| 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 | 04-29-2013 | Leasha D. Flammio-Watson | N/A | N/A | N/A | N/A | $90 | N/A | Wells Fargo Advisors | Ameriprise Financial | Melbourne | FL | N/A | N/A | N/A | 2013-03-01 | N/A | N/A | N/A | Chris L. Reese | 612-678-5410 | chris.l.reese@ampf.com | N/A | User-submitted | 2013-04-29-Leasha-D-Flammio-Watson | N/A |
| 1 | 04-29-2013 | John J. Nelson, Jon T. Nelson | N/A | N/A | N/A | N/A | $125 | N/A | Wells Fargo Advisors | Ameriprise Financial | Norwalk | CT | N/A | N/A | N/A | 2013-04-12 | N/A | N/A | N/A | Chris L. Reese | 612-678-5410 | chris.l.reese@ampf.com | N/A | User-submitted | 2013-04-29-John-J-Nelson-Jon-T-Nelson | N/A |
| 1 | 04-29-2013 | Donald A. Jones, Trevor Jones | N/A | N/A | N/A | N/A | N/A | N/A | UBS Financial Services | Ameriprise Financial | Florham Park | NJ | N/A | N/A | N/A | 2013-04-19 | N/A | N/A | N/A | Chris L. Reese | 612-678-5410 | chris.l.reese@ampf.com | N/A | User-submitted | 2013-04-29-Donald-A-Jones-Trevor-Jones | N/A |
| 1 | 04-29-2013 | William T. Patton | N/A | N/A | N/A | N/A | $150 | N/A | Morgan Stanley Smith Barney | Ameriprise Financial | Virginia Beach | VA | N/A | N/A | N/A | 2013-04-26 | N/A | N/A | N/A | Chris L. Reese | 612-678-5410 | chris.l.reese@ampf.com | N/A | User-submitted | 2013-04-29-William-T-Patton | N/A |
| 1 | 04-29-2013 | Norman G. Howarth | N/A | N/A | N/A | N/A | $195 | N/A | 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 | 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 | 11-28-2012 | Ziv Ohel, Bill Duncan | N/A | N/A | N/A | N/A | $275 | $2 | Morgan Stanley Smith Barney | Ameriprise Financial | Deerfield | IL | 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-Ziv-Ohel-Bill-Duncan | N/A |
| 1 | 08-23-2012 | John Cartolano | N/A | N/A | N/A | N/A | $200 | N/A | 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 | John Lupi and Associates | N/A | N/A | N/A | N/A | $101 | N/A | Wells Fargo Advisors | Ameriprise Financial | Colts Neck | NJ | N/A | N/A | N/A | 2012-08-14 | N/A | N/A | N/A | Chris L. Reese | 612.678.5410 | chris.l.reese@ampf.com | N/A | User-submitted | 20120821-John-Lupi-and-Associates | N/A |
| 1 | 08-21-2012 | James Marchesi and Associates | N/A | N/A | N/A | N/A | $115 | N/A | 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 | 04-10-2012 | Kevin Donoghue, James Donoghue | N/A | N/A | N/A | N/A | $84 | N/A | Lincoln Financial | Ameriprise Financial | Dunedin | FL | N/A | N/A | N/A | 2012-04-10 | N/A | http://www.investmentnews.com/article/20100524/FREE/100529960 | N/A | Chris Reese | N/A | Chris.L.Reese@ampf.com | N/A | User-submitted | 20120410-Kevin-Donoghue-James-Donoghue | N/A |
| 1 | 03-30-2012 | Charles Hart | N/A | N/A | N/A | N/A | $114 | N/A | VSR Financial Services | Ameriprise Financial | N/A | CA | N/A | N/A | N/A | 2012-03-30 | N/A | N/A | N/A | N/A | N/A | N/A | N/A | InvestmentNews | 20120330-Charles-Hart | 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 | 03-22-2012 | Keith Somers | N/A | N/A | N/A | N/A | $51 | N/A | 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 | John Levitz | N/A | N/A | N/A | N/A | $87 | N/A | Morgan Stanley Smith Barney | Ameriprise Financial | Plantation | FL | N/A | N/A | N/A | 2012-02-03 | N/A | http://www.reuters.com/article/2011/05/17/us-ubs-idUSTRE74G6NU20110517 | N/A | Chris Reese | N/A | chris.l.reese@ampf.com | N/A | User-submitted | 20120322-John-Levitz | N/A |
| 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 |