UVEST FINANCIAL SERVICES GROUP, INC.
CRD #13787 SEC #801-47970 CHARLOTTE, NC 800-277-8802
SEC Registered Broker-Dealer
Total AUM
$850M
Discretionary
$120M
Employees
251
Clients
25
Accounts
3,800
Firm Details
- Organization Type
- Corporation
- State of Formation
- North Carolina
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Feb 21, 2007
- Branch Offices
- --
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| ABOOD, DENISE MAROON | I | SVP FINANCE/COMPLIANCE/HUMAN RESOURCES/TECHNOLOGY; SHAREHOLDER; CORPORATE SECRETARY | NA | Control |
| ABOOD, DENISE MAROON | I | SVP FINANCE/COMPLIANCE/HUMAN RESOURCES/TECHNOLOGY; SHAREHOLDER; CORPORATE SECRETARY | NA | Control |
| ALLEN, MARTHA S | I | SHAREHOLDER | NA | |
| ALLEN, MARTHA S | I | SHAREHOLDER | NA | |
| ALLEN, MARTHA S | I | SHAREHOLDER | NA | |
| ALLEN, MARTHA S | I | SHAREHOLDER | NA | |
| ALLEN, MARTHA S | I | SHAREHOLDER | NA | |
| ALLEN, MARTHA S | I | SHAREHOLDER | NA | |
| ALLEN, MARTHA S | I | SHAREHOLDER | NA | |
| ALLEN, MARTHA S | I | SHAREHOLDER | NA | |
| ALLEN, MARTHA S | I | SHAREHOLDER | NA | |
| ALLEN, MARTHA S | I | SHAREHOLDER | NA | |
| ALLEN, MARTHA S | I | SHAREHOLDER | NA | |
| ALLEN, MARTHA S | I | SHAREHOLDER | NA | |
| ARNOLD, DAN HOGAN JR | I | PRESIDENT AND CEO | NA | Control |
| ARNOLD, DAN HOGAN JR | I | MANAGING DIRECTOR AND DIVISIONAL PRESIDENT | NA | Control |
| ARNOLD, DAN HOGAN JR | I | MANAGING DIRECTOR AND DIVISIONAL PRESIDENT | NA | Control |
| ARNOLD, DAN HOGAN JR | I | MANAGING DIRECTOR AND DIVISIONAL PRESIDENT | NA | Control |
| ARNOLD, DAN HOGAN JR | I | MANAGING DIRECTOR AND DIVISIONAL PRESIDENT | NA | Control |
| ARNOLD, DAN HOGAN JR | I | MANAGING DIRECTOR AND DIVISIONAL PRESIDENT | NA | Control |
| ARNOLD, DAN HOGAN JR | I | MANAGING DIRECTOR AND DIVISIONAL PRESIDENT | NA | Control |
| ARNOLD, DAN HOGAN JR | I | MANAGING DIRECTOR AND DIVISIONAL PRESIDENT | NA | Control |
| ARNOLD, DAN HOGAN JR | I | MANAGING DIRECTOR AND DIVISIONAL PRESIDENT | NA | Control |
| ARNOLD, DAN HOGAN JR | I | MANAGING DIRECTOR AND DIVISIONAL PRESIDENT | NA | Control |
| ARNOLD, DAN HOGAN JR | I | PRESIDENT AND CEO | NA | Control |
| ARNOLD, DAN HOGAN JR | I | PRESIDENT AND CEO | NA | Control |
| ARNOLD, DAN HOGAN JR | I | PRESIDENT AND CEO | NA | Control |
| ARNOLD, DAN HOGAN JR | I | PRESIDENT AND CEO | NA | Control |
| ARNOLD, DAN HOGAN JR | I | PRESIDENT AND CEO | NA | Control |
| ARNOLD, DAN HOGAN JR | I | PRESIDENT AND CEO | NA | Control |
| ARNOLD, DAN HOGAN JR | I | PRESIDENT AND CEO | NA | Control |
| ARNOLD, DAN HOGAN JR | I | PRESIDENT AND CEO | NA | Control |
| ARNOLD, DAN HOGAN JR | I | PRESIDENT AND CEO | NA | Control |
| ARNOLD, DAN HOGAN JR | I | MANAGING DIRECTOR AND DIVISIONAL PRESIDENT | NA | Control |
| ARNOLD, DAN HOGAN JR | I | MANAGING DIRECTOR AND DIVISIONAL PRESIDENT | NA | Control |
| ARNOLD, DAN HOGAN JR | I | MANAGING DIRECTOR AND DIVISIONAL PRESIDENT | NA | Control |
| BARKSDALE, ADDISON A | I | SVP MARKETING | NA | Control |
| BARKSDALE, ADDISON A | I | SVP MARKETING | NA | Control |
| BARKSDALE, ADDISON A | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| BARKSDALE, ADDISON A | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| BARKSDALE, ADDISON A | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| BARKSDALE, ADDISON A | I | SVP MARKETING | NA | Control |
| BARKSDALE, ADDISON A | I | SVP MARKETING | NA | Control |
| BARKSDALE, ADDISON A | I | SVP MARKETING | NA | Control |
| BARKSDALE, ADDISON A | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| BARKSDALE, ADDISON A | I | EXECUTIVE VICE PRESIDENT MARKETING | NA | Control |
| BARKSDALE, ANDY ANDREW | I | SVP MARKETING/IMPLEMENTATION; SHAREHOLDER | NA | Control |
| BARKSDALE, ANDY ANDREW | I | SVP MARKETING/IMPLEMENTATION; SHAREHOLDER | NA | Control |
| CASADY, MARK STEPHEN | I | CHAIRMAN OF THE BOARD | NA | Control |
| CASADY, MARK STEPHEN | I | CHAIRMAN OF THE BOARD | NA | Control |
| CASADY, MARK STEPHEN | I | CHAIRMAN OF THE BOARD | NA | Control |
| CASADY, MARK STEPHEN | I | CHAIRMAN OF THE BOARD | NA | Control |
| CASADY, MARK STEPHEN | I | CHAIRMAN OF THE BOARD | NA | Control |
| CASADY, MARK STEPHEN | I | CHAIRMAN OF THE BOARD | NA | Control |
| CASADY, MARK STEPHEN | I | CHAIRMAN OF THE BOARD | NA | Control |
| CASADY, MARK STEPHEN | I | CHAIRMAN OF THE BOARD | NA | Control |
| CASADY, MARK STEPHEN | I | CHAIRMAN OF THE BOARD | NA | Control |
| CASADY, MARK STEPHEN | I | CHAIRMAN OF THE BOARD | NA | Control |
| CASADY, MARK STEPHEN | I | CHAIRMAN OF THE BOARD | NA | Control |
| CASADY, MARK STEPHEN | I | CHAIRMAN OF THE BOARD | NA | Control |
| CASADY, MARK STEPHEN | I | CHAIRMAN OF THE BOARD | NA | Control |
| CASADY, MARK STEPHEN | I | CHAIRMAN OF THE BOARD | NA | Control |
| CASADY, MARK STEPHEN | I | CHAIRMAN OF THE BOARD | NA | Control |
| CASADY, MARK STEPHEN | I | CHAIRMAN OF THE BOARD | NA | Control |
| CASADY, MARK STEPHEN | I | CHAIRMAN OF THE BOARD | NA | Control |
| CASADY, MARK STEPHEN | I | CHAIRMAN OF THE BOARD | NA | Control |
| CASADY, MARK STEPHEN | I | CHAIRMAN OF THE BOARD | NA | Control |
| CASADY, MARK STEPHEN | I | CHAIRMAN OF THE BOARD | NA | Control |
| CASADY, MARK STEPHEN | I | CHAIRMAN OF THE BOARD | NA | Control |
| CASADY, MARK STEPHEN | I | CHAIRMAN OF THE BOARD | NA | Control |
| DWYER, WILLIAM EDWARD III | I | DIRECTOR | NA | Control |
| DWYER, WILLIAM EDWARD III | I | DIRECTOR, MANAGING DIRECTOR AND PRESIDENT OF NATIONAL SALES AND MARKETING | NA | Control |
| DWYER, WILLIAM EDWARD III | I | DIRECTOR, MANAGING DIRECTOR AND PRESIDENT OF NATIONAL SALES AND MARKETING | NA | Control |
| DWYER, WILLIAM EDWARD III | I | DIRECTOR, MANAGING DIRECTOR AND PRESIDENT OF NATIONAL SALES AND MARKETING | NA | Control |
| DWYER, WILLIAM EDWARD III | I | DIRECTOR, MANAGING DIRECTOR AND PRESIDENT OF NATIONAL SALES AND MARKETING | NA | Control |
| DWYER, WILLIAM EDWARD III | I | DIRECTOR, MANAGING DIRECTOR AND PRESIDENT OF NATIONAL SALES AND MARKETING | NA | Control |
| DWYER, WILLIAM EDWARD III | I | DIRECTOR, MANAGING DIRECTOR AND PRESIDENT OF NATIONAL SALES AND MARKETING | NA | Control |
| DWYER, WILLIAM EDWARD III | I | DIRECTOR, MANAGING DIRECTOR AND PRESIDENT OF NATIONAL SALES AND MARKETING | NA | Control |
| DWYER, WILLIAM EDWARD III | I | DIRECTOR, MANAGING DIRECTOR AND PRESIDENT OF NATIONAL SALES AND MARKETING | NA | Control |
| DWYER, WILLIAM EDWARD III | I | DIRECTOR, MANAGING DIRECTOR AND PRESIDENT OF NATIONAL SALES AND MARKETING | NA | Control |
| DWYER, WILLIAM EDWARD III | I | DIRECTOR | NA | Control |
| DWYER, WILLIAM EDWARD III | I | DIRECTOR | NA | Control |
| DWYER, WILLIAM EDWARD III | I | DIRECTOR | NA | Control |
| DWYER, WILLIAM EDWARD III | I | DIRECTOR | NA | Control |
| DWYER, WILLIAM EDWARD III | I | DIRECTOR | NA | Control |
| DWYER, WILLIAM EDWARD III | I | DIRECTOR | NA | Control |
| DWYER, WILLIAM EDWARD III | I | DIRECTOR | NA | Control |
| DWYER, WILLIAM EDWARD III | I | DIRECTOR | NA | Control |
| DWYER, WILLIAM EDWARD III | I | DIRECTOR | NA | Control |
| DWYER, WILLIAM EDWARD III | I | DIRECTOR, MANAGING DIRECTOR AND PRESIDENT OF NATIONAL SALES AND MARKETING | NA | Control |
| DWYER, WILLIAM EDWARD III | I | DIRECTOR, MANAGING DIRECTOR AND PRESIDENT OF NATIONAL SALES AND MARKETING | NA | Control |
| DWYER, WILLIAM EDWARD III | I | DIRECTOR, MANAGING DIRECTOR AND PRESIDENT OF NATIONAL SALES AND MARKETING | NA | Control |
| FALCONER, MICHELE ELIZABETH MS. | I | SR. MANAGER FINANCE | NA | Control |
| FALCONER, MICHELE ELIZABETH MS. | I | SR. MANAGER FINANCE | NA | Control |
| FALCONER, MICHELE ELIZABETH MS. | I | SR. MANAGER FINANCE | NA | Control |
| FRY, CHARLES SHAY IV | I | SVP SALES | NA | Control |
| FRY, CHARLES SHAY IV | I | SVP SALES; SHAREHOLDER | NA | Control |
| FRY, CHARLES SHAY IV | I | SVP SALES; SHAREHOLDER | NA | Control |
| FRY, CHARLES SHAY IV | I | SVP SALES | NA | Control |
| FRY, CHARLES SHAY IV | I | SVP RELATIONSHIP MANAGEMENT | NA | Control |
| FRY, CHARLES SHAY IV | I | SVP SALES AND RELATIONSHIP MANAGEMENT | NA | Control |
| FRY, CHARLES SHAY IV | I | SVP SALES AND RELATIONSHIP MANAGEMENT | NA | Control |
| FRY, CHARLES SHAY IV | I | SVP SALES | NA | Control |
| FRY, CHARLES SHAY IV | I | SVP SALES | NA | Control |
| FRY, CHARLES SHAY IV | I | SVP SALES | NA | Control |
| FRY, CHARLES SHAY IV | I | SVP SALES AND RELATIONSHIP MANAGEMENT | NA | Control |
| GREGSON, MICHAEL SCOTT | I | SVP PLANNING AND INVESTMENT MANAGEMENT SERVICES | NA | Control |
| GREGSON, MICHAEL SCOTT | I | SVP PLANNING AND INVESTMENT MANAGEMENT SERVICES | NA | |
| GREGSON, MICHAEL SCOTT | I | SVP PLANNING AND INVESTMENT MANAGEMENT SERVICES | NA | |
| GREGSON, MICHAEL SCOTT | I | VP-PLANNING AND INVESTMENT MANAGEMENT SERVICES | NA | |
| GREGSON, MICHAEL SCOTT | I | VP-PLANNING AND INVESTMENT MANAGEMENT SERVICES | NA | |
| GREGSON, MICHAEL SCOTT | I | SVP PLANNING AND INVESTMENT MANAGEMENT SERVICES | NA | Control |
| GREGSON, MICHAEL SCOTT | I | SVP ASSET MANAGEMENT | NA | Control |
| GREGSON, MICHAEL SCOTT | I | SVP ASSET MANAGEMENT | NA | Control |
| GREGSON, MICHAEL SCOTT | I | SVP ASSET MANAGEMENT | NA | Control |
| GREGSON, MICHAEL SCOTT | I | SVP PLANNING AND INVESTMENT MANAGEMENT SERVICES | NA | Control |
| GREGSON, MICHAEL SCOTT | I | SVP PLANNING AND INVESTMENT MANAGEMENT SERVICES | NA | Control |
| GREGSON, MICHAEL SCOTT | I | SVP PLANNING AND INVESTMENT MANAGEMENT SERVICES | NA | Control |
| GREGSON, MICHAEL SCOTT | I | SVP ASSET MANAGEMENT | NA | Control |
| GREGSON, MICHAEL SCOTT | I | VP-PLANNING AND INVESTMENT MANAGEMENT SERVICES | NA | |
| GREGSON, MICHAEL SCOTT | I | SVP ASSET MANAGEMENT | NA | Control |
| GREGSON, MICHAEL SCOTT | I | VP-PLANNING AND INVESTMENT MANAGEMENT SERVICES | NA | |
| HARRISON, ANGELA S | I | SHAREHOLDER | NA | |
| HARRISON, ANGELA S | I | SHAREHOLDER | NA | |
| HARRISON, ANGELA S | I | SHAREHOLDER | NA | |
| HARRISON, ANGELA S | I | SHAREHOLDER | NA | |
| HARRISON, ANGELA S | I | SHAREHOLDER | NA | |
| HARRISON, ANGELA S | I | SHAREHOLDER | NA | |
| HARRISON, ANGELA S | I | SHAREHOLDER | NA | |
| HARRISON, ANGELA S | I | SHAREHOLDER | NA | |
| HARRISON, ANGELA S | I | SHAREHOLDER | NA | |
| HARRISON, ANGELA S | I | SHAREHOLDER | NA | |
| HARRISON, ANGELA S | I | SHAREHOLDER | NA | |
| HARRISON, ANGELA S | I | SHAREHOLDER | NA | |
| HENRY, HOWARD THOMAS | I | VP-PLANNING AND INVESTMENT MANAGEMENT SERVICES | NA | |
| HENRY, HOWARD THOMAS | I | VP-PLANNING AND INVESTMENT MANAGEMENT SERVICES | NA | |
| HENRY, HOWARD THOMAS | I | VP-PLANNING AND INVESTMENT MANAGEMENT SERVICES | NA | |
| HENRY, HOWARD THOMAS | I | VP-PLANNING AND INVESTMENT MANAGEMENT SERVICES | NA | |
| HENRY, HOWARD THOMAS | I | VP-PLANNING AND INVESTMENT MANAGEMENT SERVICES | NA | |
| HENRY, HOWARD THOMAS | I | VP-PLANNING AND INVESTMENT MANAGEMENT SERVICES | NA | |
| LANE, THOMAS BOWDEN | I | SENIOR V.P. OF SALES AND MARKETING | NA | Control |
| LANE, THOMAS BOWDEN | I | SENIOR V.P. OF SALES AND MARKETING | NA | Control |
| LANE, THOMAS BOWDEN | I | SENIOR V.P. OF SALES AND MARKETING | NA | Control |
| LANE, THOMAS BOWDEN | I | SENIOR V.P. OF SALES AND MARKETING | NA | Control |
| LANE, THOMAS BOWDEN | I | SENIOR V.P. OF SALES AND MARKETING | NA | Control |
| LANE, THOMAS BOWDEN | I | SENIOR V.P. OF SALES AND MARKETING | NA | Control |
| LANE, THOMAS BOWDEN | I | SENIOR V.P. OF SALES AND MARKETING | NA | Control |
| LANE, THOMAS BOWDEN | I | SENIOR V.P. OF SALES AND MARKETING | NA | Control |
| LANE, THOMAS BOWDEN | I | SENIOR V.P. OF SALES AND MARKETING | NA | Control |
| LANE, THOMAS BOWDEN | I | SENIOR V.P. OF SALES AND MARKETING | NA | Control |
| LANK, STEPHEN | I | SVP OPERATIONS | NA | Control |
| LANK, STEPHEN | I | SVP OPERATIONS | NA | Control |
| LANK, STEPHEN | I | SVP OPERATIONS | NA | Control |
| LANK, STEPHEN | I | SVP OPERATIONS | NA | Control |
| LANK, STEPHEN | I | SVP OPERATIONS | NA | Control |
| LANK, STEPHEN | I | SVP OPERATIONS | NA | Control |
| LANK, STEPHEN | I | SVP OPERATIONS | NA | Control |
| LANK, STEPHEN | I | SVP OPERATIONS | NA | Control |
| LANK, STEPHEN | I | SVP OPERATIONS | NA | Control |
| LANK, STEPHEN | I | SVP OPERATIONS | NA | Control |
| LANK, STEPHEN | I | SVP OPERATIONS | NA | Control |
| LANK, STEPHEN | I | SVP OPERATIONS | NA | Control |
| MAHER, CHARLES WILLIAM | I | DIRECTOR | NA | Control |
| MAHER, CHARLES WILLIAM | I | DIRECTOR | NA | Control |
| MAHER, CHARLES WILLIAM | I | DIRECTOR | NA | Control |
| MAHER, CHARLES WILLIAM | I | DIRECTOR | NA | Control |
| MAHER, CHARLES WILLIAM | I | DIRECTOR | NA | Control |
| MAHER, CHARLES WILLIAM | I | DIRECTOR | NA | Control |
| MAHER, CHARLES WILLIAM | I | DIRECTOR | NA | Control |
| MAHER, CHARLES WILLIAM | I | DIRECTOR | NA | Control |
| MAHER, CHARLES WILLIAM | I | DIRECTOR | NA | Control |
| MAHER, CHARLES WILLIAM | I | DIRECTOR | NA | Control |
| MCDERMOTT, JOHN JEROME JR. | I | MANAGING DIRECTOR, CHIEF ENTERPRISE RISK OFFICER | NA | Control |
| MCDERMOTT, JOHN JEROME JR. | I | MANAGING DIRECTOR, CHIEF ENTERPRISE RISK OFFICER | NA | Control |
| MCDERMOTT, JOHN JEROME JR. | I | MANAGING DIRECTOR, CHIEF ENTERPRISE RISK OFFICER | NA | Control |
| MCDERMOTT, JOHN JEROME JR. | I | MANAGING DIRECTOR, CHIEF ENTERPRISE RISK OFFICER | NA | Control |
| MCDERMOTT, JOHN JEROME JR. | I | MANAGING DIRECTOR, CHIEF ENTERPRISE RISK OFFICER | NA | Control |
| MCDERMOTT, JOHN JEROME JR. | I | MANAGING DIRECTOR, CHIEF ENTERPRISE RISK OFFICER | NA | Control |
| MCDERMOTT, JOHN JEROME JR. | I | MANAGING DIRECTOR, CHIEF ENTERPRISE RISK OFFICER | NA | Control |
| MCDERMOTT, JOHN JEROME JR. | I | MANAGING DIRECTOR, CHIEF ENTERPRISE RISK OFFICER | NA | Control |
| MCDERMOTT, JOHN JEROME JR. | I | MANAGING DIRECTOR, CHIEF ENTERPRISE RISK OFFICER | NA | Control |
| MCGUIRE, JAMES FRANCIS | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MCGUIRE, JAMES FRANCIS | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MCGUIRE, JAMES FRANCIS | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MCGUIRE, JAMES FRANCIS | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MCGUIRE, JAMES FRANCIS | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MCGUIRE, JAMES FRANCIS | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MCGUIRE, JAMES FRANCIS | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MCGUIRE, JAMES FRANCIS | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MCGUIRE, JAMES FRANCIS | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MCGUIRE, JAMES FRANCIS | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MILLER, EDWARD BRUCE | I | EXECUTIVE VICE PRESIDENT STRATEGIC ACCOUNT RELATIONSHIPS | NA | Control |
| MITCHELL, CHRISTOPHER MILLS | I | FINOP | NA | Control |
| MITCHELL, CHRISTOPHER MILLS | I | FINOP | NA | Control |
| MITCHELL, CHRISTOPHER MILLS | I | FINOP | NA | Control |
| MITCHELL, CHRISTOPHER MILLS | I | FINOP | NA | Control |
| MITCHELL, CHRISTOPHER MILLS | I | FINOP | NA | Control |
| MITCHELL, CHRISTOPHER MILLS | I | FINOP | NA | Control |
| MITCHELL, CHRISTOPHER MILLS | I | FINOP | NA | Control |
| MITCHELL, CHRISTOPHER MILLS | I | FINOP | NA | Control |
| MOORE, ROBERT | I | DIRECTOR | NA | Control |
| MOORE, ROBERT | I | DIRECTOR | NA | Control |
| MOORE, ROBERT | I | DIRECTOR | NA | Control |
| MOORE, ROBERT | I | DIRECTOR | NA | Control |
| MOORE, ROBERT | I | DIRECTOR | NA | Control |
| MOORE, ROBERT | I | DIRECTOR | NA | Control |
| MOORE, ROBERT | I | DIRECTOR | NA | Control |
| MOORE, ROBERT | I | DIRECTOR | NA | Control |
| MOORE, ROBERT | I | DIRECTOR | NA | Control |
| MOORE, ROBERT | I | DIRECTOR | NA | Control |
| OSMAN, ARTHUR DAVID | I | SVP STRATEGIC RELATIONSHIP MANAGEMENT | NA | |
| OSMAN, ARTHUR DAVID | I | SVP STRATEGIC RELATIONSHIP MANAGEMENT | NA | |
| OSMAN, ARTHUR DAVID | I | SVP STRATEGIC RELATIONSHIP MANAGEMENT | NA | |
| OSMAN, ARTHUR DAVID | I | VICE PRESIDENT OF COMPLIANCE | NA | |
| OSMAN, ARTHUR DAVID | I | VICE PRESIDENT OF COMPLIANCE | NA | |
| OSMAN, ARTHUR DAVID | I | VICE PRESIDENT OF COMPLIANCE | NA | |
| OSMAN, ARTHUR DAVID | I | VICE PRESIDENT OF COMPLIANCE | NA | |
| OSMAN, ARTHUR DAVID | I | VICE PRESIDENT OF COMPLIANCE | NA | |
| OSMAN, ARTHUR DAVID | I | VP, STRATEGIC RELATIONSHIP MANAGEMENT | NA | |
| OSMAN, ARTHUR DAVID | I | VP, STRATEGIC RELATIONSHIP MANAGEMENT | NA | |
| OSMAN, ARTHUR DAVID | I | SVP STRATEGIC RELATIONSHIP MANAGEMENT | NA | |
| OSMAN, ARTHUR DAVID | I | SVP RELATIONSHIP MANAGEMENT AND RECRUITING | NA | |
| OSMAN, ARTHUR DAVID | I | SVP RELATIONSHIP MANAGEMENT AND RECRUITING | NA | |
| OSMAN, ARTHUR DAVID | I | SVP RELATIONSHIP MANAGEMENT AND RECRUITING | NA | |
| OSMAN, ARTHUR DAVID | I | SVP STRATEGIC RELATIONSHIP MANAGEMENT | NA | |
| OSMAN, ARTHUR DAVID | I | SVP STRATEGIC RELATIONSHIP MANAGEMENT | NA | |
| OSMAN, ARTHUR DAVID | I | SVP STRATEGIC RELATIONSHIP MANAGEMENT | NA | |
| OSMAN, ARTHUR DAVID | I | SVP RELATIONSHIP MANAGEMENT AND RECRUITING | NA | |
| OSMAN, ARTHUR DAVID | I | VICE PRESIDENT OF COMPLIANCE | NA | |
| OSMAN, ARTHUR DAVID | I | VICE PRESIDENT OF COMPLIANCE | NA | |
| OSMAN, ARTHUR DAVID | I | SVP EXTERNAL BUSINESS CONSULTANTS, INTERNAL RELATIONSHIP MANAGEMENT AND PLATFORM TEAM | NA | Control |
| OSMAN, ARTHUR DAVID | I | VP, STRATEGIC RELATIONSHIP MANAGEMENT | NA | |
| PAYNE, TERRI LYNN | I | FINOP AND VP OPERATIONS | NA | Control |
| PAYNE, TERRI LYNN | I | VP OPERATIONS; SHAREHOLDER | NA | Control |
| PAYNE, TERRI LYNN | I | VP OPERATIONS; SHAREHOLDER | NA | Control |
| PAYNE, TERRI LYNN | I | V.P. OF OPERATIONS | NA | Control |
| PAYNE, TERRI LYNN | I | V.P. OF OPERATIONS | NA | Control |
| PAYNE, TERRI LYNN | I | V.P. OF OPERATIONS | NA | Control |
| PAYNE, TERRI LYNN | I | V.P. OF OPERATIONS | NA | Control |
| PAYNE, TERRI LYNN | I | V.P. OF OPERATIONS | NA | Control |
| PAYNE, TERRI LYNN | I | V.P. OF OPERATIONS | NA | Control |
| PAYNE, TERRI LYNN | I | V.P. OF OPERATIONS | NA | Control |
| PAYNE, TERRI LYNN | I | FINOP AND VP OPERATIONS | NA | Control |
| PAYNE, TERRI LYNN | I | FINOP AND VP OPERATIONS | NA | Control |
| PAYNE, TERRI LYNN | I | FINOP AND VP OPERATIONS | NA | Control |
| PAYNE, TERRI LYNN | I | FINOP AND VP OPERATIONS | NA | Control |
| PAYNE, TERRI LYNN | I | FINOP AND VP OPERATIONS | NA | Control |
| PAYNE, TERRI LYNN | I | FINOP AND VP OPERATIONS | NA | Control |
| PAYNE, TERRI LYNN | I | FINOP AND VP OPERATIONS | NA | Control |
| PAYNE, TERRI LYNN | I | FINOP AND VP OPERATIONS | NA | Control |
| PAYNE, TERRI LYNN | I | V.P. OF OPERATIONS | NA | Control |
| PAYNE, TERRI LYNN | I | V.P. OF OPERATIONS | NA | Control |
| PAYNE, TERRI LYNN | I | FINOP AND VP OPERATIONS | NA | Control |
| PAYNE, TERRI LYNN | I | V.P. OF OPERATIONS | NA | Control |
| PEDDY, BRENT ANDREW | I | CHIEF COMPLIANCE OFFICER | NA | |
| ROBISON, JOHN HENRY | I | DIRECTOR/CEO | NA | Control |
| ROBISON, JOHN HENRY | I | DIRECTOR/CEO | NA | Control |
| ROBISON, JOHN HENRY | I | DIRECTOR/CEO | NA | Control |
| ROBISON, JOHN HENRY | I | DIRECTOR/CEO | NA | Control |
| ROBISON, JOHN HENRY | I | DIRECTOR/CEO | NA | Control |
| ROBISON, JOHN HENRY | I | DIRECTOR/CEO | NA | Control |
| ROBISON, JOHN HENRY | I | DIRECTOR/CEO | NA | Control |
| ROBISON, JOHN HENRY | I | DIRECTOR/CEO | NA | Control |
| ROBISON, JOHN HENRY | I | DIRECTOR/CEO | NA | Control |
| ROBISON, JOHN HENRY | I | DIRECTOR/CEO | NA | Control |
| ROBISON, JOHN HENRY | I | DIRECTOR/CEO | NA | Control |
| ROBISON, JOHN HENRY | I | DIRECTOR/CEO | NA | Control |
| ROBISON, MARY YORKE | I | DIRECTOR | NA | Control |
| ROBISON, MARY YORKE | I | DIRECTOR | NA | Control |
| ROBISON, PAUL HAYNESWORTH | I | DIRECTOR | NA | Control |
| ROBISON, PAUL HAYNESWORTH | I | DIRECTOR | NA | Control |
| SERRATO, MICHAEL KENNETH | I | SR. MANAGER COMPLIANCE | NA | |
| SERRATO, MICHAEL KENNETH | I | SR. MANAGER COMPLIANCE | NA | |
| SERRATO, MICHAEL KENNETH | I | SR. MANAGER COMPLIANCE | NA | |
| SMITH, DAVID KENAN | I | SHAREHOLDER | NA | |
| SMITH, DAVID KENAN | I | SHAREHOLDER | NA | |
| SMITH, DAVID KENAN | I | SHAREHOLDER | NA | |
| SMITH, DAVID KENAN | I | SHAREHOLDER | NA | |
| SMITH, DAVID KENAN | I | SHAREHOLDER | NA | |
| SMITH, DAVID KENAN | I | SHAREHOLDER | NA | |
| SMITH, DAVID KENAN | I | SHAREHOLDER | NA | |
| SMITH, DAVID KENAN | I | SHAREHOLDER | NA | |
| SMITH, DAVID KENAN | I | SHAREHOLDER | NA | |
| SMITH, DAVID KENAN | I | SHAREHOLDER | NA | |
| SMITH, DAVID KENAN | I | SHAREHOLDER | NA | |
| SMITH, DAVID KENAN | I | SHAREHOLDER | NA | |
| SMITH, E HAYES | I | SHAREHOLDER | NA | |
| SMITH, E HAYES | I | SHAREHOLDER | NA | |
| SMITH, E HAYES | I | SHAREHOLDER | NA | |
| SMITH, E HAYES | I | SHAREHOLDER | NA | |
| SMITH, E HAYES | I | SHAREHOLDER | NA | |
| SMITH, E HAYES | I | SHAREHOLDER | NA | |
| SMITH, E HAYES | I | SHAREHOLDER | NA | |
| SMITH, E HAYES | I | SHAREHOLDER | NA | |
| SMITH, E HAYES | I | SHAREHOLDER | NA | |
| SMITH, E HAYES | I | SHAREHOLDER | NA | |
| SMITH, E HAYES | I | SHAREHOLDER | NA | |
| SMITH, E HAYES | I | SHAREHOLDER | NA | |
| SMITH, MILES JAMES | I | SHAREHOLDER | NA | |
| SMITH, MILES JAMES | I | SHAREHOLDER | NA | |
| SMITH, MILES JAMES | I | SHAREHOLDER | NA | |
| SMITH, MILES JAMES | I | SHAREHOLDER | NA | |
| SMITH, MILES JAMES | I | SHAREHOLDER | NA | |
| SMITH, MILES JAMES | I | SHAREHOLDER | NA | |
| SMITH, MILES JAMES | I | SHAREHOLDER | NA | |
| SMITH, MILES JAMES | I | SHAREHOLDER | NA | |
| SMITH, MILES JAMES | I | SHAREHOLDER | NA | |
| SMITH, MILES JAMES | I | SHAREHOLDER | NA | |
| SMITH, MILES JAMES III | I | SHAREHOLDER | NA | |
| SMITH, MILES JAMES III | I | SHAREHOLDER | NA | |
| SMITH, MILES JAMES JR | I | DIRECTOR | NA | Control |
| SMITH, MILES JAMES JR | I | DIRECTOR | NA | Control |
| STEARNS, ESTHER MARION | I | DIRECTOR | NA | Control |
| STEARNS, ESTHER MARION | I | DIRECTOR | NA | Control |
| STEARNS, ESTHER MARION | I | DIRECTOR | NA | Control |
| STEARNS, ESTHER MARION | I | DIRECTOR | NA | Control |
| STEARNS, ESTHER MARION | I | DIRECTOR | NA | Control |
| STEARNS, ESTHER MARION | I | DIRECTOR | NA | Control |
| STEARNS, ESTHER MARION | I | DIRECTOR | NA | Control |
| STEARNS, ESTHER MARION | I | DIRECTOR | NA | Control |
| STEARNS, ESTHER MARION | I | DIRECTOR | NA | Control |
| STEARNS, ESTHER MARION | I | DIRECTOR | NA | Control |
| STEARNS, ESTHER MARION | I | DIRECTOR | NA | Control |
| STEARNS, ESTHER MARION | I | DIRECTOR | NA | Control |
| STEARNS, ESTHER MARION | I | DIRECTOR | NA | Control |
| STEARNS, ESTHER MARION | I | DIRECTOR | NA | Control |
| STEARNS, ESTHER MARION | I | DIRECTOR | NA | Control |
| STEARNS, ESTHER MARION | I | DIRECTOR | NA | Control |
| STEARNS, ESTHER MARION | I | DIRECTOR | NA | Control |
| STEARNS, ESTHER MARION | I | DIRECTOR | NA | Control |
| STEARNS, ESTHER MARION | I | DIRECTOR | NA | Control |
| STEARNS, ESTHER MARION | I | DIRECTOR | NA | Control |
| STEARNS, ESTHER MARION | I | DIRECTOR | NA | Control |
| STEARNS, ESTHER MARION | I | DIRECTOR | NA | Control |
| TURNER, JEFFREY CLAUDE | I | CHIEF COMPLIANCE OFFICER - ADVISORY | NA | Control |
| TURNER, JEFFREY CLAUDE | I | CHIEF COMPLIANCE OFFICER - ADVISORY | NA | Control |
| TURNER, JEFFREY CLAUDE | I | CHIEF COMPLIANCE OFFICER - ADVISORY | NA | Control |
| TURNER, JEFFREY CLAUDE | I | CHIEF COMPLIANCE OFFICER - ADVISORY | NA | Control |
| TURNER, JEFFREY CLAUDE | I | CHIEF COMPLIANCE OFFICER - ADVISORY | NA | Control |
| VALTAIRO, PHILLIP BUHAY | I | FINOP | NA | Control |
| VALTAIRO, PHILLIP BUHAY | I | FINOP | NA | Control |
| VALTAIRO, PHILLIP BUHAY | I | FINOP | NA | Control |
| VALTAIRO, PHILLIP BUHAY | I | FINOP | NA | Control |
| VANNOY-PINEDA, KATHLEEN DENISE | I | EVP AND CHIEF COMPLIANCE OFFICER | NA | Control |
| VANNOY-PINEDA, KATHLEEN DENISE | I | EVP AND CHIEF COMPLIANCE OFFICER - BROKERAGE | NA | Control |
| VANNOY-PINEDA, KATHLEEN DENISE | I | EVP AND CHIEF COMPLIANCE OFFICER | NA | Control |
| VANNOY-PINEDA, KATHLEEN DENISE | I | EVP AND CHIEF COMPLIANCE OFFICER | NA | Control |
| VANNOY-PINEDA, KATHLEEN DENISE | I | EVP AND CHIEF COMPLIANCE OFFICER | NA | Control |
| VANNOY-PINEDA, KATHLEEN DENISE | I | EVP AND CHIEF COMPLIANCE OFFICER - BROKERAGE | NA | Control |
| VANNOY-PINEDA, KATHLEEN DENISE | I | EVP AND CHIEF COMPLIANCE OFFICER - BROKERAGE | NA | Control |
| VANNOY-PINEDA, KATHLEEN DENISE | I | EVP AND CHIEF COMPLIANCE OFFICER - BROKERAGE | NA | Control |
| VANNOY-PINEDA, KATHLEEN DENISE | I | EVP AND CHIEF COMPLIANCE OFFICER - BROKERAGE | NA | Control |
| VANNOY-PINEDA, KATHLEEN DENISE | I | EVP AND CHIEF COMPLIANCE OFFICER | NA | Control |
| VANNOY-PINEDA, KATHLEEN DENISE | I | EVP AND CHIEF COMPLIANCE OFFICER | NA | Control |
| VANNOY-PINEDA, KATHLEEN DENISE | I | EVP AND CHIEF COMPLIANCE OFFICER | NA | Control |
| VINES, MICHAEL LON | I | SVP OPERATIONS | NA | Control |
| VINES, MICHAEL LON | I | SVP TECHNOLOGY & OPERATIONS; SHAREHOLDER | NA | Control |
| VINES, MICHAEL LON | I | SVP TECHNOLOGY & OPERATIONS; SHAREHOLDER | NA | Control |
| VINES, MICHAEL LON | I | CFO | NA | Control |
| VINES, MICHAEL LON | I | CFO | NA | Control |
| VINES, MICHAEL LON | I | CFO | NA | Control |
| VINES, MICHAEL LON | I | CFO | NA | Control |
| VINES, MICHAEL LON | I | CFO | NA | Control |
| VINES, MICHAEL LON | I | SR. VP TECHNOLOGY & OPERATIONS | NA | Control |
| VINES, MICHAEL LON | I | SR. VP TECHNOLOGY & OPERATIONS | NA | Control |
| VINES, MICHAEL LON | I | SVP OPERATIONS | NA | Control |
| VINES, MICHAEL LON | I | SVP OPERATIONS | NA | Control |
| VINES, MICHAEL LON | I | SVP OPERATIONS | NA | Control |
| VINES, MICHAEL LON | I | SVP OPERATIONS | NA | Control |
| VINES, MICHAEL LON | I | CFO | NA | Control |
| VINES, MICHAEL LON | I | CFO | NA | Control |
| VINES, MICHAEL LON | I | SR. VP TECHNOLOGY & OPERATIONS | NA | Control |
| LPL HOLDINGS, INC. | DE | PARENT COMPANY | E | Control |
| LPL HOLDINGS, INC. | DE | PARENT COMPANY | E | Control |
| LPL HOLDINGS, INC. | DE | PARENT COMPANY | E | Control |
| LPL HOLDINGS, INC. | DE | PARENT COMPANY | E | Control |
| LPL HOLDINGS, INC. | DE | PARENT COMPANY | E | Control |
| LPL HOLDINGS, INC. | DE | PARENT COMPANY | E | Control |
| LPL HOLDINGS, INC. | DE | PARENT COMPANY | E | Control |
| LPL HOLDINGS, INC. | DE | PARENT COMPANY | E | Control |
| LPL HOLDINGS, INC. | DE | PARENT COMPANY | E | Control |
| LPL HOLDINGS, INC. | DE | PARENT COMPANY | E | Control |
| LPL HOLDINGS, INC. | DE | PARENT COMPANY | E | Control |
| LPL HOLDINGS, INC. | DE | PARENT COMPANY | E | Control |
| LPL HOLDINGS, INC. | DE | PARENT COMPANY | E | Control |
| LPL HOLDINGS, INC. | DE | PARENT COMPANY | E | Control |
| LPL HOLDINGS, INC. | DE | PARENT COMPANY | E | Control |
| LPL HOLDINGS, INC. | DE | PARENT COMPANY | E | Control |
| LPL HOLDINGS, INC. | DE | PARENT COMPANY | E | Control |
| LPL HOLDINGS, INC. | DE | PARENT COMPANY | E | Control |
| LPL HOLDINGS, INC. | DE | PARENT COMPANY | E | Control |
| LPL HOLDINGS, INC. | DE | PARENT COMPANY | E | Control |
| LPL HOLDINGS, INC. | DE | PARENT COMPANY | E | Control |
| LPL HOLDINGS, INC. | DE | PARENT COMPANY | E | Control |
| JOHN H. ROBISON FAMILY TRUST | DE | SHAREHOLDER | D | |
| JOHN H. ROBISON FAMILY TRUST | DE | SHAREHOLDER | D | |
| JOHN H. ROBISON FAMILY TRUST | DE | SHAREHOLDER | D | |
| JOHN H. ROBISON FAMILY TRUST | DE | SHAREHOLDER | D | |
| JOHN H. ROBISON FAMILY TRUST | DE | SHAREHOLDER | D | |
| JOHN H. ROBISON FAMILY TRUST | DE | SHAREHOLDER | D | |
| JOHN H. ROBISON FAMILY TRUST | DE | SHAREHOLDER | D | |
| JOHN H. ROBISON FAMILY TRUST | DE | SHAREHOLDER | D | |
| JOHN H. ROBISON FAMILY TRUST | DE | SHAREHOLDER | D | |
| JOHN H. ROBISON FAMILY TRUST | DE | SHAREHOLDER | D | |
| ROBISON, JOHN H. FAMILY TRUST | DE | SHAREHOLDER | D | |
| ROBISON, JOHN H. FAMILY TRUST | DE | SHAREHOLDER | D | |
| ARNOLD, DAN HOGAN JR | I | DIRECTOR; PRESIDENT/COO; SHAREHOLDER | B | Control |
| ARNOLD, DAN HOGAN JR | I | CHIEF COMPLIANCE OFFICER; DIRECTOR; PRESIDENT/COO; SHAREHOLDER | B | Control |
| ARNOLD, DAN HOGAN JR | I | PRESIDENT/COO | B | Control |
| ARNOLD, DAN HOGAN JR | I | PRESIDENT/COO | B | Control |
| ARNOLD, DAN HOGAN JR | I | PRESIDENT/COO | B | Control |
| ARNOLD, DAN HOGAN JR | I | PRESIDENT/COO | B | Control |
| ARNOLD, DAN HOGAN JR | I | PRESIDENT/COO | B | Control |
| ARNOLD, DAN HOGAN JR | I | PRESIDENT/COO | B | Control |
| ARNOLD, DAN HOGAN JR | I | PRESIDENT/COO | B | Control |
| ARNOLD, DAN HOGAN JR | I | PRESIDENT/COO | B | Control |
| ARNOLD, DAN HOGAN JR | I | PRESIDENT/COO | B | Control |
| ARNOLD, DAN HOGAN JR | I | PRESIDENT/COO | B | Control |
| ROBISON, MARTHA BARNES | I | SHAREHOLDER/TRUSTEE OF JHR FAMILY TRUST | B | |
| ROBISON, MARTHA BARNES | I | SHAREHOLDER/TRUSTEE OF JHR FAMILY TRUST | B | |
| ROBISON, MARTHA BARNES | I | DIRECTOR/SHAREHOLDER/TRUSTEE OF JHR FAMILY TRUST | B | |
| ROBISON, MARTHA BARNES | I | DIRECTOR/SHAREHOLDER/TRUSTEE OF JHR FAMILY TRUST | B | |
| ROBISON, MARTHA BARNES | I | DIRECTOR/SHAREHOLDER/TRUSTEE OF JHR FAMILY TRUST | B | |
| ROBISON, MARTHA BARNES | I | DIRECTOR/SHAREHOLDER/TRUSTEE OF JHR FAMILY TRUST | B | |
| ROBISON, MARTHA BARNES | I | DIRECTOR/SHAREHOLDER/TRUSTEE OF JHR FAMILY TRUST | B | |
| ROBISON, MARTHA BARNES | I | DIRECTOR/SHAREHOLDER/TRUSTEE OF JHR FAMILY TRUST | B | |
| ROBISON, MARTHA BARNES | I | DIRECTOR/SHAREHOLDER/TRUSTEE OF JHR FAMILY TRUST | B | |
| ROBISON, MARTHA BARNES | I | DIRECTOR/SHAREHOLDER/TRUSTEE OF JHR FAMILY TRUST | B | |
| ROBISON, MARTHA BARNES | I | DIRECTOR/SHAREHOLDER/TRUSTEE OF JHR FAMILY TRUST | B | |
| ROBISON, MARTHA BARNES | I | DIRECTOR/SHAREHOLDER/TRUSTEE OF JHR FAMILY TRUST | B | |
| ROBISON, STEPHEN BARNES IRREVOCABLE TRUST | I | SHAREHOLDER | A | |
| ROBISON, STEPHEN BARNES IRREVOCABLE TRUST | I | SHAREHOLDER | A |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| HELLMAN & FRIEDMAN INVESTORS V, LLC. | DE | HELLMAN & FRIEDMAN CAPITAL PARTNERS V, LP | F | Control |
| HELLMAN & FRIEDMAN INVESTORS V, LLC. | DE | HELLMAN & FRIEDMAN CAPITAL PARTNERS V, LP | F | Control |
| HELLMAN & FRIEDMAN INVESTORS V, LLC. | DE | HELLMAN & FRIEDMAN CAPITAL PARTNERS V, LP | F | Control |
| HELLMAN & FRIEDMAN INVESTORS V, LLC. | DE | HELLMAN & FRIEDMAN CAPITAL PARTNERS V, LP | F | Control |
| HELLMAN & FRIEDMAN INVESTORS V, LLC. | DE | HELLMAN & FRIEDMAN CAPITAL PARTNERS V, LP | F | Control |
| TPG ADVISORS IV, INC. | DE | TPG GENPAR IV, L.P. | F | Control |
| TPG ADVISORS IV, INC. | DE | TPG GENPAR IV, L.P. | F | Control |
| TPG ADVISORS IV, INC. | DE | TPG GENPAR IV, L.P. | F | Control |
| TPG ADVISORS IV, INC. | DE | TPG GENPAR IV, L.P. | F | Control |
| TPG ADVISORS IV, INC. | DE | TPG GENPAR IV, L.P. | F | Control |
| TPG GENPAR IV, L.P. | DE | TPG PARTNERS IV, L.P. | F | Control |
| TPG GENPAR IV, L.P. | DE | TPG PARTNERS IV, L.P. | F | Control |
| TPG GENPAR IV, L.P. | DE | TPG PARTNERS IV, L.P. | F | Control |
| TPG GENPAR IV, L.P. | DE | TPG PARTNERS IV, L.P. | F | Control |
| TPG GENPAR IV, L.P. | DE | TPG PARTNERS IV, L.P. | F | Control |
| LPL INVESTMENT HOLDINGS INC. | DE | LPL HOLDINGS, INC. | E | Control |
| LPL INVESTMENT HOLDINGS INC. | DE | LPL HOLDINGS, INC. | E | Control |
| LPL INVESTMENT HOLDINGS, INC. | DE | LPL HOLDINGS, INC. | E | Control |
| LPL INVESTMENT HOLDINGS, INC. | DE | LPL HOLDINGS, INC. | E | Control |
| LPL INVESTMENT HOLDINGS, INC. | DE | LPL HOLDINGS, INC. | E | Control |
| LPL INVESTMENT HOLDINGS, INC. | DE | LPL HOLDINGS, INC. | E | Control |
| LPL INVESTMENT HOLDINGS, INC. | DE | LPL HOLDINGS, INC. | E | Control |
| LPL INVESTMENT HOLDINGS, INC. | DE | LPL HOLDINGS, INC. | E | Control |
| LPL INVESTMENT HOLDINGS, INC. | DE | LPL HOLDINGS, INC. | E | Control |
| LPL INVESTMENT HOLDINGS, INC. | DE | LPL HOLDINGS, INC. | E | Control |
| LPL INVESTMENT HOLDINGS, INC. | DE | LPL HOLDINGS, INC. | E | Control |
| LPL INVESTMENT HOLDINGS, INC. | DE | LPL HOLDINGS, INC. | E | Control |
| LPL INVESTMENT HOLDINGS, INC. | DE | LPL HOLDINGS, INC. | E | Control |
| LPL INVESTMENT HOLDINGS, INC. | DE | LPL HOLDINGS, INC. | E | Control |
| BONDERMAN, DAVID NMI | I | TPG ADVISORS IV, INC. | D | Control |
| BONDERMAN, DAVID NMI | I | TPG ADVISORS IV, INC. | D | Control |
| BONDERMAN, DAVID NMI | I | TPG ADVISORS IV, INC. | D | Control |
| BONDERMAN, DAVID NMI | I | TPG ADVISORS IV, INC. | D | Control |
| COULTER, JAMES GEORGE | I | TPG ADVISORS IV, INC. | D | Control |
| COULTER, JAMES GEORGE | I | TPG ADVISORS IV, INC. | D | Control |
| COULTER, JAMES GEORGE | I | TPG ADVISORS IV, INC. | D | Control |
| COULTER, JAMES GEORGE | I | TPG ADVISORS IV, INC. | D | Control |
| BONDERMAN, DAVID NMI | I | TPG ADVISORS IV, INC. | C | Control |
| COULTER, JAMES GEORGE | I | TPG ADVISORS IV, INC. | C | Control |
| HELLMAN & FRIEDMAN CAPITAL PARTNERS V, L.P. | DE | LPL INVESTMENT HOLDINGS, INC | C | Control |
| HELLMAN & FRIEDMAN CAPITAL PARTNERS V, L.P. | DE | LPL INVESTMENT HOLDINGS, INC | C | Control |
| HELLMAN & FRIEDMAN CAPITAL PARTNERS V, L.P. | DE | LPL INVESTMENT HOLDINGS, INC | C | Control |
| HELLMAN & FRIEDMAN CAPITAL PARTNERS V, L.P. | DE | LPL INVESTMENT HOLDINGS, INC | C | Control |
| HELLMAN & FRIEDMAN CAPITAL PARTNERS V, L.P. | DE | LPL INVESTMENT HOLDINGS, INC | C | Control |
| TPG PARTNERS IV, L.P. | DE | LPL INVESTMENT HOLDINGS, INC. | C | Control |
| TPG PARTNERS IV, L.P. | DE | LPL INVESTMENT HOLDINGS, INC. | C | Control |
| TPG PARTNERS IV, L.P. | DE | LPL INVESTMENT HOLDINGS, INC. | C | Control |
| TPG PARTNERS IV, L.P. | DE | LPL INVESTMENT HOLDINGS, INC. | C | Control |
| TPG PARTNERS IV, L.P. | DE | LPL INVESTMENT HOLDINGS, INC. | C | Control |
Registrations
Federal
IA
Feb 21, 2007 REGISTERED
Notice Filings (49)
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
200 S. COLLEGE STREET21ST FLOOR
CHARLOTTE, NC 28202
USA
Phone: 800-277-8802