| Brian Dougles Libich | Td Ameritrade Investment Management, LLC other | Cetera Investment Advisers LLC other | Other | Mar 3, 2015 | Apr 13, 2015 (41 d) |
| Matthew Brian Lambert | Td Ameritrade Investment Management, LLC other | The Mutual Fund Store other | Other | Mar 3, 2015 | Mar 24, 2015 |
| Justin Riley Spitler | Td Ameritrade Investment Management, LLC other | Jackson Wealth Management, LLC other | Other | Mar 3, 2015 | Jun 2, 2015 (91 d) |
| Anthony M Domenella | Td Ameritrade Investment Management, LLC other | Scottrade Investment Management other | Other | Feb 25, 2015 | Jan 19, 2017 (694 d) |
| Ryan A Storbrauck | Td Ameritrade Investment Management, LLC other | Blackrock Investment Management, LLC other | Other | Feb 20, 2015 | Feb 24, 2015 |
| David Haertel | Td Ameritrade Investment Management, LLC other | Strategic Advisers LLC national BD | Other | Feb 9, 2015 | Apr 7, 2016 (423 d) |
| Joseph Query | Td Ameritrade Investment Management, LLC other | Strategic Wealth Partners, Ltd. other | Other | Feb 5, 2015 | Jan 14, 2016 (343 d) |
| Kevin Duane Mayo | Td Ameritrade Investment Management, LLC other | Bancwest Investment Services, Inc. (Bwis) other | Other | Jan 26, 2015 | Jan 30, 2015 |
| Bert L Boutte | Td Ameritrade Investment Management, LLC other | Td Ameritrade, Inc. no RAUM | Other | Jan 21, 2015 | Jun 15, 2007 |
| Kevin Malone | Td Ameritrade Investment Management, LLC other | Umb Financial Services, Inc. no RAUM | Other | Jan 20, 2015 | Apr 14, 2015 (84 d) |
| Edward C Keenan | Td Ameritrade Investment Management, LLC other | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | Jan 20, 2015 | Feb 24, 2015 (35 d) |
| David Anthony Espineira | Td Ameritrade Investment Management, LLC other | Td Ameritrade, Inc. no RAUM | Other | Jan 15, 2015 | Jan 20, 2011 |
| Brannon Thomas Lambert | Td Ameritrade Investment Management, LLC other | Nfp Advisor Services, LLC other | Other | Jan 8, 2015 | Jan 5, 2015 |
| Joseph John Kelly | Td Ameritrade Investment Management, LLC other | LPL Financial LLC other | Other | Jan 6, 2015 | Apr 29, 2015 (113 d) |
| Christopher Clarke Gilmor | Td Ameritrade Investment Management, LLC other | Td Ameritrade, Inc. no RAUM | Other | Jan 6, 2015 | Dec 4, 2013 |
| Johnny C Fowler | Td Ameritrade Investment Management, LLC other | Mcelhenny Sheffield Capital Management, LLC other | Other | Jan 6, 2015 | Jan 13, 2015 |
| Philip Andrew Baxley | Td Ameritrade Investment Management, LLC other | Advice And Planning Services other | Other | Dec 23, 2014 | Jan 9, 2015 |
| Raul Arguilla Sonza | Td Ameritrade Investment Management, LLC other | Friel Asset Management, LLC unclassified | Other | Dec 22, 2014 | Jan 7, 2015 |
| Christopher Frank Palamara | Td Ameritrade Investment Management, LLC other | Nfp Advisor Services, LLC other | Other | Dec 22, 2014 | Dec 10, 2014 |
| Christopher Lee Johns | Td Ameritrade Investment Management, LLC other | Spark Wealth Advisors state registered | Other | Dec 16, 2014 | Jan 24, 2023 (2961 d) |
| Michael Waldorf Puck | Td Ameritrade Investment Management, LLC other | J.P. Morgan Securities LLC wirehouse | Other | Dec 16, 2014 | Jan 7, 2015 |
| Krista Alyson Ramroop | Td Ameritrade Investment Management, LLC other | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | Dec 9, 2014 | Mar 23, 2015 (104 d) |
| Nancy Christine Parylak | Td Ameritrade Investment Management, LLC other | E*Trade Capital Management, LLC other | Other | Dec 8, 2014 | Jan 5, 2015 |
| Marc Alan Normann | Td Ameritrade Investment Management, LLC other | Td Ameritrade, Inc. no RAUM | Other | Dec 8, 2014 | Jul 23, 2009 |
| Anthony L Brewer | Td Ameritrade Investment Management, LLC other | Thrivent Investment Management Inc. BD affiliated | Other | Dec 2, 2014 | Jul 7, 2026 (4235 d) |
| Lori Anne Mondello | Td Ameritrade Investment Management, LLC other | Mercer Global Advisors Inc. other | Other | Dec 1, 2014 | Dec 18, 2014 |
| Jennifer Ellen Kingston | Td Ameritrade Investment Management, LLC other | Stifel, Nicolaus & Company, Incorporated national BD | Other | Dec 1, 2014 | Feb 9, 2015 (70 d) |
| Matthew S Ramos | Td Ameritrade Investment Management, LLC other | Scottrade Investment Management other | Other | Nov 10, 2014 | Sep 15, 2016 (675 d) |
| Matthew Charles Ulrick | Td Ameritrade Investment Management, LLC other | Financial Engines Advisor Center, LLC other | Other | Nov 10, 2014 | Nov 18, 2014 |
| Ronald Ian Goldgewert | Td Ameritrade Investment Management, LLC other | UBS Financial Services Inc. wirehouse | Other | Nov 3, 2014 | Sep 17, 2015 (318 d) |
| Michael Hermann | Td Ameritrade Investment Management, LLC other | Scottrade Investment Management other | Other | Nov 3, 2014 | Nov 3, 2014 |
| Kenneth David Connally | Td Ameritrade Investment Management, LLC other | Strategic Advisers LLC national BD | Other | Nov 3, 2014 | Dec 1, 2014 |
| Cameron Ryan Prewitt | Td Ameritrade Investment Management, LLC other | Scottrade Investment Management other | Other | Oct 31, 2014 | Sep 15, 2016 (685 d) |
| Matt Heintz | Td Ameritrade Investment Management, LLC other | Pnc Wealth Management other | Other | Oct 28, 2014 | Oct 17, 2014 |
| Ryan Leslie Lachmansingh | Td Ameritrade Investment Management, LLC other | Northern Trust Securities, Inc no RAUM | Other | Oct 24, 2014 | Jul 27, 2015 (276 d) |
| Jason M Hall | Td Ameritrade Investment Management, LLC other | Donaldson Capital Management LLC other | Other | Oct 23, 2014 | Dec 8, 2014 (46 d) |
| Bridget Erin Costello | Td Ameritrade Investment Management, LLC other | Kayne Anderson Rudnick Investment Management, LLC other | Other | Oct 21, 2014 | Oct 29, 2015 (373 d) |
| Matthew James Kitzman | Td Ameritrade Investment Management, LLC other | The Mutual Fund Store other | Other | Oct 15, 2014 | Oct 16, 2014 |
| Paul Thomas Dunnicliffe | Td Ameritrade Investment Management, LLC other | Td Ameritrade, Inc. no RAUM | Other | Oct 8, 2014 | Sep 9, 2010 |
| Jennifer Solis | Td Ameritrade Investment Management, LLC other | Wells Fargo Advisors wirehouse | Other | Oct 8, 2014 | Oct 30, 2014 |
| Luke Aaron Andreassen | Td Ameritrade Investment Management, LLC other | Scottrade Investment Management other | Other | Oct 3, 2014 | Sep 12, 2016 (710 d) |
| Andres Eduardo Medina | Td Ameritrade Investment Management, LLC other | Creative Planning other | Other | Sep 29, 2014 | Sep 29, 2014 |
| James C Haggard | Td Ameritrade Investment Management, LLC other | Advice And Planning Services other | Other | Sep 17, 2014 | Sep 22, 2014 |
| Scott Robert Greenlee | Td Ameritrade Investment Management, LLC other | Robert W. Baird & Co. Incorporated other | Other | Sep 16, 2014 | Feb 9, 2015 (146 d) |
| Matt Gregg Addington | Td Ameritrade Investment Management, LLC other | Strategic Advisers LLC national BD | Other | Sep 11, 2014 | Nov 12, 2014 (62 d) |
| Camilla Marie Fuller | Td Ameritrade Investment Management, LLC other | Signal Securities, Inc. other | Other | Sep 10, 2014 | Mar 24, 2015 (195 d) |
| Edward Bryant Byrd | Td Ameritrade Investment Management, LLC other | Td Ameritrade, Inc. no RAUM | Other | Sep 10, 2014 | Mar 17, 2009 |
| Karla Sordo | Td Ameritrade Investment Management, LLC other | Fidelity Personal And Workplace Advisors no RAUM | Other | Sep 10, 2014 | Aug 2, 2018 (1422 d) |
| Brenda Leann Anderson | Td Ameritrade Investment Management, LLC other | Securities America Advisors, Inc. other | Other | Sep 8, 2014 | Sep 9, 2014 |
| Leah Jane Jones | Td Ameritrade Investment Management, LLC other | Citigroup Global Markets Inc. other | Other | Aug 21, 2014 | Sep 5, 2014 |
| Garari Eli Mikel | Td Ameritrade Investment Management, LLC other | Clockwise Capital LLC independent RIA | Other | Aug 21, 2014 | Apr 7, 2015 (229 d) |
| Winston Orlando Walters | Td Ameritrade Investment Management, LLC other | Morgan Stanley wirehouse | Other | Aug 20, 2014 | Nov 10, 2014 (82 d) |
| Matthew Lawrence Preddy | Td Ameritrade Investment Management, LLC other | Edelman Financial Services, LLC other | Other | Aug 19, 2014 | Sep 15, 2014 |
| Jeffrey L Martinez | Td Ameritrade Investment Management, LLC other | Td Ameritrade, Inc. no RAUM | Other | Aug 18, 2014 | Mar 27, 2013 |
| Marques T Cormier | Td Ameritrade Investment Management, LLC other | Zt Wealth Advisory unclassified | Other | Aug 18, 2014 | Jun 8, 2016 (660 d) |
| Kimberly Louise Jamieson | Td Ameritrade Investment Management, LLC other | The Mutual Fund Store other | Other | Aug 15, 2014 | Aug 22, 2014 |
| George P. Conkle | Td Ameritrade Investment Management, LLC other | Td Ameritrade, Inc. no RAUM | Other | Aug 14, 2014 | Nov 1, 2012 |
| Mark Brian Smalley | Td Ameritrade Investment Management, LLC other | Pnc Wealth Management other | Other | Aug 13, 2014 | Nov 13, 2014 (92 d) |
| Edward John Zbylut | Td Ameritrade Investment Management, LLC other | Td Ameritrade, Inc. no RAUM | Other | Aug 4, 2014 | Jul 27, 2007 |
| Meghan Raeann Cady | Td Ameritrade Investment Management, LLC other | Oneamerica Securities, Inc. other | Other | Aug 4, 2014 | Jul 6, 2016 (702 d) |