BFC PLANNING, INC.
CRD #119682 SEC #801-67427 CEDAR RAPIDS, IA 319-447-5700
SEC Registered
Total AUM
$2B
Discretionary
$1.3B
Employees
200
Clients
101
Accounts
8,756
Firm Details
- Organization Type
- Corporation
- State of Formation
- Iowa
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Mar 26, 2025
- Branch Offices
- 135
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| BERTHEL, THOMAS, JOSEPH | I | PRESIDENT/CEO | NA | Control |
| BERTHEL, THOMAS, JOSEPH | I | CEO | NA | Control |
| BERTHEL, THOMAS, JOSEPH | I | CEO | NA | Control |
| BERTHEL, THOMAS, JOSEPH | I | CEO | NA | Control |
| BERTHEL, THOMAS, JOSEPH | I | CEO | NA | Control |
| BERTHEL, THOMAS, JOSEPH | I | CEO | NA | Control |
| BERTHEL, THOMAS, JOSEPH | I | CEO | NA | Control |
| BERTHEL, THOMAS, JOSEPH | I | CEO | NA | Control |
| BERTHEL, THOMAS, JOSEPH | I | CEO | NA | Control |
| BERTHEL, THOMAS, JOSEPH | I | CEO | NA | Control |
| BERTHEL, THOMAS, JOSEPH | I | PRESIDENT/CEO | NA | Control |
| BERTHEL, THOMAS, JOSEPH | I | PRESIDENT/CEO | NA | Control |
| BERTHEL, THOMAS, JOSEPH | I | PRESIDENT/CEO | NA | Control |
| BERTHEL, THOMAS, JOSEPH | I | CEO | NA | Control |
| BERTHEL, THOMAS, JOSEPH | I | CEO | NA | Control |
| BERTHEL, THOMAS, JOSEPH | I | CEO | NA | Control |
| BERTHEL, THOMAS, JOSEPH | I | CEO | NA | Control |
| BERTHEL, THOMAS, JOSEPH | I | CEO | NA | Control |
| BERTHEL, THOMAS, JOSEPH | I | CEO | NA | Control |
| BERTHEL, THOMAS, JOSEPH | I | CEO | NA | Control |
| BERTHEL, THOMAS, JOSEPH | I | CEO | NA | Control |
| BERTHEL, THOMAS, JOSEPH | I | CEO | NA | Control |
| BERTHEL, THOMAS, JOSEPH | I | CEO | NA | Control |
| BERTHEL, THOMAS, JOSEPH | I | CEO | NA | Control |
| BERTHEL, THOMAS, JOSEPH | I | CEO | NA | Control |
| BERTHEL, THOMAS, JOSEPH | I | CEO | NA | Control |
| BERTHEL, THOMAS, JOSEPH | I | CEO | NA | Control |
| BERTHEL, THOMAS, JOSEPH | I | CEO | NA | Control |
| BERTHEL, THOMAS, JOSEPH | I | CEO | NA | Control |
| BERTHEL, THOMAS, JOSEPH | I | CEO | NA | Control |
| BERTHEL, THOMAS, JOSEPH | I | CEO | NA | Control |
| BERTHEL, THOMAS, JOSEPH | I | CEO | NA | Control |
| BERTHEL, THOMAS, JOSEPH | I | CEO | NA | Control |
| BERTHEL, THOMAS, JOSEPH | I | CEO | NA | Control |
| BERTHEL, THOMAS, JOSEPH | I | CEO | NA | Control |
| BERTHEL, THOMAS, JOSEPH | I | CEO | NA | Control |
| BERTHEL, THOMAS, JOSEPH | I | CEO | NA | Control |
| BERTHEL, THOMAS, JOSEPH | I | CEO | NA | Control |
| BERTHEL, THOMAS, JOSEPH | I | CEO | NA | Control |
| BERTHEL, THOMAS, JOSEPH | I | CEO | NA | Control |
| BERTHEL, THOMAS, JOSEPH | I | CEO | NA | Control |
| BERTHEL, THOMAS, JOSEPH | I | CEO | NA | Control |
| BERTHEL, THOMAS, JOSEPH | I | CEO | NA | Control |
| BERTHEL, THOMAS, JOSEPH | I | CEO | NA | Control |
| BERTHEL, THOMAS, JOSEPH | I | CEO | NA | Control |
| BERTHEL, THOMAS, JOSEPH | I | CEO | NA | Control |
| BERTHEL, THOMAS, JOSEPH | I | CEO | NA | Control |
| BERTHEL, THOMAS, JOSEPH | I | CEO | NA | Control |
| BERTHEL, THOMAS, JOSEPH | I | CEO | NA | Control |
| BERTHEL, THOMAS, JOSEPH | I | CEO | NA | Control |
| BERTHEL, THOMAS, JOSEPH | I | CEO/PRESIDENT/CHAIRMAN OF BOARD | NA | Control |
| BERTHEL, THOMAS, JOSEPH | I | CEO | NA | Control |
| BERTHEL, THOMAS, JOSEPH | I | CEO/PRESIDENT/CHAIRMAN OF BOARD | NA | Control |
| BERTHEL, THOMAS, JOSEPH | I | CEO/PRESIDENT/CHAIRMAN OF BOARD | NA | Control |
| BERTHEL, THOMAS, JOSEPH | I | CEO | NA | Control |
| BERTHEL, THOMAS, JOSEPH | I | CEO/PRESIDENT/CHAIRMAN OF BOARD | NA | Control |
| BERTHEL, THOMAS, JOSEPH | I | CEO/PRESIDENT/CHAIRMAN OF BOARD | NA | Control |
| BERTHEL, THOMAS, JOSEPH | I | CEO/PRESIDENT/CHAIRMAN OF BOARD | NA | Control |
| BERTHEL, THOMAS, JOSEPH | I | CEO/PRESIDENT/CHAIRMAN OF BOARD | NA | Control |
| BERTHEL, THOMAS, JOSEPH | I | CEO/PRESIDENT/CHAIRMAN OF BOARD | NA | Control |
| BERTHEL, THOMAS, JOSEPH | I | CEO/PRESIDENT/CHAIRMAN OF BOARD | NA | Control |
| BERTHEL, THOMAS, JOSEPH | I | CEO/PRESIDENT/CHAIRMAN OF BOARD | NA | Control |
| BERTHEL, THOMAS, JOSEPH | I | CEO/PRESIDENT/CHAIRMAN OF BOARD | NA | Control |
| BERTHEL, THOMAS, JOSEPH | I | CEO/PRESIDENT/CHAIRMAN OF BOARD | NA | Control |
| BERTHEL, THOMAS, JOSEPH | I | CEO/PRESIDENT/CHAIRMAN OF BOARD | NA | Control |
| BERTHEL, THOMAS, JOSEPH | I | CEO/PRESIDENT/CHAIRMAN OF BOARD | NA | Control |
| BERTHEL, THOMAS, JOSEPH | I | CEO/PRESIDENT/CHAIRMAN OF BOARD | NA | Control |
| BERTHEL, THOMAS, JOSEPH | I | CEO/PRESIDENT/CHAIRMAN OF BOARD | NA | Control |
| BERTHEL, THOMAS, JOSEPH | I | CEO/PRESIDENT/CHAIRMAN OF BOARD | NA | Control |
| BERTHEL, THOMAS, JOSEPH | I | CEO/PRESIDENT/CHAIRMAN OF BOARD | NA | Control |
| BERTHEL, THOMAS, JOSEPH | I | CEO/PRESIDENT/CHAIRMAN OF BOARD | NA | Control |
| BERTHEL, THOMAS, JOSEPH | I | CEO/PRESIDENT/CHAIRMAN OF BOARD | NA | Control |
| BERTHEL, THOMAS, JOSEPH | I | CEO/PRESIDENT/CHAIRMAN OF BOARD | NA | Control |
| BERTHEL, THOMAS, JOSEPH | I | CEO/PRESIDENT/CHAIRMAN OF BOARD | NA | Control |
| BERTHEL, THOMAS, JOSEPH | I | CEO/PRESIDENT/CHAIRMAN OF BOARD | NA | Control |
| BERTHEL, THOMAS, JOSEPH | I | CEO/PRESIDENT/CHAIRMAN OF BOARD | NA | Control |
| BERTHEL, THOMAS, JOSEPH | I | CEO/PRESIDENT/CHAIRMAN OF BOARD | NA | Control |
| BERTHEL, THOMAS, JOSEPH | I | CEO/PRESIDENT/CHAIRMAN OF BOARD | NA | Control |
| BERTHEL, THOMAS, JOSEPH | I | CHAIRMAN OF BOARD | NA | Control |
| BERTHEL, THOMAS, JOSEPH | I | CHAIRMAN OF BOARD | NA | Control |
| BRENDENGEN, RONALD, ODIN | I | TREASURER/CFO | NA | Control |
| BRENDENGEN, RONALD, ODIN | I | TREASURER/CFO | NA | Control |
| BRENDENGEN, RONALD, ODIN | I | TREASURER/CFO | NA | Control |
| BRENDENGEN, RONALD, ODIN | I | TREASURER/CFO | NA | Control |
| BRENDENGEN, RONALD, ODIN | I | TREASURER/CFO | NA | Control |
| BRENDENGEN, RONALD, ODIN | I | TREASURER/CFO | NA | Control |
| BRENDENGEN, RONALD, ODIN | I | TREASURER/CFO | NA | Control |
| BRENDENGEN, RONALD, ODIN | I | TREASURER/CFO | NA | Control |
| BRENDENGEN, RONALD, ODIN | I | TREASURER/CFO | NA | Control |
| BRENDENGEN, RONALD, ODIN | I | TREASURER/CFO | NA | Control |
| BRENDENGEN, RONALD, ODIN | I | TREASURER/CFO | NA | Control |
| BRENDENGEN, RONALD, ODIN | I | TREASURER/CFO | NA | Control |
| BRENDENGEN, RONALD, ODIN | I | TREASURER/CFO | NA | Control |
| BRENDENGEN, RONALD, ODIN | I | TREASURER/C00 | NA | Control |
| BRENDENGEN, RONALD, ODIN | I | TREASURER/C00 | NA | Control |
| BRENDENGEN, RONALD, ODIN | I | TREASURER/C00 | NA | Control |
| BRENDENGEN, RONALD, ODIN | I | TREASURER/C00 | NA | Control |
| BRENDENGEN, RONALD, ODIN | I | TREASURER/C00 | NA | Control |
| BRENDENGEN, RONALD, ODIN | I | TREASURER/C00 | NA | Control |
| BRENDENGEN, RONALD, ODIN | I | TREASURER/C00 | NA | Control |
| BRENDENGEN, RONALD, ODIN | I | TREASURER/C00 | NA | Control |
| BRENDENGEN, RONALD, ODIN | I | TREASURER/C00 | NA | Control |
| BRENDENGEN, RONALD, ODIN | I | TREASURER/C00 | NA | Control |
| BRENDENGEN, RONALD, ODIN | I | TREASURER/C00 | NA | Control |
| BRENDENGEN, RONALD, ODIN | I | TREASURER/C00 | NA | Control |
| BRENDENGEN, RONALD, ODIN | I | TREASURER/CFO | NA | Control |
| BRENDENGEN, RONALD, ODIN | I | TREASURER/C00 | NA | Control |
| BRENDENGEN, RONALD, ODIN | I | TREASURER/C00 | NA | Control |
| BRENDENGEN, RONALD, ODIN | I | TREASURER/C00 | NA | Control |
| BRENDENGEN, RONALD, ODIN | I | TREASURER/C00 | NA | Control |
| BRENDENGEN, RONALD, ODIN | I | TREASURER/C00 | NA | Control |
| BRENDENGEN, RONALD, ODIN | I | TREASURER/C00 | NA | Control |
| BRENDENGEN, RONALD, ODIN | I | TREASURER/C00 | NA | Control |
| BRENDENGEN, RONALD, ODIN | I | TREASURER/C00 | NA | Control |
| BRENDENGEN, RONALD, ODIN | I | TREASURER/C00 | NA | Control |
| BRENDENGEN, RONALD, ODIN | I | TREASURER/C00 | NA | Control |
| BRENDENGEN, RONALD, ODIN | I | TREASURER/CFO | NA | Control |
| BRENDENGEN, RONALD, ODIN | I | TREASURER/CFO | NA | Control |
| BRENDENGEN, RONALD, ODIN | I | TREASURER/C00 | NA | Control |
| BRENDENGEN, RONALD, ODIN | I | TREASURER/C00 | NA | Control |
| BRENDENGEN, RONALD, ODIN | I | TREASURER/C00 | NA | Control |
| BRENDENGEN, RONALD, ODIN | I | TREASURER/CFO | NA | Control |
| BRENDENGEN, RONALD, ODIN | I | TREASURER/CFO | NA | Control |
| BRENDENGEN, RONALD, ODIN | I | TREASURER/C00 | NA | Control |
| BRENDENGEN, RONALD, ODIN | I | TREASURER/C00 | NA | Control |
| BRENDENGEN, RONALD, ODIN | I | TREASURER/C00 | NA | Control |
| BRENDENGEN, RONALD, ODIN | I | TREASURER/C00 | NA | Control |
| BRENDENGEN, RONALD, ODIN | I | TREASURER/C00 | NA | Control |
| BRENDENGEN, RONALD, ODIN | I | TREASURER/C00 | NA | Control |
| BRENDENGEN, RONALD, ODIN | I | TREASURER/C00 | NA | Control |
| BRENDENGEN, RONALD, ODIN | I | TREASURER/CFO | NA | Control |
| BRENDENGEN, RONALD, ODIN | I | TREASURER/CFO | NA | Control |
| BRENDENGEN, RONALD, ODIN | I | TREASURER/CFO | NA | Control |
| BRENDENGEN, RONALD, ODIN | I | TREASURER/CFO | NA | Control |
| BRENDENGEN, RONALD, ODIN | I | TREASURER/CFO | NA | Control |
| BRENDENGEN, RONALD, ODIN | I | TREASURER/CFO | NA | Control |
| BRENDENGEN, RONALD, ODIN | I | TREASURER/CFO | NA | Control |
| BRENDENGEN, RONALD, ODIN | I | TREASURER/CFO | NA | Control |
| BRENDENGEN, RONALD, ODIN | I | TREASURER/CFO | NA | Control |
| BRENDENGEN, RONALD, ODIN | I | TREASURER/CFO | NA | Control |
| BRENDENGEN, RONALD, ODIN | I | TREASURER/CFO | NA | Control |
| BRENDENGEN, RONALD, ODIN | I | TREASURER/CFO | NA | Control |
| BRENDENGEN, RONALD, ODIN | I | TREASURER/CFO | NA | Control |
| BRENDENGEN, RONALD, ODIN | I | TREASURER/CFO | NA | Control |
| BRENDENGEN, RONALD, ODIN | I | TREASURER/CFO | NA | Control |
| BRENDENGEN, RONALD, ODIN | I | TREASURER/CFO | NA | Control |
| BRENDENGEN, RONALD, ODIN | I | TREASURER/CFO | NA | Control |
| Burke, Erin, Kathleen | I | CHIEF COMPLIANCE OFFICER AND RISK OFFICER | NA | Control |
| Burke, Erin, Kathleen | I | CHIEF COMPLIANCE OFFICER AND RISK OFFICER | NA | Control |
| Burke, Erin, Kathleen | I | CHIEF COMPLIANCE OFFICER AND RISK OFFICER | NA | Control |
| Burke, Erin, Kathleen | I | CHIEF COMPLIANCE OFFICER AND RISK OFFICER | NA | Control |
| Burke, Erin, Kathleen | I | CHIEF COMPLIANCE OFFICER AND RISK OFFICER | NA | Control |
| Burke, Erin, Kathleen | I | CHIEF COMPLIANCE OFFICER AND RISK OFFICER | NA | Control |
| Burke, Erin, Kathleen | I | CHIEF COMPLIANCE OFFICER AND RISK OFFICER | NA | Control |
| CHAPMAN, KIMBERLY, KAREN EARLY | I | CHIEF COMPLIANCE OFFICER | NA | |
| CHAPMAN, KIMBERLY, KAREN EARLY | I | CHIEF COMPLIANCE OFFICER | NA | |
| CHAPMAN, KIMBERLY, KAREN EARLY | I | CHIEF COMPLIANCE OFFICER | NA | |
| CHAPMAN, KIMBERLY, KAREN EARLY | I | CHIEF COMPLIANCE OFFICER | NA | |
| CHAPMAN, KIMBERLY, KAREN EARLY | I | CHIEF COMPLIANCE OFFICER | NA | |
| CHAPMAN, KIMBERLY, KAREN EARLY | I | CHIEF COMPLIANCE OFFICER | NA | |
| CHAPMAN, KIMBERLY, KAREN EARLY | I | CHIEF COMPLIANCE OFFICER | NA | |
| CHAPMAN, KIMBERLY, KAREN EARLY | I | CHIEF COMPLIANCE OFFICER | NA | |
| CHAPMAN, KIMBERLY, KAREN EARLY | I | CHIEF COMPLIANCE OFFICER | NA | |
| CHAPMAN, KIMBERLY, KAREN EARLY | I | CHIEF COMPLIANCE OFFICER | NA | |
| CHAPMAN, KIMBERLY, KAREN EARLY | I | CHIEF COMPLIANCE OFFICER | NA | |
| CHAPMAN, KIMBERLY, KAREN EARLY | I | CHIEF COMPLIANCE OFFICER | NA | |
| CHRISTOFFERSON, ANDREW, JAMES | I | SVP BUSINESS DEVELOPMENT | NA | Control |
| CHRISTOFFERSON, ANDREW, JAMES | I | CHIEF BUSINESS DEVELOPMENT OFFICER | NA | Control |
| CHRISTOFFERSON, ANDREW, JAMES | I | CHIEF BUSINESS DEVELOPMENT OFFICER | NA | Control |
| CHRISTOFFERSON, ANDREW, JAMES | I | CHIEF BUSINESS DEVELOPMENT OFFICER | NA | Control |
| CHRISTOFFERSON, ANDREW, JAMES | I | CHIEF BUSINESS DEVELOPMENT OFFICER | NA | Control |
| CHRISTOFFERSON, ANDREW, JAMES | I | CHIEF BUSINESS DEVELOPMENT OFFICER | NA | Control |
| CHRISTOFFERSON, ANDREW, JAMES | I | CHIEF BUSINESS DEVELOPMENT OFFICER | NA | Control |
| CHRISTOFFERSON, ANDREW, JAMES | I | CHIEF BUSINESS DEVELOPMENT OFFICER | NA | Control |
| CHRISTOFFERSON, ANDREW, JAMES | I | CHIEF OPERATING OFFICE (A/O 03/2019), CHIEF COMPLIANCE OFFICER (A/0 07/2019) | NA | Control |
| CHRISTOFFERSON, ANDREW, JAMES | I | CHIEF OPERATING OFFICE (A/O 03/2019), CHIEF COMPLIANCE OFFICER (A/0 07/2019) | NA | Control |
| CHRISTOFFERSON, ANDREW, JAMES | I | CHIEF BUSINESS DEVELOPMENT OFFICER | NA | Control |
| CHRISTOFFERSON, ANDREW, JAMES | I | CHIEF BUSINESS DEVELOPMENT OFFICER | NA | Control |
| CHRISTOFFERSON, ANDREW, JAMES | I | CHIEF OPERATING OFFICER (A/O 03/2019), CHIEF COMPLIANCE OFFICER (A/0 07/2019) | NA | Control |
| CHRISTOFFERSON, ANDREW, JAMES | I | CHIEF OPERATING OFFICE (A/O 03/2019), CHIEF COMPLIANCE OFFICER (A/0 07/2019) | NA | Control |
| CHRISTOFFERSON, ANDREW, JAMES | I | CHIEF OPERATING OFFICER (A/O 03/2019), CHIEF COMPLIANCE OFFICER (A/0 07/2019) | NA | Control |
| CHRISTOFFERSON, ANDREW, JAMES | I | CHIEF OPERATING OFFICER (A/O 03/2019), CHIEF COMPLIANCE OFFICER (A/0 07/2019) | NA | Control |
| CHRISTOFFERSON, ANDREW, JAMES | I | CHIEF OPERATING OFFICER (A/O 03/2019) | NA | Control |
| CHRISTOFFERSON, ANDREW, JAMES | I | CHIEF OPERATING OFFICER (A/O 03/2019), CHIEF COMPLIANCE OFFICER (A/0 07/2019) | NA | Control |
| CHRISTOFFERSON, ANDREW, JAMES | I | CHIEF OPERATING OFFICER (A/O 03/2019) | NA | Control |
| CHRISTOFFERSON, ANDREW, JAMES | I | CHIEF OPERATING OFFICER (A/O 03/2019) | NA | Control |
| CHRISTOFFERSON, ANDREW, JAMES | I | CHIEF OPERATING OFFICER (A/O 03/2019), CHIEF COMPLIANCE OFFICER (A/0 07/2019) | NA | Control |
| CHRISTOFFERSON, ANDREW, JAMES | I | CHIEF OPERATING OFFICER (A/O 03/2019), CHIEF COMPLIANCE OFFICER (A/0 07/2019) | NA | Control |
| CHRISTOFFERSON, ANDREW, JAMES | I | CHIEF OPERATING OFFICER (A/O 03/2019) | NA | Control |
| CHRISTOFFERSON, ANDREW, JAMES | I | CHIEF OPERATING OFFICER (A/O 03/2019) | NA | Control |
| CHRISTOFFERSON, ANDREW, JAMES | I | CHIEF OPERATING OFFICER (A/O 03/2019) | NA | Control |
| CHRISTOFFERSON, ANDREW, JAMES | I | CHIEF OPERATING OFFICER (A/O 03/2019) | NA | Control |
| CHRISTOFFERSON, ANDREW, JAMES | I | CHIEF OPERATING OFFICER (A/O 03/2019) | NA | Control |
| CHRISTOFFERSON, ANDREW, JAMES | I | CHIEF OPERATING OFFICER (A/O 03/2019) | NA | Control |
| CHRISTOFFERSON, ANDREW, JAMES | I | CHIEF OPERATING OFFICER (A/O 03/2019) | NA | Control |
| CHRISTOFFERSON, ANDREW, JAMES | I | CHIEF EXECUTIVE OFFICER/PRESIDENT | NA | Control |
| CHRISTOFFERSON, ANDREW, JAMES | I | CHIEF EXECUTIVE OFFICER/PRESIDENT | NA | Control |
| FORD, SUZANNE, LYNN | I | CHIEF COMPLIANCE OFFICER | NA | |
| FORD, SUZANNE, LYNN | I | CHIEF COMPLIANCE OFFICER | NA | |
| HOHN, JAMES, RALPH | I | VP TECHNOLOGY | NA | |
| HOHN, JAMES, RALPH | I | VP TECHNOLOGY | NA | |
| HOHN, JAMES, RALPH | I | VP TECHNOLOGY | NA | |
| HOHN, JAMES, RALPH | I | VP TECHNOLOGY | NA | |
| HOHN, JAMES, RALPH | I | VP TECHNOLOGY | NA | |
| HOHN, JAMES, RALPH | I | VP TECHNOLOGY | NA | |
| HOHN, JAMES, RALPH | I | VP TECHNOLOGY | NA | |
| HOHN, JAMES, RALPH | I | VP TECHNOLOGY | NA | |
| HOHN, JAMES, RALPH | I | VP TECHNOLOGY | NA | |
| HOHN, JAMES, RALPH | I | VP TECHNOLOGY | NA | |
| HOHN, JAMES, RALPH | I | VP TECHNOLOGY | NA | |
| HOLTZ, LOUISE, DOROTHY | I | ASSISTANT CHIEF CO | NA | |
| HOLTZ, LOUISE, DOROTHY | I | ASSISTANT CHIEF CO | NA | |
| HOLTZ, LOUISE, DOROTHY | I | ASSISTANT CHIEF CO | NA | |
| HOLTZ, LOUISE, DOROTHY | I | ASSISTANT CHIEF CO | NA | |
| Hannah, Steve, Chester | I | CHIEF INFORMATION OFFICER | NA | Control |
| Hannah, Steve, Chester | I | CHIEF INFORMATION OFFICER | NA | Control |
| Hannah, Steve, Chester | I | CHIEF INFORMATION OFFICER | NA | Control |
| Hannah, Steve, Chester | I | CHIEF INFORMATION OFFICER | NA | Control |
| Hannah, Steve, Chester | I | CHIEF INFORMATION OFFICER | NA | Control |
| Hannah, Steve, Chester | I | CHIEF INFORMATION OFFICER | NA | Control |
| Hannah, Steve, Chester | I | CHIEF INFORMATION OFFICER | NA | Control |
| Hannah, Steve, Chester | I | CHIEF INFORMATION OFFICER | NA | Control |
| Hannah, Steve, Chester | I | CHIEF INFORMATION OFFICER | NA | Control |
| Hannah, Steve, Chester | I | CHIEF INFORMATION OFFICER | NA | Control |
| Hannah, Steve, Chester | I | CHIEF INFORMATION OFFICER | NA | Control |
| Hannah, Steve, Chester | I | CHIEF INFORMATION OFFICER | NA | Control |
| Hannah, Steve, Chester | I | CHIEF INFORMATION OFFICER | NA | Control |
| Hannah, Steve, Chester | I | CHIEF INFORMATION OFFICER | NA | Control |
| Hannah, Steve, Chester | I | CHIEF INFORMATION OFFICER | NA | Control |
| Hannah, Steve, Chester | I | CHIEF INFORMATION OFFICER | NA | Control |
| Hannah, Steve, Chester | I | CHIEF INFORMATION OFFICER | NA | Control |
| Peterman, Tobi, Lane | I | VICE PRESIDENT/OPERATIONS | NA | |
| Peterman, Tobi, Lane | I | VICE PRESIDENT/OPERATIONS | NA | |
| Peterman, Tobi, Lane | I | VICE PRESIDENT/OPERATIONS | NA | |
| Peterman, Tobi, Lane | I | VICE PRESIDENT/OPERATIONS | NA | |
| Peterman, Tobi, Lane | I | VICE PRESIDENT/OPERATIONS | NA | |
| Peterman, Tobi, Lane | I | VICE PRESIDENT/OPERATIONS | NA | |
| Peterman, Tobi, Lane | I | VICE PRESIDENT/OPERATIONS | NA | |
| Peterman, Tobi, Lane | I | VICE PRESIDENT/OPERATIONS | NA | |
| Peterman, Tobi, Lane | I | VICE PRESIDENT/OPERATIONS | NA | |
| Peterman, Tobi, Lane | I | VICE PRESIDENT/OPERATIONS | NA | |
| Peterman, Tobi, Lane | I | VICE PRESIDENT/OPERATIONS | NA | |
| Peterman, Tobi, Lane | I | VICE PRESIDENT/OPERATIONS | NA | |
| Peterman, Tobi, Lane | I | VICE PRESIDENT/OPERATIONS | NA | |
| Peterman, Tobi, Lane | I | VICE PRESIDENT/OPERATIONS | NA | |
| Peterman, Tobi, Lane | I | VICE PRESIDENT/OPERATIONS | NA | |
| Peterman, Tobi, Lane | I | VICE PRESIDENT/OPERATIONS | NA | |
| Reeves, Levi, Tyler | I | VICE PRESIDENT OF TRADING & SURVEILLANCE | NA | |
| Reeves, Levi, Tyler | I | VICE PRESIDENT OF TRADING & SURVEILLANCE | NA | |
| Reeves, Levi, Tyler | I | VICE PRESIDENT OF TRADING & SURVEILLANCE | NA | |
| Reeves, Levi, Tyler | I | VICE PRESIDENT OF TRADING & SURVEILLANCE | NA | |
| Reeves, Levi, Tyler | I | VICE PRESIDENT OF TRADING & SURVEILLANCE | NA | |
| Reeves, Levi, Tyler | I | VICE PRESIDENT OF TRADING & SURVEILLANCE | NA | |
| Reeves, Levi, Tyler | I | VICE PRESIDENT OF TRADING & SURVEILLANCE | NA | |
| Rupp, Brian | I | VICE PRESIDENT/CONTROLLER | NA | Control |
| Rupp, Brian | I | VICE PRESIDENT/CONTROLLER | NA | Control |
| Rupp, Brian | I | VICE PRESIDENT/CONTROLLER | NA | Control |
| Rupp, Brian | I | VICE PRESIDENT/CONTROLLER | NA | Control |
| Rupp, Brian | I | VICE PRESIDENT/CONTROLLER | NA | Control |
| Rupp, Brian | I | VICE PRESIDENT/CONTROLLER | NA | Control |
| Rupp, Brian | I | VICE PRESIDENT/CONTROLLER | NA | Control |
| Rupp, Brian | I | VICE PRESIDENT/CONTROLLER | NA | Control |
| Rupp, Brian | I | VICE PRESIDENT/CONTROLLER | NA | Control |
| Rupp, Brian | I | VICE PRESIDENT/CONTROLLER | NA | Control |
| Rupp, Brian | I | VICE PRESIDENT/CONTROLLER | NA | Control |
| Rupp, Brian | I | VICE PRESIDENT/CONTROLLER | NA | Control |
| Rupp, Brian | I | VICE PRESIDENT/CONTROLLER | NA | Control |
| Rupp, Brian | I | VICE PRESIDENT/CONTROLLER | NA | Control |
| Rupp, Brian | I | VICE PRESIDENT/CONTROLLER/TREASURER | NA | Control |
| Rupp, Brian | I | VICE PRESIDENT/CONTROLLER/TREASURER | NA | Control |
| Rupp, Brian | I | VICE PRESIDENT/CONTROLLER | NA | Control |
| Rupp, Brian | I | VICE PRESIDENT/CONTROLLER/TREASURER | NA | Control |
| Rupp, Brian | I | VICE PRESIDENT/CONTROLLER/TREASURER | NA | Control |
| Rupp, Brian | I | VICE PRESIDENT/CONTROLLER | NA | Control |
| Rupp, Brian | I | VICE PRESIDENT/CONTROLLER | NA | Control |
| Rupp, Brian | I | VICE PRESIDENT/CONTROLLER/TREASURER | NA | Control |
| Rupp, Brian | I | VICE PRESIDENT/CONTROLLER/TREASURER | NA | Control |
| Rupp, Brian | I | VICE PRESIDENT/CONTROLLER/TREASURER | NA | Control |
| Rupp, Brian | I | VICE PRESIDENT/CONTROLLER/TREASURER | NA | Control |
| Rupp, Brian | I | VICE PRESIDENT/CONTROLLER/TREASURER | NA | Control |
| Rupp, Brian | I | VICE PRESIDENT/CONTROLLER/TREASURER | NA | Control |
| Rupp, Brian | I | VICE PRESIDENT/CONTROLLER/TREASURER | NA | Control |
| Rupp, Brian | I | VICE PRESIDENT/CONTROLLER/TREASURER | NA | Control |
| Rupp, Brian | I | VICE PRESIDENT/CONTROLLER/TREASURER | NA | Control |
| SCHAUL, JOANNA, MARIE | I | SECRETARY | NA | Control |
| SCHAUL, JOANNA, MARIE | I | SECRETARY | NA | Control |
| SCHAUL, JOANNA, MARIE | I | SECRETARY | NA | Control |
| SCHAUL, JOANNA, MARIE | I | SECRETARY | NA | Control |
| SCHAUL, JOANNA, MARIE | I | SECRETARY | NA | Control |
| SCHAUL, JOANNA, MARIE | I | SECRETARY | NA | Control |
| SCHAUL, JOANNA, MARIE | I | SECRETARY | NA | Control |
| SCHAUL, JOANNA, MARIE | I | SECRETARY | NA | Control |
| SCHAUL, JOANNA, MARIE | I | SECRETARY | NA | Control |
| SCHAUL, JOANNA, MARIE | I | SECRETARY | NA | Control |
| SCHAUL, JOANNA, MARIE | I | SECRETARY | NA | Control |
| SCHAUL, JOANNA, MARIE | I | SECRETARY | NA | Control |
| SCHAUL, JOANNA, MARIE | I | SECRETARY | NA | Control |
| SCHAUL, JOANNA, MARIE | I | SECRETARY | NA | Control |
| SCHAUL, JOANNA, MARIE | I | SECRETARY | NA | Control |
| SCHAUL, JOANNA, MARIE | I | SECRETARY | NA | Control |
| SCHAUL, JOANNA, MARIE | I | SECRETARY | NA | Control |
| SCHAUL, JOANNA, MARIE | I | SECRETARY | NA | Control |
| SCHAUL, JOANNA, MARIE | I | SECRETARY | NA | Control |
| SCHAUL, JOANNA, MARIE | I | SECRETARY | NA | Control |
| SCHAUL, JOANNA, MARIE | I | SECRETARY | NA | Control |
| SCHAUL, JOANNA, MARIE | I | SECRETARY | NA | Control |
| SCHAUL, JOANNA, MARIE | I | SECRETARY | NA | Control |
| SCHAUL, JOANNA, MARIE | I | SECRETARY | NA | Control |
| SCHAUL, JOANNA, MARIE | I | SECRETARY | NA | Control |
| SCHAUL, JOANNA, MARIE | I | SECRETARY | NA | Control |
| SCHAUL, JOANNA, MARIE | I | SECRETARY | NA | Control |
| SCHAUL, JOANNA, MARIE | I | SECRETARY | NA | Control |
| SCHAUL, JOANNA, MARIE | I | SECRETARY | NA | Control |
| SCHAUL, JOANNA, MARIE | I | SECRETARY | NA | Control |
| SCHAUL, JOANNA, MARIE | I | SECRETARY | NA | Control |
| SCHAUL, JOANNA, MARIE | I | SECRETARY | NA | Control |
| SCHAUL, JOANNA, MARIE | I | SECRETARY | NA | Control |
| SCHAUL, JOANNA, MARIE | I | SECRETARY | NA | Control |
| SCHAUL, JOANNA, MARIE | I | SECRETARY | NA | Control |
| SCHAUL, JOANNA, MARIE | I | SECRETARY | NA | Control |
| SCHAUL, JOANNA, MARIE | I | SECRETARY | NA | Control |
| SCHAUL, JOANNA, MARIE | I | SECRETARY | NA | Control |
| SCHAUL, JOANNA, MARIE | I | SECRETARY | NA | Control |
| SMITH, LESLIE, DONALD | I | SECRETARY | NA | Control |
| SMITH, LESLIE, DONALD | I | CHIEF COMPLIANCE OFFICER | NA | |
| SMITH, LESLIE, DONALD | I | SECRETARY | NA | Control |
| SMITH, LESLIE, DONALD | I | SECRETARY | NA | Control |
| SMITH, LESLIE, DONALD | I | SECRETARY | NA | Control |
| SMITH, LESLIE, DONALD | I | SECRETARY | NA | Control |
| SMITH, LESLIE, DONALD | I | SECRETARY | NA | Control |
| SMITH, LESLIE, DONALD | I | SECRETARY | NA | Control |
| SMITH, LESLIE, DONALD | I | SECRETARY | NA | Control |
| SMITH, LESLIE, DONALD | I | SECRETARY | NA | Control |
| SMITH, LESLIE, DONALD | I | SECRETARY | NA | Control |
| SMITH, LESLIE, DONALD | I | SECRETARY | NA | Control |
| SMITH, LESLIE, DONALD | I | CHIEF COMPLIANCE OFFICER | NA | |
| SMITH, LESLIE, DONALD | I | SECRETARY | NA | Control |
| SMITH, LESLIE, DONALD | I | CHIEF COMPLIANCE OFFICER | NA | |
| SMITH, LESLIE, DONALD | I | SECRETARY | NA | Control |
| SMITH, LESLIE, DONALD | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| SMITH, LESLIE, DONALD | I | SECRETARY | NA | Control |
| SMITH, LESLIE, DONALD | I | SECRETARY | NA | Control |
| SMITH, LESLIE, DONALD | I | SECRETARY | NA | Control |
| SMITH, LESLIE, DONALD | I | SECRETARY | NA | Control |
| SMITH, LESLIE, DONALD | I | SECRETARY | NA | Control |
| SMITH, LESLIE, DONALD | I | SECRETARY | NA | Control |
| SMITH, LESLIE, DONALD | I | SECRETARY | NA | Control |
| SMITH, LESLIE, DONALD | I | SECRETARY | NA | Control |
| SMITH, LESLIE, DONALD | I | SECRETARY | NA | Control |
| SMITH, LESLIE, DONALD | I | SECRETARY | NA | Control |
| SMITH, LESLIE, DONALD | I | SECRETARY | NA | Control |
| SMITH, LESLIE, DONALD | I | SECRETARY | NA | Control |
| SMITH, LESLIE, DONALD | I | SECRETARY | NA | Control |
| SMITH, LESLIE, DONALD | I | SECRETARY | NA | Control |
| SMITH, LESLIE, DONALD | I | SECRETARY | NA | Control |
| SMITH, LESLIE, DONALD | I | SECRETARY | NA | Control |
| SMITH, LESLIE, DONALD | I | SECRETARY | NA | Control |
| SMITH, LESLIE, DONALD | I | SECRETARY | NA | Control |
| SMITH, LESLIE, DONALD | I | SECRETARY | NA | Control |
| SMITH, LESLIE, DONALD | I | SECRETARY | NA | Control |
| SMITH, LESLIE, DONALD | I | SECRETARY | NA | Control |
| SMITH, LESLIE, DONALD | I | SECRETARY | NA | Control |
| SMITH, LESLIE, DONALD | I | SECRETARY | NA | Control |
| SMITH, LESLIE, DONALD | I | SECRETARY | NA | Control |
| SMITH, LESLIE, DONALD | I | SECRETARY | NA | Control |
| SMITH, LESLIE, DONALD | I | SECRETARY | NA | Control |
| SMITH, LESLIE, DONALD | I | SECRETARY | NA | Control |
| SMITH, LESLIE, DONALD | I | SECRETARY | NA | Control |
| SWARTZENDRUBER, PAIGE, NICHOLE | I | SVP BUSINESS DEVELOPMENT (A/O 07/2019) | NA | |
| SWARTZENDRUBER, PAIGE, NICHOLE | I | SVP BUSINESS DEVELOPMENT (A/O 07/2019) | NA | |
| SWARTZENDRUBER, PAIGE, NICHOLE | I | SVP BUSINESS DEVELOPMENT (A/O 07/2019) | NA | |
| SWARTZENDRUBER, PAIGE, NICHOLE | I | SVP BUSINESS DEVELOPMENT (A/O 07/2019) | NA | |
| SWARTZENDRUBER, PAIGE, NICHOLE | I | SVP BUSINESS DEVELOPMENT (A/O 07/2019) | NA | |
| SWARTZENDRUBER, PAIGE, NICHOLE | I | SVP BUSINESS DEVELOPMENT (A/O 07/2019) | NA | |
| SWARTZENDRUBER, PAIGE, NICHOLE | I | SVP BUSINESS DEVELOPMENT (A/O 07/2019) | NA | |
| SWARTZENDRUBER, PAIGE, NICHOLE | I | SVP BUSINESS DEVELOPMENT (A/O 07/2019) | NA | |
| SWARTZENDRUBER, PAIGE, NICHOLE | I | SVP BUSINESS DEVELOPMENT (A/O 07/2019) | NA | |
| SWARTZENDRUBER, PAIGE, NICHOLE | I | SVP BUSINESS DEVELOPMENT (A/O 07/2019) | NA | |
| SWARTZENDRUBER, PAIGE, NICHOLE | I | SVP BUSINESS DEVELOPMENT (A/O 07/2019) | NA | |
| SWARTZENDRUBER, PAIGE, NICHOLE | I | SVP BUSINESS DEVELOPMENT (A/O 07/2019) | NA | |
| SWARTZENDRUBER, PAIGE, NICHOLE | I | SVP BUSINESS DEVELOPMENT (A/O 07/2019) | NA | |
| SWARTZENDRUBER, PAIGE, NICHOLE | I | SVP BUSINESS DEVELOPMENT (A/O 07/2019) | NA | |
| SWARTZENDRUBER, PAIGE, NICHOLE | I | SVP BUSINESS DEVELOPMENT (A/O 07/2019) | NA | |
| SWARTZENDRUBER, PAIGE, NICHOLE | I | SVP BUSINESS DEVELOPMENT (A/O 07/2019) | NA | |
| SWARTZENDRUBER, PAIGE, NICHOLE | I | SVP BUSINESS DEVELOPMENT (A/O 07/2019) | NA | |
| SWARTZENDRUBER, PAIGE, NICHOLE | I | SVP BUSINESS DEVELOPMENT (A/O 07/2019) | NA | |
| SWARTZENDRUBER, PAIGE, NICHOLE | I | CHIEF BUSINESS DEVELOPMENT OFFICER | NA | |
| SWARTZENDRUBER, PAIGE, NICHOLE | I | CHIEF BUSINESS DEVELOPMENT OFFICER | NA | |
| WEGMANN, DANIEL, PETER | I | CFO | NA | Control |
| WEGMANN, DANIEL, PETER | I | CFO | NA | Control |
| WEGMANN, DANIEL, PETER | I | CFO | NA | Control |
| WEGMANN, DANIEL, PETER | I | CFO | NA | Control |
| WEGMANN, DANIEL, PETER | I | CFO | NA | Control |
| WEGMANN, DANIEL, PETER | I | CFO | NA | Control |
| WEGMANN, DANIEL, PETER | I | CFO | NA | Control |
| WEGMANN, DANIEL, PETER | I | CFO | NA | Control |
| WEGMANN, DANIEL, PETER | I | CFO | NA | Control |
| WEGMANN, DANIEL, PETER | I | CFO | NA | Control |
| WEGMANN, DANIEL, PETER | I | CFO | NA | Control |
| WEGMANN, DANIEL, PETER | I | CFO | NA | Control |
| WEGMANN, DANIEL, PETER | I | CFO | NA | Control |
| WEGMANN, DANIEL, PETER | I | CFO | NA | Control |
| WEGMANN, DANIEL, PETER | I | CFO | NA | Control |
| WEGMANN, DANIEL, PETER | I | CFO | NA | Control |
| WEGMANN, DANIEL, PETER | I | CFO | NA | Control |
| WEGMANN, DANIEL, PETER | I | CFO | NA | Control |
| WEGMANN, DANIEL, PETER | I | CFO | NA | Control |
| WEGMANN, DANIEL, PETER | I | CFO | NA | Control |
| WEGMANN, DANIEL, PETER | I | CFO | NA | Control |
| WEGMANN, DANIEL, PETER | I | CFO | NA | Control |
| WEGMANN, DANIEL, PETER | I | CFO | NA | Control |
| WEGMANN, DANIEL, PETER | I | CFO | NA | Control |
| WILCOX, RANDY, AUSTIN | I | CHIEF COMPLIANCE OFFICER | NA | |
| WILCOX, RANDY, AUSTIN | I | CHIEF COMPLIANCE OFFICER | NA | |
| WILCOX, RANDY, AUSTIN | I | CHIEF COMPLIANCE OFFICER | NA | |
| WILCOX, RANDY, AUSTIN | I | CHIEF COMPLIANCE OFFICER | NA | |
| WILCOX, RANDY, AUSTIN | I | CHIEF COMPLIANCE OFFICER | NA | |
| WILCOX, RANDY, AUSTIN | I | CHIEF COMPLIANCE OFFICER | NA | |
| WILCOX, RANDY, AUSTIN | I | CHIEF COMPLIANCE OFFICER | NA | |
| WILCOX, RANDY, AUSTIN | I | CHIEF COMPLIANCE OFFICER | NA | |
| WILCOX, RANDY, AUSTIN | I | CHIEF COMPLIANCE OFFICER | NA | |
| WILCOX, RANDY, AUSTIN | I | CHIEF COMPLIANCE OFFICER | NA | |
| WILCOX, RANDY, AUSTIN | I | CHIEF COMPLIANCE OFFICER | NA | |
| WILCOX, RANDY, AUSTIN | I | CHIEF COMPLIANCE OFFICER | NA | |
| WILCOX, RANDY, AUSTIN | I | CHIEF COMPLIANCE OFFICER | NA | |
| WILCOX, RANDY, AUSTIN | I | CHIEF COMPLIANCE OFFICER | NA | |
| WILCOX, RANDY, AUSTIN | I | CHIEF COMPLIANCE OFFICER | NA | |
| WILCOX, RANDY, AUSTIN | I | CHIEF COMPLIANCE OFFICER | NA | |
| WILCOX, RANDY, AUSTIN | I | CHIEF COMPLIANCE OFFICER | NA | |
| WILCOX, RANDY, AUSTIN | I | CHIEF COMPLIANCE OFFICER | NA | |
| WILCOX, RANDY, AUSTIN | I | CHIEF COMPLIANCE OFFICER | NA | |
| WILCOX, RANDY, AUSTIN | I | CHIEF COMPLIANCE OFFICER | NA | |
| WILCOX, RANDY, AUSTIN | I | CHIEF COMPLIANCE OFFICER | NA | |
| WILCOX, RANDY, AUSTIN | I | CHIEF COMPLIANCE OFFICER | NA | |
| WILCOX, RANDY, AUSTIN | I | CHIEF COMPLIANCE OFFICER | NA | |
| WILCOX, RANDY, AUSTIN | I | CHIEF COMPLIANCE OFFICER | NA | |
| WILCOX, RANDY, AUSTIN | I | CHIEF COMPLIANCE OFFICER | NA | |
| WILCOX, RANDY, AUSTIN | I | CHIEF COMPLIANCE OFFICER | NA | |
| WILCOX, RANDY, AUSTIN | I | CHIEF COMPLIANCE OFFICER | NA | |
| WILCOX, RANDY, AUSTIN | I | CHIEF COMPLIANCE OFFICER | NA | |
| WILCOX, RANDY, AUSTIN | I | CHIEF COMPLIANCE OFFICER | NA | |
| WILCOX, RANDY, AUSTIN | I | CHIEF COMPLIANCE OFFICER | NA | |
| WILCOX, RANDY, AUSTIN | I | CHIEF COMPLIANCE OFFICER | NA | |
| WILCOX, RANDY, AUSTIN | I | CHIEF COMPLIANCE OFFICER | NA | |
| WILCOX, RANDY, AUSTIN | I | CHIEF COMPLIANCE OFFICER | NA | |
| WILCOX, RANDY, AUSTIN | I | CHIEF COMPLIANCE OFFICER | NA | |
| WILCOX, RANDY, AUSTIN | I | CHIEF COMPLIANCE OFFICER | NA | |
| WILCOX, RANDY, AUSTIN | I | CHIEF COMPLIANCE OFFICER | NA | |
| WILCOX, RANDY, AUSTIN | I | CHIEF COMPLIANCE OFFICER | NA | |
| WILCOX, RANDY, AUSTIN | I | CHIEF COMPLIANCE OFFICER | NA | |
| WILCOX, RANDY, AUSTIN | I | CHIEF COMPLIANCE OFFICER | NA | |
| WILCOX, RANDY, AUSTIN | I | CHIEF COMPLIANCE OFFICER | NA | |
| WILCOX, RANDY, AUSTIN | I | CHIEF COMPLIANCE OFFICER | NA | |
| WILCOX, RANDY, AUSTIN | I | CHIEF COMPLIANCE OFFICER | NA | |
| WILCOX, RANDY, AUSTIN | I | CHIEF COMPLIANCE OFFICER | NA | |
| WILCOX, RANDY, AUSTIN | I | CHIEF COMPLIANCE OFFICER | NA | |
| WILCOX, RANDY, AUSTIN | I | REGIONAL VP BUSINESS DEVELOPMENT WESTERN REGION | NA | |
| WILCOX, RANDY, AUSTIN | I | CHIEF COMPLIANCE OFFICER | NA | |
| WILCOX, RANDY, AUSTIN | I | REGIONAL VP BUSINESS DEVELOPMENT WESTERN REGION | NA | |
| WILCOX, RANDY, AUSTIN | I | REGIONAL VP BUSINESS DEVELOPMENT WESTERN REGION | NA | |
| WILCOX, RANDY, AUSTIN | I | CHIEF COMPLIANCE OFFICER | NA | |
| WILCOX, RANDY, AUSTIN | I | REGIONAL VP BUSINESS DEVELOPMENT WESTERN REGION | NA | |
| WILCOX, RANDY, AUSTIN | I | REGIONAL VP BUSINESS DEVELOPMENT WESTERN REGION | NA | |
| WILCOX, RANDY, AUSTIN | I | REGIONAL VP BUSINESS DEVELOPMENT WESTERN REGION | NA | |
| WILCOX, RANDY, AUSTIN | I | REGIONAL VP BUSINESS DEVELOPMENT WESTERN REGION | NA | |
| WILCOX, RANDY, AUSTIN | I | REGIONAL VP BUSINESS DEVELOPMENT WESTERN REGION | NA | |
| WILCOX, RANDY, AUSTIN | I | REGIONAL VP BUSINESS DEVELOPMENT WESTERN REGION | NA | |
| WILCOX, RANDY, AUSTIN | I | REGIONAL VP BUSINESS DEVELOPMENT WESTERN REGION | NA | |
| WILCOX, RANDY, AUSTIN | I | REGIONAL VP BUSINESS DEVELOPMENT WESTERN REGION | NA | |
| WILCOX, RANDY, AUSTIN | I | REGIONAL VP BUSINESS DEVELOPMENT WESTERN REGION | NA | |
| WILCOX, RANDY, AUSTIN | I | REGIONAL VP BUSINESS DEVELOPMENT WESTERN REGION | NA | |
| WILCOX, RANDY, AUSTIN | I | REGIONAL VP BUSINESS DEVELOPMENT WESTERN REGION | NA | |
| WILCOX, RANDY, AUSTIN | I | REGIONAL VP BUSINESS DEVELOPMENT WESTERN REGION | NA | |
| WILCOX, RANDY, AUSTIN | I | REGIONAL VP BUSINESS DEVELOPMENT WESTERN REGION | NA | |
| WILCOX, RANDY, AUSTIN | I | REGIONAL VP BUSINESS DEVELOPMENT WESTERN REGION | NA | |
| WILCOX, RANDY, AUSTIN | I | REGIONAL VP BUSINESS DEVELOPMENT WESTERN REGION | NA | |
| WILCOX, RANDY, AUSTIN | I | REGIONAL VP BUSINESS DEVELOPMENT WESTERN REGION | NA | |
| WILCOX, RANDY, AUSTIN | I | VP COMPLIANCE/OSJ MANAGER | NA | |
| WILCOX, RANDY, AUSTIN | I | REGIONAL VP BUSINESS DEVELOPMENT WESTERN REGION | NA | |
| WILCOX, RANDY, AUSTIN | I | REGIONAL VP BUSINESS DEVELOPMENT WESTERN REGION | NA | |
| WILCOX, RANDY, AUSTIN | I | REGIONAL VP BUSINESS DEVELOPMENT WESTERN REGION | NA | |
| WILCOX, RANDY, AUSTIN | I | VP COMPLIANCE/OSJ MANAGER | NA | |
| WILCOX, RANDY, AUSTIN | I | VP COMPLIANCE/OSJ MANAGER | NA | |
| WILCOX, RANDY, AUSTIN | I | VP COMPLIANCE/OSJ MANAGER | NA | |
| WILCOX, RANDY, AUSTIN | I | VP COMPLIANCE/OSJ MANAGER | NA | |
| WILCOX, RANDY, AUSTIN | I | VP COMPLIANCE/OSJ MANAGER | NA | |
| BERTHEL FISHER & COMPANY | DE | SHAREHOLDER | E | Control |
| BERTHEL FISHER & COMPANY | DE | SHAREHOLDER | E | Control |
| BERTHEL FISHER & COMPANY | DE | SHAREHOLDER | E | Control |
| BERTHEL FISHER & COMPANY | DE | SHAREHOLDER | E | Control |
| BERTHEL FISHER & COMPANY | DE | SHAREHOLDER | E | Control |
| BERTHEL FISHER & COMPANY | DE | SHAREHOLDER | E | Control |
| BERTHEL FISHER & COMPANY | DE | SHAREHOLDER | E | Control |
| BERTHEL FISHER & COMPANY | DE | SHAREHOLDER | E | Control |
| BERTHEL FISHER & COMPANY | DE | SHAREHOLDER | E | Control |
| BERTHEL FISHER & COMPANY | DE | SHAREHOLDER | E | Control |
| BERTHEL FISHER & COMPANY | DE | SHAREHOLDER | E | Control |
| BERTHEL FISHER & COMPANY | DE | SHAREHOLDER | E | Control |
| BERTHEL FISHER & COMPANY | DE | SHAREHOLDER | E | Control |
| BERTHEL FISHER & COMPANY | DE | SHAREHOLDER | E | Control |
| BERTHEL FISHER & COMPANY | DE | SHAREHOLDER | E | Control |
| BERTHEL FISHER & COMPANY | DE | SHAREHOLDER | E | Control |
| BERTHEL FISHER & COMPANY | DE | SHAREHOLDER | E | Control |
| BERTHEL FISHER & COMPANY | DE | SHAREHOLDER | E | Control |
| BERTHEL FISHER & COMPANY | DE | SHAREHOLDER | E | Control |
| BERTHEL FISHER & COMPANY | DE | SHAREHOLDER | E | Control |
| BERTHEL FISHER & COMPANY | DE | SHAREHOLDER | E | Control |
| BERTHEL FISHER & COMPANY | DE | SHAREHOLDER | E | Control |
| BERTHEL FISHER & COMPANY | DE | SHAREHOLDER | E | Control |
| BERTHEL FISHER & COMPANY | DE | SHAREHOLDER | E | Control |
| BERTHEL FISHER & COMPANY | DE | SHAREHOLDER | E | Control |
| BERTHEL FISHER & COMPANY | DE | SHAREHOLDER | E | Control |
| BERTHEL FISHER & COMPANY | DE | SHAREHOLDER | E | Control |
| BERTHEL FISHER & COMPANY | DE | SHAREHOLDER | E | Control |
| BERTHEL FISHER & COMPANY | DE | SHAREHOLDER | E | Control |
| BERTHEL FISHER & COMPANY | DE | SHAREHOLDER | E | Control |
| BERTHEL FISHER & COMPANY | DE | SHAREHOLDER | E | Control |
| BERTHEL FISHER & COMPANY | DE | SHAREHOLDER | E | Control |
| BERTHEL FISHER & COMPANY | DE | SHAREHOLDER | E | Control |
| BERTHEL FISHER & COMPANY | DE | SHAREHOLDER | E | Control |
| BERTHEL FISHER & COMPANY | DE | SHAREHOLDER | E | Control |
| BERTHEL FISHER & COMPANY | DE | SHAREHOLDER | E | Control |
| BERTHEL FISHER & COMPANY | DE | SHAREHOLDER | E | Control |
| BERTHEL FISHER & COMPANY | DE | SHAREHOLDER | E | Control |
| BERTHEL FISHER & COMPANY | DE | SHAREHOLDER | E | Control |
| BERTHEL FISHER & COMPANY | DE | SHAREHOLDER | E | Control |
| BERTHEL FISHER & COMPANY | DE | SHAREHOLDER | E | Control |
| BERTHEL FISHER & COMPANY | DE | SHAREHOLDER | E | Control |
| BERTHEL FISHER & COMPANY | DE | SHAREHOLDER | E | Control |
| BERTHEL FISHER & COMPANY | DE | SHAREHOLDER | E | Control |
| BERTHEL FISHER & COMPANY | DE | SHAREHOLDER | E | Control |
| BERTHEL FISHER & COMPANY | DE | SHAREHOLDER | E | Control |
| BERTHEL FISHER & COMPANY | DE | SHAREHOLDER | E | Control |
| BERTHEL FISHER & COMPANY | DE | SHAREHOLDER | E | Control |
| BERTHEL FISHER & COMPANY | DE | SHAREHOLDER | E | Control |
| BERTHEL FISHER & COMPANY | DE | SHAREHOLDER | E | Control |
| BERTHEL FISHER & COMPANY | DE | SHAREHOLDER | E | Control |
| BERTHEL FISHER & COMPANY | DE | SHAREHOLDER | E | Control |
| BERTHEL FISHER & COMPANY | DE | SHAREHOLDER | E | Control |
| BERTHEL FISHER & COMPANY | DE | SHAREHOLDER | E | Control |
| BERTHEL FISHER & COMPANY | DE | SHAREHOLDER | E | Control |
| BERTHEL FISHER & COMPANY | DE | SHAREHOLDER | E | Control |
| BERTHEL FISHER & COMPANY | DE | SHAREHOLDER | E | Control |
| BERTHEL FISHER & COMPANY | DE | SHAREHOLDER | E | Control |
| BERTHEL FISHER & COMPANY | DE | SHAREHOLDER | E | Control |
| BERTHEL FISHER & COMPANY | DE | SHAREHOLDER | E | Control |
| BERTHEL FISHER & COMPANY | DE | SHAREHOLDER | E | Control |
| BERTHEL FISHER & COMPANY | DE | SHAREHOLDER | E | Control |
| BERTHEL FISHER & COMPANY | DE | SHAREHOLDER | E | Control |
| BERTHEL FISHER & COMPANY | DE | SHAREHOLDER | E | Control |
| BERTHEL FISHER & COMPANY | DE | SHAREHOLDER | E | Control |
| BERTHEL FISHER & COMPANY | DE | SHAREHOLDER | E | Control |
| BERTHEL FISHER & COMPANY | DE | SHAREHOLDER | E | Control |
| BERTHEL FISHER & COMPANY | DE | SHAREHOLDER | E | Control |
| BERTHEL FISHER & COMPANY | DE | SHAREHOLDER | E | Control |
| BERTHEL FISHER & COMPANY | DE | SHAREHOLDER | E | Control |
| BERTHEL FISHER & COMPANY | DE | SHAREHOLDER | E | Control |
| BERTHEL FISHER & COMPANY | DE | SHAREHOLDER | E | Control |
| BERTHEL FISHER & COMPANY | DE | SHAREHOLDER | E | Control |
| BERTHEL FISHER & COMPANY | DE | SHAREHOLDER | E | Control |
| BERTHEL FISHER & COMPANY | DE | SHAREHOLDER | E | Control |
| BERTHEL FISHER & COMPANY | DE | SHAREHOLDER | E | Control |
| BERTHEL FISHER & COMPANY | DE | SHAREHOLDER | E | Control |
| BERTHEL FISHER & COMPANY | DE | SHAREHOLDER | E | Control |
| BERTHEL FISHER & COMPANY | DE | SHAREHOLDER | E | Control |
| BERTHEL FISHER & COMPANY | DE | SHAREHOLDER | E | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| BERTHEL, THOMAS, JOSEPH | I | BERTHEL FISHER & COMPANY | C | Control |
| BERTHEL, THOMAS, JOSEPH | I | BERTHEL FISHER & COMPANY | C | Control |
| BERTHEL, THOMAS, JOSEPH | I | BERTHEL FISHER & COMPANY | C | Control |
| BERTHEL, THOMAS, JOSEPH | I | BERTHEL FISHER & COMPANY | C | Control |
| BERTHEL, THOMAS, JOSEPH | I | BERTHEL FISHER & COMPANY | C | Control |
| BERTHEL, THOMAS, JOSEPH | I | BERTHEL FISHER & COMPANY | C | Control |
| BERTHEL, THOMAS, JOSEPH | I | BERTHEL FISHER & COMPANY | C | Control |
| BERTHEL, THOMAS, JOSEPH | I | BERTHEL FISHER & COMPANY | C | Control |
| BERTHEL, THOMAS, JOSEPH | I | BERTHEL FISHER & COMPANY | C | Control |
| BERTHEL, THOMAS, JOSEPH | I | BERTHEL FISHER & COMPANY | C | Control |
| BERTHEL, THOMAS, JOSEPH | I | BERTHEL FISHER & COMPANY, INC. | C | Control |
| BERTHEL, THOMAS, JOSEPH | I | BERTHEL FISHER & COMPANY | C | Control |
| BERTHEL, THOMAS, JOSEPH | I | BERTHEL FISHER & COMPANY | C | Control |
| BERTHEL, THOMAS, JOSEPH | I | BERTHEL FISHER & COMPANY | C | Control |
| BERTHEL, THOMAS, JOSEPH | I | BERTHEL FISHER & COMPANY | C | Control |
| BERTHEL, THOMAS, JOSEPH | I | BERTHEL FISHER & COMPANY | C | Control |
| BERTHEL, THOMAS, JOSEPH | I | BERTHEL FISHER & COMPANY | C | Control |
| BERTHEL, THOMAS, JOSEPH | I | BERTHEL FISHER & COMPANY | C | Control |
| BERTHEL, THOMAS, JOSEPH | I | BERTHEL FISHER & COMPANY | C | Control |
| BERTHEL, THOMAS, JOSEPH | I | BERTHEL FISHER & COMPANY | C | Control |
| BERTHEL, THOMAS, JOSEPH | I | BERTHEL FISHER & COMPANY | C | Control |
| BERTHEL, THOMAS, JOSEPH | I | BERTHEL FISHER & COMPANY | C | Control |
| BERTHEL, THOMAS, JOSEPH | I | BERTHEL FISHER & COMPANY | C | Control |
| BERTHEL, THOMAS, JOSEPH | I | BERTHEL FISHER & COMPANY | C | Control |
| BERTHEL, THOMAS, JOSEPH | I | BERTHEL FISHER & COMPANY | C | Control |
| BERTHEL, THOMAS, JOSEPH | I | BERTHEL FISHER & COMPANY | C | Control |
| BERTHEL, THOMAS, JOSEPH | I | BERTHEL FISHER & COMPANY | C | Control |
| BERTHEL, THOMAS, JOSEPH | I | BERTHEL FISHER & COMPANY | C | Control |
| BERTHEL, THOMAS, JOSEPH | I | BERTHEL FISHER & COMPANY | C | Control |
| BERTHEL, THOMAS, JOSEPH | I | BERTHEL FISHER & COMPANY | C | Control |
| BERTHEL, THOMAS, JOSEPH | I | BERTHEL FISHER & COMPANY | C | Control |
| BERTHEL, THOMAS, JOSEPH | I | BERTHEL FISHER & COMPANY | C | Control |
| BERTHEL, THOMAS, JOSEPH | I | BERTHEL FISHER & COMPANY | C | Control |
| BERTHEL, THOMAS, JOSEPH | I | BERTHEL FISHER & COMPANY | C | Control |
| BERTHEL, THOMAS, JOSEPH | I | BERTHEL FISHER & COMPANY | C | Control |
| BERTHEL, THOMAS, JOSEPH | I | BERTHEL FISHER & COMPANY | C | Control |
| BERTHEL, THOMAS, JOSEPH | I | BERTHEL FISHER & COMPANY | C | Control |
| BERTHEL, THOMAS, JOSEPH | I | BERTHEL FISHER & COMPANY | C | Control |
| BERTHEL, THOMAS, JOSEPH | I | BERTHEL FISHER & COMPANY | C | Control |
| BERTHEL, THOMAS, JOSEPH | I | BERTHEL FISHER & COMPANY | C | Control |
| BERTHEL, THOMAS, JOSEPH | I | BERTHEL FISHER & COMPANY | C | Control |
| BERTHEL, THOMAS, JOSEPH | I | BERTHEL FISHER & COMPANY | C | Control |
| BERTHEL, THOMAS, JOSEPH | I | BERTHEL FISHER & COMPANY | C | Control |
| BERTHEL, THOMAS, JOSEPH | I | BERTHEL FISHER & COMPANY | C | Control |
| BERTHEL, THOMAS, JOSEPH | I | BERTHEL FISHER & COMPANY | C | Control |
| BERTHEL, THOMAS, JOSEPH | I | BERTHEL FISHER & COMPANY | C | Control |
| BERTHEL, THOMAS, JOSEPH | I | BERTHEL FISHER & COMPANY | C | Control |
| BERTHEL, THOMAS, JOSEPH | I | BERTHEL FISHER & COMPANY | C | Control |
| BERTHEL, THOMAS, JOSEPH | I | BERTHEL FISHER & COMPANY | C | Control |
| BERTHEL, THOMAS, JOSEPH | I | BERTHEL FISHER & COMPANY | C | Control |
| BERTHEL, THOMAS, JOSEPH | I | BERTHEL FISHER & COMPANY | C | Control |
| BERTHEL, THOMAS, JOSEPH | I | BERTHEL FISHER & COMPANY | C | Control |
| BERTHEL, THOMAS, JOSEPH | I | BERTHEL FISHER & COMPANY | C | Control |
| BERTHEL, THOMAS, JOSEPH | I | BERTHEL FISHER & COMPANY | C | Control |
| BERTHEL, THOMAS, JOSEPH | I | BERTHEL FISHER & COMPANY | C | Control |
| BERTHEL, THOMAS, JOSEPH | I | BERTHEL FISHER & COMPANY | C | Control |
| BERTHEL, THOMAS, JOSEPH | I | BERTHEL FISHER & COMPANY | C | Control |
| BERTHEL, THOMAS, JOSEPH | I | BERTHEL FISHER & COMPANY | C | Control |
| BERTHEL, THOMAS, JOSEPH | I | BERTHEL FISHER & COMPANY | C | Control |
| BERTHEL, THOMAS, JOSEPH | I | BERTHEL FISHER & COMPANY | C | Control |
| BERTHEL, THOMAS, JOSEPH | I | BERTHEL FISHER & COMPANY | C | Control |
| BERTHEL, THOMAS, JOSEPH | I | BERTHEL FISHER & COMPANY | C | Control |
| BERTHEL, THOMAS, JOSEPH | I | BERTHEL FISHER & COMPANY | C | Control |
| BERTHEL, THOMAS, JOSEPH | I | BERTHEL FISHER & COMPANY | C | Control |
| BERTHEL, THOMAS, JOSEPH | I | BERTHEL FISHER & COMPANY | C | Control |
| BERTHEL, THOMAS, JOSEPH | I | BERTHEL FISHER & COMPANY | C | Control |
| BERTHEL, THOMAS, JOSEPH | I | BERTHEL FISHER & COMPANY | C | Control |
| BERTHEL, THOMAS, JOSEPH | I | BERTHEL FISHER & COMPANY | C | Control |
| BERTHEL, THOMAS, JOSEPH | I | BERTHEL FISHER & COMPANY | C | Control |
| BERTHEL, THOMAS, JOSEPH | I | BERTHEL FISHER & COMPANY | C | Control |
| BERTHEL, THOMAS, JOSEPH | I | BERTHEL FISHER & COMPANY | C | Control |
| BERTHEL, THOMAS, JOSEPH | I | BERTHEL FISHER & COMPANY | C | Control |
| BERTHEL, THOMAS, JOSEPH | I | BERTHEL FISHER & COMPANY | C | Control |
| BERTHEL, THOMAS, JOSEPH | I | BERTHEL FISHER & COMPANY | C | Control |
| BERTHEL, THOMAS, JOSEPH | I | BERTHEL FISHER & COMPANY | C | Control |
| BERTHEL, THOMAS, JOSEPH | I | BERTHEL FISHER & COMPANY | C | Control |
| BERTHEL, THOMAS, JOSEPH | I | BERTHEL FISHER & COMPANY | C | Control |
| BERTHEL, THOMAS, JOSEPH | I | BERTHEL FISHER & COMPANY | C | Control |
| BERTHEL, THOMAS, JOSEPH | I | BERTHEL FISHER & COMPANY | C | Control |
| FBL FINANCIAL GROUP, INC. | DE | BERTHEL FISHER & COMPANY | C | |
| FBL FINANCIAL GROUP, INC. | DE | BERTHEL FISHER & COMPANY | C | |
| FBL FINANCIAL GROUP, INC. | DE | BERTHEL FISHER & COMPANY | C | |
| FBL FINANCIAL GROUP, INC. | DE | BERTHEL FISHER & COMPANY | C | |
| FBL FINANCIAL GROUP, INC. | DE | BERTHEL FISHER & COMPANY | C | |
| FBL FINANCIAL GROUP, INC. | DE | BERTHEL FISHER & COMPANY | C | |
| FBL FINANCIAL GROUP, INC. | DE | BERTHEL FISHER & COMPANY | C | |
| FBL FINANCIAL GROUP, INC. | DE | BERTHEL FISHER & COMPANY | C | |
| FBL FINANCIAL GROUP, INC. | DE | BERTHEL FISHER & COMPANY | C | |
| FBL FINANCIAL GROUP, INC. | DE | BERTHEL FISHER & COMPANY | C | |
| FBL FINANCIAL GROUP, INC. | DE | BERTHEL FISHER & COMPANY, INC. | C | |
| FBL FINANCIAL GROUP, INC. | DE | BERTHEL FISHER & COMPANY | C | |
| FBL FINANCIAL GROUP, INC. | DE | BERTHEL FISHER & COMPANY | C | |
| FBL FINANCIAL GROUP, INC. | DE | BERTHEL FISHER & COMPANY | C | |
| FBL FINANCIAL GROUP, INC. | DE | BERTHEL FISHER & COMPANY | C | |
| FBL FINANCIAL GROUP, INC. | DE | BERTHEL FISHER & COMPANY | C | |
| FBL FINANCIAL GROUP, INC. | DE | BERTHEL FISHER & COMPANY | C | |
| FBL FINANCIAL GROUP, INC. | DE | BERTHEL FISHER & COMPANY | C | |
| FBL FINANCIAL GROUP, INC. | DE | BERTHEL FISHER & COMPANY | C | |
| FBL FINANCIAL GROUP, INC. | DE | BERTHEL FISHER & COMPANY | C | |
| FBL FINANCIAL GROUP, INC. | DE | BERTHEL FISHER & COMPANY | C | |
| FBL FINANCIAL GROUP, INC. | DE | BERTHEL FISHER & COMPANY | C | |
| FBL FINANCIAL GROUP, INC. | DE | BERTHEL FISHER & COMPANY | C | |
| FBL FINANCIAL GROUP, INC. | DE | BERTHEL FISHER & COMPANY | C | |
| FBL FINANCIAL GROUP, INC. | DE | BERTHEL FISHER & COMPANY | C | |
| FBL FINANCIAL GROUP, INC. | DE | BERTHEL FISHER & COMPANY | C | |
| FBL FINANCIAL GROUP, INC. | DE | BERTHEL FISHER & COMPANY | C | |
| FBL FINANCIAL GROUP, INC. | DE | BERTHEL FISHER & COMPANY | C | |
| FBL FINANCIAL GROUP, INC. | DE | BERTHEL FISHER & COMPANY | C | |
| FBL FINANCIAL GROUP, INC. | DE | BERTHEL FISHER & COMPANY | C | |
| FBL FINANCIAL GROUP, INC. | DE | BERTHEL FISHER & COMPANY | C | |
| FBL FINANCIAL GROUP, INC. | DE | BERTHEL FISHER & COMPANY | C | |
| FBL FINANCIAL GROUP, INC. | DE | BERTHEL FISHER & COMPANY | C | |
| FBL FINANCIAL GROUP, INC. | DE | BERTHEL FISHER & COMPANY | C | |
| FBL FINANCIAL GROUP, INC. | DE | BERTHEL FISHER & COMPANY | C | |
| FBL FINANCIAL GROUP, INC. | DE | BERTHEL FISHER & COMPANY | C | |
| FBL FINANCIAL GROUP, INC. | DE | BERTHEL FISHER & COMPANY | C | |
| FBL FINANCIAL GROUP, INC. | DE | BERTHEL FISHER & COMPANY | C | |
| FBL FINANCIAL GROUP, INC. | DE | BERTHEL FISHER & COMPANY | C | |
| FBL FINANCIAL GROUP, INC. | DE | BERTHEL FISHER & COMPANY | C | |
| FBL FINANCIAL GROUP, INC. | DE | BERTHEL FISHER & COMPANY | C | |
| FBL FINANCIAL GROUP, INC. | DE | BERTHEL FISHER & COMPANY | C | |
| FBL FINANCIAL GROUP, INC. | DE | BERTHEL FISHER & COMPANY | C |
Registrations
Federal
IA
Mar 26, 2025 REGISTERED
Notice Filings (50)
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 RI SC SD TN TX UT VA VT WA WI WV
Address
4201 42ND STREET NESUITE 100
CEDAR RAPIDS, IA 52402
United States
Phone: 319-447-5700