| Bryce Roy | Td Ameritrade Investment Management, LLC independent RIA | J.P. Morgan Securities LLC wirehouse | RIA to wirehouse | Jan 8, 2020 | Feb 12, 2020 (35 d) |
| Shahriar Faraji | Td Ameritrade Investment Management, LLC independent RIA | LPL Financial LLC BD affiliated | RIA to affiliated broker-dealer or bank | Dec 20, 2019 | Sep 3, 2024 (1719 d) |
| Kurt Abitz | Td Ameritrade Investment Management, LLC independent RIA | Fidelity Personal And Workplace Advisors BD affiliated | RIA to affiliated broker-dealer or bank | Dec 13, 2019 | Jan 8, 2020 |
| Robert Ty Webster | Td Ameritrade Investment Management, LLC independent RIA | Td Ameritrade, Inc. no RAUM | Other | Dec 6, 2019 | Apr 9, 2019 |
| Michael Thomas Mcdaid | Td Ameritrade Investment Management, LLC independent RIA | Clg LLC independent RIA | RIA to RIA | Dec 5, 2019 | Dec 18, 2019 |
| Kyle Benjamin Smith | Td Ameritrade Investment Management, LLC independent RIA | MML Investors Services, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Dec 3, 2019 | Mar 19, 2021 (472 d) |
| Susanne T Gibo | Td Ameritrade Investment Management, LLC independent RIA | Td Ameritrade, Inc. no RAUM | Other | Dec 2, 2019 | Sep 27, 2019 |
| Christopher Knox | Td Ameritrade Investment Management, LLC independent RIA | Fisher Investments independent RIA | RIA to RIA | Nov 30, 2019 | Nov 19, 2019 |
| Jennifer L. Bowers | Td Ameritrade Investment Management, LLC independent RIA | Td Ameritrade, Inc. no RAUM | Other | Nov 19, 2019 | Feb 9, 2018 |
| Austin Frost | Td Ameritrade Investment Management, LLC independent RIA | Wells Fargo Advisors wirehouse | RIA to wirehouse | Nov 15, 2019 | Oct 27, 2021 (712 d) |
| Joseph Trotto | Td Ameritrade Investment Management, LLC independent RIA | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | RIA to wirehouse | Nov 10, 2019 | Nov 12, 2019 |
| Calvin J Celentano | Td Ameritrade Investment Management, LLC independent RIA | Fidelity Personal And Workplace Advisors BD affiliated | RIA to affiliated broker-dealer or bank | Nov 7, 2019 | Nov 18, 2019 |
| James R. Gill | Td Ameritrade Investment Management, LLC independent RIA | Wells Fargo Advisors wirehouse | RIA to wirehouse | Nov 6, 2019 | Nov 5, 2019 |
| Christopher David Garcia | Td Ameritrade Investment Management, LLC independent RIA | Cuso Financial Services, L.P. BD affiliated | RIA to affiliated broker-dealer or bank | Oct 31, 2019 | Nov 14, 2019 |
| Alyssa Rene Abbate | Td Ameritrade Investment Management, LLC independent RIA | Fidelity Personal And Workplace Advisors BD affiliated | RIA to affiliated broker-dealer or bank | Oct 31, 2019 | Nov 20, 2019 |
| Brendon Winkler | Td Ameritrade Investment Management, LLC independent RIA | Larson Financial Group, LLC independent RIA | RIA to RIA | Oct 30, 2019 | Mar 25, 2020 (147 d) |
| Jeffrey Francis Carne | Td Ameritrade Investment Management, LLC independent RIA | Ameritas Advisory Services BD affiliated | RIA to affiliated broker-dealer or bank | Oct 30, 2019 | Jan 14, 2020 (76 d) |
| James Ryan Ashbridge | Td Ameritrade Investment Management, LLC independent RIA | Aviance Capital Partners LLC independent RIA | RIA to RIA | Oct 26, 2019 | Nov 21, 2019 |
| Nathan Robert Anderson | Td Ameritrade Investment Management, LLC independent RIA | Mariner BD affiliated | RIA to affiliated broker-dealer or bank | Oct 23, 2019 | Nov 27, 2019 (35 d) |
| Cassidy Lynn Gould | Td Ameritrade Investment Management, LLC independent RIA | Td Ameritrade, Inc. no RAUM | Other | Oct 23, 2019 | Jan 18, 2018 |
| Joshua Richard Carstens | Td Ameritrade Investment Management, LLC independent RIA | Robert W. Baird & Co. Incorporated mixed wealth | RIA to RIA | Oct 17, 2019 | Jan 2, 2020 (77 d) |
| Mitchell Patrik Zaelit | Td Ameritrade Investment Management, LLC independent RIA | Charles Schwab & Co., Inc. national BD | RIA to affiliated broker-dealer or bank | Oct 17, 2019 | Nov 21, 2019 (35 d) |
| Jordan Samuel Engen | Td Ameritrade Investment Management, LLC independent RIA | Charles Schwab & Co., Inc. national BD | RIA to affiliated broker-dealer or bank | Oct 17, 2019 | Aug 2, 2022 (1020 d) |
| James Gregory Sweet | Td Ameritrade Investment Management, LLC independent RIA | Court Place Advisors LLC independent RIA | RIA to RIA | Oct 16, 2019 | Oct 25, 2019 |
| Bradley Dale Schramek | Td Ameritrade Investment Management, LLC independent RIA | LPL Financial LLC BD affiliated | RIA to affiliated broker-dealer or bank | Oct 15, 2019 | Apr 13, 2020 (181 d) |
| Peter Neil Siegling | Td Ameritrade Investment Management, LLC independent RIA | Pruco Securities, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Oct 15, 2019 | Oct 14, 2019 |
| Kyle Larocca | Td Ameritrade Investment Management, LLC independent RIA | Northwestern Mutual Investment Services,LLC no RAUM | Other | Oct 12, 2019 | Mar 4, 2020 (144 d) |
| Chet Steven Eisenmayer | Td Ameritrade Investment Management, LLC independent RIA | Td Ameritrade, Inc. no RAUM | Other | Oct 12, 2019 | Oct 23, 2018 |
| Jonathan Randolph | Td Ameritrade Investment Management, LLC independent RIA | Td Ameritrade, Inc. no RAUM | Other | Oct 12, 2019 | Oct 23, 2018 |
| Garrett Landon West | Td Ameritrade Investment Management, LLC independent RIA | Td Ameritrade, Inc. no RAUM | Other | Oct 12, 2019 | Nov 20, 2018 |
| Corey Leon Laprade | Td Ameritrade Investment Management, LLC independent RIA | Td Ameritrade, Inc. no RAUM | Other | Oct 11, 2019 | Jan 20, 2017 |
| Rafael A Cruz | Td Ameritrade Investment Management, LLC independent RIA | Amerant Investments, Inc. independent RIA | RIA to RIA | Oct 8, 2019 | Nov 7, 2019 |
| Christian David Montero | Td Ameritrade Investment Management, LLC independent RIA | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | RIA to wirehouse | Oct 8, 2019 | Oct 7, 2019 |
| Brett Evans Bingham | Td Ameritrade Investment Management, LLC independent RIA | Ameriprise Financial Services, LLC national BD | RIA to affiliated broker-dealer or bank | Oct 4, 2019 | Oct 16, 2019 |
| Kemon Decorey Neal | Td Ameritrade Investment Management, LLC independent RIA | Td Ameritrade, Inc. no RAUM | Other | Oct 3, 2019 | Feb 19, 2019 |
| Keaton Dale Hickman | Td Ameritrade Investment Management, LLC independent RIA | Fisher Investments independent RIA | RIA to RIA | Sep 27, 2019 | Jan 7, 2020 (102 d) |
| Paul Peterson | Td Ameritrade Investment Management, LLC independent RIA | J.P. Morgan Securities LLC wirehouse | RIA to wirehouse | Sep 24, 2019 | Oct 1, 2019 |
| Lawrence R Kigin | Td Ameritrade Investment Management, LLC independent RIA | Edward Jones national BD | RIA to affiliated broker-dealer or bank | Sep 17, 2019 | Sep 17, 2019 |
| Thomas Francis Ginty | Td Ameritrade Investment Management, LLC independent RIA | Facet independent RIA | RIA to RIA | Sep 11, 2019 | Sep 17, 2019 |
| Jamie Cremeans | Td Ameritrade Investment Management, LLC independent RIA | Empower Advisory Group, LLC institutional | Other | Sep 10, 2019 | Sep 17, 2019 |
| Christine Lynnette Shippey | Td Ameritrade Investment Management, LLC independent RIA | Valic Financial Advisors, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Sep 10, 2019 | Apr 13, 2020 (216 d) |
| Richard Troy Walsh | Td Ameritrade Investment Management, LLC independent RIA | Fidelity Personal And Workplace Advisors BD affiliated | RIA to affiliated broker-dealer or bank | Sep 10, 2019 | Nov 15, 2019 (66 d) |
| Katrina Helle | Td Ameritrade Investment Management, LLC independent RIA | Cambridge Investment Research Advisors, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Sep 10, 2019 | Nov 21, 2019 (72 d) |
| Marissa C Vandenberg | Td Ameritrade Investment Management, LLC independent RIA | Raymond James Financial Services Advisors, Inc BD affiliated | RIA to affiliated broker-dealer or bank | Sep 10, 2019 | Oct 7, 2020 (393 d) |
| Utsav Yogesh Thakkar | Td Ameritrade Investment Management, LLC independent RIA | Fisher Investments independent RIA | RIA to RIA | Sep 10, 2019 | Sep 18, 2019 |
| Natalie Jewells Gamarra Loza | Td Ameritrade Investment Management, LLC independent RIA | Morgan Stanley wirehouse | RIA to wirehouse | Sep 10, 2019 | Sep 25, 2020 (381 d) |
| Carlos Joshua Arteaga | Td Ameritrade Investment Management, LLC independent RIA | Advice And Planning Services BD affiliated | RIA to affiliated broker-dealer or bank | Sep 10, 2019 | Oct 21, 2019 (41 d) |
| Riley R. Andren | Td Ameritrade Investment Management, LLC independent RIA | E*Trade Capital Management, LLC independent RIA | RIA to RIA | Sep 10, 2019 | Sep 5, 2019 |
| Thomas Vincent Kelly | Td Ameritrade Investment Management, LLC independent RIA | Curi Capital independent RIA | RIA to RIA | Sep 10, 2019 | Nov 1, 2021 (783 d) |
| Hayden G Leonard | Td Ameritrade Investment Management, LLC independent RIA | First Citizens Investor Services, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Sep 10, 2019 | Dec 18, 2019 (99 d) |
| Karishma Lakhani | Td Ameritrade Investment Management, LLC independent RIA | Fisher Investments independent RIA | RIA to RIA | Aug 29, 2019 | Sep 18, 2019 |
| Anthony Michael Naughton | Td Ameritrade Investment Management, LLC independent RIA | Charles Schwab & Co., Inc. national BD | RIA to affiliated broker-dealer or bank | Aug 29, 2019 | Jun 4, 2021 (645 d) |
| Gregory F Heninger | Td Ameritrade Investment Management, LLC independent RIA | E*Trade Capital Management, LLC independent RIA | RIA to RIA | Aug 29, 2019 | Sep 9, 2019 |
| Brian Christopher Hughes | Td Ameritrade Investment Management, LLC independent RIA | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | RIA to wirehouse | Aug 16, 2019 | Oct 21, 2020 (432 d) |
| Michael Vincent Paolucci | Td Ameritrade Investment Management, LLC independent RIA | Fidelity Personal And Workplace Advisors BD affiliated | RIA to affiliated broker-dealer or bank | Aug 16, 2019 | Sep 11, 2019 |
| Alex Manuel Negron | Td Ameritrade Investment Management, LLC independent RIA | Fidelity Personal And Workplace Advisors BD affiliated | RIA to affiliated broker-dealer or bank | Aug 15, 2019 | Aug 29, 2019 |
| Matthew Edward Cleary | Td Ameritrade Investment Management, LLC independent RIA | Finivi Inc. independent RIA | RIA to RIA | Aug 14, 2019 | Aug 15, 2019 |
| Veronika O Lysyanska | Td Ameritrade Investment Management, LLC independent RIA | Morgan Stanley wirehouse | RIA to wirehouse | Aug 14, 2019 | Oct 30, 2019 (77 d) |
| Joshua Nathanial Pauli | Td Ameritrade Investment Management, LLC independent RIA | U.S. Bancorp Investments, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Aug 14, 2019 | Aug 12, 2019 |
| Brent A Young | Td Ameritrade Investment Management, LLC independent RIA | Frost Investment Services BD affiliated | RIA to affiliated broker-dealer or bank | Jul 25, 2019 | Jul 31, 2019 |