| Jay Thomas Harbison | Principal Securities, Inc. other | Principal Asset Management other | Other | Apr 4, 2011 | Apr 4, 2011 |
| Gregory Allen Robick | Principal Securities, Inc. other | Corporate Benefits Consultants, Inc. state registered | Other | Apr 1, 2011 | Apr 8, 2011 |
| Mayra A Escalante | Principal Securities, Inc. other | Chase Investment Services Corp. other | Other | Apr 1, 2011 | Apr 27, 2012 (392 d) |
| Sara Lyn Strasser | Principal Securities, Inc. other | Financial Telesis, Inc. other | Other | Mar 29, 2011 | Jun 2, 2011 (65 d) |
| Erick J Montealegre | Principal Securities, Inc. other | Valic Financial Advisors, Inc. other | Other | Mar 29, 2011 | Apr 1, 2011 |
| Chad Wesley Terry | Principal Securities, Inc. other | Blackrock Investment Management, LLC other | Other | Mar 21, 2011 | Mar 31, 2011 |
| Gerald Kent Ask | Principal Securities, Inc. other | Raymond James Financial Services Advisors, Inc other | Other | Mar 16, 2011 | Mar 14, 2011 |
| Stacey Ann Treanor | Principal Securities, Inc. other | Alight Financial Advisors, LLC other | Other | Mar 15, 2011 | Mar 2, 2012 (353 d) |
| Matthew M Vandre | Principal Securities, Inc. other | Francis LLC other | Other | Mar 15, 2011 | Feb 18, 2015 (1436 d) |
| Scott Andrew Tippins | Principal Securities, Inc. other | Wells Fargo Advisors wirehouse | Other | Mar 7, 2011 | Mar 3, 2011 |
| Paul Arthur Romano | Principal Securities, Inc. other | Ameriprise Financial Services, LLC national BD | Other | Mar 7, 2011 | Jun 1, 2011 (86 d) |
| Sandy Brown | Principal Securities, Inc. other | Scf Investment Advisors, Inc. other | Other | Mar 1, 2011 | Apr 5, 2011 (35 d) |
| John Ross Nanni | Principal Securities, Inc. other | Ssn Advisory, Inc. other | Other | Feb 17, 2011 | Feb 25, 2011 |
| David William Dykstra | Principal Securities, Inc. other | Investment Centers Of America, Inc. other | Other | Jan 11, 2011 | Jan 5, 2011 |
| Larry Clifford Dogs | Principal Securities, Inc. other | Oneamerica Securities, Inc. other | Other | Dec 31, 2010 | Jan 19, 2011 |
| Michael Patrick Mcgovern | Principal Securities, Inc. other | LPL Financial LLC other | Other | Dec 31, 2010 | Dec 13, 2010 |
| Jason Lee Lillmars | Principal Securities, Inc. other | 1st Global Advisors Inc BD affiliated | Other | Dec 31, 2010 | Aug 5, 2019 (3139 d) |
| Christopher Paul Hogan | Principal Securities, Inc. other | Valic Financial Advisors, Inc. other | Other | Dec 22, 2010 | Dec 20, 2010 |
| Michelle Renee Stockman | Principal Securities, Inc. other | Commerce Wealth Advisers, LLC other | Other | Dec 13, 2010 | Jan 4, 2011 |
| Andrew Thomas Turcotte | Principal Securities, Inc. other | Principal Asset Management other | Other | Dec 10, 2010 | Nov 11, 2021 (3989 d) |
| Jonathan Earl Kennedy | Principal Securities, Inc. other | Woodbury Financial Services, Inc. other | Other | Dec 10, 2010 | Dec 9, 2010 |
| John Winston Crandell | Principal Securities, Inc. other | Principal Asset Management other | Other | Dec 10, 2010 | Jan 3, 2022 (4042 d) |
| Meghan P Villanueva | Principal Securities, Inc. other | Ameriprise Financial Services, LLC national BD | Other | Dec 10, 2010 | Aug 24, 2016 (2084 d) |
| Jarrett Seiji Imamura | Principal Securities, Inc. other | LPL Financial LLC other | Other | Dec 7, 2010 | Nov 30, 2010 |
| Eric Allen Obergfell | Principal Securities, Inc. other | J.P. Morgan Institutional Investments other | Other | Dec 2, 2010 | Jan 12, 2011 (41 d) |
| Michael Joseph Tokushige | Principal Securities, Inc. other | LPL Financial LLC independent RIA | Other | Nov 22, 2010 | Jun 22, 2018 (2769 d) |
| Kenneth Kanji Kaneshiro | Principal Securities, Inc. other | LPL Financial LLC other | Other | Nov 22, 2010 | Nov 18, 2010 |
| Mathew David Stagner | Principal Securities, Inc. other | Voya Financial Advisors, Inc. other | Other | Nov 17, 2010 | Aug 14, 2015 (1731 d) |
| Jason Barrett Moore | Principal Securities, Inc. other | Putnam Investment Management, LLC other | Other | Nov 10, 2010 | Dec 11, 2015 (1857 d) |
| John William Fisher | Principal Securities, Inc. other | Chase Investment Services Corp. other | Other | Nov 3, 2010 | Dec 1, 2010 |
| Heather Marie Haines | Principal Securities, Inc. other | Financial Telesis, Inc. other | Other | Oct 26, 2010 | Oct 15, 2010 |
| Brendan Arthur Obryhim | Principal Securities, Inc. other | Financial Telesis, Inc. other | Other | Oct 25, 2010 | Oct 15, 2010 |
| Jay Morris Frank | Principal Securities, Inc. other | Next Financial Group, Inc. other | Other | Oct 21, 2010 | Oct 19, 2010 |
| George Michael Tucker | Principal Securities, Inc. other | Raymond James Financial Services Advisors, Inc other | Other | Oct 8, 2010 | Oct 8, 2010 |
| Matthew Lee Cox | Principal Securities, Inc. other | Usaa Investment Services Company other | Other | Sep 20, 2010 | Oct 6, 2010 |
| Adam Haluska | Principal Securities, Inc. other | Edward Jones national BD | Other | Sep 7, 2010 | Apr 28, 2014 (1329 d) |
| Steven Claude Glenn | Principal Securities, Inc. other | MML Investors Services, LLC other | Other | Aug 26, 2010 | Oct 24, 2012 (790 d) |
| Jonathan David Archer | Principal Securities, Inc. other | MML Investors Services, LLC other | Other | Aug 25, 2010 | Feb 26, 2013 (916 d) |
| Alexa Phillips | Principal Securities, Inc. other | Nationwide Investment Advisors, LLC other | Other | Aug 23, 2010 | Nov 2, 2010 (71 d) |
| Heidi Dawn Dresbach | Principal Securities, Inc. other | Charles Schwab & Co., Inc. national BD | Other | Aug 18, 2010 | Oct 17, 2019 (3347 d) |
| Daniel Alexander Allen | Principal Securities, Inc. other | Valic Financial Advisors, Inc. other | Other | Aug 4, 2010 | Aug 10, 2010 |
| Timothy James Hoezee | Principal Securities, Inc. other | Northwestern Mutual Investment Services,LLC other | Other | Aug 3, 2010 | Oct 12, 2010 (70 d) |
| Troy Rhyne Jackson | Principal Securities, Inc. other | Stancorp Investment Advisers, Inc. other | Other | Jul 30, 2010 | Oct 4, 2010 (66 d) |
| Shelly Ann Horwitz | Principal Securities, Inc. other | Lockton Investment Advisors, LLC no RAUM | Other | Jul 23, 2010 | Aug 25, 2010 (33 d) |
| Timothy Luke Porter | Principal Securities, Inc. other | Smb Financial Services, Inc. independent RIA | Other | Jul 22, 2010 | Jul 23, 2010 |
| Pamela Ann Gillett | Principal Securities, Inc. other | Stancorp Investment Advisers, Inc. other | Other | Jul 12, 2010 | Sep 9, 2010 (59 d) |
| Thomas Jefferson Rouse | Principal Securities, Inc. other | Concourse Financial Group Advisors other | Other | Jun 21, 2010 | Jun 11, 2010 |
| Keenan Scott Zehner | Principal Securities, Inc. other | Money Concepts Advisory Service BD affiliated | Other | Jun 21, 2010 | Mar 29, 2022 (4299 d) |
| Bennett Egerton Conklin | Principal Securities, Inc. other | First Heartland Consultants, Inc. other | Other | Jun 7, 2010 | Oct 6, 2010 (121 d) |
| Bryce Roman Wergeland | Principal Securities, Inc. other | Nrp Advisors, Inc. unclassified | Other | Jun 7, 2010 | Jun 3, 2010 |
| Mark Culligan Rachac | Principal Securities, Inc. other | Voya Financial Advisors, Inc. other | Other | Jun 3, 2010 | Jun 1, 2010 |
| Kathleen Patricia Oberneder | Principal Securities, Inc. other | LPL Financial LLC other | Other | Jun 3, 2010 | Apr 17, 2015 (1779 d) |
| Michael E Muhareb | Principal Securities, Inc. other | LPL Financial LLC other | Other | May 13, 2010 | May 11, 2010 |
| Bradford James Pinter | Principal Securities, Inc. other | American Portfolios Advisors, Inc other | Other | May 6, 2010 | May 5, 2010 |
| Denise Chisolm | Principal Securities, Inc. other | Financial Telesis, Inc. other | Other | Apr 30, 2010 | Feb 15, 2011 (291 d) |
| Mark Wiliama Mckeague | Principal Securities, Inc. other | LPL Financial LLC other | Other | Apr 26, 2010 | Apr 26, 2010 |
| Matthew Frederick Haley | Principal Securities, Inc. other | LPL Financial LLC other | Other | Apr 23, 2010 | Apr 22, 2010 |
| Brian Seisuke Kawano | Principal Securities, Inc. other | Signator Investors, Inc. other | Other | Apr 20, 2010 | May 5, 2010 |
| Daniel James Shanahan | Principal Securities, Inc. other | Park Avenue Securities LLC other | Other | Apr 15, 2010 | May 6, 2010 |
| Stephen John Cowie | Principal Securities, Inc. other | Principal Asset Management other | Other | Apr 6, 2010 | Apr 6, 2010 |