A | N/A | N/A | Roger Hoadley | 913-236-1993 | N/A | N/A | InvestmentNews | 2013-05-15-Tricia-Gunter | N/A |
| 1 | 04-29-2013 | Norman G. Howarth | N/A | N/A | N/A | N/A | $195 | $0 | LPL Financial | Ameriprise Financial | Charlestown | MA | N/A | N/A | N/A | 2013-04-25 | N/A | N/A | N/A | Chris L. Reese | 612-678-5410 | chris.l.reese@ampf.com | N/A | User-submitted | 2013-04-29-Norman-G-Howarth | N/A |
| 1 | 08-23-2012 | John Cartolano | N/A | N/A | N/A | N/A | $200 | $0 | LPL Financial | Ameriprise Financial | Scottsdale | AZ | N/A | N/A | N/A | 2012-08-17 | N/A | N/A | N/A | Chris L. Reese | 612.678.5410 | chris.l.reese@ampf.com | N/A | User-submitted | 20120823-John-Cartolano | N/A |
| 1 | 08-21-2012 | James Marchesi and Associates | N/A | N/A | N/A | N/A | $115 | $0 | LPL Financial | Ameriprise Financial | Chester | NJ | N/A | N/A | N/A | 2012-08-17 | N/A | N/A | N/A | Chris L. Reese | 612.678.5410 | chris.l.reese@ampf.com | N/A | User-submitted | 20120821-James-Marchesi-and-Associates | N/A |
| 1 | 03-22-2012 | Keith Somers | N/A | N/A | N/A | N/A | $51 | $0 | LPL Financial | Ameriprise Financial | Stratford | CT | N/A | N/A | N/A | 2012-01-13 | N/A | N/A | N/A | Chris Reese | N/A | chris.l.reese@ampf.com | N/A | User-submitted | 20120322-Keith-Somers | N/A |
| 1 | 03-22-2012 | Michele Colarusso | N/A | N/A | N/A | N/A | $65 | $0 | 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 | 11-01-2010 | Greg Vandergrift | N/A | N/A | N/A | N/A | $70 | $0 | 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 | 01-28-2013 | Lou Ingargiola, Sean McAndrew | Ingargiola Wealth Management Group | N/A | N/A | N/A | $70 | $0 | LPL Financial | Commonwealth Financial Network | Dunmore | PA | N/A | N/A | N/A | 2012-11-15 | N/A | N/A | N/A | Jacquelyn Marchard | 781-902-9584 | jmarchand@commonwealth.com | N/A | User-submitted | 2013-01-28-Ingargiola-McAndrew | N/A |
| 1 | 01-28-2013 | Robert Ellis, Joseph Ellis, Joshua Britt, Aaron Mabon, Summer Parmer | Ellis & Ellis Investment Management | N/A | N/A | N/A | $150 | $0 | LPL Financial | Commonwealth Financial Network | LaGrange | GA | N/A | N/A | N/A | 2012-11-15 | N/A | N/A | N/A | Jacquelyn Marchard | 781-902-9584 | jmarchand@commonwealth.com | N/A | User-submitted | 2013-01-28-Ellis-Britt-Mabon-Parmer | N/A |
| 1 | 07-30-2012 | Bryan Chew, Michael Takayama, Anita Fong-Chao, Eugene Hsu, Daryl Wong | Paragon Financial Services | N/A | N/A | N/A | $100 | $0 | LPL Financial | Commonwealth Financial Network | Sacramento | CA | N/A | N/A | N/A | 2012-07-24 | Commonwealth Adds More Than $100 Million in New Advisor Assets | http://www.commonwealth.com/company/news/062711-commonwealth_adds_more_than_400_million_dollars_in_new_advisor_assets.asp | N/A | Emily Guadagnoli | 7817367980 ext. 9639 | eguadagnoli@commonwealth.com | N/A | User-submitted | 20120730-Bryan-Chew-Michael-Takayama-Anita-Fong-Chao-Eugene-Hsu-Daryl-Wong | N/A |
| 1 | 11-07-2012 | Waldron Group | N/A | N/A | N/A | N/A | $1,200 | $0 | LPL Financial | Fidelity | Bridgeville | PA | N/A | N/A | N/A | 2012-11-06 | N/A | N/A | N/A | RIAbiz dotcom | 858-450-9606 | info@www.riabiz.com | N/A | User-submitted | 20121107-Waldron-Group | N/A |
| 1 | 03-01-2012 | John Marshall, Lynn Goldney, Dan Sickles, Sean Goldney | N/A | N/A | N/A | N/A | $150 | $0 | LPL Financial | Financial Network Investment | Lake Havasu City | AZ | N/A | N/A | Don Larkin | 2012-03-01 | N/A | http://www.reuters.com/article/2012/03/08/ubsfinancial-idUSL2E8E5ACC20120308 | N/A | N/A | N/A | N/A | N/A | InvestmentNews | 20120301-John-Marshall-Lynn-Goldney-Dan-Sickles-Sean-Goldney | N/A |
| 1 | 09-14-2012 | Eric Burton, Ronald Whittingham | N/A | N/A | N/A | N/A | $250 | $4 | LPL Financial | FSC Securities | Tinley Park | IL | N/A | N/A | N/A | 2012-09-14 | N/A | N/A | N/A | Linda Malamut | 3107726533 | lmalamut@safg.com | N/A | User-submitted | 20120914-Eric-Burton-Ronald-Whittingham | N/A |
| 1 | 06-02-2011 | Patrick Barrett | N/A | N/A | N/A | N/A | $57 | $0 | LPL Financial | Fusion Advisor Network | Anacortes | WA | N/A | N/A | N/A | 2011-06-02 | N/A | http://fusionadvisornetwork.com/ | N/A | N/A | N/A | N/A | N/A | InvestmentNews | 20110602-Patrick-Barrett | N/A |
| 1 | 12-12-2011 | Scott Woodring | N/A | N/A | N/A | N/A | $60 | $0 | LPL Financial | Girard Securities | Torrance | CA | N/A | N/A | N/A | 2011-12-12 | N/A | N/A | N/A | N/A | N/A | N/A | N/A | InvestmentNews | 20111212-Scott-Woodring | N/A |
| 1 | 11-16-2010 | Marc Barton | N/A | N/A | N/A | N/A | $25 | $0 | LPL Financial | Investors Capital | Fresno | CA | N/A | N/A | N/A | 2010-11-16 | N/A | N/A | N/A | N/A | N/A | N/A | N/A | InvestmentNews | 20101116-Marc-Barton | N/A |
| 1 | 11-23-2009 | James Crosson | N/A | N/A | N/A | N/A | $115 | $0 | LPL Financial | Investors Capital | N/A | N/A | N/A | N/A | N/A | 2009-11-23 | BusinessWire | http://www.businesswire.com/portal/site/home/permalink/?ndmViewId=news_view&newsId=20091123006054&newsLang=en | N/A | James Crosson | N/A | james.crosson@investorscapital.com | N/A | User-submitted | 20091123-James-Crosson | N/A |
| 1 | 08-31-2011 | Peter Sagorski | N/A | N/A | N/A | N/A | $60 | $0 | LPL Financial | J.W. Cole Financial | Baltimore | MD | N/A | N/A | N/A | 2011-08-30 | J.W. Cole Financial | http://www.reuters.com/article/idUSN1917036320101119 | N/A | Mike Driskell | N/A | mike.driskell@jw-cole.com | N/A | User-submitted | 20110831-Peter-Sagorski | N/A |
| 1 | 08-20-2012 | Mark Ralston | N/A | N/A | N/A | N/A | $143 | $2 | LPL Financial | Morgan Stanley Smith Barney | Wichita | KS | N/A | N/A | John Dunlop | 2012-07-27 | N/A | N/A | N/A | Christine Jockle | 914 225-6827 | Christine.Jockle@morganstanley.com | N/A | User-submitted | 20120820-Mark-Ralston | N/A |
| 1 | 11-22-2011 | Philip Noble | N/A | N/A | N/A | N/A | $116 | $0 | LPL Financial | Morgan Stanley Smith Barney | Toledo | OH | N/A | N/A | N/A | 2011-11-22 | N/A | http://online.wsj.com/article/BT-CO-20100618-708205.html?mod=WSJ_latestheadlines | N/A | N/A | N/A | N/A | N/A | InvestmentNews | 20111122-Philip-Noble | N/A |
| 1 | 12-04-2012 | Nathan Running | N/A | N/A | N/A | N/A | $88 | $0 | LPL Financial | Multi-Financial Securities | Minnetonka | MN | N/A | N/A | N/A | 2012-08-10 | N/A | N/A | N/A | Jayson Hron | 320.529.4506 | jayson.hron@cetera.com | N/A | User-submitted | 20121204-Nathan-Running | N/A |
| 1 | 07-31-2012 | Robert M. Eastmann, Joshua W. Beverly | N/A | N/A | N/A | N/A | $52 | $0 | LPL Financial | Multi-Financial Securities | Boca Raton | FL | N/A | N/A | N/A | 2012-05-04 | N/A | N/A | N/A | Robert M. Eastmann | (561) 862-0771 | reastman@bellsouth.net | N/A | User-submitted | 20120731-Robert-M-Eastmann-Joshua-W-Beverly | N/A |
| 1 | 01-04-2011 | Robert Bennie | N/A | N/A | N/A | N/A | $89 | $0 | LPL Financial | Prospera Financial Services | N/A | N/A | N/A | N/A | N/A | 2011-01-04 | Propsera Financial Services | http://www.prosperafinancial.com | N/A | Grecha Stephens | N/A | grecha.stephens@prosperafinancial.com | N/A | User-submitted | 20110104-Robert-Bennie | N/A |
| 1 | 12-06-2012 | Tony Fusco, Kevin Fusco, David Matthews, Steven Moore, Donna Childress, Michelle Dumler, Ascenza DiFerdinando | Fusco Financial Associates | N/A | N/A | N/A | $230 | $0 | LPL Financial | Raymond James | Towson | MD | N/A | N/A | N/A | 2012-11-15 | N/A | N/A | N/A | N/A | N/A | N/A | N/A | InvestmentNews | 20121206-Fusco-Financial-Associates | N/A |