| Grant Stephen Frederick | Cwa Asset Management Group other | Pruco Securities, LLC BD affiliated | Other | Sep 29, 2017 | Nov 17, 2017 (49 d) |
| David L Rutan | Waddell & Reed other | Pruco Securities, LLC other | Other | Sep 27, 2017 | Oct 9, 2017 |
| Robert Begun | MML Investors Services, LLC other | Pruco Securities, LLC BD affiliated | Other | Sep 26, 2017 | Apr 3, 2018 (189 d) |
| Nathan Ryan Novotny | Hancock Whitney Investment Services Inc. other | Pruco Securities, LLC BD affiliated | Other | Sep 26, 2017 | Jul 13, 2018 (290 d) |
| Laura Deanna Peirson | Stancorp Investment Advisers, Inc. other | Pruco Securities, LLC BD affiliated | Other | Sep 25, 2017 | Mar 11, 2019 (532 d) |
| Richard James Marooney | MML Investors Services, LLC other | Pruco Securities, LLC BD affiliated | Other | Sep 19, 2017 | Aug 22, 2018 (337 d) |
| Matthew J Freeman | MML Investors Services, LLC other | Pruco Securities, LLC other | Other | Sep 18, 2017 | Sep 26, 2017 |
| Stephen Bruce Strout | Commonwealth Financial Network national BD | Pruco Securities, LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 6, 2017 | Apr 4, 2018 (210 d) |
| Kristopher A Knight | MML Investors Services, LLC other | Pruco Securities, LLC BD affiliated | Other | Sep 6, 2017 | Feb 15, 2019 (527 d) |
| Niccolo Alfred Gonzales | Equitable Advisors, LLC national BD | Pruco Securities, LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 5, 2017 | Nov 7, 2017 (63 d) |
| Woodrow D Bowling | First Advisors National, LLC other | Pruco Securities, LLC BD affiliated | Other | Aug 30, 2017 | Nov 30, 2017 (92 d) |
| Gerald King Emerson | MML Investors Services, LLC other | Pruco Securities, LLC other | Other | Aug 29, 2017 | Sep 14, 2017 |
| Karl Diebold | Horan Wealth Management other | Pruco Securities, LLC BD affiliated | Other | Aug 28, 2017 | Apr 23, 2018 (238 d) |
| Thomas Alan Van Dellen | Waddell & Reed other | Pruco Securities, LLC BD affiliated | Other | Aug 24, 2017 | Jan 9, 2018 (138 d) |
| Diana Jye Chien | Strategic Advisers LLC national BD | Pruco Securities, LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 21, 2017 | Nov 14, 2017 (85 d) |
| Kevin Paul Morkassel | Investment Centers Of America, Inc. other | Pruco Securities, LLC other | Other | Aug 15, 2017 | Oct 19, 2017 (65 d) |
| Robert James Guilford | Pnc Wealth Management other | Pruco Securities, LLC other | Other | Aug 15, 2017 | Oct 2, 2017 (48 d) |
| Jason Michael Simmons | Osaic Fa, Inc. other | Pruco Securities, LLC BD affiliated | Other | Aug 11, 2017 | Nov 3, 2022 (1910 d) |
| Dilnawaz Bomi Gazdar | Valic Financial Advisors, Inc. other | Pruco Securities, LLC BD affiliated | Other | Aug 10, 2017 | Nov 30, 2017 (112 d) |
| Rex Wang | Waddell & Reed other | Pruco Securities, LLC BD affiliated | Other | Aug 9, 2017 | Dec 12, 2017 (125 d) |
| Latoya Bagwell | Td Ameritrade, Inc. no RAUM | Pruco Securities, LLC other | Other | Aug 7, 2017 | Aug 25, 2017 |
| Marvin Hardiman | Charles Schwab & Co., Inc. national BD | Pruco Securities, LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 4, 2017 | Jan 29, 2018 (178 d) |
| David Peter Suess | Spectrum Strategies, L.L.C. state registered | Pruco Securities, LLC other | Other | Aug 2, 2017 | Aug 9, 2017 |
| Patrick Pierce Kelley | Raymond James Financial Services Advisors, Inc other | Pruco Securities, LLC other | Other | Aug 1, 2017 | Sep 13, 2017 (43 d) |
| Phyllis Anne Sarabyn | Cuna Brokerage Services, Inc. other | Pruco Securities, LLC other | Other | Jul 31, 2017 | Aug 18, 2017 |
| Edward Lavan Price | MML Investors Services, LLC other | Pruco Securities, LLC other | Other | Jul 27, 2017 | Sep 6, 2017 (41 d) |
| Eric Douglas Rotolo | Huntington Financial Advisors other | Pruco Securities, LLC BD affiliated | Other | Jul 25, 2017 | Nov 15, 2017 (113 d) |
| Joan Duquette | E*Trade Capital Management, LLC other | Pruco Securities, LLC other | Other | Jul 14, 2017 | Aug 17, 2017 (34 d) |
| Samir Ibrahim | Td Ameritrade Investment Management, LLC other | Pruco Securities, LLC other | Other | Jul 12, 2017 | Sep 25, 2017 (75 d) |
| Samir Ibrahim | Td Ameritrade, Inc. no RAUM | Pruco Securities, LLC other | Other | Jul 12, 2017 | Sep 25, 2017 (75 d) |
| Joseph M Turek | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Pruco Securities, LLC other | Other | Jul 11, 2017 | Oct 2, 2017 (83 d) |
| Michael Richard Sima | Eagle Strategies LLC other | Pruco Securities, LLC BD affiliated | Other | Jun 30, 2017 | Sep 20, 2018 (447 d) |
| Jorge Camero | Allstate Financial Advisors, LLC no RAUM | Pruco Securities, LLC other | Other | Jun 28, 2017 | Jul 17, 2017 |
| Thomas Mitchell Desroches | Equitable Advisors, LLC national BD | Pruco Securities, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 16, 2017 | Mar 15, 2019 (637 d) |
| Phillip Chartchai Kiriboon | MML Investors Services, LLC other | Pruco Securities, LLC other | Other | Jun 13, 2017 | May 18, 2017 |
| Ann Zlamal | Waddell & Reed other | Pruco Securities, LLC BD affiliated | Other | Jun 9, 2017 | Mar 13, 2019 (642 d) |
| Bradley Alan Morris | Foresters Equity Services, Inc. other | Pruco Securities, LLC other | Other | Jun 2, 2017 | Jun 28, 2017 |
| Francisco D Valeriano | MML Investors Services, LLC other | Pruco Securities, LLC other | Other | May 25, 2017 | Sep 21, 2017 (119 d) |
| Brigida Nicole Loucks | Morgan Stanley wirehouse | Pruco Securities, LLC other | Other | May 25, 2017 | Jun 2, 2017 |
| Todd Abrams | Principal Securities, Inc. other | Pruco Securities, LLC other | Other | May 24, 2017 | Jul 10, 2017 (47 d) |
| Guy Mccauley | Thrivent Investment Management Inc. other | Pruco Securities, LLC other | Other | May 24, 2017 | Jun 23, 2017 |
| Terence Vincent Gallagher | Osaic Fa, Inc. other | Pruco Securities, LLC BD affiliated | Other | May 23, 2017 | Jan 29, 2018 (251 d) |
| Bobby Hilton Christian | Principal Securities, Inc. other | Pruco Securities, LLC other | Other | May 23, 2017 | May 25, 2017 |
| Keif H Samuel | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Pruco Securities, LLC other | Other | May 22, 2017 | Jun 8, 2017 |
| Paul Matthew Barbieri | Bb&T Investment Services, Inc. other | Pruco Securities, LLC other | Other | May 19, 2017 | Jul 11, 2017 (53 d) |
| Nathan Michael Badowski | Eagle Strategies LLC other | Pruco Securities, LLC other | Other | May 16, 2017 | May 30, 2017 |
| Andrew Morris | Sorrento Pacific Financial, LLC other | Pruco Securities, LLC BD affiliated | Other | May 12, 2017 | Dec 27, 2018 (594 d) |
| Robert Mark Cerrito | Secure Investment Management, LLC other | Pruco Securities, LLC other | Other | May 12, 2017 | Jun 23, 2017 (42 d) |
| Sandra Ohehir Keir | Gwn Securities Inc. other | Pruco Securities, LLC other | Other | May 11, 2017 | Jun 12, 2017 (32 d) |
| Kateryna Puchowicz | MML Investors Services, LLC other | Pruco Securities, LLC other | Other | May 4, 2017 | Jun 12, 2017 (39 d) |
| Michelle Lee Dubena | Pnc Wealth Management other | Pruco Securities, LLC BD affiliated | Other | May 2, 2017 | Nov 16, 2017 (198 d) |
| Ernest Michael Bosso | Cetera Advisors LLC other | Pruco Securities, LLC BD affiliated | Other | May 1, 2017 | Dec 6, 2017 (219 d) |
| Andrew David Mainz | Truist Advisory Services, Inc. other | Pruco Securities, LLC BD affiliated | Other | Apr 27, 2017 | Feb 12, 2019 (656 d) |
| Nancy Louise Roach-Wilder | Spc other | Pruco Securities, LLC other | Other | Apr 24, 2017 | May 18, 2017 |
| Michelle Argero Malacinski | Trustmont Advisory Group, Inc. other | Pruco Securities, LLC other | Other | Apr 18, 2017 | May 2, 2017 |
| Eric Lau | Hornor, Townsend & Kent, LLC other | Pruco Securities, LLC other | Other | Apr 13, 2017 | Jun 22, 2017 (70 d) |
| Mark Steven Robinson | Jim Poe And Associates Inc. other | Pruco Securities, LLC other | Other | Apr 12, 2017 | May 3, 2017 |
| Ken Anthony Bradshaw | Edward Jones national BD | Pruco Securities, LLC other | Other | Apr 12, 2017 | May 1, 2017 |
| Rommel L Ver | MML Investors Services, LLC other | Pruco Securities, LLC other | Other | Apr 7, 2017 | Apr 19, 2017 |
| Paul Robert Samuelson | Valic Financial Advisors, Inc. other | Pruco Securities, LLC other | Other | Apr 6, 2017 | May 9, 2017 (33 d) |