| Kevin James Whitehead | Td Ameritrade Investment Management, LLC other | Td Ameritrade, Inc. no RAUM | Other | Dec 19, 2016 | Sep 9, 2015 |
| Bradley Mark Welter | Td Ameritrade Investment Management, LLC other | Scottrade Investment Management other | Other | Dec 19, 2016 | Jan 31, 2017 (43 d) |
| Gay Melynne Mon Writer | Td Ameritrade Investment Management, LLC other | Td Ameritrade, Inc. no RAUM | Other | Dec 15, 2016 | Oct 24, 2016 |
| George Edward Bumpus | Td Ameritrade Investment Management, LLC other | Fisher Investments independent RIA | Other | Dec 12, 2016 | May 18, 2026 (3444 d) |
| Kyle Jeffrey Thompson | Td Ameritrade Investment Management, LLC other | Td Ameritrade, Inc. no RAUM | Other | Nov 30, 2016 | Mar 12, 2012 |
| Melanie Sheree Woods | Td Ameritrade Investment Management, LLC other | UBS Financial Services Inc. wirehouse | Other | Nov 29, 2016 | May 13, 2024 (2722 d) |
| Robert Baker | Td Ameritrade Investment Management, LLC other | J.P. Morgan Securities LLC wirehouse | Other | Nov 29, 2016 | Nov 29, 2017 (365 d) |
| Matthew Brian Ellis | Td Ameritrade Investment Management, LLC other | Td Ameritrade, Inc. no RAUM | Other | Nov 28, 2016 | Jul 14, 2016 |
| Gian Mariano Deguzman | Td Ameritrade Investment Management, LLC other | Advice And Planning Services other | Other | Nov 28, 2016 | Dec 1, 2016 |
| Matthew Hooker | Td Ameritrade Investment Management, LLC other | Edward Jones national BD | Other | Nov 28, 2016 | Nov 29, 2016 |
| Brandon Paul Lombardo | Td Ameritrade Investment Management, LLC other | First Command Advisory Services other | Other | Nov 16, 2016 | Nov 18, 2016 |
| William Leslie Missimer | Td Ameritrade Investment Management, LLC other | Scottrade Investment Management other | Other | Nov 7, 2016 | Jan 25, 2017 (79 d) |
| Jonathan Ho Wang | Td Ameritrade Investment Management, LLC other | Strategic Advisers LLC national BD | Other | Oct 25, 2016 | Nov 30, 2016 (36 d) |
| Byron Dcharles Freeman | Td Ameritrade Investment Management, LLC other | Td Ameritrade, Inc. no RAUM | Other | Oct 24, 2016 | Nov 8, 2013 |
| Martin Albanese | Td Ameritrade Investment Management, LLC other | Stifel, Nicolaus & Company, Incorporated national BD | Other | Oct 20, 2016 | Oct 25, 2016 |
| Joseph Ioannis Koronakis | Td Ameritrade Investment Management, LLC other | Pnc Wealth Management other | Other | Oct 19, 2016 | Oct 21, 2016 |
| Kristen Sides | Td Ameritrade Investment Management, LLC other | Strategic Advisers LLC national BD | Other | Oct 19, 2016 | Dec 5, 2016 (47 d) |
| Trevor William Corey | Td Ameritrade Investment Management, LLC other | Charles Schwab & Co., Inc. national BD | Other | Oct 18, 2016 | Dec 5, 2016 (48 d) |
| Joshua Adam Paigen | Td Ameritrade Investment Management, LLC other | Td Ameritrade, Inc. no RAUM | Other | Oct 17, 2016 | Jun 8, 2011 |
| Wesley Daniels Brown | Td Ameritrade Investment Management, LLC other | Securities America Advisors, Inc. other | Other | Oct 17, 2016 | Oct 19, 2016 |
| Danielle Alexandria Lehman | Td Ameritrade Investment Management, LLC other | J.P. Morgan Securities LLC wirehouse | Other | Oct 10, 2016 | Dec 5, 2016 (56 d) |
| Ryan Masayuki Uwono | Td Ameritrade Investment Management, LLC other | Ameriprise Financial Services, LLC national BD | Other | Oct 10, 2016 | Oct 14, 2016 |
| John Edmunds Wilson | Td Ameritrade Investment Management, LLC other | Dimensional Fund Advisors LP other | Other | Oct 10, 2016 | Dec 19, 2016 (70 d) |
| Minh T. Phan | Td Ameritrade Investment Management, LLC other | J.P. Morgan Securities LLC wirehouse | Other | Oct 5, 2016 | Oct 6, 2016 |
| Peter Levine | Td Ameritrade Investment Management, LLC other | Hsbc Securities (USA) Inc. other | Other | Oct 4, 2016 | Nov 14, 2016 (41 d) |
| Peter L Dafniotis | Td Ameritrade Investment Management, LLC other | Santander Securities other | Other | Oct 4, 2016 | Dec 14, 2016 (71 d) |
| Ryan Christopher Faley | Td Ameritrade Investment Management, LLC other | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | Oct 4, 2016 | Oct 19, 2017 (380 d) |
| Arthur Pipit Wright | Td Ameritrade Investment Management, LLC other | Td Ameritrade, Inc. no RAUM | Other | Oct 4, 2016 | Jun 3, 2010 |
| Michael Parisi | Td Ameritrade Investment Management, LLC other | Advice And Planning Services other | Other | Oct 4, 2016 | Nov 30, 2016 (57 d) |
| John Zamboanga | Td Ameritrade Investment Management, LLC other | Scottrade Investment Management other | Other | Oct 3, 2016 | Jan 26, 2017 (115 d) |
| Matthew John Williams | Td Ameritrade Investment Management, LLC other | First Allied Advisory Services, Inc. other | Other | Sep 29, 2016 | Oct 5, 2016 |
| Antoine Kthuy Le | Td Ameritrade Investment Management, LLC other | Scottrade Investment Management other | Other | Sep 26, 2016 | Jan 27, 2017 (123 d) |
| Kevin P Hopkins | Td Ameritrade Investment Management, LLC other | Scottrade Investment Management other | Other | Sep 13, 2016 | Jan 26, 2017 (135 d) |
| Angela Vohs | Td Ameritrade Investment Management, LLC other | Scottrade Investment Management other | Other | Sep 13, 2016 | Jan 27, 2017 (136 d) |
| Marc Charles Kesner | Td Ameritrade Investment Management, LLC other | Scottrade Investment Management other | Other | Sep 7, 2016 | Jan 27, 2017 (142 d) |
| Wayne Windholz | Td Ameritrade Investment Management, LLC other | Scottrade Investment Management other | Other | Sep 7, 2016 | Sep 21, 2016 |
| Yun Ze Feng | Td Ameritrade Investment Management, LLC other | U.S. Bancorp Advisors, LLC other | Other | Sep 6, 2016 | Sep 29, 2016 |
| Christopher Daron Deshotel | Td Ameritrade Investment Management, LLC other | Td Ameritrade, Inc. no RAUM | Other | Aug 25, 2016 | Jun 29, 2015 |
| Robert Joseph Patrick Sforza | Td Ameritrade Investment Management, LLC other | Hsbc Securities (USA) Inc. other | Other | Aug 25, 2016 | Sep 2, 2016 |
| Dominic Victor Olvera | Td Ameritrade Investment Management, LLC other | Bankers Life Advisory Services, Inc. other | Other | Aug 22, 2016 | Sep 28, 2017 (402 d) |
| Brendan James Price | Td Ameritrade Investment Management, LLC other | Bancwest Investment Services, Inc. (Bwis) other | Other | Aug 18, 2016 | Aug 15, 2016 |
| Dustin Ward | Td Ameritrade Investment Management, LLC other | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | Aug 16, 2016 | Nov 10, 2016 (86 d) |
| Samuel Hume | Td Ameritrade Investment Management, LLC other | First Command Advisory Services BD affiliated | Other | Aug 8, 2016 | Jan 25, 2019 (900 d) |
| Gerald Wayne Hendrik | Td Ameritrade Investment Management, LLC other | Scottrade Investment Management other | Other | Aug 3, 2016 | Jun 1, 2017 (302 d) |
| Jeffrey M Meier | Td Ameritrade Investment Management, LLC other | Td Ameritrade, Inc. no RAUM | Other | Aug 2, 2016 | Apr 7, 2014 |
| William Powell | Td Ameritrade Investment Management, LLC other | Strategic Advisers LLC national BD | Other | Jul 29, 2016 | Sep 2, 2016 (35 d) |
| Robert Blake Cecil | Td Ameritrade Investment Management, LLC other | Td Ameritrade, Inc. no RAUM | Other | Jul 29, 2016 | Apr 19, 2012 |
| Zachary Hayes | Td Ameritrade Investment Management, LLC other | Strategic Advisers LLC national BD | Other | Jul 27, 2016 | Jul 29, 2016 |
| Ibtasam Mahmood | Td Ameritrade Investment Management, LLC other | Scottrade Investment Management other | Other | Jul 25, 2016 | Jan 27, 2017 (186 d) |
| Kevin Sorensen | Td Ameritrade Investment Management, LLC other | Charles Schwab & Co., Inc. national BD | Other | Jul 25, 2016 | Aug 29, 2016 (35 d) |
| Anthony Wentzell | Td Ameritrade Investment Management, LLC other | E*Trade Capital Management, LLC other | Other | Jul 20, 2016 | Mar 16, 2017 (239 d) |
| Quinn Summerill Cannon | Td Ameritrade Investment Management, LLC other | E*Trade Capital Management, LLC other | Other | Jul 19, 2016 | Jul 19, 2016 |
| Jeff Richard Bornhoft | Td Ameritrade Investment Management, LLC other | Cwm, LLC other | Other | Jul 19, 2016 | Jan 19, 2017 (184 d) |
| Carlos Caban | Td Ameritrade Investment Management, LLC other | E*Trade Capital Management, LLC other | Other | Jul 19, 2016 | Jul 13, 2016 |
| Amiel Volinsky | Td Ameritrade Investment Management, LLC other | E*Trade Capital Management, LLC other | Other | Jul 19, 2016 | Jul 15, 2016 |
| Jeff R Ellena | Td Ameritrade Investment Management, LLC other | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | Jul 19, 2016 | Jul 27, 2016 |
| Jenny Carbonilla Bandigan | Td Ameritrade Investment Management, LLC other | Td Ameritrade, Inc. no RAUM | Other | Jul 13, 2016 | Jun 12, 2012 |
| Collin William Main | Td Ameritrade Investment Management, LLC other | Advice And Planning Services BD affiliated | Other | Jul 11, 2016 | Oct 23, 2019 (1199 d) |
| Jason Christensen Hancock | Td Ameritrade Investment Management, LLC other | E*Trade Capital Management, LLC other | Other | Jul 11, 2016 | Jul 8, 2016 |
| Kailen H Cook | Td Ameritrade Investment Management, LLC other | Pfg Advisors other | Other | Jul 7, 2016 | Jun 22, 2016 |