| Paul Allen Phillips | Schwab Wealth Advisory, Inc. other | U.S. Bancorp Investments, Inc. BD affiliated | Other | Mar 19, 2018 | Sep 5, 2018 (170 d) |
| James W Choi | J.P. Morgan Securities LLC wirehouse | U.S. Bancorp Investments, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Mar 16, 2018 | Jul 23, 2018 (129 d) |
| Ann Marie Coghill | U.S. Bancorp Advisors, LLC BD affiliated | U.S. Bancorp Investments, Inc. other | Other | Mar 14, 2018 | Mar 12, 2018 |
| Derrick Michael Meier | Thrivent Investment Management Inc. other | U.S. Bancorp Investments, Inc. BD affiliated | Other | Mar 9, 2018 | Apr 11, 2018 (33 d) |
| Ji Yun Wang | Scottrade Investment Management BD affiliated | U.S. Bancorp Investments, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 8, 2018 | May 11, 2018 (64 d) |
| Troy Carlton Emeott | Scottrade Investment Management BD affiliated | U.S. Bancorp Investments, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 7, 2018 | May 1, 2018 (55 d) |
| David S. Berger | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | U.S. Bancorp Investments, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Mar 6, 2018 | Jan 7, 2019 (307 d) |
| Charles D Dodds | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | U.S. Bancorp Investments, Inc. other | Other | Mar 2, 2018 | Mar 1, 2018 |
| Tina Marie Preyer | Thrivent Investment Management Inc. other | U.S. Bancorp Investments, Inc. other | Other | Mar 1, 2018 | Mar 2, 2018 |
| Grover Cleaveland Musser | Mariner Wealth Advisors other | U.S. Bancorp Investments, Inc. BD affiliated | Other | Feb 23, 2018 | May 10, 2018 (76 d) |
| Grover Cleaveland Musser | Mariner other | U.S. Bancorp Investments, Inc. BD affiliated | Other | Feb 23, 2018 | May 10, 2018 (76 d) |
| Thomas K Walke | Wells Fargo Advisors wirehouse | U.S. Bancorp Investments, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Feb 21, 2018 | Oct 23, 2018 (244 d) |
| Tyler Patrick Whalen | Wells Fargo Advisors wirehouse | U.S. Bancorp Investments, Inc. other | Other | Feb 21, 2018 | Feb 15, 2018 |
| Teresa Dawn Clements | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | U.S. Bancorp Investments, Inc. other | Other | Feb 15, 2018 | Mar 5, 2018 |
| Matthew Alan Golliher | Cetera Investment Advisers LLC other | U.S. Bancorp Investments, Inc. other | Other | Feb 14, 2018 | Feb 13, 2018 |
| Joel Paul Erikson | Northland Asset Management other | U.S. Bancorp Investments, Inc. BD affiliated | Other | Feb 6, 2018 | May 4, 2018 (87 d) |
| Justin Bryan Feigal | Bmo Harris Financial Advisors, Inc other | U.S. Bancorp Investments, Inc. other | Other | Jan 17, 2018 | Jan 25, 2018 |
| Peter Gerard Koleske | Bmo Harris Financial Advisors, Inc other | U.S. Bancorp Investments, Inc. other | Other | Jan 16, 2018 | Feb 12, 2018 |
| Rory Patrick Cannon | Charles Schwab & Co., Inc. national BD | U.S. Bancorp Investments, Inc. other | Other | Jan 16, 2018 | Jan 16, 2018 |
| Deanna Lynn Tucker | Tpg Financial Advisors, LLC other | U.S. Bancorp Investments, Inc. other | Other | Jan 5, 2018 | Jan 11, 2018 |
| Christopher Michael Butler | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | U.S. Bancorp Investments, Inc. other | Other | Dec 26, 2017 | Dec 19, 2017 |
| Patrick Ryan Wilker | Ameriprise Financial Services, LLC national BD | U.S. Bancorp Investments, Inc. other | Other | Dec 18, 2017 | Jan 26, 2018 (39 d) |
| Parand R Baillie | Wells Fargo Advisors wirehouse | U.S. Bancorp Investments, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Dec 15, 2017 | Feb 20, 2019 (432 d) |
| Richard Gaff | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | U.S. Bancorp Investments, Inc. other | Other | Dec 15, 2017 | Mar 21, 2018 (96 d) |
| Bobby E Crouch | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | U.S. Bancorp Investments, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Dec 14, 2017 | Jul 31, 2018 (229 d) |
| Benny Ellerbe | Pnc Wealth Management BD affiliated | U.S. Bancorp Investments, Inc. other | Other | Dec 8, 2017 | Dec 20, 2017 |
| Aaron Pimentel | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | U.S. Bancorp Investments, Inc. other | Other | Dec 5, 2017 | Nov 28, 2017 |
| Olexandra Suprun | Ameriprise Financial Services, LLC national BD | U.S. Bancorp Investments, Inc. other | Other | Dec 5, 2017 | Dec 26, 2017 |
| Ryan C Bly | Commerce Brokerage Services, Inc other | U.S. Bancorp Investments, Inc. other | Other | Dec 1, 2017 | Dec 4, 2017 |
| Zelalem Baalu Girma | LPL Financial LLC independent RIA | U.S. Bancorp Investments, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Nov 29, 2017 | Jan 30, 2019 (427 d) |
| Michael Robert Granja | Cuna Brokerage Services, Inc. other | U.S. Bancorp Investments, Inc. other | Other | Nov 27, 2017 | Nov 20, 2017 |
| John O'Connors | Cuso Financial Services, L.P. other | U.S. Bancorp Investments, Inc. other | Other | Nov 17, 2017 | Nov 30, 2017 |
| Stephen Gregor Stark | Waddell & Reed other | U.S. Bancorp Investments, Inc. other | Other | Nov 10, 2017 | Nov 9, 2017 |
| Charles Patrick Smith | Fifth Third Securities, Inc. other | U.S. Bancorp Investments, Inc. other | Other | Nov 6, 2017 | Oct 31, 2017 |
| Jeremy James Davis | J.P. Morgan Securities LLC wirehouse | U.S. Bancorp Investments, Inc. other | Other | Oct 25, 2017 | Oct 13, 2017 |
| Stephen Heiden | Valic Financial Advisors, Inc. other | U.S. Bancorp Investments, Inc. other | Other | Oct 23, 2017 | Oct 16, 2017 |
| Allison Rose Osgood | Smedley Financial Services Inc other | U.S. Bancorp Investments, Inc. other | Other | Oct 23, 2017 | Nov 20, 2017 |
| Sophie Iliescu | U.S. Bancorp Advisors, LLC other | U.S. Bancorp Investments, Inc. other | Other | Oct 17, 2017 | Oct 17, 2017 |
| John Kendall Seedall | J.P. Morgan Securities LLC wirehouse | U.S. Bancorp Investments, Inc. other | Other | Oct 12, 2017 | Sep 22, 2017 |
| Katherine Rae Trivisonno | Citizens Securities, Inc. other | U.S. Bancorp Investments, Inc. other | Other | Oct 11, 2017 | Feb 2, 2018 (114 d) |
| Joseph Arnold Vignoni | Wells Fargo Advisors wirehouse | U.S. Bancorp Investments, Inc. other | Other | Oct 6, 2017 | Oct 3, 2017 |
| Robert Bender | Bancwest Investment Services, Inc. (Bwis) other | U.S. Bancorp Investments, Inc. other | Other | Oct 3, 2017 | Sep 22, 2017 |
| Grayson Castle Biggs | Wells Fargo Advisors wirehouse | U.S. Bancorp Investments, Inc. other | Other | Sep 13, 2017 | Sep 18, 2017 |
| Forrest Brooks Wilder | Woven Capital, LLC state registered | U.S. Bancorp Investments, Inc. other | Other | Sep 8, 2017 | Sep 14, 2017 |
| Phillip Lee Hyland | Edward Jones national BD | U.S. Bancorp Investments, Inc. other | Other | Aug 31, 2017 | Sep 21, 2017 |
| Zachary J. Yanker | Edward Jones national BD | U.S. Bancorp Investments, Inc. other | Other | Aug 29, 2017 | Oct 10, 2017 (42 d) |
| Steve Lee | Bancwest Investment Services, Inc. (Bwis) other | U.S. Bancorp Investments, Inc. other | Other | Aug 21, 2017 | Sep 6, 2017 |
| Steven Allen Horsley | Strategic Advisers LLC national BD | U.S. Bancorp Investments, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 7, 2017 | Dec 4, 2018 (484 d) |
| Christian Huy Tran | Wells Fargo Advisors wirehouse | U.S. Bancorp Investments, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Aug 4, 2017 | Mar 7, 2019 (580 d) |
| Matthew Innecken Stroud | Wells Fargo Advisors wirehouse | U.S. Bancorp Investments, Inc. other | Other | Aug 3, 2017 | Aug 3, 2017 |
| Scott Charles Willms | Robert W. Baird & Co. Incorporated other | U.S. Bancorp Investments, Inc. other | Other | Jul 27, 2017 | Jul 24, 2017 |
| Joseph Jung | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | U.S. Bancorp Investments, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jul 24, 2017 | Jul 16, 2018 (357 d) |
| Stephen Tallmadge Kernahan | Valic Financial Advisors, Inc. other | U.S. Bancorp Investments, Inc. other | Other | Jul 21, 2017 | Jul 21, 2017 |
| Robert St. Clair Christman | Td Ameritrade, Inc. no RAUM | U.S. Bancorp Investments, Inc. other | Other | Jul 18, 2017 | Jul 25, 2017 |
| Robert St. Clair Christman | Td Ameritrade Investment Management, LLC other | U.S. Bancorp Investments, Inc. other | Other | Jul 18, 2017 | Jul 25, 2017 |
| Cynthia Ann Gutz | RBC Capital Markets, LLC national BD | U.S. Bancorp Investments, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 17, 2017 | Apr 6, 2018 (263 d) |
| Daniel Patrick Schumann | Stifel, Nicolaus & Company, Incorporated national BD | U.S. Bancorp Investments, Inc. other | Other | Jul 13, 2017 | Dec 8, 2017 (148 d) |
| Lisa Jean Hamilton | Money Concepts Advisory Service other | U.S. Bancorp Investments, Inc. other | Other | Jul 6, 2017 | Jul 10, 2017 |
| Jeffrey Fay | Pnc Wealth Management other | U.S. Bancorp Investments, Inc. other | Other | Jul 5, 2017 | Jul 11, 2017 |
| Gavin John Carter | U.S. Bancorp Advisors, LLC other | U.S. Bancorp Investments, Inc. other | Other | Jun 22, 2017 | Jun 13, 2017 |