| Lakeisha Nicole Hill | Equitable Advisors, LLC national BD | Pruco Securities, LLC other | Other | Oct 15, 2014 | Nov 3, 2014 |
| Kelly Fagan | Sii Investments, Inc. other | Pruco Securities, LLC BD affiliated | Other | Oct 8, 2014 | Aug 1, 2019 (1758 d) |
| Craig Stephen Jantz | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Pruco Securities, LLC other | Other | Sep 29, 2014 | Jun 10, 2015 (254 d) |
| Jane E Kwoun | Capital Analysts other | Pruco Securities, LLC other | Other | Sep 29, 2014 | May 2, 2016 (581 d) |
| Jane E Kwoun | Lincoln Investment other | Pruco Securities, LLC other | Other | Sep 29, 2014 | May 2, 2016 (581 d) |
| James Edward Schwalbe | Comerica Securities other | Pruco Securities, LLC other | Other | Sep 24, 2014 | Jul 27, 2017 (1037 d) |
| John Russell Carpani | Osaic Fa, Inc. other | Pruco Securities, LLC other | Other | Sep 17, 2014 | Oct 29, 2015 (407 d) |
| Anthony John Khoury | MML Investors Services, LLC other | Pruco Securities, LLC other | Other | Sep 15, 2014 | Oct 22, 2014 (37 d) |
| Barbara Kershner Loos | Primerica Advisors national BD | Pruco Securities, LLC other | Other | Sep 4, 2014 | Sep 17, 2014 |
| Charles William Grant | Esi Financial Advisors other | Pruco Securities, LLC other | Other | Aug 21, 2014 | Sep 5, 2014 |
| Kathlyn Pierce | Primerica Advisors national BD | Pruco Securities, LLC other | Other | Aug 6, 2014 | Mar 27, 2015 (233 d) |
| Marty Lee Mcguire | Morgan Stanley wirehouse | Pruco Securities, LLC other | Other | Aug 5, 2014 | Aug 6, 2014 |
| Joseph Gilbert Schaefer | Waddell & Reed other | Pruco Securities, LLC other | Other | Jul 30, 2014 | Aug 20, 2014 |
| Kevin C Kluge | Equitable Advisors, LLC national BD | Pruco Securities, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 24, 2014 | Jun 7, 2021 (2510 d) |
| Joseph Robert Pesicka | Equitable Advisors, LLC national BD | Pruco Securities, LLC other | Other | Jul 22, 2014 | Dec 9, 2014 (140 d) |
| Jeffrey Paul Newitt | Msi Financial Services, Inc. other | Pruco Securities, LLC other | Other | Jul 21, 2014 | Aug 8, 2014 |
| Ezra I Litton | Msi Financial Services, Inc. other | Pruco Securities, LLC other | Other | Jul 17, 2014 | Nov 19, 2014 (125 d) |
| Joshua James Derwin | Msi Financial Services, Inc. other | Pruco Securities, LLC other | Other | Jul 11, 2014 | Jul 22, 2014 |
| Samuel Grady Gilliam | Wells Fargo Advisors wirehouse | Pruco Securities, LLC other | Other | Jul 7, 2014 | Mar 7, 2016 (609 d) |
| Michael Tartarini | Signator Investors, Inc. other | Pruco Securities, LLC other | Other | Jun 16, 2014 | May 12, 2016 (696 d) |
| Barry L. Conover | Thrivent Investment Management Inc. other | Pruco Securities, LLC other | Other | Jun 13, 2014 | Jun 13, 2014 |
| Blaise Stevens | Principal Securities, Inc. other | Pruco Securities, LLC other | Other | Jun 9, 2014 | May 28, 2014 |
| Joel Michael Greenberg | Eagle Strategies LLC other | Pruco Securities, LLC other | Other | Jun 9, 2014 | Jun 23, 2014 |
| Jon Michael Bass | Principal Securities, Inc. other | Pruco Securities, LLC other | Other | Jun 5, 2014 | May 23, 2014 |
| Blanche Elaine Cheeley | Principal Securities, Inc. other | Pruco Securities, LLC other | Other | Jun 5, 2014 | Jun 16, 2014 |
| Juanita White Stephens | Sagepoint Financial, Inc. other | Pruco Securities, LLC other | Other | Jun 4, 2014 | Jul 15, 2014 (41 d) |
| Frank Llyod Davidson | Msi Financial Services, Inc. other | Pruco Securities, LLC other | Other | Jun 2, 2014 | Jun 5, 2014 |
| Gregery Dean Odell | Msi Financial Services, Inc. other | Pruco Securities, LLC other | Other | May 22, 2014 | Aug 8, 2014 (78 d) |
| Michael Joseph Eicher | Mutual Of Omaha Investor Services, Inc. no RAUM | Pruco Securities, LLC other | Other | May 15, 2014 | May 1, 2014 |
| Rueben R Hill | Edward Jones national BD | Pruco Securities, LLC other | Other | Apr 28, 2014 | May 12, 2014 |
| Thomas Joseph Harkins | Avantax Advisory Services other | Pruco Securities, LLC other | Other | Apr 16, 2014 | May 29, 2014 (43 d) |
| Suzana Romine | Morgan Stanley wirehouse | Pruco Securities, LLC other | Other | Apr 3, 2014 | Nov 19, 2014 (230 d) |
| Jamie Lee Jochum | Cetera Advisor Networks LLC other | Pruco Securities, LLC other | Other | Mar 26, 2014 | Apr 22, 2014 |
| Michael Ivan Savin | Msi Financial Services, Inc. other | Pruco Securities, LLC other | Other | Mar 25, 2014 | Jun 13, 2014 (80 d) |
| Edwin Joseph Reynolds | Msi Financial Services, Inc. other | Pruco Securities, LLC other | Other | Mar 13, 2014 | Mar 3, 2014 |
| Jason Ryan Adams | Mutual Of Omaha Investor Services, Inc. no RAUM | Pruco Securities, LLC other | Other | Mar 4, 2014 | Apr 9, 2014 (36 d) |
| Robert Alan Russell | Transamerica Financial Advisors, LLC other | Pruco Securities, LLC other | Other | Feb 25, 2014 | Mar 18, 2014 |
| William Morgan Watson | Crown Capital Securities, L.P. other | Pruco Securities, LLC other | Other | Feb 21, 2014 | Jan 29, 2014 |
| James C Byers | Msi Financial Services, Inc. other | Pruco Securities, LLC other | Other | Feb 18, 2014 | Mar 19, 2014 |
| Adam John Mcdonough | Msi Financial Services, Inc. other | Pruco Securities, LLC other | Other | Jan 30, 2014 | Feb 7, 2014 |
| Chang Baek Chun | Eagle Strategies LLC other | Pruco Securities, LLC other | Other | Jan 9, 2014 | Feb 20, 2014 (42 d) |
| Shannon Thomas Sulewski | Ameriprise Financial Services, LLC national BD | Pruco Securities, LLC other | Other | Dec 18, 2013 | Oct 3, 2014 (289 d) |
| Scott Alan Davis | Msi Financial Services, Inc. other | Pruco Securities, LLC other | Other | Nov 26, 2013 | Dec 10, 2013 |
| Christopher Thomas Batastini | Equitable Advisors, LLC national BD | Pruco Securities, LLC other | Other | Nov 26, 2013 | Dec 20, 2013 |
| Aaron Mazer | Pnc Wealth Management other | Pruco Securities, LLC other | Other | Nov 13, 2013 | Nov 13, 2013 |
| Natalia Petrovna Konstantinova | Citigroup Global Markets Inc. other | Pruco Securities, LLC other | Other | Nov 7, 2013 | Dec 18, 2013 (41 d) |
| Jasper E Smith | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Pruco Securities, LLC other | Other | Nov 7, 2013 | Jul 8, 2015 (608 d) |
| Stanley Nick Tzikas | Tzikas Investment Advisory unclassified | Pruco Securities, LLC other | Other | Oct 31, 2013 | Nov 13, 2013 |
| Matthew J Coniglio | Vista Management Company unclassified | Pruco Securities, LLC other | Other | Oct 18, 2013 | Nov 14, 2013 |
| Schane Pierce Goheen | First Command Financial Planning, Inc. other | Pruco Securities, LLC other | Other | Oct 18, 2013 | Oct 28, 2013 |
| Daniel V Brungard | New England Securities Corporation other | Pruco Securities, LLC other | Other | Oct 3, 2013 | Oct 18, 2013 |
| Brian Dean Parker | New England Securities Corporation other | Pruco Securities, LLC other | Other | Sep 25, 2013 | Oct 8, 2013 |
| Matthew C Mcdonough | New England Securities Corporation other | Pruco Securities, LLC other | Other | Sep 25, 2013 | Oct 14, 2013 |
| George Donald Sutphen | Msi Financial Services, Inc. other | Pruco Securities, LLC other | Other | Sep 13, 2013 | Oct 8, 2013 |
| Kristin Hanson | Raymond James Financial Services Advisors, Inc other | Pruco Securities, LLC other | Other | Sep 11, 2013 | Nov 18, 2013 (68 d) |
| Jason Ronald Surya | First Command Financial Planning, Inc. other | Pruco Securities, LLC other | Other | Sep 11, 2013 | Sep 11, 2013 |
| Mark William Sears | New England Securities Corporation other | Pruco Securities, LLC other | Other | Sep 9, 2013 | Sep 24, 2013 |
| Vanessa Lee Quintal | Bmo Harris Financial Advisors, Inc other | Pruco Securities, LLC other | Other | Sep 4, 2013 | Apr 18, 2014 (226 d) |
| Mark Dydzuhn | Wells Fargo Advisors wirehouse | Pruco Securities, LLC other | Other | Aug 19, 2013 | Sep 30, 2013 (42 d) |
| Michael Jerome Greer | Msi Financial Services, Inc. other | Pruco Securities, LLC other | Other | Aug 13, 2013 | Aug 29, 2013 |