| Brian Kichton | Invesco Advisers, Inc. asset manager | New York Life Investment Management LLC asset manager | Other | Jul 6, 2026 | Aug 11, 2026 (36 d) |
| Timothy Copeck | Lord, Abbett & Co. LLC asset manager | New York Life Investment Management LLC asset manager | Other | Mar 3, 2026 | Mar 5, 2026 |
| Samuel Robert Share | Strategic Advisers LLC national BD | New York Life Investment Management LLC asset manager | Other | Aug 6, 2025 | Aug 13, 2025 |
| Brian David Buonamici | Strategic Advisers LLC national BD | New York Life Investment Management LLC asset manager | Other | May 29, 2025 | Sep 15, 2026 (474 d) |
| Louis Augustus Fennell | Victory Capital Management Inc. asset manager | New York Life Investment Management LLC asset manager | Other | May 8, 2025 | Dec 26, 2025 (232 d) |
| Shane Braasch | Pacer Advisors, Inc. asset manager | New York Life Investment Management LLC asset manager | Other | Apr 3, 2025 | Apr 22, 2025 |
| Bernardo Fidel Lozano | Affiliated Capital unclassified | New York Life Investment Management LLC asset manager | Other | Nov 12, 2024 | Apr 18, 2025 (157 d) |
| Colby Hosmer | T. Rowe Price Associates, Inc. asset manager | New York Life Investment Management LLC asset manager | Other | Nov 8, 2024 | Mar 27, 2026 (504 d) |
| Cory Joseph Mcgrath | LPL Financial LLC BD affiliated | New York Life Investment Management LLC asset manager | Other | Oct 8, 2024 | May 7, 2025 (211 d) |
| Alexander Wyndham Foord | Morgan Stanley wirehouse | New York Life Investment Management LLC asset manager | Other | Sep 26, 2024 | Oct 1, 2024 |
| Kiran Daniel Incantalupo | Neuberger Berman Bd LLC no RAUM | New York Life Investment Management LLC asset manager | Other | Sep 12, 2024 | Oct 2, 2024 |
| Gerardo Martin | Allspring Funds Management, LLC asset manager | New York Life Investment Management LLC asset manager | Other | Aug 30, 2024 | Sep 10, 2024 |
| Martin Lastrina | Thrivent Investment Management Inc. BD affiliated | New York Life Investment Management LLC asset manager | Other | Aug 20, 2024 | Jan 5, 2026 (503 d) |
| David Joseph Shoffstall | J.P. Morgan Securities LLC wirehouse | New York Life Investment Management LLC asset manager | Other | Jun 17, 2024 | Oct 8, 2025 (478 d) |
| Travis Caswell | Allspring Funds Management, LLC asset manager | New York Life Investment Management LLC asset manager | Other | May 23, 2024 | May 30, 2024 |
| Thomas John Farrell | Stringer Asset Management, LLC independent RIA | New York Life Investment Management LLC asset manager | Other | Apr 16, 2024 | Apr 23, 2024 |
| Amanda Schrama | Nuveen Asset Management, LLC mixed wealth | New York Life Investment Management LLC asset manager | Other | Apr 15, 2024 | Jun 3, 2025 (414 d) |
| Christopher Scott Leo | Morgan Stanley wirehouse | New York Life Investment Management LLC asset manager | Other | Apr 2, 2024 | Apr 5, 2024 |
| Alexander Vari | Federated Global Investment Management Corp. asset manager | New York Life Investment Management LLC asset manager | Other | Mar 1, 2024 | Mar 1, 2024 |
| Thomas Jerome Schmidt | Putnam Investment Management, LLC asset manager | New York Life Investment Management LLC asset manager | Other | Jan 24, 2024 | Apr 17, 2024 (84 d) |
| Stephen B Kingsley | Morgan Stanley wirehouse | New York Life Investment Management LLC asset manager | Other | Jan 19, 2024 | Jan 23, 2024 |
| John William Daniel | Invesco Advisers, Inc. asset manager | New York Life Investment Management LLC asset manager | Other | Jan 5, 2024 | Jan 9, 2024 |
| Shane Murphy | UBS Financial Services Inc. wirehouse | New York Life Investment Management LLC asset manager | Other | Sep 13, 2023 | Jan 23, 2024 (132 d) |
| Brandon Charles Williams | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | New York Life Investment Management LLC asset manager | Other | Apr 3, 2023 | May 3, 2023 |
| Nicole Clarke | Eagle Strategies LLC BD affiliated | New York Life Investment Management LLC asset manager | Other | Mar 29, 2023 | Oct 27, 2022 |
| Kaana Smith | Edward Jones national BD | New York Life Investment Management LLC asset manager | Other | Mar 21, 2023 | Jun 18, 2024 (455 d) |
| Cassandra Nichols | Calamos Advisors LLC asset manager | New York Life Investment Management LLC asset manager | Other | Mar 2, 2023 | Mar 9, 2023 |
| Steve Rodney Doss | Commonwealth Financial Network national BD | New York Life Investment Management LLC asset manager | Other | Feb 2, 2023 | Feb 3, 2023 |
| Scott Schelling | Nuveen Asset Management, LLC other | New York Life Investment Management LLC asset manager | Other | Jan 6, 2023 | Jan 26, 2023 |
| Michael Paul Warren | Proshare Advisors LLC asset manager | New York Life Investment Management LLC asset manager | Other | Sep 12, 2022 | Sep 30, 2022 |
| Jeffrey Michael Findling | Eagle Strategies LLC BD affiliated | New York Life Investment Management LLC asset manager | Other | Feb 9, 2022 | Feb 10, 2022 |
| John Michael Braun | Eagle Strategies LLC BD affiliated | New York Life Investment Management LLC asset manager | Other | Feb 9, 2022 | Feb 10, 2022 |
| Lesley Gaudiosi | Edward Jones national BD | New York Life Investment Management LLC asset manager | Other | Oct 21, 2021 | Mar 17, 2023 (512 d) |
| Amine M Khater | J.P. Morgan Securities LLC wirehouse | New York Life Investment Management LLC asset manager | Other | Jul 13, 2021 | Oct 21, 2022 (465 d) |
| Ricot Chancy | Santander Securities BD affiliated | New York Life Investment Management LLC asset manager | Other | Sep 28, 2020 | Nov 18, 2020 (51 d) |
| John Joseph Gavin III | Nuveen Asset Management, LLC mixed wealth | New York Life Investment Management LLC asset manager | Other | Aug 27, 2020 | Oct 27, 2020 (61 d) |
| John Anthony Pavese | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | New York Life Investment Management LLC asset manager | Other | Aug 24, 2020 | Oct 7, 2020 (44 d) |
| Scott Alan Stanley | Nuveen Asset Management, LLC mixed wealth | New York Life Investment Management LLC asset manager | Other | Aug 10, 2020 | Oct 23, 2020 (74 d) |
| Joshua Daniel Fiedler | Nuveen Asset Management, LLC mixed wealth | New York Life Investment Management LLC asset manager | Other | Aug 10, 2020 | Oct 8, 2020 (59 d) |
| Ross A Lang | Nuveen Asset Management, LLC mixed wealth | New York Life Investment Management LLC asset manager | Other | Aug 7, 2020 | May 20, 2022 (651 d) |
| Mark Andrew Barausky | Leader Capital Corp. asset manager | New York Life Investment Management LLC asset manager | Other | Jun 19, 2020 | Jul 15, 2021 (391 d) |
| Brandon Yin-Ting Leung | J.P. Morgan Securities LLC wirehouse | New York Life Investment Management LLC asset manager | Other | Nov 27, 2019 | Nov 27, 2019 |
| Dixie Thornton Green | Invesco Advisers, Inc. asset manager | New York Life Investment Management LLC asset manager | Other | Jun 3, 2019 | Jun 13, 2019 |
| Paul A Mendoza | Thornburg Investment Management Inc asset manager | New York Life Investment Management LLC asset manager | Other | Mar 29, 2019 | May 3, 2019 (35 d) |
| Artyome Jan Pearl | Wbi Investments, LLC independent RIA | New York Life Investment Management LLC asset manager | Other | Mar 25, 2019 | Apr 8, 2019 |
| Matthew Brown | Putnam Investment Management, LLC asset manager | New York Life Investment Management LLC asset manager | Other | Mar 11, 2019 | Apr 2, 2019 |
| Michael J Shin | Citigroup Global Markets Inc. BD affiliated | New York Life Investment Management LLC asset manager | Other | Mar 8, 2019 | Oct 28, 2021 (965 d) |
| Max Press | Citigroup Global Markets Inc. BD affiliated | New York Life Investment Management LLC asset manager | Other | Jan 23, 2019 | Oct 28, 2021 (1009 d) |
| Eric Snyder | Pgim Investments LLC asset manager | New York Life Investment Management LLC asset manager | Other | Jan 7, 2019 | Jan 15, 2019 |
| Justin Adam Aisenbaum | Citigroup Global Markets Inc. BD affiliated | New York Life Investment Management LLC asset manager | Other | Oct 16, 2018 | Feb 20, 2021 (858 d) |
| Brian James Wilson | Lord, Abbett & Co. LLC asset manager | New York Life Investment Management LLC asset manager | Other | May 16, 2018 | May 30, 2018 |
| Elliott Cobb | Foresters Advisory Services, LLC other | New York Life Investment Management LLC other | Other | Jan 30, 2018 | Feb 12, 2018 |
| Ralph Michael Studley | Bny Mellon Securities Corporation other | New York Life Investment Management LLC asset manager | Other | Jan 18, 2018 | Feb 7, 2020 (750 d) |
| Frederick Charles Pickard | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | New York Life Investment Management LLC asset manager | Other | Nov 6, 2017 | Jul 12, 2018 (248 d) |
| Morgan Lyn Glaser | Bny Mellon Securities Corporation other | New York Life Investment Management LLC asset manager | Other | Jun 22, 2017 | Oct 28, 2021 (1589 d) |
| Adam Spencer Diton | Morgan Stanley wirehouse | New York Life Investment Management LLC other | Other | Jun 12, 2017 | Jun 21, 2017 |
| Johnson Asase Jr | Morgan Stanley wirehouse | New York Life Investment Management LLC other | Other | May 16, 2017 | Oct 25, 2017 (162 d) |
| Kevin Michael Moore | Geneva Advisors, LLC other | New York Life Investment Management LLC other | Other | Feb 28, 2017 | May 4, 2017 (65 d) |
| Joseph Ronan | Morgan Stanley wirehouse | New York Life Investment Management LLC other | Other | Jan 23, 2017 | Jan 23, 2017 |
| Natalie Delores Wright | Wells Fargo Advisors wirehouse | New York Life Investment Management LLC other | Other | Dec 13, 2016 | Dec 21, 2016 |