| Clayton Alexander Baker | Td Ameritrade Investment Management, LLC independent RIA | Creative Planning independent RIA | RIA to RIA | Apr 2, 2018 | Aug 16, 2021 (1232 d) |
| Donald Tulloch | Td Ameritrade Investment Management, LLC independent RIA | J.P. Morgan Securities LLC wirehouse | RIA to wirehouse | Mar 29, 2018 | Jul 25, 2018 (118 d) |
| Kombiz Momtaz | Td Ameritrade Investment Management, LLC independent RIA | Wells Fargo Advisors wirehouse | RIA to wirehouse | Mar 29, 2018 | Apr 9, 2018 |
| Matthew Zack Foshee | Td Ameritrade Investment Management, LLC independent RIA | Td Ameritrade, Inc. no RAUM | Other | Mar 29, 2018 | Mar 19, 2018 |
| William Joseph Hance | Td Ameritrade Investment Management, LLC independent RIA | Stifel, Nicolaus & Company, Incorporated national BD | RIA to affiliated broker-dealer or bank | Mar 29, 2018 | Apr 25, 2018 |
| John Lee | Td Ameritrade Investment Management, LLC independent RIA | Bancwest Investment Services, Inc. (Bwis) BD affiliated | RIA to affiliated broker-dealer or bank | Mar 28, 2018 | Apr 4, 2018 |
| Douglas William Smith | Td Ameritrade Investment Management, LLC independent RIA | Advice And Planning Services BD affiliated | RIA to affiliated broker-dealer or bank | Mar 26, 2018 | Apr 2, 2018 |
| Shannon James Bene | Td Ameritrade Investment Management, LLC independent RIA | E*Trade Capital Management, LLC independent RIA | RIA to RIA | Mar 21, 2018 | Apr 12, 2018 |
| George Maxwell Bruneau | Td Ameritrade Investment Management, LLC independent RIA | Fisher Investments independent RIA | RIA to RIA | Mar 16, 2018 | Jun 10, 2018 (86 d) |
| Jodi Marie Johnston | Td Ameritrade Investment Management, LLC independent RIA | Td Ameritrade, Inc. no RAUM | Other | Mar 15, 2018 | Aug 18, 2016 |
| Yi Ching Tsai | Td Ameritrade Investment Management, LLC independent RIA | Polaris Wealth Advisory Group independent RIA | RIA to RIA | Mar 13, 2018 | Apr 17, 2018 (35 d) |
| Christopher John Arkfeld | Td Ameritrade Investment Management, LLC independent RIA | T. Rowe Price Advisory Services, Inc. independent RIA | RIA to RIA | Mar 12, 2018 | Oct 18, 2018 (220 d) |
| Shannon Edward Gillis | Td Ameritrade Investment Management, LLC independent RIA | Eagle Strategies LLC BD affiliated | RIA to affiliated broker-dealer or bank | Mar 7, 2018 | Jan 15, 2019 (314 d) |
| Heather Ann Hirschensohn | Td Ameritrade Investment Management, LLC independent RIA | J.P. Morgan Securities LLC wirehouse | RIA to wirehouse | Mar 7, 2018 | Mar 28, 2018 |
| Gerran James Batterberry | Td Ameritrade Investment Management, LLC independent RIA | Td Ameritrade, Inc. no RAUM | Other | Feb 28, 2018 | May 25, 2016 |
| Leo Peter Varriale | Td Ameritrade Investment Management, LLC independent RIA | Td Ameritrade, Inc. no RAUM | Other | Feb 28, 2018 | Nov 23, 2009 |
| Nicholas John Schneider | Td Ameritrade Investment Management, LLC independent RIA | Independent Financial Group, LLC other | Other | Feb 28, 2018 | Feb 26, 2018 |
| Feras Rahim Chowdhury | Td Ameritrade Investment Management, LLC independent RIA | Charles Schwab & Co., Inc. national BD | RIA to affiliated broker-dealer or bank | Feb 2, 2018 | Jan 21, 2020 (718 d) |
| Byong Woo Chung | Td Ameritrade Investment Management, LLC independent RIA | Strategic Advisers LLC national BD | RIA to affiliated broker-dealer or bank | Jan 31, 2018 | Feb 1, 2018 |
| Gabriel Vallejo | Td Ameritrade Investment Management, LLC independent RIA | Td Ameritrade, Inc. no RAUM | Other | Jan 31, 2018 | Oct 21, 2016 |
| Stephanie Bolter | Td Ameritrade Investment Management, LLC independent RIA | Charles Schwab & Co., Inc. national BD | RIA to affiliated broker-dealer or bank | Jan 27, 2018 | Oct 11, 2022 (1718 d) |
| Bryan George Digel | Td Ameritrade Investment Management, LLC independent RIA | Cornerstone Advisors Inc other | Other | Jan 24, 2018 | Jan 25, 2018 |
| Keith Michael Prybylski | Td Ameritrade Investment Management, LLC independent RIA | Td Ameritrade, Inc. no RAUM | Other | Jan 24, 2018 | May 27, 2015 |
| Brian Placke | Td Ameritrade Investment Management, LLC independent RIA | Wells Fargo Advisors wirehouse | RIA to wirehouse | Jan 24, 2018 | Feb 28, 2025 (2592 d) |
| Scott Jeffrey Miller | Td Ameritrade Investment Management, LLC independent RIA | Securities America Advisors, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Jan 22, 2018 | Jun 26, 2018 (155 d) |
| Joshua Emile Silverman | Td Ameritrade Investment Management, LLC independent RIA | J.P. Morgan Securities LLC wirehouse | RIA to wirehouse | Jan 18, 2018 | Jan 17, 2018 |
| Erin Hester | Td Ameritrade Investment Management, LLC independent RIA | First Citizens Investor Services, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Jan 18, 2018 | Oct 28, 2019 (648 d) |
| Ehab Abdalla | Td Ameritrade Investment Management, LLC independent RIA | Eagle Strategies LLC BD affiliated | RIA to affiliated broker-dealer or bank | Jan 18, 2018 | Jan 2, 2020 (714 d) |
| Lidija Gjorgjievska | Td Ameritrade Investment Management, LLC independent RIA | Schwab Wealth Advisory, Inc. no RAUM | Other | Jan 18, 2018 | Mar 16, 2021 (1153 d) |
| Benjamin Daniel Crofford | Td Ameritrade Investment Management, LLC independent RIA | Charles Schwab & Co., Inc. national BD | RIA to affiliated broker-dealer or bank | Jan 18, 2018 | Jun 4, 2018 (137 d) |
| Alexander James Bischoff | Td Ameritrade Investment Management, LLC independent RIA | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | RIA to wirehouse | Jan 18, 2018 | Jun 11, 2018 (144 d) |
| Scott Shoates | Td Ameritrade Investment Management, LLC independent RIA | Strategic Advisers LLC national BD | RIA to affiliated broker-dealer or bank | Jan 11, 2018 | Feb 2, 2018 |
| Adam Michael Gulledge | Td Ameritrade Investment Management, LLC independent RIA | Fisher Investments other | Other | Jan 11, 2018 | Jan 10, 2018 |
| Daniel Patrick Mahaffey | Td Ameritrade Investment Management, LLC independent RIA | Charles Schwab Investment Advisory, Inc BD affiliated | RIA to affiliated broker-dealer or bank | Jan 11, 2018 | Jan 15, 2022 (1465 d) |
| William Schultz | Td Ameritrade Investment Management, LLC independent RIA | Td Ameritrade, Inc. no RAUM | Other | Jan 11, 2018 | Sep 13, 2016 |
| Shane Michael Higgins | Td Ameritrade Investment Management, LLC independent RIA | Schwab Wealth Advisory, Inc. other | Other | Jan 11, 2018 | Feb 1, 2018 |
| Russell Grant Nieland | Td Ameritrade Investment Management, LLC independent RIA | LPL Financial LLC independent RIA | RIA to RIA | Jan 11, 2018 | Jan 24, 2018 |
| Sarah Jane Green | Td Ameritrade Investment Management, LLC independent RIA | Morgan Stanley wirehouse | RIA to wirehouse | Jan 11, 2018 | Jan 11, 2018 |
| Ryan Lee Brott | Td Ameritrade Investment Management, LLC independent RIA | Ellerbrock-Norris Wealth Strategies LLC independent RIA | RIA to RIA | Dec 22, 2017 | May 22, 2018 (151 d) |
| Scott M Metz | Td Ameritrade Investment Management, LLC other | Td Ameritrade, Inc. no RAUM | Other | Dec 20, 2017 | Apr 12, 2016 |
| Matthew Ludack | Td Ameritrade Investment Management, LLC other | Wells Fargo Advisors wirehouse | Other | Dec 20, 2017 | Jan 23, 2018 (34 d) |
| Aaron Joseph Goldman | Td Ameritrade Investment Management, LLC other | J.P. Morgan Securities LLC wirehouse | Other | Dec 20, 2017 | Dec 14, 2017 |
| Erek Reynolds | Td Ameritrade Investment Management, LLC other | Td Ameritrade, Inc. no RAUM | Other | Dec 12, 2017 | Jul 2, 2009 |
| Bao Q Le | Td Ameritrade Investment Management, LLC other | Td Ameritrade, Inc. no RAUM | Other | Dec 4, 2017 | Jun 2, 2014 |
| Rushi Patel | Td Ameritrade Investment Management, LLC other | Td Ameritrade, Inc. no RAUM | Other | Dec 4, 2017 | Dec 10, 2012 |
| Christopher Mark Ledford | Td Ameritrade Investment Management, LLC other | Advice And Planning Services other | Other | Nov 27, 2017 | Dec 5, 2017 |
| Gina Cohen | Td Ameritrade Investment Management, LLC other | Wells Fargo Advisors wirehouse | Other | Nov 24, 2017 | Dec 19, 2017 |
| Stephanie Chaplinski-Kane | Td Ameritrade Investment Management, LLC other | Invest Financial Corporation other | Other | Nov 20, 2017 | Nov 13, 2017 |
| Derek Justin Fairchild | Td Ameritrade Investment Management, LLC other | Td Ameritrade, Inc. no RAUM | Other | Nov 20, 2017 | Apr 30, 2014 |
| Eric Dale Baker | Td Ameritrade Investment Management, LLC other | Cig Asset Management, Inc. other | Other | Nov 7, 2017 | Nov 14, 2017 |
| Ryan Dean Deakins | Td Ameritrade Investment Management, LLC other | Personal Capital Advisors Corporation other | Other | Oct 30, 2017 | Dec 7, 2017 (38 d) |
| Eileen Curran | Td Ameritrade Investment Management, LLC other | J.P. Morgan Securities LLC wirehouse | Other | Oct 25, 2017 | Jul 17, 2018 (265 d) |
| Jonathan Keith Hoya | Td Ameritrade Investment Management, LLC other | Td Ameritrade, Inc. no RAUM | Other | Oct 25, 2017 | Jul 16, 2013 |
| Jason Alan Meeks | Td Ameritrade Investment Management, LLC other | Charles Schwab & Co., Inc. national BD | Other | Oct 20, 2017 | Dec 4, 2017 (45 d) |
| Aaron Liege Weston | Td Ameritrade Investment Management, LLC other | Charles Schwab & Co., Inc. national BD | Other | Oct 20, 2017 | Dec 13, 2017 (54 d) |
| Carlos Menicucci | Td Ameritrade Investment Management, LLC other | Td Ameritrade, Inc. no RAUM | Other | Oct 16, 2017 | Jan 19, 2017 |
| Chad Edwin Greenway | Td Ameritrade Investment Management, LLC other | Advice And Planning Services other | Other | Oct 13, 2017 | Oct 30, 2017 |
| Ryan C Gahler | Td Ameritrade Investment Management, LLC other | Schwab Wealth Advisory, Inc. no RAUM | Other | Sep 26, 2017 | Jul 30, 2026 (3229 d) |
| Eduardo Valero | Td Ameritrade Investment Management, LLC other | Fisher Investments other | Other | Sep 15, 2017 | Sep 27, 2017 |
| Casey William Jones | Td Ameritrade Investment Management, LLC other | Morgan Stanley wirehouse | Other | Sep 7, 2017 | Nov 16, 2017 (70 d) |