CONNING INVESTMENT PRODUCTS, INC.
CRD #120387 SEC #801-79816 HARTFORD, CT 860-299-2000
SEC Registered Broker-Dealer Disclosures
Total AUM
$517.7M
Discretionary
$517.7M
Employees
8
Clients
0
Accounts
9
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
- Nov 11, 2025
- Branch Offices
- 0
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| ALBANI, ATTILIO ALDO JR | I | MANAGING DIRECTOR | NA | Control |
| BLASBERG, WALTER JOHN | I | PRESIDENT | NA | Control |
| BLASBERG, WALTER JOHN | I | PRESIDENT | NA | Control |
| BLASBERG, WALTER JOHN | I | PRESIDENT | NA | Control |
| BLASBERG, WALTER JOHN | I | PRESIDENT | NA | Control |
| BLASBERG, WALTER JOHN | I | PRESIDENT | NA | Control |
| BOURQUE, WILLIAM MICHAEL | I | CHIEF LEGAL OFFICER | NA | Control |
| BOURQUE, WILLIAM MICHAEL | I | CHIEF LEGAL OFFICER | NA | Control |
| BOURQUE, WILLIAM MICHAEL | I | CHIEF LEGAL OFFICER | NA | Control |
| BOURQUE, WILLIAM MICHAEL | I | CHIEF LEGAL OFFICER | NA | Control |
| BOURQUE, WILLIAM MICHAEL | I | CHIEF LEGAL OFFICER | NA | Control |
| BOURQUE, WILLIAM MICHAEL | I | CHIEF LEGAL OFFICER | NA | Control |
| BOURQUE, WILLIAM MICHAEL | I | CHIEF LEGAL OFFICER | NA | Control |
| BOURQUE, WILLIAM MICHAEL | I | CHIEF LEGAL OFFICER; CHIEF COMPL. OFFCR. | NA | Control |
| BOURQUE, WILLIAM, MICHAEL | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BRADFORD, LINWOOD EARLE JR | I | MANAGING DIRECTOR, PRESIDENT & CEO | NA | Control |
| BRADFORD, LINWOOD EARLE JR | I | MANAGING DIRECTOR, PRESIDENT & CEO | NA | Control |
| BRADFORD, LINWOOD EARLE JR | I | MANAGING DIRECTOR, PRESIDENT & CEO | NA | Control |
| BRADFORD, LINWOOD EARLE JR | I | MANAGING DIRECTOR, PRESIDENT & CEO | NA | Control |
| BRADFORD, LINWOOD EARLE JR | I | MANAGING DIRECTOR, PRESIDENT & CEO | NA | Control |
| BRADFORD, LINWOOD EARLE JR | I | MANAGING DIRECTOR, PRESIDENT & CEO | NA | Control |
| BRADFORD, LINWOOD EARLE JR | I | MANAGING DIRECTOR, PRESIDENT & CEO | NA | Control |
| BRADFORD, LINWOOD EARLE JR | I | MANAGING DIRECTOR, PRESIDENT & CEO | NA | Control |
| BRADFORD, LINWOOD EARLE JR | I | MANAGING DIRECTOR, PRESIDENT & CEO | NA | Control |
| BRADFORD, LINWOOD EARLE JR | I | MANAGING DIRECTOR, PRESIDENT & CEO | NA | Control |
| BRADFORD, LINWOOD EARLE JR | I | MANAGING DIRECTOR, PRESIDENT & CEO | NA | Control |
| BRADFORD, LINWOOD EARLE JR | I | CHIEF EXECUTIVE OFFICER AND CHAIR OF THE BOARD | NA | Control |
| BRADFORD, LINWOOD EARLE JR | I | CHIEF EXECUTIVE OFFICER AND CHAIR OF THE BOARD | NA | Control |
| BRADFORD, LINWOOD EARLE JR | I | CHIEF EXECUTIVE OFFICER AND CHAIR OF THE BOARD | NA | Control |
| BRADFORD, LINWOOD EARLE JR | I | CHIEF EXECUTIVE OFFICER AND CHAIR OF THE BOARD | NA | Control |
| BRADFORD, LINWOOD EARLE JR | I | CHIEF EXECUTIVE OFFICER AND CHAIR OF THE BOARD | NA | Control |
| BRADFORD, LINWOOD EARLE JR | I | CHIEF EXECUTIVE OFFICER AND CHAIR OF THE BOARD | NA | Control |
| BRADFORD, LINWOOD EARLE JR | I | CHIEF EXECUTIVE OFFICER AND CHAIR OF THE BOARD | NA | Control |
| BRADFORD, LINWOOD EARLE JR | I | CHIEF EXECUTIVE OFFICER AND CHAIR OF THE BOARD | NA | Control |
| BRADFORD, LINWOOD EARLE JR | I | CHIEF EXECUTIVE OFFICER AND CHAIR OF THE BOARD | NA | Control |
| BRADFORD, LINWOOD EARLE JR | I | CHIEF EXECUTIVE OFFICER AND CHAIR OF THE BOARD | NA | Control |
| BRADFORD, LINWOOD EARLE JR | I | CHIEF EXECUTIVE OFFICER & HEAD OF SALES | NA | Control |
| BRADFORD, LINWOOD EARLE JR | I | CHIEF EXECUTIVE OFFICER & HEAD OF SALES | NA | Control |
| BRADFORD, LINWOOD EARLE JR | I | CHIEF EXECUTIVE OFFICER & HEAD OF SALES | NA | Control |
| BRADFORD, LINWOOD EARLE JR | I | CHIEF EXECUTIVE OFFICER & HEAD OF SALES | NA | Control |
| BRADFORD, LINWOOD EARLE JR | I | CHIEF EXECUTIVE OFFICER & HEAD OF SALES | NA | Control |
| BRADFORD, LINWOOD EARLE JR | I | CHIEF EXECUTIVE OFFICER & HEAD OF SALES | NA | Control |
| BRADFORD, LINWOOD EARLE JR | I | CHAIR BOARD OF DIRECTORS | NA | Control |
| BRADFORD, LINWOOD EARLE JR | I | CHAIR BOARD OF DIRECTORS | NA | Control |
| CHRISTIANSEN, STEPHAN LOUIS | I | DIRECTOR | NA | Control |
| CHRISTIANSEN, STEPHAN LOUIS | I | DIRECTOR | NA | Control |
| CHRISTIANSEN, STEPHAN LOUIS | I | DIRECTOR | NA | Control |
| CHRISTIANSEN, STEPHAN LOUIS | I | DIRECTOR | NA | Control |
| CHRISTIANSEN, STEPHAN LOUIS | I | DIRECTOR | NA | Control |
| CHRISTIANSEN, STEPHAN LOUIS | I | DIRECTOR | NA | Control |
| CHRISTIANSEN, STEPHAN LOUIS | I | DIRECTOR | NA | Control |
| CHRISTIANSEN, STEPHAN LOUIS | I | DIRECTOR | NA | Control |
| CORRENTI, SALVATORE | I | DIRECTOR | NA | Control |
| CORRENTI, SALVATORE | I | DIRECTOR | NA | Control |
| CORRENTI, SALVATORE | I | DIRECTOR | NA | Control |
| CORRENTI, SALVATORE | I | DIRECTOR | NA | Control |
| CORRENTI, SALVATORE | I | DIRECTOR | NA | Control |
| CORRENTI, SALVATORE | I | DIRECTOR | NA | Control |
| CORRENTI, SALVATORE | I | DIRECTOR | NA | Control |
| CORRENTI, SALVATORE | I | DIRECTOR | NA | Control |
| CORROON, JOHN ALOYSIUS JR | I | PRESIDENT | NA | Control |
| CORROON, JOHN ALOYSIUS JR | I | PRESIDENT | NA | Control |
| CORROON, JOHN ALOYSIUS JR | I | PRESIDENT | NA | Control |
| CORROON, JOHN ALOYSIUS JR | I | MANAGING DIRECTOR, HEAD OF SALES | NA | Control |
| CORROON, JOHN ALOYSIUS JR | I | MANAGING DIRECTOR, HEAD OF SALES | NA | Control |
| CORROON, JOHN ALOYSIUS JR | I | MANAGING DIRECTOR, HEAD OF SALES | NA | Control |
| CORROON, JOHN ALOYSIUS JR | I | MANAGING DIRECTOR, HEAD OF SALES | NA | Control |
| CORROON, JOHN ALOYSIUS JR | I | MANAGING DIRECTOR, HEAD OF SALES | NA | Control |
| CORROON, JOHN ALOYSIUS JR | I | MANAGING DIRECTOR, HEAD OF SALES | NA | Control |
| CORROON, JOHN ALOYSIUS JR | I | MANAGING DIRECTOR, HEAD OF SALES | NA | Control |
| DALY, MATTHEW KENNETH | I | HEAD OF CONNING NORTH AMERICA | NA | Control |
| DALY, MATTHEW KENNETH | I | HEAD OF CONNING NORTH AMERICA | NA | Control |
| DALY, MATTHEW KENNETH | I | HEAD OF CONNING NORTH AMERICA | NA | Control |
| DALY, MATTHEW KENNETH | I | PRESIDENT & HEAD OF SALES/ BOARD MEMBER | NA | Control |
| DALY, MATTHEW KENNETH | I | PRESIDENT & HEAD OF SALES/ BOARD MEMBER | NA | Control |
| GEORGE, KENNETH RONALD | I | FINOP | NA | |
| GEORGE, KENNETH RONALD | I | FINOP | NA | |
| GEORGE, KENNETH RONALD | I | FINOP | NA | |
| GEORGE, KENNETH RONALD | I | FINOP | NA | |
| GEORGE, KENNETH RONALD | I | FINOP | NA | |
| GEORGE, KENNETH RONALD | I | FINOP | NA | |
| GEORGE, KENNETH RONALD | I | FINOP | NA | |
| GEORGE, KENNETH RONALD | I | FINOP | NA | |
| GEORGE, KENNETH RONALD | I | FINOP | NA | |
| GEORGE, KENNETH RONALD | I | FINOP | NA | |
| GEORGE, KENNETH RONALD | I | FINOP | NA | |
| GEORGE, KENNETH RONALD | I | FINOP | NA | |
| GEORGE, KENNETH RONALD | I | FINOP | NA | |
| GEORGE, KENNETH RONALD | I | FINOP | NA | |
| GEORGE, KENNETH RONALD | I | FINOP | NA | |
| GEORGE, KENNETH RONALD | I | FINOP | NA | |
| GEORGE, KENNETH RONALD | I | FINOP | NA | |
| GEORGE, KENNETH RONALD | I | FINOP | NA | |
| GEORGE, KENNETH RONALD | I | FINOP | NA | |
| GEORGE, KENNETH RONALD | I | FINOP | NA | |
| GEORGE, KENNETH RONALD | I | FINOP | NA | |
| GEORGE, KENNETH RONALD | I | FINOP | NA | |
| GEORGE, KENNETH RONALD | I | FINOP | NA | |
| GEORGE, KENNETH RONALD | I | FINOP | NA | |
| GEORGE, KENNETH RONALD | I | FINOP | NA | |
| GEORGE, KENNETH RONALD | I | FINOP | NA | |
| GEORGE, KENNETH RONALD | I | FINOP | NA | |
| GEORGE, KENNETH RONALD | I | FINOP | NA | |
| GEORGE, KENNETH RONALD | I | FINOP | NA | |
| GEORGE, KENNETH RONALD | I | FINOP | NA | |
| GEORGE, KENNETH RONALD | I | FINOP | NA | |
| GEORGE, KENNETH RONALD | I | FINOP | NA | |
| GEORGE, KENNETH RONALD | I | FINOP | NA | |
| GEORGE, KENNETH RONALD | I | FINOP | NA | |
| GEORGE, KENNETH RONALD | I | FINOP | NA | |
| GROUS, JEFFREY FRANCIS | I | TREASURER/ ASSISTANT SECRETARY | NA | |
| HAYLON, MICHAEL EDWARD | I | MANAGING DIRECTOR, HEAD OF SALES | NA | Control |
| HAYLON, MICHAEL EDWARD | I | MANAGING DIRECTOR, HEAD OF SALES | NA | Control |
| HAYLON, MICHAEL EDWARD | I | MANAGING DIRECTOR, HEAD OF SALES | NA | Control |
| HAYLON, MICHAEL EDWARD | I | MANAGING DIRECTOR, HEAD OF SALES | NA | Control |
| HAYLON, MICHAEL EDWARD | I | MANAGING DIRECTOR, HEAD OF CONNING NORTH AMERICA | NA | Control |
| HAYLON, MICHAEL EDWARD | I | MANAGING DIRECTOR, HEAD OF CONNING NORTH AMERICA | NA | Control |
| HAYLON, MICHAEL EDWARD | I | MANAGING DIRECTOR, HEAD OF CONNING NORTH AMERICA | NA | Control |
| HAYLON, MICHAEL EDWARD | I | MANAGING DIRECTOR, HEAD OF CONNING NORTH AMERICA | NA | Control |
| HAYLON, MICHAEL EDWARD | I | MANAGING DIRECTOR, HEAD OF CONNING NORTH AMERICA | NA | Control |
| HAYLON, MICHAEL EDWARD | I | MANAGING DIRECTOR, HEAD OF CONNING NORTH AMERICA | NA | Control |
| HAYLON, MICHAEL EDWARD | I | MANAGING DIRECTOR, HEAD OF CONNING NORTH AMERICA | NA | Control |
| HAYLON, MICHAEL EDWARD | I | MANAGING DIRECTOR, HEAD OF CONNING NORTH AMERICA | NA | Control |
| HAYLON, MICHAEL EDWARD | I | MANAGING DIRECTOR, HEAD OF CONNING NORTH AMERICA | NA | Control |
| HAYLON, MICHAEL EDWARD | I | MANAGING DIRECTOR, HEAD OF CONNING NORTH AMERICA | NA | Control |
| HEISER, GLENN | I | CHIEF OPERATING OFF. | NA | Control |
| HEISER, GLENN | I | MANAGING DIRECTOR, CAO | NA | Control |
| HEISER, GLENN | I | MANAGING DIRECTOR, CAO | NA | Control |
| HEISER, GLENN | I | MANAGING DIRECTOR, CAO | NA | Control |
| HEISER, GLENN | I | MANAGING DIRECTOR, CAO | NA | Control |
| HEISER, GLENN | I | MANAGING DIRECTOR, CAO | NA | Control |
| HEISER, GLENN | I | MANAGING DIRECTOR, CAO | NA | Control |
| HEISER, GLENN | I | MANAGING DIRECTOR, CAO | NA | Control |
| KEANE, PATRICK, MURPHY | I | PRESIDENT | NA | Control |
| LEE, JUNG WON | I | MANAGING DIRECTOR, CFO | NA | Control |
| LEE, JUNG WON | I | MANAGING DIRECTOR, CFO | NA | Control |
| LEE, JUNG WON | I | MANAGING DIRECTOR, CFO | NA | Control |
| LEE, JUNG WON | I | MANAGING DIRECTOR, CFO | NA | Control |
| LEE, JUNG WON | I | MANAGING DIRECTOR, CFO | NA | Control |
| LEE, JUNG WON | I | MANAGING DIRECTOR, CFO | NA | Control |
| LEE, JUNG WON | I | MANAGING DIRECTOR, CFO | NA | Control |
| LEE, JUNG WON | I | MANAGING DIRECTOR, CFO | NA | Control |
| LEE, JUNG WON | I | MANAGING DIRECTOR, CFO | NA | Control |
| LEE, JUNG WON | I | MANAGING DIRECTOR, CFO | NA | Control |
| LEE, JUNG WON | I | MANAGING DIRECTOR, CFO | NA | Control |
| LEE, JUNG WON | I | MANAGING DIRECTOR, CFO | NA | Control |
| LEE, JUNG WON | I | MANAGING DIRECTOR, CFO | NA | Control |
| LEE, JUNG WON | I | MANAGING DIRECTOR, CFO | NA | Control |
| LEE, JUNG WON | I | MANAGING DIRECTOR, CFO | NA | Control |
| LEE, JUNG WON | I | MANAGING DIRECTOR, CFO | NA | Control |
| LEE, JUNG WON | I | MANAGING DIRECTOR, CFO | NA | Control |
| LEE, JUNG WON | I | MANAGING DIRECTOR, CFO | NA | Control |
| LEE, JUNG WON | I | MANAGING DIRECTOR, CFO | NA | Control |
| LEE, JUNG WON | I | MANAGING DIRECTOR, CFO | NA | Control |
| LEE, JUNG WON | I | MANAGING DIRECTOR, CFO | NA | Control |
| LEE, JUNG WON | I | MANAGING DIRECTOR, CFO | NA | Control |
| LEE, JUNG WON | I | MANAGING DIRECTOR, CFO | NA | Control |
| LEE, JUNG WON | I | MANAGING DIRECTOR, CFO | NA | Control |
| LEE, JUNG WON | I | MANAGING DIRECTOR, CFO | NA | Control |
| LEE, JUNG WON | I | MANAGING DIRECTOR, CFO | NA | Control |
| LEE, JUNG WON | I | MANAGING DIRECTOR, CFO | NA | Control |
| LEE, JUNG WON | I | MANAGING DIRECTOR, CFO & COO, BOARD MEMBER | NA | Control |
| LEE, JUNG WON | I | MANAGING DIRECTOR, CFO & COO, BOARD MEMBER | NA | Control |
| MARTELLO, PASQUALE ANTONIO | I | CHIEF FINANCIAL OFFICER | NA | Control |
| MARTELLO, PASQUALE ANTONIO | I | CHIEF FINANCIAL OFFICER | NA | Control |
| PEARCE, ROBERT STEDMAN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| PEARCE, ROBERT STEDMAN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| PEARCE, ROBERT STEDMAN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| PEARCE, ROBERT STEDMAN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| PEARCE, ROBERT STEDMAN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| PEARCE, ROBERT STEDMAN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| PEARCE, ROBERT STEDMAN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| PEARCE, ROBERT STEDMAN | I | MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER | NA | Control |
| PEARCE, ROBERT STEDMAN | I | MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER | NA | Control |
| PEARCE, ROBERT STEDMAN | I | MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER | NA | Control |
| PEARCE, ROBERT STEDMAN | I | MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER | NA | Control |
| PEARCE, ROBERT STEDMAN | I | MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER | NA | Control |
| PEARCE, ROBERT STEDMAN | I | MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER | NA | Control |
| PEARCE, ROBERT STEDMAN | I | MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER | NA | Control |
| PEARCE, ROBERT STEDMAN | I | MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER | NA | Control |
| PEARCE, ROBERT STEDMAN | I | MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER | NA | Control |
| PEARCE, ROBERT STEDMAN | I | MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER | NA | Control |
| PEARCE, ROBERT STEDMAN | I | MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER | NA | Control |
| PEARCE, ROBERT STEDMAN | I | MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER | NA | Control |
| PEARCE, ROBERT STEDMAN | I | MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER | NA | Control |
| PEARCE, ROBERT STEDMAN | I | MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER | NA | Control |
| PEARCE, ROBERT STEDMAN | I | MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER | NA | Control |
| PEARCE, ROBERT STEDMAN | I | MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER | NA | Control |
| PEARCE, ROBERT STEDMAN | I | MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER | NA | Control |
| PEARCE, ROBERT STEDMAN | I | MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER | NA | Control |
| PEARCE, ROBERT STEDMAN | I | MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER | NA | Control |
| PEARCE, ROBERT STEDMAN | I | MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER | NA | Control |
| PEARCE, ROBERT STEDMAN | I | MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER | NA | Control |
| PEARCE, ROBERT STEDMAN | I | MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER | NA | Control |
| PEARCE, ROBERT STEDMAN | I | MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER | NA | Control |
| PEARCE, ROBERT STEDMAN | I | MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER | NA | Control |
| PEARCE, ROBERT STEDMAN | I | MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER | NA | Control |
| PEARCE, ROBERT STEDMAN | I | MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER | NA | Control |
| PEARCE, ROBERT STEDMAN | I | MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER | NA | Control |
| PEARCE, ROBERT STEDMAN | I | MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER | NA | Control |
| PEARCE, ROBERT STEDMAN | I | MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER | NA | Control |
| SHAHRABANI, SALEH, FOUAD | I | CEO | NA | Control |
| SMALLEY, VI (VIOLA) R. | I | CHIEF LEGAL COUNSEL/CORPORATE SECRETARY | NA | Control |
| SMALLEY, VI (VIOLA) R. | I | CHIEF LEGAL COUNSEL/CORPORATE SECRETARY | NA | Control |
| SMALLEY, VI (VIOLA) R. | I | CHIEF LEGAL COUNSEL/CORPORATE SECRETARY | NA | Control |
| SMALLEY, VI (VIOLA) R. | I | CHIEF LEGAL COUNSEL/CORPORATE SECRETARY | NA | Control |
| SMALLEY, VI (VIOLA) R. | I | CHIEF LEGAL COUNSEL/CORPORATE SECRETARY | NA | Control |
| SMALLEY, VI (VIOLA) R. | I | CHIEF LEGAL COUNSEL/CORPORATE SECRETARY | NA | Control |
| SMALLEY, VI (VIOLA) R. | I | CHIEF LEGAL COUNSEL/CORPORATE SECRETARY | NA | Control |
| SMALLEY, VI (VIOLA) R. | I | CHIEF LEGAL COUNSEL/CORPORATE SECRETARY | NA | Control |
| SMALLEY, VI (VIOLA) R. | I | CHIEF LEGAL COUNSEL/CORPORATE SECRETARY | NA | Control |
| SMALLEY, VI (VIOLA) R. | I | CHIEF LEGAL COUNSEL/CORPORATE SECRETARY | NA | Control |
| SMALLEY, VI (VIOLA) R. | I | CHIEF LEGAL COUNSEL/CORPORATE SECRETARY | NA | Control |
| SMALLEY, VI (VIOLA) R. | I | CHIEF LEGAL COUNSEL/CORPORATE SECRETARY | NA | Control |
| SMALLEY, VI (VIOLA) R. | I | CHIEF LEGAL COUNSEL/CORPORATE SECRETARY | NA | Control |
| SMALLEY, VI (VIOLA) R. | I | CHIEF LEGAL COUNSEL/CORPORATE SECRETARY | NA | Control |
| SMALLEY, VI (VIOLA) R. | I | CHIEF LEGAL COUNSEL/CORPORATE SECRETARY | NA | Control |
| SMALLEY, VI (VIOLA) R. | I | CHIEF LEGAL COUNSEL/CORPORATE SECRETARY | NA | Control |
| SMALLEY, VI (VIOLA) R. | I | CHIEF LEGAL COUNSEL/CORPORATE SECRETARY | NA | Control |
| SMALLEY, VI (VIOLA) R. | I | CHIEF LEGAL COUNSEL/CORPORATE SECRETARY | NA | Control |
| SMALLEY, VI (VIOLA) R. | I | CHIEF LEGAL COUNSEL/CORPORATE SECRETARY | NA | Control |
| SMALLEY, VI (VIOLA) R. | I | CHIEF LEGAL COUNSEL/CORPORATE SECRETARY | NA | Control |
| SMALLEY, VI (VIOLA) R. | I | CHIEF LEGAL COUNSEL/CORPORATE SECRETARY | NA | Control |
| SMALLEY, VI (VIOLA) R. | I | CHIEF LEGAL COUNSEL/CORPORATE SECRETARY | NA | Control |
| SMALLEY, VI (VIOLA) R. | I | CHIEF LEGAL COUNSEL/CORPORATE SECRETARY | NA | Control |
| SMALLEY, VI (VIOLA) R. | I | CHIEF LEGAL COUNSEL/CORPORATE SECRETARY | NA | Control |
| SMALLEY, VI (VIOLA) R. | I | CHIEF LEGAL COUNSEL/CORPORATE SECRETARY | NA | Control |
| SMALLEY, VI (VIOLA) R. | I | CHIEF LEGAL COUNSEL/CORPORATE SECRETARY | NA | Control |
| SMALLEY, VI (VIOLA) R. | I | CHIEF LEGAL COUNSEL/CORPORATE SECRETARY | NA | Control |
| SONLIN, STEPHEN | I | DIRECTOR | NA | Control |
| SONLIN, STEPHEN | I | DIRECTOR | NA | Control |
| SONLIN, STEPHEN | I | DIRECTOR | NA | Control |
| SONLIN, STEPHEN | I | DIRECTOR | NA | Control |
| SONLIN, STEPHEN | I | DIRECTOR | NA | Control |
| SONLIN, STEPHEN | I | DIRECTOR | NA | Control |
| SONLIN, STEPHEN | I | DIRECTOR | NA | Control |
| SONLIN, STEPHEN | I | DIRECTOR | NA | Control |
| CONNING & COMPANY | DE | DIRECT OWNER | E | Control |
| CONNING & COMPANY | DE | DIRECT OWNER | E | Control |
| CONNING & COMPANY | DE | DIRECT OWNER | E | Control |
| CONNING & COMPANY | DE | DIRECT OWNER | E | Control |
| CONNING & COMPANY | DE | DIRECT OWNER | E | Control |
| CONNING & COMPANY | DE | DIRECT OWNER | E | Control |
| CONNING & COMPANY | DE | DIRECT OWNER | E | Control |
| CONNING & COMPANY | DE | DIRECT OWNER | E | Control |
| CONNING & COMPANY | DE | DIRECT OWNER | E | Control |
| CONNING & COMPANY | DE | DIRECT OWNER | E | Control |
| CONNING & COMPANY | DE | DIRECT OWNER | E | Control |
| CONNING & COMPANY | DE | DIRECT OWNER | E | Control |
| CONNING & COMPANY | DE | DIRECT OWNER | E | Control |
| CONNING & COMPANY | DE | DIRECT OWNER | E | Control |
| CONNING & COMPANY | DE | DIRECT OWNER | E | Control |
| CONNING & COMPANY | DE | SHAREHOLDER | E | Control |
| CONNING & COMPANY | DE | SHAREHOLDER | E | Control |
| CONNING & COMPANY | DE | SHAREHOLDER | E | Control |
| CONNING & COMPANY | DE | SHAREHOLDER | E | Control |
| CONNING & COMPANY | DE | SHAREHOLDER | E | Control |
| CONNING & COMPANY | DE | SHAREHOLDER | E | Control |
| CONNING & COMPANY | DE | SHAREHOLDER | E | Control |
| CONNING & COMPANY | DE | SHAREHOLDER | E | Control |
| CONNING & COMPANY | DE | SHAREHOLDER | E | Control |
| CONNING & COMPANY | DE | SHAREHOLDER | E | Control |
| CONNING & COMPANY | DE | SHAREHOLDER | E | Control |
| CONNING & COMPANY | DE | SHAREHOLDER | E | Control |
| CONNING & COMPANY | DE | SHAREHOLDER | E | Control |
| CONNING & COMPANY | DE | SHAREHOLDER | E | Control |
| CONNING & COMPANY | DE | SHAREHOLDER | E | Control |
| CONNING & COMPANY | DE | SHAREHOLDER | E | Control |
| CONNING & COMPANY | DE | SHAREHOLDER | E | Control |
| CONNING & COMPANY | DE | SHAREHOLDER | E | Control |
| CONNING & COMPANY | DE | SHAREHOLDER | E | Control |
| CONNING & COMPANY | DE | SHAREHOLDER | E | Control |
| CONNING & COMPANY | DE | SHAREHOLDER | E | Control |
| CONNING & COMPANY | DE | SHAREHOLDER | E | Control |
| FOX-PITT, KELTON CORPORATION | DE | 100% SHAREHOLDER | E | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| CATHAY FINANCIAL HOLDING CO. LTD | FE | CONNING HOLDINGS CORP. | F | Control |
| CATHAY FINANCIAL HOLDING CO. LTD | FE | CONNING HOLDINGS CORP. | F | Control |
| ASSICURAZIONI GENERALI S.P.A | FE | GENERALI INVESTMENT HOLDING S.P.A | E | Control |
| ASSICURAZIONI GENERALI S.P.A | FE | GENERALI INVESTMENT HOLDING S.P.A | E | Control |
| ASSICURAZIONI GENERALI S.P.A | FE | GENERALI INVESTMENT HOLDING S.P.A | E | Control |
| CATHAY FINANCIAL HOLDING CO., LTD. | FE | CATHAY LIFE INSURANCE CO., LTD | E | Control |
| CATHAY FINANCIAL HOLDING CO., LTD. | FE | CATHAY LIFE INSURANCE CO., LTD | E | Control |
| CATHAY FINANCIAL HOLDING CO., LTD. | FE | CATHAY LIFE INSURANCE CO., LTD | E | Control |
| CATHAY FINANCIAL HOLDING CO., LTD. | FE | CATHAY LIFE INSURANCE CO., LTD | E | Control |
| CATHAY FINANCIAL HOLDING CO., LTD. | FE | CATHAY LIFE INSURANCE CO., LTD | E | Control |
| CATHAY FINANCIAL HOLDING CO., LTD. | FE | CATHAY LIFE INSURANCE CO., LTD | E | Control |
| CATHAY FINANCIAL HOLDING CO., LTD. | FE | CATHAY LIFE INSURANCE CO., LTD | E | Control |
| CATHAY FINANCIAL HOLDING CO., LTD. | FE | CATHAY LIFE INSURANCE CO., LTD | E | Control |
| CATHAY FINANCIAL HOLDING CO., LTD. | FE | CATHAY LIFE INSURANCE CO., LTD | E | Control |
| CATHAY FINANCIAL HOLDING CO., LTD. | FE | CATHAY LIFE INSURANCE CO., LTD | E | Control |
| CATHAY FINANCIAL HOLDING CO., LTD. | FE | CATHAY LIFE INSURANCE CO., LTD | E | Control |
| CATHAY FINANCIAL HOLDING CO., LTD. | FE | CATHAY LIFE INSURANCE CO., LTD | E | Control |
| CATHAY FINANCIAL HOLDING CO., LTD. | FE | CATHAY LIFE INSURANCE CO., LTD | E | Control |
| CATHAY FINANCIAL HOLDING CO., LTD. | FE | CATHAY LIFE INSURANCE CO., LTD | E | Control |
| CATHAY FINANCIAL HOLDING CO., LTD. | FE | CATHAY LIFE INSURANCE CO., LTD | E | Control |
| CATHAY FINANCIAL HOLDING CO., LTD. | FE | CATHAY LIFE INSURANCE CO., LTD | E | Control |
| CATHAY FINANCIAL HOLDING CO., LTD. | FE | CATHAY LIFE INSURANCE CO., LTD | E | Control |
| CATHAY FINANCIAL HOLDING CO., LTD. | FE | CATHAY LIFE INSURANCE CO., LTD | E | Control |
| CATHAY FINANCIAL HOLDING CO., LTD. | FE | CATHAY LIFE INSURANCE CO., LTD | E | Control |
| CATHAY LIFE INSURANCE CO., LTD. | FE | CONNING HOLDINGS LIMITED | E | Control |
| CATHAY LIFE INSURANCE CO., LTD. | FE | CONNING HOLDINGS LIMITED | E | Control |
| CATHAY LIFE INSURANCE CO., LTD. | FE | CONNING HOLDINGS LIMITED | E | Control |
| CATHAY LIFE INSURANCE CO., LTD. | FE | CONNING HOLDINGS LIMITED | E | Control |
| CATHAY LIFE INSURANCE CO., LTD. | FE | CONNING HOLDINGS LIMITED | E | Control |
| CATHAY LIFE INSURANCE CO., LTD. | FE | CONNING HOLDINGS LIMITED | E | Control |
| CATHAY LIFE INSURANCE CO., LTD. | FE | CONNING HOLDINGS LIMITED | E | Control |
| CATHAY LIFE INSURANCE CO., LTD. | FE | CONNING HOLDINGS LIMITED | E | Control |
| CATHAY LIFE INSURANCE CO., LTD. | FE | CONNING HOLDINGS LIMITED | E | Control |
| CATHAY LIFE INSURANCE CO., LTD. | FE | CONNING HOLDINGS LIMITED | E | Control |
| CATHAY LIFE INSURANCE CO., LTD. | FE | CONNING HOLDINGS LIMITED | E | Control |
| CATHAY LIFE INSURANCE CO., LTD. | FE | CONNING HOLDINGS LIMITED | E | Control |
| CATHAY LIFE INSURANCE CO., LTD. | FE | CONNING HOLDINGS LIMITED | E | Control |
| CATHAY LIFE INSURANCE CO., LTD. | FE | CONNING HOLDINGS LIMITED | E | Control |
| CATHAY LIFE INSURANCE CO., LTD. | FE | CONNING HOLDINGS LIMITED | E | Control |
| CATHAY LIFE INSURANCE CO., LTD. | FE | CONNING HOLDINGS LIMITED | E | Control |
| CATHAY LIFE INSURANCE CO., LTD. | FE | CONNING HOLDINGS LIMITED | E | Control |
| CATHAY LIFE INSURANCE CO., LTD. | FE | CONNING HOLDINGS LIMITED | E | Control |
| CATHAY LIFE INSURANCE CO., LTD. | FE | CONNING HOLDINGS LIMITED | E | Control |
| CONNING HOLDINGS CORP | DE | CONNING & COMPANY | E | Control |
| CONNING HOLDINGS CORP | DE | CONNING & COMPANY | E | Control |
| CONNING HOLDINGS CORP | DE | CONNING & COMPANY | E | Control |
| CONNING HOLDINGS CORP | DE | CONNING & COMPANY | E | Control |
| CONNING HOLDINGS CORP | DE | CONNING & COMPANY | E | Control |
| CONNING HOLDINGS CORP | DE | CONNING & COMPANY | E | Control |
| CONNING HOLDINGS CORP | DE | CONNING & COMPANY | E | Control |
| CONNING HOLDINGS CORP | DE | CONNING & COMPANY | E | Control |
| CONNING HOLDINGS CORP | DE | CONNING & COMPANY | E | Control |
| CONNING HOLDINGS CORP | DE | CONNING & COMPANY | E | Control |
| CONNING HOLDINGS CORP | DE | CONNING & COMPANY | E | Control |
| CONNING HOLDINGS CORP | DE | CONNING & COMPANY | E | Control |
| CONNING HOLDINGS CORP | DE | CONNING & COMPANY | E | Control |
| CONNING HOLDINGS CORP | DE | CONNING & COMPANY | E | Control |
| CONNING HOLDINGS CORP | DE | CONNING & COMPANY | E | Control |
| CONNING HOLDINGS CORP | DE | CONNING & COMPANY | E | Control |
| CONNING HOLDINGS CORP | DE | CONNING & COMPANY | E | Control |
| CONNING HOLDINGS CORP | DE | CONNING & COMPANY | E | Control |
| CONNING HOLDINGS CORP | DE | CONNING & COMPANY | E | Control |
| CONNING HOLDINGS CORP | DE | CONNING & COMPANY | E | Control |
| CONNING HOLDINGS CORP | DE | CONNING & COMPANY | E | Control |
| CONNING HOLDINGS CORP | DE | CONNING & COMPANY | E | Control |
| CONNING HOLDINGS CORP. | DE | CONNING & COMPANY | E | Control |
| CONNING HOLDINGS CORP. | DE | CONNING & COMPANY | E | Control |
| CONNING HOLDINGS CORP. | DE | CONNING & COMPANY | E | Control |
| CONNING HOLDINGS CORP. | DE | CONNING & COMPANY | E | Control |
| CONNING HOLDINGS CORP. | DE | CONNING & COMPANY | E | Control |
| CONNING HOLDINGS LIMITED | FE | CONNING U.S. HOLDINGS, INC. | E | Control |
| CONNING HOLDINGS LIMITED | FE | CONNING U.S. HOLDINGS, INC. | E | Control |
| CONNING HOLDINGS LIMITED | FE | CONNING U.S. HOLDINGS, INC. | E | Control |
| CONNING HOLDINGS LIMITED | FE | CONNING U.S. HOLDINGS, INC. | E | Control |
| CONNING HOLDINGS LIMITED | FE | CONNING U.S. HOLDINGS, INC. | E | Control |
| CONNING HOLDINGS LIMITED | FE | CONNING U.S. HOLDINGS, INC. | E | Control |
| CONNING HOLDINGS LIMITED | FE | CONNING U.S. HOLDINGS, INC. | E | Control |
| CONNING HOLDINGS LIMITED | FE | CONNING U.S. HOLDINGS, INC. | E | Control |
| CONNING HOLDINGS LIMITED | FE | CONNING U.S. HOLDINGS, INC. | E | Control |
| CONNING HOLDINGS LIMITED | FE | CONNING U.S. HOLDINGS, INC. | E | Control |
| CONNING HOLDINGS LIMITED | FE | CONNING U.S. HOLDINGS, INC. | E | Control |
| CONNING HOLDINGS LIMITED | FE | CONNING U.S. HOLDINGS, INC. | E | Control |
| CONNING HOLDINGS LIMITED | FE | CONNING U.S. HOLDINGS, INC. | E | Control |
| CONNING HOLDINGS LIMITED | FE | CONNING U.S. HOLDINGS, INC. | E | Control |
| CONNING HOLDINGS LIMITED | FE | CONNING U.S. HOLDINGS, INC. | E | Control |
| CONNING HOLDINGS LIMITED | FE | CONNING U.S. HOLDINGS, INC. | E | Control |
| CONNING HOLDINGS LIMITED | FE | CONNING U.S. HOLDINGS, INC. | E | Control |
| CONNING HOLDINGS LIMITED | FE | CONNING U.S. HOLDINGS, INC. | E | Control |
| CONNING HOLDINGS LIMITED | FE | CONNING U.S. HOLDINGS, INC. | E | Control |
| CONNING HOLDINGS LIMITED | FE | CONNING U.S. HOLDINGS, INC. | E | Control |
| CONNING HOLDINGS LIMITED | FE | CONNING U.S. HOLDINGS, INC. | E | Control |
| CONNING HOLDINGS LIMITED | FE | CONNING U.S. HOLDINGS, INC. | E | Control |
| CONNING U.S. HOLDINGS, INC. | DE | CONNING HOLDINGS CORP. | E | Control |
| CONNING U.S. HOLDINGS, INC. | DE | CONNING HOLDINGS CORP. | E | Control |
| CONNING U.S. HOLDINGS, INC. | DE | CONNING HOLDINGS CORP. | E | Control |
| CONNING U.S. HOLDINGS, INC. | DE | CONNING HOLDINGS CORP. | E | Control |
| CONNING U.S. HOLDINGS, INC. | DE | CONNING HOLDINGS CORP. | E | Control |
| CONNING U.S. HOLDINGS, INC. | DE | CONNING HOLDINGS CORP. | E | Control |
| CONNING U.S. HOLDINGS, INC. | DE | CONNING HOLDINGS CORP. | E | Control |
| CONNING U.S. HOLDINGS, INC. | DE | CONNING HOLDINGS CORP. | E | Control |
| CONNING U.S. HOLDINGS, INC. | DE | CONNING HOLDINGS CORP. | E | Control |
| CONNING U.S. HOLDINGS, INC. | DE | CONNING HOLDINGS CORP. | E | Control |
| CONNING U.S. HOLDINGS, INC. | DE | CONNING HOLDINGS CORP. | E | Control |
| CONNING U.S. HOLDINGS, INC. | DE | CONNING HOLDINGS CORP. | E | Control |
| CONNING U.S. HOLDINGS, INC. | DE | CONNING HOLDINGS CORP. | E | Control |
| CONNING U.S. HOLDINGS, INC. | DE | CONNING HOLDINGS CORP. | E | Control |
| CONNING U.S. HOLDINGS, INC. | DE | CONNING HOLDINGS CORP. | E | Control |
| CONNING U.S. HOLDINGS, INC. | DE | CONNING HOLDINGS CORP. | E | Control |
| CONNING U.S. HOLDINGS, INC. | DE | CONNING HOLDINGS CORP. | E | Control |
| CONNING U.S. HOLDINGS, INC. | DE | CONNING HOLDINGS CORP. | E | Control |
| CONNING U.S. HOLDINGS, INC. | DE | CONNING HOLDINGS CORP. | E | Control |
| CONNING U.S. HOLDINGS, INC. | DE | CONNING HOLDINGS CORP. | E | Control |
| CONNING U.S. HOLDINGS, INC. | DE | CONNING HOLDINGS CORP. | E | Control |
| CONNING U.S. HOLDINGS, INC. | DE | CONNING HOLDINGS CORP. | E | Control |
| FOX-PITT, KELTON GROUP LTD | FE | FOX-PITT KELTON CORPORATION | E | Control |
| GENERALI INVESTMENTS HOLDING S.P.A | FE | CONNING HOLDING LIMITED | E | Control |
| GENERALI INVESTMENTS HOLDING S.P.A | FE | CONNING HOLDING LIMITED | E | Control |
| GENERALI INVESTMENTS HOLDING S.P.A | FE | CONNING HOLDING LIMITED | E | Control |
| SWISS RE AMERICA HOLDING CO. | DE | CONNING & COMPANY | E | Control |
| SWISS RE AMERICA HOLDING CO. | DE | CONNING & COMPANY | E | Control |
| SWISS RE AMERICA HOLDING CO. | DE | CONNING & COMPANY | E | Control |
| SWISS RE AMERICA HOLDING CO. | DE | CONNING & COMPANY | E | Control |
| SWISS RE AMERICA HOLDING CO. | DE | CONNING & COMPANY | E | Control |
| SWISS RE AMERICA HOLDING CO. | DE | CONNING & COMPANY | E | Control |
| SWISS RE AMERICA HOLDING CO. | DE | CONNING & COMPANY | E | Control |
| SWISS RE AMERICA HOLDING CO. | DE | CONNING & COMPANY | E | Control |
| SWISS RE GB LTD | FE | FOX-PITT, KELTON GROUP LTD | E | Control |
| SWISS REINSURANCE COMPANY | FE | SWISS RE AMERICAN HOLDING CO. | E | Control |
| SWISS REINSURANCE COMPANY | FE | SWISS RE AMERICAN HOLDING CO. | E | Control |
| SWISS REINSURANCE COMPANY | FE | SWISS RE AMERICAN HOLDING CO. | E | Control |
| SWISS REINSURANCE COMPANY | FE | SWISS RE AMERICAN HOLDING CO. | E | Control |
| SWISS REINSURANCE COMPANY | FE | SWISS RE AMERICAN HOLDING CO. | E | Control |
| SWISS REINSURANCE COMPANY | FE | SWISS RE AMERICAN HOLDING CO. | E | Control |
| SWISS REINSURANCE COMPANY | FE | SWISS RE AMERICAN HOLDING CO. | E | Control |
| SWISS REINSURANCE COMPANY | FE | SWISS RE AMERICAN HOLDING CO. | E | Control |
| SWISS REINSURANCE COMPANY | FE | SWISS RE GB LTD. | E | Control |
| AQUILINE FINANCIAL SERVICES FUND L.P. | DE | CONNING HOLDINGS CORP | D | Control |
| AQUILINE FINANCIAL SERVICES FUND L.P. | DE | CONNING HOLDINGS CORP | D | Control |
| AQUILINE FINANCIAL SERVICES FUND L.P. | DE | CONNING HOLDINGS CORP | D | Control |
| AQUILINE FINANCIAL SERVICES FUND L.P. | DE | CONNING HOLDINGS CORP | D | Control |
| AQUILINE FINANCIAL SERVICES FUND L.P. | DE | CONNING HOLDINGS CORP | D | Control |
| AQUILINE FINANCIAL SERVICES FUND (OFFSHORE) L.P. | FE | CONNING HOLDINGS CORP | C | Control |
| AQUILINE FINANCIAL SERVICES FUND (OFFSHORE) L.P. | FE | CONNING HOLDINGS CORP | C | Control |
| AQUILINE FINANCIAL SERVICES FUND (OFFSHORE) L.P. | FE | CONNING HOLDINGS CORP | C | Control |
| AQUILINE FINANCIAL SERVICES FUND (OFFSHORE) L.P. | FE | CONNING HOLDINGS CORP | C | Control |
| AQUILINE FINANCIAL SERVICES FUND (OFFSHORE) L.P. | FE | CONNING HOLDINGS CORP | C | Control |
Registrations
Federal
IA
Nov 11, 2025 REGISTERED
Notice Filings (3)
CT MA NY
Address
ONE FINANCIAL PLAZAHARTFORD, CT 06103
United States
Phone: 860-299-2000