| Cynthia Danker Merritt | Principal Securities, Inc. other | Pnc Wealth Management other | Other | Jun 1, 2012 | Aug 23, 2017 (1909 d) |
| Robert Klepner | Principal Securities, Inc. other | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | May 30, 2012 | Jun 22, 2012 |
| Patrick Stephen Manes | Principal Securities, Inc. other | Independent Financial Partners other | Other | May 25, 2012 | May 29, 2012 |
| Travis Michael Sherman | Principal Securities, Inc. other | Horizons Financial Group, Inc. other | Other | May 17, 2012 | Jul 9, 2015 (1148 d) |
| Joshua Allen Goslinga | Principal Securities, Inc. other | Edward Jones national BD | Other | May 17, 2012 | May 15, 2012 |
| Daniel Vanwagoner Kill | Principal Securities, Inc. other | Ohlmann Investment Advisors LLC state registered | Other | May 14, 2012 | Apr 16, 2013 (337 d) |
| Patrick Alan Brown | Principal Securities, Inc. other | Coordinated Capital Securities, Inc. other | Other | May 4, 2012 | May 2, 2012 |
| Lemuel Marcellus Mayberry | Principal Securities, Inc. other | Lemuel James Financial state registered | Other | Apr 30, 2012 | Apr 30, 2012 |
| Stuart Wally Blankenship | Principal Securities, Inc. other | Osaic Fs, Inc. other | Other | Apr 26, 2012 | Jun 7, 2012 (42 d) |
| Gabe A Rohwedder | Principal Securities, Inc. other | Securian Financial Services, Inc. other | Other | Apr 24, 2012 | Oct 3, 2012 (162 d) |
| John P Scollo | Principal Securities, Inc. other | Strategic Advisers LLC national BD | Other | Mar 19, 2012 | Nov 18, 2013 (609 d) |
| Xiu Qin Hou | Principal Securities, Inc. other | Voya Financial Advisors, Inc. other | Other | Mar 16, 2012 | May 25, 2012 (70 d) |
| Daniel Bruce Goodwin | Principal Securities, Inc. other | Spc other | Other | Mar 16, 2012 | Mar 19, 2012 |
| Mary Josephine Draayer | Principal Securities, Inc. other | Captrust Financial Advisors other | Other | Mar 14, 2012 | Mar 25, 2013 (376 d) |
| Harry Earl Coussou | Principal Securities, Inc. other | Horter Investment Management, LLC other | Other | Feb 21, 2012 | Feb 27, 2012 |
| Louis Frederick Body | Principal Securities, Inc. other | Msi Financial Services, Inc. other | Other | Feb 14, 2012 | Feb 24, 2012 |
| Anne Frances Salick | Principal Securities, Inc. other | Signator Investors, Inc. other | Other | Feb 8, 2012 | Mar 22, 2012 (43 d) |
| Edward Walter Morrissey | Principal Securities, Inc. other | Osaic Fa, Inc. other | Other | Feb 7, 2012 | Feb 3, 2012 |
| David W Freisner | Principal Securities, Inc. other | Fortune Financial Advisors, LLC other | Other | Feb 6, 2012 | Mar 1, 2012 |
| Robert Andrew O'Brien | Principal Securities, Inc. other | Edward Jones national BD | Other | Jan 23, 2012 | Jan 31, 2012 |
| Michael Ryan Duckett | Principal Securities, Inc. other | Nfp Advisor Services, LLC other | Other | Jan 23, 2012 | Aug 16, 2012 (206 d) |
| Eduardo Gimenez | Principal Securities, Inc. other | Financial Telesis, Inc. other | Other | Jan 4, 2012 | Jan 6, 2012 |
| Raymond E Hansen | Principal Securities, Inc. other | LPL Financial LLC other | Other | Jan 3, 2012 | Dec 22, 2011 |
| Edward Anthony Kozak | Principal Securities, Inc. other | Woodbury Financial Services, Inc. other | Other | Dec 21, 2011 | Dec 19, 2011 |
| Jacinta Thompson | Principal Securities, Inc. other | Securian Financial Services, Inc. other | Other | Dec 12, 2011 | Dec 20, 2011 |
| Catherine Eleanor Ellis | Principal Securities, Inc. other | Ameriprise Financial Services, LLC national BD | Other | Dec 7, 2011 | Jan 16, 2018 (2232 d) |
| Nicholas Cain Jones | Principal Securities, Inc. other | MML Investors Services, LLC other | Other | Nov 30, 2011 | Feb 28, 2013 (456 d) |
| Kolleen Tracy Zbilski | Principal Securities, Inc. other | Morgan Stanley wirehouse | Other | Nov 21, 2011 | Dec 14, 2011 |
| Timothy Thomas Harberts | Principal Securities, Inc. other | Ameriprise Financial Services, LLC national BD | Other | Nov 18, 2011 | May 21, 2012 (185 d) |
| Lee M Daniels | Principal Securities, Inc. other | Waddell & Reed other | Other | Nov 14, 2011 | Nov 22, 2011 |
| James Emerson Lange | Principal Securities, Inc. other | Principal Asset Management other | Other | Nov 8, 2011 | Nov 8, 2011 |
| Joshua Smith | Principal Securities, Inc. other | Spc other | Other | Nov 1, 2011 | Sep 23, 2013 (692 d) |
| Ann Louise Hudson | Principal Securities, Inc. other | Integrity Alliance, LLC other | Other | Oct 28, 2011 | Nov 3, 2011 |
| Michael L Dayton | Principal Securities, Inc. other | Kms Financial Services, Inc other | Other | Oct 19, 2011 | Oct 11, 2011 |
| Timothy Patrick Ohayer | Principal Securities, Inc. other | Dempsey Lord Smith, LLC other | Other | Sep 27, 2011 | May 23, 2012 (239 d) |
| Marc Roger Beausoleil | Principal Securities, Inc. other | Nfp Advisor Services, LLC other | Other | Sep 8, 2011 | Oct 26, 2011 (48 d) |
| Angela Marie Mirrione | Principal Securities, Inc. other | Raymond James Financial Services Advisors, Inc other | Other | Sep 1, 2011 | Sep 14, 2011 |
| Joseph Anthony Torelli | Principal Securities, Inc. other | Raymond James Financial Services Advisors, Inc other | Other | Aug 15, 2011 | Aug 16, 2011 |
| James Walter Flad | Principal Securities, Inc. other | Smb Financial Services, Inc. independent RIA | Other | Aug 11, 2011 | Aug 17, 2011 |
| Meghanne Marie Svatos | Principal Securities, Inc. other | Wells Fargo Advisors wirehouse | Other | Aug 11, 2011 | Oct 18, 2012 (434 d) |
| Rian James Flad | Principal Securities, Inc. other | Smb Financial Services, Inc. independent RIA | Other | Aug 11, 2011 | Aug 17, 2011 |
| Michelle Kay Hallett | Principal Securities, Inc. other | Northwestern Mutual Investment Services,LLC other | Other | Aug 10, 2011 | Jul 25, 2013 (715 d) |
| Kelly Stiefel Arias | Principal Securities, Inc. other | Valic Financial Advisors, Inc. other | Other | Aug 1, 2011 | Aug 4, 2011 |
| Robert Miles Challenger | Principal Securities, Inc. other | Cambridge Investment Research Advisors, Inc. other | Other | Jul 21, 2011 | Sep 19, 2013 (791 d) |
| Steven L Spurling | Principal Securities, Inc. other | Columbia Management Investment Advisers, LLC other | Other | Jul 11, 2011 | Jul 13, 2011 |
| John Charles Husson | Principal Securities, Inc. other | Morgan Stanley wirehouse | Other | Jul 11, 2011 | Sep 28, 2023 (4462 d) |
| Eric R Belsky | Principal Securities, Inc. other | LPL Financial LLC other | Other | Jul 7, 2011 | Oct 7, 2011 (92 d) |
| Ryshiem Henderson | Principal Securities, Inc. other | Msi Financial Services, Inc. other | Other | Jul 6, 2011 | Jul 1, 2013 (726 d) |
| Cameron Ross Simonds | Principal Securities, Inc. other | Executive Advisor Group, LLC unclassified | Other | Jul 6, 2011 | Nov 2, 2010 |
| John Steven Holder | Principal Securities, Inc. other | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | Jul 1, 2011 | May 25, 2017 (2155 d) |
| Thomas Edward Peekema | Principal Securities, Inc. other | Smb Financial Services, Inc. independent RIA | Other | Jul 1, 2011 | Jul 12, 2011 |
| Martin Josiah Harban | Principal Securities, Inc. other | Pnc Capital Advisors LLC other | Other | Jun 17, 2011 | Jun 12, 2013 (726 d) |
| Robert Deane Lenertz | Principal Securities, Inc. other | Chase Investment Services Corp. other | Other | Jun 9, 2011 | Jun 22, 2011 |
| Jonathan Joel Schedler | Principal Securities, Inc. other | Allstate Financial Advisors, LLC no RAUM | Other | Jun 8, 2011 | Jun 28, 2011 |
| Brian Matthew Rees | Principal Securities, Inc. other | Cetera Advisor Networks LLC other | Other | Jun 1, 2011 | Jan 9, 2015 (1318 d) |
| Allyn Bethuel Shaw | Principal Securities, Inc. other | Raymond James Financial Services Advisors, Inc other | Other | May 31, 2011 | Jun 2, 2011 |
| Laurence Edward Martin | Principal Securities, Inc. other | Cambridge Investment Research Advisors, Inc. other | Other | May 20, 2011 | May 20, 2011 |
| Ronald Julius Church | Principal Securities, Inc. other | Financial Telesis, Inc. other | Other | May 4, 2011 | May 3, 2011 |
| Matthew Edward Wheeler | Principal Securities, Inc. other | J.P. Morgan Securities LLC wirehouse | Other | Apr 18, 2011 | May 30, 2013 (773 d) |
| Allen James Bass | Principal Securities, Inc. other | Next Financial Group, Inc. other | Other | Apr 12, 2011 | Apr 11, 2011 |