| Ryan S Eltanal | Voya Investment Management Co. LLC other | E*Trade Capital Management, LLC other | Other | Jan 13, 2010 | Mar 29, 2010 (75 d) |
| Samuel Anthony Thomas | Central Coast Financial Planning, Inc. unclassified | E*Trade Capital Management, LLC other | Other | Dec 31, 2009 | Jun 14, 2010 (165 d) |
| Robert Lincoln Dupree | J.P. Morgan Investment Management Inc. other | E*Trade Capital Management, LLC independent RIA | Other | Nov 10, 2009 | Jan 10, 2020 (3713 d) |
| Robert Brian Riney | Msi Financial Services, Inc. other | E*Trade Capital Management, LLC other | Other | Oct 27, 2009 | Nov 5, 2010 (374 d) |
| David Lee Edmisten | Wells Fargo Advisors wirehouse | E*Trade Capital Management, LLC other | Other | Oct 20, 2009 | Oct 22, 2009 |
| Zeeshan Hasan | Ameriprise Financial Services, LLC national BD | E*Trade Capital Management, LLC other | Other | Oct 19, 2009 | Dec 23, 2009 (65 d) |
| Brian Wesley Kofoed | Strategic Advisers LLC national BD | E*Trade Capital Management, LLC other | Other | Aug 26, 2009 | Sep 1, 2009 |
| Perry S. Meyers | Osaic Fa, Inc. other | E*Trade Capital Management, LLC other | Other | Aug 11, 2009 | Aug 12, 2009 |
| Joseph Matthew Barr | Usaa Financial Planning Services no RAUM | E*Trade Capital Management, LLC other | Other | Jul 14, 2009 | Aug 6, 2009 |
| Travis Robert Hensley | Strategic Advisers LLC national BD | E*Trade Capital Management, LLC other | Other | Jun 25, 2009 | Jul 9, 2009 |
| Daniel Obrand | Citigroup Global Markets Inc. other | E*Trade Capital Management, LLC other | Other | Jun 22, 2009 | Apr 16, 2010 (298 d) |
| Raul Arguilla Sonza | Morgan Stanley & Co. LLC unclassified | E*Trade Capital Management, LLC other | Other | Jun 19, 2009 | Nov 13, 2009 (147 d) |
| Nartasha Lashane Cooper | Strategic Advisers LLC national BD | E*Trade Capital Management, LLC other | Other | Jun 12, 2009 | Jul 27, 2009 (45 d) |
| Bradley Cameron Roberson | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | E*Trade Capital Management, LLC other | Other | May 8, 2009 | Jun 11, 2010 (399 d) |
| David Andrew Thompson | Investacorp Advisory Services Inc other | E*Trade Capital Management, LLC other | Other | Apr 24, 2009 | Feb 7, 2011 (654 d) |
| Alexander Charles Barthold | Edward Jones national BD | E*Trade Capital Management, LLC other | Other | Apr 20, 2009 | Jul 26, 2010 (462 d) |
| Crystal Lynn Dykstra | Edward Jones national BD | E*Trade Capital Management, LLC other | Other | Apr 2, 2009 | Jul 23, 2009 (112 d) |
| Jeffrey L Wegner | Banc Of America Investment Services, Inc. unclassified | E*Trade Capital Management, LLC other | Other | Mar 26, 2009 | Jul 16, 2010 (477 d) |
| Robert Lee Huddleston | Strategic Advisers LLC national BD | E*Trade Capital Management, LLC other | Other | Feb 26, 2009 | Jun 24, 2009 (118 d) |
| Samar Farhangi | Ameriprise Financial Services, LLC national BD | E*Trade Capital Management, LLC other | Other | Feb 13, 2009 | Jan 5, 2011 (691 d) |
| Laren Ann Campbell | Strategic Advisers LLC national BD | E*Trade Capital Management, LLC other | Other | Feb 12, 2009 | Jul 28, 2010 (531 d) |
| Justan Stringham | Strategic Advisers LLC national BD | E*Trade Capital Management, LLC other | Other | Feb 10, 2009 | Jul 8, 2009 (148 d) |
| Wendell James Lofton | Edward Jones national BD | E*Trade Capital Management, LLC other | Other | Jan 29, 2009 | Dec 2, 2011 (1037 d) |
| David Lloyd Allred | Morgan Stanley & Co. LLC unclassified | E*Trade Capital Management, LLC other | Other | Jan 20, 2009 | Oct 28, 2009 (281 d) |
| Michael Paul Montaldo | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | E*Trade Capital Management, LLC other | Other | Dec 22, 2008 | Apr 28, 2009 (127 d) |
| Joseph William Galunas | Ameriprise Financial Services, LLC national BD | E*Trade Capital Management, LLC other | Other | Dec 22, 2008 | Apr 27, 2012 (1222 d) |
| Joseph Patrick Coleman | UBS Financial Services Inc. wirehouse | E*Trade Capital Management, LLC other | Other | Dec 16, 2008 | Nov 15, 2010 (699 d) |
| Walter John Murphy | Bny Mellon Securities Corporation other | E*Trade Capital Management, LLC other | Other | Nov 17, 2008 | Oct 7, 2009 (324 d) |
| Pietro Lombardi | Charles Schwab & Co., Inc. national BD | E*Trade Capital Management, LLC other | Other | Oct 20, 2008 | Feb 19, 2009 (122 d) |
| Chad Ashton Kasper | Stancorp Investment Advisers, Inc. other | E*Trade Capital Management, LLC other | Other | Oct 20, 2008 | Jan 9, 2009 (81 d) |
| Loriann Barone | Valley Wealth Managers, Inc. other | E*Trade Capital Management, LLC other | Other | Sep 30, 2008 | Sep 10, 2008 |
| Toby Clayton Taylor | Ameriprise Financial Services, LLC national BD | E*Trade Capital Management, LLC other | Other | Sep 26, 2008 | Sep 10, 2013 (1810 d) |
| John Todd Lemmon | Strategic Advisers LLC national BD | E*Trade Capital Management, LLC other | Other | Sep 23, 2008 | Jan 6, 2009 (105 d) |
| Ronald Joseph Puccinelli | Kelmoore Investment Company, Inc. unclassified | E*Trade Capital Management, LLC other | Other | Aug 18, 2008 | Jan 7, 2009 (142 d) |
| George Charles Grant | Advice And Planning Services other | E*Trade Capital Management, LLC other | Other | Aug 12, 2008 | Jan 20, 2016 (2717 d) |
| Ruben Marshall | Raymond James & Associates, Inc. national BD | E*Trade Capital Management, LLC other | Other | Aug 12, 2008 | Aug 14, 2008 |
| Arnold Gregory Adkins | Countrywide Investment Services, Inc. unclassified | E*Trade Capital Management, LLC other | Other | Aug 12, 2008 | Dec 1, 2008 (111 d) |
| Amir De La Vega | Equitable Advisors, LLC national BD | E*Trade Capital Management, LLC other | Other | Jul 30, 2008 | Oct 12, 2010 (804 d) |
| Eric Billingslea | Equitable Advisors, LLC national BD | E*Trade Capital Management, LLC other | Other | Jul 1, 2008 | Jul 28, 2009 (392 d) |
| Shawn Patrick Bean | Charles Schwab & Co., Inc. national BD | E*Trade Capital Management, LLC other | Other | May 16, 2008 | Nov 25, 2008 (193 d) |
| Edward Gerard Spiegel | Banc Of America Investment Services, Inc. unclassified | E*Trade Capital Management, LLC other | Other | Apr 18, 2008 | Jan 8, 2009 (265 d) |
| Clinton Merrill Parsons | Ameriprise Financial Services, LLC national BD | E*Trade Capital Management, LLC other | Other | Apr 17, 2008 | Oct 19, 2012 (1646 d) |
| Trent Ryan Sheets | Ameriprise Financial Services, LLC national BD | E*Trade Capital Management, LLC other | Other | Mar 18, 2008 | Sep 10, 2009 (541 d) |
| Russell Lewis Hansen | Wells Fargo Investments, LLC unclassified | E*Trade Capital Management, LLC other | Other | Mar 18, 2008 | Jan 29, 2014 (2143 d) |
| Daniel James Magill | Morgan Stanley & Co. LLC unclassified | E*Trade Capital Management, LLC other | Other | Dec 3, 2007 | Jan 5, 2009 (399 d) |
| Guillermo Antonio Roses | MML Investors Services, LLC other | E*Trade Capital Management, LLC other | Other | Nov 29, 2007 | Feb 23, 2012 (1547 d) |
| Gary Alan Gould | Wells Fargo Advisors wirehouse | E*Trade Capital Management, LLC other | Other | Oct 24, 2007 | Oct 19, 2007 |
| Erik Blaine Tarpley | Edward Jones national BD | E*Trade Capital Management, LLC other | Other | Oct 16, 2007 | May 23, 2011 (1315 d) |
| Steven James Harvey | UBS Financial Services Inc. wirehouse | E*Trade Capital Management, LLC other | Other | Oct 9, 2007 | Feb 14, 2013 (1955 d) |
| Jack Skadal | Wells Fargo Investments, LLC unclassified | E*Trade Capital Management, LLC other | Other | Sep 24, 2007 | Sep 13, 2010 (1085 d) |
| Jason Chi-Jui Chiu | Banc Of America Investment Services, Inc. unclassified | E*Trade Capital Management, LLC other | Other | Sep 4, 2007 | Jan 5, 2009 (489 d) |
| Michael Joseph Lamagna | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | E*Trade Capital Management, LLC other | Other | Aug 20, 2007 | Oct 1, 2015 (2964 d) |
| Randy T Polizzi | Pnc Wealth Management other | E*Trade Capital Management, LLC other | Other | May 4, 2007 | Feb 28, 2011 (1396 d) |
| David F. Blackburn | Fidelity Personal Trust Company, Fsb unclassified | E*Trade Capital Management, LLC independent RIA | Other | Mar 28, 2007 | Jul 23, 2018 (4135 d) |
| James Howard Dockens | Sagepoint Financial, Inc. other | E*Trade Capital Management, LLC other | Other | Mar 21, 2007 | Aug 5, 2008 (503 d) |
| John Herrmann | Ameriprise Financial Services, LLC national BD | E*Trade Capital Management, LLC other | Other | Mar 8, 2007 | Jan 5, 2009 (669 d) |
| Mitchell Aaron Tokowitz | Ameriprise Advisor Services, Inc. unclassified | E*Trade Capital Management, LLC other | Other | Feb 13, 2007 | Jan 8, 2009 (695 d) |
| Aloysius A Przygocki | Ameriprise Financial Services, LLC national BD | E*Trade Capital Management, LLC other | Other | Jan 20, 2007 | Jun 21, 2012 (1979 d) |
| Kyle Edwin Roser | Ic Advisory Services, Inc. other | E*Trade Capital Management, LLC other | Other | Jan 19, 2007 | Jan 8, 2009 (720 d) |
| Steve Christopher Charonis | UBS Financial Services Inc. wirehouse | E*Trade Capital Management, LLC other | Other | Jan 17, 2007 | Jan 17, 2007 |