| Daniel Bradford Barry | Principal Securities, Inc. other | Lockton Investment Advisors, LLC no RAUM | Other | Jul 14, 2015 | Jul 13, 2015 |
| Larry Dean Goebel | Principal Securities, Inc. other | Voya Financial Advisors, Inc. other | Other | Jul 9, 2015 | Apr 13, 2017 (644 d) |
| Christopher George Dwyer | Principal Securities, Inc. other | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | Jul 7, 2015 | Dec 21, 2016 (533 d) |
| David Michael Davis | Principal Securities, Inc. other | Essex National Securities, Inc. other | Other | Jun 24, 2015 | Jul 13, 2015 |
| Jonathan Phillip Lopez | Principal Securities, Inc. other | Cetera Advisor Networks LLC other | Other | Jun 22, 2015 | Jun 16, 2015 |
| Kristopher Allen Feldmeyer | Principal Securities, Inc. other | Cetera Investment Advisers LLC other | Other | Jun 5, 2015 | Aug 12, 2015 (68 d) |
| Judd David Berube | Principal Securities, Inc. other | Nfp Advisor Services, LLC other | Other | Jun 4, 2015 | Jun 11, 2015 |
| Shawn Plunkett | Principal Securities, Inc. other | Transamerica Financial Advisors, LLC other | Other | May 20, 2015 | May 9, 2017 (720 d) |
| Nick Kaloyios | Principal Securities, Inc. other | Cuna Brokerage Services, Inc. BD affiliated | Other | May 12, 2015 | Aug 21, 2019 (1562 d) |
| Kathryn Mary Humphries | Principal Securities, Inc. other | Northwest Administrators Inc other | Other | May 4, 2015 | Mar 23, 2017 (689 d) |
| Sandra Kay Whitehead | Principal Securities, Inc. other | Cambridge Investment Research Advisors, Inc. other | Other | May 4, 2015 | Jun 1, 2015 |
| Jill Kay Penman | Principal Securities, Inc. other | Nfp Advisor Services, LLC other | Other | Apr 24, 2015 | Oct 15, 2015 (174 d) |
| Donald Joseph Magdon | Principal Securities, Inc. other | Osaic Fa, Inc. other | Other | Apr 7, 2015 | Apr 14, 2015 |
| Jenny Rebecca Elstein | Principal Securities, Inc. other | Prospera Financial Services, Inc. other | Other | Apr 6, 2015 | Apr 9, 2015 |
| Francis Christopher Abbey | Principal Securities, Inc. other | Planmember Securities Corporation independent RIA | Other | Mar 30, 2015 | Apr 15, 2020 (1843 d) |
| Brendan L Hyde | Principal Securities, Inc. other | Compass Advisors independent RIA | Other | Mar 30, 2015 | Oct 14, 2021 (2390 d) |
| Todd Everett Timmerman | Principal Securities, Inc. other | LPL Financial LLC other | Other | Mar 25, 2015 | Mar 9, 2015 |
| Arik Kermit Peterson | Principal Securities, Inc. other | Principal Asset Management other | Other | Mar 19, 2015 | Aug 4, 2016 (504 d) |
| Kyle Andrew Kraus | Principal Securities, Inc. other | Wells Fargo Advisors wirehouse | Other | Mar 9, 2015 | Jun 11, 2015 (94 d) |
| David Christopher Yelle | Principal Securities, Inc. other | Hansen & Associates Financial Group Inc. independent RIA | Other | Mar 6, 2015 | Jan 1, 2025 (3589 d) |
| Guy Cameron Clark | Principal Securities, Inc. other | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | Mar 6, 2015 | Mar 13, 2015 |
| Brent E Carlson | Principal Securities, Inc. other | Kestra Advisory Services, LLC BD affiliated | Other | Mar 2, 2015 | Nov 20, 2018 (1359 d) |
| Robert Edgar Bedritis | Principal Securities, Inc. other | Wellspring Advisors, Inc. independent RIA | Other | Feb 20, 2015 | Feb 23, 2015 |
| Mary Josephine Draayer | Principal Securities, Inc. other | Choreo, LLC other | Other | Feb 18, 2015 | Feb 17, 2015 |
| Danielle Rose Yoch | Principal Securities, Inc. other | Cambridge Investment Research Advisors, Inc. other | Other | Feb 18, 2015 | Feb 2, 2015 |
| Curtis Edward Hollowell | Principal Securities, Inc. other | Redmount Capital Partners LLC state registered | Other | Feb 5, 2015 | Jan 28, 2015 |
| Armen A Grigorian | Principal Securities, Inc. other | Redmount Capital Partners LLC state registered | Other | Feb 5, 2015 | Jan 28, 2015 |
| Kimberly Lynn Oros | Principal Securities, Inc. other | M Holdings Securities, Inc. other | Other | Feb 4, 2015 | Feb 12, 2015 |
| Michael Scott Benoit | Principal Securities, Inc. other | Lockton Investment Advisors, LLC no RAUM | Other | Jan 29, 2015 | Jan 28, 2015 |
| Christopher Michael Schneider | Principal Securities, Inc. other | MML Investors Services, LLC other | Other | Jan 26, 2015 | Aug 10, 2015 (196 d) |
| Gerald Lee Shiner | Principal Securities, Inc. other | Sagepoint Financial, Inc. other | Other | Jan 16, 2015 | Feb 12, 2015 |
| Edward A Cheatham | Principal Securities, Inc. other | B Riley Wealth Management other | Other | Jan 16, 2015 | Jan 9, 2015 |
| Matthew Lawrence Kaas | Principal Securities, Inc. other | Questar Asset Management, Inc. other | Other | Jan 16, 2015 | May 31, 2016 (501 d) |
| James Scott Cave | Principal Securities, Inc. other | Cetera Advisor Networks LLC other | Other | Jan 13, 2015 | Jan 27, 2015 |
| Richard Scott Toban | Principal Securities, Inc. other | Center Street Advisors, Inc. no RAUM | Other | Jan 8, 2015 | Jan 2, 2015 |
| Ralph Edward Martin | Principal Securities, Inc. other | Cambridge Investment Research Advisors, Inc. other | Other | Jan 6, 2015 | Jan 2, 2015 |
| Robert Edward Marino | Principal Securities, Inc. other | Dtm Advisory Group LLC state registered | Other | Dec 31, 2014 | May 24, 2017 (875 d) |
| James Alexander Sayas | Principal Securities, Inc. other | Global View Capital Management LLC other | Other | Dec 31, 2014 | Jan 8, 2015 |
| David Eugene Hopkins | Principal Securities, Inc. other | Great Valley Advisor Group, LLC other | Other | Dec 24, 2014 | Dec 26, 2014 |
| Justin John Zoromski | Principal Securities, Inc. other | Great Valley Advisor Group, LLC other | Other | Dec 24, 2014 | Dec 26, 2014 |
| Timothy D Hinton | Principal Securities, Inc. other | Pnc Wealth Management other | Other | Dec 22, 2014 | Apr 22, 2015 (121 d) |
| Mark Steven Johnson | Principal Securities, Inc. other | Western Wealth Management LLC other | Other | Dec 15, 2014 | Dec 17, 2014 |
| Matthew D Moklestad | Principal Securities, Inc. other | Foster Group, Inc. other | Other | Dec 10, 2014 | Apr 5, 2017 (847 d) |
| Erin Marie Freund | Principal Securities, Inc. other | Wells Fargo Advisors wirehouse | Other | Dec 5, 2014 | Dec 16, 2014 |
| Sheridan Major | Principal Securities, Inc. other | Ameriprise Financial Services, LLC national BD | Other | Dec 5, 2014 | Nov 25, 2014 |
| Angela Brown | Principal Securities, Inc. other | Park Avenue Securities LLC other | Other | Nov 26, 2014 | Nov 17, 2014 |
| Amanda Legler | Principal Securities, Inc. other | Vertical Wealth, LLC state registered | Other | Nov 21, 2014 | Dec 18, 2015 (392 d) |
| Drew Achter | Principal Securities, Inc. other | Scottrade Investment Management other | Other | Nov 21, 2014 | Nov 16, 2016 (726 d) |
| Paul A Dowd | Principal Securities, Inc. other | Allstate Financial Advisors, LLC no RAUM | Other | Nov 20, 2014 | Jan 27, 2015 (68 d) |
| Cortland Robert Bradbury | Principal Securities, Inc. other | LPL Financial LLC other | Other | Nov 17, 2014 | Oct 31, 2014 |
| Gabriel George Logsdon | Principal Securities, Inc. other | Spc other | Other | Nov 17, 2014 | Nov 3, 2014 |
| Jamie Andersen | Principal Securities, Inc. other | Nationwide Investment Advisors, LLC other | Other | Nov 6, 2014 | Mar 18, 2015 (132 d) |
| Tinh Trong Vu | Principal Securities, Inc. other | Hornor, Townsend & Kent, LLC other | Other | Nov 6, 2014 | Feb 10, 2015 (96 d) |
| Frank Acosta | Principal Securities, Inc. other | Spc other | Other | Nov 5, 2014 | Jan 14, 2016 (435 d) |
| Bonnita L Hughes | Principal Securities, Inc. other | Oneamerica Securities, Inc. other | Other | Nov 5, 2014 | Apr 22, 2015 (168 d) |
| Edward Walter Morrissey | Principal Securities, Inc. other | Waddell & Reed other | Other | Oct 28, 2014 | Oct 24, 2014 |
| Chintan Desai | Principal Securities, Inc. other | Valeo Financial Advisors, LLC other | Other | Oct 28, 2014 | Mar 23, 2015 (146 d) |
| Jose E Almanza | Principal Securities, Inc. other | Nfp Advisor Services, LLC other | Other | Oct 24, 2014 | Sep 1, 2015 (312 d) |
| Richard D Webb | Principal Securities, Inc. other | Principal Asset Management other | Other | Oct 22, 2014 | Feb 17, 2016 (483 d) |
| Judy Karen Armstrong | Principal Securities, Inc. other | Invest Financial Corporation other | Other | Oct 21, 2014 | Oct 15, 2014 |