DUNHAM & ASSOCIATES INVESTMENT COUNSEL, INC.
Legal name: DUNHAM
CRD #13162 SEC #801-25803 SAN DIEGO, CA 858-964-0500
SEC Registered Broker-Dealer
Total AUM
$4.7B
Discretionary
$3.8B
Employees
39
Clients
0
Accounts
12,032
Firm Details
- Organization Type
- Corporation
- State of Formation
- California
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Nov 13, 2025
- Branch Offices
- 1
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| ALBRIGHT, SCOTT ATHAN MR. | I | INVESTMENT ADVISOR REPRESENTATIVE/SR. ANALYST | NA | |
| ALBRIGHT, SCOTT ATHAN MR. | I | SR. ANALYST/PORTFOLIO MANAGER/IAR | NA | |
| ALBRIGHT, SCOTT ATHAN MR. | I | SR. ANALYST/PORTFOLIO MANAGER/IAR | NA | |
| ALBRIGHT, SCOTT ATHAN MR. | I | SR. ANALYST/PORTFOLIO MANAGER/IAR | NA | |
| ALBRIGHT, SCOTT ATHAN MR. | I | SR. ANALYST/PORTFOLIO MANAGER/IAR | NA | |
| ARENDELL, VALERIE ANN | I | DIRECTOR OF SALES/MARKETING | NA | Control |
| BOISCH, HELMUT | I | CHIEF OPERATIONS OFFICER | NA | Control |
| BOISCH, HELMUT | I | CHIEF OPERATIONS OFFICER | NA | Control |
| BOISCH, HELMUT | I | CHIEF OPERATIONS OFFICER | NA | Control |
| BOISCH, HELMUT | I | CHIEF OPERATIONS OFFICER | NA | Control |
| BOISCH, HELMUT | I | CHIEF OPERATIONS OFFICER | NA | Control |
| BOISCH, HELMUT | I | CHIEF OPERATIONS OFFICER | NA | Control |
| BOISCH, HELMUT | I | CHIEF OPERATIONS OFFICER | NA | Control |
| BOISCH, HELMUT | I | CHIEF OPERATIONS OFFICER | NA | Control |
| BOISCH, HELMUT | I | CHIEF OPERATIONS OFFICER | NA | Control |
| BOISCH, HELMUT | I | CHIEF OPERATIONS OFFICER | NA | Control |
| BOISCH, HELMUT | I | CHIEF OPERATIONS OFFICER | NA | Control |
| BOISCH, HELMUT | I | CHIEF OPERATIONS OFFICER | NA | Control |
| BOISCH, HELMUT | I | CHIEF OPERATIONS OFFICER | NA | Control |
| BOISCH, HELMUT | I | CHIEF OPERATIONS OFFICER | NA | Control |
| BOISCH, HELMUT | I | CHIEF OPERATIONS OFFICER | NA | Control |
| BOISCH, HELMUT | I | CHIEF OPERATIONS OFFICER | NA | Control |
| BOISCH, HELMUT | I | CHIEF OPERATIONS OFFICER | NA | Control |
| BOISCH, HELMUT | I | CHIEF OPERATIONS OFFICER | NA | Control |
| BOISCH, HELMUT | I | CHIEF OPERATIONS OFFICER | NA | Control |
| BOISCH, HELMUT | I | CHIEF OPERATIONS OFFICER | NA | Control |
| BOISCH, HELMUT | I | CHIEF OPERATIONS OFFICER | NA | Control |
| BOISCH, HELMUT | I | CHIEF OPERATIONS OFFICER | NA | Control |
| BOISCH, HELMUT | I | CHIEF OPERATIONS OFFICER | NA | Control |
| BOISCH, HELMUT | I | CHIEF OPERATIONS OFFICER | NA | Control |
| BOISCH, HELMUT | I | CHIEF OPERATIONS OFFICER | NA | Control |
| CAPIZZI, SALVATORE MICHAEL | I | CHIEF SALES AND MARKETING OFFICER | NA | Control |
| CAPIZZI, SALVATORE MICHAEL | I | CHIEF SALES AND MARKETING OFFICER | NA | Control |
| CAPIZZI, SALVATORE MICHAEL | I | CHIEF SALES AND MARKETING OFFICER | NA | Control |
| CAPIZZI, SALVATORE MICHAEL | I | CHIEF SALES AND MARKETING OFFICER | NA | Control |
| CAPIZZI, SALVATORE MICHAEL | I | CHIEF SALES AND MARKETING OFFICER | NA | Control |
| CAPIZZI, SALVATORE MICHAEL | I | CHIEF SALES AND MARKETING OFFICER | NA | Control |
| CAPIZZI, SALVATORE MICHAEL | I | CHIEF SALES AND MARKETING OFFICER | NA | Control |
| CAPIZZI, SALVATORE MICHAEL | I | CHIEF SALES AND MARKETING OFFICER | NA | Control |
| CAPIZZI, SALVATORE MICHAEL | I | CHIEF SALES AND MARKETING OFFICER | NA | Control |
| CAPIZZI, SALVATORE MICHAEL | I | CHIEF SALES AND MARKETING OFFICER | NA | Control |
| CAPIZZI, SALVATORE MICHAEL | I | CHIEF SALES AND MARKETING OFFICER | NA | Control |
| CAPIZZI, SALVATORE MICHAEL | I | CHIEF SALES AND MARKETING OFFICER | NA | Control |
| CAPIZZI, SALVATORE MICHAEL | I | CHIEF SALES AND MARKETING OFFICER | NA | Control |
| CAPIZZI, SALVATORE MICHAEL | I | CHIEF SALES AND MARKETING OFFICER | NA | Control |
| CAPIZZI, SALVATORE MICHAEL | I | CHIEF SALES AND MARKETING OFFICER | NA | Control |
| CAPIZZI, SALVATORE MICHAEL | I | CHIEF SALES AND MARKETING OFFICER | NA | Control |
| CAPIZZI, SALVATORE MICHAEL | I | CHIEF SALES AND MARKETING OFFICER | NA | Control |
| CAPIZZI, SALVATORE MICHAEL | I | CHIEF SALES AND MARKETING OFFICER | NA | Control |
| CAPIZZI, SALVATORE MICHAEL | I | CHIEF SALES AND MARKETING OFFICER | NA | Control |
| CAPIZZI, SALVATORE MICHAEL | I | CHIEF SALES AND MARKETING OFFICER | NA | Control |
| CAPIZZI, SALVATORE MICHAEL | I | CHIEF SALES AND MARKETING OFFICER | NA | Control |
| CAPIZZI, SALVATORE MICHAEL | I | CHIEF SALES AND MARKETING OFFICER | NA | Control |
| CAPIZZI, SALVATORE MICHAEL | I | CHIEF SALES AND MARKETING OFFICER | NA | Control |
| CAPIZZI, SALVATORE MICHAEL | I | CHIEF SALES AND MARKETING OFFICER | NA | Control |
| CAPIZZI, SALVATORE MICHAEL | I | CHIEF SALES AND MARKETING OFFICER | NA | Control |
| CAPIZZI, SALVATORE MICHAEL | I | CHIEF SALES AND MARKETING OFFICER | NA | Control |
| CAPIZZI, SALVATORE MICHAEL | I | CHIEF SALES AND MARKETING OFFICER | NA | Control |
| CAPIZZI, SALVATORE MICHAEL | I | CHIEF SALES AND MARKETING OFFICER | NA | Control |
| CAPIZZI, SALVATORE MICHAEL | I | CHIEF SALES AND MARKETING OFFICER | NA | Control |
| CAPIZZI, SALVATORE MICHAEL | I | CHIEF SALES AND MARKETING OFFICER | NA | Control |
| CAPIZZI, SALVATORE MICHAEL | I | CHIEF SALES AND MARKETING OFFICER | NA | Control |
| CAPIZZI, SALVATORE MICHAEL | I | CHIEF SALES AND MARKETING OFFICER | NA | Control |
| CAPIZZI, SALVATORE MICHAEL | I | CHIEF SALES AND MARKETING OFFICER | NA | Control |
| CAPIZZI, SALVATORE MICHAEL | I | CHIEF SALES AND MARKETING OFFICER | NA | Control |
| CAPIZZI, SALVATORE MICHAEL | I | CHIEF SALES AND MARKETING OFFICER | NA | Control |
| CAPIZZI, SALVATORE MICHAEL | I | CHIEF SALES AND MARKETING OFFICER | NA | Control |
| CAPIZZI, SALVATORE MICHAEL | I | CHIEF SALES AND MARKETING OFFICER | NA | Control |
| CAPIZZI, SALVATORE MICHAEL | I | CHIEF SALES AND MARKETING OFFICER | NA | Control |
| CAPIZZI, SALVATORE MICHAEL | I | CHIEF SALES AND MARKETING OFFICER | NA | Control |
| CAPIZZI, SALVATORE MICHAEL | I | CHIEF SALES AND MARKETING OFFICER | NA | Control |
| CAPIZZI, SALVATORE MICHAEL | I | CHIEF SALES AND MARKETING OFFICER | NA | Control |
| CAPIZZI, SALVATORE MICHAEL | I | CHIEF SALES AND MARKETING OFFICER | NA | Control |
| CAPIZZI, SALVATORE MICHAEL | I | CHIEF SALES AND MARKETING OFFICER | NA | Control |
| CAPIZZI, SALVATORE MICHAEL | I | CHIEF SALES AND MARKETING OFFICER | NA | Control |
| CAPIZZI, SALVATORE MICHAEL | I | CHIEF SALES AND MARKETING OFFICER | NA | Control |
| CAPIZZI, SALVATORE MICHAEL | I | CHIEF SALES AND MARKETING OFFICER | NA | Control |
| CAPIZZI, SALVATORE MICHAEL | I | CHIEF SALES AND MARKETING OFFICER | NA | Control |
| CAPIZZI, SALVATORE MICHAEL | I | CHIEF SALES AND MARKETING OFFICER | NA | Control |
| CAPIZZI, SALVATORE MICHAEL | I | CHIEF SALES AND MARKETING OFFICER | NA | Control |
| CAPIZZI, SALVATORE MICHAEL | I | CHIEF SALES AND MARKETING OFFICER | NA | Control |
| CAPIZZI, SALVATORE MICHAEL | I | CHIEF SALES AND MARKETING OFFICER | NA | Control |
| CAPIZZI, SALVATORE MICHAEL | I | CHIEF SALES AND MARKETING OFFICER | NA | Control |
| CAPIZZI, SALVATORE MICHAEL | I | CHIEF SALES AND MARKETING OFFICER | NA | Control |
| CAPIZZI, SALVATORE MICHAEL | I | CHIEF SALES AND MARKETING OFFICER | NA | Control |
| CAPIZZI, SALVATORE MICHAEL | I | CHIEF SALES AND MARKETING OFFICER | NA | Control |
| CAPIZZI, SALVATORE MICHAEL | I | CHIEF SALES AND MARKETING OFFICER | NA | Control |
| CAPIZZI, SALVATORE MICHAEL | I | CHIEF SALES AND MARKETING OFFICER | NA | Control |
| CAPIZZI, SALVATORE MICHAEL | I | CHIEF SALES AND MARKETING OFFICER | NA | Control |
| CAPIZZI, SALVATORE MICHAEL | I | CHIEF SALES AND MARKETING OFFICER | NA | Control |
| CAPIZZI, SALVATORE MICHAEL | I | CHIEF SALES AND MARKETING OFFICER | NA | Control |
| CAPIZZI, SALVATORE MICHAEL | I | CHIEF SALES AND MARKETING OFFICER | NA | Control |
| CAPIZZI, SALVATORE MICHAEL | I | CHIEF SALES AND MARKETING OFFICER | NA | Control |
| CAPIZZI, SALVATORE MICHAEL | I | CHIEF SALES AND MARKETING OFFICER | NA | Control |
| CAPIZZI, SALVATORE MICHAEL | I | CHIEF SALES AND MARKETING OFFICER | NA | Control |
| CAPIZZI, SALVATORE MICHAEL | I | CHIEF SALES AND MARKETING OFFICER | NA | Control |
| CAPIZZI, SALVATORE MICHAEL | I | CHIEF SALES AND MARKETING OFFICER | NA | Control |
| CAPIZZI, SALVATORE MICHAEL | I | CHIEF SALES AND MARKETING OFFICER | NA | Control |
| CAPIZZI, SALVATORE MICHAEL | I | CHIEF SALES AND MARKETING OFFICER | NA | Control |
| CAPIZZI, SALVATORE MICHAEL | I | CHIEF SALES AND MARKETING OFFICER | NA | Control |
| CAPIZZI, SALVATORE MICHAEL | I | CHIEF SALES AND MARKETING OFFICER | NA | Control |
| CAPIZZI, SALVATORE MICHAEL | I | CHIEF SALES AND MARKETING OFFICER | NA | Control |
| CAPIZZI, SALVATORE MICHAEL | I | CHIEF SALES AND MARKETING OFFICER | NA | Control |
| CAPIZZI, SALVATORE MICHAEL | I | CHIEF SALES AND MARKETING OFFICER | NA | Control |
| CAPIZZI, SALVATORE MICHAEL | I | CHIEF SALES AND MARKETING OFFICER | NA | Control |
| CAPIZZI, SALVATORE MICHAEL | I | CHIEF SALES AND MARKETING OFFICER | NA | Control |
| CAPIZZI, SALVATORE MICHAEL | I | CHIEF SALES AND MARKETING OFFICER | NA | Control |
| CAPIZZI, SALVATORE MICHAEL | I | CHIEF SALES AND MARKETING OFFICER | NA | Control |
| CAPIZZI, SALVATORE MICHAEL | I | CHIEF SALES AND MARKETING OFFICER | NA | Control |
| CAPIZZI, SALVATORE MICHAEL | I | CHIEF SALES AND MARKETING OFFICER | NA | Control |
| DUNHAM, JEFFREY ALAN | I | PRESIDENT, SROP | NA | Control |
| DUNHAM, JEFFREY ALAN | I | PRESIDENT, SROP | NA | Control |
| DUNHAM, JEFFREY ALAN | I | PRESIDENT, SROP | NA | Control |
| DUNHAM, JEFFREY ALAN | I | PRESIDENT, SROP | NA | Control |
| DUNHAM, JEFFREY ALAN | I | PRESIDENT, SROP | NA | Control |
| DUNHAM, JEFFREY ALAN | I | PRESIDENT, SROP | NA | Control |
| DUNHAM, JEFFREY ALAN | I | PRESIDENT, SROP | NA | Control |
| DUNHAM, JEFFREY ALAN | I | PRESIDENT, SROP | NA | Control |
| DUNHAM, JEFFREY ALAN | I | PRESIDENT, SROP | NA | Control |
| DUNHAM, JEFFREY ALAN | I | PRESIDENT, SROP | NA | Control |
| DUNHAM, JEFFREY ALAN | I | PRESIDENT, SROP | NA | Control |
| DUNHAM, JEFFREY ALAN | I | PRESIDENT, SROP | NA | Control |
| DUNHAM, JEFFREY ALAN | I | PRESIDENT, SROP, CROP | NA | Control |
| DUNHAM, JEFFREY ALAN | I | PRESIDENT, SROP | NA | Control |
| DUNHAM, JEFFREY ALAN | I | PRESIDENT, SROP | NA | Control |
| DUNHAM, JEFFREY ALAN | I | PRESIDENT, SROP | NA | Control |
| DUNHAM, JEFFREY ALAN | I | PRESIDENT, SROP | NA | Control |
| DUNHAM, JEFFREY ALAN | I | PRESIDENT, SROP | NA | Control |
| DUNHAM, JEFFREY ALAN | I | PRESIDENT, SROP | NA | Control |
| DUNHAM, JEFFREY ALAN | I | PRESIDENT, SROP | NA | Control |
| DUNHAM, JEFFREY ALAN | I | PRESIDENT, SROP | NA | Control |
| DUNHAM, JEFFREY ALAN | I | PRESIDENT, SROP, CROP | NA | Control |
| DUNHAM, JEFFREY ALAN | I | PRESIDENT, SROP | NA | Control |
| DUNHAM, JEFFREY ALAN | I | PRESIDENT, SROP | NA | Control |
| DUNHAM, JEFFREY ALAN | I | PRESIDENT, SROP | NA | Control |
| DUNHAM, JEFFREY ALAN | I | PRESIDENT, SROP | NA | Control |
| DUNHAM, JEFFREY ALAN | I | PRESIDENT, SROP | NA | Control |
| DUNHAM, JEFFREY ALAN | I | PRESIDENT, SROP | NA | Control |
| DUNHAM, JEFFREY ALAN | I | PRESIDENT, SROP | NA | Control |
| DUNHAM, JEFFREY ALAN | I | PRESIDENT, SROP | NA | Control |
| DUNHAM, JEFFREY ALAN | I | PRESIDENT, SROP | NA | Control |
| DUNHAM, JEFFREY ALAN | I | PRESIDENT, SROP | NA | Control |
| DUNHAM, JEFFREY ALAN | I | PRESIDENT, SROP | NA | Control |
| DUNHAM, JEFFREY ALAN | I | PRESIDENT, SROP | NA | Control |
| DUNHAM, JEFFREY ALAN | I | PRESIDENT, SROP | NA | Control |
| DUNHAM, JEFFREY ALAN | I | PRESIDENT, SROP | NA | Control |
| DUNHAM, JEFFREY ALAN | I | PRESIDENT, SROP | NA | Control |
| DUNHAM, JEFFREY ALAN | I | PRESIDENT, SROP | NA | Control |
| DUNHAM, JEFFREY ALAN | I | PRESIDENT, SROP | NA | Control |
| DUNHAM, JEFFREY ALAN | I | PRESIDENT, SROP | NA | Control |
| DUNHAM, JEFFREY ALAN | I | PRESIDENT, SROP | NA | Control |
| DUNHAM, JEFFREY ALAN | I | PRESIDENT, SROP | NA | Control |
| DUNHAM, JEFFREY ALAN | I | PRESIDENT | NA | Control |
| DUNHAM, JEFFREY ALAN | I | PRESIDENT | NA | Control |
| DUNHAM, JEFFREY ALAN | I | PRESIDENT, SROP | NA | Control |
| DUNHAM, JEFFREY ALAN | I | PRESIDENT, SROP | NA | Control |
| DUNHAM, JEFFREY ALAN | I | PRESIDENT, SROP | NA | Control |
| DUNHAM, JEFFREY ALAN | I | PRESIDENT | NA | Control |
| DUNHAM, JEFFREY ALAN | I | PRESIDENT | NA | Control |
| DUNHAM, JEFFREY ALAN | I | PRESIDENT | NA | Control |
| DUNHAM, JEFFREY ALAN | I | PRESIDENT | NA | Control |
| DUNHAM, JEFFREY ALAN | I | PRESIDENT | NA | Control |
| DUNHAM, JEFFREY ALAN | I | PRESIDENT | NA | Control |
| DUNHAM, JEFFREY ALAN | I | PRESIDENT | NA | Control |
| DUNHAM, JEFFREY ALAN | I | PRESIDENT | NA | Control |
| DUNHAM, JEFFREY ALAN | I | PRESIDENT | NA | Control |
| DUNHAM, JEFFREY ALAN | I | PRESIDENT | NA | Control |
| DUNHAM, JEFFREY ALAN | I | PRESIDENT | NA | Control |
| DUNHAM, JEFFREY ALAN | I | PRESIDENT | NA | Control |
| DUNHAM, JEFFREY ALAN | I | PRESIDENT | NA | Control |
| DUNHAM, JEFFREY ALAN | I | PRESIDENT | NA | Control |
| DUNHAM, JEFFREY ALAN | I | PRESIDENT | NA | Control |
| DUNHAM, JEFFREY ALAN | I | PRESIDENT | NA | Control |
| DUNHAM, JEFFREY ALAN | I | PRESIDENT | NA | Control |
| DUNHAM, JEFFREY ALAN | I | PRESIDENT | NA | Control |
| DUNHAM, JEFFREY ALAN | I | PRESIDENT | NA | Control |
| DUNHAM, JEFFREY ALAN | I | PRESIDENT | NA | Control |
| DUNHAM, JEFFREY ALAN | I | PRESIDENT | NA | Control |
| DUNHAM, JEFFREY ALAN | I | PRESIDENT | NA | Control |
| DUNHAM, JEFFREY ALAN | I | PRESIDENT | NA | Control |
| DUNHAM, JEFFREY ALAN | I | PRESIDENT | NA | Control |
| DUNHAM, JEFFREY ALAN | I | PRESIDENT | NA | Control |
| DUNHAM, JEFFREY ALAN | I | PRESIDENT | NA | Control |
| DUNHAM, JEFFREY ALAN | I | PRESIDENT | NA | Control |
| DUNHAM, JEFFREY ALAN | I | PRESIDENT | NA | Control |
| DUNHAM, JEFFREY ALAN | I | PRESIDENT | NA | Control |
| DUNHAM, JEFFREY ALAN | I | PRESIDENT | NA | Control |
| DUNHAM, JEFFREY ALAN | I | PRESIDENT | NA | Control |
| DUNHAM, JEFFREY ALAN | I | PRESIDENT | NA | Control |
| DUNHAM, JEFFREY ALAN | I | PRESIDENT | NA | Control |
| DUNHAM, JEFFREY ALAN | I | PRESIDENT | NA | Control |
| DUNHAM, JEFFREY ALAN | I | PRESIDENT | NA | Control |
| DUNHAM, JEFFREY ALAN | I | PRESIDENT | NA | Control |
| DUNHAM, JEFFREY ALAN | I | PRESIDENT | NA | Control |
| DUNHAM, JEFFREY ALAN | I | PRESIDENT | NA | Control |
| DUNHAM, JEFFREY ALAN | I | PRESIDENT | NA | Control |
| DUNHAM, JEFFREY ALAN | I | PRESIDENT | NA | Control |
| DUNHAM, JEFFREY ALAN | I | PRESIDENT | NA | Control |
| DUNHAM, JEFFREY ALAN | I | PRESIDENT | NA | Control |
| DUNHAM, JEFFREY ALAN | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| DYKMANS, RYAN JOHN | I | CHIEF INVESTMENT OFFICER | NA | Control |
| DYKMANS, RYAN JOHN | I | CHIEF INVESTMENT OFFICER | NA | Control |
| DYKMANS, RYAN JOHN | I | CHIEF INVESTMENT OFFICER | NA | Control |
| DYKMANS, RYAN JOHN | I | CHIEF INVESTMENT OFFICER | NA | Control |
| DYKMANS, RYAN JOHN | I | CHIEF INVESTMENT OFFICER | NA | Control |
| DYKMANS, RYAN JOHN | I | CHIEF INVESTMENT OFFICER | NA | Control |
| DYKMANS, RYAN JOHN | I | CHIEF INVESTMENT OFFICER | NA | Control |
| DYKMANS, RYAN JOHN | I | CHIEF INVESTMENT OFFICER | NA | Control |
| DYKMANS, RYAN JOHN | I | CHIEF INVESTMENT OFFICER | NA | Control |
| DYKMANS, RYAN JOHN | I | CHIEF INVESTMENT OFFICER | NA | Control |
| DYKMANS, RYAN JOHN | I | CHIEF INVESTMENT OFFICER | NA | Control |
| DYKMANS, RYAN JOHN | I | CHIEF INVESTMENT OFFICER | NA | Control |
| DYKMANS, RYAN JOHN | I | CHIEF INVESTMENT OFFICER | NA | Control |
| DYKMANS, RYAN JOHN | I | CHIEF INVESTMENT OFFICER | NA | Control |
| DYKMANS, RYAN JOHN | I | CHIEF INVESTMENT OFFICER | NA | Control |
| DYKMANS, RYAN JOHN | I | CHIEF INVESTMENT OFFICER | NA | Control |
| DYKMANS, RYAN JOHN | I | PRESIDENT AND CHIEF INVESTMENT OFFICER | NA | Control |
| DYKMANS, RYAN JOHN | I | PRESIDENT AND CHIEF INVESTMENT OFFICER | NA | Control |
| EISENMANN, CHARLES RICHARD | I | DIRECTOR OF CLIENT SERVICES, CROP | NA | Control |
| EISENMANN, CHARLES RICHARD | I | DIRECTOR OF CLIENT SERVICES, CROP | NA | Control |
| FINDEISEN, HILAREY MAY | I | OPERATIONS DIRECTOR | NA | Control |
| FINDEISEN, HILAREY MAY | I | OPERATIONS DIRECTOR | NA | Control |
| FINDEISEN, HILAREY MAY | I | OPERATIONS DIRECTOR | NA | Control |
| FINDEISEN, HILAREY MAY | I | OPERATIONS DIRECTOR | NA | Control |
| FINDEISEN, HILAREY MAY | I | OPERATIONS DIRECTOR | NA | Control |
| FINDEISEN, HILAREY MAY | I | OPERATIONS DIRECTOR | NA | Control |
| FINDEISEN, HILAREY MAY | I | OPERATIONS DIRECTOR | NA | Control |
| FINDEISEN, HILAREY MAY | I | OPERATIONS DIRECTOR | NA | Control |
| FINDEISEN, HILAREY MAY | I | OPERATIONS DIRECTOR | NA | Control |
| FINDEISEN, HILAREY MAY | I | OPERATIONS DIRECTOR | NA | Control |
| FINDEISEN, HILAREY MAY | I | OPERATIONS DIRECTOR | NA | Control |
| FINDEISEN, HILAREY MAY | I | OPERATIONS DIRECTOR | NA | Control |
| FINDEISEN, HILAREY MAY | I | OPERATIONS DIRECTOR | NA | Control |
| FINDEISEN, HILAREY MAY | I | OPERATIONS DIRECTOR | NA | Control |
| FINDEISEN, HILAREY MAY | I | OPERATIONS DIRECTOR | NA | Control |
| FINDEISEN, HILAREY MAY | I | OPERATIONS DIRECTOR | NA | Control |
| FINDEISEN, HILAREY MAY | I | OPERATIONS DIRECTOR | NA | Control |
| FINDEISEN, HILAREY MAY | I | OPERATIONS DIRECTOR | NA | Control |
| FINDEISEN, HILAREY MAY | I | OPERATIONS DIRECTOR | NA | Control |
| FINDEISEN, HILAREY MAY | I | OPERATIONS DIRECTOR | NA | Control |
| FINDEISEN, HILAREY MAY | I | OPERATIONS DIRECTOR | NA | Control |
| FINDEISEN, HILAREY MAY | I | OPERATIONS DIRECTOR | NA | Control |
| FINDEISEN, HILAREY MAY | I | OPERATIONS DIRECTOR | NA | Control |
| FINDEISEN, HILAREY MAY | I | OPERATIONS DIRECTOR | NA | Control |
| FINDEISEN, HILAREY MAY | I | OPERATIONS DIRECTOR | NA | Control |
| FINDEISEN, HILAREY MAY | I | OPERATIONS DIRECTOR | NA | Control |
| FINDEISEN, HILAREY MAY | I | OPERATIONS DIRECTOR | NA | Control |
| FINDEISEN, HILAREY MAY | I | OPERATIONS DIRECTOR | NA | Control |
| FINDEISEN, HILAREY MAY | I | OPERATIONS DIRECTOR | NA | Control |
| FINDEISEN, HILAREY MAY | I | OPERATIONS DIRECTOR | NA | Control |
| FINDEISEN, HILAREY MAY | I | OPERATIONS DIRECTOR | NA | Control |
| FINDEISEN, HILAREY MAY | I | OPERATIONS DIRECTOR | NA | Control |
| FINDEISEN, HILAREY MAY | I | OPERATIONS DIRECTOR | NA | Control |
| FINDEISEN, HILAREY MAY | I | OPERATIONS DIRECTOR | NA | Control |
| FINDEISEN, HILAREY MAY | I | OPERATIONS DIRECTOR | NA | Control |
| FINDEISEN, HILAREY MAY | I | OPERATIONS DIRECTOR | NA | Control |
| FINDEISEN, HILAREY MAY | I | OPERATIONS DIRECTOR | NA | Control |
| FINDEISEN, HILAREY MAY | I | OPERATIONS DIRECTOR | NA | Control |
| FINDEISEN, HILAREY MAY | I | OPERATIONS DIRECTOR | NA | Control |
| FINDEISEN, HILAREY MAY | I | OPERATIONS DIRECTOR | NA | Control |
| FINDEISEN, HILAREY MAY | I | OPERATIONS DIRECTOR | NA | Control |
| FINDEISEN, HILAREY MAY | I | OPERATIONS DIRECTOR | NA | Control |
| FINDEISEN, HILAREY MAY | I | OPERATIONS DIRECTOR | NA | Control |
| FINDEISEN, HILAREY MAY | I | OPERATIONS DIRECTOR | NA | Control |
| FINDEISEN, HILAREY MAY | I | OPERATIONS DIRECTOR | NA | Control |
| FINDEISEN, HILAREY MAY | I | OPERATIONS DIRECTOR | NA | Control |
| FINDEISEN, HILAREY MAY | I | OPERATIONS DIRECTOR | NA | Control |
| FINDEISEN, HILAREY MAY | I | OPERATIONS DIRECTOR | NA | Control |
| FINDEISEN, HILAREY MAY | I | OPERATIONS DIRECTOR | NA | Control |
| FINDEISEN, HILAREY MAY | I | OPERATIONS DIRECTOR | NA | Control |
| FINDEISEN, HILAREY MAY | I | OPERATIONS DIRECTOR | NA | Control |
| FINDEISEN, HILAREY MAY | I | OPERATIONS DIRECTOR | NA | Control |
| FINDEISEN, HILAREY MAY | I | OPERATIONS DIRECTOR | NA | Control |
| FINDEISEN, HILAREY MAY | I | OPERATIONS DIRECTOR | NA | Control |
| FINDEISEN, HILAREY MAY | I | OPERATIONS DIRECTOR | NA | Control |
| FINDEISEN, HILAREY MAY | I | OPERATIONS DIRECTOR | NA | Control |
| FINDEISEN, HILAREY MAY | I | OPERATIONS DIRECTOR | NA | Control |
| FINDEISEN, HILAREY MAY | I | OPERATIONS DIRECTOR | NA | Control |
| FINDEISEN, HILAREY MAY | I | OPERATIONS DIRECTOR | NA | Control |
| FINDEISEN, HILAREY MAY | I | OPERATIONS DIRECTOR | NA | Control |
| FINDEISEN, HILAREY MAY | I | OPERATIONS DIRECTOR | NA | Control |
| FINDEISEN, HILAREY MAY | I | OPERATIONS DIRECTOR | NA | Control |
| FINDEISEN, HILAREY MAY | I | OPERATIONS DIRECTOR | NA | Control |
| FINDEISEN, HILAREY MAY | I | OPERATIONS DIRECTOR | NA | Control |
| FINDEISEN, HILAREY MAY | I | OPERATIONS DIRECTOR | NA | Control |
| GARDYNE, JENNIFER KIM | I | CHIEF FINANCIAL OFFICER | NA | Control |
| GREGG, KEITH EDWARD | I | CHIEF SALES OFFICER | NA | Control |
| GREGG, KEITH EDWARD | I | CHIEF SALES OFFICER | NA | Control |
| GREGG, KEITH EDWARD | I | CHIEF SALES OFFICER | NA | Control |
| GREGG, KEITH EDWARD | I | CHIEF SALES OFFICER | NA | Control |
| HESS, DAVID PAUL | I | CCO | NA | |
| HESS, DAVID PAUL | I | CCO | NA | |
| HOLMES, DAVID LEE | I | INVESTMENT ADVISOR REPRESENTATIVE | NA | Control |
| HOLMES, DAVID LEE | I | PORTFOLIO MANAGER/IAR | NA | |
| HOLMES, DAVID LEE | I | PORTFOLIO MANAGER/IAR | NA | |
| HOLMES, DAVID LEE | I | PORTFOLIO MANAGER/IAR | NA | |
| HOLMES, DAVID LEE | I | INVESTMENT ADVISOR REPRESENTATIVE/PM | NA | |
| HOLMES, DAVID LEE | I | PORTFOLIO MANAGER/IAR | NA | |
| HOLMES, DAVID LEE | I | PORTFOLIO MANAGER/IAR | NA | |
| HOLMES, DAVID LEE | I | PORTFOLIO MANAGER/IAR | NA | |
| HOLMES, DAVID LEE | I | PORTFOLIO MANAGER/IAR | NA | |
| HOLMES, DAVID LEE | I | PORTFOLIO MANAGER/IAR | NA | |
| HOLMES, DAVID LEE | I | PORTFOLIO MANAGER/IAR | NA | |
| HOLMES, DAVID LEE | I | PORTFOLIO MANAGER/IAR | NA | |
| HOLMES, DAVID LEE | I | PORTFOLIO MANAGER/IAR | NA | |
| HOLMES, DAVID LEE | I | PORTFOLIO MANAGER/IAR | NA | |
| HOLMES, DAVID LEE | I | PORTFOLIO MANAGER/IAR | NA | |
| HOLMES, DAVID LEE | I | PORTFOLIO MANAGER/IAR | NA | |
| IVERSON, DENISE SUE MS. | I | CFO | NA | Control |
| IVERSON, DENISE SUE MS. | I | CFO | NA | Control |
| IVERSON, DENISE SUE MS. | I | CFO | NA | Control |
| IVERSON, DENISE SUE MS. | I | CFO | NA | Control |
| IVERSON, DENISE SUE MS. | I | CFO | NA | Control |
| IVERSON, DENISE SUE MS. | I | CFO | NA | Control |
| IVERSON, DENISE SUE MS. | I | CFO | NA | Control |
| IVERSON, DENISE SUE MS. | I | CFO | NA | Control |
| IVERSON, DENISE SUE MS. | I | CFO | NA | Control |
| IVERSON, DENISE SUE MS. | I | CFO | NA | Control |
| IVERSON, DENISE SUE MS. | I | CFO | NA | Control |
| IVERSON, DENISE SUE MS. | I | CFO | NA | Control |
| IVERSON, DENISE SUE MS. | I | CFO | NA | Control |
| IVERSON, DENISE SUE MS. | I | CFO | NA | Control |
| IVERSON, DENISE SUE MS. | I | CFO | NA | Control |
| IVERSON, DENISE SUE MS. | I | CFO | NA | Control |
| IVERSON, DENISE SUE MS. | I | CFO | NA | Control |
| IVERSON, DENISE SUE MS. | I | CFO | NA | Control |
| IVERSON, DENISE SUE MS. | I | CFO | NA | Control |
| IVERSON, DENISE SUE MS. | I | CFO | NA | Control |
| IVERSON, DENISE SUE MS. | I | CFO | NA | Control |
| IVERSON, DENISE SUE MS. | I | CFO | NA | Control |
| IVERSON, DENISE SUE MS. | I | CFO | NA | Control |
| IVERSON, DENISE SUE MS. | I | CFO | NA | Control |
| IVERSON, DENISE SUE MS. | I | CFO | NA | Control |
| IVERSON, DENISE SUE MS. | I | CFO | NA | Control |
| IVERSON, DENISE SUE MS. | I | CFO | NA | Control |
| IVERSON, DENISE SUE MS. | I | CFO | NA | Control |
| IVERSON, DENISE SUE MS. | I | CFO | NA | Control |
| IVERSON, DENISE SUE MS. | I | CFO | NA | Control |
| IVERSON, DENISE SUE MS. | I | CFO | NA | Control |
| IVERSON, DENISE SUE MS. | I | CFO | NA | Control |
| IVERSON, DENISE SUE MS. | I | CFO | NA | Control |
| IVERSON, DENISE SUE MS. | I | CFO | NA | Control |
| IVERSON, DENISE SUE MS. | I | CFO | NA | Control |
| IVERSON, DENISE SUE MS. | I | CFO | NA | Control |
| IVERSON, DENISE SUE MS. | I | CFO | NA | Control |
| IVERSON, DENISE SUE MS. | I | CFO | NA | Control |
| IVERSON, DENISE SUE MS. | I | CFO | NA | Control |
| IVERSON, DENISE SUE MS. | I | CFO | NA | Control |
| IVERSON, DENISE SUE MS. | I | CFO | NA | Control |
| IVERSON, DENISE SUE MS. | I | CFO | NA | Control |
| IVERSON, DENISE SUE MS. | I | CFO | NA | Control |
| IVERSON, DENISE SUE MS. | I | CFO | NA | Control |
| IVERSON, DENISE SUE MS. | I | CFO | NA | Control |
| IVERSON, DENISE SUE MS. | I | CFO | NA | Control |
| IVERSON, DENISE SUE MS. | I | CFO | NA | Control |
| IVERSON, DENISE SUE MS. | I | CFO | NA | Control |
| IVERSON, DENISE SUE MS. | I | CFO | NA | Control |
| IVERSON, DENISE SUE MS. | I | CFO | NA | Control |
| IVERSON, DENISE SUE MS. | I | CFO | NA | Control |
| IVERSON, DENISE SUE MS. | I | CFO | NA | Control |
| IVERSON, DENISE SUE MS. | I | CFO | NA | Control |
| IVERSON, DENISE SUE MS. | I | CFO | NA | Control |
| IVERSON, DENISE SUE MS. | I | CFO | NA | Control |
| IVERSON, DENISE SUE MS. | I | CFO | NA | Control |
| IVERSON, DENISE SUE MS. | I | CFO | NA | Control |
| IVERSON, DENISE SUE MS. | I | CFO | NA | Control |
| IVERSON, DENISE SUE MS. | I | CFO | NA | Control |
| IVERSON, DENISE SUE MS. | I | CFO | NA | Control |
| IVERSON, DENISE SUE MS. | I | CFO | NA | Control |
| IVERSON, DENISE SUE MS. | I | CFO | NA | Control |
| IVERSON, DENISE SUE MS. | I | CFO | NA | Control |
| IVERSON, DENISE SUE MS. | I | CFO | NA | Control |
| IVERSON, DENISE SUE MS. | I | CFO | NA | Control |
| IVERSON, DENISE SUE MS. | I | CFO | NA | Control |
| IVERSON, DENISE SUE MS. | I | CFO | NA | Control |
| IVERSON, DENISE SUE MS. | I | CFO | NA | Control |
| IVERSON, DENISE SUE MS. | I | CFO | NA | Control |
| IVERSON, DENISE SUE MS. | I | CFO | NA | Control |
| IVERSON, DENISE SUE MS. | I | CFO | NA | Control |
| IVERSON, DENISE SUE MS. | I | CFO | NA | Control |
| IVERSON, DENISE SUE MS. | I | CFO | NA | Control |
| IVERSON, DENISE SUE MS. | I | CFO | NA | Control |
| IVERSON, DENISE SUE MS. | I | CFO | NA | Control |
| IVERSON, DENISE SUE MS. | I | CFO | NA | Control |
| IVERSON, DENISE SUE MS. | I | CFO | NA | Control |
| IVERSON, DENISE SUE MS. | I | CFO | NA | Control |
| IVERSON, DENISE SUE MS. | I | CFO | NA | Control |
| IVERSON, DENISE SUE MS. | I | CFO | NA | Control |
| IVERSON, DENISE SUE MS. | I | CFO | NA | Control |
| IVERSON, DENISE SUE MS. | I | CFO | NA | Control |
| IVERSON, DENISE SUE MS. | I | CFO | NA | Control |
| KEARNY, JAMES ROBERT | I | CHIEF COMPLIANCE OFFICER | NA | |
| KEARNY, JAMES ROBERT | I | CHIEF COMPLIANCE OFFICER | NA | |
| KEARNY, JAMES ROBERT | I | CHIEF COMPLIANCE OFFICER | NA | |
| KEARNY, JAMES ROBERT | I | CHIEF COMPLIANCE OFFICER | NA | |
| KEARNY, JAMES ROBERT | I | CHIEF COMPLIANCE OFFICER | NA | |
| KEARNY, JAMES ROBERT | I | CHIEF COMPLIANCE OFFICER | NA | |
| KEARNY, JAMES ROBERT | I | CHIEF COMPLIANCE OFFICER | NA | |
| KEARNY, JAMES ROBERT | I | CHIEF COMPLIANCE OFFICER | NA | |
| KEARNY, JAMES ROBERT | I | CHIEF COMPLIANCE OFFICER | NA | |
| KEARNY, JAMES ROBERT | I | CHIEF COMPLIANCE OFFICER | NA | |
| KEARNY, JAMES ROBERT | I | CHIEF COMPLIANCE OFFICER | NA | |
| KEARNY, JAMES ROBERT | I | CHIEF COMPLIANCE OFFICER | NA | |
| KEARNY, JAMES ROBERT | I | CHIEF COMPLIANCE OFFICER | NA | |
| KEARNY, JAMES ROBERT | I | CHIEF COMPLIANCE OFFICER | NA | |
| KELLY, JOSEPH PETER II | I | CHIEF LEGAL OFFICER | NA | Control |
| KELLY, JOSEPH PETER II | I | CHIEF LEGAL OFFICER | NA | Control |
| KELLY, JOSEPH PETER II | I | CHIEF LEGAL OFFICER | NA | Control |
| KELLY, JOSEPH PETER II | I | CHIEF LEGAL OFFICER/CHIEF COMPLIANCE OFFICER | NA | Control |
| KELLY, JOSEPH PETER II | I | CHIEF LEGAL OFFICER/CHIEF COMPLIANCE OFFICER | NA | Control |
| KELLY, JOSEPH PETER II | I | CHIEF LEGAL OFFICER/CHIEF COMPLIANCE OFFICER | NA | Control |
| KELLY, JOSEPH PETER II | I | CHIEF LEGAL OFFICER/CHIEF COMPLIANCE OFFICER | NA | Control |
| KELLY, JOSEPH PETER II | I | CHIEF LEGAL OFFICER/CHIEF COMPLIANCE OFFICER | NA | Control |
| KELLY, JOSEPH PETER II | I | CHIEF LEGAL OFFICER/CHIEF COMPLIANCE OFFICER | NA | Control |
| KELLY, JOSEPH PETER II | I | CHIEF LEGAL OFFICER/CHIEF COMPLIANCE OFFICER | NA | Control |
| KELLY, JOSEPH PETER II | I | CHIEF LEGAL OFFICER/CHIEF COMPLIANCE OFFICER | NA | Control |
| KELLY, JOSEPH PETER II | I | CHIEF LEGAL OFFICER/CHIEF COMPLIANCE OFFICER | NA | Control |
| KELLY, JOSEPH PETER II | I | CHIEF LEGAL OFFICER/CHIEF COMPLIANCE OFFICER | NA | Control |
| KELLY, JOSEPH PETER II | I | CHIEF LEGAL OFFICER/CHIEF COMPLIANCE OFFICER | NA | Control |
| KELLY, JOSEPH PETER II | I | CHIEF LEGAL OFFICER/CHIEF COMPLIANCE OFFICER | NA | Control |
| KELLY, JOSEPH PETER II | I | CHIEF LEGAL OFFICER/CHIEF COMPLIANCE OFFICER | NA | Control |
| KELLY, JOSEPH PETER II | I | CHIEF LEGAL OFFICER/CHIEF COMPLIANCE OFFICER | NA | Control |
| KELLY, JOSEPH PETER II | I | CHIEF LEGAL OFFICER/CHIEF COMPLIANCE OFFICER | NA | Control |
| KELLY, JOSEPH PETER II | I | CHIEF LEGAL OFFICER/CHIEF COMPLIANCE OFFICER | NA | Control |
| KELLY, JOSEPH PETER II | I | CHIEF LEGAL OFFICER/CHIEF COMPLIANCE OFFICER | NA | Control |
| KELLY, JOSEPH PETER II | I | CHIEF LEGAL OFFICER/CHIEF COMPLIANCE OFFICER | NA | Control |
| NAKAMURA, LARRY TRISTON | I | DIRECTOR OF COMPLIANCE | NA | |
| NUNEZ, KURT R | I | DIRECTOR OF CLIENT SERVICES | NA | |
| NUNEZ, KURT R | I | CHIEF COMPLIANCE OFFICER | NA | |
| NUNEZ, KURT R | I | CHIEF COMPLIANCE OFFICER | NA | |
| NUNEZ, KURT R | I | CHIEF COMPLIANCE OFFICER | NA | |
| NUNEZ, KURT R | I | DIRECTOR OF CLIENT SERVICES | NA | |
| NUNEZ, KURT R | I | CHIEF COMPLIANCE OFFICER | NA | |
| NUNEZ, KURT R | I | DIRECTOR OF CLIENT SERVICES | NA | |
| NUNEZ, KURT R | I | CHIEF COMPLIANCE OFFICER | NA | |
| NUNEZ, KURT R | I | CHIEF COMPLIANCE OFFICER | NA | |
| NUNEZ, KURT R | I | CHIEF COMPLIANCE OFFICER | NA | |
| NUNEZ, KURT R | I | CHIEF COMPLIANCE OFFICER | NA | |
| NUNEZ, KURT R | I | DIRECTOR OF CLIENT SERVICES | NA | |
| NUNEZ, KURT R | I | DIRECTOR OF CLIENT SERVICES | NA | |
| NUNEZ, KURT R | I | DIRECTOR OF CLIENT SERVICES | NA | |
| NUNEZ, KURT R | I | DIRECTOR OF CLIENT SERVICES | NA | |
| NUNEZ, KURT R | I | DIRECTOR OF CLIENT SERVICES | NA | |
| NUNEZ, KURT R | I | CHIEF COMPLIANCE OFFICER | NA | |
| NUNEZ, KURT R | I | DIRECTOR OF CLIENT SERVICES | NA | |
| NUNEZ, KURT R | I | DIRECTOR OF CLIENT SERVICES | NA | |
| NUNEZ, KURT R | I | CHIEF COMPLIANCE OFFICER | NA | |
| NUNEZ, KURT R | I | CHIEF COMPLIANCE OFFICER | NA | |
| NUNEZ, KURT R | I | CHIEF COMPLIANCE OFFICER | NA | |
| NUNEZ, KURT R | I | CHIEF COMPLIANCE OFFICER | NA | |
| NUNEZ, KURT R | I | CHIEF COMPLIANCE OFFICER | NA | |
| NUNEZ, KURT R | I | CHIEF COMPLIANCE OFFICER | NA | |
| NUNEZ, KURT R | I | CHIEF COMPLIANCE OFFICER | NA | |
| NUNEZ, KURT R | I | CHIEF COMPLIANCE OFFICER | NA | |
| NUNEZ, KURT R | I | CHIEF COMPLIANCE OFFICER | NA | |
| NUNEZ, KURT R | I | CHIEF COMPLIANCE OFFICER | NA | |
| NUNEZ, KURT R | I | CHIEF COMPLIANCE OFFICER | NA | |
| NUNEZ, KURT R | I | CHIEF COMPLIANCE OFFICER | NA | |
| NUNEZ, KURT R | I | CHIEF COMPLIANCE OFFICER | NA | |
| NUNEZ, KURT R | I | CHIEF COMPLIANCE OFFICER | NA | |
| NUNEZ, KURT R | I | CHIEF COMPLIANCE OFFICER | NA | |
| PALERMO, VIKTORIA IRENA | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| PALERMO, VIKTORIA IRENA | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| PALERMO, VIKTORIA IRENA | I | CHIEF COMPLIANCE OFFICER | NA | |
| PALERMO, VIKTORIA IRENA | I | CHIEF COMPLIANCE OFFICER | NA | |
| PALERMO, VIKTORIA IRENA | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| PALERMO, VIKTORIA IRENA | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| PALERMO, VIKTORIA IRENA | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| PALERMO, VIKTORIA IRENA | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| PALERMO, VIKTORIA IRENA | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| PALERMO, VIKTORIA IRENA | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| PALERMO, VIKTORIA IRENA | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| PALERMO, VIKTORIA IRENA | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| PALERMO, VIKTORIA IRENA | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| PALERMO, VIKTORIA IRENA | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| PALERMO, VIKTORIA IRENA | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| PALERMO, VIKTORIA IRENA | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| PALERMO, VIKTORIA IRENA | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| PALERMO, VIKTORIA IRENA | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| PALERMO, VIKTORIA IRENA | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| PALERMO, VIKTORIA IRENA | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| PALERMO, VIKTORIA IRENA | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| PALERMO, VIKTORIA IRENA | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| PALERMO, VIKTORIA IRENA | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| PALERMO, VIKTORIA IRENA | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| PALERMO, VIKTORIA IRENA | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| PALERMO, VIKTORIA IRENA | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| PALERMO, VIKTORIA IRENA | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| STEFFE, JOSEPH DON | I | VICE PRESIDENT SALES & MARKETING | NA | Control |
| WENDOLL, TAMARA BETH | I | CHIEF OPERATING OFFICER | NA | Control |
| WENDOLL, TAMARA BETH | I | CHIEF OPERATING OFFICER | NA | Control |
| WENDOLL, TAMARA BETH | I | CHIEF OPERATING OFFICER | NA | Control |
| WENDOLL, TAMARA BETH | I | CHIEF OPERATING OFFICER | NA | Control |
| WENDOLL, TAMARA BETH | I | CHIEF OPERATING OFFICER | NA | Control |
| WENDOLL, TAMARA BETH | I | CHIEF OPERATING OFFICER | NA | Control |
| WENDOLL, TAMARA BETH | I | CHIEF OPERATING OFFICER | NA | Control |
| WENDOLL, TAMARA BETH | I | CHIEF OPERATING OFFICER | NA | Control |
| WENDOLL, TAMARA BETH | I | CHIEF OPERATING OFFICER | NA | Control |
| WENDOLL, TAMARA BETH | I | CHIEF OPERATING OFFICER | NA | Control |
| WENDOLL, TAMARA BETH | I | CHIEF OPERATING OFFICER | NA | Control |
| WENDOLL, TAMARA BETH | I | CHIEF OPERATING OFFICER | NA | Control |
| WENDOLL, TAMARA BETH | I | CHIEF OPERATING OFFICER | NA | Control |
| WENDOLL, TAMARA BETH | I | CHIEF OPERATING OFFICER | NA | Control |
| WENDOLL, TAMARA BETH | I | CHIEF OPERATING OFFICER | NA | Control |
| WENDOLL, TAMARA BETH | I | CHIEF OPERATING OFFICER | NA | Control |
| WENDOLL, TAMARA BETH | I | CHIEF OPERATING OFFICER | NA | Control |
| WENDOLL, TAMARA BETH | I | CHIEF OPERATING OFFICER | NA | Control |
| WENDOLL, TAMARA BETH | I | CHIEF OPERATING OFFICER | NA | Control |
| WENDOLL, TAMARA BETH | I | CHIEF OPERATING OFFICER | NA | Control |
| WENDOLL, TAMARA BETH | I | CHIEF OPERATING OFFICER/CHIEF COMPLIANCE OFFICER | NA | Control |
| WENDOLL, TAMARA BETH | I | CHIEF OPERATING OFFICER/CHIEF COMPLIANCE OFFICER | NA | Control |
| WENDOLL, TAMARA BETH | I | CHIEF OPERATING OFFICER | NA | Control |
| WENDOLL, TAMARA BETH | I | CHIEF OPERATING OFFICER | NA | Control |
| WENDOLL, TAMARA BETH | I | CHIEF OPERATING OFFICER | NA | Control |
| WENDOLL, TAMARA BETH | I | CHIEF OPERATING OFFICER | NA | Control |
| WENDOLL, TAMARA BETH | I | CHIEF OPERATING OFFICER/CHIEF COMPLIANCE OFFICER | NA | Control |
| WENDOLL, TAMARA BETH | I | CHIEF OPERATING OFFICER | NA | Control |
| WENDOLL, TAMARA BETH | I | CHIEF OPERATING OFFICER | NA | Control |
| WENDOLL, TAMARA BETH | I | CHIEF OPERATING OFFICER | NA | Control |
| WENDOLL, TAMARA BETH | I | CHIEF OPERATING OFFICER | NA | Control |
| WENDOLL, TAMARA BETH | I | CHIEF OPERATING OFFICER | NA | Control |
| WENDOLL, TAMARA BETH | I | CHIEF OPERATING OFFICER | NA | Control |
| WENDOLL, TAMARA BETH | I | CHIEF OPERATING OFFICER | NA | Control |
| WENDOLL, TAMARA BETH | I | CHIEF OPERATING OFFICER | NA | Control |
| WENDOLL, TAMARA BETH | I | CHIEF OPERATING OFFICER | NA | Control |
| WENDOLL, TAMARA BETH | I | CHIEF OPERATING OFFICER | NA | Control |
| WENDOLL, TAMARA BETH | I | CHIEF OPERATING OFFICER | NA | Control |
| WENDOLL, TAMARA BETH | I | CHIEF OPERATING OFFICER | NA | Control |
| WENDOLL, TAMARA BETH | I | CHIEF OPERATING OFFICER | NA | Control |
| WENDOLL, TAMARA BETH | I | CHIEF OPERATING OFFICER | NA | Control |
| WENDOLL, TAMARA BETH | I | CHIEF OPERATING OFFICER | NA | Control |
| WENDOLL, TAMARA BETH | I | CHIEF OPERATING OFFICER | NA | Control |
| WENDOLL, TAMARA BETH | I | CHIEF OPERATING OFFICER | NA | Control |
| WENDOLL, TAMARA BETH | I | CHIEF OPERATING OFFICER | NA | Control |
| WENDOLL, TAMARA BETH | I | CHIEF OPERATING OFFICER | NA | Control |
| WENDOLL, TAMARA BETH | I | CHIEF OPERATING OFFICER | NA | Control |
| WENDOLL, TAMARA BETH | I | CHIEF OPERATING OFFICER | NA | Control |
| WENDOLL, TAMARA BETH | I | CHIEF OPERATING OFFICER | NA | Control |
| WENDOLL, TAMARA BETH | I | CHIEF OPERATING OFFICER | NA | Control |
| WENDOLL, TAMARA BETH | I | CHIEF OPERATING OFFICER | NA | Control |
| WENDOLL, TAMARA BETH | I | CHIEF OPERATING OFFICER | NA | Control |
| WOODALL, SHELLY ANN | I | COMPLIANCE DIRECTOR | NA | Control |
| YOUNG, JOHN VALLANCE III | I | CLIENT SERVICES DIRECTOR | NA | Control |
| ZOU, JING | I | CFO | NA | Control |
| ZOU, JING | I | CFO | NA | Control |
| ZOU, JING | I | CFO | NA | Control |
| ZOU, JING | I | CFO | NA | Control |
| ZOU, JING | I | CFO | NA | Control |
| DUNHAM & ASSOCIATES HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| DUNHAM & ASSOCIATES HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| DUNHAM & ASSOCIATES HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| DUNHAM & ASSOCIATES HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| DUNHAM & ASSOCIATES HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| DUNHAM & ASSOCIATES HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| DUNHAM & ASSOCIATES HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| DUNHAM & ASSOCIATES HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| DUNHAM & ASSOCIATES HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| DUNHAM & ASSOCIATES HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| DUNHAM & ASSOCIATES HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| DUNHAM & ASSOCIATES HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| DUNHAM & ASSOCIATES HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| DUNHAM & ASSOCIATES HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| DUNHAM & ASSOCIATES HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| DUNHAM & ASSOCIATES HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| DUNHAM & ASSOCIATES HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| DUNHAM & ASSOCIATES HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| DUNHAM & ASSOCIATES HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| DUNHAM & ASSOCIATES HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| DUNHAM & ASSOCIATES HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| DUNHAM & ASSOCIATES HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| DUNHAM & ASSOCIATES HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| DUNHAM & ASSOCIATES HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| DUNHAM & ASSOCIATES HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| DUNHAM & ASSOCIATES HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| DUNHAM & ASSOCIATES HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| DUNHAM & ASSOCIATES HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| DUNHAM & ASSOCIATES HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| DUNHAM & ASSOCIATES HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| DUNHAM & ASSOCIATES HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| DUNHAM & ASSOCIATES HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| DUNHAM & ASSOCIATES HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| DUNHAM & ASSOCIATES HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| DUNHAM & ASSOCIATES HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| DUNHAM & ASSOCIATES HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| DUNHAM & ASSOCIATES HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| DUNHAM & ASSOCIATES HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| DUNHAM & ASSOCIATES HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| DUNHAM & ASSOCIATES HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| DUNHAM & ASSOCIATES HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| DUNHAM & ASSOCIATES HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| DUNHAM & ASSOCIATES HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| DUNHAM & ASSOCIATES HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| DUNHAM & ASSOCIATES HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| DUNHAM & ASSOCIATES HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| DUNHAM & ASSOCIATES HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| DUNHAM & ASSOCIATES HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| DUNHAM & ASSOCIATES HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| DUNHAM & ASSOCIATES HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| DUNHAM & ASSOCIATES HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| DUNHAM & ASSOCIATES HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| DUNHAM & ASSOCIATES HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| DUNHAM & ASSOCIATES HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| DUNHAM & ASSOCIATES HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| DUNHAM & ASSOCIATES HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| DUNHAM & ASSOCIATES HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| DUNHAM & ASSOCIATES HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| DUNHAM & ASSOCIATES HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| DUNHAM & ASSOCIATES HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| DUNHAM & ASSOCIATES HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| DUNHAM & ASSOCIATES HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| DUNHAM & ASSOCIATES HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| DUNHAM & ASSOCIATES HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| DUNHAM & ASSOCIATES HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| DUNHAM & ASSOCIATES HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| DUNHAM & ASSOCIATES HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| DUNHAM & ASSOCIATES HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| DUNHAM & ASSOCIATES HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| DUNHAM & ASSOCIATES HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| DUNHAM & ASSOCIATES HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| DUNHAM & ASSOCIATES HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| DUNHAM & ASSOCIATES HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| DUNHAM & ASSOCIATES HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| DUNHAM & ASSOCIATES HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| DUNHAM & ASSOCIATES HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| DUNHAM & ASSOCIATES HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| DUNHAM & ASSOCIATES HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| DUNHAM & ASSOCIATES HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| DUNHAM & ASSOCIATES HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| DUNHAM & ASSOCIATES HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| DUNHAM & ASSOCIATES HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| DUNHAM & ASSOCIATES HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| DUNHAM & ASSOCIATES HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| DUNHAM & ASSOCIATES HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| DUNHAM & ASSOCIATES HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| DUNHAM & ASSOCIATES HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| DUNHAM & ASSOCIATES HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| DUNHAM & ASSOCIATES HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| DUNHAM & ASSOCIATES HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| DUNHAM, JEFFREY ALAN | I | DUNHAM & ASSOCIATES HOLDINGS, INC. | E | Control |
| DUNHAM, JEFFREY ALAN | I | DUNHAM & ASSOCIATES HOLDINGS, INC. | E | Control |
| DUNHAM, JEFFREY ALAN | I | DUNHAM & ASSOCIATES HOLDINGS, INC. | E | Control |
| DUNHAM, JEFFREY ALAN | I | DUNHAM & ASSOCIATES HOLDINGS, INC. | E | Control |
| DUNHAM, JEFFREY ALAN | I | DUNHAM & ASSOCIATES HOLDINGS, INC. | E | Control |
| DUNHAM, JEFFREY ALAN | I | DUNHAM & ASSOCIATES HOLDINGS, INC. | E | Control |
| DUNHAM, JEFFREY ALAN | I | DUNHAM & ASSOCIATES HOLDINGS, INC. | E | Control |
| DUNHAM, JEFFREY ALAN | I | DUNHAM & ASSOCIATES HOLDINGS, INC. | E | Control |
| DUNHAM, JEFFREY ALAN | I | DUNHAM & ASSOCIATES HOLDINGS, INC. | E | Control |
| DUNHAM, JEFFREY ALAN | I | DUNHAM & ASSOCIATES HOLDINGS, INC. | E | Control |
| DUNHAM, JEFFREY ALAN | I | DUNHAM & ASSOCIATES HOLDINGS, INC. | E | Control |
| DUNHAM, JEFFREY ALAN | I | DUNHAM & ASSOCIATES HOLDINGS, INC. | E | Control |
| DUNHAM, JEFFREY ALAN | I | DUNHAM & ASSOCIATES HOLDINGS, INC. | E | Control |
| DUNHAM, JEFFREY ALAN | I | DUNHAM & ASSOCIATES HOLDINGS, INC. | E | Control |
| DUNHAM, JEFFREY ALAN | I | DUNHAM & ASSOCIATES HOLDINGS, INC. | E | Control |
| DUNHAM, JEFFREY ALAN | I | DUNHAM & ASSOCIATES HOLDINGS, INC. | E | Control |
| DUNHAM, JEFFREY ALAN | I | DUNHAM & ASSOCIATES HOLDINGS, INC. | E | Control |
| DUNHAM, JEFFREY ALAN | I | DUNHAM & ASSOCIATES HOLDINGS, INC. | E | Control |
| DUNHAM, JEFFREY ALAN | I | DUNHAM & ASSOCIATES HOLDINGS, INC. | E | Control |
| DUNHAM, JEFFREY ALAN | I | DUNHAM & ASSOCIATES HOLDINGS, INC. | E | Control |
| DUNHAM, JEFFREY ALAN | I | DUNHAM & ASSOCIATES HOLDINGS, INC. | E | Control |
| DUNHAM, JEFFREY ALAN | I | DUNHAM & ASSOCIATES HOLDINGS, INC. | E | Control |
| DUNHAM, JEFFREY ALAN | I | DUNHAM & ASSOCIATES HOLDINGS, INC. | E | Control |
| DUNHAM, JEFFREY ALAN | I | DUNHAM & ASSOCIATES HOLDINGS, INC. | E | Control |
| DUNHAM, JEFFREY ALAN | I | DUNHAM & ASSOCIATES HOLDINGS, INC. | E | Control |
| DUNHAM, JEFFREY ALAN | I | DUNHAM & ASSOCIATES HOLDINGS, INC. | E | Control |
| DUNHAM, JEFFREY ALAN | I | DUNHAM & ASSOCIATES HOLDINGS, INC. | E | Control |
| DUNHAM, JEFFREY ALAN | I | DUNHAM & ASSOCIATES HOLDINGS, INC. | E | Control |
| DUNHAM, JEFFREY ALAN | I | DUNHAM & ASSOCIATES HOLDINGS, INC. | E | Control |
| DUNHAM, JEFFREY ALAN | I | DUNHAM & ASSOCIATES HOLDINGS, INC. | E | Control |
| DUNHAM, JEFFREY ALAN | I | DUNHAM & ASSOCIATES HOLDINGS, INC. | E | Control |
| DUNHAM, JEFFREY ALAN | I | DUNHAM & ASSOCIATES HOLDINGS, INC. | E | Control |
| DUNHAM, JEFFREY ALAN | I | DUNHAM & ASSOCIATES HOLDINGS, INC. | E | Control |
| DUNHAM, JEFFREY ALAN | I | DUNHAM & ASSOCIATES HOLDINGS, INC. | E | Control |
| DUNHAM, JEFFREY ALAN | I | DUNHAM & ASSOCIATES HOLDINGS, INC. | E | Control |
| DUNHAM, JEFFREY ALAN | I | DUNHAM & ASSOCIATES HOLDINGS, INC. | E | Control |
| DUNHAM, JEFFREY ALAN | I | DUNHAM & ASSOCIATES HOLDINGS, INC. | E | Control |
| DUNHAM, JEFFREY ALAN | I | DUNHAM & ASSOCIATES HOLDINGS, INC. | E | Control |
| DUNHAM, JEFFREY ALAN | I | DUNHAM & ASSOCIATES HOLDINGS, INC. | E | Control |
| DUNHAM, JEFFREY ALAN | I | DUNHAM & ASSOCIATES HOLDINGS, INC. | E | Control |
| DUNHAM, JEFFREY ALAN | I | DUNHAM & ASSOCIATES HOLDINGS, INC. | E | Control |
| DUNHAM, JEFFREY ALAN | I | DUNHAM & ASSOCIATES HOLDINGS, INC. | E | Control |
| DUNHAM, JEFFREY ALAN | I | DUNHAM & ASSOCIATES HOLDINGS, INC. | E | Control |
| DUNHAM, JEFFREY ALAN | I | DUNHAM & ASSOCIATES HOLDINGS, INC. | E | Control |
| DUNHAM, JEFFREY ALAN | I | DUNHAM & ASSOCIATES HOLDINGS, INC. | E | Control |
| DUNHAM, JEFFREY ALAN | I | DUNHAM & ASSOCIATES HOLDINGS, INC. | E | Control |
| DUNHAM, JEFFREY ALAN | I | DUNHAM & ASSOCIATES HOLDINGS, INC. | E | Control |
| DUNHAM, JEFFREY ALAN | I | DUNHAM & ASSOCIATES HOLDINGS, INC. | E | Control |
| DUNHAM, JEFFREY ALAN | I | DUNHAM & ASSOCIATES HOLDINGS, INC. | E | Control |
| DUNHAM, JEFFREY ALAN | I | DUNHAM & ASSOCIATES HOLDINGS, INC. | E | Control |
| DUNHAM, JEFFREY ALAN | I | DUNHAM & ASSOCIATES HOLDINGS, INC. | E | Control |
| DUNHAM, JEFFREY ALAN | I | DUNHAM & ASSOCIATES HOLDINGS, INC. | E | Control |
| DUNHAM, JEFFREY ALAN | I | DUNHAM & ASSOCIATES HOLDINGS, INC. | E | Control |
| DUNHAM, JEFFREY ALAN | I | DUNHAM & ASSOCIATES HOLDINGS, INC. | E | Control |
| DUNHAM, JEFFREY ALAN | I | DUNHAM & ASSOCIATES HOLDINGS, INC. | E | Control |
| DUNHAM, JEFFREY ALAN | I | DUNHAM & ASSOCIATES HOLDINGS, INC. | E | Control |
| DUNHAM, JEFFREY ALAN | I | DUNHAM & ASSOCIATES HOLDINGS, INC. | E | Control |
| DUNHAM, JEFFREY ALAN | I | DUNHAM & ASSOCIATES HOLDINGS, INC. | E | Control |
| DUNHAM, JEFFREY ALAN | I | DUNHAM & ASSOCIATES HOLDINGS, INC. | E | Control |
| DUNHAM, JEFFREY ALAN | I | DUNHAM & ASSOCIATES HOLDINGS, INC. | E | Control |
| DUNHAM, JEFFREY ALAN | I | DUNHAM & ASSOCIATES HOLDINGS, INC. | E | Control |
| DUNHAM, JEFFREY ALAN | I | DUNHAM & ASSOCIATES HOLDINGS, INC. | E | Control |
| DUNHAM, JEFFREY ALAN | I | DUNHAM & ASSOCIATES HOLDINGS, INC. | E | Control |
| DUNHAM, JEFFREY ALAN | I | DUNHAM & ASSOCIATES HOLDINGS, INC. | E | Control |
| DUNHAM, JEFFREY ALAN | I | DUNHAM & ASSOCIATES HOLDINGS, INC. | E | Control |
| DUNHAM, JEFFREY ALAN | I | DUNHAM & ASSOCIATES HOLDINGS, INC. | E | Control |
| DUNHAM, JEFFREY ALAN | I | DUNHAM & ASSOCIATES HOLDINGS, INC. | E | Control |
| DUNHAM, JEFFREY ALAN | I | DUNHAM & ASSOCIATES HOLDINGS, INC. | E | Control |
| DUNHAM, JEFFREY ALAN | I | DUNHAM & ASSOCIATES HOLDINGS, INC. | E | Control |
| DUNHAM, JEFFREY ALAN | I | DUNHAM & ASSOCIATES HOLDINGS, INC. | E | Control |
| DUNHAM, JEFFREY ALAN | I | DUNHAM & ASSOCIATES HOLDINGS, INC. | E | Control |
| DUNHAM, JEFFREY ALAN | I | DUNHAM & ASSOCIATES HOLDINGS, INC. | E | Control |
| DUNHAM, JEFFREY ALAN | I | DUNHAM & ASSOCIATES HOLDINGS, INC. | E | Control |
| DUNHAM, JEFFREY ALAN | I | DUNHAM & ASSOCIATES HOLDINGS, INC. | E | Control |
| DUNHAM, JEFFREY ALAN | I | DUNHAM & ASSOCIATES HOLDINGS, INC. | E | Control |
| DUNHAM, JEFFREY ALAN | I | DUNHAM & ASSOCIATES HOLDINGS, INC. | E | Control |
| DUNHAM, JEFFREY ALAN | I | DUNHAM & ASSOCIATES HOLDINGS, INC. | E | Control |
| DUNHAM, JEFFREY ALAN | I | DUNHAM & ASSOCIATES HOLDINGS, INC. | E | Control |
| DUNHAM, JEFFREY ALAN | I | DUNHAM & ASSOCIATES HOLDINGS, INC. | E | Control |
| DUNHAM, JEFFREY ALAN | I | DUNHAM & ASSOCIATES HOLDINGS, INC. | E | Control |
| DUNHAM, JEFFREY ALAN | I | DUNHAM & ASSOCIATES HOLDINGS, INC. | E | Control |
| DUNHAM, JEFFREY ALAN | I | DUNHAM & ASSOCIATES HOLDINGS, INC. | E | Control |
| DUNHAM, JEFFREY ALAN | I | DUNHAM & ASSOCIATES HOLDINGS, INC. | E | Control |
| DUNHAM, JEFFREY ALAN | I | DUNHAM & ASSOCIATES HOLDINGS, INC. | E | Control |
| DUNHAM, JEFFREY ALAN | I | DUNHAM & ASSOCIATES HOLDINGS, INC. | E | Control |
Registrations
Federal
IA
Nov 13, 2025 REGISTERED
Notice Filings (12)
AZ CA CO CT FL NJ NV NY PA TX VA WI
Address
6256 GREENWICH DRIVESUITE 550
SAN DIEGO, CA 92122
United States
Phone: 858-964-0500