| Stefanie Lynn Walthier | E*Trade Capital Management, LLC other | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | Jul 7, 2004 | Jul 6, 2004 |
| John Ryan Brough | E*Trade Capital Management, LLC other | Lee Miles LLC state registered | Other | May 18, 2004 | May 9, 2016 (4374 d) |
| Moiz Husain | E*Trade Capital Management, LLC other | Charles Schwab & Co., Inc. national BD | Other | Feb 4, 2004 | Mar 4, 2004 |
| Mark J Gilbert | E*Trade Capital Management, LLC other | Sbsb Financial Advisors other | Other | Jan 14, 2004 | Jan 8, 2004 |
| Gregory Scott Hermes | E*Trade Capital Management, LLC other | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | Jan 13, 2004 | Jan 13, 2004 |
| George S Pantazis | E*Trade Capital Management, LLC other | Cetera Investment Advisers LLC other | Other | Jan 8, 2004 | Sep 15, 2009 (2077 d) |
| David Alexander Mccallum | E*Trade Capital Management, LLC other | Wells Fargo Advisors wirehouse | Other | Oct 31, 2003 | Oct 22, 2008 (1818 d) |
| John Patrick Swift | E*Trade Capital Management, LLC other | Leonetti & Associates Inc unclassified | Other | Oct 3, 2003 | Mar 1, 2004 (150 d) |
| Brent Andrew Peddy | E*Trade Capital Management, LLC other | Uvest Financial Services Group, Inc. unclassified | Other | Aug 25, 2003 | Sep 7, 2004 (379 d) |
| Brian M Cahill | E*Trade Capital Management, LLC other | Citicorp Investment Services unclassified | Other | Aug 6, 2003 | Apr 25, 2005 (628 d) |
| Greg Thomas Lewandowski | E*Trade Capital Management, LLC other | Amcore Investment Services, Inc unclassified | Other | Jul 28, 2003 | Mar 3, 2009 (2045 d) |
| Rick Kennedy | E*Trade Capital Management, LLC other | Fisher Investments other | Other | Apr 8, 2003 | Apr 10, 2003 |
| James M Thornton | E*Trade Capital Management, LLC other | Natcity Investments, Inc. unclassified | Other | Feb 11, 2003 | Sep 10, 2004 (577 d) |
| Mark Franklin Silverman | E*Trade Capital Management, LLC other | Redhawk Wealth Advisors, Inc. other | Other | Jan 2, 2003 | Jun 20, 2008 (1996 d) |
| Robert Craig Obrien | E*Trade Capital Management, LLC other | Goldman Sachs Wealth Services, L.P. other | Other | Dec 18, 2002 | Jan 31, 2003 (44 d) |
| Brian Gordon Langenkamp | E*Trade Capital Management, LLC other | Zacks Investment Management, Inc. other | Other | Dec 18, 2002 | Apr 30, 2004 (499 d) |
| Michael Alexenko | E*Trade Capital Management, LLC other | Royal Asset Managers other | Other | Dec 6, 2002 | Jan 2, 2004 (392 d) |
| Norman Scott Gunn | E*Trade Capital Management, LLC other | Msi Financial Services, Inc. other | Other | Oct 25, 2002 | May 24, 2004 (577 d) |
| Brian Douglas Orton | E*Trade Capital Management, LLC other | Kibble & Prentice, Inc. unclassified | Other | Oct 15, 2002 | Nov 19, 2002 (35 d) |
| Bonnie Beth Belskis | E*Trade Capital Management, LLC other | Calamos Advisors LLC other | Other | Sep 4, 2002 | Nov 13, 2002 (70 d) |
| Donald Vito Amoruso | E*Trade Capital Management, LLC other | Fifth Third Securities, Inc. other | Other | Aug 19, 2002 | Nov 18, 2004 (822 d) |