| Chadric Tivonte Davis | Td Ameritrade Investment Management, LLC other | Td Ameritrade, Inc. no RAUM | Other | Sep 6, 2017 | Sep 13, 2016 |
| Joe Valiquette | Td Ameritrade Investment Management, LLC other | Transamerica Retirement Advisors, LLC mixed wealth | Other | Sep 5, 2017 | Mar 30, 2018 (206 d) |
| Nathan Michael Rolek | Td Ameritrade Investment Management, LLC other | Td Ameritrade, Inc. no RAUM | Other | Aug 31, 2017 | Apr 20, 2017 |
| James D Beaulieu | Td Ameritrade Investment Management, LLC other | Strategic Advisers LLC national BD | Other | Aug 23, 2017 | Sep 8, 2017 |
| George William Pikounis | Td Ameritrade Investment Management, LLC other | Wealthy & Wise Family Office state registered | Other | Aug 16, 2017 | Mar 12, 2018 (208 d) |
| Jason Jeffry Long | Td Ameritrade Investment Management, LLC other | Charles Schwab & Co., Inc. national BD | Other | Aug 15, 2017 | Aug 21, 2017 |
| John Keegan Einspanier | Td Ameritrade Investment Management, LLC other | Northwestern Mutual Investment Services,LLC no RAUM | Other | Aug 11, 2017 | Sep 11, 2017 (31 d) |
| James Garrett Janka | Td Ameritrade Investment Management, LLC other | Avantax Advisory Services other | Other | Aug 9, 2017 | Aug 21, 2017 |
| Jeromy Christian Shepherd | Td Ameritrade Investment Management, LLC other | First Command Advisory Services BD affiliated | Other | Aug 7, 2017 | Jan 22, 2018 (168 d) |
| Gregory Louis Brodnik | Td Ameritrade Investment Management, LLC other | Schwab Wealth Advisory, Inc. other | Other | Aug 7, 2017 | Aug 23, 2017 |
| Andrew Scott Thomas | Td Ameritrade Investment Management, LLC other | Leap Wealth Management independent RIA | Other | Aug 4, 2017 | Sep 18, 2017 (45 d) |
| Deborah Ann Friedman | Td Ameritrade Investment Management, LLC other | Securities America Advisors, Inc. other | Other | Jul 28, 2017 | Jan 3, 2018 (159 d) |
| Chris Andrew Daniels | Td Ameritrade Investment Management, LLC other | Personal Capital Advisors Corporation other | Other | Jul 28, 2017 | Jul 20, 2017 |
| Ryan J. Pate | Td Ameritrade Investment Management, LLC other | Td Ameritrade, Inc. no RAUM | Other | Jul 28, 2017 | Dec 21, 2016 |
| Robert St. Clair Christman | Td Ameritrade Investment Management, LLC other | U.S. Bancorp Investments, Inc. other | Other | Jul 18, 2017 | Jul 25, 2017 |
| Matthew Charles Sanchez | Td Ameritrade Investment Management, LLC other | Biechele Royce Advisors, Inc. other | Other | Jul 18, 2017 | Jul 26, 2017 |
| Neal Richards | Td Ameritrade Investment Management, LLC other | Edelman Financial Engines other | Other | Jul 17, 2017 | Jul 12, 2017 |
| Darin Todd Hall | Td Ameritrade Investment Management, LLC other | E*Trade Capital Management, LLC other | Other | Jul 12, 2017 | Aug 8, 2017 |
| Samir Ibrahim | Td Ameritrade Investment Management, LLC other | Pruco Securities, LLC other | Other | Jul 12, 2017 | Sep 25, 2017 (75 d) |
| Lisa L Bowers | Td Ameritrade Investment Management, LLC other | Td Ameritrade, Inc. no RAUM | Other | Jul 12, 2017 | Mar 17, 2015 |
| Ryan Rogan Ahrens | Td Ameritrade Investment Management, LLC other | Private Advisor Group, LLC other | Other | Jul 12, 2017 | Jul 18, 2017 |
| Paul Augustine Dau | Td Ameritrade Investment Management, LLC other | Td Ameritrade, Inc. no RAUM | Other | Jun 21, 2017 | Jun 5, 2012 |
| Currim Valliani | Td Ameritrade Investment Management, LLC other | Charles Schwab & Co., Inc. national BD | Other | Jun 21, 2017 | May 24, 2022 (1798 d) |
| Ryan Kent Tuttle | Td Ameritrade Investment Management, LLC other | Sofi Wealth LLC other | Other | Jun 21, 2017 | Jun 22, 2017 |
| Spencer Gordon Daw | Td Ameritrade Investment Management, LLC other | Td Ameritrade, Inc. no RAUM | Other | Jun 21, 2017 | Feb 4, 2013 |
| Ryan Tucker | Td Ameritrade Investment Management, LLC other | Td Ameritrade, Inc. no RAUM | Other | Jun 21, 2017 | Jan 15, 2013 |
| Tamara Taylor | Td Ameritrade Investment Management, LLC other | Td Ameritrade, Inc. no RAUM | Other | Jun 21, 2017 | Dec 15, 2016 |
| Gregory Brown | Td Ameritrade Investment Management, LLC other | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | Jun 19, 2017 | Jul 7, 2017 |
| Tom Oneal French | Td Ameritrade Investment Management, LLC other | Grimes & Company independent RIA | Other | Jun 12, 2017 | Mar 13, 2024 (2466 d) |
| Jonathan A Doshier | Td Ameritrade Investment Management, LLC other | United Capital Financial Advisors other | Other | Jun 12, 2017 | Jun 8, 2017 |
| Rosario Giliberto | Td Ameritrade Investment Management, LLC other | UBS Financial Services Inc. wirehouse | Other | Jun 12, 2017 | Jun 30, 2017 |
| Courtenay Leigh Yeager | Td Ameritrade Investment Management, LLC other | Wells Fargo Advisors wirehouse | Other | Jun 1, 2017 | Jul 28, 2017 (57 d) |
| Matthew John Anderson | Td Ameritrade Investment Management, LLC other | Churchill Management Group other | Other | Jun 1, 2017 | Jun 7, 2017 |
| Matthew Patrick Miehe | Td Ameritrade Investment Management, LLC other | Charles Schwab & Co., Inc. national BD | Other | Jun 1, 2017 | Jun 22, 2017 |
| Jeffrey Charles Roberto | Td Ameritrade Investment Management, LLC other | LPL Financial LLC independent RIA | Other | May 19, 2017 | Jan 29, 2018 (255 d) |
| Scott Andrew Petersen | Td Ameritrade Investment Management, LLC other | Pnc Wealth Management BD affiliated | Other | May 19, 2017 | Apr 1, 2025 (2874 d) |
| Dustin Hyche | Td Ameritrade Investment Management, LLC other | Td Ameritrade, Inc. no RAUM | Other | May 10, 2017 | Jun 13, 2016 |
| John Patrick Taylor | Td Ameritrade Investment Management, LLC other | Vanguard Advisers, Inc. other | Other | Apr 25, 2017 | May 15, 2017 |
| Charles Matthew Fetner | Td Ameritrade Investment Management, LLC other | Td Ameritrade, Inc. no RAUM | Other | Apr 18, 2017 | Nov 16, 2011 |
| Edgar Pino | Td Ameritrade Investment Management, LLC other | Morgan Stanley wirehouse | Other | Apr 18, 2017 | Nov 20, 2018 (581 d) |
| Christopher A Donofrio | Td Ameritrade Investment Management, LLC other | Td Ameritrade, Inc. no RAUM | Other | Apr 6, 2017 | Dec 21, 2009 |
| Corey T. Moody | Td Ameritrade Investment Management, LLC other | Cetera Investment Advisers LLC other | Other | Apr 6, 2017 | May 26, 2017 (50 d) |
| Brian Eugene Pingatore | Td Ameritrade Investment Management, LLC other | Td Ameritrade, Inc. no RAUM | Other | Apr 6, 2017 | Apr 20, 2015 |
| Arda Kara Thomas | Td Ameritrade Investment Management, LLC other | Td Ameritrade, Inc. no RAUM | Other | Mar 29, 2017 | Feb 1, 2012 |
| Shane David Irons | Td Ameritrade Investment Management, LLC other | Cetera Investment Advisers LLC other | Other | Mar 21, 2017 | Mar 22, 2017 |
| Meggan Quick Pierce | Td Ameritrade Investment Management, LLC other | Td Ameritrade, Inc. no RAUM | Other | Mar 20, 2017 | Apr 7, 2014 |
| Andrew Roy Pugh | Td Ameritrade Investment Management, LLC other | Charles Schwab & Co., Inc. national BD | Other | Mar 16, 2017 | Mar 3, 2021 (1448 d) |
| Michael Jordan Margolis | Td Ameritrade Investment Management, LLC other | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | Mar 16, 2017 | Mar 31, 2017 |
| Matthew F. Coughlin | Td Ameritrade Investment Management, LLC other | Santander Securities other | Other | Mar 6, 2017 | Mar 17, 2017 |
| Adam Elghandour | Td Ameritrade Investment Management, LLC other | J.P. Morgan Securities LLC wirehouse | Other | Mar 6, 2017 | Apr 18, 2017 (43 d) |
| Jerry Lynn Dunivan | Td Ameritrade Investment Management, LLC other | Td Ameritrade, Inc. no RAUM | Other | Feb 15, 2017 | Feb 25, 2015 |
| Brenda Kay Engro | Td Ameritrade Investment Management, LLC other | Td Ameritrade, Inc. no RAUM | Other | Feb 15, 2017 | Nov 10, 2014 |
| Eric Scott Razzi | Td Ameritrade Investment Management, LLC other | Td Ameritrade, Inc. no RAUM | Other | Feb 6, 2017 | Nov 4, 2016 |
| John Dorso | Td Ameritrade Investment Management, LLC other | Td Ameritrade, Inc. no RAUM | Other | Jan 30, 2017 | Apr 5, 2016 |
| Chad Alan Fawcett | Td Ameritrade Investment Management, LLC other | Td Ameritrade, Inc. no RAUM | Other | Jan 30, 2017 | Dec 13, 2007 |
| Rafael De Oliveira | Td Ameritrade Investment Management, LLC other | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | Jan 30, 2017 | Feb 6, 2017 |
| Alex James Reader | Td Ameritrade Investment Management, LLC other | Edelman Financial Engines other | Other | Jan 17, 2017 | Jan 5, 2017 |
| Jodie Young | Td Ameritrade Investment Management, LLC other | E*Trade Capital Management, LLC other | Other | Jan 9, 2017 | Jan 12, 2017 |
| Joseph Michael Scutts | Td Ameritrade Investment Management, LLC other | Capital One Advisors, LLC other | Other | Jan 4, 2017 | Feb 15, 2017 (42 d) |
| Michael Clyde Corales | Td Ameritrade Investment Management, LLC other | Td Ameritrade, Inc. no RAUM | Other | Dec 23, 2016 | May 11, 2010 |