USAA FINANCIAL PLANNING SERVICES INSURANCE AGENCY, INC.
Legal name: USAA FINANCIAL PLANNING SERVICES
CRD #106352 SEC #801-53347 SAN ANTONIO, TX 800-531-USAA
SEC Registered Disclosures
Total AUM
--
Discretionary
--
Employees
9,427
Clients
--
Accounts
--
This firm has regulatory disclosures on file.
View disclosures
Firm Details
- Organization Type
- Corporation
- State of Formation
- Delaware
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Jul 19, 2017
- Branch Offices
- --
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| ALEXANDER, LISA, COBB | I | VICE PRESIDENT | NA | Control |
| ALEXANDER, LISA, COBB | I | VICE PRESIDENT | NA | Control |
| ALLISON, SCOTT, GEORGE | I | VP | NA | Control |
| ALLISON, SCOTT, GEORGE | I | VP | NA | Control |
| ALLISON, SCOTT, GEORGE | I | VP | NA | Control |
| ALLISON, SCOTT, GEORGE | I | VP | NA | Control |
| ALLISON, SCOTT, GEORGE | I | VP | NA | Control |
| ALLISON, SCOTT, GEORGE | I | VP | NA | Control |
| ALLISON, SCOTT, GEORGE | I | VP | NA | Control |
| ALLISON, SCOTT, GEORGE | I | VP | NA | Control |
| ALLISON, SCOTT, GEORGE | I | VP | NA | Control |
| ALLISON, SCOTT, GEORGE | I | VP | NA | Control |
| ALLISON, SCOTT, GEORGE | I | VP | NA | Control |
| ALLISON, SCOTT, GEORGE | I | VP | NA | Control |
| ALLISON, SCOTT, GEORGE | I | LEAD EXECUTIVE | NA | Control |
| ALLISON, SCOTT, GEORGE | I | VP | NA | Control |
| ALLISON, SCOTT, GEORGE | I | VP | NA | Control |
| ALLISON, SCOTT, GEORGE | I | VP | NA | Control |
| ALLISON, SCOTT, GEORGE | I | VP | NA | Control |
| ALLISON, SCOTT, GEORGE | I | LEAD EXECUTIVE | NA | Control |
| ALLISON, SCOTT, GEORGE | I | LEAD EXECUTIVE | NA | Control |
| ALLISON, SCOTT, GEORGE | I | LEAD EXECUTIVE | NA | Control |
| ALLISON, SCOTT, GEORGE | I | LEAD EXECUTIVE | NA | Control |
| ALLISON, SCOTT, GEORGE | I | LEAD EXECUTIVE | NA | Control |
| ALLISON, SCOTT, GEORGE | I | LEAD EXECUTIVE | NA | Control |
| ALLISON, SCOTT, GEORGE | I | LEAD EXECUTIVE | NA | Control |
| ALLISON, SCOTT, GEORGE | I | LEAD EXECUTIVE | NA | Control |
| ANDERSEN, JOSHUA | I | ED, INVESTMENT ADVISOR COMPLIANCE & CHIEF COMPLIANCE OFFICER | NA | Control |
| ANDERSEN, JOSHUA | I | ED, INVESTMENT ADVISER COMPLIANCE & CHIEF COMPLIANCE OFFICER | NA | Control |
| ANDERSEN, JOSHUA | I | ED, INVESTMENT ADVISER COMPLIANCE & CHIEF COMPLIANCE OFFICER | NA | Control |
| ANDERSEN, JOSHUA | I | ED, INVESTMENT ADVISER COMPLIANCE & CHIEF COMPLIANCE OFFICER | NA | Control |
| ANDERSEN, JOSHUA | I | ED, INVESTMENT ADVISER COMPLIANCE & CHIEF COMPLIANCE OFFICER | NA | Control |
| ANDERSEN, JOSHUA | I | ED, INVESTMENT ADVISER COMPLIANCE & CHIEF COMPLIANCE OFFICER | NA | Control |
| ANDERSEN, JOSHUA | I | ED, INVESTMENT ADVISER COMPLIANCE & CHIEF COMPLIANCE OFFICER | NA | Control |
| ANDERSEN, JOSHUA | I | ED, INVESTMENT ADVISER COMPLIANCE & CHIEF COMPLIANCE OFFICER | NA | Control |
| ANDERSEN, JOSHUA | I | ED, INVESTMENT ADVISER COMPLIANCE & CHIEF COMPLIANCE OFFICER | NA | Control |
| ANDERSEN, JOSHUA | I | ED, INVESTMENT ADVISER COMPLIANCE & CHIEF COMPLIANCE OFFICER | NA | Control |
| ANDERSEN, JOSHUA | I | ED, INVESTMENT ADVISER COMPLIANCE & CHIEF COMPLIANCE OFFICER | NA | Control |
| ANDERSEN, JOSHUA | I | ED, INVESTMENT ADVISER COMPLIANCE & CHIEF COMPLIANCE OFFICER | NA | Control |
| BENNETT, STEVEN, ALAN | I | DIRECTOR | NA | Control |
| BENNETT, STEVEN, ALAN | I | DIRECTOR | NA | Control |
| BENNETT, STEVEN, ALAN | I | DIRECTOR | NA | Control |
| BENNETT, STEVEN, ALAN | I | DIRECTOR | NA | Control |
| BENNETT, STEVEN, ALAN | I | DIRECTOR | NA | Control |
| BENNETT, STEVEN, ALAN | I | DIRECTOR | NA | Control |
| BENNETT, STEVEN, ALAN | I | DIRECTOR | NA | Control |
| BENNETT, STEVEN, ALAN | I | DIRECTOR | NA | Control |
| BENNETT, STEVEN, ALAN | I | DIRECTOR | NA | Control |
| BENNETT, STEVEN, ALAN | I | DIRECTOR | NA | Control |
| BENNETT, STEVEN, ALAN | I | DIRECTOR | NA | Control |
| BRISSETTE, LORI, MASSEY | I | ASSISTANT VICE PRESIDENT | NA | Control |
| BRISSETTE, LORI, MASSEY | I | ASSISTANT VICE PRESIDENT | NA | Control |
| BRISSETTE, LORI, MASSEY | I | ASSISTANT VICE PRESIDENT | NA | Control |
| BRISSETTE, LORI, MASSEY | I | ASSISTANT VICE PRESIDENT | NA | Control |
| BRISSETTE, LORI, MASSEY | I | ASSISTANT VICE PRESIDENT | NA | Control |
| CARTER, BRANDON, DANE | I | VP | NA | Control |
| CARTER, BRANDON, DANE | I | VP | NA | Control |
| CARTER, BRANDON, DANE | I | VP | NA | Control |
| CARTER, BRANDON, DANE | I | VP | NA | Control |
| CARTER, BRANDON, DANE | I | VP, DIRECTOR | NA | Control |
| CARTER, BRANDON, DANE | I | VP, DIRECTOR | NA | Control |
| CARTER, BRANDON, DANE | I | VICE PRESIDENT | NA | Control |
| CARTER, BRANDON, DANE | I | VICE PRESIDENT | NA | Control |
| CARTER, BRANDON, DANE | I | VICE PRESIDENT | NA | Control |
| CARTER, BRANDON, DANE | I | VP | NA | Control |
| CLAUS, CHRISTOPHER, WEBER | I | DIRECTOR, CHAIRMAN OF THE BOARD | NA | Control |
| CLAUS, CHRISTOPHER, WEBER | I | DIRECTOR, CHAIRMAN OF THE BOARD | NA | Control |
| CLAUS, CHRISTOPHER, WEBER | I | DIRECTOR, CHAIRMAN OF THE BOARD | NA | Control |
| CLAUS, CHRISTOPHER, WEBER | I | DIRECTOR, CHAIRMAN OF THE BOARD | NA | Control |
| CLAUS, CHRISTOPHER, WEBER | I | DIRECTOR, CHAIRMAN OF THE BOARD | NA | Control |
| CLAUS, CHRISTOPHER, WEBER | I | DIRECTOR, CHAIRMAN OF THE BOARD | NA | Control |
| CLAUS, CHRISTOPHER, WEBER | I | DIRECTOR, CHAIRMAN OF THE BOARD | NA | Control |
| CLAUS, CHRISTOPHER, WEBER | I | DIRECTOR, CHAIRMAN OF THE BOARD | NA | Control |
| CLAUS, CHRISTOPHER, WEBER | I | DIRECTOR | NA | Control |
| CLAUS, CHRISTOPHER, WEBER | I | DIRECTOR | NA | Control |
| CLAUS, CHRISTOPHER, WEBER | I | DIRECTOR | NA | Control |
| CLAUS, CHRISTOPHER, WEBER | I | DIRECTOR, CHAIRMAN OF THE BOARD | NA | Control |
| CLAUS, CHRISTOPHER, WEBER | I | DIRECTOR, CHAIRMAN OF THE BOARD | NA | Control |
| CLAUS, CHRISTOPHER, WEBER | I | DIRECTOR, CHAIRMAN OF THE BOARD | NA | Control |
| CLAUS, CHRISTOPHER, WEBER | I | DIRECTOR, CHAIRMAN OF THE BOARD | NA | Control |
| CLAUS, CHRISTOPHER, WEBER | I | DIRECTOR, CHAIRMAN OF THE BOARD | NA | Control |
| CLAUS, CHRISTOPHER, WEBER | I | DIRECTOR | NA | Control |
| CLAUS, CHRISTOPHER, WEBER | I | DIRECTOR | NA | Control |
| CLAUS, CHRISTOPHER, WEBER | I | DIRECTOR | NA | Control |
| CLAUS, CHRISTOPHER, WEBER | I | DIRECTOR | NA | Control |
| CLAUS, CHRISTOPHER, WEBER | I | DIRECTOR | NA | Control |
| COOPER, DAWN, LOVE | I | SVP, DIRECTOR | NA | Control |
| COOPER, DAWN, LOVE | I | SVP, DIRECTOR | NA | Control |
| COOPER, DAWN, LOVE | I | DIRECTOR, SVP | NA | Control |
| COOPER, DAWN, LOVE | I | DIRECTOR, SVP | NA | Control |
| COOPER, DAWN, LOVE | I | SENIOR VICE PRESIDENT, FPS OPERATIONS, DIRECTOR | NA | Control |
| COOPER, DAWN, LOVE | I | DIRECTOR, SVP | NA | Control |
| COOPER, DAWN, LOVE | I | VICE PRESIDENT, FPS OPERATIONS | NA | Control |
| COOPER, DAWN, LOVE | I | VICE PRESIDENT, FPS OPERATIONS | NA | Control |
| COOPER, DAWN, LOVE | I | VICE PRESIDENT, FPS OPERATIONS | NA | Control |
| COOPER, DAWN, LOVE | I | SVP, DIRECTOR | NA | Control |
| COOPER, DAWN, LOVE | I | SVP, DIRECTOR | NA | Control |
| COOPER, DAWN, LOVE | I | SENIOR VICE PRESIDENT, FPS OPERATIONS, DIRECTOR | NA | Control |
| COOPER, DAWN, LOVE | I | DIRECTOR | NA | Control |
| COOPER, DAWN, LOVE | I | VICE PRESIDENT, FPS OPERATIONS | NA | Control |
| COOPER, DAWN, LOVE | I | DIRECTOR, SVP | NA | Control |
| COOPER, DAWN, LOVE | I | VICE PRESIDENT, FPS OPERATIONS, DIRECTOR | NA | Control |
| COOPER, DAWN, LOVE | I | SENIOR VICE PRESIDENT, FPS OPERATIONS, DIRECTOR | NA | Control |
| COOPER, DAWN, LOVE | I | VICE PRESIDENT, FPS OPERATIONS | NA | Control |
| COOPER, DAWN, LOVE | I | VICE PRESIDENT, FPS OPERATIONS | NA | Control |
| COOPER, DAWN, LOVE | I | DIRECTOR, SVP | NA | Control |
| DAVIS, ROBERT, GEORGE | I | DIRECTOR, CHAIRMAN, PRESIDENT, CEO | NA | Control |
| DAVIS, ROBERT, GEORGE | I | DIRECTOR, CHAIRMAN | NA | Control |
| DAVIS, ROBERT, GEORGE | I | DIRECTOR, CHAIRMAN | NA | Control |
| DAVIS, ROBERT, GEORGE | I | DIRECTOR, CHAIRMAN | NA | Control |
| DAVIS, ROBERT, GEORGE | I | DIRECTOR, CHAIRMAN, PRESIDENT, CEO | NA | Control |
| DAVIS, ROBERT, GEORGE | I | DIRECTOR, CHAIRMAN | NA | Control |
| DAVIS, ROBERT, GEORGE | I | PRESIDENT & CEO, DIRECTOR, CHAIRMAN | NA | Control |
| DAVIS, ROBERT, GEORGE | I | PRESIDENT & CEO, DIRECTOR, CHAIRMAN | NA | Control |
| DUDLEY, JASON, WAYDE | I | VICE PRESIDENT | NA | Control |
| DUDLEY, JASON, WAYDE | I | VICE PRESIDENT | NA | Control |
| DUDLEY, JASON, WAYDE | I | VICE PRESIDENT | NA | Control |
| DUDLEY, JASON, WAYDE | I | VICE PRESIDENT | NA | Control |
| DUDLEY, JASON, WAYDE | I | VICE PRESIDENT | NA | Control |
| DUNN, DEBRA, KAYE | I | AVP | NA | Control |
| DUNN, DEBRA, KAYE | I | AVP | NA | Control |
| DUNN, DEBRA, KAYE | I | AVP, SENIOR FINANCIAL OFFICER & TREASURER | NA | Control |
| DUNN, DEBRA, KAYE | I | AVP, SENIOR FINANCIAL OFFICER & TREASURER | NA | Control |
| DUNN, DEBRA, KAYE | I | AVP, SENIOR FINANCIAL OFFICER & TREASURER | NA | Control |
| DUNN, DEBRA, KAYE | I | AVP | NA | Control |
| DUNN, DEBRA, KAYE | I | AVP | NA | Control |
| DUNN, DEBRA, KAYE | I | AVP, SENIOR FINANCIAL OFFICER & TREASURER | NA | Control |
| GARCIA, RENE | I | AVP, FINANCIAL PLANNING, DIRECTOR, CHIEF OPERATIONS OFFICER | NA | Control |
| GARCIA, RENE | I | AVP, FINANCIAL PLANNING, DIRECTOR, CHIEF OPERATIONS OFFICER | NA | Control |
| GARCIA, RENE | I | AVP, DIRECTOR | NA | Control |
| GARCIA, RENE | I | AVP, DIRECTOR | NA | Control |
| GARCIA, RENE | I | AVP, DIRECTOR | NA | Control |
| GARCIA, RENE | I | AVP, DIRECTOR | NA | Control |
| GARCIA, RENE | I | AVP, DIRECTOR | NA | Control |
| GARCIA, RENE | I | AVP, FINANCIAL PLANNING, DIRECTOR, CHIEF OPERATIONS OFFICER | NA | Control |
| GARCIA, RENE | I | AVP, DIRECTOR | NA | Control |
| GARCIA, RENE | I | AVP, DIRECTOR | NA | Control |
| GARCIA, RENE | I | ASSISTANT VICE PRESIDENT | NA | Control |
| GARCIA, RENE | I | ASSISTANT VICE PRESIDENT | NA | Control |
| GARCIA, RENE | I | ASSISTANT VICE PRESIDENT | NA | Control |
| GARCIA, RENE | I | AVP, FINANCIAL PLANNING, DIRECTOR, CHIEF OPERATIONS OFFICER | NA | Control |
| GARCIA, RENE | I | AVP, FINANCIAL PLANNING, DIRECTOR, CHIEF OPERATIONS OFFICER | NA | Control |
| GARCIA, RENE | I | AVP, FINANCIAL PLANNING, DIRECTOR, CHIEF OPERATIONS OFFICER | NA | Control |
| GARCIA, RENE | I | AVP, DIRECTOR | NA | Control |
| GARCIA, RENE | I | AVP, FINANCIAL PLANNING, DIRECTOR, CHIEF OPERATIONS OFFICER | NA | Control |
| GARCIA, RENE | I | AVP, FINANCIAL PLANNING, DIRECTOR, CHIEF OPERATIONS OFFICER | NA | Control |
| GARCIA, RENE | I | AVP, DIRECTOR | NA | Control |
| GROTHUES, THOMAS, JOHN | I | DIRECTOR, SENIOR VICE PRESIDENT | NA | Control |
| GROTHUES, THOMAS, JOHN | I | DIRECTOR, SENIOR VICE PRESIDENT | NA | Control |
| GROTHUES, THOMAS, JOHN | I | DIRECTOR, SENIOR VICE PRESIDENT | NA | Control |
| GROTHUES, THOMAS, JOHN | I | DIRECTOR, SENIOR VICE PRESIDENT | NA | Control |
| GROTHUES, THOMAS, JOHN | I | DIRECTOR, SENIOR VICE PRESIDENT | NA | Control |
| GROTHUES, THOMAS, JOHN | I | DIRECTOR, SENIOR VICE PRESIDENT | NA | Control |
| GROTHUES, THOMAS, JOHN | I | DIRECTOR, SENIOR VICE PRESIDENT | NA | Control |
| GROTHUES, THOMAS, JOHN | I | DIRECTOR, SENIOR VICE PRESIDENT | NA | Control |
| GROTHUES, THOMAS, JOHN | I | DIRECTOR, SENIOR VICE PRESIDENT | NA | Control |
| GROTHUES, THOMAS, JOHN | I | DIRECTOR, SENIOR VICE PRESIDENT | NA | Control |
| HAGGARD, KIRK, RUSSELL | I | VP, SFO | NA | Control |
| HAGGARD, KIRK, RUSSELL | I | VP, SFO | NA | Control |
| HAGGARD, KIRK, RUSSELL | I | VP, SFO | NA | Control |
| HAGGARD, KIRK, RUSSELL | I | VP, SFO | NA | Control |
| HAGGARD, KIRK, RUSSELL | I | VP, SFO | NA | Control |
| HANKS, KAREN, ELIZABETH | I | ASSISTANT VICE PRESIDENT | NA | Control |
| HANKS, KAREN, ELIZABETH | I | ASSISTANT VICE PRESIDENT | NA | Control |
| HANKS, KAREN, ELIZABETH | I | ASSISTANT VICE PRESIDENT | NA | Control |
| HANKS, KAREN, ELIZABETH | I | ASSISTANT VICE PRESIDENT | NA | Control |
| HANKS, KAREN, ELIZABETH | I | ASSISTANT VICE PRESIDENT | NA | Control |
| HIGBY, STEPHANIE, ANN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| HIGBY, STEPHANIE, ANN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| HILL, JEFFREY, DARYL | I | AVP, INVESTMENT ADVISER COMPLIANCE (CHIEF COMPLIANCE OFFICER/ADVISORY ACTIVITIES) | NA | Control |
| HILL, JEFFREY, DARYL | I | AVP, INVESTMENT ADVISER COMPLIANCE (CHIEF COMPLIANCE OFFICER/ADVISORY ACTIVITIES) | NA | Control |
| HILL, JEFFREY, DARYL | I | AVP, INVESTMENT ADVISER COMPLIANCE (CHIEF COMPLIANCE OFFICER/ADVISORY ACTIVITIES) | NA | Control |
| HILL, JEFFREY, DARYL | I | AVP, INVESTMENT ADVISER COMPLIANCE (CHIEF COMPLIANCE OFFICER/ADVISORY ACTIVITIES) | NA | Control |
| HILL, JEFFREY, DARYL | I | AVP, INVESTMENT ADVISER COMPLIANCE (CHIEF COMPLIANCE OFFICER/ADVISORY ACTIVITIES) | NA | Control |
| HOLMES, DAVID, MARK | I | SVP, SENIOR FINANCIAL OFFICER & TREASURER | NA | Control |
| HOLMES, DAVID, MARK | I | SVP, SENIOR FINANCIAL OFFICER & TREASURER | NA | Control |
| HOLMES, DAVID, MARK | I | SVP, SENIOR FINANCIAL OFFICER & TREASURER | NA | Control |
| HOLMES, DAVID, MARK | I | SVP, SENIOR FINANCIAL OFFICER & TREASURER | NA | Control |
| HOLMES, DAVID, MARK | I | SVP, SENIOR FINANCIAL OFFICER & TREASURER | NA | Control |
| HOLMES, DAVID, MARK | I | SVP, SENIOR FINANCIAL OFFICER & TREASURER | NA | Control |
| HOLMES, DAVID, MARK | I | SVP, SENIOR FINANCIAL OFFICER & TREASURER | NA | Control |
| HOLMES, DAVID, MARK | I | SVP, SENIOR FINANCIAL OFFICER & TREASURER | NA | Control |
| HOWARD, MARK, SHANNON | I | SVP, SECRETARY & COUNSEL (CHIEF LEGAL OFFICER) | NA | Control |
| HOWARD, MARK, SHANNON | I | SVP, SECRETARY & COUNSEL (CHIEF LEGAL OFFICER) | NA | Control |
| HOWARD, MARK, SHANNON | I | SVP, SECRETARY & COUNSEL (CHIEF LEGAL OFFICER) | NA | Control |
| HOWARD, MARK, SHANNON | I | SVP, SECRETARY & COUNSEL (CHIEF LEGAL OFFICER) | NA | Control |
| HOWARD, MARK, SHANNON | I | SVP, SECRETARY & COUNSEL (CHIEF LEGAL OFFICER) | NA | Control |
| HOWARD, MARK, SHANNON | I | SVP, SECRETARY & COUNSEL (CHIEF LEGAL OFFICER) | NA | Control |
| HOWARD, MARK, SHANNON | I | SVP, SECRETARY & COUNSEL (CHIEF LEGAL OFFICER) | NA | Control |
| HOWARD, MARK, SHANNON | I | SVP, SECRETARY & COUNSEL (CHIEF LEGAL OFFICER) | NA | Control |
| HOWARD, MARK, SHANNON | I | SVP, SECRETARY & COUNSEL (CHIEF LEGAL OFFICER) | NA | Control |
| HOWARD, MARK, SHANNON | I | SVP, SECRETARY & COUNSEL (CHIEF LEGAL OFFICER) | NA | Control |
| HOWARD, MARK, SHANNON | I | ASSISTANT SECRETARY | NA | Control |
| HOWARD, MARK, SHANNON | I | SVP, SECRETARY & COUNSEL (CHIEF LEGAL OFFICER) | NA | Control |
| HOWARD, MARK, SHANNON | I | SVP, SECRETARY & COUNSEL (CHIEF LEGAL OFFICER) | NA | Control |
| HOWARD, MARK, SHANNON | I | SVP, SECRETARY & COUNSEL (CHIEF LEGAL OFFICER) | NA | Control |
| HOWARD, MARK, SHANNON | I | SVP, SECRETARY & COUNSEL (CHIEF LEGAL OFFICER) | NA | Control |
| HOWARD, MARK, SHANNON | I | SVP, SECRETARY & COUNSEL (CHIEF LEGAL OFFICER) | NA | Control |
| HOWARD, MARK, SHANNON | I | SVP, SECRETARY & COUNSEL (CHIEF LEGAL OFFICER) | NA | Control |
| HOWARD, MARK, SHANNON | I | SVP, SECRETARY & COUNSEL (CHIEF LEGAL OFFICER) | NA | Control |
| HOWARD, MARK, SHANNON | I | SVP, SECRETARY & COUNSEL (CHIEF LEGAL OFFICER) | NA | Control |
| HOWARD, MARK, SHANNON | I | SVP, SECRETARY & COUNSEL (CHIEF LEGAL OFFICER) | NA | Control |
| HOWARD, MARK, SHANNON | I | SVP, SECRETARY & COUNSEL (CHIEF LEGAL OFFICER) | NA | Control |
| HOWARD, MARK, SHANNON | I | ASSISTANT SECRETARY | NA | Control |
| HOWARD, MARK, SHANNON | I | SVP, SECRETARY & COUNSEL (CHIEF LEGAL OFFICER) | NA | Control |
| HOWARD, MARK, SHANNON | I | SVP, SECRETARY & COUNSEL (CHIEF LEGAL OFFICER) | NA | Control |
| HOWARD, MARK, SHANNON | I | SVP, SECRETARY & COUNSEL (CHIEF LEGAL OFFICER) | NA | Control |
| HOWARD, MARK, SHANNON | I | SVP, SECRETARY & COUNSEL (CHIEF LEGAL OFFICER) | NA | Control |
| HOWARD, MARK, SHANNON | I | SVP, SECRETARY & COUNSEL (CHIEF LEGAL OFFICER) | NA | Control |
| HOWARD, MARK, SHANNON | I | SVP, SECRETARY & COUNSEL (CHIEF LEGAL OFFICER) | NA | Control |
| HOWARD, MARK, SHANNON | I | SVP, SECRETARY & COUNSEL (CHIEF LEGAL OFFICER) | NA | Control |
| Hadfield, Jon, Koven | I | SECRETARY | NA | Control |
| JOHNSON, DAWN, MICHELLE | I | VICE PRESIDENT, DIRECTOR | NA | Control |
| JOHNSON, DAWN, MICHELLE | I | DIRECTOR | NA | Control |
| JOHNSON, DAWN, MICHELLE | I | DIRECTOR | NA | Control |
| JOHNSON, DAWN, MICHELLE | I | DIRECTOR | NA | Control |
| JOHNSON, DAWN, MICHELLE | I | VICE PRESIDENT, DIRECTOR | NA | Control |
| JOHNSON, DAWN, MICHELLE | I | DIRECTOR | NA | Control |
| JOHNSON, DAWN, MICHELLE | I | DIRECTOR | NA | Control |
| JOHNSON, DAWN, MICHELLE | I | DIRECTOR | NA | Control |
| KALLSEN, TERRI, RAE | I | SVP, DIRECTOR | NA | Control |
| KALLSEN, TERRI, RAE | I | SVP, DIRECTOR | NA | Control |
| KALLSEN, TERRI, RAE | I | AVP, FINANCIAL ADVICE CENTER, DIRECTOR | NA | Control |
| KALLSEN, TERRI, RAE | I | AVP, FINANCIAL ADVICE CENTER, DIRECTOR | NA | Control |
| KALLSEN, TERRI, RAE | I | SVP, DIRECTOR | NA | Control |
| KALLSEN, TERRI, RAE | I | SVP, DIRECTOR | NA | Control |
| KALLSEN, TERRI, RAE | I | AVP, FINANCIAL ADVICE CENTER, DIRECTOR | NA | Control |
| KALLSEN, TERRI, RAE | I | SVP, DIRECTOR | NA | Control |
| KALLSEN, TERRI, RAE | I | VP, FINANCIAL ADVICE CENTER, DIRECTOR | NA | Control |
| KALLSEN, TERRI, RAE | I | SVP, DIRECTOR | NA | Control |
| KALLSEN, TERRI, RAE | I | SVP, DIRECTOR | NA | Control |
| KALLSEN, TERRI, RAE | I | AVP, FINANCIAL ADVICE CENTER, DIRECTOR | NA | Control |
| KALLSEN, TERRI, RAE | I | SVP, DIRECTOR | NA | Control |
| KALLSEN, TERRI, RAE | I | SVP, DIRECTOR | NA | Control |
| LAIA, CHRISTOPHER, PHILIP | I | VP, ASSISTANT SECRETARY | NA | Control |
| LAIA, CHRISTOPHER, PHILIP | I | VP, ASSISTANT SECRETARY | NA | Control |
| LAIA, CHRISTOPHER, PHILIP | I | VP, ASSISTANT SECRETARY | NA | Control |
| LAIA, CHRISTOPHER, PHILIP | I | VP, ASSISTANT SECRETARY | NA | Control |
| LAIA, CHRISTOPHER, PHILIP | I | VP, ASSISTANT SECRETARY | NA | Control |
| LAIA, CHRISTOPHER, PHILIP | I | VP, ASSISTANT SECRETARY | NA | Control |
| LAIA, CHRISTOPHER, PHILIP | I | VP, ASSISTANT SECRETARY | NA | Control |
| LAIA, CHRISTOPHER, PHILIP | I | VP, ASSISTANT SECRETARY | NA | Control |
| LAIA, CHRISTOPHER, PHILIP | I | VP, ASSISTANT SECRETARY | NA | Control |
| LAIA, CHRISTOPHER, PHILIP | I | VP, ASSISTANT SECRETARY | NA | Control |
| LAIA, CHRISTOPHER, PHILIP | I | VP, ASSISTANT SECRETARY | NA | Control |
| LAIA, CHRISTOPHER, PHILIP | I | VP, ASSISTANT SECRETARY | NA | Control |
| LAIA, CHRISTOPHER, PHILIP | I | VP, ASSISTANT SECRETARY | NA | Control |
| LIANE, SVEN | I | VP | NA | Control |
| LIANE, SVEN | I | VP, DIRECTOR | NA | Control |
| LIANE, SVEN | I | VP, DIRECTOR | NA | Control |
| LIANE, SVEN | I | VICE PRESIDENT | NA | Control |
| LIANE, SVEN | I | VICE PRESIDENT | NA | Control |
| LIANE, SVEN | I | VICE PRESIDENT | NA | Control |
| LIEBERT, CARL, CLINTON | I | DIRECTOR | NA | Control |
| MATUS, KRISTI, ANN | I | DIRECTOR | NA | Control |
| MATUS, KRISTI, ANN | I | DIRECTOR | NA | Control |
| MATUS, KRISTI, ANN | I | DIRECTOR | NA | Control |
| MAVICO, DANIEL, JAMES | I | SECRETARY | NA | Control |
| MAVICO, DANIEL, JAMES | I | SECRETARY | NA | Control |
| MAVICO, DANIEL, JAMES | I | SECRETARY | NA | Control |
| MAVICO, DANIEL, JAMES | I | SECRETARY | NA | Control |
| MAVICO, DANIEL, JAMES | I | SECRETARY | NA | Control |
| MCGLINCHEY, BRIAN, PATRICK | I | AVP, ENTERPRISE PARTNERSHIPS, DIRECTOR | NA | Control |
| MCGLINCHEY, BRIAN, PATRICK | I | AVP, ENTERPRISE PARTNERSHIPS, DIRECTOR | NA | Control |
| MCNAMARA, DANIEL, SEAN | I | DIRECTOR, PRESIDENT | NA | Control |
| MCNAMARA, DANIEL, SEAN | I | DIRECTOR, PRESIDENT | NA | Control |
| MCNAMARA, DANIEL, SEAN | I | DIRECTOR, PRESIDENT | NA | Control |
| MCNAMARA, DANIEL, SEAN | I | SENIOR VICE PRESIDENT | NA | Control |
| MCNAMARA, DANIEL, SEAN | I | SENIOR VICE PRESIDENT | NA | Control |
| MCNAMARA, DANIEL, SEAN | I | SENIOR VICE PRESIDENT | NA | Control |
| MCNAMARA, DANIEL, SEAN | I | SENIOR VICE PRESIDENT | NA | Control |
| MCNAMARA, DANIEL, SEAN | I | SENIOR VICE PRESIDENT | NA | Control |
| MCNAMARA, DANIEL, SEAN | I | DIRECTOR, SENIOR VICE PRESIDENT | NA | Control |
| MCNAMARA, DANIEL, SEAN | I | SENIOR VICE PRESIDENT | NA | Control |
| MCNAMARA, DANIEL, SEAN | I | DIRECTOR, SENIOR VICE PRESIDENT | NA | Control |
| MCNAMARA, DANIEL, SEAN | I | SENIOR VICE PRESIDENT | NA | Control |
| MCNAMARA, DANIEL, SEAN | I | DIRECTOR, SENIOR VICE PRESIDENT | NA | Control |
| MCNAMARA, DANIEL, SEAN | I | SENIOR VICE PRESIDENT | NA | Control |
| MCNAMARA, DANIEL, SEAN | I | DIRECTOR, SENIOR VICE PRESIDENT | NA | Control |
| MCNAMARA, DANIEL, SEAN | I | DIRECTOR, SENIOR VICE PRESIDENT | NA | Control |
| MCNAMARA, DANIEL, SEAN | I | DIRECTOR, SENIOR VICE PRESIDENT | NA | Control |
| MCNAMARA, DANIEL, SEAN | I | DIRECTOR, SENIOR VICE PRESIDENT | NA | Control |
| MCNAMARA, DANIEL, SEAN | I | DIRECTOR, SENIOR VICE PRESIDENT | NA | Control |
| MCNAMARA, DANIEL, SEAN | I | DIRECTOR, SENIOR VICE PRESIDENT | NA | Control |
| MCNAMARA, DANIEL, SEAN | I | DIRECTOR, SENIOR VICE PRESIDENT | NA | Control |
| MCNAMARA, DANIEL, SEAN | I | DIRECTOR, SENIOR VICE PRESIDENT | NA | Control |
| MCNAMARA, DANIEL, SEAN | I | DIRECTOR, SENIOR VICE PRESIDENT | NA | Control |
| PARKER, STUART, BARRY | I | DIRECTOR | NA | Control |
| PARKER, STUART, BARRY | I | DIRECTOR | NA | Control |
| PARKER, STUART, BARRY | I | DIRECTOR | NA | Control |
| PARKER, STUART, BARRY | I | DIRECTOR | NA | Control |
| PARKER, STUART, BARRY | I | DIRECTOR | NA | Control |
| PARKER, STUART, BLAIN | I | DIRECTOR | NA | Control |
| PARKER, STUART, BLAIN | I | DIRECTOR | NA | Control |
| PARKER, STUART, BLAIN | I | PRESIDENT & CEO, FINANCIAL PLANNING SERVICES, DIRECTOR & CHAIRMAN OF THE BOARD | NA | Control |
| PARKER, STUART, BLAIN | I | PRESIDENT & CEO, FINANCIAL PLANNING SERVICES, DIRECTOR & CHAIRMAN OF THE BOARD | NA | Control |
| PARKER, STUART, BLAIN | I | DIRECTOR | NA | Control |
| PARKER, STUART, BLAIN | I | DIRECTOR | NA | Control |
| PARKER, STUART, BLAIN | I | DIRECTOR | NA | Control |
| PARKER, STUART, BLAIN | I | PRESIDENT & CEO, FINANCIAL PLANNING SERVICES, DIRECTOR & CHAIRMAN OF THE BOARD | NA | Control |
| PARKER, STUART, BLAIN | I | DIRECTOR | NA | Control |
| PARKER, STUART, BLAIN | I | DIRECTOR | NA | Control |
| PARKER, STUART, BLAIN | I | DIRECTOR | NA | Control |
| PARKER, STUART, BLAIN | I | PRESIDENT & CEO, FINANCIAL PLANNING SERVICES, DIRECTOR | NA | Control |
| PARKER, STUART, BLAIN | I | PRESIDENT & CEO, FINANCIAL PLANNING SERVICES, DIRECTOR | NA | Control |
| PARKER, STUART, BLAIN | I | PRESIDENT & CEO, FINANCIAL PLANNING SERVICES, DIRECTOR | NA | Control |
| PARKER, STUART, BLAIN | I | PRESIDENT & CEO, FINANCIAL PLANNING SERVICES, DIRECTOR & CHAIRMAN OF THE BOARD | NA | Control |
| PARKER, STUART, BLAIN | I | DIRECTOR | NA | Control |
| PARKER, STUART, BLAIN | I | DIRECTOR | NA | Control |
| PARKER, STUART, BLAIN | I | PRESIDENT & CEO, FINANCIAL PLANNING SERVICES, DIRECTOR & CHAIRMAN OF THE BOARD | NA | Control |
| PARKER, STUART, BLAIN | I | DIRECTOR | NA | Control |
| PARKER, STUART, BLAIN | I | PRESIDENT & CEO, FINANCIAL PLANNING SERVICES, DIRECTOR | NA | Control |
| PARKER, STUART, BLAIN | I | DIRECTOR | NA | Control |
| PARKER, STUART, BLAIN | I | PRESIDENT & CEO, FINANCIAL PLANNING SERVICES, DIRECTOR & CHAIRMAN OF THE BOARD | NA | Control |
| PARKER, STUART, BLAIN | I | PRESIDENT & CEO, FINANCIAL PLANNING SERVICES, DIRECTOR & CHAIRMAN OF THE BOARD | NA | Control |
| PARKER, STUART, BLAIN | I | VICE PRESIDENT, FINANCIAL PLANNING SERVICES, DIRECTOR | NA | Control |
| PARKER, STUART, BLAIN | I | VICE PRESIDENT, FINANCIAL PLANNING SERVICES, DIRECTOR | NA | Control |
| PARKER, STUART, BLAIN | I | DIRECTOR | NA | Control |
| PAWLOSKI, JOHN, NORMAN | I | AVP, CHIEF COMPLIANCE OFFICER | NA | Control |
| PAWLOSKI, JOHN, NORMAN | I | AVP, COMPLIANCE OFFICER | NA | Control |
| PAWLOSKI, JOHN, NORMAN | I | VP, COMPLIANCE OFFICER | NA | Control |
| PAWLOSKI, JOHN, NORMAN | I | VP, COMPLIANCE OFFICER | NA | Control |
| PAWLOSKI, JOHN, NORMAN | I | AVP, COMPLIANCE OFFICER | NA | Control |
| PAWLOSKI, JOHN, NORMAN | I | VP, COMPLIANCE OFFICER | NA | Control |
| PAWLOSKI, JOHN, NORMAN | I | AVP, CHIEF COMPLIANCE OFFICER | NA | Control |
| PAWLOSKI, JOHN, NORMAN | I | VP, COMPLIANCE OFFICER | NA | Control |
| PAWLOSKI, JOHN, NORMAN | I | VP, COMPLIANCE OFFICER | NA | Control |
| PAWLOSKI, JOHN, NORMAN | I | VP, COMPLIANCE OFFICER | NA | Control |
| PAWLOSKI, JOHN, NORMAN | I | VP, COMPLIANCE OFFICER | NA | Control |
| PAWLOSKI, JOHN, NORMAN | I | VP, COMPLIANCE OFFICER | NA | Control |
| PAWLOSKI, JOHN, NORMAN | I | VP, COMPLIANCE OFFICER | NA | Control |
| PAWLOSKI, JOHN, NORMAN | I | VP, COMPLIANCE OFFICER | NA | Control |
| PAWLOSKI, JOHN, NORMAN | I | VP, COMPLIANCE OFFICER | NA | Control |
| PAWLOSKI, JOHN, NORMAN | I | VP, COMPLIANCE OFFICER | NA | Control |
| PEACOCK, STEVEN, WAYNE | I | DIRECTOR, VICE CHAIR OF THE BOARD, EVP | NA | Control |
| PEACOCK, STEVEN, WAYNE | I | DIRECTOR, VICE CHAIR OF THE BOARD, EVP | NA | Control |
| PEACOCK, STEVEN, WAYNE | I | DIRECTOR, VICE CHAIR OF THE BOARD, EVP | NA | Control |
| PEACOCK, STEVEN, WAYNE | I | DIRECTOR, VICE CHAIR OF THE BOARD, EVP | NA | Control |
| PEACOCK, STEVEN, WAYNE | I | DIRECTOR, VICE CHAIR OF THE BOARD, EVP | NA | Control |
| PEACOCK, STEVEN, WAYNE | I | DIRECTOR, VICE CHAIR OF THE BOARD, EVP | NA | Control |
| PEACOCK, STEVEN, WAYNE | I | DIRECTOR, VICE CHAIR OF THE BOARD, EVP | NA | Control |
| PEACOCK, STEVEN, WAYNE | I | DIRECTOR, VICE CHAIR OF THE BOARD, EVP | NA | Control |
| PEACOCK, STEVEN, WAYNE | I | DIRECTOR, VICE CHAIR OF THE BOARD, EVP | NA | Control |
| PRESLEY, KAREN | I | DIRECTOR | NA | Control |
| PRESLEY, KAREN | I | DIRECTOR | NA | Control |
| REDDY, SRINIVAS, DHARAM | I | VICE PRESIDENT | NA | Control |
| REDDY, SRINIVAS, DHARAM | I | VICE PRESIDENT | NA | Control |
| REDDY, SRINIVAS, DHARAM | I | VICE PRESIDENT | NA | Control |
| REGISTER, KIRSTEN, MARI | I | VP, CHIEF ACCOUNTING OFFICER & CONTROLLER | NA | Control |
| REGISTER, KIRSTEN, MARI | I | VP, CHIEF ACCOUNTING OFFICER & CONTROLLER | NA | Control |
| REGISTER, KIRSTEN, MARI | I | VP, CHIEF ACCOUNTING OFFICER & CONTROLLER | NA | Control |
| REGISTER, KIRSTEN, MARI | I | VP, CHIEF ACCOUNTING OFFICER & CONTROLLER | NA | Control |
| REGISTER, KIRSTEN, MARI | I | VP, CHIEF ACCOUNTING OFFICER & CONTROLLER | NA | Control |
| REGISTER, KIRSTEN, MARI | I | VP, CHIEF ACCOUNTING OFFICER & CONTROLLER | NA | Control |
| REGISTER, KIRSTEN, MARI | I | VP, CHIEF ACCOUNTING OFFICER & CONTROLLER | NA | Control |
| REGISTER, KIRSTEN, MARI | I | VP, CHIEF ACCOUNTING OFFICER & CONTROLLER | NA | Control |
| REGISTER, KIRSTEN, MARI | I | VP, CHIEF ACCOUNTING OFFICER & CONTROLLER | NA | Control |
| REGISTER, KIRSTEN, MARI | I | VP, CHIEF ACCOUNTING OFFICER & CONTROLLER | NA | Control |
| REGISTER, KIRSTEN, MARI | I | VP, CHIEF ACCOUNTING OFFICER & CONTROLLER | NA | Control |
| REGISTER, KIRSTEN, MARI | I | VP, CHIEF ACCOUNTING OFFICER & CONTROLLER | NA | Control |
| REGISTER, KIRSTEN, MARI | I | VP, CHIEF ACCOUNTING OFFICER & CONTROLLER | NA | Control |
| REGISTER, KIRSTEN, MARI | I | VP, CHIEF ACCOUNTING OFFICER & CONTROLLER | NA | Control |
| REGISTER, KIRSTEN, MARI | I | VP, CHIEF ACCOUNTING OFFICER & CONTROLLER | NA | Control |
| REGISTER, KIRSTEN, MARI | I | VP, CHIEF ACCOUNTING OFFICER & CONTROLLER | NA | Control |
| REGISTER, KIRSTEN, MARI | I | VP, CHIEF ACCOUNTING OFFICER & CONTROLLER | NA | Control |
| REGISTER, KIRSTEN, MARI | I | VP, CHIEF ACCOUNTING OFFICER & CONTROLLER | NA | Control |
| REGISTER, KIRSTEN, MARI | I | VP, CHIEF ACCOUNTING OFFICER & CONTROLLER | NA | Control |
| REGISTER, KIRSTEN, MARI | I | VP, CHIEF ACCOUNTING OFFICER & CONTROLLER | NA | Control |
| REGISTER, KIRSTEN, MARI | I | VP, CHIEF ACCOUNTING OFFICER & CONTROLLER | NA | Control |
| REGISTER, KIRSTEN, MARI | I | VP, CHIEF ACCOUNTING OFFICER & CONTROLLER | NA | Control |
| REGISTER, KIRSTEN, MARI | I | VP, CHIEF ACCOUNTING OFFICER & CONTROLLER | NA | Control |
| REGISTER, KIRSTEN, MARI | I | VP, CHIEF ACCOUNTING OFFICER & CONTROLLER | NA | Control |
| REGISTER, KIRSTEN, MARI | I | VP, CHIEF ACCOUNTING OFFICER & CONTROLLER | NA | Control |
| REGISTER, KIRSTEN, MARI | I | VP, CHIEF ACCOUNTING OFFICER & CONTROLLER | NA | Control |
| REGISTER, KIRSTEN, MARI | I | VP, CHIEF ACCOUNTING OFFICER & CONTROLLER | NA | Control |
| RICH, BRADFORD, WHITMAN | I | DIRECTOR, VICE PRESIDENT, SECRETARY, CHIEF LEGAL OFFICER | NA | Control |
| RICH, BRADFORD, WHITMAN | I | DIRECTOR, VICE PRESIDENT, SECRETARY, CHIEF LEGAL OFFICER | NA | Control |
| RICH, BRADFORD, WHITMAN | I | DIRECTOR | NA | Control |
| RICH, BRADFORD, WHITMAN | I | DIRECTOR | NA | Control |
| ROBLES, JOSUE | I | DIRECTOR, CHAIR OF THE BOARD | NA | Control |
| ROBLES, JOSUE | I | DIRECTOR, CHAIR OF THE BOARD | NA | Control |
| ROBLES, JOSUE | I | DIRECTOR, CHAIR OF THE BOARD | NA | Control |
| ROBLES, JOSUE | I | DIRECTOR, CHAIR OF THE BOARD | NA | Control |
| ROBLES, JOSUE | I | DIRECTOR, CHAIR OF THE BOARD | NA | Control |
| ROBLES, JOSUE | I | DIRECTOR, CHAIR OF THE BOARD | NA | Control |
| ROBLES, JOSUE | I | DIRECTOR, CHAIR OF THE BOARD | NA | Control |
| ROBLES, JOSUE | I | DIRECTOR, CHAIR OF THE BOARD | NA | Control |
| ROBLES, JOSUE | I | DIRECTOR, CHAIR OF THE BOARD | NA | Control |
| ROBLES, JR, JOSUE | I | DIRECTOR,VP,TREASURER, CFO | NA | Control |
| ROBLES, JR, JOSUE | I | DIRECTOR | NA | Control |
| ROBLES, JR, JOSUE | I | DIRECTOR | NA | Control |
| ROBLES, JR, JOSUE | I | DIRECTOR | NA | Control |
| ROBLES, JR, JOSUE | I | DIRECTOR,VP,TREASURER, CFO | NA | Control |
| ROBLES, JR, JOSUE | I | DIRECTOR | NA | Control |
| ROBLES, JR, JOSUE | I | DIRECTOR | NA | Control |
| ROBLES, JR, JOSUE | I | DIRECTOR | NA | Control |
| ROSENBERGER, LARRY, WAYNE | I | VICE PRESIDENT | NA | Control |
| ROSENBERGER, LARRY, WAYNE | I | VICE PRESIDENT | NA | Control |
| ROSENBERGER, LARRY, WAYNE | I | VICE PRESIDENT | NA | Control |
| ROSENBERGER, LARRY, WAYNE | I | VICE PRESIDENT | NA | Control |
| ROSENBERGER, LARRY, WAYNE | I | VICE PRESIDENT | NA | Control |
| ROSENBERGER, LARRY, WAYNE | I | VICE PRESIDENT | NA | Control |
| ROSENBERGER, LARRY, WAYNE | I | VICE PRESIDENT | NA | Control |
| ROSENBERGER, LARRY, WAYNE | I | VICE PRESIDENT | NA | Control |
| ROSENBERGER, LARRY, WAYNE | I | VICE PRESIDENT | NA | Control |
| ROSENBERGER, LARRY, WAYNE | I | VICE PRESIDENT | NA | Control |
| ROSENBERGER, LARRY, WAYNE | I | VICE PRESIDENT | NA | Control |
| ROSENBERGER, LARRY, WAYNE | I | VICE PRESIDENT | NA | Control |
| ROSENBERGER, LARRY, WAYNE | I | VICE PRESIDENT | NA | Control |
| ROSENBERGER, LARRY, WAYNE | I | VICE PRESIDENT | NA | Control |
| ROSENBERGER, LARRY, WAYNE | I | VICE PRESIDENT | NA | Control |
| RYGMYR, ADYM, WAGNER | I | VP | NA | Control |
| RYGMYR, ADYM, WAGNER | I | VP | NA | Control |
| RYGMYR, ADYM, WAGNER | I | VP | NA | Control |
| RYGMYR, ADYM, WAGNER | I | VP | NA | Control |
| SMILEY, EILEEN, MARIE | I | ASSISTANT SECRETARY | NA | Control |
| SMILEY, EILEEN, MARIE | I | ASSISTANT SECRETARY | NA | Control |
| SMILEY, EILEEN, MARIE | I | ASSISTANT SECRETARY | NA | Control |
| SMILEY, EILEEN, MARIE | I | ASSISTANT SECRETARY | NA | Control |
| SMILEY, EILEEN, MARIE | I | ASSISTANT SECRETARY | NA | Control |
| SMILEY, EILEEN, MARIE | I | ASSISTANT SECRETARY | NA | Control |
| SMILEY, EILEEN, MARIE | I | ASSISTANT SECRETARY | NA | Control |
| SMILEY, EILEEN, MARIE | I | ASSISTANT SECRETARY | NA | Control |
| SMILEY, EILEEN, MARIE | I | ASSISTANT SECRETARY | NA | Control |
| SMILEY, EILEEN, MARIE | I | ASSISTANT SECRETARY | NA | Control |
| SMITH, DAVID, HARRISON | I | AVP, SECURITIES COMPLIANCE & CHIEF COMPLIANCE OFFICER | NA | Control |
| SMITH, DAVID, HARRISON | I | AVP, SECURITIES COMPLIANCE & CHIEF COMPLIANCE OFFICER | NA | Control |
| SMITH, DAVID, HARRISON | I | AVP, SECURITIES COMPLIANCE & CHIEF COMPLIANCE OFFICER | NA | Control |
| SMITH, DAVID, HARRISON | I | AVP, SECURITIES COMPLIANCE & CHIEF COMPLIANCE OFFICER | NA | Control |
| SMITH, DAVID, HARRISON | I | AVP, SECURITIES COMPLIANCE & CHIEF COMPLIANCE OFFICER | NA | Control |
| SMITH, DAVID, HARRISON | I | AVP, SECURITIES COMPLIANCE & CHIEF COMPLIANCE OFFICER | NA | Control |
| SMITH, DAVID, HARRISON | I | AVP, SECURITIES COMPLIANCE & CHIEF COMPLIANCE OFFICER | NA | Control |
| SMITH, DAVID, HARRISON | I | AVP, SECURITIES COMPLIANCE & CHIEF COMPLIANCE OFFICER | NA | Control |
| SMITH, DAVID, HARRISON | I | AVP, SECURITIES COMPLIANCE & CHIEF COMPLIANCE OFFICER | NA | Control |
| SMITH, DAVID, HARRISON | I | AVP, SECURITIES COMPLIANCE & CHIEF COMPLIANCE OFFICER | NA | Control |
| SMITH, DAVID, HARRISON | I | AVP, SECURITIES COMPLIANCE & CHIEF COMPLIANCE OFFICER | NA | Control |
| SMITH, DAVID, HARRISON | I | AVP, SECURITIES COMPLIANCE & CHIEF COMPLIANCE OFFICER | NA | Control |
| SMITH, DAVID, HARRISON | I | AVP, SECURITIES COMPLIANCE & CHIEF COMPLIANCE OFFICER | NA | Control |
| SMITH, DAVID, HARRISON | I | AVP, SECURITIES COMPLIANCE & CHIEF COMPLIANCE OFFICER | NA | Control |
| SMITH, DAVID, HARRISON | I | AVP, SECURITIES COMPLIANCE & CHIEF COMPLIANCE OFFICER | NA | Control |
| SMITH, DAVID, HARRISON | I | AVP, SECURITIES COMPLIANCE & CHIEF COMPLIANCE OFFICER | NA | Control |
| SMITH, DAVID, HARRISON | I | AVP, SECURITIES COMPLIANCE & CHIEF COMPLIANCE OFFICER | NA | Control |
| SMITH, DAVID, HARRISON | I | AVP, SECURITIES COMPLIANCE & CHIEF COMPLIANCE OFFICER | NA | Control |
| SMITH, DAVID, HARRISON | I | AVP, SECURITIES COMPLIANCE & CHIEF COMPLIANCE OFFICER | NA | Control |
| SMITH, DAVID, HARRISON | I | AVP, SECURITIES COMPLIANCE & CHIEF COMPLIANCE OFFICER | NA | Control |
| SMITH, DAVID, HARRISON | I | AVP, SECURITIES COMPLIANCE & CHIEF COMPLIANCE OFFICER | NA | Control |
| SMITH, DAVID, HARRISON | I | AVP, SECURITIES COMPLIANCE & CHIEF COMPLIANCE OFFICER | NA | Control |
| SMITH, DAVID, HARRISON | I | AVP, SECURITIES COMPLIANCE & CHIEF COMPLIANCE OFFICER | NA | Control |
| SMITH, DAVID, HARRISON | I | AVP, SECURITIES COMPLIANCE & CHIEF COMPLIANCE OFFICER | NA | Control |
| SMITH, DAVID, HARRISON | I | AVP, SECURITIES COMPLIANCE & CHIEF COMPLIANCE OFFICER | NA | Control |
| SMITH, KENNETH, WAYNE | I | SVP, ASSISTANT SECRETARY | NA | Control |
| SMITH, KENNETH, WAYNE | I | SVP, ASSISTANT SECRETARY | NA | Control |
| SMITH, KENNETH, WAYNE | I | SVP, ASSISTANT SECRETARY | NA | Control |
| SMITH, KENNETH, WAYNE | I | SVP, ASSISTANT SECRETARY | NA | Control |
| SMITH, KENNETH, WAYNE | I | SVP, ASSISTANT SECRETARY | NA | Control |
| SMITH, KENNETH, WAYNE | I | SVP, ASSISTANT SECRETARY | NA | Control |
| SMITH, KENNETH, WAYNE | I | SVP, ASSISTANT SECRETARY | NA | Control |
| SMITH, KENNETH, WAYNE | I | SVP, ASSISTANT SECRETARY | NA | Control |
| SMITH, KENNETH, WAYNE | I | SVP, ASSISTANT SECRETARY | NA | Control |
| SMITH, KENNETH, WAYNE | I | SVP, ASSISTANT SECRETARY | NA | Control |
| SMITH, KENNETH, WAYNE | I | SVP, ASSISTANT SECRETARY | NA | Control |
| SMITH, KENNETH, WAYNE | I | SVP, ASSISTANT SECRETARY | NA | Control |
| SMITH, KENNETH, WAYNE | I | SVP, ASSISTANT SECRETARY | NA | Control |
| SMITH, KENNETH, WAYNE | I | SVP, ASSISTANT SECRETARY | NA | Control |
| SMITH, KENNETH, WAYNE | I | SVP, ASSISTANT SECRETARY | NA | Control |
| SMITH, KENNETH, WAYNE | I | SVP, ASSISTANT SECRETARY | NA | Control |
| SMITH, WILLIAM, ALFRED | I | SENIOR FINANCIAL OFFICER AND TREASURER | NA | Control |
| SMITH, WILLIAM, ALFRED | I | SENIOR FINANCIAL OFFICER AND TREASURER | NA | Control |
| SMITH, WILLIAM, ALFRED | I | SENIOR FINANCIAL OFFICER AND TREASURER | NA | Control |
| SMITH, WILLIAM, ALFRED | I | SENIOR FINANCIAL OFFICER AND TREASURER | NA | Control |
| SMITH, WILLIAM, ALFRED | I | SENIOR FINANCIAL OFFICER AND TREASURER | NA | Control |
| SMITH, WILLIAM, ALFRED | I | SENIOR FINANCIAL OFFICER AND TREASURER | NA | Control |
| SMITH, WILLIAM, ALFRED | I | SENIOR FINANCIAL OFFICER AND TREASURER | NA | Control |
| SMITH, WILLIAM, ALFRED | I | SENIOR FINANCIAL OFFICER AND TREASURER | NA | Control |
| SMITH, WILLIAM, ALFRED | I | SENIOR FINANCIAL OFFICER AND TREASURER | NA | Control |
| SMITH, WILLIAM, ALFRED | I | SENIOR FINANCIAL OFFICER AND TREASURER | NA | Control |
| SMITH, WILLIAM, ALFRED | I | SENIOR FINANCIAL OFFICER AND TREASURER | NA | Control |
| SMITH, WILLIAM, ALFRED | I | VP | NA | Control |
| STORK, MARY, ELIZABETH | I | DIRECTOR | NA | Control |
| STORK, MARY, ELIZABETH | I | DIRECTOR | NA | Control |
| STORK, MARY, ELIZABETH | I | DIRECTOR | NA | Control |
| STORK, MARY, ELIZABETH | I | DIRECTOR | NA | Control |
| STORK, MARY, ELIZABETH | I | DIRECTOR | NA | Control |
| STORK, MARY, ELIZABETH | I | DIRECTOR | NA | Control |
| STORK, MARY, ELIZABETH | I | DIRECTOR | NA | Control |
| STORK, MARY, ELIZABETH | I | DIRECTOR | NA | Control |
| Shreder, Scott, Andrew | I | SECRETARY | NA | Control |
| Shreder, Scott, Andrew | I | SECRETARY | NA | Control |
| Shreder, Scott, Andrew | I | SECRETARY | NA | Control |
| TEAGUE, PATRICIA, MAE | I | DIRECTOR | NA | Control |
| TEAGUE, PATRICIA, MAE | I | DIRECTOR | NA | Control |
| TEAGUE, PATRICIA, MAE | I | DIRECTOR | NA | Control |
| TEAGUE, PATRICIA, MAE | I | DIRECTOR | NA | Control |
| TEAGUE, PATRICIA, MAE | I | DIRECTOR | NA | Control |
| TEAGUE, PATRICIA, MAE | I | DIRECTOR | NA | Control |
| TEAGUE, PATRICIA, MAE | I | DIRECTOR | NA | Control |
| TEAGUE, PATRICIA, MAE | I | DIRECTOR | NA | Control |
| TEAGUE, PATRICIA, MAE | I | DIRECTOR | NA | Control |
| TEAGUE, PATRICIA, MAE | I | DIRECTOR | NA | Control |
| URBANCZYK, ROSE, MARIE | I | SENIOR FINANCIAL OFFICER AND TREASURER | NA | Control |
| URBANCZYK, ROSE, MARIE | I | SENIOR FINANCIAL OFFICER AND TREASURER | NA | Control |
| URBANCZYK, ROSE, MARIE | I | SENIOR FINANCIAL OFFICER AND TREASURER | NA | Control |
| URBANCZYK, ROSE, MARIE | I | SENIOR FINANCIAL OFFICER AND TREASURER | NA | Control |
| URBANCZYK, ROSE, MARIE | I | SENIOR FINANCIAL OFFICER AND TREASURER | NA | Control |
| URBANCZYK, ROSE, MARIE | I | SENIOR FINANCIAL OFFICER AND TREASURER | NA | Control |
| URBANCZYK, ROSE, MARIE | I | SENIOR FINANCIAL OFFICER AND TREASURER | NA | Control |
| URBANCZYK, ROSE, MARIE | I | VP, TREASURER | NA | Control |
| URBANCZYK, ROSE, MARIE | I | VP, TREASURER | NA | Control |
| URBANCZYK, ROSE, MARIE | I | VP, TREASURER | NA | Control |
| URBANCZYK, ROSE, MARIE | I | VP, TREASURER | NA | Control |
| URBANCZYK, ROSE, MARIE | I | VP, TREASURER | NA | Control |
| URBANCZYK, ROSE, MARIE | I | VP, TREASURER | NA | Control |
| URBANCZYK, ROSE, MARIE | I | VP, TREASURER | NA | Control |
| URBANCZYK, ROSE, MARIE | I | VP, TREASURER | NA | Control |
| URBANCZYK, ROSE, MARIE | I | VP, TREASURER | NA | Control |
| URBANCZYK, ROSE, MARIE | I | VP, TREASURER | NA | Control |
| URBANCZYK, ROSE, MARIE | I | VP, TREASURER | NA | Control |
| WARREN, CHRISTINE, JOYCE | I | AVP, SECRETARY | NA | Control |
| WARREN, CHRISTINE, JOYCE | I | AVP, SECRETARY | NA | Control |
| WARREN, CHRISTINE, JOYCE | I | AVP, ASSISTANT SECRETARY | NA | Control |
| WARREN, CHRISTINE, JOYCE | I | AVP, SECRETARY | NA | Control |
| WARREN, CHRISTINE, JOYCE | I | AVP, SECRETARY | NA | Control |
| WHETZEL, JAMES, GARVIN | I | DIRECTOR | NA | Control |
| WHETZEL, JAMES, GARVIN | I | DIRECTOR | NA | Control |
| WHETZEL, JAMES, GARVIN | I | DIRECTOR | NA | Control |
| WILLIAMS, TIMOTHY, DAVID | I | VP | NA | Control |
| WILLIAMS, TIMOTHY, DAVID | I | VP | NA | Control |
| WILLIAMS, TIMOTHY, DAVID | I | VP | NA | Control |
| WILLIAMS, TIMOTHY, DAVID | I | VP | NA | Control |
| WINN, HOLLIS, KEITH | I | SVP | NA | Control |
| WINN, HOLLIS, KEITH | I | SVP | NA | Control |
| WINN, HOLLIS, KEITH | I | SVP | NA | Control |
| WINN, HOLLIS, KEITH | I | SVP | NA | Control |
| WINN, HOLLIS, KEITH | I | SVP | NA | Control |
| WINN, HOLLIS, KEITH | I | SVP | NA | Control |
| WINN, HOLLIS, KEITH | I | SVP | NA | Control |
| WINN, HOLLIS, KEITH | I | SVP | NA | Control |
| WINN, HOLLIS, KEITH | I | SVP | NA | Control |
| WINN, HOLLIS, KEITH | I | SVP | NA | Control |
| WINN, HOLLIS, KEITH | I | SVP | NA | Control |
| UNITED SERVICES AUTOMOBILE ASSOCIATION | DE | SHAREHOLDER | E | Control |
| UNITED SERVICES AUTOMOBILE ASSOCIATION | DE | SHAREHOLDER | E | Control |
| UNITED SERVICES AUTOMOBILE ASSOCIATION | DE | SHAREHOLDER | E | Control |
| UNITED SERVICES AUTOMOBILE ASSOCIATION | DE | SHAREHOLDER | E | Control |
| UNITED SERVICES AUTOMOBILE ASSOCIATION | DE | SHAREHOLDER | E | Control |
| UNITED SERVICES AUTOMOBILE ASSOCIATION | DE | SHAREHOLDER | E | Control |
| UNITED SERVICES AUTOMOBILE ASSOCIATION | DE | SHAREHOLDER | E | Control |
| UNITED SERVICES AUTOMOBILE ASSOCIATION | DE | SHAREHOLDER | E | Control |
| UNITED SERVICES AUTOMOBILE ASSOCIATION | DE | SHAREHOLDER | E | Control |
| UNITED SERVICES AUTOMOBILE ASSOCIATION | DE | SHAREHOLDER | E | Control |
| UNITED SERVICES AUTOMOBILE ASSOCIATION | DE | SHAREHOLDER | E | Control |
| UNITED SERVICES AUTOMOBILE ASSOCIATION | DE | SHAREHOLDER | E | Control |
| UNITED SERVICES AUTOMOBILE ASSOCIATION | DE | SHAREHOLDER | E | Control |
| UNITED SERVICES AUTOMOBILE ASSOCIATION | DE | SHAREHOLDER | E | Control |
| UNITED SERVICES AUTOMOBILE ASSOCIATION | DE | SHAREHOLDER | E | Control |
| UNITED SERVICES AUTOMOBILE ASSOCIATION | DE | SHAREHOLDER | E | Control |
| UNITED SERVICES AUTOMOBILE ASSOCIATION | DE | SHAREHOLDER | E | Control |
| UNITED SERVICES AUTOMOBILE ASSOCIATION | DE | SHAREHOLDER | E | Control |
| UNITED SERVICES AUTOMOBILE ASSOCIATION | DE | SHAREHOLDER | E | Control |
| UNITED SERVICES AUTOMOBILE ASSOCIATION | DE | SHAREHOLDER | E | Control |
| UNITED SERVICES AUTOMOBILE ASSOCIATION | DE | SHAREHOLDER | E | Control |
| UNITED SERVICES AUTOMOBILE ASSOCIATION | DE | SHAREHOLDER | E | Control |
| USAA CAPITAL CORPORATION (PARENT OF USAA FINANCIAL PLANNING NETWORK, INC.) | DE | SHAREHOLDER | E | Control |
| USAA CAPITAL CORPORATION (PARENT OF USAA FINANCIAL PLANNING NETWORK, INC.) | DE | SHAREHOLDER | E | Control |
| USAA CAPITAL CORPORATION (PARENT OF USAA FINANCIAL PLANNING NETWORK, INC.) | DE | SHAREHOLDER | E | Control |
| USAA CAPITAL CORPORATION (PARENT OF USAA FINANCIAL PLANNING NETWORK, INC.) | DE | SHAREHOLDER | E | Control |
| USAA CAPITAL CORPORATION (PARENT OF USAA FINANCIAL PLANNING NETWORK, INC.) | DE | SHAREHOLDER | E | Control |
| USAA CAPITAL CORPORATION (PARENT OF USAA FINANCIAL PLANNING SERVICES INSURANCE AGENCY, INC.) | DE | SHAREHOLDER | E | Control |
| USAA CAPITAL CORPORATION (PARENT OF USAA FINANCIAL PLANNING SERVICES INSURANCE AGENCY, INC.) | DE | SHAREHOLDER | E | Control |
| USAA CAPITAL CORPORATION (PARENT OF USAA FINANCIAL PLANNING SERVICES INSURANCE AGENCY, INC.) | DE | SHAREHOLDER | E | Control |
| USAA CAPITAL CORPORATION (PARENT OF USAA FINANCIAL PLANNING SERVICES INSURANCE AGENCY, INC.) | DE | SHAREHOLDER | E | Control |
| USAA CAPITAL CORPORATION (PARENT OF USAA FINANCIAL PLANNING SERVICES INSURANCE AGENCY, INC.) | DE | SHAREHOLDER | E | Control |
| USAA CAPITAL CORPORATION (PARENT OF USAA FINANCIAL PLANNING SERVICES INSURANCE AGENCY, INC.) | DE | SHAREHOLDER | E | Control |
| USAA CAPITAL CORPORATION (PARENT OF USAA FINANCIAL PLANNING SERVICES INSURANCE AGENCY, INC.) | DE | SHAREHOLDER | E | Control |
| USAA CAPITAL CORPORATION (PARENT OF USAA FINANCIAL PLANNING SERVICES INSURANCE AGENCY, INC.) | DE | SHAREHOLDER | E | Control |
| USAA CAPITAL CORPORATION (PARENT OF USAA FINANCIAL PLANNING SERVICES INSURANCE AGENCY, INC.) | DE | SHAREHOLDER | E | Control |
| USAA CAPITAL CORPORATION (PARENT OF USAA FINANCIAL PLANNING SERVICES INSURANCE AGENCY, INC.) | DE | SHAREHOLDER | E | Control |
| USAA CAPITAL CORPORATION (PARENT OF USAA FINANCIAL PLANNING SERVICES INSURANCE AGENCY, INC.) | DE | SHAREHOLDER | E | Control |
| USAA CAPITAL CORPORATION (PARENT OF USAA FINANCIAL PLANNING SERVICES INSURANCE AGENCY, INC.) | DE | SHAREHOLDER | E | Control |
| USAA CAPITAL CORPORATION (PARENT OF USAA FINANCIAL PLANNING SERVICES INSURANCE AGENCY, INC.) | DE | SHAREHOLDER | E | Control |
| USAA CAPITAL CORPORATION (PARENT OF USAA FINANCIAL PLANNING SERVICES INSURANCE AGENCY, INC.) | DE | SHAREHOLDER | E | Control |
| USAA CAPITAL CORPORATION (PARENT OF USAA FINANCIAL PLANNING SERVICES INSURANCE AGENCY, INC.) | DE | SHAREHOLDER | E | Control |
| USAA CAPITAL CORPORATION (PARENT OF USAA FINANCIAL PLANNING SERVICES INSURANCE AGENCY, INC.) | DE | SHAREHOLDER | E | Control |
| USAA CAPITAL CORPORATION (PARENT OF USAA FINANCIAL PLANNING SERVICES INSURANCE AGENCY, INC.) | DE | SHAREHOLDER | E | Control |
| USAA CAPITAL CORPORATION (PARENT OF USAA FINANCIAL PLANNING SERVICES INSURANCE AGENCY, INC.) | DE | SHAREHOLDER | E | Control |
| USAA CAPITAL CORPORATION (PARENT OF USAA FINANCIAL PLANNING SERVICES INSURANCE AGENCY, INC.) | DE | SHAREHOLDER | E | Control |
| USAA CAPITAL CORPORATION (PARENT OF USAA FINANCIAL PLANNING SERVICES INSURANCE AGENCY, INC.) | DE | SHAREHOLDER | E | Control |
| USAA CAPITAL CORPORATION (PARENT OF USAA FINANCIAL PLANNING SERVICES INSURANCE AGENCY, INC.) | DE | SHAREHOLDER | E | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| UNITED SERVICES AUTOMOBILE ASSOCIATION | DE | USAA CAPITAL CORPORATION | E | Control |
| UNITED SERVICES AUTOMOBILE ASSOCIATION | DE | USAA CAPITAL CORPORATION | E | Control |
| UNITED SERVICES AUTOMOBILE ASSOCIATION | DE | USAA CAPITAL CORPORATION | E | Control |
| UNITED SERVICES AUTOMOBILE ASSOCIATION | DE | USAA CAPITAL CORPORATION | E | Control |
| UNITED SERVICES AUTOMOBILE ASSOCIATION | DE | USAA CAPITAL CORPORATION | E | Control |
| UNITED SERVICES AUTOMOBILE ASSOCIATION | DE | USAA CAPITAL CORPORATION | E | Control |
| UNITED SERVICES AUTOMOBILE ASSOCIATION | DE | USAA CAPITAL CORPORATION | E | Control |
| UNITED SERVICES AUTOMOBILE ASSOCIATION | DE | USAA CAPITAL CORPORATION | E | Control |
| UNITED SERVICES AUTOMOBILE ASSOCIATION | DE | USAA CAPITAL CORPORATION | E | Control |
| UNITED SERVICES AUTOMOBILE ASSOCIATION | DE | USAA CAPITAL CORPORATION | E | Control |
| UNITED SERVICES AUTOMOBILE ASSOCIATION | DE | USAA CAPITAL CORPORATION | E | Control |
| UNITED SERVICES AUTOMOBILE ASSOCIATION | DE | USAA CAPITAL CORPORATION | E | Control |
| UNITED SERVICES AUTOMOBILE ASSOCIATION | DE | USAA CAPITAL CORPORATION | E | Control |
| UNITED SERVICES AUTOMOBILE ASSOCIATION | DE | USAA CAPITAL CORPORATION | E | Control |
| UNITED SERVICES AUTOMOBILE ASSOCIATION | DE | USAA CAPITAL CORPORATION | E | Control |
| UNITED SERVICES AUTOMOBILE ASSOCIATION | DE | USAA CAPITAL CORPORATION | E | Control |
| UNITED SERVICES AUTOMOBILE ASSOCIATION | DE | USAA CAPITAL CORPORATION | E | Control |
| UNITED SERVICES AUTOMOBILE ASSOCIATION | DE | USAA CAPITAL CORPORATION | E | Control |
| UNITED SERVICES AUTOMOBILE ASSOCIATION | DE | USAA CAPITAL CORPORATION | E | Control |
| UNITED SERVICES AUTOMOBILE ASSOCIATION | DE | USAA CAPITAL CORPORATION | E | Control |
| UNITED SERVICES AUTOMOBILE ASSOCIATION | DE | USAA CAPITAL CORPORATION | E | Control |
| UNITED SERVICES AUTOMOBILE ASSOCIATION | DE | USAA CAPITAL CORPORATION | E | Control |
| UNITED SERVICES AUTOMOBILE ASSOCIATION | DE | USAA CAPITAL CORPORATION | E | Control |
| UNITED SERVICES AUTOMOBILE ASSOCIATION | DE | USAA CAPITAL CORPORATION | E | Control |
| UNITED SERVICES AUTOMOBILE ASSOCIATION | DE | USAA CAPITAL CORPORATION | E | Control |
| UNITED SERVICES AUTOMOBILE ASSOCIATION | DE | USAA CAPITAL CORPORATION | E | Control |
Registrations
Federal
IA
Jul 19, 2017 REGISTERED
Notice Filings (52)
AK AL AR AZ CA CO CT DC DE FL GA HI IA ID IL IN KS KY LA MA MD ME MI MN MO MS MT NC ND NE NH NJ NM NV NY OH OK OR PA PR RI SC SD TN TX UT VA VI VT WA WI WV
Address
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