| Matthew J. Cartin | Td Ameritrade Investment Management, LLC independent RIA | Fidelity Personal And Workplace Advisors BD affiliated | RIA to affiliated broker-dealer or bank | May 19, 2020 | Jun 8, 2020 |
| Samia Tony Elias | Td Ameritrade Investment Management, LLC independent RIA | Fidelity Personal And Workplace Advisors BD affiliated | RIA to affiliated broker-dealer or bank | May 19, 2020 | Jul 21, 2020 (63 d) |
| William R Postma | Td Ameritrade Investment Management, LLC independent RIA | Cwm, LLC BD affiliated | RIA to affiliated broker-dealer or bank | May 19, 2020 | May 18, 2020 |
| James Sylvia | Td Ameritrade Investment Management, LLC independent RIA | Fidelity Personal And Workplace Advisors BD affiliated | RIA to affiliated broker-dealer or bank | May 13, 2020 | Jul 1, 2020 (49 d) |
| Cameron Blake Simmons | Td Ameritrade Investment Management, LLC independent RIA | Td Ameritrade, Inc. no RAUM | Other | May 12, 2020 | Apr 12, 2018 |
| Matthew Brendon Crow | Td Ameritrade Investment Management, LLC independent RIA | Ep Wealth Advisors independent RIA | RIA to RIA | May 5, 2020 | May 22, 2020 |
| Narine Videsh Bhola | Td Ameritrade Investment Management, LLC independent RIA | Td Ameritrade, Inc. no RAUM | Other | May 2, 2020 | Mar 1, 2018 |
| Dustin Wayne Kennedy | Td Ameritrade Investment Management, LLC independent RIA | Greenleaf Financial Network, LLC independent RIA | RIA to RIA | Apr 28, 2020 | May 1, 2020 |
| Robert Lyles Bellamy | Td Ameritrade Investment Management, LLC independent RIA | Wells Fargo Advisors wirehouse | RIA to wirehouse | Apr 28, 2020 | Jul 20, 2020 (83 d) |
| James Hull Garman | Td Ameritrade Investment Management, LLC independent RIA | Fidelity Personal And Workplace Advisors BD affiliated | RIA to affiliated broker-dealer or bank | Apr 28, 2020 | Sep 22, 2020 (147 d) |
| Eric A Group | Td Ameritrade Investment Management, LLC independent RIA | Integrated Advisors Network LLC independent RIA | RIA to RIA | Apr 28, 2020 | Jul 22, 2020 (85 d) |
| Adam Lynn Entwisle | Td Ameritrade Investment Management, LLC independent RIA | Fbl Wealth Management, LLC no RAUM | Other | Apr 28, 2020 | Jun 5, 2020 (38 d) |
| Friend Michael Williams | Td Ameritrade Investment Management, LLC independent RIA | Park Avenue Securities LLC BD affiliated | RIA to affiliated broker-dealer or bank | Apr 28, 2020 | Dec 3, 2020 (219 d) |
| Kevin White | Td Ameritrade Investment Management, LLC independent RIA | Ameriprise Financial Services, LLC national BD | RIA to affiliated broker-dealer or bank | Apr 28, 2020 | Apr 29, 2020 |
| Tony Nicholas Harrison | Td Ameritrade Investment Management, LLC independent RIA | Charles Schwab & Co., Inc. national BD | RIA to affiliated broker-dealer or bank | Apr 21, 2020 | May 6, 2020 |
| Grace Arecchi | Td Ameritrade Investment Management, LLC independent RIA | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | RIA to wirehouse | Apr 21, 2020 | Apr 15, 2020 |
| Jeffrey Davis | Td Ameritrade Investment Management, LLC independent RIA | Fifth Third Securities, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Apr 17, 2020 | Jan 20, 2022 (643 d) |
| Mario Hermilo Gonzalez | Td Ameritrade Investment Management, LLC independent RIA | Morgan Stanley wirehouse | RIA to wirehouse | Apr 14, 2020 | May 28, 2020 (44 d) |
| Jeffrey M Law | Td Ameritrade Investment Management, LLC independent RIA | Fidelity Personal And Workplace Advisors BD affiliated | RIA to affiliated broker-dealer or bank | Apr 7, 2020 | Apr 10, 2020 |
| Maxwell Bauer Bromley | Td Ameritrade Investment Management, LLC independent RIA | Morningstar Investment Services LLC independent RIA | RIA to RIA | Apr 7, 2020 | Jun 22, 2020 (76 d) |
| Janny Eid | Td Ameritrade Investment Management, LLC independent RIA | Fidelity Personal And Workplace Advisors BD affiliated | RIA to affiliated broker-dealer or bank | Apr 4, 2020 | Sep 15, 2021 (529 d) |
| Cesar E Fierro | Td Ameritrade Investment Management, LLC independent RIA | Independent Financial Group, LLC independent RIA | RIA to RIA | Apr 2, 2020 | Mar 24, 2021 (356 d) |
| Lamar Remy | Td Ameritrade Investment Management, LLC independent RIA | Northern Trust Securities, Inc BD affiliated | RIA to affiliated broker-dealer or bank | Apr 2, 2020 | Jan 5, 2021 (278 d) |
| Paul Johnson | Td Ameritrade Investment Management, LLC independent RIA | Td Ameritrade, Inc. no RAUM | Other | Mar 31, 2020 | Jul 25, 2018 |
| Joseph Allen Mcclung | Td Ameritrade Investment Management, LLC independent RIA | J.P. Morgan Securities LLC wirehouse | RIA to wirehouse | Mar 27, 2020 | Jun 17, 2020 (82 d) |
| Kyle M Lonsinger | Td Ameritrade Investment Management, LLC independent RIA | Td Ameritrade, Inc. no RAUM | Other | Mar 24, 2020 | Jan 14, 2019 |
| Bradley Mark Welter | Td Ameritrade Investment Management, LLC independent RIA | J.P. Morgan Securities LLC wirehouse | RIA to wirehouse | Mar 19, 2020 | May 8, 2020 (50 d) |
| Brian Lowell Short | Td Ameritrade Investment Management, LLC independent RIA | Td Ameritrade, Inc. no RAUM | Other | Mar 17, 2020 | Apr 6, 2015 |
| Michael Stephen Muldoon | Td Ameritrade Investment Management, LLC independent RIA | Spire Wealth Management, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Mar 11, 2020 | Mar 10, 2020 |
| Michael John Hales | Td Ameritrade Investment Management, LLC independent RIA | D.A. Davidson & Co. independent RIA | RIA to RIA | Mar 10, 2020 | Apr 3, 2020 |
| Eric Sink | Td Ameritrade Investment Management, LLC independent RIA | Td Ameritrade, Inc. no RAUM | Other | Mar 2, 2020 | Dec 11, 2018 |
| Andrew Babin | Td Ameritrade Investment Management, LLC independent RIA | Citigroup Global Markets Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Mar 2, 2020 | Mar 24, 2020 |
| Gerald Krager | Td Ameritrade Investment Management, LLC independent RIA | Ally Invest Advisors independent RIA | RIA to RIA | Feb 29, 2020 | Mar 26, 2020 |
| William Casen Guge | Td Ameritrade Investment Management, LLC independent RIA | Td Ameritrade, Inc. no RAUM | Other | Feb 29, 2020 | Mar 1, 2017 |
| Matthew Michael Lessard | Td Ameritrade Investment Management, LLC independent RIA | J.P. Morgan Securities LLC wirehouse | RIA to wirehouse | Feb 26, 2020 | Mar 11, 2020 |
| Brian Jacob Knapp | Td Ameritrade Investment Management, LLC independent RIA | Northwestern Mutual Investment Services,LLC no RAUM | Other | Feb 22, 2020 | Apr 17, 2020 (55 d) |
| Omid Sajjadi | Td Ameritrade Investment Management, LLC independent RIA | Fidelity Personal And Workplace Advisors BD affiliated | RIA to affiliated broker-dealer or bank | Feb 22, 2020 | Mar 19, 2020 |
| Wooldy Pierre | Td Ameritrade Investment Management, LLC independent RIA | Fidelity Personal And Workplace Advisors BD affiliated | RIA to affiliated broker-dealer or bank | Feb 19, 2020 | Apr 14, 2020 (55 d) |
| Jennifer Peiffer | Td Ameritrade Investment Management, LLC independent RIA | Stifel, Nicolaus & Company, Incorporated national BD | RIA to affiliated broker-dealer or bank | Feb 19, 2020 | Feb 21, 2020 |
| John P Zinn | Td Ameritrade Investment Management, LLC independent RIA | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | RIA to wirehouse | Feb 14, 2020 | Apr 22, 2020 (68 d) |
| Samantha Denise Newsom | Td Ameritrade Investment Management, LLC independent RIA | Td Ameritrade, Inc. no RAUM | Other | Feb 11, 2020 | Oct 28, 2013 |
| Ian Starkel | Td Ameritrade Investment Management, LLC independent RIA | Td Ameritrade, Inc. no RAUM | Other | Feb 8, 2020 | Mar 6, 2017 |
| Ana Mason | Td Ameritrade Investment Management, LLC independent RIA | Fidelity Personal And Workplace Advisors BD affiliated | RIA to affiliated broker-dealer or bank | Feb 6, 2020 | Feb 21, 2020 |
| Douglas James Ambrose | Td Ameritrade Investment Management, LLC independent RIA | Osaic Fa, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Feb 5, 2020 | Feb 3, 2020 |
| Micah Robert Cummins | Td Ameritrade Investment Management, LLC independent RIA | Td Ameritrade, Inc. no RAUM | Other | Feb 5, 2020 | May 14, 2009 |
| Isaac Ray Whitmore | Td Ameritrade Investment Management, LLC independent RIA | Fidelity Personal And Workplace Advisors BD affiliated | RIA to affiliated broker-dealer or bank | Jan 31, 2020 | Feb 10, 2020 |
| Justin A. Parisi | Td Ameritrade Investment Management, LLC independent RIA | Manning & Napier Advisors, LLC mixed wealth | RIA to RIA | Jan 31, 2020 | Jan 29, 2020 |
| Dhaval Hiren Shah | Td Ameritrade Investment Management, LLC independent RIA | Fidelity Personal And Workplace Advisors BD affiliated | RIA to affiliated broker-dealer or bank | Jan 31, 2020 | Feb 12, 2020 |
| Danny Nguyen | Td Ameritrade Investment Management, LLC independent RIA | Td Ameritrade, Inc. no RAUM | Other | Jan 31, 2020 | Feb 6, 2019 |
| Andrew Joseph Verdeyen | Td Ameritrade Investment Management, LLC independent RIA | Cerity Partners Ocio LLC independent RIA | RIA to RIA | Jan 31, 2020 | Jan 14, 2020 |
| Mark Waldron | Td Ameritrade Investment Management, LLC independent RIA | Td Ameritrade, Inc. no RAUM | Other | Jan 17, 2020 | Jun 5, 2017 |
| John P Scollo | Td Ameritrade Investment Management, LLC independent RIA | Facet independent RIA | RIA to RIA | Jan 15, 2020 | Jan 21, 2020 |
| Benjamin Lee Hemer | Td Ameritrade Investment Management, LLC independent RIA | J.P. Morgan Securities LLC wirehouse | RIA to wirehouse | Jan 14, 2020 | Jan 9, 2020 |
| Joseph James Jansen | Td Ameritrade Investment Management, LLC independent RIA | Fidelity Personal And Workplace Advisors BD affiliated | RIA to affiliated broker-dealer or bank | Jan 14, 2020 | Feb 21, 2020 (38 d) |
| Eric Andrew Finch | Td Ameritrade Investment Management, LLC independent RIA | Td Ameritrade, Inc. no RAUM | Other | Jan 10, 2020 | Sep 4, 2019 |
| Marc Henry Michael | Td Ameritrade Investment Management, LLC independent RIA | Td Ameritrade, Inc. no RAUM | Other | Jan 8, 2020 | Feb 24, 2015 |
| Ronny Bendavid | Td Ameritrade Investment Management, LLC independent RIA | Fisher Investments independent RIA | RIA to RIA | Jan 8, 2020 | Feb 4, 2020 |
| Cameron Jon Christeson | Td Ameritrade Investment Management, LLC independent RIA | Fidelity Personal And Workplace Advisors BD affiliated | RIA to affiliated broker-dealer or bank | Jan 8, 2020 | Jan 30, 2020 |
| Darlington Okerulu | Td Ameritrade Investment Management, LLC independent RIA | Morgan Stanley wirehouse | RIA to wirehouse | Jan 8, 2020 | Jun 16, 2020 (160 d) |
| Jasmin Mercedes Martinez | Td Ameritrade Investment Management, LLC independent RIA | Td Ameritrade, Inc. no RAUM | Other | Jan 8, 2020 | Feb 22, 2016 |