| Fernando Roberto Bloin | Mariner Wealth Advisors other | Pruco Securities, LLC BD affiliated | Other | Apr 5, 2017 | Feb 22, 2019 (688 d) |
| John Joseph Moriarty | J.P. Morgan Securities LLC wirehouse | Pruco Securities, LLC other | Other | Apr 5, 2017 | Apr 27, 2017 |
| Christopher S Maienshein | Park Avenue Securities LLC other | Pruco Securities, LLC other | Other | Mar 27, 2017 | Mar 21, 2017 |
| Kaleb Baker | National Wealth Management Group, LLC other | Pruco Securities, LLC other | Other | Mar 15, 2017 | Apr 6, 2017 |
| Aiming Sun Allen | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Pruco Securities, LLC other | Other | Mar 13, 2017 | May 2, 2017 (50 d) |
| Kenneth Joseph Marable | Equitable Advisors, LLC national BD | Pruco Securities, LLC BD affiliated | Affiliated broker-dealer or bank to another | Mar 8, 2017 | Feb 21, 2019 (715 d) |
| Bryan Corbitt | Park Avenue Securities LLC other | Pruco Securities, LLC BD affiliated | Other | Mar 8, 2017 | Jul 15, 2021 (1590 d) |
| Fred Kleinfeld | Msi Financial Services, Inc. other | Pruco Securities, LLC other | Other | Mar 8, 2017 | Apr 3, 2017 |
| John Peter Schmick | Fiduciary Advisors, LLC other | Pruco Securities, LLC BD affiliated | Other | Mar 6, 2017 | Jan 16, 2018 (316 d) |
| John Peter Schmick | Efficient Advisors other | Pruco Securities, LLC BD affiliated | Other | Mar 6, 2017 | Jan 16, 2018 (316 d) |
| Terry Lee Bennett | Oppenheimer & Co. Inc. other | Pruco Securities, LLC other | Other | Feb 27, 2017 | Jun 28, 2017 (121 d) |
| Sarah Elizabeth Brechbuehl | Ameriprise Financial Services, LLC national BD | Pruco Securities, LLC other | Other | Feb 27, 2017 | Apr 13, 2017 (45 d) |
| Andrei Junge | Bmo Harris Financial Advisors, Inc other | Pruco Securities, LLC other | Other | Feb 27, 2017 | May 1, 2017 (63 d) |
| Olga Aleksandrovna Gurevich | Waddell & Reed other | Pruco Securities, LLC BD affiliated | Other | Feb 24, 2017 | Jul 23, 2019 (879 d) |
| Lawrence Philip Rose | LPL Financial LLC other | Pruco Securities, LLC other | Other | Feb 23, 2017 | Mar 24, 2017 |
| Eun Joo Kim Hamblin | Cuso Financial Services, L.P. other | Pruco Securities, LLC other | Other | Feb 16, 2017 | Aug 31, 2017 (196 d) |
| Paul Christian Dries | J.P. Morgan Securities LLC wirehouse | Pruco Securities, LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Feb 16, 2017 | Oct 17, 2022 (2069 d) |
| Joseph James Puetz | Quantum Financial Partners LLC independent RIA | Pruco Securities, LLC other | Other | Feb 6, 2017 | Mar 24, 2017 (46 d) |
| Nicholas Pavao | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Pruco Securities, LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jan 31, 2017 | Feb 16, 2018 (381 d) |
| Monika Faye Stonehocker | Ameriprise Financial Services, LLC national BD | Pruco Securities, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 30, 2017 | Jan 23, 2018 (358 d) |
| Michael Bryce Venable | Transamerica Retirement Advisors, LLC other | Pruco Securities, LLC other | Other | Jan 25, 2017 | Mar 9, 2017 (43 d) |
| Jaimie Kim Corcoran | Morgan Stanley wirehouse | Pruco Securities, LLC other | Other | Jan 23, 2017 | Jan 25, 2017 |
| Arthur John Chenail | Edward Jones national BD | Pruco Securities, LLC other | Other | Jan 23, 2017 | Aug 8, 2017 (197 d) |
| David Michael Capozzi | Allstate Financial Advisors, LLC no RAUM | Pruco Securities, LLC other | Other | Jan 17, 2017 | Jan 18, 2017 |
| Vance Litchfield | Msi Financial Services, Inc. other | Pruco Securities, LLC other | Other | Jan 13, 2017 | Apr 5, 2017 (82 d) |
| Wesley Douglass Phelps | MML Investors Services, LLC other | Pruco Securities, LLC other | Other | Jan 13, 2017 | Mar 27, 2017 (73 d) |
| Daniel Vega | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Pruco Securities, LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jan 10, 2017 | Apr 22, 2020 (1198 d) |
| William Eric Kern | Key Investment Services LLC other | Pruco Securities, LLC other | Other | Jan 3, 2017 | Jan 6, 2017 |
| Arthur Michael Argeros | United Planners' Financial Services Of America A Limited Partner other | Pruco Securities, LLC BD affiliated | Other | Dec 31, 2016 | Jan 11, 2022 (1837 d) |
| Joseph John Rudnicki | Strategic Wealth Partners, Ltd. other | Pruco Securities, LLC other | Other | Dec 21, 2016 | Jun 19, 2017 (180 d) |
| Jonathon Whitacre Sanning | Eagle Strategies LLC other | Pruco Securities, LLC other | Other | Dec 13, 2016 | Jan 11, 2017 |
| Jack Anthony Forlenza | Capital One Advisors, LLC other | Pruco Securities, LLC other | Other | Dec 12, 2016 | Jan 10, 2017 |
| Anthony Joseph De Bellis | Cambridge Investment Research Advisors, Inc. other | Pruco Securities, LLC other | Other | Dec 9, 2016 | Feb 7, 2017 (60 d) |
| Sherald E Hill | Wells Fargo Advisors wirehouse | Pruco Securities, LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Dec 5, 2016 | Mar 18, 2019 (833 d) |
| James William Robinson | Edward Jones national BD | Pruco Securities, LLC other | Other | Nov 29, 2016 | Jan 23, 2017 (55 d) |
| Peter Griffiths Henkel | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Pruco Securities, LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Nov 25, 2016 | Jun 15, 2018 (567 d) |
| Charles Alexander Rogers | Edward Jones national BD | Pruco Securities, LLC other | Other | Nov 21, 2016 | Apr 7, 2017 (137 d) |
| Richard Sinderbrand | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Pruco Securities, LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Nov 18, 2016 | Jun 7, 2018 (566 d) |
| Rebecca Speck Foster | Avellino Financial Advisors, Inc. other | Pruco Securities, LLC other | Other | Nov 9, 2016 | Dec 20, 2016 (41 d) |
| James Patrick Murphy | Mutual Of Omaha Investor Services, Inc. no RAUM | Pruco Securities, LLC BD affiliated | Other | Oct 31, 2016 | Jun 7, 2021 (1680 d) |
| Matthew Joseph Wall | Mcadam LLC other | Pruco Securities, LLC other | Other | Oct 26, 2016 | Oct 21, 2016 |
| Kyle Thomas Knigge | Meridian Capital Management, LLC unclassified | Pruco Securities, LLC other | Other | Oct 25, 2016 | Dec 20, 2016 (56 d) |
| Marc Lawrence Delphine | Edward Jones national BD | Pruco Securities, LLC other | Other | Oct 20, 2016 | May 25, 2017 (217 d) |
| Stanley Bruce Weiland | Eaton Vance Management other | Pruco Securities, LLC other | Other | Oct 19, 2016 | May 4, 2017 (197 d) |
| Craig Alan Stavely | MML Investors Services, LLC other | Pruco Securities, LLC other | Other | Oct 13, 2016 | Oct 17, 2016 |
| Robert James Gaynier | MML Investors Services, LLC other | Pruco Securities, LLC other | Other | Oct 6, 2016 | Oct 26, 2017 (385 d) |
| Albert A Duplace Jr. | Allstate Financial Advisors, LLC no RAUM | Pruco Securities, LLC other | Other | Oct 4, 2016 | Oct 28, 2016 |
| Glenn Dale Weyand | Concourse Financial Group Advisors other | Pruco Securities, LLC other | Other | Sep 27, 2016 | Sep 9, 2016 |
| Shenghua Wang | Msi Financial Services, Inc. other | Pruco Securities, LLC other | Other | Sep 23, 2016 | Oct 7, 2016 |
| Amy Elizabeth Johnson | Waddell & Reed other | Pruco Securities, LLC other | Other | Sep 15, 2016 | May 2, 2017 (229 d) |
| Ian M Weeks | Northwestern Mutual Investment Services,LLC no RAUM | Pruco Securities, LLC BD affiliated | Other | Sep 14, 2016 | Apr 9, 2021 (1668 d) |
| Jean C Jimenez | Morgan Stanley wirehouse | Pruco Securities, LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Sep 2, 2016 | Apr 16, 2018 (591 d) |
| Benjamin M Delp | Wells Fargo Advisors wirehouse | Pruco Securities, LLC other | Other | Aug 31, 2016 | Feb 8, 2017 (161 d) |
| Martina Arelis Jimenez Sperry | Eagle Strategies LLC other | Pruco Securities, LLC other | Other | Aug 30, 2016 | Sep 29, 2016 |
| Jeffrey B Jones | Waddell & Reed other | Pruco Securities, LLC other | Other | Aug 9, 2016 | Aug 16, 2016 |
| Tobias Paul Scheffler | Edward Jones national BD | Pruco Securities, LLC other | Other | Aug 5, 2016 | Feb 2, 2017 (181 d) |
| Carrie Jo Steinert | Bok Financial Advisors other | Pruco Securities, LLC other | Other | Aug 3, 2016 | Aug 16, 2016 |
| Melvin Adolf Goss | Silver Oak Securities, Inc. other | Pruco Securities, LLC BD affiliated | Other | Aug 1, 2016 | Feb 23, 2018 (571 d) |
| Kwadwo Opoku Adutwum | Usaa Financial Planning Services no RAUM | Pruco Securities, LLC other | Other | Jul 22, 2016 | Jun 2, 2017 (315 d) |
| Timothy M Mchale | Wells Fargo Advisors wirehouse | Pruco Securities, LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jul 22, 2016 | Jul 11, 2018 (719 d) |