| Carl William Hartmann | Ameriprise Financial Services, LLC national BD | E*Trade Capital Management, LLC other | Other | Mar 7, 2006 | Feb 23, 2009 (1084 d) |
| Mark Douglas Hamilton | Ameriprise Advisor Services, Inc. unclassified | E*Trade Capital Management, LLC independent RIA | Other | Jan 11, 2006 | Aug 11, 2022 (6056 d) |
| Greg William Gorder | A. G. Edwards & Sons, Inc. unclassified | E*Trade Capital Management, LLC other | Other | Jan 9, 2006 | Jun 1, 2009 (1239 d) |
| Darrell Stephen Roberts | Bny Mellon Securities Corporation other | E*Trade Capital Management, LLC other | Other | Oct 28, 2005 | Oct 19, 2006 (356 d) |
| Lin Sun | Kelmoore Investment Company, Inc. unclassified | E*Trade Capital Management, LLC other | Other | Sep 26, 2005 | May 19, 2008 (966 d) |
| Anastacio Gamino | Lasalle Financial Services, Inc. unclassified | E*Trade Capital Management, LLC other | Other | Aug 18, 2005 | Aug 24, 2005 |
| Adam Ilan Gutman | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | E*Trade Capital Management, LLC other | Other | Jul 26, 2005 | Jun 18, 2007 (692 d) |
| Geir Fjugstad | Wells Fargo Advisors wirehouse | E*Trade Capital Management, LLC other | Other | Jul 15, 2005 | Sep 27, 2006 (439 d) |
| Clayton Grant Rimmer | Ameriprise Financial Services, LLC national BD | E*Trade Capital Management, LLC other | Other | Jul 14, 2005 | Oct 11, 2016 (4107 d) |
| Larisa Sharockman | Td Ameritrade, Inc. no RAUM | E*Trade Capital Management, LLC other | Other | Jun 27, 2005 | Jul 11, 2005 |
| James Michael Richard | Citicorp Investment Services unclassified | E*Trade Capital Management, LLC other | Other | Jun 22, 2005 | Sep 27, 2006 (462 d) |
| William Louis Asher | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | E*Trade Capital Management, LLC other | Other | May 5, 2005 | Sep 27, 2006 (510 d) |
| Laura Alice Evans | Morgan Stanley Dw Inc. unclassified | E*Trade Capital Management, LLC other | Other | May 4, 2005 | May 17, 2005 |
| Kenneth Charles Lafleur | Banc One Securities Corporation unclassified | E*Trade Capital Management, LLC other | Other | Apr 28, 2005 | Oct 12, 2005 (167 d) |
| Brian J Howe | Wells Fargo Advisors wirehouse | E*Trade Capital Management, LLC other | Other | Apr 25, 2005 | Apr 16, 2009 (1452 d) |
| Anthony William Albertino | A. G. Edwards & Sons, Inc. unclassified | E*Trade Capital Management, LLC other | Other | Apr 1, 2005 | Mar 22, 2005 |
| James Kevin Convery | Morgan Stanley Dw Inc. unclassified | E*Trade Capital Management, LLC other | Other | Mar 16, 2005 | Apr 9, 2014 (3311 d) |
| John Cragin Mccord | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | E*Trade Capital Management, LLC other | Other | Mar 16, 2005 | Jun 25, 2009 (1562 d) |
| Daniel Paul Feldstein | Citigroup Global Markets Inc. other | E*Trade Capital Management, LLC other | Other | Mar 3, 2005 | Feb 28, 2005 |
| Robert B Trent | Morgan Stanley Dw Inc. unclassified | E*Trade Capital Management, LLC other | Other | Feb 28, 2005 | Sep 27, 2006 (576 d) |
| James R Ray | Citigroup Global Markets Inc. other | E*Trade Capital Management, LLC other | Other | Feb 16, 2005 | Feb 28, 2005 |
| Robert Farzad Foroughi | Invest Financial Corporation other | E*Trade Capital Management, LLC other | Other | Feb 1, 2005 | Jun 2, 2009 (1582 d) |
| Amanda Fuller Kolbach | Strategic Advisers LLC national BD | E*Trade Capital Management, LLC other | Other | Jan 27, 2005 | Apr 20, 2009 (1544 d) |
| Adam Robertson | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | E*Trade Capital Management, LLC other | Other | Dec 8, 2004 | Apr 5, 2005 (118 d) |
| Steven D Werner | Wells Fargo Advisors wirehouse | E*Trade Capital Management, LLC other | Other | Nov 30, 2004 | Apr 20, 2009 (1602 d) |
| Michael Lenny Mcgavin | UBS Financial Services Inc. wirehouse | E*Trade Capital Management, LLC other | Other | Nov 26, 2004 | May 26, 2005 (181 d) |
| Justin Kern | Ladenburg Thalmann Asset Management Inc other | E*Trade Capital Management, LLC other | Other | Nov 15, 2004 | Jan 29, 2009 (1536 d) |
| Jacqueline Ann Runnberg | Sii Investments, Inc. other | E*Trade Capital Management, LLC other | Other | Nov 11, 2004 | Oct 12, 2004 |
| Monica M Biskup | Kelleher Financial Advisors, LLC other | E*Trade Capital Management, LLC other | Other | Oct 28, 2004 | Sep 27, 2006 (699 d) |
| Nasser Y Zayed | Morgan Stanley Dw Inc. unclassified | E*Trade Capital Management, LLC other | Other | Sep 22, 2004 | Sep 24, 2004 |
| Timothy Francis O'Callaghan | Morgan Stanley Dw Inc. unclassified | E*Trade Capital Management, LLC other | Other | Sep 16, 2004 | Sep 23, 2004 |
| Susan Elizabeth Mclain | A. G. Edwards & Sons, Inc. unclassified | E*Trade Capital Management, LLC other | Other | Aug 24, 2004 | Aug 17, 2004 |
| Roderick Charles Webb | Ameriprise Advisor Services, Inc. unclassified | E*Trade Capital Management, LLC other | Other | Aug 18, 2004 | Sep 27, 2006 (770 d) |
| Michael James Pass | Banc One Securities Corporation unclassified | E*Trade Capital Management, LLC other | Other | Aug 3, 2004 | Aug 10, 2004 |
| Dennis Patrick Kiley | Lasalle St. Investment Advisors, L.L.C. other | E*Trade Capital Management, LLC other | Other | Jul 14, 2004 | Jul 19, 2004 |
| Michael Kullman Preis | Morgan Stanley Dw Inc. unclassified | E*Trade Capital Management, LLC other | Other | Jun 17, 2004 | Sep 27, 2006 (832 d) |
| Paul Reviere Peeler | Charles Schwab & Co., Inc. national BD | E*Trade Capital Management, LLC other | Other | Apr 13, 2004 | Mar 23, 2004 |
| Christopher R Walton | Banc One Securities Corporation unclassified | E*Trade Capital Management, LLC other | Other | Jan 16, 2004 | Jan 22, 2004 |
| Troy Reese Corbridge | Charles Schwab & Co., Inc. national BD | E*Trade Capital Management, LLC other | Other | Jan 13, 2004 | Feb 4, 2004 |
| Everett Andrew Wilkerson | Ameriprise Financial Services, LLC national BD | E*Trade Capital Management, LLC other | Other | Jan 5, 2004 | Mar 11, 2009 (1892 d) |
| Dennis Lee Bell | Cetera Advisor Networks LLC other | E*Trade Capital Management, LLC other | Other | Jan 2, 2004 | Sep 27, 2006 (999 d) |
| Christopher Erlewine | Morgan Stanley Dw Inc. unclassified | E*Trade Capital Management, LLC other | Other | Dec 9, 2003 | Oct 10, 2006 (1036 d) |
| Todd Michael Gilleylen | Pruco Securities, LLC other | E*Trade Capital Management, LLC other | Other | Dec 1, 2003 | Jan 5, 2005 (401 d) |
| Hernand Hernandez | Lasalle Financial Services, Inc. unclassified | E*Trade Capital Management, LLC other | Other | Nov 17, 2003 | Nov 25, 2003 |
| Christine Yu | Charles Schwab & Co., Inc. national BD | E*Trade Capital Management, LLC other | Other | Oct 10, 2003 | Oct 14, 2003 |
| Tony Mark Stevens | E*Trade Advisory Services, Inc. unclassified | E*Trade Capital Management, LLC other | Other | Sep 22, 2003 | Jun 1, 2009 (2079 d) |
| Louis Hudson | E*Trade Advisory Services, Inc. unclassified | E*Trade Capital Management, LLC other | Other | Sep 22, 2003 | May 28, 2009 (2075 d) |
| Ridgely Hunt | Charles Schwab & Co., Inc. national BD | E*Trade Capital Management, LLC other | Other | Sep 5, 2003 | Sep 15, 2003 |
| Jeffrey Yves Laborde | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | E*Trade Capital Management, LLC other | Other | Aug 13, 2003 | Mar 1, 2007 (1296 d) |
| Matthew Thomas Caras | UBS Financial Services Inc. wirehouse | E*Trade Capital Management, LLC other | Other | Jul 30, 2003 | Jul 23, 2003 |
| Ricardo Gutierrez | Prudential Equity Group, LLC unclassified | E*Trade Capital Management, LLC other | Other | Jun 26, 2003 | Jul 22, 2009 (2218 d) |
| Kevin Arthur Krestan | Northern Trust Securities, Inc no RAUM | E*Trade Capital Management, LLC other | Other | Jun 25, 2003 | Sep 15, 2003 (82 d) |
| Steven John Zimmerman | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | E*Trade Capital Management, LLC other | Other | Apr 14, 2003 | Apr 14, 2003 |
| Brian M Cahill | Ameriprise Financial Services, LLC national BD | E*Trade Capital Management, LLC other | Other | Mar 28, 2003 | Apr 7, 2003 |
| Jonathon Knight | Charles Schwab & Co., Inc. national BD | E*Trade Capital Management, LLC other | Other | Feb 13, 2003 | Feb 19, 2003 |
| Oren Guzman | Equitable Advisors, LLC national BD | E*Trade Capital Management, LLC other | Other | Jan 22, 2003 | Dec 17, 2004 (695 d) |
| Jonathon Merickel | Ameriprise Financial Services, LLC national BD | E*Trade Capital Management, LLC other | Other | Jan 13, 2003 | Jul 12, 2007 (1641 d) |
| Phyllis Louise Egan | Howe Barnes Capital Management, Inc. unclassified | E*Trade Capital Management, LLC other | Other | Oct 31, 2002 | Apr 14, 2003 (165 d) |
| Amber Lynn Kimie Suhas | Morgan Stanley Dw Inc. unclassified | E*Trade Capital Management, LLC other | Other | Oct 31, 2002 | May 23, 2011 (3126 d) |
| John Patrick Swift | Alliancebernstein L.P. other | E*Trade Capital Management, LLC other | Other | Oct 21, 2002 | Jun 25, 2003 (247 d) |