| Kevin Michael Clemson | Principal Securities, Inc. other | Capital Client Group, Inc. no RAUM | Other | Apr 1, 2010 | Jul 24, 2013 (1210 d) |
| Amy Susan Hanophy | Principal Securities, Inc. other | Financial Telesis, Inc. other | Other | Mar 31, 2010 | Aug 19, 2010 (141 d) |
| Joey R Banghart | Principal Securities, Inc. other | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | Mar 23, 2010 | Apr 14, 2010 |
| Kurtis Raymond Kuyat | Principal Securities, Inc. other | Osaic Fa, Inc. other | Other | Mar 19, 2010 | Mar 22, 2010 |
| Peter G Erl | Principal Securities, Inc. other | Morgan Stanley wirehouse | Other | Mar 18, 2010 | Apr 27, 2010 (40 d) |
| Carnell Anthony Freeman | Principal Securities, Inc. other | Valic Financial Advisors, Inc. other | Other | Mar 17, 2010 | Dec 17, 2010 (275 d) |
| Brian Sai Hon Young | Principal Securities, Inc. other | Signator Investors, Inc. other | Other | Mar 16, 2010 | Apr 9, 2010 |
| Kirk S Barth | Principal Securities, Inc. other | Signator Investors, Inc. other | Other | Mar 16, 2010 | Mar 19, 2010 |
| John A Ware | Principal Securities, Inc. other | Eagle Strategies LLC other | Other | Mar 12, 2010 | Jul 22, 2010 (132 d) |
| Michael James Driscoll | Principal Securities, Inc. other | Nrp Advisors, Inc. unclassified | Other | Mar 11, 2010 | Aug 2, 2010 (144 d) |
| Thomas M Oshea | Principal Securities, Inc. other | Cambridge Investment Research Advisors, Inc. other | Other | Feb 17, 2010 | Feb 16, 2010 |
| Jefferson F Batt | Principal Securities, Inc. other | Voya Financial Advisors, Inc. other | Other | Feb 5, 2010 | Feb 4, 2010 |
| Donald Pete Peterson | Principal Securities, Inc. other | Securian Financial Services, Inc. other | Other | Feb 3, 2010 | Feb 11, 2010 |
| Christopher Michael Murray | Principal Securities, Inc. other | Private Wealth Advisors other | Other | Jan 14, 2010 | Jan 11, 2007 |
| Kirk Watson Welch | Principal Securities, Inc. other | Nrp Advisors, Inc. unclassified | Other | Jan 12, 2010 | Feb 16, 2010 (35 d) |
| Carmino Bove | Principal Securities, Inc. other | LPL Financial LLC other | Other | Jan 6, 2010 | Mar 11, 2010 (64 d) |
| Clarissa Rugaber Hobson | Principal Securities, Inc. other | Carnick & Company, Incorporated unclassified | Other | Dec 23, 2009 | Jan 7, 2010 |
| Steve Eugene Adams | Principal Securities, Inc. other | Signator Investors, Inc. other | Other | Dec 11, 2009 | Apr 7, 2010 (117 d) |
| Ray William Welch | Principal Securities, Inc. other | Founders Financial Securities, LLC other | Other | Nov 20, 2009 | Nov 19, 2009 |
| Brian K. Jones | Principal Securities, Inc. other | Park Avenue Securities LLC other | Other | Nov 6, 2009 | Dec 15, 2009 (39 d) |
| Randall Charles Rhodes | Principal Securities, Inc. other | Sii Investments, Inc. other | Other | Nov 4, 2009 | Jul 13, 2015 (2077 d) |
| George Andrew Ameer | Principal Securities, Inc. other | Edward Jones national BD | Other | Nov 2, 2009 | Nov 2, 2009 |
| Andre Williams | Principal Securities, Inc. other | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | Oct 28, 2009 | Dec 14, 2009 (47 d) |
| Robert Dewell Anderson | Principal Securities, Inc. other | Avantax Planning Partners, Inc. other | Other | Oct 12, 2009 | Oct 20, 2009 |
| Tucker Tsuyoshi Torigoe | Principal Securities, Inc. other | Securities America Advisors, Inc. other | Other | Oct 5, 2009 | Oct 12, 2009 |
| Donald Clark Hammond | Principal Securities, Inc. other | LPL Financial LLC other | Other | Oct 2, 2009 | Oct 1, 2009 |
| Catherine Ann Bryant | Principal Securities, Inc. other | Suntrust Investment Services, Inc. other | Other | Sep 30, 2009 | Sep 29, 2009 |
| Kyle Frederick Hodges | Principal Securities, Inc. other | U.S. Bancorp Investments, Inc. other | Other | Sep 29, 2009 | Dec 22, 2009 (84 d) |
| Jason Mahoney Odell | Principal Securities, Inc. other | Ojm Group, LLC other | Other | Sep 24, 2009 | Sep 8, 2005 |
| Douglas Jon Lode | Principal Securities, Inc. other | Lawing Financial Inc other | Other | Sep 17, 2009 | Sep 29, 2009 |
| Ann A Merkley | Principal Securities, Inc. other | Park Avenue Securities LLC other | Other | Sep 14, 2009 | Oct 7, 2009 |
| Erik Hord Little | Principal Securities, Inc. other | Boon Investment Group, Inc. no RAUM | Other | Sep 10, 2009 | Oct 21, 2009 (41 d) |
| Mark Newton Scott | Principal Securities, Inc. other | Securian Financial Services, Inc. other | Other | Aug 25, 2009 | Sep 9, 2009 |
| Robert Luis Rivera | Principal Securities, Inc. other | Cetera Advisor Networks LLC BD affiliated | Other | Aug 24, 2009 | Oct 24, 2018 (3348 d) |
| Courtenay Virginia Shipley | Principal Securities, Inc. other | A.D. Vallett & Company, LLC unclassified | Other | Aug 21, 2009 | Oct 9, 2009 (49 d) |
| Marjory Grannis Blackmer | Principal Securities, Inc. other | Financial Telesis, Inc. other | Other | Aug 3, 2009 | Jun 1, 2011 (667 d) |
| Paul David Sjogren | Principal Securities, Inc. other | Chase Investment Services Corp. other | Other | Jul 10, 2009 | Aug 5, 2009 |
| Cheri Lynette Payne | Principal Securities, Inc. other | Nrp Advisors, Inc. unclassified | Other | Jul 7, 2009 | Aug 14, 2009 (38 d) |
| Jacob Mansfield Millican | Principal Securities, Inc. other | 9m Investments, LLC state registered | Other | Jul 7, 2009 | Aug 23, 2017 (2969 d) |
| Trent R. Storino | Principal Securities, Inc. other | First Citizens Investor Services, Inc. other | Other | Jul 6, 2009 | Jul 13, 2009 |
| Andrew Thomas Freeman | Principal Securities, Inc. other | Advisory Consulting Group LLC other | Other | Jun 19, 2009 | Feb 23, 2010 (249 d) |
| Jennifer Adamson | Principal Securities, Inc. other | Voya Financial Advisors, Inc. other | Other | Jun 18, 2009 | Aug 6, 2009 (49 d) |
| Michael Douglas Arner | Principal Securities, Inc. other | Morgan Stanley wirehouse | Other | Jun 18, 2009 | Jul 19, 2010 (396 d) |
| Madelon Ross Johnson | Principal Securities, Inc. other | Morgan Stanley wirehouse | Other | Jun 18, 2009 | Apr 19, 2011 (670 d) |
| Benjamin Wesley Keith | Principal Securities, Inc. other | Curian Capital, LLC other | Other | Jun 18, 2009 | Jan 27, 2011 (588 d) |
| Jose-Luis Daniel Montiel | Principal Securities, Inc. other | Principal Advised Services independent RIA | Other | Jun 18, 2009 | Oct 31, 2022 (4883 d) |
| James Ashley Renfroe | Principal Securities, Inc. other | Bancorpsouth Investment Services, Inc. other | Other | Jun 18, 2009 | Sep 30, 2009 (104 d) |
| Debra Ellen Davidson | Principal Securities, Inc. other | Voya Retirement Advisors, LLC other | Other | Jun 17, 2009 | Dec 20, 2010 (551 d) |
| Joanne Karen Windas | Principal Securities, Inc. other | Wells Fargo Advisors wirehouse | Other | Jun 9, 2009 | Mar 31, 2010 (295 d) |
| Edward Michael Brennan | Principal Securities, Inc. other | Chase Investment Services Corp. other | Other | May 29, 2009 | May 28, 2009 |
| Philip Jude Fogli | Principal Securities, Inc. other | Raymond James Financial Services Advisors, Inc other | Other | May 11, 2009 | May 20, 2009 |
| Justin Moore Cole | Principal Securities, Inc. other | J. W. Cole Advisors, Inc. other | Other | May 5, 2009 | May 28, 2009 |
| Scott Larry Schlappi | Principal Securities, Inc. other | Raymond James Financial Services Advisors, Inc other | Other | May 4, 2009 | May 8, 2009 |
| Robert B Olson | Principal Securities, Inc. other | Transamerica Financial Advisors, LLC other | Other | Apr 20, 2009 | Apr 21, 2009 |
| Christopher Coffin Wilson | Principal Securities, Inc. other | Principal Asset Management other | Other | Apr 15, 2009 | Apr 14, 2009 |
| Paul David Chamberlain | Principal Securities, Inc. other | Principal Asset Management other | Other | Apr 15, 2009 | Apr 14, 2009 |
| Jason Lee Miller | Principal Securities, Inc. other | Principal Asset Management other | Other | Apr 15, 2009 | Apr 15, 2009 |
| Shelley Sue Whitnack | Principal Securities, Inc. other | Wells Fargo Advisors wirehouse | Other | Apr 13, 2009 | May 6, 2009 |
| John William Shea | Principal Securities, Inc. other | Msi Financial Services, Inc. other | Other | Apr 7, 2009 | Apr 16, 2009 |
| Frank Suspenzi | Principal Securities, Inc. other | Allstate Financial Advisors, LLC BD affiliated | Other | Mar 24, 2009 | Jul 9, 2021 (4490 d) |