| James Theodore Smalling | Principal Securities, Inc. other | Pathway Strategic Advisors other | Other | Sep 25, 2013 | Oct 8, 2013 |
| Travis Charles Hilsabeck | Principal Securities, Inc. other | Bluespring Wealth Management, LLC other | Other | Sep 6, 2013 | Oct 11, 2013 (35 d) |
| Jesus A Jaramillo | Principal Securities, Inc. other | Waddell & Reed other | Other | Aug 28, 2013 | Sep 8, 2015 (741 d) |
| Erin Sue Lane | Principal Securities, Inc. other | T. Rowe Price Advisory Services, Inc. no RAUM | Other | Aug 27, 2013 | Jul 20, 2015 (692 d) |
| Kyle J Breitzman | Principal Securities, Inc. other | Ssn Advisory, Inc. other | Other | Aug 26, 2013 | Aug 2, 2013 |
| Michael David Krawczyk | Principal Securities, Inc. other | Advice And Planning Services other | Other | Aug 15, 2013 | Aug 23, 2013 |
| Matthew Marcus | Principal Securities, Inc. other | Empower Advisory Group, LLC other | Other | Aug 15, 2013 | Mar 15, 2018 (1673 d) |
| Diana Mae Atha | Principal Securities, Inc. other | Onpointe Advisory And Financial Services, LLC other | Other | Aug 5, 2013 | Mar 16, 2014 (223 d) |
| Jennifer Lynn Donais | Principal Securities, Inc. other | World Equity Group, Inc. other | Other | Aug 5, 2013 | Aug 6, 2013 |
| Dave Mohammed | Principal Securities, Inc. other | Cuna Brokerage Services, Inc. other | Other | Jul 29, 2013 | Aug 13, 2013 |
| Robert Clark | Principal Securities, Inc. other | Raymond James Financial Services Advisors, Inc other | Other | Jul 23, 2013 | Jul 23, 2013 |
| Todd W Talbot | Principal Securities, Inc. other | Equitable Advisors, LLC national BD | Other | Jul 18, 2013 | Jul 2, 2013 |
| Robert John Ahearn | Principal Securities, Inc. other | Transamerica Financial Advisors, LLC other | Other | Jul 9, 2013 | Jul 23, 2013 |
| Charles Nicholas Kuhn | Principal Securities, Inc. other | Ojm Group, LLC other | Other | Jun 21, 2013 | Sep 8, 2005 |
| Brian J Forneris | Principal Securities, Inc. other | Stancorp Investment Advisers, Inc. other | Other | Jun 14, 2013 | Aug 1, 2013 (48 d) |
| David Alan Henry | Principal Securities, Inc. other | Integrity Alliance, LLC other | Other | Jun 13, 2013 | Jun 10, 2013 |
| Cynthia Horn Kennedy | Principal Securities, Inc. other | Charles Schwab & Co., Inc. national BD | Other | Jun 12, 2013 | Jul 17, 2013 (35 d) |
| Gregory Frank Gianfortone | Principal Securities, Inc. other | Pnc Wealth Management other | Other | Jun 12, 2013 | Jun 20, 2013 |
| Mitchell Lee Cook | Principal Securities, Inc. other | Avantax Planning Partners, Inc. other | Other | Jun 11, 2013 | Jun 28, 2013 |
| Debra Lynn Allison-Aasby | Principal Securities, Inc. other | Edward Jones national BD | Other | May 14, 2013 | Aug 19, 2013 (97 d) |
| William Brand Ahrens | Principal Securities, Inc. other | Nationwide Investment Advisors, LLC BD affiliated | Other | May 9, 2013 | Dec 10, 2024 (4233 d) |
| Daniel Michael Lowe | Principal Securities, Inc. other | Captrust other | Other | Apr 24, 2013 | Apr 15, 2015 (721 d) |
| Teresa Elizabeth Milner | Principal Securities, Inc. other | Cwm, LLC other | Other | Apr 15, 2013 | May 20, 2013 (35 d) |
| John Archibald Oneill | Principal Securities, Inc. other | Osaic Fs, Inc. other | Other | Mar 15, 2013 | Mar 21, 2013 |
| Stephen Eric Nichols | Principal Securities, Inc. other | Citizens Securities, Inc. other | Other | Mar 13, 2013 | Nov 12, 2015 (974 d) |
| Kevin Murray Smith | Principal Securities, Inc. other | Securian Financial Services, Inc. other | Other | Mar 5, 2013 | Mar 18, 2013 |
| John Winston Mcgilchrist | Principal Securities, Inc. other | Allstate Financial Advisors, LLC no RAUM | Other | Feb 22, 2013 | Jul 30, 2013 (158 d) |
| Donald Clark Hammond | Principal Securities, Inc. other | Financial Telesis, Inc. other | Other | Feb 21, 2013 | Jan 25, 2013 |
| Nicholas Daniel Deering | Principal Securities, Inc. other | Financial Telesis, Inc. other | Other | Feb 19, 2013 | Jan 25, 2013 |
| Michael Anthony Elias | Principal Securities, Inc. other | Packerland Brokerage Services, Inc. other | Other | Feb 12, 2013 | Mar 12, 2013 |
| Jason William Street | Principal Securities, Inc. other | Fbl Wealth Management, LLC no RAUM | Other | Feb 7, 2013 | Mar 19, 2019 (2231 d) |
| Albert Noble Donahey | Principal Securities, Inc. other | Allstate Financial Advisors, LLC no RAUM | Other | Jan 16, 2013 | Mar 25, 2013 (68 d) |
| Nicole Yvette Redus | Principal Securities, Inc. other | Osaic Fs, Inc. other | Other | Dec 31, 2012 | Mar 6, 2013 (65 d) |
| Jamey Robert Pesek | Principal Securities, Inc. other | Money Concepts Advisory Service other | Other | Dec 21, 2012 | Jan 23, 2013 (33 d) |
| Elias Robert Reyna | Principal Securities, Inc. other | Securities America Advisors, Inc. other | Other | Dec 21, 2012 | Dec 14, 2012 |
| Matthew Edward Campbell | Principal Securities, Inc. other | Touchstone Advisors Inc other | Other | Dec 21, 2012 | Mar 14, 2013 (83 d) |
| Martin Lee Deslauriers | Principal Securities, Inc. other | UBS Financial Services Inc. wirehouse | Other | Dec 21, 2012 | Dec 18, 2012 |
| Ziad S Wehbe | Principal Securities, Inc. other | Osaic Wealth, Inc. other | Other | Dec 19, 2012 | Dec 5, 2012 |
| Corey J Burkhart | Principal Securities, Inc. other | Schwab Wealth Advisory, Inc. no RAUM | Other | Dec 10, 2012 | Jun 14, 2022 (3473 d) |
| Christian John Cyr | Principal Securities, Inc. other | Sii Investments, Inc. other | Other | Dec 10, 2012 | Dec 3, 2012 |
| Marisa Beth Lindsey | Principal Securities, Inc. other | Newport Group Securities, Inc. other | Other | Dec 4, 2012 | Dec 21, 2012 |
| Jaime Alberto Chavez Llerenas | Principal Securities, Inc. other | Ameriprise Financial Services, LLC national BD | Other | Nov 27, 2012 | Jan 17, 2013 (51 d) |
| Darren Gregory Jurick | Principal Securities, Inc. other | Ameriprise Financial Services, LLC national BD | Other | Nov 16, 2012 | Nov 9, 2012 |
| Gary R Clementson | Principal Securities, Inc. other | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | Nov 14, 2012 | Nov 21, 2012 |
| Jared Dennis Deboer | Principal Securities, Inc. other | Waddell & Reed other | Other | Nov 6, 2012 | Nov 26, 2012 |
| Johann C Johnson | Principal Securities, Inc. other | Strategic Advisers LLC national BD | Other | Oct 16, 2012 | Oct 16, 2014 (730 d) |
| Jennifer M Davis-Papa | Principal Securities, Inc. other | Impactfirst, LLC unclassified | Other | Oct 11, 2012 | Aug 16, 2018 (2135 d) |
| Robert Frank Gollnick | Principal Securities, Inc. other | Eagle Strategies LLC other | Other | Oct 5, 2012 | Jan 2, 2013 (89 d) |
| Thomas Joseph Ventura | Principal Securities, Inc. other | Cl Wealth Management LLC other | Other | Oct 5, 2012 | Feb 14, 2013 (132 d) |
| John Louis Daly | Principal Securities, Inc. other | Eagle Strategies LLC other | Other | Oct 2, 2012 | Dec 11, 2012 (70 d) |
| William Arthur Crocker | Principal Securities, Inc. other | LPL Financial LLC other | Other | Oct 2, 2012 | Nov 28, 2012 (57 d) |
| Charles Henry Trakas | Principal Securities, Inc. other | Redhawk Wealth Advisors, Inc. other | Other | Sep 20, 2012 | Sep 25, 2012 |
| Roy Anthony Roberson | Principal Securities, Inc. other | Esi Financial Advisors other | Other | Sep 18, 2012 | Sep 7, 2012 |
| Mark R Schneider | Principal Securities, Inc. other | Fifth Third Securities, Inc. BD affiliated | Other | Sep 13, 2012 | Oct 1, 2020 (2940 d) |
| Kun Lin Chung | Principal Securities, Inc. other | Hsbc Securities (USA) Inc. other | Other | Aug 14, 2012 | Aug 22, 2012 |
| Kathryn Wise | Principal Securities, Inc. other | Cuso Financial Services, L.P. other | Other | Aug 6, 2012 | Aug 22, 2012 |
| Mark Edward Tang | Principal Securities, Inc. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Aug 6, 2012 | Aug 13, 2012 |
| James Anthony Ritchey | Principal Securities, Inc. other | Cambridge Investment Research Advisors, Inc. other | Other | Jul 25, 2012 | Jul 18, 2012 |
| Benjamin Daniel Totel | Principal Securities, Inc. other | Principal Asset Management other | Other | Jul 25, 2012 | Dec 21, 2021 (3436 d) |
| Jennifer Crisologo | Principal Securities, Inc. other | New England Securities Corporation other | Other | Jul 24, 2012 | Jul 31, 2012 |