| Vince Zorskas | Wells Fargo Advisors wirehouse | E*Trade Capital Management, LLC other | Other | Jan 9, 2015 | Jan 21, 2015 |
| Aaron V Fox | Strategic Advisers LLC national BD | E*Trade Capital Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 31, 2014 | Mar 17, 2021 (2268 d) |
| James T Katikos | Charles Schwab & Co., Inc. national BD | E*Trade Capital Management, LLC other | Other | Dec 19, 2014 | Dec 22, 2014 |
| Alisa Eichinger | UBS Financial Services Inc. wirehouse | E*Trade Capital Management, LLC other | Other | Dec 17, 2014 | Dec 19, 2014 |
| Nancy Christine Parylak | Td Ameritrade Investment Management, LLC other | E*Trade Capital Management, LLC other | Other | Dec 8, 2014 | Jan 5, 2015 |
| Keith Phillip Hudson | Fisher Investments other | E*Trade Capital Management, LLC other | Other | Nov 25, 2014 | Nov 26, 2014 |
| James Lowell Adams | Advice And Planning Services other | E*Trade Capital Management, LLC other | Other | Oct 30, 2014 | Apr 29, 2016 (547 d) |
| Raul M Blanco | Bofa Advisors, LLC other | E*Trade Capital Management, LLC other | Other | Oct 28, 2014 | Dec 3, 2014 (36 d) |
| Brett William Sperin | Morgan Stanley wirehouse | E*Trade Capital Management, LLC other | Other | Oct 4, 2014 | Oct 9, 2014 |
| Keenan M Stout | LPL Financial LLC other | E*Trade Capital Management, LLC other | Other | Oct 3, 2014 | Sep 30, 2014 |
| Brett M Bennett | Strategic Advisers LLC national BD | E*Trade Capital Management, LLC other | Other | Sep 4, 2014 | Oct 24, 2016 (781 d) |
| Darrin Andrew Chow | Bancwest Investment Services, Inc. (Bwis) other | E*Trade Capital Management, LLC other | Other | Aug 28, 2014 | Sep 9, 2014 |
| Timothy Byron Davis | Morgan Stanley wirehouse | E*Trade Capital Management, LLC other | Other | Aug 20, 2014 | Jan 20, 2015 (153 d) |
| Elena Lepeshkova | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | E*Trade Capital Management, LLC other | Other | Jul 28, 2014 | Aug 13, 2014 |
| Kenneth O'Toole | Charles Schwab & Co., Inc. national BD | E*Trade Capital Management, LLC other | Other | Jul 18, 2014 | Jan 20, 2015 (186 d) |
| Christopher Michael Blackburn | Morgan Stanley wirehouse | E*Trade Capital Management, LLC other | Other | Jul 7, 2014 | Aug 8, 2014 (32 d) |
| Jason Kevin Kiddoo | Charles Schwab & Co., Inc. national BD | E*Trade Capital Management, LLC other | Other | Jun 2, 2014 | Jun 11, 2014 |
| Nathan Allan Roozee | Morgan Stanley wirehouse | E*Trade Capital Management, LLC other | Other | May 14, 2014 | Oct 15, 2014 (154 d) |
| Shannon M Gallop | Assetmark, Inc. other | E*Trade Capital Management, LLC other | Other | May 6, 2014 | Aug 4, 2016 (821 d) |
| William Earl Brown | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | E*Trade Capital Management, LLC other | Other | May 5, 2014 | May 27, 2014 |
| Bernadette Marie Law | Bpu Investment Management, Inc. other | E*Trade Capital Management, LLC other | Other | May 1, 2014 | Jul 17, 2014 (77 d) |
| Jason Taylor Bothwell | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | E*Trade Capital Management, LLC other | Other | Apr 22, 2014 | Mar 23, 2016 (701 d) |
| Ross Mcnabb | Td Ameritrade Investment Management, LLC other | E*Trade Capital Management, LLC other | Other | Apr 16, 2014 | Jul 14, 2014 (89 d) |
| Tobey D Miller | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | E*Trade Capital Management, LLC other | Other | Apr 11, 2014 | May 8, 2014 |
| Reginald Harrison | Usadvisors Wealth Management, LLC other | E*Trade Capital Management, LLC independent RIA | Other | Apr 10, 2014 | Dec 23, 2019 (2083 d) |
| Christopher Jason Olivarez | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | E*Trade Capital Management, LLC other | Other | Apr 10, 2014 | Apr 23, 2014 |
| Gregory Surat | Bancwest Investment Services, Inc. (Bwis) other | E*Trade Capital Management, LLC other | Other | Apr 4, 2014 | Apr 2, 2014 |
| Steven Hart | Merit Financial Advisors other | E*Trade Capital Management, LLC other | Other | Mar 25, 2014 | Feb 21, 2014 |
| Mark C Gregory | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | E*Trade Capital Management, LLC other | Other | Mar 12, 2014 | Apr 7, 2014 |
| Anthony John Roselli | UBS Financial Services Inc. wirehouse | E*Trade Capital Management, LLC other | Other | Feb 28, 2014 | Jul 7, 2014 (129 d) |
| Darius D Hicks | Td Ameritrade Investment Management, LLC other | E*Trade Capital Management, LLC other | Other | Feb 18, 2014 | Apr 3, 2014 (44 d) |
| Robert Edward Szymanski | Cetera Investment Services LLC other | E*Trade Capital Management, LLC other | Other | Jan 9, 2014 | Jan 14, 2014 |
| Wilfred Bruce Cuthbert | J P Turner & Company Capital Management, LLC other | E*Trade Capital Management, LLC independent RIA | Other | Dec 10, 2013 | May 4, 2018 (1606 d) |
| Marc James Perrault | Columbia Management Investment Advisers, LLC other | E*Trade Capital Management, LLC other | Other | Dec 2, 2013 | Dec 5, 2016 (1099 d) |
| Michael J Gaddis | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | E*Trade Capital Management, LLC other | Other | Nov 29, 2013 | Dec 13, 2013 |
| Hugh Basil Christian | UBS Financial Services Inc. wirehouse | E*Trade Capital Management, LLC other | Other | Nov 20, 2013 | Nov 18, 2013 |
| Kevin Desquitado | Strategic Advisers LLC national BD | E*Trade Capital Management, LLC other | Other | Nov 13, 2013 | Jan 27, 2014 (75 d) |
| Joseph Dennis Mclaughlin | Td Ameritrade Investment Management, LLC other | E*Trade Capital Management, LLC other | Other | Nov 4, 2013 | Nov 15, 2013 |
| Giuseppe Alessandro Distefano | Morgan Stanley wirehouse | E*Trade Capital Management, LLC other | Other | Oct 15, 2013 | Oct 23, 2013 |
| Rufino Fernando Autus | Citigroup Global Markets Inc. other | E*Trade Capital Management, LLC other | Other | Jul 26, 2013 | Jul 30, 2013 |
| Johnny Kang | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | E*Trade Capital Management, LLC other | Other | Jul 12, 2013 | Jul 24, 2013 |
| Richard Pacheco Mansfield | Morgan Stanley wirehouse | E*Trade Capital Management, LLC other | Other | Jun 28, 2013 | May 7, 2014 (313 d) |
| Aneesh Paul | J.P. Morgan Securities LLC wirehouse | E*Trade Capital Management, LLC other | Other | Jun 12, 2013 | Jul 9, 2013 |
| Patrick Charles Mccormick | Strategic Advisers LLC national BD | E*Trade Capital Management, LLC other | Other | May 24, 2013 | Nov 26, 2013 (186 d) |
| Mark Jeffrey Binder | Cgn Advisors, LLC other | E*Trade Capital Management, LLC other | Other | May 22, 2013 | May 30, 2013 |
| Julius O Agbonbhase | Morgan Stanley wirehouse | E*Trade Capital Management, LLC other | Other | May 2, 2013 | Apr 25, 2013 |
| Thomas Peter Mcdonnell | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | E*Trade Capital Management, LLC other | Other | Apr 30, 2013 | May 14, 2013 |
| Gary Anthony Jones | Ameriprise Financial Services, LLC national BD | E*Trade Capital Management, LLC other | Other | Apr 26, 2013 | May 16, 2013 |
| Michael Douglas Arner | Strategic Advisers LLC national BD | E*Trade Capital Management, LLC other | Other | Apr 15, 2013 | May 14, 2013 |
| Jose Braz Salangsang | Fisher Investments other | E*Trade Capital Management, LLC other | Other | Apr 4, 2013 | Apr 4, 2013 |
| Edmund Michael Callahan | Strategic Advisers LLC national BD | E*Trade Capital Management, LLC other | Other | Mar 11, 2013 | Apr 10, 2014 (395 d) |
| Jessica Coste | Bb&T Securities, LLC other | E*Trade Capital Management, LLC other | Other | Mar 4, 2013 | Apr 1, 2013 |
| Steven Do | Morgan Stanley wirehouse | E*Trade Capital Management, LLC other | Other | Feb 27, 2013 | Feb 22, 2013 |
| Jason Scott Hildebrant | U.S. Bancorp Investments, Inc. other | E*Trade Capital Management, LLC other | Other | Feb 20, 2013 | Mar 13, 2013 |
| Keith R Schneider | J.P. Morgan Securities LLC wirehouse | E*Trade Capital Management, LLC other | Other | Feb 13, 2013 | Mar 12, 2013 |
| Phoebe Del Castillo | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | E*Trade Capital Management, LLC other | Other | Jan 30, 2013 | Jan 24, 2013 |
| Brian Andrew Turner | Morgan Stanley wirehouse | E*Trade Capital Management, LLC other | Other | Jan 28, 2013 | Feb 12, 2013 |
| Edward Williams Ricker | Valic Financial Advisors, Inc. other | E*Trade Capital Management, LLC other | Other | Jan 24, 2013 | Jun 13, 2014 (505 d) |
| Bryan A Betita | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | E*Trade Capital Management, LLC other | Other | Jan 11, 2013 | Jan 31, 2013 |
| Thomas Fisher | Raymond James Financial Services Advisors, Inc other | E*Trade Capital Management, LLC other | Other | Dec 20, 2012 | Mar 12, 2013 (82 d) |