| Kelvin Sun Ming Lau | Principal Securities, Inc. other | The Strategic Financial Alliance BD affiliated | Other | Jun 8, 2005 | Jan 1, 2025 (7147 d) |
| Ilona Brandt-Tom | Principal Securities, Inc. other | Msi Financial Services, Inc. other | Other | Jun 7, 2005 | Sep 18, 2007 (833 d) |
| Debra Jane Devoe | Principal Securities, Inc. other | Fdx Advisors, Inc. other | Other | May 31, 2005 | Nov 2, 2007 (885 d) |
| Clarence Homer Slaughter | Principal Securities, Inc. other | Nfp Advisor Services, LLC other | Other | May 23, 2005 | May 13, 2005 |
| Scott Marshal Jones | Principal Securities, Inc. other | Nfp Advisor Services, LLC other | Other | May 20, 2005 | May 20, 2005 |
| John Warren Hardy | Principal Securities, Inc. other | LPL Financial LLC other | Other | May 16, 2005 | May 13, 2005 |
| Angus Gibbons Mceachran | Principal Securities, Inc. other | LPL Financial LLC other | Other | May 16, 2005 | May 13, 2005 |
| George Gibbons Hoyle | Principal Securities, Inc. other | LPL Financial LLC other | Other | May 16, 2005 | May 13, 2005 |
| Kathleen Alaina Kelly | Principal Securities, Inc. other | LPL Financial LLC other | Other | May 16, 2005 | May 13, 2005 |
| Denise Marie Daugherty | Principal Securities, Inc. other | Voya Financial Advisors, Inc. other | Other | May 12, 2005 | May 25, 2005 |
| Manuel Nmn Rosado | Principal Securities, Inc. other | Spectrum Investment Advisors, Inc. other | Other | May 11, 2005 | Nov 28, 2005 (201 d) |
| Robert Edward Marino | Principal Securities, Inc. other | Hornor, Townsend & Kent, LLC other | Other | May 11, 2005 | May 6, 2005 |
| Richard Lee Chambers | Principal Securities, Inc. other | Cuna Brokerage Services, Inc. other | Other | May 5, 2005 | Jan 3, 2006 (243 d) |
| Jon Barton | Principal Securities, Inc. other | Voya Financial Advisors, Inc. other | Other | Apr 28, 2005 | Feb 21, 2006 (299 d) |
| Erik Miller Tetmeyer | Principal Securities, Inc. other | Voya Financial Advisors, Inc. other | Other | Apr 21, 2005 | Apr 29, 2005 |
| Barbara Lynn Marsh | Principal Securities, Inc. other | UBS Financial Services Inc. wirehouse | Other | Apr 8, 2005 | Apr 25, 2005 |
| Lonnie Ray Struckman | Principal Securities, Inc. other | Raymond James Financial Services, Inc. unclassified | Other | Mar 23, 2005 | May 26, 2005 (64 d) |
| Michael Francis Burkitt | Principal Securities, Inc. other | Securian Financial Services, Inc. other | Other | Feb 28, 2005 | Mar 23, 2005 |
| Thomas Bowen Frost | Principal Securities, Inc. other | Financial Telesis, Inc. other | Other | Feb 18, 2005 | May 27, 2005 (98 d) |
| Preston Riley Speece | Principal Securities, Inc. other | Securian Financial Services, Inc. other | Other | Jan 25, 2005 | Feb 9, 2005 |
| James Roland Brubaker | Principal Securities, Inc. other | Nfp Advisor Services, LLC other | Other | Dec 31, 2004 | Jan 3, 2005 |
| Bruce William Stroup | Principal Securities, Inc. other | Invest Financial Corporation other | Other | Dec 10, 2004 | Feb 17, 2005 (69 d) |
| Chad Allen Leigh | Principal Securities, Inc. other | Nfp Advisor Services, LLC other | Other | Dec 7, 2004 | Dec 1, 2004 |
| Jeffery Scott Lillie | Principal Securities, Inc. other | Creative Financial Designs, Inc. other | Other | Nov 19, 2004 | Nov 19, 2004 |
| Daniel Carmen Danese | Principal Securities, Inc. other | Cincinnati Analysts, Inc other | Other | Nov 1, 2004 | Jul 20, 2006 (626 d) |
| David Michael Finn | Principal Securities, Inc. other | Voya Financial Advisors, Inc. other | Other | Oct 13, 2004 | Oct 7, 2014 (3646 d) |
| William David Gullborg | Principal Securities, Inc. other | H. Beck, Inc. other | Other | Oct 4, 2004 | Oct 1, 2004 |
| Mary Grace Musuneggi | Principal Securities, Inc. other | H. Beck, Inc. other | Other | Sep 15, 2004 | Sep 1, 2004 |
| Christopher Sean Musuneggi | Principal Securities, Inc. other | H. Beck, Inc. other | Other | Sep 15, 2004 | Sep 15, 2004 |
| Daniel Jon Olsen | Principal Securities, Inc. other | Waddell & Reed other | Other | Sep 8, 2004 | Sep 24, 2004 |
| Darrell Thomas Alford | Principal Securities, Inc. other | Qa3 Financial LLC unclassified | Other | Jun 11, 2004 | Jun 14, 2004 |
| William James Buehler | Principal Securities, Inc. other | Securian Financial Services, Inc. other | Other | Mar 3, 2004 | Mar 16, 2004 |
| William Thomas Black | Principal Securities, Inc. other | Nfp Advisor Services, LLC other | Other | Feb 25, 2004 | Oct 5, 2004 (223 d) |
| Clint Stephen Fish | Principal Securities, Inc. other | First American Advisory, LLC unclassified | Other | Feb 11, 2004 | May 24, 2002 |
| Daniel James Prentice | Principal Securities, Inc. other | Mony Securities Corporation unclassified | Other | Feb 9, 2004 | May 24, 2004 (105 d) |
| David Joseph Funke | Principal Securities, Inc. other | On Investment Management Co other | Other | Feb 5, 2004 | Sep 21, 2004 (229 d) |
| Lynn Seldon Bridges | Principal Securities, Inc. other | New England Securities Corporation other | Other | Dec 31, 2003 | Mar 15, 2004 (75 d) |
| Samuel Lyle Torrez | Principal Securities, Inc. other | Rmin Securities, Inc. unclassified | Other | Dec 31, 2003 | Jan 4, 2005 (370 d) |
| Marvin Rudolph Souchek | Principal Securities, Inc. other | Mutual Service Corporation unclassified | Other | Sep 25, 2003 | Oct 3, 2003 |
| Brad Jedd Myers | Principal Securities, Inc. other | Hornor, Townsend & Kent, LLC other | Other | Sep 18, 2003 | Feb 17, 2004 (152 d) |
| John David Levin | Principal Securities, Inc. other | MML Investors Services, LLC other | Other | Aug 25, 2003 | Aug 27, 2003 |
| Aaron Joseph Peterson | Principal Securities, Inc. other | Locust Street Securities, Inc. unclassified | Other | Aug 8, 2003 | Aug 12, 2003 |
| Gary Daniel Love | Principal Securities, Inc. other | Wells Fargo Advisors wirehouse | Other | Aug 7, 2003 | Sep 9, 2003 (33 d) |
| Mark Ronald Matulia | Principal Securities, Inc. other | Sunset Financial Services, Inc. other | Other | Jul 28, 2003 | Aug 7, 2003 |
| Todd Michael Lohman | Principal Securities, Inc. other | Locust Street Securities, Inc. unclassified | Other | Jul 28, 2003 | Aug 6, 2003 |
| Zoran Ivan Lozo | Principal Securities, Inc. other | Essex National Securities, Inc. other | Other | Jul 24, 2003 | Nov 7, 2003 (106 d) |
| James John Wilson | Principal Securities, Inc. other | New England Securities Corporation other | Other | Jul 21, 2003 | Sep 25, 2003 (66 d) |
| Thomas Paul Muldoon | Principal Securities, Inc. other | Valmark Advisers, Inc. other | Other | Jul 3, 2003 | Nov 5, 2003 (125 d) |
| James Bryan Washburn | Principal Securities, Inc. other | New England Securities Corporation other | Other | Jun 4, 2003 | Jun 11, 2003 |
| Dax James Welsheimer | Principal Securities, Inc. other | Valmark Advisers, Inc. other | Other | Jun 2, 2003 | Jun 17, 2003 |
| Philip Stone Morgan | Principal Securities, Inc. other | Hornor, Townsend & Kent, LLC other | Other | Mar 6, 2003 | Mar 17, 2003 |
| Kristian Heinz Lehner | Principal Securities, Inc. other | Hornor, Townsend & Kent, LLC other | Other | Feb 28, 2003 | Mar 17, 2003 |
| Craig George Bolanos | Principal Securities, Inc. other | LPL Financial LLC other | Other | Feb 7, 2003 | Feb 7, 2003 |
| John Elwin Worrel | Principal Securities, Inc. other | The Advisors Group, Inc. unclassified | Other | Feb 5, 2003 | Apr 8, 2004 (428 d) |
| Charles Brooker Blanton | Principal Securities, Inc. other | United Planners' Financial Services Of America A Limited Partner other | Other | Jan 29, 2003 | Apr 30, 2003 (91 d) |
| Paul Stanton Viren | Principal Securities, Inc. other | Ffr Advisory LLC other | Other | Jan 7, 2003 | May 31, 2004 (510 d) |
| Robert Rankin Schulz | Principal Securities, Inc. other | Signal Securities, Inc. other | Other | Dec 31, 2002 | Jan 7, 2003 |
| Michael Lee Benson | Principal Securities, Inc. other | UBS Financial Services Inc. wirehouse | Other | Dec 13, 2002 | Dec 7, 2006 (1455 d) |
| Michael Charles Hoffman | Principal Securities, Inc. other | Eagle Strategies LLC other | Other | Dec 3, 2002 | May 22, 2003 (170 d) |
| Joseph Pierpont Morgan | Principal Securities, Inc. other | LPL Financial LLC other | Other | Oct 2, 2002 | Nov 13, 2002 (42 d) |