| Todd Mathew Schlappi | Principal Securities, Inc. other | Raymond James Financial Services Advisors, Inc other | Other | Mar 23, 2009 | Mar 25, 2009 |
| Anamaria Teresa Lloyd | Principal Securities, Inc. other | A.T. Lloyd'S, Inc independent RIA | Other | Mar 3, 2009 | Dec 2, 2008 |
| Keith Allan Eason | Principal Securities, Inc. other | Valic Financial Advisors, Inc. other | Other | Feb 19, 2009 | Jun 16, 2014 (1943 d) |
| Lisa Dionne Ford | Principal Securities, Inc. other | Waddell & Reed other | Other | Feb 19, 2009 | Jun 19, 2009 (120 d) |
| Scott Christopher Ward | Principal Securities, Inc. other | John Hancock Investment Management LLC other | Other | Feb 11, 2009 | Mar 13, 2009 |
| Dara Duane | Principal Securities, Inc. other | Stancorp Investment Advisers, Inc. other | Other | Jan 22, 2009 | Jul 15, 2013 (1635 d) |
| Patrick Aaron Schuchard | Principal Securities, Inc. other | Oppenheimer & Co. Inc. BD affiliated | Other | Jan 22, 2009 | Mar 17, 2023 (5167 d) |
| Jason C. Smoot | Principal Securities, Inc. other | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | Jan 13, 2009 | Dec 12, 2011 (1063 d) |
| Jon Christian Schwartz | Principal Securities, Inc. other | LPL Financial LLC other | Other | Dec 31, 2008 | Jul 10, 2009 (191 d) |
| Sarah Dols | Principal Securities, Inc. other | Integrity Alliance, LLC other | Other | Dec 31, 2008 | Feb 4, 2009 (35 d) |
| Daniel R Callahan | Principal Securities, Inc. other | Invest Financial Corporation other | Other | Dec 31, 2008 | Oct 13, 2010 (651 d) |
| Denise D Johnson | Principal Securities, Inc. other | Five Talents Wealth Management state registered | Other | Dec 31, 2008 | Jan 2, 2026 (6211 d) |
| Christopher H Bettis | Principal Securities, Inc. other | LPL Financial LLC other | Other | Dec 23, 2008 | Jan 17, 2014 (1851 d) |
| Kurt Alan Strullmyer | Principal Securities, Inc. other | Woodbury Financial Services, Inc. other | Other | Dec 19, 2008 | Dec 16, 2008 |
| Matthew Ralph Keyes | Principal Securities, Inc. other | Equitable Advisors, LLC national BD | Other | Dec 15, 2008 | Dec 3, 2008 |
| Brad Finch Dalton | Principal Securities, Inc. other | Eton Advisors, LP other | Other | Dec 3, 2008 | Jul 1, 2009 (210 d) |
| Gregory Adams | Principal Securities, Inc. other | Edward Jones national BD | Other | Dec 3, 2008 | Jul 22, 2015 (2422 d) |
| Trevor David Glenn | Principal Securities, Inc. other | Quest Securities, Inc. unclassified | Other | Dec 2, 2008 | Dec 3, 2008 |
| Omar Guadalupe Esparza | Principal Securities, Inc. other | Voya Financial Partners, LLC other | Other | Dec 2, 2008 | Nov 9, 2010 (707 d) |
| Colin Merrill Clark | Principal Securities, Inc. other | Financial Telesis, Inc. other | Other | Nov 24, 2008 | Nov 24, 2008 |
| James E Maulfair | Principal Securities, Inc. other | Financial Telesis, Inc. other | Other | Nov 24, 2008 | Nov 24, 2008 |
| Fred Harvey Spicknall | Principal Securities, Inc. other | Oneamerica Securities, Inc. other | Other | Nov 19, 2008 | May 22, 2009 (184 d) |
| James Raleigh Bailes | Principal Securities, Inc. other | Onyx Wealth Advisors, Inc. other | Other | Nov 18, 2008 | Nov 3, 2008 |
| Douglas Stephen Drelich | Principal Securities, Inc. other | Investment Advisors Corp other | Other | Nov 4, 2008 | Feb 12, 2009 (100 d) |
| Sarah Marie Schmitz | Principal Securities, Inc. other | Truenorth, Inc. other | Other | Oct 30, 2008 | Dec 2, 2009 (398 d) |
| Jennifer Anne Gage | Principal Securities, Inc. other | Stancorp Investment Advisers, Inc. other | Other | Oct 9, 2008 | Apr 5, 2012 (1274 d) |
| Jeffrey Spencer Sargent | Principal Securities, Inc. other | Westport Resources Management Inc other | Other | Sep 23, 2008 | Jul 30, 2009 (310 d) |
| Donald Francis Recker | Principal Securities, Inc. other | Creative Planning other | Other | Sep 23, 2008 | Apr 15, 2009 (204 d) |
| Eric Gene Forret | Principal Securities, Inc. other | Principal Asset Management other | Other | Sep 22, 2008 | Sep 22, 2008 |
| Jeremy A Taylor | Principal Securities, Inc. other | John Hancock Investment Management LLC other | Other | Sep 22, 2008 | Sep 21, 2010 (729 d) |
| Thane Roland Walton | Principal Securities, Inc. other | Lincoln Financial Distributors, Inc. unclassified | Other | Sep 18, 2008 | Sep 9, 2008 |
| Matthew P Sands | Principal Securities, Inc. other | Equitable Advisors, LLC national BD | Other | Sep 4, 2008 | Apr 18, 2011 (956 d) |
| Johnny Lee Chang | Principal Securities, Inc. other | Td Ameritrade, Inc. no RAUM | Other | Aug 21, 2008 | Oct 7, 2008 (47 d) |
| Allen Edward Dunahoo | Principal Securities, Inc. other | Edward Jones national BD | Other | Jul 30, 2008 | Jul 28, 2008 |
| Efrem D Jackson | Principal Securities, Inc. other | Principal Asset Management other | Other | Jul 16, 2008 | Jul 16, 2008 |
| John Walter Randall | Principal Securities, Inc. other | Nrp Advisors, Inc. unclassified | Other | Jul 11, 2008 | Jan 15, 2009 (188 d) |
| Scott Francis Fremer | Principal Securities, Inc. other | Schneider Downs Wealth Management Advisors, LP other | Other | Jul 9, 2008 | Aug 12, 2008 (34 d) |
| James Merle Weiss | Principal Securities, Inc. other | Investment Advisors Corp other | Other | Jul 7, 2008 | Aug 31, 2009 (420 d) |
| Stephen Thomas Mcginn | Principal Securities, Inc. other | Cambridge Investment Research Advisors, Inc. other | Other | Jul 3, 2008 | Jul 2, 2008 |
| Stephen Francis Caggiano | Principal Securities, Inc. other | Cambridge Investment Research Advisors, Inc. other | Other | Jul 3, 2008 | Jul 3, 2008 |
| Kathleen A Johnson | Principal Securities, Inc. other | Cetera Advisor Networks LLC other | Other | Jun 26, 2008 | Jun 23, 2008 |
| Stephen Michael Salinger | Principal Securities, Inc. other | Cetera Advisor Networks LLC other | Other | Jun 25, 2008 | Jun 25, 2008 |
| Daniel Patrick Foley | Principal Securities, Inc. other | Cetera Advisor Networks LLC other | Other | Jun 18, 2008 | Aug 6, 2008 (49 d) |
| Anthony Strom Pastor | Principal Securities, Inc. other | Cetera Advisor Networks LLC other | Other | Jun 17, 2008 | Jun 20, 2008 |
| Chad Jeffrey Perry | Principal Securities, Inc. other | Level Four Advisory Services other | Other | Jun 17, 2008 | Jun 12, 2008 |
| Maria Catherine Cacia | Principal Securities, Inc. other | Cetera Advisor Networks LLC other | Other | Jun 12, 2008 | Jun 26, 2008 |
| Bryan Scott Marvin | Principal Securities, Inc. other | Cetera Advisor Networks LLC other | Other | Jun 11, 2008 | Jun 5, 2008 |
| John Emmanuel Simone | Principal Securities, Inc. other | Cetera Advisor Networks LLC other | Other | Jun 10, 2008 | Jun 13, 2008 |
| Trevin J Panaia | Principal Securities, Inc. other | Cetera Advisor Networks LLC other | Other | Jun 10, 2008 | Nov 12, 2008 (155 d) |
| Brian D Platt | Principal Securities, Inc. other | Cetera Advisor Networks LLC other | Other | Jun 9, 2008 | Jun 5, 2008 |
| Michael Conway Bree | Principal Securities, Inc. other | Cetera Advisor Networks LLC other | Other | Jun 9, 2008 | Jun 5, 2008 |
| David Aaron Bleznak | Principal Securities, Inc. other | Cetera Advisor Networks LLC other | Other | Jun 9, 2008 | Jun 11, 2008 |
| Christopher Mark Bryan | Principal Securities, Inc. other | Cetera Advisor Networks LLC other | Other | Jun 9, 2008 | Jun 12, 2008 |
| Dennis Patrick Maguire | Principal Securities, Inc. other | Cetera Advisor Networks LLC other | Other | Jun 9, 2008 | Jun 12, 2008 |
| Richard Joseph Clifford | Principal Securities, Inc. other | Cetera Advisor Networks LLC other | Other | Jun 6, 2008 | Jun 9, 2008 |
| Martin William Minder | Principal Securities, Inc. other | Cetera Advisor Networks LLC other | Other | Jun 6, 2008 | Jun 6, 2008 |
| Michael Thomas Robinson | Principal Securities, Inc. other | Navy Federal Asset Management, LLC other | Other | Jun 6, 2008 | Jul 22, 2008 (46 d) |
| Diane L Metivier | Principal Securities, Inc. other | Cetera Advisor Networks LLC other | Other | Jun 6, 2008 | Jun 10, 2008 |
| Shaun David O'Connor | Principal Securities, Inc. other | Cetera Advisor Networks LLC other | Other | Jun 6, 2008 | Jun 2, 2008 |
| George Christopher Dallas | Principal Securities, Inc. other | Cetera Advisor Networks LLC other | Other | Jun 6, 2008 | Jun 5, 2008 |