| 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 |
| 1 | 08-20-2012 | Matt Dillig, Ted Bowen | The Dillig Bowen Group | N/A | N/A | N/A | $1,000 | N/A | Credit Suisse Wealth Services | Hightower Advisors | Chicago | IL | N/A | N/A | N/A | 2012-08-17 | N/A | N/A | N/A | Nicole Abbott | 973-850-7315 | nabbott@jcprinc.com | N/A | User-submitted | 20120820-Matt-Dillig-Ted-Bowen | N/A |
| 1 | 07-16-2012 | Eugene M. Lerner, Walter Gondeck Jr., Mingdong Tan | The Lerner Group | N/A | N/A | N/A | $600 | N/A | Morgan Stanley Smith Barney | Hightower Advisors | Chicago | IL | N/A | N/A | N/A | 2012-07-16 | N/A | N/A | N/A | Nicole Abbott | N/A | nabbott@jcprinc.com | N/A | User-submitted | 20120716-Eugene-M-Lerner-Walter-Gondeck-Jr-Mingdong-Tan | N/A |
| 1 | 07-02-2012 | David Molnar, Drew Nordlicht | The Molnar/Nordlicht Group | N/A | N/A | N/A | $330 | N/A | UBS Financial Services | Hightower Advisors | San Diego | CA | N/A | N/A | N/A | 2012-07-02 | Wall Street Journal | http://www.marketwatch.com/story/hightower-accelerates-west-coast-expansion-with-new-office-in-san-diego-2012-07-02 | N/A | Nicole Abbott | N/A | nabbott@jcprinc.com | N/A | User-submitted | 20120702-David-Molnar-Drew-Nordlicht | N/A |
| 1 | 03-23-2012 | Charles S. Holt | N/A | N/A | N/A | N/A | $200 | N/A | Bank of America Merrill Lynch | Hightower Advisors | Washington | DC | N/A | N/A | N/A | 2012-03-23 | N/A | N/A | N/A | N/A | N/A | N/A | N/A | InvestmentNews | 20120323-Charles-S-Holt | N/A |
| 1 | 03-04-2012 | Kenneth Hoffman, Richard Steinberg, Jordan Waxman | N/A | N/A | N/A | N/A | $1,400 | N/A | Bank of America Merrill Lynch | Hightower Advisors | Boston | MA | N/A | N/A | N/A | 2012-03-05 | N/A | http://www.marketwatch.com/story/billion-dollar-merrill-lynch-private-banking-team-joins-the-hightower-partnership-2012-03-05 | N/A | N/A | N/A | N/A | N/A | InvestmentNews | 20120304-Kenneth-Hoffman-Richard-Steinberg-Jordan-Waxman | N/A |
| 1 | 02-27-2012 | James Hausberg | N/A | N/A | N/A | N/A | $400 | N/A | The Presidio Group | Hightower Advisors | Los Angeles | CA | N/A | N/A | N/A | 2012-02-27 | N/A | http://online.wsj.com/article/BT-CO-20101001-706851.html | N/A | N/A | N/A | N/A | N/A | InvestmentNews | 20120227-James-Hausberg | N/A |
| 1 | 02-27-2012 | Leo J. Kelly III, Brian Grumbach | N/A | N/A | N/A | N/A | $700 | N/A | Bank of America Merrill Lynch | Hightower Advisors | Baltimore | MD | N/A | N/A | N/A | 2012-02-27 | N/A | http://www.reuters.com/article/2012/01/26/us-morganstanley-idUSTRE80P16220120126 | N/A | N/A | N/A | N/A | N/A | InvestmentNews | 20120227-Leo-J-Kelly-III-Brian-Grumbach | N/A |
| 1 | 01-23-2012 | James Pupillo | N/A | N/A | N/A | N/A | $2,500 | N/A | Graystone Consulting | Hightower Advisors | Scottsdale | AZ | N/A | N/A | N/A | 2012-01-24 | N/A | http://www.investmentnews.com/article/20120124/FREE/120129966 | N/A | N/A | N/A | N/A | N/A | InvestmentNews | 20120123-James-Pupillo | N/A |
| 1 | 09-19-2011 | Jeff Leventhal, Evan Nowack | N/A | N/A | N/A | N/A | $400 | N/A | UBS Financial Services | Hightower Advisors | Bethesda | MD | N/A | N/A | N/A | 2011-09-19 | N/A | http://www.marketwatch.com/story/hightower-expands-with-new-advisor-team-in-bethesda-md-2011-09-19 | N/A | N/A | N/A | N/A | N/A | InvestmentNews | 20110919-Jeff-Leventhal-Evan-Nowack | N/A |
| 1 | 08-18-2011 | Margaret M. Towle | N/A | N/A | N/A | N/A | $1,000 | N/A | Greycourt | Hightower Advisors | Seattle | WA | N/A | N/A | N/A | 2011-08-18 | N/A | http://www.investmentnews.com/article/20100521/FREE/100529975 | N/A | N/A | N/A | N/A | N/A | InvestmentNews | 20110818-Margaret-M-Towle | N/A |
| 1 | 08-01-2011 | Paul A. Pagnato, David W. Karp | N/A | N/A | N/A | N/A | $1,300 | N/A | Bank of America Merrill Lynch | Hightower Advisors | Washington | DC | N/A | N/A | N/A | 2011-08-01 | N/A | N/A | N/A | N/A | N/A | N/A | N/A | InvestmentNews | 20110801-Paul-A-Pagnato-David-W-Karp | N/A |
| 1 | 07-13-2011 | John Verfurth, Richard Weeks, Jeff Grinspoon | N/A | N/A | N/A | N/A | $700 | N/A | Morgan Stanley Smith Barney | Hightower Advisors | Vienna | VA | N/A | N/A | N/A | 2011-07-13 | N/A | http://www.prnewswire.com/news-releases/hightower-expands-with-new-team-in-northern-virginia-125349913.html | N/A | N/A | N/A | N/A | N/A | InvestmentNews | 20110713-John-Verfurth-Richard-Weeks-Jeff-Grinspoon | N/A |
| 1 | 05-31-2011 | William F. Blanke, Robert L. Schein, J. Michael Shields | N/A | N/A | N/A | N/A | $300 | N/A | Morgan Stanley Smith Barney | Hightower Advisors | Palm Desert | CA | N/A | N/A | N/A | 2011-05-31 | N/A | http://www.investmentnews.com/article/20110602/FREE/110609988 | N/A | N/A | N/A | N/A | N/A | InvestmentNews | 20110531-William-F-Blanke-Robert-L-Schein-J-Michael-Shields | N/A |
| 1 | 05-09-2011 | Brian P. Amidei, Joseph G. Romano III, Brett C. D'Orlando | N/A | N/A | N/A | N/A | $375 | N/A | Bank of America Merrill Lynch | Hightower Advisors | Palm Desert | CA | N/A | N/A | N/A | 2011-05-09 | N/A | http://www.prnewswire.com/news-releases/hightower-expands-with-new-advisor-team-in-southern-california-121180754.html | N/A | N/A | N/A | N/A | N/A | InvestmentNews | 20110509-Brian-P-Amidei-Joseph-G-Romano-III-Brett-C-D'Orlando | N/A |
| 1 | 03-01-2011 | Mark Masterson, David Emma | N/A | N/A | N/A | N/A | $350 | N/A | Bank of America Merrill Lynch | Hightower Advisors | Naples | FL | N/A | N/A | N/A | 2011-07-14 | N/A | N/A | N/A | N/A | N/A | N/A | N/A | InvestmentNews | 20110301-Mark-Masterson-David-Emma | N/A |
| 1 | 02-23-2011 | Edward Simmons, Gibson Wilkes, Blake Wilkes, Michael Simmons | N/A | N/A | N/A | N/A | $500 | N/A | Bank of America Merrill Lynch | Hightower Advisors | Portland | ME | N/A | N/A | N/A | 2011-02-23 | N/A | http://www.takeoverchatter.com/2011/02/hightower-advisors-adds-merrill-team-in.html | N/A | N/A | N/A | N/A | N/A | InvestmentNews | 20110223-Edward-Simmons-Gibson-Wilkes-Blake-Wilkes-Michael-Simmons | N/A |
| 1 | 11-30-2010 | Tony Morgia, Michael Morgia, Philip | P.J. Banazek, Mark Banazek | N/A | N/A | N/A | $500 | N/A | Morgan Stanley Smith Barney | Hightower Advisors | New York | NY | N/A | N/A | N/A | 2010-11-30 | 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 | 20101130-Tony-Morgia-Michael-Morgia-Philip | N/A |
| 1 | 10-12-2010 | Mike Deggelman, Chris Parker | N/A | N/A | N/A | N/A | $250 | N/A | UBS Financial Services | Hightower Advisors | Menlo Park | CA | N/A | N/A | N/A | 2010-10-12 | N/A | http://www.fundfire.com/c/113875/4627/credit_suisse_snags_advisor | N/A | N/A | N/A | N/A | N/A | InvestmentNews | 20101012-Mike-Deggelman-Chris-Parker | N/A |
| 1 | 09-24-2010 | Tom McGuirk | N/A | N/A | N/A | N/A | $200 | N/A | Citigroup | Hightower Advisors | Menlo Park | CA | N/A | N/A | N/A | 2010-09-24 | N/A | N/A | N/A | N/A | N/A | N/A | N/A | InvestmentNews | 20100924-Tom-McGuirk | N/A |
| 1 | 07-01-2010 | Andrew Morse, Justin Towey, Bob White | N/A | N/A | N/A | N/A | $550 | N/A | UBS Financial Services | Hightower Advisors | New York | NY | N/A | N/A | N/A | 2010-07-01 | N/A | N/A | N/A | N/A | N/A | N/A | N/A | InvestmentNews | 20100701-Andrew-Morse-Justin-Towey-Bob-White | N/A |
| 1 | 05-01-2010 | Pamela Rosenau, Dennis Paul | N/A | N/A | N/A | N/A | $700 | N/A | UBS Financial Services | Hightower Advisors | New York | NY | N/A | N/A | N/A | 2010-05-01 | N/A | N/A | N/A | N/A | N/A | N/A | N/A | InvestmentNews | 20100501-Pamela-Rosenau-Dennis-Paul | N/A |
| 1 | 04-08-2010 | Strata Wealth Management Group | N/A | N/A | N/A | N/A | $500 | N/A | Morgan Stanley Smith Barney | Hightower Advisors | N/A | N/A | N/A | N/A | N/A | 2010-02-21 | IN | http://www.investmentnews.com/article/20100221/REG/302219972 | N/A | N/A | N/A | N/A | N/A | InvestmentNews | 20100408-Strata-Wealth-Management-Group | N/A |