| Benjamin Ross Ezrine | Valic Financial Advisors, Inc. other | E*Trade Capital Management, LLC other | Other | Dec 6, 2012 | Nov 27, 2012 |
| Heather Page Pospisil | Strategic Advisers LLC national BD | E*Trade Capital Management, LLC other | Other | Dec 4, 2012 | Dec 11, 2013 (372 d) |
| Andrew Michael Machata | UBS Financial Services Inc. wirehouse | E*Trade Capital Management, LLC other | Other | Nov 26, 2012 | Dec 13, 2012 |
| Tristan Ludwig | Cuso Financial Services, L.P. other | E*Trade Capital Management, LLC other | Other | Nov 20, 2012 | Oct 23, 2012 |
| Bryan Hutchings Bishop | Churchill Management Group other | E*Trade Capital Management, LLC other | Other | Nov 2, 2012 | Mar 28, 2013 (146 d) |
| Kristin Anderson | Morgan Stanley wirehouse | E*Trade Capital Management, LLC independent RIA | Wirehouse to independent RIA | Nov 1, 2012 | Feb 25, 2022 (3403 d) |
| Dennis Lee Bell | LPL Financial LLC other | E*Trade Capital Management, LLC other | Other | Oct 16, 2012 | Oct 1, 2012 |
| Charles James Regan | Wells Fargo Advisors wirehouse | E*Trade Capital Management, LLC other | Other | Oct 10, 2012 | Oct 11, 2012 |
| William Jeffrey Loertscher | Edward Jones national BD | E*Trade Capital Management, LLC other | Other | Oct 8, 2012 | Feb 1, 2016 (1211 d) |
| Todd Elliott Smith | Suntrust Investment Services, Inc. other | E*Trade Capital Management, LLC other | Other | Sep 13, 2012 | Sep 21, 2012 |
| Peter Robert Thomson | Citigroup Global Markets Inc. other | E*Trade Capital Management, LLC other | Other | Sep 10, 2012 | Mar 27, 2013 (198 d) |
| Christopher Thomas Ruggiero | Td Ameritrade Investment Management, LLC other | E*Trade Capital Management, LLC other | Other | Aug 21, 2012 | Aug 27, 2012 |
| Steven Peter Ganan | Suntrust Investment Services, Inc. other | E*Trade Capital Management, LLC other | Other | Aug 20, 2012 | Aug 21, 2012 |
| Graham Miles Keeton | Chase Investment Services Corp. other | E*Trade Capital Management, LLC other | Other | Aug 16, 2012 | Jun 25, 2013 (313 d) |
| Steven Brent Santy | First Command Financial Planning, Inc. other | E*Trade Capital Management, LLC other | Other | Aug 14, 2012 | Sep 12, 2012 |
| Garrett Lucchesi | New England Securities Corporation other | E*Trade Capital Management, LLC other | Other | Aug 3, 2012 | Jul 30, 2013 (361 d) |
| Michael Andrew Hollen | Strategic Advisers LLC national BD | E*Trade Capital Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 31, 2012 | Aug 24, 2020 (2946 d) |
| Laurence Edward Martin | Cambridge Investment Research Advisors, Inc. other | E*Trade Capital Management, LLC other | Other | Jul 26, 2012 | Jul 31, 2012 |
| Jeremy Patrick Oreilly | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | E*Trade Capital Management, LLC other | Other | Jul 23, 2012 | Jul 24, 2012 |
| Derek Newman | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | E*Trade Capital Management, LLC other | Other | Jul 19, 2012 | Aug 13, 2012 |
| Victor Anthony De Medeiros | LPL Financial LLC other | E*Trade Capital Management, LLC other | Other | Jul 18, 2012 | Mar 18, 2013 (243 d) |
| Leah Jane Jones | LPL Financial LLC other | E*Trade Capital Management, LLC other | Other | Jul 16, 2012 | Oct 1, 2012 (77 d) |
| Daniel Glenn Newman | Morgan Stanley wirehouse | E*Trade Capital Management, LLC other | Other | Jul 13, 2012 | Jun 19, 2012 |
| Benardo Richardson | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | E*Trade Capital Management, LLC other | Other | Jul 3, 2012 | Jul 31, 2012 |
| Aaron Michael Daugherty | Advanced Equities, Inc. other | E*Trade Capital Management, LLC other | Other | Jul 3, 2012 | Dec 19, 2012 (169 d) |
| Oleg A. Zaytsev | Morgan Stanley wirehouse | E*Trade Capital Management, LLC other | Other | Jun 28, 2012 | Jun 27, 2012 |
| Blake Michael Hammer | Morgan Stanley wirehouse | E*Trade Capital Management, LLC other | Other | Jun 14, 2012 | Jun 15, 2012 |
| Stephen Albert Labate | Global Portfolio Strategies, Inc. other | E*Trade Capital Management, LLC other | Other | May 25, 2012 | May 24, 2013 (364 d) |
| Sara R Brown | Td Ameritrade, Inc. no RAUM | E*Trade Capital Management, LLC other | Other | May 1, 2012 | Apr 3, 2012 |
| Michael Alvin Strahm | Strategic Advisers LLC national BD | E*Trade Capital Management, LLC other | Other | Apr 27, 2012 | Jul 17, 2012 (81 d) |
| Kwabena Jamila Leek | Chase Investment Services Corp. other | E*Trade Capital Management, LLC other | Other | Apr 23, 2012 | May 29, 2012 (36 d) |
| Christopher Baudhuin | Edward Jones national BD | E*Trade Capital Management, LLC other | Other | Apr 19, 2012 | Sep 15, 2015 (1244 d) |
| David Richard Burgess | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | E*Trade Capital Management, LLC other | Other | Apr 9, 2012 | Apr 10, 2012 |
| Terrence Clayne Jones | Waddell & Reed other | E*Trade Capital Management, LLC other | Other | Apr 5, 2012 | Apr 4, 2012 |
| Deanna Norris | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | E*Trade Capital Management, LLC other | Other | Apr 3, 2012 | Mar 22, 2013 (353 d) |
| David William Broderick | Td Ameritrade, Inc. no RAUM | E*Trade Capital Management, LLC other | Other | Mar 20, 2012 | May 29, 2012 (70 d) |
| Andreas Olov Lindstrom | Td Ameritrade Investment Management, LLC other | E*Trade Capital Management, LLC other | Other | Mar 9, 2012 | Mar 13, 2012 |
| Tricia Eliason | Morgan Stanley wirehouse | E*Trade Capital Management, LLC other | Other | Mar 8, 2012 | Mar 9, 2012 |
| Darius Alexander Mikrut | Td Ameritrade Investment Management, LLC other | E*Trade Capital Management, LLC other | Other | Mar 8, 2012 | Jul 26, 2012 (140 d) |
| Kevin Patrick Kenny | Fisher Investments other | E*Trade Capital Management, LLC other | Other | Feb 21, 2012 | Jan 14, 2015 (1058 d) |
| Joseph Soltero | Chase Investment Services Corp. other | E*Trade Capital Management, LLC other | Other | Feb 8, 2012 | Nov 7, 2017 (2099 d) |
| Jose Antonio Martinez | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | E*Trade Capital Management, LLC other | Other | Feb 7, 2012 | Apr 25, 2013 (443 d) |
| Zachary Cuyler Green | Edward Jones national BD | E*Trade Capital Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 23, 2012 | Nov 14, 2019 (2852 d) |
| Gary Paul Hettler | Morgan Stanley wirehouse | E*Trade Capital Management, LLC other | Other | Jan 13, 2012 | Jan 4, 2012 |
| Anthony Chiu | U.S. Bancorp Advisors, LLC other | E*Trade Capital Management, LLC other | Other | Jan 9, 2012 | Jan 4, 2012 |
| Joshua Hayes Foy | Edward Jones national BD | E*Trade Capital Management, LLC other | Other | Dec 31, 2011 | Nov 14, 2013 (684 d) |
| Brian Allen Dowery | Citigroup Global Markets Inc. other | E*Trade Capital Management, LLC other | Other | Dec 21, 2011 | Feb 21, 2012 (62 d) |
| Marcos Hugo Lira | Citigroup Global Markets Inc. other | E*Trade Capital Management, LLC other | Other | Dec 21, 2011 | Nov 29, 2011 |
| Travis Owens Gray | Strategic Advisers LLC national BD | E*Trade Capital Management, LLC other | Other | Dec 15, 2011 | Dec 16, 2011 |
| Samantha H Mayfield | Td Ameritrade Investment Management, LLC other | E*Trade Capital Management, LLC other | Other | Dec 12, 2011 | Jan 10, 2012 |
| Craig Bennett Roth | Kovack Advisors, Inc. other | E*Trade Capital Management, LLC other | Other | Dec 6, 2011 | Dec 2, 2011 |
| Jonathon Merickel | Chase Investment Services Corp. other | E*Trade Capital Management, LLC other | Other | Dec 5, 2011 | Nov 30, 2011 |
| Charles A Massey | Chase Investment Services Corp. other | E*Trade Capital Management, LLC other | Other | Nov 30, 2011 | Dec 13, 2011 |
| Patrick Fulton Larkin | Charles Schwab & Co., Inc. national BD | E*Trade Capital Management, LLC other | Other | Nov 22, 2011 | Dec 2, 2011 |
| Aaron Michael Copple | Wells Fargo Advisors wirehouse | E*Trade Capital Management, LLC other | Other | Nov 22, 2011 | Jun 25, 2012 (216 d) |
| Adam James Holthouse | Hornor, Townsend & Kent, LLC other | E*Trade Capital Management, LLC other | Other | Nov 11, 2011 | Nov 14, 2011 |
| James Howard Dockens | Berthel Fisher & Company Financial Services, Inc. other | E*Trade Capital Management, LLC other | Other | Oct 21, 2011 | Oct 27, 2011 |
| Yumi Hirata | LPL Financial LLC other | E*Trade Capital Management, LLC other | Other | Oct 17, 2011 | Nov 30, 2011 (44 d) |
| Michael Panzeca | Charles Schwab & Co., Inc. national BD | E*Trade Capital Management, LLC other | Other | Oct 11, 2011 | Nov 30, 2011 (50 d) |
| Michael William Holl | Morgan Stanley wirehouse | E*Trade Capital Management, LLC other | Other | Oct 11, 2011 | Oct 12, 2011 |