| Adam Klopfenstein | Td Ameritrade Investment Management, LLC other | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | Nov 19, 2015 | Mar 10, 2016 (112 d) |
| Standar Hammonds | Td Ameritrade Investment Management, LLC other | Td Ameritrade, Inc. no RAUM | Other | Nov 11, 2015 | Dec 6, 2013 |
| Shane Michael Bulgerin | Td Ameritrade Investment Management, LLC other | Td Ameritrade, Inc. no RAUM | Other | Nov 11, 2015 | Jan 9, 2013 |
| Christopher Suess | Td Ameritrade Investment Management, LLC other | Financial Engines Advisor Center, LLC other | Other | Oct 27, 2015 | May 12, 2016 (198 d) |
| Sandeep Dutta | Td Ameritrade Investment Management, LLC other | Raymond James Financial Services Advisors, Inc other | Other | Oct 26, 2015 | Nov 5, 2015 |
| Brian John Mchenry | Td Ameritrade Investment Management, LLC other | Td Ameritrade, Inc. no RAUM | Other | Oct 20, 2015 | Jan 29, 2009 |
| Thomas Delbert Whited | Td Ameritrade Investment Management, LLC other | Dynamic Wealth Solutions LLC state registered | Other | Oct 20, 2015 | Jan 11, 2016 (83 d) |
| Darius Emmanuel Mcmillan | Td Ameritrade Investment Management, LLC other | Financial Engines Advisor Center, LLC other | Other | Oct 20, 2015 | Oct 2, 2015 |
| Robert Edward Dykes | Td Ameritrade Investment Management, LLC other | Td Ameritrade, Inc. no RAUM | Other | Oct 6, 2015 | Mar 19, 2013 |
| Robert Scott Magnacca | Td Ameritrade Investment Management, LLC other | Td Ameritrade, Inc. no RAUM | Other | Sep 28, 2015 | Nov 24, 2014 |
| George Merrick Estes | Td Ameritrade Investment Management, LLC other | E*Trade Capital Management, LLC other | Other | Sep 8, 2015 | Sep 11, 2015 |
| Matthew Drew Alpert | Td Ameritrade Investment Management, LLC other | Msi Financial Services, Inc. other | Other | Sep 3, 2015 | Oct 2, 2015 |
| Elijah Christensen | Td Ameritrade Investment Management, LLC other | E*Trade Capital Management, LLC other | Other | Aug 21, 2015 | Sep 8, 2015 |
| Jason Garrett Noble | Td Ameritrade Investment Management, LLC other | M&T Securities, Inc. unclassified | Other | Aug 5, 2015 | Feb 12, 2016 (191 d) |
| Eugene Gershman | Td Ameritrade Investment Management, LLC other | Advice And Planning Services other | Other | Aug 4, 2015 | Aug 10, 2015 |
| Rebecca L Grant | Td Ameritrade Investment Management, LLC other | Charles Schwab & Co., Inc. national BD | Other | Jul 29, 2015 | Aug 14, 2015 |
| Richard Andrew Solt | Td Ameritrade Investment Management, LLC other | Edward Jones national BD | Other | Jul 29, 2015 | Jul 20, 2015 |
| Clinton William Noell | Td Ameritrade Investment Management, LLC other | Strategic Advisers LLC national BD | Other | Jul 22, 2015 | Sep 8, 2015 (48 d) |
| Jeffrey Donald Ryan Mcgrew | Td Ameritrade Investment Management, LLC other | Fisher Investments independent RIA | Other | Jul 20, 2015 | Nov 5, 2020 (1935 d) |
| Ryan Michael Sullivan | Td Ameritrade Investment Management, LLC other | Td Ameritrade, Inc. no RAUM | Other | Jul 13, 2015 | Mar 18, 2011 |
| Christian Lawrence Coughlan | Td Ameritrade Investment Management, LLC other | J.P. Morgan Securities LLC wirehouse | Other | Jul 8, 2015 | Jul 14, 2015 |
| Kristopher Alan Heig | Td Ameritrade Investment Management, LLC other | Td Ameritrade, Inc. no RAUM | Other | Jul 2, 2015 | Aug 17, 2007 |
| Beth Rogers Hollister | Td Ameritrade Investment Management, LLC other | Td Ameritrade, Inc. no RAUM | Other | Jul 2, 2015 | Nov 1, 2011 |
| Mark Wade Wierda | Td Ameritrade Investment Management, LLC other | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | Jun 25, 2015 | Aug 26, 2015 (62 d) |
| Andrew Steven Ficarra | Td Ameritrade Investment Management, LLC other | Cadence Wealth Management, LLC state registered | Other | Jun 24, 2015 | Feb 28, 2022 (2441 d) |
| Travis Stanley Sewell | Td Ameritrade Investment Management, LLC other | Td Ameritrade, Inc. no RAUM | Other | Jun 22, 2015 | Jul 8, 2013 |
| Victor James Giordano | Td Ameritrade Investment Management, LLC other | Strategic Advisers LLC national BD | Other | Jun 16, 2015 | Jun 23, 2015 |
| Edward Dale Sturdivant | Td Ameritrade Investment Management, LLC other | Scottrade Investment Management other | Other | Jun 16, 2015 | Mar 17, 2016 (275 d) |
| John Bixby Farrell | Td Ameritrade Investment Management, LLC other | Commonwealth Financial Network national BD | Other | Jun 8, 2015 | Jun 8, 2015 |
| Taylor Wan | Td Ameritrade Investment Management, LLC other | Td Ameritrade, Inc. no RAUM | Other | May 29, 2015 | Dec 7, 2007 |
| Michael Christopher Dipenta | Td Ameritrade Investment Management, LLC other | Advice And Planning Services other | Other | May 27, 2015 | Jun 15, 2015 |
| Frederick August Schaefer | Td Ameritrade Investment Management, LLC other | Advice And Planning Services other | Other | May 22, 2015 | Jun 3, 2015 |
| Russell Yarwood | Td Ameritrade Investment Management, LLC other | Strategic Advisers LLC national BD | Other | May 18, 2015 | Jul 6, 2015 (49 d) |
| Katie M. Angelino | Td Ameritrade Investment Management, LLC other | J.P. Morgan Securities LLC wirehouse | Other | May 13, 2015 | Nov 13, 2015 (184 d) |
| Paul C Dziepak | Td Ameritrade Investment Management, LLC other | Fundteq unclassified | Other | May 7, 2015 | Aug 27, 2015 (112 d) |
| Ofer Ben-Menahem | Td Ameritrade Investment Management, LLC other | Td Ameritrade, Inc. no RAUM | Other | May 5, 2015 | Jun 12, 2013 |
| Michael Wesley Bernard | Td Ameritrade Investment Management, LLC other | Wells Fargo Advisors wirehouse | Other | May 4, 2015 | Jan 6, 2017 (613 d) |
| Ryan Towner | Td Ameritrade Investment Management, LLC other | Strategic Advisers LLC national BD | Other | Apr 27, 2015 | Sep 25, 2015 (151 d) |
| David Sebastian Messina | Td Ameritrade Investment Management, LLC other | Scottrade Investment Management other | Other | Apr 27, 2015 | Jan 31, 2017 (645 d) |
| Gregory Allen Hutcheson | Td Ameritrade Investment Management, LLC other | Strategic Advisers LLC national BD | Other | Apr 27, 2015 | May 22, 2015 |
| Cameron Jay Forrey | Td Ameritrade Investment Management, LLC other | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | Apr 23, 2015 | Apr 22, 2015 |
| John Laurence Zimnik | Td Ameritrade Investment Management, LLC other | Charles Schwab & Co., Inc. national BD | Other | Apr 20, 2015 | May 11, 2015 |
| Jared Hendrik Copinga | Td Ameritrade Investment Management, LLC other | The Mutual Fund Store unclassified | Other | Apr 17, 2015 | Apr 20, 2015 |
| Janet L Peterson | Td Ameritrade Investment Management, LLC other | Oppenheimer & Co. Inc. other | Other | Apr 17, 2015 | Jan 21, 2016 (279 d) |
| Suzy Lam | Td Ameritrade Investment Management, LLC other | J.P. Morgan Securities LLC wirehouse | Other | Apr 17, 2015 | Apr 27, 2015 |
| Thiago Dossantos | Td Ameritrade Investment Management, LLC other | Strategic Advisers LLC national BD | Other | Apr 17, 2015 | May 12, 2015 |
| Thomas E Poltersdorf | Td Ameritrade Investment Management, LLC other | MML Investors Services, LLC other | Other | Apr 15, 2015 | May 13, 2015 |
| Stephen T Mcpherson | Td Ameritrade Investment Management, LLC other | Charles Schwab & Co., Inc. national BD | Other | Apr 14, 2015 | Jul 29, 2021 (2298 d) |
| Eulalie Rohelia Stokes | Td Ameritrade Investment Management, LLC other | Scottrade Investment Management other | Other | Apr 13, 2015 | Jan 24, 2017 (652 d) |
| Isaac Lance Eisenhauer | Td Ameritrade Investment Management, LLC other | Cedarline Capital state registered | Other | Apr 7, 2015 | Jan 3, 2023 (2828 d) |
| Sean Michael Carson | Td Ameritrade Investment Management, LLC other | Strategic Advisers LLC national BD | Other | Apr 7, 2015 | Apr 22, 2015 |
| David Scott Culver | Td Ameritrade Investment Management, LLC other | Strategic Advisers LLC national BD | Other | Apr 2, 2015 | Nov 28, 2016 (606 d) |
| Craig Jeffrey Jennings | Td Ameritrade Investment Management, LLC other | Td Ameritrade, Inc. no RAUM | Other | Apr 1, 2015 | Nov 13, 2014 |
| Jacob Robert Goddard | Td Ameritrade Investment Management, LLC other | Advice And Planning Services other | Other | Mar 26, 2015 | Apr 10, 2015 |
| Roberto Antonio Rodriguez | Td Ameritrade Investment Management, LLC other | T. Rowe Price Advisory Services, Inc. no RAUM | Other | Mar 23, 2015 | Nov 4, 2015 (226 d) |
| Jason Schroeder | Td Ameritrade Investment Management, LLC other | Axos Invest, Inc independent RIA | Other | Mar 18, 2015 | Oct 12, 2021 (2400 d) |
| James Robert Quigley | Td Ameritrade Investment Management, LLC other | E*Trade Capital Management, LLC other | Other | Mar 18, 2015 | Nov 23, 2015 (250 d) |
| Paul Robert Wick | Td Ameritrade Investment Management, LLC other | Orion Portfolio Solutions, LLC other | Other | Mar 18, 2015 | Apr 22, 2015 (35 d) |
| Dennis J Oconnell | Td Ameritrade Investment Management, LLC other | Td Ameritrade, Inc. no RAUM | Other | Mar 4, 2015 | May 11, 2012 |
| Jonathan Ryan Mefford | Td Ameritrade Investment Management, LLC other | Charles Schwab & Co., Inc. national BD | Other | Mar 4, 2015 | Mar 19, 2015 |