| Benny J Stewart | Edward Jones national BD | On Investment Management Co BD affiliated | Affiliated broker-dealer or bank to another | Feb 28, 2019 | May 10, 2019 (71 d) |
| Elisabeth Anne Olson | Waddell & Reed BD affiliated | On Investment Management Co BD affiliated | Affiliated broker-dealer or bank to another | Jan 25, 2019 | Jan 22, 2019 |
| Aubrey B Coleman | Fiscal Fitness Clubs no RAUM | On Investment Management Co BD affiliated | Other | Dec 18, 2018 | Dec 27, 2018 |
| Robert Petrosyan | Edward Jones national BD | On Investment Management Co BD affiliated | Affiliated broker-dealer or bank to another | Nov 28, 2018 | May 29, 2019 (182 d) |
| Steven Lee White | Securities America Advisors, Inc. BD affiliated | On Investment Management Co BD affiliated | Affiliated broker-dealer or bank to another | Nov 9, 2018 | Jan 29, 2019 (81 d) |
| John G Rhode | Foresters Equity Services, Inc. BD affiliated | On Investment Management Co BD affiliated | Affiliated broker-dealer or bank to another | Nov 5, 2018 | Jul 9, 2024 (2073 d) |
| Gavin Douglas Chambers | Principal Securities, Inc. BD affiliated | On Investment Management Co BD affiliated | Affiliated broker-dealer or bank to another | Aug 14, 2018 | Jul 31, 2018 |
| James Christian Cook | Waddell & Reed BD affiliated | On Investment Management Co BD affiliated | Affiliated broker-dealer or bank to another | Aug 13, 2018 | Aug 7, 2018 |
| Janice Marie Swanson | Principal Securities, Inc. BD affiliated | On Investment Management Co BD affiliated | Affiliated broker-dealer or bank to another | Aug 2, 2018 | Jan 4, 2019 (155 d) |
| Michael Douglas Weldy | Cetera Advisors LLC BD affiliated | On Investment Management Co BD affiliated | Affiliated broker-dealer or bank to another | Aug 2, 2018 | Aug 1, 2018 |
| Ryan Dean Buck | Investment Professionals, Inc. BD affiliated | On Investment Management Co BD affiliated | Affiliated broker-dealer or bank to another | Jul 31, 2018 | Jul 30, 2018 |
| James Kim | Hornor, Townsend & Kent, LLC BD affiliated | On Investment Management Co BD affiliated | Affiliated broker-dealer or bank to another | Jul 26, 2018 | Aug 2, 2018 |
| Pamela Kay Weaver | Integrity Alliance, LLC independent RIA | On Investment Management Co BD affiliated | RIA to affiliated broker-dealer or bank | Jun 26, 2018 | Aug 29, 2018 (64 d) |
| Peter David Sentance | Cambridge Investment Research Advisors, Inc. BD affiliated | On Investment Management Co BD affiliated | Affiliated broker-dealer or bank to another | Jun 18, 2018 | May 21, 2018 |
| Stacy L Davis | Questar Asset Management, Inc. BD affiliated | On Investment Management Co BD affiliated | Affiliated broker-dealer or bank to another | May 1, 2018 | Apr 23, 2018 |
| David Nyles Nelson | Kestra Advisory Services, LLC BD affiliated | On Investment Management Co BD affiliated | Affiliated broker-dealer or bank to another | Apr 2, 2018 | Apr 16, 2018 |
| Glenn Joseph Eckstut | Innova Wealth Partners, LLC other | On Investment Management Co other | Other | Mar 26, 2018 | Mar 14, 2018 |
| Craig Allen Larsen | Waddell & Reed other | On Investment Management Co other | Other | Mar 22, 2018 | Mar 15, 2018 |
| John Tyler Larsen | Waddell & Reed other | On Investment Management Co other | Other | Mar 22, 2018 | Mar 15, 2018 |
| Jane Slaven Eddy | LPL Financial LLC independent RIA | On Investment Management Co other | Other | Mar 12, 2018 | Mar 6, 2018 |
| Mark Richard Hoemann | Independent Financial Group, LLC other | On Investment Management Co other | Other | Feb 28, 2018 | Mar 1, 2018 |
| Todd Curtis Allen | Allstate Financial Advisors, LLC no RAUM | On Investment Management Co BD affiliated | Other | Feb 22, 2018 | May 14, 2018 (81 d) |
| Donald Thomas Mcneill | Foresters Equity Services, Inc. other | On Investment Management Co other | Other | Jan 9, 2018 | Jan 5, 2018 |
| Bradford Chandler Smith | Freestone Capital, LLC unclassified | On Investment Management Co BD affiliated | Other | Jan 8, 2018 | Jun 12, 2018 (155 d) |
| Jerald C Lear | Hornor, Townsend & Kent, LLC other | On Investment Management Co BD affiliated | Other | Dec 15, 2017 | Aug 29, 2023 (2083 d) |
| Christopher Nicholas Van Horn | Cetera Investment Advisers LLC other | On Investment Management Co other | Other | Sep 29, 2017 | Jan 24, 2018 (117 d) |
| April Kristyne Hahn | Investment Centers Of America, Inc. other | On Investment Management Co other | Other | Sep 27, 2017 | Oct 16, 2017 |
| J Cortney Otterbein | Fai Advisors, Inc. independent RIA | On Investment Management Co other | Other | Sep 19, 2017 | Apr 23, 2010 |
| Asalyn Dubois Coachman | Fai Advisors, Inc. independent RIA | On Investment Management Co other | Other | Sep 19, 2017 | Jun 14, 2012 |
| Theresa Marie Sell | Thrivent Investment Management Inc. other | On Investment Management Co other | Other | Sep 15, 2017 | Sep 12, 2017 |
| Robert James Schup | Osaic Institutions, Inc. other | On Investment Management Co BD affiliated | Other | Sep 12, 2017 | Apr 17, 2018 (217 d) |
| John Patrick Rafferty | Park Avenue Securities LLC other | On Investment Management Co other | Other | Sep 11, 2017 | Aug 31, 2017 |
| Sean Mcgoogan Murphy | Edward Jones national BD | On Investment Management Co other | Other | Aug 8, 2017 | Aug 4, 2017 |
| Byron Michael Smith | Fifth Third Securities, Inc. other | On Investment Management Co other | Other | Aug 7, 2017 | Aug 15, 2017 |
| Stephen Ray White | Edward Jones national BD | On Investment Management Co other | Other | Jul 21, 2017 | Jul 24, 2017 |
| Victor Ledoux | Woodbury Financial Services, Inc. other | On Investment Management Co other | Other | Jul 5, 2017 | Jun 30, 2017 |
| Kathryn Murphy | MML Investors Services, LLC other | On Investment Management Co other | Other | Jun 2, 2017 | Jun 28, 2017 |
| Julius M Porter | Edward Jones national BD | On Investment Management Co other | Other | May 23, 2017 | May 22, 2017 |
| Sean Kenneth Meldrum | Edward Jones national BD | On Investment Management Co other | Other | May 19, 2017 | Jun 1, 2017 |
| Mitchell Lee Cook | Avantax Planning Partners, Inc. other | On Investment Management Co BD affiliated | Other | May 18, 2017 | May 10, 2019 (722 d) |
| Adam Edward Day | Strategic Advisers LLC national BD | On Investment Management Co other | Other | May 11, 2017 | Aug 24, 2017 (105 d) |
| Thomas James Frank | Hornor, Townsend & Kent, LLC other | On Investment Management Co other | Other | Apr 14, 2017 | Apr 17, 2017 |
| Robert Craig Mitchell | Voya Financial Advisors, Inc. other | On Investment Management Co other | Other | Mar 30, 2017 | Apr 3, 2017 |
| Dennis Michael Dean | Hornor, Townsend & Kent, LLC other | On Investment Management Co other | Other | Feb 16, 2017 | Apr 11, 2017 (54 d) |
| Thomas Edward Brophy | Hornor, Townsend & Kent, LLC other | On Investment Management Co other | Other | Feb 2, 2017 | Apr 6, 2017 (63 d) |
| Rex Behrashi | Pruco Securities, LLC other | On Investment Management Co other | Other | Jan 30, 2017 | Aug 23, 2017 (205 d) |
| Scott Kine | Principal Securities, Inc. other | On Investment Management Co other | Other | Dec 31, 2016 | Jan 3, 2017 |
| Katherine Elizabeth Breitenstein | Ameriprise Financial Services, LLC national BD | On Investment Management Co other | Other | Nov 29, 2016 | Dec 16, 2016 |
| Aaron Mcmichael Briggs | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | On Investment Management Co other | Other | Nov 28, 2016 | Jan 3, 2017 (36 d) |
| Gregory Owen Mccurry | Retirement Planners Of America other | On Investment Management Co other | Other | Nov 15, 2016 | Sep 12, 2017 (301 d) |
| Arthur James Saylor | Hummel Wealth Management, LLC no RAUM | On Investment Management Co other | Other | Nov 10, 2016 | Apr 8, 2013 |
| Olin Robert Johanssen | Voya Financial Advisors, Inc. other | On Investment Management Co other | Other | Nov 10, 2016 | Nov 10, 2016 |
| Alan Paul Jenkins | Waddell & Reed other | On Investment Management Co other | Other | Nov 4, 2016 | Nov 11, 2016 |
| Michael Scott Bloom | Redhawk Wealth Advisors, Inc. other | On Investment Management Co other | Other | Sep 9, 2016 | Sep 8, 2016 |
| Elisabeth Anne Olson | Rea Capital Management, LLC other | On Investment Management Co other | Other | Aug 30, 2016 | Aug 3, 2016 |
| Susan Marie Mchugh | Fifth Third Securities, Inc. other | On Investment Management Co other | Other | Aug 29, 2016 | Aug 30, 2016 |
| Michael Edward Shelton | 360 Financial Solutions, LLC unclassified | On Investment Management Co other | Other | Aug 29, 2016 | Sep 7, 2016 |
| John Samuel Scott | Transamerica Financial Advisors, LLC other | On Investment Management Co other | Other | Aug 1, 2016 | Aug 1, 2016 |
| Eric Matthew Aponte | Fifth Third Securities, Inc. other | On Investment Management Co other | Other | Jul 25, 2016 | Jul 29, 2016 |
| Juana Love | Wells Fargo Advisors wirehouse | On Investment Management Co other | Other | Jul 19, 2016 | Aug 2, 2016 |