| Steven George Meier | Td Ameritrade Investment Management, LLC other | Securities America Advisors, Inc. other | Other | Jul 7, 2016 | Jul 7, 2016 |
| David L Semonian | Td Ameritrade Investment Management, LLC other | E*Trade Capital Management, LLC other | Other | Jul 7, 2016 | Jul 15, 2016 |
| William Jerald Mcintosh | Td Ameritrade Investment Management, LLC other | Td Ameritrade, Inc. no RAUM | Other | Jun 23, 2016 | Dec 1, 2009 |
| Zeeshan Hasan | Td Ameritrade Investment Management, LLC other | Scottrade Investment Management other | Other | Jun 21, 2016 | Jan 27, 2017 (220 d) |
| Christophor Alan Rowell | Td Ameritrade Investment Management, LLC other | Td Ameritrade, Inc. no RAUM | Other | Jun 20, 2016 | Jul 28, 2011 |
| Kyle Gerads | Td Ameritrade Investment Management, LLC other | Td Ameritrade, Inc. no RAUM | Other | Jun 15, 2016 | Jul 21, 2015 |
| Joshua Winkler | Td Ameritrade Investment Management, LLC other | Pnc Wealth Management other | Other | Jun 14, 2016 | Aug 12, 2016 (59 d) |
| Andrew T Black | Td Ameritrade Investment Management, LLC other | Scottrade Investment Management other | Other | Jun 6, 2016 | Feb 6, 2017 (245 d) |
| Adam Glancy Ritter | Td Ameritrade Investment Management, LLC other | Td Ameritrade, Inc. no RAUM | Other | Jun 6, 2016 | Nov 17, 2010 |
| Kevin Patrick Donahue | Td Ameritrade Investment Management, LLC other | Independent Financial Partners other | Other | Jun 2, 2016 | Jun 10, 2016 |
| Herman Tkach | Td Ameritrade Investment Management, LLC other | Nadler Financial Group, Inc. other | Other | May 24, 2016 | Jun 21, 2016 |
| Kenneth Lee Sitnick | Td Ameritrade Investment Management, LLC other | Td Ameritrade, Inc. no RAUM | Other | May 16, 2016 | Jul 19, 2007 |
| Christopher Brian Mankoff | Td Ameritrade Investment Management, LLC other | J.P. Morgan Securities LLC wirehouse | Other | May 16, 2016 | May 24, 2016 |
| Victoria Elizabeth De Oliveira | Td Ameritrade Investment Management, LLC other | E*Trade Capital Management, LLC other | Other | May 16, 2016 | May 26, 2016 |
| Casey J Vogel | Td Ameritrade Investment Management, LLC other | Td Ameritrade, Inc. no RAUM | Other | May 11, 2016 | Nov 14, 2013 |
| Kelvern Chen | Td Ameritrade Investment Management, LLC other | Raymond James Financial Services Advisors, Inc other | Other | May 4, 2016 | Jun 7, 2016 (34 d) |
| Honorato Gomes | Td Ameritrade Investment Management, LLC other | Charles Schwab & Co., Inc. national BD | Other | Apr 29, 2016 | Mar 30, 2026 (3622 d) |
| Christopher Dennis Schalk | Td Ameritrade Investment Management, LLC other | Pnc Wealth Management other | Other | Apr 26, 2016 | May 9, 2016 |
| Matthew Joseph Steciow | Td Ameritrade Investment Management, LLC other | Creative Planning other | Other | Apr 26, 2016 | Sep 26, 2016 (153 d) |
| Dustin Dixon | Td Ameritrade Investment Management, LLC other | Td Ameritrade, Inc. no RAUM | Other | Apr 19, 2016 | Oct 31, 2011 |
| Michael Montalvo | Td Ameritrade Investment Management, LLC other | Td Ameritrade, Inc. no RAUM | Other | Apr 11, 2016 | May 2, 2014 |
| Stephanie Anastasia Carreras | Td Ameritrade Investment Management, LLC other | Signet Financial Management, LLC other | Other | Mar 24, 2016 | Apr 19, 2016 |
| Enda Patrick Washington | Td Ameritrade Investment Management, LLC other | Td Ameritrade, Inc. no RAUM | Other | Mar 23, 2016 | Jul 7, 2014 |
| Rachel B Johnson | Td Ameritrade Investment Management, LLC other | Strategic Advisers LLC national BD | Other | Mar 23, 2016 | Apr 18, 2016 |
| Rachel Lynne Thompson | Td Ameritrade Investment Management, LLC other | Edelman Financial Engines other | Other | Mar 23, 2016 | Feb 28, 2017 (342 d) |
| Anthony John Rocchio | Td Ameritrade Investment Management, LLC other | Advice And Planning Services other | Other | Mar 23, 2016 | Mar 28, 2016 |
| Laura Anne Zoucha | Td Ameritrade Investment Management, LLC other | U.S. Bancorp Investments, Inc. other | Other | Mar 23, 2016 | Mar 14, 2016 |
| James Richard Harkins | Td Ameritrade Investment Management, LLC other | Scottrade Investment Management other | Other | Mar 10, 2016 | May 1, 2017 (417 d) |
| Debra Sue Harkins | Td Ameritrade Investment Management, LLC other | Td Ameritrade, Inc. no RAUM | Other | Mar 10, 2016 | Dec 6, 2010 |
| Dale Delisle | Td Ameritrade Investment Management, LLC other | Charles Schwab & Co., Inc. national BD | Other | Mar 10, 2016 | Oct 4, 2022 (2399 d) |
| Tyson Schmitt | Td Ameritrade Investment Management, LLC other | Country Club Financial Services, Inc. other | Other | Feb 29, 2016 | Apr 14, 2016 (45 d) |
| Jimmy Diep | Td Ameritrade Investment Management, LLC other | J.P. Morgan Securities LLC wirehouse | Other | Feb 29, 2016 | Mar 10, 2016 |
| Michael G. Bourgeois | Td Ameritrade Investment Management, LLC other | J.P. Morgan Securities LLC wirehouse | Other | Feb 23, 2016 | Mar 28, 2016 (34 d) |
| Stephen R Och | Td Ameritrade Investment Management, LLC other | Citizens Securities, Inc. other | Other | Feb 22, 2016 | Feb 23, 2016 |
| Leland R White | Td Ameritrade Investment Management, LLC other | Scottrade Investment Management other | Other | Feb 12, 2016 | Jan 25, 2017 (348 d) |
| Jacob Cristobal Chaparro | Td Ameritrade Investment Management, LLC other | Gallacher Capital Management, LLC other | Other | Feb 11, 2016 | Jan 28, 2016 |
| Jacob O Eggett | Td Ameritrade Investment Management, LLC other | Copperwynd Financial other | Other | Feb 8, 2016 | Feb 8, 2016 |
| Philip Benjamin Snyder | Td Ameritrade Investment Management, LLC other | LPL Financial LLC other | Other | Feb 3, 2016 | Jan 19, 2016 |
| Bryan Jakoba Stewart | Td Ameritrade Investment Management, LLC other | Charles Schwab & Co., Inc. national BD | Other | Jan 27, 2016 | Oct 4, 2022 (2442 d) |
| Dustin Michael Rue | Td Ameritrade Investment Management, LLC other | E*Trade Capital Management, LLC other | Other | Jan 25, 2016 | Feb 5, 2016 |
| Guy R Wayman | Td Ameritrade Investment Management, LLC other | Steele Capital Management, Inc. other | Other | Jan 20, 2016 | Jan 21, 2016 |
| Geoffrey Yale Curran | Td Ameritrade Investment Management, LLC other | Merriman other | Other | Jan 20, 2016 | Feb 3, 2016 |
| Nicholas Wolejsza | Td Ameritrade Investment Management, LLC other | Fisher\Smb institutional | Other | Jan 15, 2016 | Aug 29, 2025 (3514 d) |
| Jared Knowles | Td Ameritrade Investment Management, LLC other | Td Ameritrade, Inc. no RAUM | Other | Jan 15, 2016 | Jul 29, 2008 |
| Ross H Pastman | Td Ameritrade Investment Management, LLC other | Blackrock Investment Management, LLC other | Other | Jan 15, 2016 | Jan 20, 2016 |
| Mark St. Patrick Oliver | Td Ameritrade Investment Management, LLC other | Advice And Planning Services BD affiliated | Other | Jan 8, 2016 | Oct 4, 2022 (2461 d) |
| Jeremy M Coons | Td Ameritrade Investment Management, LLC other | J.P. Morgan Securities LLC wirehouse | Other | Jan 7, 2016 | Feb 5, 2016 |
| Demetrius Gill Levantini | Td Ameritrade Investment Management, LLC other | Td Ameritrade, Inc. no RAUM | Other | Jan 4, 2016 | Nov 8, 2007 |
| Mary M Phillips | Td Ameritrade Investment Management, LLC other | Northwestern Mutual Investment Services,LLC other | Other | Dec 28, 2015 | Jan 4, 2016 |
| Brent Roy Mckellar | Td Ameritrade Investment Management, LLC other | Advice And Planning Services other | Other | Dec 21, 2015 | Jan 12, 2016 |
| Samantha Bissland-Moore Link | Td Ameritrade Investment Management, LLC other | Bb&T Securities, LLC other | Other | Dec 15, 2015 | Dec 9, 2015 |
| Steven Gruber | Td Ameritrade Investment Management, LLC other | Td Ameritrade, Inc. no RAUM | Other | Dec 11, 2015 | Feb 16, 2010 |
| John Stanley Kurtak | Td Ameritrade Investment Management, LLC other | John Hancock Personal Financial Services, LLC other | Other | Dec 7, 2015 | Nov 7, 2017 (701 d) |
| Christian Marc Galland | Td Ameritrade Investment Management, LLC other | Scottrade Investment Management other | Other | Dec 7, 2015 | Jan 24, 2017 (414 d) |
| Thomas Patrick Casart | Td Ameritrade Investment Management, LLC other | Scottrade Investment Management other | Other | Dec 7, 2015 | Jan 30, 2017 (420 d) |
| Lauren H. Peck | Td Ameritrade Investment Management, LLC other | J.P. Morgan Securities LLC wirehouse | Other | Dec 7, 2015 | Jan 8, 2016 (32 d) |
| David Matthew Lipinski | Td Ameritrade Investment Management, LLC other | J.P. Morgan Securities LLC wirehouse | Other | Dec 2, 2015 | Dec 9, 2015 |
| Jose Adrian Sanchez | Td Ameritrade Investment Management, LLC other | Advice And Planning Services BD affiliated | Other | Dec 1, 2015 | May 25, 2021 (2002 d) |
| Frederick William Means | Td Ameritrade Investment Management, LLC other | Schwab Wealth Advisory, Inc. other | Other | Dec 1, 2015 | Dec 15, 2015 |
| Juan Felipe Vega | Td Ameritrade Investment Management, LLC other | Scottrade Investment Management other | Other | Nov 24, 2015 | Dec 3, 2015 |