| Thomas Edward Landy | Principal Securities, Inc. other | Cetera Advisor Networks LLC other | Other | Jun 6, 2008 | Jun 13, 2008 |
| Kent Allen Powgnas | Principal Securities, Inc. other | LPL Financial LLC other | Other | Jun 5, 2008 | Jun 4, 2008 |
| Joshua Joseph Walker | Principal Securities, Inc. other | Chase Investment Services Corp. other | Other | Jun 4, 2008 | Jun 9, 2008 |
| Richard Collins Clark | Principal Securities, Inc. other | Cetera Advisor Networks LLC other | Other | Jun 4, 2008 | Jun 6, 2008 |
| Christopher John Hanson | Principal Securities, Inc. other | Cetera Investment Services LLC other | Other | Jun 2, 2008 | Jun 3, 2008 |
| Jonathan Del Herz | Principal Securities, Inc. other | Cetera Investment Services LLC other | Other | Jun 2, 2008 | Jun 3, 2008 |
| Timothy Allen Kunkle | Principal Securities, Inc. other | Cambridge Investment Research Advisors, Inc. other | Other | May 19, 2008 | Mar 24, 2014 (2135 d) |
| Anita Louise Lester | Principal Securities, Inc. other | J. W. Cole Advisors, Inc. other | Other | Apr 25, 2008 | Apr 28, 2008 |
| Charles Clarke Smith | Principal Securities, Inc. other | Wells Fargo Advisors wirehouse | Other | Apr 25, 2008 | Jul 2, 2008 (68 d) |
| Jack Shaw | Principal Securities, Inc. other | Pension Planners Securities, Inc. unclassified | Other | Apr 9, 2008 | May 16, 2008 (37 d) |
| Shawn Edward Mccutchan | Principal Securities, Inc. other | The Mutual Fund Store - Charlotte other | Other | Apr 3, 2008 | Apr 29, 2008 |
| Jason M Arbittier | Principal Securities, Inc. other | Redhawk Wealth Advisors, Inc. other | Other | Apr 3, 2008 | Apr 1, 2008 |
| William Robert Frazer | Principal Securities, Inc. other | MML Investors Services, LLC other | Other | Apr 1, 2008 | Jan 20, 2009 (294 d) |
| Charles Randolph Lee | Principal Securities, Inc. other | Questar Asset Management, Inc. other | Other | Mar 6, 2008 | Mar 6, 2008 |
| T. Matt Nichols | Principal Securities, Inc. other | Private Wealth Advisors other | Other | Mar 4, 2008 | Jan 11, 2007 |
| Charles Bedingfield Lanier | Principal Securities, Inc. other | 1st Global Advisors Inc other | Other | Feb 21, 2008 | Mar 3, 2008 |
| Amy Marie Townsend | Principal Securities, Inc. other | Choreo, LLC other | Other | Feb 21, 2008 | Mar 7, 2008 |
| Douglas Dix Boring | Principal Securities, Inc. other | LPL Financial LLC other | Other | Feb 20, 2008 | Feb 20, 2008 |
| Matthew Ray Bott | Principal Securities, Inc. other | Integrity Alliance, LLC other | Other | Jan 9, 2008 | Jan 14, 2008 |
| Carl Eric Terzer | Principal Securities, Inc. other | Principal Asset Management other | Other | Jan 7, 2008 | Jan 7, 2008 |
| Jon David Walton | Principal Securities, Inc. other | Commonwealth Financial Network national BD | Other | Jan 2, 2008 | Feb 1, 2008 |
| David Vance Duncan | Principal Securities, Inc. other | Commonwealth Financial Network national BD | Other | Jan 2, 2008 | Jan 2, 2008 |
| Roy Francisco Miranda | Principal Securities, Inc. other | Mutual Service Corporation unclassified | Other | Dec 31, 2007 | Jan 18, 2008 |
| Anwesha Basu | Principal Securities, Inc. other | Vanguard Advisers, Inc. BD affiliated | Other | Dec 31, 2007 | Oct 1, 2019 (4292 d) |
| Zachary Allen Zettergren | Principal Securities, Inc. other | Next Financial Group, Inc. other | Other | Dec 31, 2007 | Jan 3, 2008 |
| Selina Sen Chan | Principal Securities, Inc. other | Fisher Investments independent RIA | Other | Dec 31, 2007 | Aug 26, 2022 (5352 d) |
| Chen Zhao | Principal Securities, Inc. other | Edward Jones national BD | Other | Dec 31, 2007 | Feb 14, 2008 (45 d) |
| Martin Lee Mazorra | Principal Securities, Inc. other | Mutual Securities, Inc. other | Other | Dec 15, 2007 | Jan 7, 2010 (754 d) |
| Edward Gibson Hynes | Principal Securities, Inc. other | Morgan Stanley wirehouse | Other | Dec 14, 2007 | Jul 21, 2009 (585 d) |
| Richard Dale Nilmeier | Principal Securities, Inc. other | Next Financial Group, Inc. other | Other | Dec 13, 2007 | Dec 11, 2007 |
| John Peter Nilmeier | Principal Securities, Inc. other | Next Financial Group, Inc. other | Other | Dec 13, 2007 | Dec 11, 2007 |
| Kylee Erin Hall | Principal Securities, Inc. other | Nrp Advisors, Inc. unclassified | Other | Dec 6, 2007 | Nov 30, 2007 |
| Aquilino Alfredo Mayo | Principal Securities, Inc. other | Transamerica Financial Advisors, LLC other | Other | Dec 5, 2007 | Nov 14, 2007 |
| Lee Morris Mcpherson | Principal Securities, Inc. other | Allstate Financial Advisors, LLC BD affiliated | Other | Nov 12, 2007 | Apr 1, 2026 (6715 d) |
| Michael John Mathis | Principal Securities, Inc. other | Edward Jones national BD | Other | Nov 9, 2007 | Nov 12, 2007 |
| Joel Martin North | Principal Securities, Inc. other | U.S. Bancorp Investments, Inc. other | Other | Nov 5, 2007 | Nov 8, 2007 |
| Charles Akivah Lewandowski | Principal Securities, Inc. other | H. Beck, Inc. other | Other | Oct 22, 2007 | Oct 16, 2007 |
| Julie Dennis Babcock | Principal Securities, Inc. other | Lockton Investment Advisors, LLC no RAUM | Other | Oct 16, 2007 | Dec 7, 2007 (52 d) |
| Edmundo Gerardo Fuentes | Principal Securities, Inc. other | Lincoln Financial Distributors, Inc. unclassified | Other | Sep 27, 2007 | Nov 2, 2007 (36 d) |
| James Edward Wilterdink | Principal Securities, Inc. other | Edward Jones national BD | Other | Sep 10, 2007 | Sep 17, 2007 |
| Philip Gabriel Nehro | Principal Securities, Inc. other | First National Advisors LLC other | Other | Aug 31, 2007 | May 28, 2008 (271 d) |
| Luis Alfonso Almendarez | Principal Securities, Inc. other | U.S. Bancorp Advisors, LLC other | Other | Aug 13, 2007 | Nov 29, 2007 (108 d) |
| Lorraine Johnson | Principal Securities, Inc. other | Triad Financial Advisors, Inc. other | Other | Jul 17, 2007 | Jul 18, 2007 |
| Tamara Leah Higgins | Principal Securities, Inc. other | Money Concepts Advisory Service other | Other | Jul 9, 2007 | Jun 29, 2007 |
| Amir Mohammed Habib | Principal Securities, Inc. other | Stonehurst Securities, Inc. unclassified | Other | Jul 2, 2007 | Jun 18, 2007 |
| Matthew David Friedrichsen | Principal Securities, Inc. other | Dewaay Capital Management other | Other | Jul 2, 2007 | Jul 5, 2007 |
| Craig James Ruffolo | Principal Securities, Inc. other | Cliftonlarsonallen Wealth Advisors, LLC other | Other | Jul 2, 2007 | Mar 9, 2016 (3173 d) |
| Jamie Paul Menges | Principal Securities, Inc. other | Commonwealth Financial Network national BD | Other | Jun 29, 2007 | Jul 2, 2007 |
| Jason Anthony Jarck | Principal Securities, Inc. other | Concourse Financial Group Advisors other | Other | Jun 18, 2007 | Aug 21, 2012 (1891 d) |
| Jacob D Heskett | Principal Securities, Inc. other | Td Ameritrade, Inc. no RAUM | Other | Jun 18, 2007 | Dec 2, 2008 (533 d) |
| Maria Guadalupe Carvajal | Principal Securities, Inc. other | U.S. Bancorp Investments, Inc. other | Other | Jun 15, 2007 | Jun 29, 2009 (745 d) |
| Russell Paul Trumm | Principal Securities, Inc. other | Qa3 Financial LLC unclassified | Other | Jun 4, 2007 | May 9, 2007 |
| George Joseph Manning | Principal Securities, Inc. other | Alliancebernstein L.P. other | Other | May 30, 2007 | Jun 26, 2007 |
| Michael Enriquez | Principal Securities, Inc. other | Edelman Financial Engines other | Other | May 30, 2007 | Aug 22, 2007 (84 d) |
| Tyler Jon Schelhaas | Principal Securities, Inc. other | Charles Schwab & Co., Inc. national BD | Other | May 24, 2007 | Jul 19, 2007 (56 d) |
| Randy Lee Green | Principal Securities, Inc. other | Qa3 Financial LLC unclassified | Other | May 21, 2007 | May 9, 2007 |
| Robert Allen Zeiner | Principal Securities, Inc. other | Spc other | Other | May 7, 2007 | May 18, 2011 (1472 d) |
| Gregory Conibear Kutrow | Principal Securities, Inc. other | Nfp Advisor Services, LLC other | Other | Apr 17, 2007 | Apr 23, 2007 |
| Jonathan Allen Shimer | Principal Securities, Inc. other | Kestra Advisory Services, LLC BD affiliated | Other | Apr 17, 2007 | Jun 5, 2023 (5893 d) |
| Raquel P Russell | Principal Securities, Inc. other | Charles Schwab & Co., Inc. national BD | Other | Apr 16, 2007 | Jun 8, 2007 (53 d) |