| John F Coyle | Td Ameritrade Investment Management, LLC independent RIA | Raymond James & Associates, Inc. national BD | RIA to affiliated broker-dealer or bank | Dec 31, 2020 | Mar 11, 2021 (70 d) |
| Alcira Christina | Td Ameritrade Investment Management, LLC independent RIA | Missionsquare Retirement institutional | Other | Dec 31, 2020 | Jul 13, 2023 (924 d) |
| Kelly Ileen Jordan | Td Ameritrade Investment Management, LLC independent RIA | Northwestern Mutual Investment Services,LLC no RAUM | Other | Dec 31, 2020 | May 25, 2022 (510 d) |
| William Ross Gorman | Td Ameritrade Investment Management, LLC independent RIA | Fisher Investments independent RIA | RIA to RIA | Dec 31, 2020 | Jan 15, 2021 |
| Robert James Murphy | Td Ameritrade Investment Management, LLC independent RIA | United Asset Strategies Inc. independent RIA | RIA to RIA | Dec 31, 2020 | Mar 2, 2022 (426 d) |
| Jeffrey Scott Sundberg | Td Ameritrade Investment Management, LLC independent RIA | Fidelity Personal And Workplace Advisors BD affiliated | RIA to affiliated broker-dealer or bank | Dec 31, 2020 | Jan 10, 2022 (375 d) |
| Adam Riback | Td Ameritrade Investment Management, LLC independent RIA | Fidelity Personal And Workplace Advisors BD affiliated | RIA to affiliated broker-dealer or bank | Dec 31, 2020 | Jul 2, 2021 (183 d) |
| Kurt A Meyers | Td Ameritrade Investment Management, LLC independent RIA | Fidelity Personal And Workplace Advisors BD affiliated | RIA to affiliated broker-dealer or bank | Dec 31, 2020 | Nov 3, 2022 (672 d) |
| Brian Joseph Zindell | Td Ameritrade Investment Management, LLC independent RIA | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | RIA to wirehouse | Dec 31, 2020 | Oct 31, 2022 (669 d) |
| Thomas Schilling | Td Ameritrade Investment Management, LLC independent RIA | Td Private Client Wealth LLC BD affiliated | RIA to affiliated broker-dealer or bank | Dec 31, 2020 | Jul 22, 2021 (203 d) |
| Alejandro Cebrian | Td Ameritrade Investment Management, LLC independent RIA | J.P. Morgan Securities LLC wirehouse | RIA to wirehouse | Dec 31, 2020 | Jan 25, 2021 |
| Sean Patrick Clary | Td Ameritrade Investment Management, LLC independent RIA | Bridgeway Wealth Partners, LLC independent RIA | RIA to RIA | Dec 31, 2020 | Sep 5, 2021 (248 d) |
| Adam Jaros | Td Ameritrade Investment Management, LLC independent RIA | Sierra Investment Management, LLC independent RIA | RIA to RIA | Dec 31, 2020 | Jun 24, 2021 (175 d) |
| Naim Cukovic | Td Ameritrade Investment Management, LLC independent RIA | Td Private Client Wealth LLC BD affiliated | RIA to affiliated broker-dealer or bank | Dec 31, 2020 | Nov 5, 2021 (309 d) |
| Andrew Wade Dupont | Td Ameritrade Investment Management, LLC independent RIA | Vanguard Advisers, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Dec 31, 2020 | Mar 27, 2023 (816 d) |
| Brian M Schwab | Td Ameritrade Investment Management, LLC independent RIA | E*Trade Capital Management, LLC independent RIA | RIA to RIA | Dec 31, 2020 | Jul 14, 2021 (195 d) |
| Jonas Cole Killeen | Td Ameritrade Investment Management, LLC independent RIA | Empower Advisory Group, LLC other | Other | Dec 31, 2020 | Apr 7, 2021 (97 d) |
| Derek Adnams | Td Ameritrade Investment Management, LLC independent RIA | Wells Fargo Advisors wirehouse | RIA to wirehouse | Dec 31, 2020 | Feb 24, 2021 (55 d) |
| Robert Mantle | Td Ameritrade Investment Management, LLC independent RIA | Td Private Client Wealth LLC BD affiliated | RIA to affiliated broker-dealer or bank | Dec 31, 2020 | Jan 4, 2023 (734 d) |
| Timothy John Plush | Td Ameritrade Investment Management, LLC independent RIA | Fidelity Personal And Workplace Advisors BD affiliated | RIA to affiliated broker-dealer or bank | Dec 31, 2020 | Nov 28, 2022 (697 d) |
| Paulina Sepulveda Welcker | Td Ameritrade Investment Management, LLC independent RIA | Pnc Wealth Management BD affiliated | RIA to affiliated broker-dealer or bank | Dec 31, 2020 | Mar 8, 2023 (797 d) |
| Brian A. Carlin | Td Ameritrade Investment Management, LLC independent RIA | E*Trade Capital Management, LLC independent RIA | RIA to RIA | Dec 31, 2020 | Jan 5, 2021 |
| Derric Hoover | Td Ameritrade Investment Management, LLC independent RIA | Cwm, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Dec 31, 2020 | Jan 28, 2021 |
| Konstantinos Pagiazitis | Td Ameritrade Investment Management, LLC independent RIA | Bridgeway Wealth Partners, LLC other | Other | Dec 31, 2020 | Jan 8, 2021 |
| Ramon Hernandez | Td Ameritrade Investment Management, LLC independent RIA | Td Private Client Wealth LLC BD affiliated | RIA to affiliated broker-dealer or bank | Dec 31, 2020 | Apr 23, 2021 (113 d) |
| James Ian Scroggs | Td Ameritrade Investment Management, LLC independent RIA | Advice And Planning Services BD affiliated | RIA to affiliated broker-dealer or bank | Dec 31, 2020 | Jun 28, 2021 (179 d) |
| Brandon Wolk | Td Ameritrade Investment Management, LLC independent RIA | Commonwealth Financial Network national BD | RIA to affiliated broker-dealer or bank | Dec 31, 2020 | Jul 19, 2021 (200 d) |
| Matthew R. Coughlin | Td Ameritrade Investment Management, LLC independent RIA | J.P. Morgan Securities LLC wirehouse | RIA to wirehouse | Dec 31, 2020 | Jul 20, 2021 (201 d) |
| Nazley R Wilson | Td Ameritrade Investment Management, LLC independent RIA | Sequoia Financial Group, L.L.C. independent RIA | RIA to RIA | Dec 31, 2020 | Aug 17, 2021 (229 d) |
| Lilian Huang | Td Ameritrade Investment Management, LLC independent RIA | J.P. Morgan Securities LLC wirehouse | RIA to wirehouse | Dec 31, 2020 | Jan 26, 2021 |
| Tyler Strickland | Td Ameritrade Investment Management, LLC independent RIA | Fidelity Personal And Workplace Advisors BD affiliated | RIA to affiliated broker-dealer or bank | Dec 31, 2020 | Mar 22, 2021 (81 d) |
| John Konefal | Td Ameritrade Investment Management, LLC independent RIA | Northwestern Mutual Investment Services,LLC no RAUM | Other | Dec 31, 2020 | Feb 3, 2021 (34 d) |
| John Anthony Giamanco | Td Ameritrade Investment Management, LLC independent RIA | Fisher Investments independent RIA | RIA to RIA | Dec 31, 2020 | Mar 23, 2021 (82 d) |
| Matthew Jannone | Td Ameritrade Investment Management, LLC independent RIA | Fidelity Personal And Workplace Advisors BD affiliated | RIA to affiliated broker-dealer or bank | Dec 31, 2020 | Feb 25, 2021 (56 d) |
| Micah Tyler Inman | Td Ameritrade Investment Management, LLC independent RIA | Fisher Investments independent RIA | RIA to RIA | Dec 31, 2020 | Mar 19, 2021 (78 d) |
| Joshua Indykiewicz | Td Ameritrade Investment Management, LLC independent RIA | Valic Financial Advisors, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Dec 31, 2020 | Jul 15, 2026 (2022 d) |
| Alexander Cepero | Td Ameritrade Investment Management, LLC independent RIA | Truist Advisory Services, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Dec 31, 2020 | Jan 25, 2021 |
| Scott Miller | Td Ameritrade Investment Management, LLC independent RIA | Charles Schwab & Co., Inc. national BD | RIA to affiliated broker-dealer or bank | Dec 23, 2020 | Dec 23, 2020 |
| Nazma Begum | Td Ameritrade Investment Management, LLC independent RIA | Valic Financial Advisors, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Dec 22, 2020 | Jul 19, 2022 (574 d) |
| Jarvis Hall | Td Ameritrade Investment Management, LLC independent RIA | Fisher Investments independent RIA | RIA to RIA | Dec 18, 2020 | Mar 29, 2021 (101 d) |
| Jason Cvetkovich | Td Ameritrade Investment Management, LLC independent RIA | Pnc Wealth Management BD affiliated | RIA to affiliated broker-dealer or bank | Dec 15, 2020 | Dec 16, 2020 |
| Jeffrey William-Powers Tuttle | Td Ameritrade Investment Management, LLC independent RIA | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | RIA to wirehouse | Dec 11, 2020 | Dec 11, 2020 |
| Carlo Medina | Td Ameritrade Investment Management, LLC independent RIA | J.P. Morgan Securities LLC wirehouse | RIA to wirehouse | Dec 10, 2020 | Dec 21, 2020 |
| Jordan Stover | Td Ameritrade Investment Management, LLC independent RIA | Fortis Capital Management LLC mixed wealth | RIA to RIA | Dec 10, 2020 | Jan 31, 2021 (52 d) |
| Charles B Carroll | Td Ameritrade Investment Management, LLC independent RIA | Edward Jones national BD | RIA to affiliated broker-dealer or bank | Dec 8, 2020 | May 1, 2024 (1240 d) |
| Emily Donaldson | Td Ameritrade Investment Management, LLC independent RIA | Wells Fargo Advisors wirehouse | RIA to wirehouse | Dec 8, 2020 | May 5, 2021 (148 d) |
| Andrew Guelker | Td Ameritrade Investment Management, LLC independent RIA | Wells Fargo Advisors wirehouse | RIA to wirehouse | Dec 8, 2020 | May 18, 2021 (161 d) |
| Paul-Patrick Perseo | Td Ameritrade Investment Management, LLC independent RIA | Fidelity Personal And Workplace Advisors BD affiliated | RIA to affiliated broker-dealer or bank | Dec 4, 2020 | Feb 10, 2021 (68 d) |
| Sean Michael Newman | Td Ameritrade Investment Management, LLC independent RIA | J.P. Morgan Securities LLC wirehouse | RIA to wirehouse | Dec 4, 2020 | Dec 24, 2020 |
| Fernando Martin Davila | Td Ameritrade Investment Management, LLC independent RIA | Principal Securities, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Dec 4, 2020 | Apr 2, 2021 (119 d) |
| David Abraham Sirin | Td Ameritrade Investment Management, LLC independent RIA | Tamar Securities, LLC independent RIA | RIA to RIA | Dec 3, 2020 | Dec 23, 2020 |
| Estevan David Escarsega | Td Ameritrade Investment Management, LLC independent RIA | J.P. Morgan Securities LLC wirehouse | RIA to wirehouse | Dec 1, 2020 | Dec 21, 2020 |
| Richard Lee | Td Ameritrade Investment Management, LLC independent RIA | Fidelity Personal And Workplace Advisors BD affiliated | RIA to affiliated broker-dealer or bank | Nov 26, 2020 | Jan 20, 2021 (55 d) |
| Matthew Thomas Crawford | Td Ameritrade Investment Management, LLC independent RIA | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | RIA to wirehouse | Nov 25, 2020 | Nov 23, 2020 |
| Zachary Laidlaw | Td Ameritrade Investment Management, LLC independent RIA | Td Ameritrade, Inc. no RAUM | Other | Nov 20, 2020 | Nov 27, 2018 |
| David A Stevens | Td Ameritrade Investment Management, LLC independent RIA | Stratos Wealth Advisors LLC independent RIA | RIA to RIA | Nov 18, 2020 | Nov 13, 2020 |
| Jeremy Pollard | Td Ameritrade Investment Management, LLC independent RIA | Fidelity Personal And Workplace Advisors BD affiliated | RIA to affiliated broker-dealer or bank | Nov 17, 2020 | Feb 4, 2021 (79 d) |
| Erik Blaine Tarpley | Td Ameritrade Investment Management, LLC independent RIA | Td Ameritrade, Inc. no RAUM | Other | Nov 13, 2020 | Apr 19, 2018 |
| Duane Anthony Johnson | Td Ameritrade Investment Management, LLC independent RIA | Executive Wealth Management, LLC independent RIA | RIA to RIA | Nov 5, 2020 | Nov 16, 2020 |
| Tracy Allison New | Td Ameritrade Investment Management, LLC independent RIA | Securian Financial Services, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Nov 5, 2020 | Nov 13, 2020 |