| Kathleen Mclellan | Principal Securities, Inc. other | Hartford Funds other | Other | Sep 30, 2014 | Feb 20, 2015 (143 d) |
| Logan Alexander Shanks | Principal Securities, Inc. other | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | Sep 25, 2014 | Dec 3, 2014 (69 d) |
| Matthew Marcus Brunson | Principal Securities, Inc. other | Fbl Investment Management Services, Inc. other | Other | Sep 19, 2014 | Dec 10, 2014 (82 d) |
| Kevin Francis Crook | Principal Securities, Inc. other | Principal Asset Management other | Other | Sep 9, 2014 | Sep 9, 2014 |
| Jamey Rae Hendricks | Principal Securities, Inc. other | Raymond James Financial Services Advisors, Inc other | Other | Sep 9, 2014 | Nov 19, 2014 (71 d) |
| Walter David Jezak Jr | Principal Securities, Inc. other | Msi Financial Services, Inc. other | Other | Sep 5, 2014 | Aug 22, 2014 |
| Mark A Nelson | Principal Securities, Inc. other | Principal Asset Management other | Other | Sep 2, 2014 | Sep 3, 2015 (366 d) |
| Suzanne Covert Wagner | Principal Securities, Inc. other | Cuso Financial Services, L.P. other | Other | Aug 28, 2014 | Mar 20, 2015 (204 d) |
| Kristian Phillip Malcontento | Principal Securities, Inc. other | J.P. Morgan Securities LLC wirehouse | Other | Aug 20, 2014 | Aug 13, 2014 |
| Ann Marie White | Principal Securities, Inc. other | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | Aug 5, 2014 | Jun 13, 2016 (678 d) |
| Bruce D Kout | Principal Securities, Inc. other | Ameriprise Financial Services, LLC national BD | Other | Aug 5, 2014 | Jul 29, 2014 |
| Robert Grant Hendrickson | Principal Securities, Inc. other | Waddell & Reed other | Other | Jul 31, 2014 | Aug 4, 2014 |
| Peter Joseph Vanderlofske | Principal Securities, Inc. other | Concourse Financial Group Advisors other | Other | Jul 22, 2014 | Jul 23, 2014 |
| Corey T Clark | Principal Securities, Inc. other | Park Avenue Securities LLC other | Other | Jul 16, 2014 | Nov 1, 2014 (108 d) |
| Amalia Maryvonne Beer | Principal Securities, Inc. other | Nfp Advisor Services, LLC other | Other | Jun 18, 2014 | Jun 23, 2014 |
| Michelle Lorraine Nabiliwa | Principal Securities, Inc. other | Investment Advisors Corp other | Other | Jun 18, 2014 | Jun 20, 2014 |
| Blaise Stevens | Principal Securities, Inc. other | Pruco Securities, LLC other | Other | Jun 9, 2014 | May 28, 2014 |
| Anna Patricia Duarte | Principal Securities, Inc. other | Wealthplan Advisors, LLC other | Other | Jun 5, 2014 | Aug 21, 2014 (77 d) |
| Jon Michael Bass | Principal Securities, Inc. other | Pruco Securities, LLC other | Other | Jun 5, 2014 | May 23, 2014 |
| Blanche Elaine Cheeley | Principal Securities, Inc. other | Pruco Securities, LLC other | Other | Jun 5, 2014 | Jun 16, 2014 |
| Christopher A Tingley | Principal Securities, Inc. other | Nationwide Investment Advisors, LLC BD affiliated | Other | May 27, 2014 | Oct 6, 2022 (3054 d) |
| Ben G Bates | Principal Securities, Inc. other | Nationwide Investment Advisors, LLC other | Other | May 7, 2014 | Aug 8, 2014 (93 d) |
| Matthew Brian Costello | Principal Securities, Inc. other | Brookstone Capital Management LLC independent RIA | Other | May 2, 2014 | Oct 16, 2020 (2359 d) |
| Zachory Smith Huish | Principal Securities, Inc. other | Independent Financial Partners other | Other | Apr 25, 2014 | Jan 14, 2015 (264 d) |
| John Robert Gallagher | Principal Securities, Inc. other | Gallagher Capital Advisors, LLC other | Other | Apr 23, 2014 | Jul 21, 2014 (89 d) |
| Christopher Paul Real | Principal Securities, Inc. other | Park Avenue Securities LLC BD affiliated | Other | Apr 21, 2014 | Feb 12, 2021 (2489 d) |
| Xianzhong Zhu | Principal Securities, Inc. other | J P Turner & Company Capital Management, LLC other | Other | Apr 17, 2014 | Apr 8, 2014 |
| Tyler Giese | Principal Securities, Inc. other | J.P. Morgan Securities LLC wirehouse | Other | Apr 17, 2014 | Mar 9, 2023 (3248 d) |
| Thomas Conor Eastman | Principal Securities, Inc. other | Edward Jones national BD | Other | Apr 10, 2014 | Apr 28, 2014 |
| Richard Clayton Pogue | Principal Securities, Inc. other | Scf Investment Advisors, Inc. other | Other | Apr 8, 2014 | Apr 2, 2014 |
| Timothy Howard Prewitt | Principal Securities, Inc. other | Smith Brothers Financial, LLC no RAUM | Other | Apr 2, 2014 | Nov 18, 2022 (3152 d) |
| Craig Andrew Clements | Principal Securities, Inc. other | Waddell & Reed other | Other | Mar 19, 2014 | Mar 10, 2014 |
| Michael Patrick Finnegan | Principal Securities, Inc. other | Prairie Wealth Advisors, Inc. independent RIA | Other | Mar 13, 2014 | Jul 15, 2026 (4507 d) |
| Cameron Devoe Lawler | Principal Securities, Inc. other | D.A. Davidson & Co. other | Other | Feb 26, 2014 | Feb 16, 2016 (720 d) |
| Donna J Rose | Principal Securities, Inc. other | Morgan Stanley wirehouse | Other | Feb 17, 2014 | Feb 7, 2014 |
| Andrew Wayne Harris | Principal Securities, Inc. other | Investors Capital Advisory other | Other | Feb 17, 2014 | Jan 23, 2014 |
| Daniel Eric Simon | Principal Securities, Inc. other | Msi Financial Services, Inc. other | Other | Feb 10, 2014 | Feb 11, 2014 |
| Bradley Ryan Stevens | Principal Securities, Inc. other | Reliance Wealth & Trust Partners, LLC other | Other | Jan 22, 2014 | Feb 17, 2016 (756 d) |
| Robin Frederick Oles | Principal Securities, Inc. other | Advice And Planning Services BD affiliated | Other | Jan 17, 2014 | Apr 1, 2024 (3727 d) |
| Carlos Morlote | Principal Securities, Inc. other | Bb&T Investment Services, Inc. no RAUM | Other | Jan 15, 2014 | Jan 13, 2014 |
| Stephen Aaron Rodgveller | Principal Securities, Inc. other | Equitable Advisors, LLC national BD | Other | Jan 14, 2014 | Jan 13, 2014 |
| Vincent James Lukasik | Principal Securities, Inc. other | Morgan Stanley wirehouse | Other | Jan 9, 2014 | Jan 24, 2014 |
| John William Pinter | Principal Securities, Inc. other | Jps Financial, LLC no RAUM | Other | Jan 8, 2014 | Jan 7, 2014 |
| Gregory M Pinter | Principal Securities, Inc. other | Jps Financial, LLC no RAUM | Other | Jan 8, 2014 | Jan 7, 2014 |
| Stephen J Pinter | Principal Securities, Inc. other | Jps Financial, LLC no RAUM | Other | Jan 8, 2014 | Jan 7, 2014 |
| Kelly Lyn Hoezee | Principal Securities, Inc. other | Northwestern Mutual Investment Services,LLC other | Other | Jan 8, 2014 | Mar 5, 2014 (56 d) |
| John Michael Keeley | Principal Securities, Inc. other | Horter Investment Management, LLC other | Other | Jan 6, 2014 | Nov 20, 2014 (318 d) |
| David L Ediger | Principal Securities, Inc. other | Scf Investment Advisors, Inc. other | Other | Jan 6, 2014 | Jan 2, 2014 |
| Kristen M Rueth Allen | Principal Securities, Inc. other | Valeo Financial Advisors, LLC other | Other | Dec 31, 2013 | Apr 21, 2014 (111 d) |
| Darryl Joseph Chouinard | Principal Securities, Inc. other | Capital Financial Services, Inc. other | Other | Dec 19, 2013 | Dec 2, 2013 |
| Jeffery Dean Paddyfote | Principal Securities, Inc. other | Wells Fargo Advisors wirehouse | Other | Dec 12, 2013 | Dec 16, 2013 |
| Matthew V Poteete | Principal Securities, Inc. other | Wells Fargo Advisors wirehouse | Other | Dec 6, 2013 | Dec 11, 2013 |
| Francis A Snyder | Principal Securities, Inc. other | Girard Securities, Inc. other | Other | Dec 5, 2013 | Nov 18, 2013 |
| Raphael Peter Vega | Principal Securities, Inc. other | Alamo Insurance & Wealth Management unclassified | Other | Nov 11, 2013 | Mar 12, 2015 (486 d) |
| Russell Lew Warye | Principal Securities, Inc. other | Highpoint Advisor Group, LLC other | Other | Nov 11, 2013 | Nov 12, 2013 |
| Bradd Allen Donovan | Principal Securities, Inc. other | Catalina Capital Group, LLC other | Other | Nov 8, 2013 | Sep 11, 2017 (1403 d) |
| Eric Porter Stone | Principal Securities, Inc. other | Ect Advisory, LLC state registered | Other | Oct 22, 2013 | Feb 10, 2014 (111 d) |
| Sara Anne Stevens | Principal Securities, Inc. other | Tlg Advisors, Inc. other | Other | Oct 16, 2013 | Jan 24, 2014 (100 d) |
| Bruce Matthew Chugg | Principal Securities, Inc. other | Daniel Wealth Advisors other | Other | Oct 14, 2013 | Oct 17, 2013 |
| Sherida Lynn Ferguson | Principal Securities, Inc. other | Fsc Securities Corporation other | Other | Sep 30, 2013 | Sep 18, 2013 |