| Parker S Gordon | E*Trade Capital Management, LLC other | Capital One Advisors, LLC no RAUM | Other | Mar 8, 2012 | Feb 22, 2012 |
| Melanie Kristin Allen | Morgan Stanley wirehouse | Capital One Advisors, LLC no RAUM | Wirehouse to a newly registered adviser (no RAUM reported yet) | Feb 16, 2012 | Oct 4, 2012 (231 d) |
| Jill Marie Zacha | Clark Investment Strategies, Inc. unclassified | Capital One Advisors, LLC other | Other | Dec 31, 2011 | Mar 16, 2018 (2267 d) |
| Eric James Quenemoen | Fsic other | Capital One Advisors, LLC no RAUM | Other | Jul 20, 2011 | Mar 11, 2013 (600 d) |
| Stacy Hawkins | Msi Financial Services, Inc. other | Capital One Advisors, LLC other | Other | May 9, 2011 | Feb 27, 2017 (2121 d) |
| Maximo Gregorio Centeno | Chase Investment Services Corp. other | Capital One Advisors, LLC no RAUM | Other | Sep 7, 2010 | Mar 18, 2016 (2019 d) |
| Michael Lewis Pritchard | Citigroup Global Markets Inc. other | Capital One Advisors, LLC other | Other | Mar 5, 2009 | Sep 18, 2017 (3119 d) |
| Nicholas George Tsiakilos | Msi Financial Services, Inc. other | Capital One Advisors, LLC no RAUM | Other | Aug 28, 2008 | Mar 28, 2011 (942 d) |
| Salena M. Raved | Edward Jones national BD | Capital One Advisors, LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Oct 16, 2007 | Mar 28, 2011 (1259 d) |
| Timothy Ryan Boyle | Ameriprise Financial Services, LLC national BD | Capital One Advisors, LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Oct 26, 2006 | Oct 31, 2006 |
| Keith Lockwood | Banc Of America Investment Services, Inc. unclassified | Capital One Advisors, LLC no RAUM | Other | Jul 7, 2006 | Feb 9, 2012 (2043 d) |
| Sebastian Bulfamante | Chase Investment Services Corp. other | Capital One Advisors, LLC no RAUM | Other | Sep 16, 2002 | Jun 8, 2015 (4648 d) |