FIRST ALLIED ADVISORY SERVICES, INC.
CRD #137888 SEC #801-66653 SAN DIEGO, CA 866-378-1376
SEC Registered Disclosures
Total AUM
$7B
Discretionary
$6.9B
Employees
564
Clients
--
Accounts
29,608
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
- Jun 25, 2020
- Branch Offices
- 359
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| ANTONIADES, ADAM, NICHOLAS | I | DIRECTOR | NA | Control |
| ANTONIADES, ADAM, NICHOLAS | I | DIRECTOR | NA | Control |
| ANTONIADES, ADAM, NICHOLAS | I | DIRECTOR | NA | Control |
| ANTONIADES, ADAM, NICHOLAS | I | DIRECTOR | NA | Control |
| ANTONIADES, ADAM, NICHOLAS | I | DIRECTOR | NA | Control |
| ANTONIADES, ADAM, NICHOLAS | I | DIRECTOR | NA | Control |
| ANTONIADES, ADAM, NICHOLAS | I | DIRECTOR | NA | Control |
| ANTONIADES, ADAM, NICHOLAS | I | DIRECTOR | NA | Control |
| ANTONIADES, ADAM, NICHOLAS | I | DIRECTOR | NA | Control |
| ANTONIADES, ADAM, NICHOLAS | I | DIRECTOR | NA | Control |
| ANTONIADES, ADAM, NICHOLAS | I | DIRECTOR | NA | Control |
| ANTONIADES, ADAM, NICHOLAS | I | DIRECTOR | NA | Control |
| ANTONIADES, ADAM, NICHOLAS | I | DIRECTOR | NA | Control |
| ANTONIADES, ADAM, NICHOLAS | I | DIRECTOR | NA | Control |
| ANTONIADES, ADAM, NICHOLAS | I | DIRECTOR | NA | Control |
| ANTONIADES, ADAM, NICHOLAS | I | DIRECTOR | NA | Control |
| ANTONIADES, ADAM, NICHOLAS | I | DIRECTOR | NA | Control |
| ANTONIADES, ADAM, NICHOLAS | I | DIRECTOR | NA | Control |
| ANTONIADES, ADAM, NICHOLAS | I | DIRECTOR | NA | Control |
| ANTONIADES, ADAM, NICHOLAS | I | DIRECTOR | NA | Control |
| ANTONIADES, ADAM, NICHOLAS | I | DIRECTOR | NA | Control |
| ANTONIADES, ADAM, NICHOLAS | I | DIRECTOR | NA | Control |
| ANTONIADES, ADAM, NICHOLAS | I | DIRECTOR | NA | Control |
| ANTONIADES, ADAM, NICHOLAS | I | DIRECTOR | NA | Control |
| ANTONIADES, ADAM, NICHOLAS | I | DIRECTOR | NA | Control |
| ANTONIADES, ADAM, NICHOLAS | I | DIRECTOR | NA | Control |
| ANTONIADES, ADAM, NICHOLAS | I | DIRECTOR | NA | Control |
| ANTONIADES, ADAM, NICHOLAS | I | DIRECTOR | NA | Control |
| ANTONIADES, ADAM, NICHOLAS | I | DIRECTOR | NA | Control |
| ANTONIADES, ADAM, NICHOLAS | I | DIRECTOR | NA | Control |
| ANTONIADES, ADAM, NICHOLAS | I | DIRECTOR | NA | Control |
| ANTONIADES, ADAM, NICHOLAS | I | DIRECTOR | NA | Control |
| ANTONIADES, ADAM, NICHOLAS | I | DIRECTOR | NA | Control |
| ANTONIADES, ADAM, NICHOLAS | I | DIRECTOR | NA | Control |
| ANTONIADES, ADAM, NICHOLAS | I | DIRECTOR | NA | Control |
| ANTONIADES, ADAM, NICHOLAS | I | DIRECTOR | NA | Control |
| ANTONIADES, ADAM, NICHOLAS | I | DIRECTOR | NA | Control |
| ANTONIADES, ADAM, NICHOLAS | I | DIRECTOR | NA | Control |
| ANTONIADES, ADAM, NICHOLAS | I | DIRECTOR | NA | Control |
| ANTONIADES, ADAM, NICHOLAS | I | DIRECTOR | NA | Control |
| ANTONIADES, ADAM, NICHOLAS | I | DIRECTOR | NA | Control |
| ANTONIADES, ADAM, NICHOLAS | I | DIRECTOR | NA | Control |
| ANTONIADES, ADAM, NICHOLAS | I | DIRECTOR | NA | Control |
| ANTONIADES, ADAM, NICHOLAS | I | DIRECTOR | NA | Control |
| ANTONIADES, ADAM, NICHOLAS | I | DIRECTOR | NA | Control |
| ANTONIADES, ADAM, NICHOLAS | I | DIRECTOR | NA | Control |
| ANTONIADES, ADAM, NICHOLAS | I | DIRECTOR | NA | Control |
| ANTONIADES, ADAM, NICHOLAS | I | DIRECTOR | NA | Control |
| ANTONIADES, ADAM, NICHOLAS | I | DIRECTOR | NA | Control |
| ANTONIADES, ADAM, NICHOLAS | I | DIRECTOR | NA | Control |
| ANTONIADES, ADAM, NICHOLAS | I | DIRECTOR | NA | Control |
| ANTONIADES, ADAM, NICHOLAS | I | DIRECTOR | NA | Control |
| ANTONIADES, ADAM, NICHOLAS | I | DIRECTOR | NA | Control |
| ANTONIADES, ADAM, NICHOLAS | I | DIRECTOR | NA | Control |
| ANTONIADES, ADAM, NICHOLAS | I | DIRECTOR | NA | Control |
| ANTONIADES, ADAM, NICHOLAS | I | DIRECTOR | NA | Control |
| ANTONIADES, ADAM, NICHOLAS | I | DIRECTOR | NA | Control |
| ANTONIADES, ADAM, NICHOLAS | I | DIRECTOR | NA | Control |
| ANTONIADES, ADAM, NICHOLAS | I | DIRECTOR | NA | Control |
| ANTONIADES, ADAM, NICHOLAS | I | DIRECTOR | NA | Control |
| ANTONIADES, ADAM, NICHOLAS | I | DIRECTOR | NA | Control |
| ANTONIADES, ADAM, NICHOLAS | I | DIRECTOR | NA | Control |
| ANTONIADES, ADAM, NICHOLAS | I | DIRECTOR | NA | Control |
| ANTONIADES, ADAM, NICHOLAS | I | DIRECTOR | NA | Control |
| ANTONIADES, ADAM, NICHOLAS | I | DIRECTOR | NA | Control |
| ANTONIADES, ADAM, NICHOLAS | I | DIRECTOR | NA | Control |
| ANTONIADES, ADAM, NICHOLAS | I | DIRECTOR | NA | Control |
| ANTONIADES, ADAM, NICHOLAS | I | DIRECTOR | NA | Control |
| ANTONIADES, ADAM, NICHOLAS | I | DIRECTOR | NA | Control |
| ANTONIADES, ADAM, NICHOLAS | I | DIRECTOR | NA | Control |
| ANTONIADES, ADAM, NICHOLAS | I | DIRECTOR | NA | Control |
| ANTONIADES, ADAM, NICHOLAS | I | DIRECTOR | NA | Control |
| ANTONIADES, ADAM, NICHOLAS | I | DIRECTOR | NA | Control |
| ANTONIADES, ADAM, NICHOLAS | I | DIRECTOR | NA | Control |
| ANTONIADES, ADAM, NICHOLAS | I | DIRECTOR | NA | Control |
| ANTONIADES, ADAM, NICHOLAS | I | DIRECTOR | NA | Control |
| BALLARD, JAMES, DAVID | I | VICE PRESIDENT | NA | Control |
| BALLARD, JAMES, DAVID | I | VICE PRESIDENT | NA | Control |
| BALLARD, JAMES, DAVID | I | VICE PRESIDENT | NA | Control |
| BALLARD, JAMES, DAVID | I | VICE PRESIDENT | NA | Control |
| BALLARD, JAMES, DAVID | I | VICE PRESIDENT | NA | Control |
| BALLARD, JAMES, DAVID | I | VICE PRESIDENT | NA | Control |
| BALLARD, JAMES, DAVID | I | VICE PRESIDENT | NA | Control |
| BALLARD, JAMES, DAVID | I | VICE PRESIDENT | NA | Control |
| BALLARD, JAMES, DAVID | I | VICE PRESIDENT | NA | Control |
| BALLARD, JAMES, DAVID | I | VICE PRESIDENT | NA | Control |
| BALLARD, JAMES, DAVID | I | VICE PRESIDENT | NA | Control |
| BALLARD, JAMES, DAVID | I | VICE PRESIDENT | NA | Control |
| BALLARD, JAMES, DAVID | I | VICE PRESIDENT | NA | Control |
| BALLARD, JAMES, DAVID | I | VICE PRESIDENT | NA | Control |
| BOROWSKI, LUANNE, MARIE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BOROWSKI, LUANNE, MARIE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BOROWSKI, LUANNE, MARIE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BOROWSKI, LUANNE, MARIE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BOROWSKI, LUANNE, MARIE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BOROWSKI, LUANNE, MARIE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BOROWSKI, LUANNE, MARIE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BOROWSKI, LUANNE, MARIE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BOROWSKI, LUANNE, MARIE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BOROWSKI, LUANNE, MARIE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BOROWSKI, LUANNE, MARIE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BOROWSKI, LUANNE, MARIE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BOROWSKI, LUANNE, MARIE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BOROWSKI, LUANNE, MARIE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BOROWSKI, LUANNE, MARIE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BOROWSKI, LUANNE, MARIE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BOROWSKI, LUANNE, MARIE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BOROWSKI, LUANNE, MARIE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BOROWSKI, LUANNE, MARIE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BOROWSKI, LUANNE, MARIE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BOROWSKI, LUANNE, MARIE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BOROWSKI, LUANNE, MARIE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BOROWSKI, LUANNE, MARIE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BOROWSKI, LUANNE, MARIE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BOROWSKI, LUANNE, MARIE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BOROWSKI, LUANNE, MARIE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BOROWSKI, LUANNE, MARIE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BOROWSKI, LUANNE, MARIE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BOROWSKI, LUANNE, MARIE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BOROWSKI, LUANNE, MARIE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BOROWSKI, LUANNE, MARIE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BOROWSKI, LUANNE, MARIE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BOROWSKI, LUANNE, MARIE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BOROWSKI, LUANNE, MARIE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BOROWSKI, LUANNE, MARIE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BOROWSKI, LUANNE, MARIE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BOROWSKI, LUANNE, MARIE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BOROWSKI, LUANNE, MARIE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BOROWSKI, LUANNE, MARIE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BOROWSKI, LUANNE, MARIE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BOROWSKI, LUANNE, MARIE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BOROWSKI, LUANNE, MARIE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BOROWSKI, LUANNE, MARIE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BOROWSKI, LUANNE, MARIE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BOROWSKI, LUANNE, MARIE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BOROWSKI, LUANNE, MARIE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BOROWSKI, LUANNE, MARIE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BOROWSKI, LUANNE, MARIE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BOROWSKI, LUANNE, MARIE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BREGOZZO, MATTHEW, GREGORY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BREGOZZO, MATTHEW, GREGORY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BREGOZZO, MATTHEW, GREGORY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BREGOZZO, MATTHEW, GREGORY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BREGOZZO, MATTHEW, GREGORY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BREGOZZO, MATTHEW, GREGORY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BREGOZZO, MATTHEW, GREGORY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BREGOZZO, MATTHEW, GREGORY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BREGOZZO, MATTHEW, GREGORY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BREGOZZO, MATTHEW, GREGORY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BREGOZZO, MATTHEW, GREGORY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| CAMPANALE, FRANK, LOUIS | I | CEO OF AEWM | NA | |
| CAMPANALE, FRANK, LOUIS | I | CEO OF AEWM | NA | |
| CAMPANALE, FRANK, LOUIS | I | CEO OF AEWM | NA | |
| CAMPANALE, FRANK, LOUIS | I | CEO OF AEWM | NA | |
| CAMPANALE, FRANK, LOUIS | I | CEO OF AEWM | NA | |
| CAMPANALE, FRANK, LOUIS | I | CEO OF AEWM | NA | |
| CAMPANALE, FRANK, LOUIS | I | CEO OF AEWM | NA | |
| CAMPANALE, FRANK, LOUIS | I | CEO OF FAWM | NA | |
| CAMPANALE, FRANK, LOUIS | I | CEO OF FAWM | NA | |
| DOZA, JANICE, M | I | TREASURER/OFFICER | NA | Control |
| DOZA, JANICE, M | I | CHIEF FINANCIAL OFFICER | NA | Control |
| DOZA, JANICE, M | I | CHIEF FINANCIAL OFFICER | NA | Control |
| DOZA, JANICE, M | I | CHIEF FINANCIAL OFFICER | NA | Control |
| DOZA, JANICE, M | I | CHIEF FINANCIAL OFFICER | NA | Control |
| DOZA, JANICE, M | I | CHIEF FINANCIAL OFFICER | NA | Control |
| DOZA, JANICE, M | I | TREASURER/OFFICER | NA | Control |
| DOZA, JANICE, M | I | TREASURER/OFFICER | NA | Control |
| DOZA, JANICE, M | I | TREASURER/OFFICER | NA | Control |
| DOZA, JANICE, M | I | CHIEF FINANCIAL OFFICER | NA | Control |
| DOZA, JANICE, M | I | CHIEF FINANCIAL OFFICER | NA | Control |
| DOZA, JANICE, M | I | CHIEF FINANCIAL OFFICER | NA | Control |
| DOZA, JANICE, M | I | TREASURER/OFFICER | NA | Control |
| DOZA, JANICE, M | I | CHIEF FINANCIAL OFFICER | NA | Control |
| DOZA, JANICE, M | I | CHIEF FINANCIAL OFFICER | NA | Control |
| DOZA, JANICE, M | I | CHIEF FINANCIAL OFFICER | NA | Control |
| DOZA, JANICE, M | I | CHIEF FINANCIAL OFFICER | NA | Control |
| DOZA, JANICE, M | I | CHIEF FINANCIAL OFFICER | NA | Control |
| DOZA, JANICE, M | I | CHIEF FINANCIAL OFFICER | NA | Control |
| DOZA, JANICE, M | I | CHIEF FINANCIAL OFFICER | NA | Control |
| DOZA, JANICE, M | I | CHIEF FINANCIAL OFFICER | NA | Control |
| DOZA, JANICE, M | I | CHIEF FINANCIAL OFFICER | NA | Control |
| DOZA, JANICE, M | I | CHIEF FINANCIAL OFFICER | NA | Control |
| DOZA, JANICE, M | I | CHIEF FINANCIAL OFFICER | NA | Control |
| DOZA, JANICE, M | I | CHIEF FINANCIAL OFFICER | NA | Control |
| DOZA, JANICE, M | I | CHIEF FINANCIAL OFFICER | NA | Control |
| DOZA, JANICE, M | I | CHIEF FINANCIAL OFFICER | NA | Control |
| DOZA, JANICE, M | I | CHIEF FINANCIAL OFFICER | NA | Control |
| DOZA, JANICE, M | I | CHIEF FINANCIAL OFFICER | NA | Control |
| DOZA, JANICE, M | I | CHIEF FINANCIAL OFFICER | NA | Control |
| DOZA, JANICE, M | I | CHIEF FINANCIAL OFFICER | NA | Control |
| DOZA, JANICE, M | I | CHIEF FINANCIAL OFFICER | NA | Control |
| DOZA, JANICE, M | I | CHIEF FINANCIAL OFFICER | NA | Control |
| DOZA, JANICE, M | I | CHIEF FINANCIAL OFFICER | NA | Control |
| DOZA, JANICE, M | I | CHIEF FINANCIAL OFFICER | NA | Control |
| DOZA, JANICE, M | I | CHIEF FINANCIAL OFFICER | NA | Control |
| DOZA, JANICE, M | I | CHIEF FINANCIAL OFFICER | NA | Control |
| DOZA, JANICE, M | I | CHIEF FINANCIAL OFFICER | NA | Control |
| DOZA, JANICE, M | I | CHIEF FINANCIAL OFFICER | NA | Control |
| DOZA, JANICE, M | I | CHIEF FINANCIAL OFFICER | NA | Control |
| DOZA, JANICE, M | I | CHIEF FINANCIAL OFFICER | NA | Control |
| DOZA, JANICE, M | I | CHIEF FINANCIAL OFFICER | NA | Control |
| DOZA, JANICE, M | I | CHIEF FINANCIAL OFFICER | NA | Control |
| DOZA, JANICE, M | I | CHIEF FINANCIAL OFFICER | NA | Control |
| DOZA, JANICE, M | I | CHIEF FINANCIAL OFFICER | NA | Control |
| DOZA, JANICE, M | I | CHIEF FINANCIAL OFFICER | NA | Control |
| DOZA, JANICE, M | I | CHIEF FINANCIAL OFFICER | NA | Control |
| DOZA, JANICE, M | I | CHIEF FINANCIAL OFFICER | NA | Control |
| DOZA, JANICE, M | I | CHIEF FINANCIAL OFFICER | NA | Control |
| DOZA, JANICE, M | I | CHIEF FINANCIAL OFFICER | NA | Control |
| DOZA, JANICE, M | I | CHIEF FINANCIAL OFFICER | NA | Control |
| DOZA, JANICE, M | I | CHIEF FINANCIAL OFFICER | NA | Control |
| DOZA, JANICE, M | I | CHIEF FINANCIAL OFFICER | NA | Control |
| GLASER, GREGG, STEVEN | I | DIRECTOR | NA | Control |
| GLASER, GREGG, STEVEN | I | DIRECTOR | NA | Control |
| GLASER, GREGG, STEVEN | I | DIRECTOR | NA | Control |
| GLASER, GREGG, STEVEN | I | DIRECTOR | NA | Control |
| GLASER, GREGG, STEVEN | I | DIRECTOR | NA | Control |
| GLASER, GREGG, STEVEN | I | DIRECTOR | NA | Control |
| GLASER, GREGG, STEVEN | I | DIRECTOR | NA | Control |
| GLASER, GREGG, STEVEN | I | DIRECTOR | NA | Control |
| GLASER, GREGG, STEVEN | I | DIRECTOR | NA | Control |
| GLASER, GREGG, STEVEN | I | DIRECTOR | NA | Control |
| GLASER, GREGG, STEVEN | I | DIRECTOR | NA | Control |
| GLASER, GREGG, STEVEN | I | DIRECTOR | NA | Control |
| GLASER, GREGG, STEVEN | I | DIRECTOR | NA | Control |
| GLASER, GREGG, STEVEN | I | DIRECTOR | NA | Control |
| GLASER, GREGG, STEVEN | I | DIRECTOR | NA | Control |
| GLASER, GREGG, STEVEN | I | DIRECTOR | NA | Control |
| GLASER, GREGG, STEVEN | I | DIRECTOR | NA | Control |
| GLASER, GREGG, STEVEN | I | DIRECTOR | NA | Control |
| GLASER, GREGG, STEVEN | I | DIRECTOR | NA | Control |
| GLASER, GREGG, STEVEN | I | DIRECTOR | NA | Control |
| GRAHAM, LUANNE, MARIE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| GRAHAM, LUANNE, MARIE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| GRAHAM, LUANNE, MARIE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| GRAHAM, LUANNE, MARIE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| GRAHAM, LUANNE, MARIE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| GRAHAM, LUANNE, MARIE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| GRAHAM, LUANNE, MARIE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| GRAHAM, LUANNE, MARIE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| GRAHAM, LUANNE, MARIE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| GRAHAM, LUANNE, MARIE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| GRAHAM, LUANNE, MARIE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| GRAHAM, LUANNE, MARIE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| GRAHAM, LUANNE, MARIE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| GRAHAM, LUANNE, MARIE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| GRAHAM, LUANNE, MARIE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| HAEDIKE, CHRISTINE, D | I | CHIEF COMPLIANCE OFFICER/OFFICER | NA | Control |
| HAEDIKE, CHRISTINE, D | I | CHIEF COMPLIANCE OFFICER/OFFICER | NA | Control |
| HAEDIKE, CHRISTINE, D | I | CHIEF COMPLIANCE OFFICER/OFFICER | NA | Control |
| HAEDIKE, CHRISTINE, D | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| HAEDIKE, CHRISTINE, D | I | CHIEF COMPLIANCE OFFICER/OFFICER | NA | Control |
| HAEDIKE, CHRISTINE, D | I | CHIEF COMPLIANCE OFFICER/OFFICER | NA | Control |
| HAEDIKE, CHRISTINE, D | I | CHIEF COMPLIANCE OFFICER/OFFICER | NA | Control |
| HAEDIKE, CHRISTINE, D | I | CHIEF COMPLIANCE OFFICER/OFFICER | NA | Control |
| HAEDIKE, CHRISTINE, D | I | CHIEF COMPLIANCE OFFICER/OFFICER | NA | Control |
| HAEDIKE, CHRISTINE, D | I | CHIEF COMPLIANCE OFFICER/OFFICER | NA | Control |
| HARRISON, BRETT, LAMAR | I | DIRECTOR | NA | Control |
| HARRISON, BRETT, LAMAR | I | DIRECTOR | NA | Control |
| HARRISON, BRETT, LAMAR | I | DIRECTOR | NA | Control |
| HARRISON, BRETT, LAMAR | I | DIRECTOR | NA | Control |
| HARRISON, BRETT, LAMAR | I | DIRECTOR | NA | Control |
| HARRISON, BRETT, LAMAR | I | DIRECTOR | NA | Control |
| HARRISON, BRETT, LAMAR | I | DIRECTOR | NA | Control |
| HARRISON, BRETT, LAMAR | I | DIRECTOR | NA | Control |
| HARRISON, BRETT, LAMAR | I | DIRECTOR | NA | Control |
| HARRISON, BRETT, LAMAR | I | DIRECTOR | NA | Control |
| HARRISON, BRETT, LAMAR | I | DIRECTOR | NA | Control |
| HARRISON, BRETT, LAMAR | I | DIRECTOR | NA | Control |
| HARRISON, BRETT, LAMAR | I | DIRECTOR | NA | Control |
| HARRISON, BRETT, LAMAR | I | DIRECTOR | NA | Control |
| HARRISON, BRETT, LAMAR | I | CEO | NA | Control |
| HARRISON, BRETT, LAMAR | I | CEO | NA | Control |
| HARRISON, BRETT, LAMAR | I | CEO | NA | Control |
| HARRISON, BRETT, LAMAR | I | CEO | NA | Control |
| HARRISON, BRETT, LAMAR | I | CEO | NA | Control |
| HARRISON, BRETT, LAMAR | I | CEO | NA | Control |
| HARRISON, BRETT, LAMAR | I | CEO | NA | Control |
| HARRISON, BRETT, LAMAR | I | CEO | NA | Control |
| HARRISON, BRETT, LAMAR | I | CEO | NA | Control |
| HARRISON, BRETT, LAMAR | I | CEO | NA | Control |
| HARRISON, BRETT, LAMAR | I | CEO | NA | Control |
| HARRISON, BRETT, LAMAR | I | CEO | NA | Control |
| HARRISON, BRETT, LAMAR | I | CEO | NA | Control |
| HARRISON, BRETT, LAMAR | I | CEO | NA | Control |
| HATTON, ROBERT, ALLAN | I | CHIEF OPERATING OFFICER | NA | Control |
| HOLCOMB, ROBERT, STEVEN | I | PRESIDENT OF AEWM | NA | |
| HOLCOMB, ROBERT, STEVEN | I | PRESIDENT OF AEWM | NA | |
| HOLCOMB, ROBERT, STEVEN | I | PRESIDENT OF AEWM | NA | |
| HOLCOMB, ROBERT, STEVEN | I | PRESIDENT OF AEWM | NA | |
| HOLCOMB, ROBERT, STEVEN | I | PRESIDENT OF AEWM | NA | |
| HOLCOMB, ROBERT, STEVEN | I | PRESIDENT OF AEWM | NA | |
| HOLCOMB, ROBERT, STEVEN | I | PRESIDENT OF AEWM | NA | |
| HOLCOMB, ROBERT, STEVEN | I | PRESIDENT OF FAWM | NA | |
| HOLCOMB, ROBERT, STEVEN | I | PRESIDENT OF FAWM | NA | |
| HOLCOMB, ROBERT, STEVEN | I | PRESIDENT OF FAWM | NA | |
| HOLCOMB, ROBERT, STEVEN | I | PRESIDENT OF FAWM | NA | |
| HOLCOMB, ROBERT, STEVEN | I | PRESIDENT OF FAWM | NA | |
| HOLCOMB, ROBERT, STEVEN | I | PRESIDENT OF FAWM | NA | |
| JUNKINS, CRAIG, ALLEN | I | CEO/PRESIDENT/DIRECTOR/OFFICER | NA | Control |
| JUNKINS, CRAIG, ALLEN | I | CEO/PRESIDENT/DIRECTOR/OFFICER | NA | Control |
| JUNKINS, CRAIG, ALLEN | I | CEO/PRESIDENT/DIRECTOR/OFFICER | NA | Control |
| JUNKINS, CRAIG, ALLEN | I | CEO/PRESIDENT/DIRECTOR/OFFICER | NA | Control |
| JUNKINS, CRAIG, ALLEN | I | CEO/PRESIDENT/DIRECTOR/OFFICER | NA | Control |
| JUNKINS, CRAIG, ALLEN | I | CEO/PRESIDENT/DIRECTOR/OFFICER | NA | Control |
| JUNKINS, CRAIG, ALLEN | I | PRESIDENT | NA | Control |
| JUNKINS, CRAIG, ALLEN | I | CEO/PRESIDENT/DIRECTOR/OFFICER | NA | Control |
| JUNKINS, CRAIG, ALLEN | I | CEO/PRESIDENT/DIRECTOR/OFFICER | NA | Control |
| JUNKINS, CRAIG, ALLEN | I | CEO/PRESIDENT/DIRECTOR/OFFICER | NA | Control |
| JUNKINS, CRAIG, ALLEN | I | CEO/PRESIDENT/DIRECTOR/OFFICER | NA | Control |
| JUNKINS, CRAIG, ALLEN | I | CEO/PRESIDENT/DIRECTOR/OFFICER | NA | Control |
| JUNKINS, CRAIG, ALLEN | I | CEO/PRESIDENT/DIRECTOR/OFFICER | NA | Control |
| JUNKINS, CRAIG, ALLEN | I | CEO/PRESIDENT/DIRECTOR/OFFICER | NA | Control |
| JUNKINS, CRAIG, ALLEN | I | CEO/PRESIDENT/DIRECTOR/OFFICER | NA | Control |
| JUNKINS, CRAIG, ALLEN | I | CEO/PRESIDENT/DIRECTOR/OFFICER | NA | Control |
| JUNKINS, CRAIG, ALLEN | I | CEO/PRESIDENT/DIRECTOR/OFFICER | NA | Control |
| JUNKINS, CRAIG, ALLEN | I | CEO/PRESIDENT/DIRECTOR/OFFICER | NA | Control |
| JUNKINS, CRAIG, ALLEN | I | CEO/PRESIDENT/DIRECTOR/OFFICER | NA | Control |
| JUNKINS, CRAIG, ALLEN | I | CEO/PRESIDENT/DIRECTOR/OFFICER | NA | Control |
| JUNKINS, CRAIG, ALLEN | I | CEO/PRESIDENT/DIRECTOR/OFFICER | NA | Control |
| JUNKINS, CRAIG, ALLEN | I | CEO/PRESIDENT/DIRECTOR/OFFICER | NA | Control |
| JUNKINS, CRAIG, ALLEN | I | CEO/PRESIDENT/DIRECTOR/OFFICER | NA | Control |
| JUNKINS, CRAIG, ALLEN | I | CEO/PRESIDENT/DIRECTOR/OFFICER | NA | Control |
| KEEFE, KEVIN, MICHAEL | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| KEEFE, KEVIN, MICHAEL | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| KEEFE, KEVIN, MICHAEL | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| KEEFE, KEVIN, MICHAEL | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| KEEFE, KEVIN, MICHAEL | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| KEEFE, KEVIN, MICHAEL | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| KEEFE, KEVIN, MICHAEL | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| KEEFE, KEVIN, MICHAEL | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| KEEFE, KEVIN, MICHAEL | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| KEEFE, KEVIN, MICHAEL | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| KEEFE, KEVIN, MICHAEL | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| KEEFE, KEVIN, MICHAEL | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| KEEFE, KEVIN, MICHAEL | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| KEEFE, KEVIN, MICHAEL | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| KEEFE, KEVIN, MICHAEL | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| KEEFE, KEVIN, MICHAEL | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| KEEFE, KEVIN, MICHAEL | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| KEEFE, KEVIN, MICHAEL | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| KEEFE, KEVIN, MICHAEL | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| KEEFE, KEVIN, MICHAEL | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| KEEFE, KEVIN, MICHAEL | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| KEEFE, KEVIN, MICHAEL | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| KEEFE, KEVIN, MICHAEL | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| KEEFE, KEVIN, MICHAEL | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| KEEFE, KEVIN, MICHAEL | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| MARKS, JOEL, ELLIOT | I | DIRECTOR | NA | Control |
| MARKS, JOEL, ELLIOT | I | DIRECTOR | NA | Control |
| MARKS, JOEL, ELLIOT | I | DIRECTOR | NA | Control |
| MARKS, JOEL, ELLIOT | I | DIRECTOR | NA | Control |
| MARKS, JOEL, ELLIOT | I | DIRECTOR | NA | Control |
| MARKS, JOEL, ELLIOT | I | DIRECTOR | NA | Control |
| MARKS, JOEL, ELLIOT | I | DIRECTOR | NA | Control |
| MARKS, JOEL, ELLIOT | I | DIRECTOR | NA | Control |
| MARKS, JOEL, ELLIOT | I | DIRECTOR | NA | Control |
| MARKS, JOEL, ELLIOT | I | DIRECTOR | NA | Control |
| MARKS, JOEL, ELLIOT | I | DIRECTOR | NA | Control |
| MARKS, JOEL, ELLIOT | I | DIRECTOR | NA | Control |
| MARKS, JOEL, ELLIOT | I | DIRECTOR | NA | Control |
| MARKS, JOEL, ELLIOT | I | DIRECTOR | NA | Control |
| MARKS, JOEL, ELLIOT | I | DIRECTOR | NA | Control |
| MARKS, JOEL, ELLIOT | I | DIRECTOR | NA | Control |
| MARKS, JOEL, ELLIOT | I | DIRECTOR | NA | Control |
| MARKS, JOEL, ELLIOT | I | DIRECTOR | NA | Control |
| MARKS, JOEL, ELLIOT | I | DIRECTOR | NA | Control |
| MARKS, JOEL, ELLIOT | I | DIRECTOR | NA | Control |
| MARKS, JOEL, ELLIOT | I | DIRECTOR | NA | Control |
| MARKS, JOEL, ELLIOT | I | DIRECTOR | NA | Control |
| MARKS, JOEL, ELLIOT | I | DIRECTOR | NA | Control |
| MARKS, JOEL, ELLIOT | I | DIRECTOR | NA | Control |
| MARKS, JOEL, ELLIOT | I | DIRECTOR | NA | Control |
| MARKS, JOEL, ELLIOT | I | DIRECTOR | NA | Control |
| MARKS, JOEL, ELLIOT | I | DIRECTOR | NA | Control |
| MARKS, JOEL, ELLIOT | I | DIRECTOR | NA | Control |
| MARKS, JOEL, ELLIOT | I | DIRECTOR | NA | Control |
| MARKS, JOEL, ELLIOT | I | DIRECTOR | NA | Control |
| MARKS, JOEL, ELLIOT | I | DIRECTOR | NA | Control |
| MARKS, JOEL, ELLIOT | I | DIRECTOR | NA | Control |
| MARKS, JOEL, ELLIOT | I | DIRECTOR | NA | Control |
| MARKS, JOEL, ELLIOT | I | DIRECTOR | NA | Control |
| MARKS, JOEL, ELLIOT | I | DIRECTOR | NA | Control |
| MARKS, JOEL, ELLIOT | I | DIRECTOR | NA | Control |
| MARKS, JOEL, ELLIOT | I | DIRECTOR | NA | Control |
| MARKS, JOEL, ELLIOT | I | DIRECTOR | NA | Control |
| MARKS, JOEL, ELLIOT | I | DIRECTOR | NA | Control |
| MARKS, JOEL, ELLIOT | I | DIRECTOR | NA | Control |
| MARKS, JOEL, ELLIOT | I | DIRECTOR | NA | Control |
| MARKS, JOEL, ELLIOT | I | DIRECTOR | NA | Control |
| MARKS, JOEL, ELLIOT | I | DIRECTOR | NA | Control |
| MARKS, JOEL, ELLIOT | I | DIRECTOR | NA | Control |
| MARKS, JOEL, ELLIOT | I | DIRECTOR | NA | Control |
| MCGINNESS, MATTHEW | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| MCGINNESS, MATTHEW | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| MCGINNESS, MATTHEW | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| MCGINNESS, MATTHEW | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| MCGINNESS, MATTHEW | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| MCGINNESS, MATTHEW | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| MCGINNESS, MATTHEW | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| MCGINNESS, MATTHEW | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| MCGINNESS, MATTHEW | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| MCKENNA, NINA, SCHLOESSER | I | DIRECTOR | NA | Control |
| MCKENNA, NINA, SCHLOESSER | I | DIRECTOR | NA | Control |
| MCKENNA, NINA, SCHLOESSER | I | DIRECTOR | NA | Control |
| MOSES, ROBERT, JAY | I | GENERAL COUNSEL/SECRETARY | NA | Control |
| MOSES, ROBERT, JAY | I | GENERAL COUNSEL/SECRETARY | NA | Control |
| MOSES, ROBERT, JAY | I | GENERAL COUNSEL/SECRETARY | NA | Control |
| MOSES, ROBERT, JAY | I | GENERAL COUNSEL/SECRETARY | NA | Control |
| MOSES, ROBERT, JAY | I | GENERAL COUNSEL/SECRETARY | NA | Control |
| MOSES, ROBERT, JAY | I | GENERAL COUNSEL/SECRETARY | NA | Control |
| MOSES, ROBERT, JAY | I | GENERAL COUNSEL/SECRETARY | NA | Control |
| MOSES, ROBERT, JAY | I | GENERAL COUNSEL/SECRETARY | NA | Control |
| MOSES, ROBERT, JAY | I | GENERAL COUNSEL/SECRETARY | NA | Control |
| MOSES, ROBERT, JAY | I | GENERAL COUNSEL | NA | Control |
| MOSES, ROBERT, JAY | I | GENERAL COUNSEL | NA | Control |
| MOSES, ROBERT, JAY | I | GENERAL COUNSEL/SECRETARY | NA | Control |
| MOSES, ROBERT, JAY | I | GENERAL COUNSEL/SECRETARY | NA | Control |
| MOSES, ROBERT, JAY | I | GENERAL COUNSEL/SECRETARY | NA | Control |
| MOSES, ROBERT, JAY | I | GENERAL COUNSEL/SECRETARY | NA | Control |
| MOSES, ROBERT, JAY | I | GENERAL COUNSEL/SECRETARY | NA | Control |
| MOSES, ROBERT, JAY | I | GENERAL COUNSEL/SECRETARY | NA | Control |
| MOSES, ROBERT, JAY | I | GENERAL COUNSEL | NA | Control |
| MOSES, ROBERT, JAY | I | GENERAL COUNSEL | NA | Control |
| MOSES, ROBERT, JAY | I | GENERAL COUNSEL/SECRETARY | NA | Control |
| MOSES, ROBERT, JAY | I | GENERAL COUNSEL | NA | Control |
| MOSES, ROBERT, JAY | I | GENERAL COUNSEL/SECRETARY | NA | Control |
| NEARY, JOSEPH, DANIEL | I | MANAGER/DIRECTOR | NA | Control |
| NEARY, JOSEPH, DANIEL | I | MANAGER/DIRECTOR | NA | Control |
| NEARY, JOSEPH, DANIEL | I | MANAGER/DIRECTOR | NA | Control |
| NEARY, JOSEPH, DANIEL | I | MANAGER/DIRECTOR | NA | Control |
| NEARY, JOSEPH, DANIEL | I | MANAGER/DIRECTOR | NA | Control |
| NEARY, JOSEPH, DANIEL | I | MANAGER/DIRECTOR | NA | Control |
| NEARY, JOSEPH, DANIEL | I | MANAGER/DIRECTOR | NA | Control |
| NEARY, JOSEPH, DANIEL | I | MANAGER/DIRECTOR | NA | Control |
| OLSON, GREGORY, EDWARD | I | ASSISTANT SECRETARY | NA | Control |
| OLSON, GREGORY, EDWARD | I | ASSISTANT SECRETARY | NA | Control |
| OLSON, GREGORY, EDWARD | I | ASSISTANT SECRETARY | NA | Control |
| OLSON, GREGORY, EDWARD | I | ASSISTANT SECRETARY | NA | Control |
| OLSON, GREGORY, EDWARD | I | ASSISTANT SECRETARY | NA | Control |
| OLSON, GREGORY, EDWARD | I | ASSISTANT SECRETARY | NA | Control |
| OLSON, GREGORY, EDWARD | I | ASSISTANT SECRETARY | NA | Control |
| OLSON, GREGORY, EDWARD | I | ASSISTANT SECRETARY | NA | Control |
| OLSON, GREGORY, EDWARD | I | ASSISTANT SECRETARY | NA | Control |
| OLSON, GREGORY, EDWARD | I | ASSISTANT SECRETARY | NA | Control |
| OLSON, GREGORY, EDWARD | I | ASSISTANT SECRETARY | NA | Control |
| OLSON, GREGORY, EDWARD | I | ASSISTANT SECRETARY | NA | Control |
| OLSON, GREGORY, EDWARD | I | ASSISTANT SECRETARY | NA | Control |
| OLSON, GREGORY, EDWARD | I | ASSISTANT SECRETARY | NA | Control |
| OLSON, GREGORY, EDWARD | I | ASSISTANT SECRETARY | NA | Control |
| OLSON, GREGORY, EDWARD | I | ASSISTANT SECRETARY | NA | Control |
| OLSON, GREGORY, EDWARD | I | ASSISTANT SECRETARY | NA | Control |
| OLSON, GREGORY, EDWARD | I | ASSISTANT SECRETARY | NA | Control |
| OLSON, GREGORY, EDWARD | I | ASSISTANT SECRETARY | NA | Control |
| OLSON, GREGORY, EDWARD | I | ASSISTANT SECRETARY | NA | Control |
| OLSON, GREGORY, EDWARD | I | ASSISTANT SECRETARY | NA | Control |
| OLSON, GREGORY, EDWARD | I | ASSISTANT SECRETARY | NA | Control |
| OLSON, GREGORY, EDWARD | I | ASSISTANT SECRETARY | NA | Control |
| OLSON, GREGORY, EDWARD | I | ASSISTANT SECRETARY | NA | Control |
| OLSON, GREGORY, EDWARD | I | ASSISTANT SECRETARY | NA | Control |
| OLSON, GREGORY, EDWARD | I | ASSISTANT SECRETARY | NA | Control |
| OLSON, GREGORY, EDWARD | I | ASSISTANT SECRETARY | NA | Control |
| OLSON, GREGORY, EDWARD | I | ASSISTANT SECRETARY | NA | Control |
| QUINN, MARK, DAVID | I | CHIEF RISK OFFICER | NA | Control |
| QUINN, MARK, DAVID | I | CHIEF RISK OFFICER | NA | Control |
| QUINN, MARK, DAVID | I | CHIEF RISK OFFICER | NA | Control |
| QUINN, MARK, DAVID | I | CHIEF RISK OFFICER | NA | Control |
| QUINN, MARK, DAVID | I | CHIEF RISK OFFICER | NA | Control |
| QUINN, MARK, DAVID | I | CHIEF RISK OFFICER | NA | Control |
| QUINN, MARK, DAVID | I | CHIEF RISK OFFICER | NA | Control |
| QUINN, MARK, DAVID | I | CHIEF RISK OFFICER | NA | Control |
| QUINN, MARK, DAVID | I | CHIEF RISK OFFICER | NA | Control |
| QUINN, MARK, DAVID | I | CHIEF RISK OFFICER | NA | Control |
| QUINN, MARK, DAVID | I | CHIEF RISK OFFICER | NA | Control |
| QUINN, MARK, DAVID | I | CHIEF RISK OFFICER | NA | Control |
| QUINN, MARK, DAVID | I | CHIEF RISK OFFICER | NA | Control |
| QUINN, MARK, DAVID | I | CHIEF RISK OFFICER | NA | Control |
| QUINN, MARK, DAVID | I | CHIEF RISK OFFICER | NA | Control |
| RODERMUND, ROBIN, HENRY | I | SECRETARY/OFFICER | NA | Control |
| RODERMUND, ROBIN, HENRY | I | SECRETARY/OFFICER | NA | Control |
| RODERMUND, ROBIN, HENRY | I | SECRETARY/OFFICER | NA | Control |
| RODERMUND, ROBIN, HENRY | I | SECRETARY/OFFICER | NA | Control |
| RODERMUND, ROBIN, HENRY | I | SECRETARY/OFFICER | NA | Control |
| RODERMUND, ROBIN, HENRY | I | SECRETARY/OFFICER | NA | Control |
| RODERMUND, ROBIN, HENRY | I | EVP SALES AND MARKETING | NA | Control |
| RODERMUND, ROBIN, HENRY | I | SECRETARY/OFFICER | NA | Control |
| RODERMUND, ROBIN, HENRY | I | SECRETARY/OFFICER | NA | Control |
| RODERMUND, ROBIN, HENRY | I | SECRETARY/OFFICER | NA | Control |
| RODERMUND, ROBIN, HENRY | I | SECRETARY/OFFICER | NA | Control |
| RODERMUND, ROBIN, HENRY | I | SECRETARY/OFFICER | NA | Control |
| RODERMUND, ROBIN, HENRY | I | SECRETARY/OFFICER | NA | Control |
| RODERMUND, ROBIN, HENRY | I | SECRETARY/OFFICER | NA | Control |
| RODERMUND, ROBIN, HENRY | I | SECRETARY/OFFICER | NA | Control |
| RODERMUND, ROBIN, HENRY | I | SECRETARY/OFFICER | NA | Control |
| RODERMUND, ROBIN, HENRY | I | SECRETARY/OFFICER | NA | Control |
| RODERMUND, ROBIN, HENRY | I | SECRETARY/OFFICER | NA | Control |
| RODERMUND, ROBIN, HENRY | I | SECRETARY/OFFICER | NA | Control |
| RODERMUND, ROBIN, HENRY | I | PRESIDENT/CHIEF OPERATING OFFICER | NA | Control |
| RODERMUND, ROBIN, HENRY | I | PRESIDENT/CEO | NA | Control |
| RODERMUND, ROBIN, HENRY | I | PRESIDENT/CEO | NA | Control |
| RODERMUND, ROBIN, HENRY | I | CHIEF OPERATING OFFICER | NA | Control |
| RODERMUND, ROBIN, HENRY | I | PRESIDENT/CEO | NA | Control |
| RODERMUND, ROBIN, HENRY | I | PRESIDENT/CEO | NA | Control |
| RODERMUND, ROBIN, HENRY | I | CHIEF OPERATING OFFICER | NA | Control |
| RODERMUND, ROBIN, HENRY | I | CHIEF OPERATING OFFICER | NA | Control |
| RODERMUND, ROBIN, HENRY | I | CHIEF OPERATING OFFICER | NA | Control |
| RODERMUND, ROBIN, HENRY | I | SECRETARY/OFFICER | NA | Control |
| RODERMUND, ROBIN, HENRY | I | SECRETARY/OFFICER | NA | Control |
| RODERMUND, ROBIN, HENRY | I | PRESIDENT/CEO | NA | Control |
| RODERMUND, ROBIN, HENRY | I | PRESIDENT/CHIEF OPERATING OFFICER | NA | Control |
| RODERMUND, ROBIN, HENRY | I | SECRETARY/OFFICER | NA | Control |
| RODERMUND, ROBIN, HENRY | I | PRESIDENT/CHIEF OPERATING OFFICER | NA | Control |
| RODERMUND, ROBIN, HENRY | I | PRESIDENT/CHIEF OPERATING OFFICER | NA | Control |
| RODERMUND, ROBIN, HENRY | I | CHIEF OPERATING OFFICER | NA | Control |
| RODERMUND, ROBIN, HENRY | I | CHIEF OPERATING OFFICER | NA | Control |
| RODERMUND, ROBIN, HENRY | I | PRESIDENT/CEO | NA | Control |
| RODERMUND, ROBIN, HENRY | I | PRESIDENT/CEO | NA | Control |
| RODERMUND, ROBIN, HENRY | I | PRESIDENT/CEO | NA | Control |
| RODERMUND, ROBIN, HENRY | I | PRESIDENT/CHIEF OPERATING OFFICER | NA | Control |
| RODERMUND, ROBIN, HENRY | I | PRESIDENT/CHIEF OPERATING OFFICER | NA | Control |
| RODERMUND, ROBIN, HENRY | I | PRESIDENT/CHIEF OPERATING OFFICER | NA | Control |
| RODERMUND, ROBIN, HENRY | I | CHIEF OPERATING OFFICER | NA | Control |
| RODERMUND, ROBIN, HENRY | I | CHIEF OPERATING OFFICER | NA | Control |
| RODERMUND, ROBIN, HENRY | I | CHIEF OPERATING OFFICER | NA | Control |
| RODERMUND, ROBIN, HENRY | I | CHIEF OPERATING OFFICER | NA | Control |
| RODERMUND, ROBIN, HENRY | I | SECRETARY/OFFICER | NA | Control |
| RODERMUND, ROBIN, HENRY | I | CHIEF OPERATING OFFICER | NA | Control |
| RODERMUND, ROBIN, HENRY | I | SECRETARY/OFFICER | NA | Control |
| RODERMUND, ROBIN, HENRY | I | CHIEF OPERATING OFFICER | NA | Control |
| RODERMUND, ROBIN, HENRY | I | CHIEF OPERATING OFFICER | NA | Control |
| RODERMUND, ROBIN, HENRY | I | CHIEF OPERATING OFFICER | NA | Control |
| RODERMUND, ROBIN, HENRY | I | PRESIDENT/CHIEF OPERATING OFFICER | NA | Control |
| SHELSON, MARK, PAUL | I | TREASURER | NA | Control |
| SHELSON, MARK, PAUL | I | TREASURER | NA | Control |
| SHELSON, MARK, PAUL | I | TREASURER | NA | Control |
| SHELSON, MARK, PAUL | I | TREASURER | NA | Control |
| SHELSON, MARK, PAUL | I | TREASURER | NA | Control |
| SHELSON, MARK, PAUL | I | TREASURER | NA | Control |
| SHELSON, MARK, PAUL | I | TREASURER | NA | Control |
| SHELSON, MARK, PAUL | I | TREASURER | NA | Control |
| SHELSON, MARK, PAUL | I | TREASURER | NA | Control |
| SHELSON, MARK, PAUL | I | TREASURER | NA | Control |
| SHELSON, MARK, PAUL | I | TREASURER | NA | Control |
| SHELSON, MARK, PAUL | I | TREASURER | NA | Control |
| SHELSON, MARK, PAUL | I | TREASURER | NA | Control |
| SHELSON, MARK, PAUL | I | TREASURER | NA | Control |
| SHELSON, MARK, PAUL | I | TREASURER | NA | Control |
| SHELSON, MARK, PAUL | I | TREASURER | NA | Control |
| SHELSON, MARK, PAUL | I | TREASURER | NA | Control |
| SHELSON, MARK, PAUL | I | TREASURER | NA | Control |
| SHELSON, MARK, PAUL | I | TREASURER | NA | Control |
| SHELSON, MARK, PAUL | I | TREASURER | NA | Control |
| SHELSON, MARK, PAUL | I | TREASURER | NA | Control |
| SHELSON, MARK, PAUL | I | TREASURER | NA | Control |
| SHELSON, MARK, PAUL | I | TREASURER | NA | Control |
| SHELSON, MARK, PAUL | I | TREASURER | NA | Control |
| SHELSON, MARK, PAUL | I | TREASURER | NA | Control |
| SHELSON, MARK, PAUL | I | TREASURER | NA | Control |
| SHELSON, MARK, PAUL | I | TREASURER | NA | Control |
| SHELSON, MARK, PAUL | I | TREASURER | NA | Control |
| SMILEY, STANLEY, ROBERT | I | VICE PRESIDENT | NA | Control |
| SMILEY, STANLEY, ROBERT | I | VICE PRESIDENT | NA | Control |
| SMILEY, STANLEY, ROBERT | I | VICE PRESIDENT | NA | Control |
| SMILEY, STANLEY, ROBERT | I | VICE PRESIDENT | NA | Control |
| SMILEY, STANLEY, ROBERT | I | VICE PRESIDENT | NA | Control |
| SMILEY, STANLEY, ROBERT | I | VICE PRESIDENT | NA | Control |
| SMILEY, STANLEY, ROBERT | I | VICE PRESIDENT | NA | Control |
| SMILEY, STANLEY, ROBERT | I | VICE PRESIDENT | NA | Control |
| SMILEY, STANLEY, ROBERT | I | VICE PRESIDENT | NA | Control |
| SMILEY, STANLEY, ROBERT | I | VICE PRESIDENT | NA | Control |
| SMILEY, STANLEY, ROBERT | I | VICE PRESIDENT | NA | Control |
| SMILEY, STANLEY, ROBERT | I | VICE PRESIDENT | NA | Control |
| SMILEY, STANLEY, ROBERT | I | VICE PRESIDENT | NA | Control |
| SMILEY, STANLEY, ROBERT | I | VICE PRESIDENT | NA | Control |
| SMILEY, STANLEY, ROBERT | I | VICE PRESIDENT | NA | Control |
| SMILEY, STANLEY, ROBERT | I | VICE PRESIDENT | NA | Control |
| SMILEY, STANLEY, ROBERT | I | VICE PRESIDENT | NA | Control |
| SMILEY, STANLEY, ROBERT | I | VICE PRESIDENT | NA | Control |
| SMILEY, STANLEY, ROBERT | I | VICE PRESIDENT | NA | Control |
| SMILEY, STANLEY, ROBERT | I | VICE PRESIDENT | NA | Control |
| SMILEY, STANLEY, ROBERT | I | VICE PRESIDENT | NA | Control |
| SMILEY, STANLEY, ROBERT | I | VICE PRESIDENT | NA | Control |
| SMILEY, STANLEY, ROBERT | I | VICE PRESIDENT | NA | Control |
| SMILEY, STANLEY, ROBERT | I | VICE PRESIDENT | NA | Control |
| SMILEY, STANLEY, ROBERT | I | VICE PRESIDENT | NA | Control |
| SMILEY, STANLEY, ROBERT | I | VICE PRESIDENT | NA | Control |
| SMILEY, STANLEY, ROBERT | I | VICE PRESIDENT | NA | Control |
| SMILEY, STANLEY, ROBERT | I | VICE PRESIDENT | NA | Control |
| Schott, Mary, Frances | I | PRESIDENT | NA | Control |
| Schott, Mary, Frances | I | PRESIDENT | NA | Control |
| Schott, Mary, Frances | I | PRESIDENT | NA | Control |
| Schott, Mary, Frances | I | PRESIDENT | NA | Control |
| Schott, Mary, Frances | I | PRESIDENT | NA | Control |
| Schott, Mary, Frances | I | PRESIDENT | NA | Control |
| Schott, Mary, Frances | I | PRESIDENT | NA | Control |
| Schott, Mary, Frances | I | PRESIDENT | NA | Control |
| Schott, Mary, Frances | I | PRESIDENT | NA | Control |
| Schott, Mary, Frances | I | PRESIDENT | NA | Control |
| Schott, Mary, Frances | I | PRESIDENT | NA | Control |
| Schott, Mary, Frances | I | PRESIDENT | NA | Control |
| Schott, Mary, Frances | I | PRESIDENT | NA | Control |
| Schott, Mary, Frances | I | PRESIDENT | NA | Control |
| YOUNT, JEFFREY, LYNN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| ADVANCED EQUITIES FINANCIAL CORP | DE | SHAREHOLDER | E | Control |
| ADVANCED EQUITIES FINANCIAL CORP | DE | SHAREHOLDER | E | Control |
| ADVANCED EQUITIES FINANCIAL CORP | DE | SHAREHOLDER | E | Control |
| ADVANCED EQUITIES FINANCIAL CORP | DE | SHAREHOLDER | E | Control |
| ADVANCED EQUITIES FINANCIAL CORP | DE | SHAREHOLDER | E | Control |
| ADVANCED EQUITIES FINANCIAL CORP | DE | SHAREHOLDER | E | Control |
| ADVANCED EQUITIES FINANCIAL CORP | DE | SHAREHOLDER | E | Control |
| ADVANCED EQUITIES FINANCIAL CORP | DE | SHAREHOLDER | E | Control |
| ADVANCED EQUITIES FINANCIAL CORP | DE | SHAREHOLDER | E | Control |
| ADVANCED EQUITIES FINANCIAL CORP | DE | SHAREHOLDER | E | Control |
| ADVANCED EQUITIES FINANCIAL CORP | DE | SHAREHOLDER | E | Control |
| ADVANCED EQUITIES FINANCIAL CORP | DE | SHAREHOLDER | E | Control |
| ADVANCED EQUITIES FINANCIAL CORP | DE | SHAREHOLDER | E | Control |
| ADVANCED EQUITIES FINANCIAL CORP | DE | SHAREHOLDER | E | Control |
| ADVANCED EQUITIES FINANCIAL CORP | DE | SHAREHOLDER | E | Control |
| ADVANCED EQUITIES FINANCIAL CORP | DE | SHAREHOLDER | E | Control |
| ADVANCED EQUITIES FINANCIAL CORP | DE | SHAREHOLDER | E | Control |
| ADVANCED EQUITIES FINANCIAL CORP | DE | SHAREHOLDER | E | Control |
| FAS HOLDINGS, INC. | DE | SOLE SHAREHOLDER | E | Control |
| FAS HOLDINGS, INC. | DE | SOLE SHAREHOLDER | E | Control |
| FAS HOLDINGS, INC. | DE | SOLE SHAREHOLDER | E | Control |
| FAS HOLDINGS, INC. | DE | SOLE SHAREHOLDER | E | Control |
| FAS HOLDINGS, INC. | DE | SOLE SHAREHOLDER | E | Control |
| FAS HOLDINGS, INC. | DE | SOLE SHAREHOLDER | E | Control |
| FAS HOLDINGS, INC. | DE | SOLE SHAREHOLDER | E | Control |
| FAS HOLDINGS, INC. | DE | SOLE SHAREHOLDER | E | Control |
| FAS HOLDINGS, INC. | DE | SOLE SHAREHOLDER | E | Control |
| FAS HOLDINGS, INC. | DE | SOLE SHAREHOLDER | E | Control |
| FAS HOLDINGS, INC. | DE | SOLE SHAREHOLDER | E | Control |
| FAS HOLDINGS, INC. | DE | SOLE SHAREHOLDER | E | Control |
| FAS HOLDINGS, INC. | DE | SOLE SHAREHOLDER | E | Control |
| FAS HOLDINGS, INC. | DE | SOLE SHAREHOLDER | E | Control |
| FAS HOLDINGS, INC. | DE | SOLE SHAREHOLDER | E | Control |
| FAS HOLDINGS, INC. | DE | SOLE SHAREHOLDER | E | Control |
| FAS HOLDINGS, INC. | DE | SOLE SHAREHOLDER | E | Control |
| FAS HOLDINGS, INC. | DE | SOLE SHAREHOLDER | E | Control |
| FAS HOLDINGS, INC. | DE | SOLE SHAREHOLDER | E | Control |
| FAS HOLDINGS, INC. | DE | SOLE SHAREHOLDER | E | Control |
| FAS HOLDINGS, INC. | DE | SOLE SHAREHOLDER | E | Control |
| FAS HOLDINGS, INC. | DE | SOLE SHAREHOLDER | E | Control |
| FAS HOLDINGS, INC. | DE | SOLE SHAREHOLDER | E | Control |
| FAS HOLDINGS, INC. | DE | SOLE SHAREHOLDER | E | Control |
| FAS HOLDINGS, INC. | DE | SOLE SHAREHOLDER | E | Control |
| FAS HOLDINGS, INC. | DE | SOLE SHAREHOLDER | E | Control |
| FAS HOLDINGS, INC. | DE | SOLE SHAREHOLDER | E | Control |
| FAS HOLDINGS, INC. | DE | SOLE SHAREHOLDER | E | Control |
| FAS HOLDINGS, INC. | DE | SOLE SHAREHOLDER | E | Control |
| FAS HOLDINGS, INC. | DE | SOLE SHAREHOLDER | E | Control |
| FAS HOLDINGS, INC. | DE | SOLE SHAREHOLDER | E | Control |
| FAS HOLDINGS, INC. | DE | SOLE SHAREHOLDER | E | Control |
| FAS HOLDINGS, INC. | DE | SOLE SHAREHOLDER | E | Control |
| FAS HOLDINGS, INC. | DE | SOLE SHAREHOLDER | E | Control |
| FAS HOLDINGS, INC. | DE | SOLE SHAREHOLDER | E | Control |
| FAS HOLDINGS, INC. | DE | SOLE SHAREHOLDER | E | Control |
| FAS HOLDINGS, INC. | DE | SOLE SHAREHOLDER | E | Control |
| FAS HOLDINGS, INC. | DE | SOLE SHAREHOLDER | E | Control |
| FAS HOLDINGS, INC. | DE | SOLE SHAREHOLDER | E | Control |
| FAS HOLDINGS, INC. | DE | SOLE SHAREHOLDER | E | Control |
| FAS HOLDINGS, INC. | DE | SOLE SHAREHOLDER | E | Control |
| FAS HOLDINGS, INC. | DE | SOLE SHAREHOLDER | E | Control |
| FAS HOLDINGS, INC. | DE | SOLE SHAREHOLDER | E | Control |
| FAS HOLDINGS, INC. | DE | SOLE SHAREHOLDER | E | Control |
| FAS HOLDINGS, INC. | DE | SOLE SHAREHOLDER | E | Control |
| FAS HOLDINGS, INC. | DE | SOLE SHAREHOLDER | E | Control |
| FAS HOLDINGS, INC. | DE | SOLE SHAREHOLDER | E | Control |
| FAS HOLDINGS, INC. | DE | SOLE SHAREHOLDER | E | Control |
| FAS HOLDINGS, INC. | DE | SOLE SHAREHOLDER | E | Control |
| FAS HOLDINGS, INC. | DE | SOLE SHAREHOLDER | E | Control |
| FAS HOLDINGS, INC. | DE | SOLE SHAREHOLDER | E | Control |
| FAS HOLDINGS, INC. | DE | SOLE SHAREHOLDER | E | Control |
| FAS HOLDINGS, INC. | DE | SOLE SHAREHOLDER | E | Control |
| FAS HOLDINGS, INC. | DE | SOLE SHAREHOLDER | E | Control |
| FAS HOLDINGS, INC. | DE | SOLE SHAREHOLDER | E | Control |
| FAS HOLDINGS, INC. | DE | SOLE SHAREHOLDER | E | Control |
| FAS HOLDINGS, INC. | DE | SOLE SHAREHOLDER | E | Control |
| FAS HOLDINGS, INC. | DE | SOLE SHAREHOLDER | E | Control |
| FAS HOLDINGS, INC. | DE | SOLE SHAREHOLDER | E | Control |
| FAS HOLDINGS, INC. | DE | SOLE SHAREHOLDER | E | Control |
| FAS HOLDINGS, INC. | DE | SOLE SHAREHOLDER | E | Control |
| FAS HOLDINGS, INC. | DE | SOLE SHAREHOLDER | E | Control |
| FAS HOLDINGS, INC. | DE | SOLE SHAREHOLDER | E | Control |
| FAS HOLDINGS, INC. | DE | SOLE SHAREHOLDER | E | Control |
| FAS HOLDINGS, INC. | DE | SOLE SHAREHOLDER | E | Control |
| FAS HOLDINGS, INC. | DE | SOLE SHAREHOLDER | E | Control |
| FAS HOLDINGS, INC. | DE | SOLE SHAREHOLDER | E | Control |
| BADGER, DWIGHT, OLIVER | I | DIRECTOR | C | Control |
| BADGER, DWIGHT, OLIVER | I | DIRECTOR | C | Control |
| BADGER, DWIGHT, OLIVER | I | DIRECTOR | C | Control |
| BADGER, DWIGHT, OLIVER | I | DIRECTOR | C | Control |
| BADGER, DWIGHT, OLIVER | I | DIRECTOR | C | Control |
| BADGER, DWIGHT, OLIVER | I | DIRECTOR | C | Control |
| BADGER, DWIGHT, OLIVER | I | DIRECTOR | C | Control |
| BADGER, DWIGHT, OLIVER | I | DIRECTOR | C | Control |
| BADGER, DWIGHT, OLIVER | I | DIRECTOR | C | Control |
| BADGER, DWIGHT, OLIVER | I | DIRECTOR | C | Control |
| BADGER, DWIGHT, OLIVER | I | DIRECTOR | C | Control |
| BADGER, DWIGHT, OLIVER | I | DIRECTOR | C | Control |
| BADGER, DWIGHT, OLIVER | I | DIRECTOR | C | Control |
| BADGER, DWIGHT, OLIVER | I | DIRECTOR | C | Control |
| BADGER, DWIGHT, OLIVER | I | DIRECTOR | C | Control |
| BADGER, DWIGHT, OLIVER | I | DIRECTOR | C | Control |
| BADGER, DWIGHT, OLIVER | I | DIRECTOR | C | Control |
| BADGER, DWIGHT, OLIVER | I | DIRECTOR | C | Control |
| BADGER, DWIGHT, OLIVER | I | DIRECTOR | C | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| ARETEC GROUP, INC. | DE | RCS CAPITAL HOLDINGS LLC | E | Control |
| ARETEC GROUP, INC. | DE | RCS CAPITAL HOLDINGS LLC | E | Control |
| ARETEC GROUP, INC. | DE | RCS CAPITAL HOLDINGS LLC | E | Control |
| ARETEC GROUP, INC. | DE | RCS CAPITAL HOLDINGS LLC | E | Control |
| ARETEC GROUP, INC. | DE | RCS CAPITAL HOLDINGS LLC | E | Control |
| ARETEC GROUP, INC. | DE | RCS CAPITAL HOLDINGS LLC | E | Control |
| ARETEC GROUP, INC. | DE | RCS CAPITAL HOLDINGS LLC | E | Control |
| ARETEC GROUP, INC. | DE | RCS CAPITAL HOLDINGS LLC | E | Control |
| ARETEC GROUP, INC. | DE | RCS CAPITAL HOLDINGS LLC | E | Control |
| ARETEC GROUP, INC. | DE | RCS CAPITAL HOLDINGS LLC | E | Control |
| ARETEC GROUP, INC. | DE | RCS CAPITAL HOLDINGS LLC | E | Control |
| ARETEC GROUP, INC. | DE | RCS CAPITAL HOLDINGS LLC | E | Control |
| ARETEC GROUP, INC. | DE | RCS CAPITAL HOLDINGS LLC | E | Control |
| ARETEC GROUP, INC. | DE | RCS CAPITAL HOLDINGS LLC | E | Control |
| ARETEC GROUP, INC. | DE | RCS CAPITAL HOLDINGS LLC | E | Control |
| ARETEC GROUP, INC. | DE | RCS CAPITAL HOLDINGS LLC | E | Control |
| ARETEC GROUP, INC. | DE | RCS CAPITAL HOLDINGS LLC | E | Control |
| ARETEC GROUP, INC. | DE | RCS CAPITAL HOLDINGS LLC | E | Control |
| ARETEC GROUP, INC. | DE | RCS CAPITAL HOLDINGS LLC | E | Control |
| ARETEC GROUP, INC. | DE | RCS CAPITAL HOLDINGS LLC | E | Control |
| ARETEC GROUP, INC. | DE | RCS CAPITAL HOLDINGS LLC | E | Control |
| ARETEC GROUP, INC. | DE | CETERA FIRST HOLDINGS, INC. | E | Control |
| ARETEC GROUP, INC. | DE | CETERA FIRST HOLDINGS, INC. | E | Control |
| ARETEC GROUP, INC. | DE | RCS CAPITAL HOLDINGS LLC | E | Control |
| ARETEC GROUP, INC. | DE | CETERA FIRST HOLDINGS, INC. | E | Control |
| ARETEC GROUP, INC. | DE | CETERA FIRST HOLDINGS, INC. | E | Control |
| ARETEC GROUP, INC. | DE | CETERA FIRST HOLDINGS, INC. | E | Control |
| ARETEC GROUP, INC. | DE | CETERA FIRST HOLDINGS, INC. | E | Control |
| ARETEC GROUP, INC. | DE | CETERA FIRST HOLDINGS, INC. | E | Control |
| ARETEC GROUP, INC. | DE | CETERA FIRST HOLDINGS, INC. | E | Control |
| CETERA FIRST HOLDINGS, INC. | DE | FIRST ALLIED HOLDINGS INC. | E | Control |
| CETERA FIRST HOLDINGS, INC. | DE | FIRST ALLIED HOLDINGS INC. | E | Control |
| CETERA FIRST HOLDINGS, INC. | DE | FIRST ALLIED HOLDINGS INC. | E | Control |
| CETERA FIRST HOLDINGS, INC. | DE | FIRST ALLIED HOLDINGS INC. | E | Control |
| CETERA FIRST HOLDINGS, INC. | DE | FIRST ALLIED HOLDINGS INC. | E | Control |
| CETERA FIRST HOLDINGS, INC. | DE | FIRST ALLIED HOLDINGS INC. | E | Control |
| CETERA FIRST HOLDINGS, INC. | DE | FIRST ALLIED HOLDINGS INC. | E | Control |
| CETERA FIRST HOLDINGS, INC. | DE | FIRST ALLIED HOLDINGS INC. | E | Control |
| FIRST ALLIED HOLDINGS INC. | DE | FAS HOLDINGS INC. | E | Control |
| FIRST ALLIED HOLDINGS INC. | DE | FAS HOLDINGS INC. | E | Control |
| FIRST ALLIED HOLDINGS INC. | DE | FAS HOLDINGS INC. | E | Control |
| FIRST ALLIED HOLDINGS INC. | DE | FAS HOLDINGS INC. | E | Control |
| FIRST ALLIED HOLDINGS INC. | DE | FAS HOLDINGS INC. | E | Control |
| FIRST ALLIED HOLDINGS INC. | DE | FAS HOLDINGS INC. | E | Control |
| FIRST ALLIED HOLDINGS INC. | DE | FAS HOLDINGS INC. | E | Control |
| FIRST ALLIED HOLDINGS INC. | DE | FAS HOLDINGS INC. | E | Control |
| FIRST ALLIED HOLDINGS INC. | DE | FAS HOLDINGS INC. | E | Control |
| FIRST ALLIED HOLDINGS INC. | DE | FAS HOLDINGS INC. | E | Control |
| FIRST ALLIED HOLDINGS INC. | DE | FAS HOLDINGS INC. | E | Control |
| FIRST ALLIED HOLDINGS INC. | DE | FAS HOLDINGS INC. | E | Control |
| FIRST ALLIED HOLDINGS INC. | DE | FAS HOLDINGS INC. | E | Control |
| FIRST ALLIED HOLDINGS INC. | DE | FAS HOLDINGS INC. | E | Control |
| FIRST ALLIED HOLDINGS INC. | DE | FAS HOLDINGS INC. | E | Control |
| FIRST ALLIED HOLDINGS INC. | DE | FAS HOLDINGS INC. | E | Control |
| FIRST ALLIED HOLDINGS INC. | DE | FAS HOLDINGS INC. | E | Control |
| FIRST ALLIED HOLDINGS INC. | DE | FAS HOLDINGS INC. | E | Control |
| FIRST ALLIED HOLDINGS INC. | DE | FAS HOLDINGS INC. | E | Control |
| FIRST ALLIED HOLDINGS INC. | DE | FAS HOLDINGS INC. | E | Control |
| FIRST ALLIED HOLDINGS INC. | DE | FAS HOLDINGS INC. | E | Control |
| FIRST ALLIED HOLDINGS INC. | DE | FAS HOLDINGS INC. | E | Control |
| FIRST ALLIED HOLDINGS INC. | DE | FAS HOLDINGS INC. | E | Control |
| FIRST ALLIED HOLDINGS INC. | DE | FAS HOLDINGS INC. | E | Control |
| FIRST ALLIED HOLDINGS INC. | DE | FAS HOLDINGS INC. | E | Control |
| FIRST ALLIED HOLDINGS INC. | DE | FAS HOLDINGS INC. | E | Control |
| FIRST ALLIED HOLDINGS INC. | DE | FAS HOLDINGS INC. | E | Control |
| FIRST ALLIED HOLDINGS INC. | DE | FAS HOLDINGS INC. | E | Control |
| FIRST ALLIED HOLDINGS INC. | DE | FAS HOLDINGS INC. | E | Control |
| FIRST ALLIED HOLDINGS INC. | DE | FAS HOLDINGS INC. | E | Control |
| FIRST ALLIED HOLDINGS INC. | DE | FAS HOLDINGS INC. | E | Control |
| FIRST ALLIED HOLDINGS INC. | DE | FAS HOLDINGS INC. | E | Control |
| FIRST ALLIED HOLDINGS INC. | DE | FAS HOLDINGS INC. | E | Control |
| FIRST ALLIED HOLDINGS INC. | DE | FAS HOLDINGS INC. | E | Control |
| FIRST ALLIED HOLDINGS INC. | DE | FAS HOLDINGS INC. | E | Control |
| FIRST ALLIED HOLDINGS INC. | DE | FAS HOLDINGS INC. | E | Control |
| FIRST ALLIED HOLDINGS INC. | DE | FAS HOLDINGS INC. | E | Control |
| FIRST ALLIED HOLDINGS INC. | DE | FAS HOLDINGS INC. | E | Control |
| FIRST ALLIED HOLDINGS INC. | DE | FAS HOLDINGS INC. | E | Control |
| FIRST ALLIED HOLDINGS INC. | DE | FAS HOLDINGS INC. | E | Control |
| FIRST ALLIED HOLDINGS INC. | DE | FAS HOLDINGS INC. | E | Control |
| FIRST ALLIED HOLDINGS INC. | DE | FAS HOLDINGS INC. | E | Control |
| FIRST ALLIED HOLDINGS INC. | DE | FAS HOLDINGS INC. | E | Control |
| FIRST ALLIED HOLDINGS INC. | DE | FAS HOLDINGS INC. | E | Control |
| FIRST ALLIED HOLDINGS INC. | DE | FAS HOLDINGS INC. | E | Control |
| FIRST ALLIED HOLDINGS INC. | DE | FAS HOLDINGS INC. | E | Control |
| FIRST ALLIED HOLDINGS INC. | DE | FAS HOLDINGS INC. | E | Control |
| FIRST ALLIED HOLDINGS INC. | DE | FAS HOLDINGS INC. | E | Control |
| FIRST ALLIED HOLDINGS INC. | DE | FAS HOLDINGS INC. | E | Control |
| FIRST ALLIED HOLDINGS INC. | DE | FAS HOLDINGS INC. | E | Control |
| FIRST ALLIED HOLDINGS INC. | DE | FAS HOLDINGS INC. | E | Control |
| FIRST ALLIED HOLDINGS INC. | DE | FAS HOLDINGS INC. | E | Control |
| FIRST ALLIED HOLDINGS INC. | DE | FAS HOLDINGS INC. | E | Control |
| FIRST ALLIED HOLDINGS INC. | DE | FAS HOLDINGS INC. | E | Control |
| FIRST ALLIED HOLDINGS INC. | DE | FAS HOLDINGS INC. | E | Control |
| FIRST ALLIED HOLDINGS INC. | DE | FAS HOLDINGS INC. | E | Control |
| FIRST ALLIED HOLDINGS INC. | DE | FAS HOLDINGS INC. | E | Control |
| FIRST ALLIED HOLDINGS INC. | DE | FAS HOLDINGS INC. | E | Control |
| FIRST ALLIED HOLDINGS INC. | DE | FAS HOLDINGS, INC. | E | Control |
| FIRST ALLIED HOLDINGS INC. | DE | FAS HOLDINGS, INC. | E | Control |
| FIRST ALLIED HOLDINGS INC. | DE | FAS HOLDINGS INC. | E | Control |
| FIRST ALLIED HOLDINGS INC. | DE | FAS HOLDINGS, INC. | E | Control |
| FIRST ALLIED HOLDINGS INC. | DE | FAS HOLDINGS, INC. | E | Control |
| FIRST ALLIED HOLDINGS INC. | DE | FAS HOLDINGS, INC. | E | Control |
| FIRST ALLIED HOLDINGS INC. | DE | FAS HOLDINGS, INC. | E | Control |
| FIRST ALLIED HOLDINGS INC. | DE | FAS HOLDINGS, INC. | E | Control |
| FIRST ALLIED HOLDINGS INC. | DE | FAS HOLDINGS, INC. | E | Control |
| FUND III UGP LLC | DE | LMEA III | E | Control |
| FUND III UGP LLC | DE | LMEA III | E | Control |
| FUND III UGP LLC | DE | LMEA III | E | Control |
| FUND III UGP LLC | DE | LMEA III | E | Control |
| FUND III UGP LLC | DE | LMEA III | E | Control |
| FUND III UGP LLC | DE | LMEA III | E | Control |
| FUND III UGP LLC | DE | LMEA III | E | Control |
| FUND III UGP LLC | DE | LMEA III | E | Control |
| FUND III UGP LLC | DE | LMEA III | E | Control |
| FUND III UGP LLC | DE | LMEA III | E | Control |
| FUND III UGP LLC | DE | LMEA III | E | Control |
| FUND III UGP LLC | DE | LMEA III | E | Control |
| FUND III UGP LLC | DE | LMEA III | E | Control |
| FUND III UGP LLC | DE | LMEA III | E | Control |
| FUND III UGP LLC | DE | LMEA III | E | Control |
| FUND III UGP LLC | DE | LMEA III | E | Control |
| LOVELL MINNICK EQUITY ADVISORS III LP (LMEA III) | DE | LMEP III AND LMEP IIIA | E | Control |
| LOVELL MINNICK EQUITY ADVISORS III LP (LMEA III) | DE | LMEP III AND LMEP IIIA | E | Control |
| LOVELL MINNICK EQUITY ADVISORS III LP (LMEA III) | DE | LMEP III A | E | Control |
| LOVELL MINNICK EQUITY ADVISORS III LP (LMEA III) | DE | LMEP III AND LMEP IIIA | E | Control |
| LOVELL MINNICK EQUITY ADVISORS III LP (LMEA III) | DE | LMEP III A | E | Control |
| LOVELL MINNICK EQUITY ADVISORS III LP (LMEA III) | DE | LMEP III AND LMEP IIIA | E | Control |
| LOVELL MINNICK EQUITY ADVISORS III LP (LMEA III) | DE | LMEP III A | E | Control |
| LOVELL MINNICK EQUITY ADVISORS III LP (LMEA III) | DE | LMEP III AND LMEP IIIA | E | Control |
| LOVELL MINNICK EQUITY ADVISORS III LP (LMEA III) | DE | LMEP III A | E | Control |
| LOVELL MINNICK EQUITY ADVISORS III LP (LMEA III) | DE | LMEP III AND LMEP IIIA | E | Control |
| LOVELL MINNICK EQUITY ADVISORS III LP (LMEA III) | DE | LMEP III A | E | Control |
| LOVELL MINNICK EQUITY ADVISORS III LP (LMEA III) | DE | LMEP III AND LMEP IIIA | E | Control |
| LOVELL MINNICK EQUITY ADVISORS III LP (LMEA III) | DE | LMEP III A | E | Control |
| LOVELL MINNICK EQUITY ADVISORS III LP (LMEA III) | DE | LMEP III AND LMEP IIIA | E | Control |
| LOVELL MINNICK EQUITY ADVISORS III LP (LMEA III) | DE | LMEP III A | E | Control |
| LOVELL MINNICK EQUITY ADVISORS III LP (LMEA III) | DE | LMEP III AND LMEP IIIA | E | Control |
| LOVELL MINNICK EQUITY ADVISORS III LP (LMEA III) | DE | LMEP III A | E | Control |
| LOVELL MINNICK EQUITY ADVISORS III LP (LMEA III) | DE | LMEP III AND LMEP IIIA | E | Control |
| LOVELL MINNICK EQUITY ADVISORS III LP (LMEA III) | DE | LMEP III A | E | Control |
| LOVELL MINNICK EQUITY ADVISORS III LP (LMEA III) | DE | LMEP III AND LMEP IIIA | E | Control |
| LOVELL MINNICK EQUITY ADVISORS III LP (LMEA III) | DE | LMEP III A | E | Control |
| LOVELL MINNICK EQUITY ADVISORS III LP (LMEA III) | DE | LMEP III AND LMEP IIIA | E | Control |
| LOVELL MINNICK EQUITY ADVISORS III LP (LMEA III) | DE | LMEP III A | E | Control |
| LOVELL MINNICK EQUITY ADVISORS III LP (LMEA III) | DE | LMEP III AND LMEP IIIA | E | Control |
| LOVELL MINNICK EQUITY ADVISORS III LP (LMEA III) | DE | LMEP III A | E | Control |
| LOVELL MINNICK EQUITY ADVISORS III LP (LMEA III) | DE | LMEP III AND LMEP IIIA | E | Control |
| LOVELL MINNICK EQUITY ADVISORS III LP (LMEA III) | DE | LMEP III A | E | Control |
| LOVELL MINNICK EQUITY ADVISORS III LP (LMEA III) | DE | LMEP III AND LMEP IIIA | E | Control |
| LOVELL MINNICK EQUITY ADVISORS III LP (LMEA III) | DE | LMEP III A | E | Control |
| LOVELL MINNICK EQUITY ADVISORS III LP (LMEA III) | DE | LMEP III AND LMEP IIIA | E | Control |
| LOVELL MINNICK EQUITY ADVISORS III LP (LMEA III) | DE | LMEP III A | E | Control |
| LOVELL MINNICK HOLDINGS LLC (LMH LLC) | DE | LMP LLC | E | Control |
| LOVELL MINNICK HOLDINGS LLC (LMH LLC) | DE | LMP LLC | E | Control |
| LOVELL MINNICK HOLDINGS LLC (LMH LLC) | DE | LMP LLC | E | Control |
| LOVELL MINNICK HOLDINGS LLC (LMH LLC) | DE | LMP LLC | E | Control |
| LOVELL MINNICK HOLDINGS LLC (LMH LLC) | DE | LMP LLC | E | Control |
| LOVELL MINNICK HOLDINGS LLC (LMH LLC) | DE | LMP LLC | E | Control |
| LOVELL MINNICK HOLDINGS LLC (LMH LLC) | DE | LMP LLC | E | Control |
| LOVELL MINNICK HOLDINGS LLC (LMH LLC) | DE | LMP LLC | E | Control |
| LOVELL MINNICK HOLDINGS LLC (LMH LLC) | DE | LMP LLC | E | Control |
| LOVELL MINNICK HOLDINGS LLC (LMH LLC) | DE | LMP LLC | E | Control |
| LOVELL MINNICK HOLDINGS LLC (LMH LLC) | DE | LMP LLC | E | Control |
| LOVELL MINNICK HOLDINGS LLC (LMH LLC) | DE | LMP LLC | E | Control |
| LOVELL MINNICK HOLDINGS LLC (LMH LLC) | DE | LMP LLC | E | Control |
| LOVELL MINNICK HOLDINGS LLC (LMH LLC) | DE | LMP LLC | E | Control |
| LOVELL MINNICK HOLDINGS LLC (LMH LLC) | DE | LMP LLC | E | Control |
| LOVELL MINNICK HOLDINGS LLC (LMH LLC) | DE | LMP LLC | E | Control |
| LOVELL MINNICK PARTNERS LLC (LMP LLC) | DE | FUND III UGP LLC | E | Control |
| LOVELL MINNICK PARTNERS LLC (LMP LLC) | DE | FUND III UGP LLC | E | Control |
| LOVELL MINNICK PARTNERS LLC (LMP LLC) | DE | FUND III UGP LLC | E | Control |
| LOVELL MINNICK PARTNERS LLC (LMP LLC) | DE | FUND III UGP LLC | E | Control |
| LOVELL MINNICK PARTNERS LLC (LMP LLC) | DE | FUND III UGP LLC | E | Control |
| LOVELL MINNICK PARTNERS LLC (LMP LLC) | DE | FUND III UGP LLC | E | Control |
| LOVELL MINNICK PARTNERS LLC (LMP LLC) | DE | FUND III UGP LLC | E | Control |
| LOVELL MINNICK PARTNERS LLC (LMP LLC) | DE | FUND III UGP LLC | E | Control |
| LOVELL MINNICK PARTNERS LLC (LMP LLC) | DE | FUND III UGP LLC | E | Control |
| LOVELL MINNICK PARTNERS LLC (LMP LLC) | DE | FUND III UGP LLC | E | Control |
| LOVELL MINNICK PARTNERS LLC (LMP LLC) | DE | FUND III UGP LLC | E | Control |
| LOVELL MINNICK PARTNERS LLC (LMP LLC) | DE | FUND III UGP LLC | E | Control |
| LOVELL MINNICK PARTNERS LLC (LMP LLC) | DE | FUND III UGP LLC | E | Control |
| LOVELL MINNICK PARTNERS LLC (LMP LLC) | DE | FUND III UGP LLC | E | Control |
| LOVELL MINNICK PARTNERS LLC (LMP LLC) | DE | FUND III UGP LLC | E | Control |
| LOVELL MINNICK PARTNERS LLC (LMP LLC) | DE | FUND III UGP LLC | E | Control |
| RCAP HOLDINGS, LLC | DE | FIRST ALLIED HODLINGS INC. | E | Control |
| RCAP HOLDINGS, LLC | DE | FIRST ALLIED HODLINGS INC. | E | Control |
| RCAP HOLDINGS, LLC | DE | FIRST ALLIED HODLINGS INC. | E | Control |
| RCAP HOLDINGS, LLC | DE | FIRST ALLIED HODLINGS INC. | E | Control |
| RCAP HOLDINGS, LLC | DE | FIRST ALLIED HODLINGS INC. | E | Control |
| RCAP HOLDINGS, LLC | DE | FIRST ALLIED HODLINGS INC. | E | Control |
| RCAP HOLDINGS, LLC | DE | FIRST ALLIED HODLINGS INC. | E | Control |
| RCAP HOLDINGS, LLC | DE | FIRST ALLIED HODLINGS INC. | E | Control |
| RCS CAPITAL CORPORATION | DE | RCS CAPITAL HOLDINGS LLC | E | Control |
| RCS CAPITAL CORPORATION | DE | RCS CAPITAL HOLDINGS LLC | E | Control |
| RCS CAPITAL CORPORATION | DE | RCS CAPITAL HOLDINGS LLC | E | Control |
| RCS CAPITAL CORPORATION | DE | RCS CAPITAL HOLDINGS LLC | E | Control |
| RCS CAPITAL CORPORATION | DE | RCS CAPITAL HOLDINGS LLC | E | Control |
| RCS CAPITAL CORPORATION | DE | RCS CAPITAL HOLDINGS LLC | E | Control |
| RCS CAPITAL CORPORATION | DE | RCS CAPITAL HOLDINGS LLC | E | Control |
| RCS CAPITAL CORPORATION | DE | RCS CAPITAL HOLDINGS LLC | E | Control |
| RCS CAPITAL CORPORATION | DE | RCS CAPITAL HOLDINGS LLC | E | Control |
| RCS CAPITAL CORPORATION | DE | RCS CAPITAL HOLDINGS LLC | E | Control |
| RCS CAPITAL CORPORATION | DE | RCS CAPITAL HOLDINGS LLC | E | Control |
| RCS CAPITAL CORPORATION | DE | RCS CAPITAL HOLDINGS LLC | E | Control |
| RCS CAPITAL CORPORATION | DE | RCS CAPITAL HOLDINGS LLC | E | Control |
| RCS CAPITAL HOLDINGS LLC | DE | FIRST ALLIED HOLDINGS INC | E | Control |
| RCS CAPITAL HOLDINGS LLC | DE | FIRST ALLIED HOLDINGS INC | E | Control |
| RCS CAPITAL HOLDINGS LLC | DE | FIRST ALLIED HOLDINGS INC | E | Control |
| RCS CAPITAL HOLDINGS LLC | DE | FIRST ALLIED HOLDINGS INC | E | Control |
| RCS CAPITAL HOLDINGS LLC | DE | FIRST ALLIED HOLDINGS INC | E | Control |
| RCS CAPITAL HOLDINGS LLC | DE | FIRST ALLIED HOLDINGS INC | E | Control |
| RCS CAPITAL HOLDINGS LLC | DE | FIRST ALLIED HOLDINGS INC | E | Control |
| RCS CAPITAL HOLDINGS LLC | DE | FIRST ALLIED HOLDINGS INC | E | Control |
| RCS CAPITAL HOLDINGS LLC | DE | FIRST ALLIED HOLDINGS INC | E | Control |
| RCS CAPITAL HOLDINGS LLC | DE | FIRST ALLIED HOLDINGS INC | E | Control |
| RCS CAPITAL HOLDINGS LLC | DE | FIRST ALLIED HOLDINGS INC | E | Control |
| RCS CAPITAL HOLDINGS LLC | DE | FIRST ALLIED HOLDINGS INC | E | Control |
| RCS CAPITAL HOLDINGS LLC | DE | FIRST ALLIED HOLDINGS INC | E | Control |
| RCS CAPITAL HOLDINGS LLC | DE | FIRST ALLIED HOLDINGS INC | E | Control |
| RCS CAPITAL HOLDINGS LLC | DE | FIRST ALLIED HOLDINGS INC | E | Control |
| RCS CAPITAL HOLDINGS LLC | DE | FIRST ALLIED HOLDINGS INC | E | Control |
| RCS CAPITAL HOLDINGS LLC | DE | FIRST ALLIED HOLDINGS INC | E | Control |
| RCS CAPITAL HOLDINGS LLC | DE | FIRST ALLIED HOLDINGS INC | E | Control |
| RCS CAPITAL HOLDINGS LLC | DE | FIRST ALLIED HOLDINGS INC | E | Control |
| RCS CAPITAL HOLDINGS LLC | DE | FIRST ALLIED HOLDINGS INC | E | Control |
| RCS CAPITAL HOLDINGS LLC | DE | FIRST ALLIED HOLDINGS INC | E | Control |
| RCS CAPITAL HOLDINGS LLC | DE | FIRST ALLIED HOLDINGS INC | E | Control |
| RCS CAPITAL HOLDINGS LLC | DE | FIRST ALLIED HOLDINGS INC | E | Control |
| RCS CAPITAL HOLDINGS LLC | DE | FIRST ALLIED HOLDINGS INC | E | Control |
| RCS CAPITAL HOLDINGS LLC | DE | FIRST ALLIED HOLDINGS INC | E | Control |
| RCS CAPITAL HOLDINGS LLC | DE | FIRST ALLIED HOLDINGS INC | E | Control |
| RCS CAPITAL HOLDINGS LLC | DE | FIRST ALLIED HOLDINGS INC | E | Control |
| RCS CAPITAL HOLDINGS LLC | DE | FIRST ALLIED HOLDINGS INC | E | Control |
| RCS CAPITAL HOLDINGS LLC | DE | FIRST ALLIED HOLDINGS INC | E | Control |
| RCS CAPITAL HOLDINGS LLC | DE | FIRST ALLIED HOLDINGS INC | E | Control |
| RCS CAPITAL HOLDINGS LLC | DE | FIRST ALLIED HOLDINGS INC | E | Control |
| RCS CAPITAL HOLDINGS LLC | DE | FIRST ALLIED HOLDINGS INC | E | Control |
| RCS CAPITAL HOLDINGS LLC | DE | FIRST ALLIED HOLDINGS INC | E | Control |
| LOVELL MINNICK EQUITY PARTNERS III LP (LMEP III) | DE | FIRST ALLIED HOLDINGS, INC. | D | Control |
| LOVELL MINNICK EQUITY PARTNERS III LP (LMEP III) | DE | FIRST ALLIED HOLDINGS, INC. | D | Control |
| LOVELL MINNICK EQUITY PARTNERS III LP (LMEP III) | DE | FIRST ALLIED HOLDINGS, INC. | D | Control |
| LOVELL MINNICK EQUITY PARTNERS III LP (LMEP III) | DE | FIRST ALLIED HOLDINGS, INC. | D | Control |
| LOVELL MINNICK EQUITY PARTNERS III LP (LMEP III) | DE | FIRST ALLIED HOLDINGS, INC. | D | Control |
| LOVELL MINNICK EQUITY PARTNERS III LP (LMEP III) | DE | FIRST ALLIED HOLDINGS, INC. | D | Control |
| LOVELL MINNICK EQUITY PARTNERS III LP (LMEP III) | DE | FIRST ALLIED HOLDINGS, INC. | D | Control |
| LOVELL MINNICK EQUITY PARTNERS III LP (LMEP III) | DE | FIRST ALLIED HOLDINGS, INC. | D | Control |
| LOVELL MINNICK EQUITY PARTNERS III LP (LMEP III) | DE | FIRST ALLIED HOLDINGS, INC. | D | Control |
| LOVELL MINNICK EQUITY PARTNERS III LP (LMEP III) | DE | FIRST ALLIED HOLDINGS, INC. | D | Control |
| LOVELL MINNICK EQUITY PARTNERS III LP (LMEP III) | DE | FIRST ALLIED HOLDINGS, INC. | D | Control |
| LOVELL MINNICK EQUITY PARTNERS III LP (LMEP III) | DE | FIRST ALLIED HOLDINGS, INC. | D | Control |
| LOVELL MINNICK EQUITY PARTNERS III LP (LMEP III) | DE | FIRST ALLIED HOLDINGS, INC. | D | Control |
| LOVELL MINNICK EQUITY PARTNERS III LP (LMEP III) | DE | FIRST ALLIED HOLDINGS, INC. | D | Control |
| LOVELL MINNICK EQUITY PARTNERS III LP (LMEP III) | DE | FIRST ALLIED HOLDINGS, INC. | D | Control |
| LOVELL MINNICK EQUITY PARTNERS III LP (LMEP III) | DE | FIRST ALLIED HOLDINGS, INC. | D | Control |
| SCHORSCH, NICHOLAS, SLOAN | I | RCAP HOLDINGS, LLC | D | Control |
| SCHORSCH, NICHOLAS, SLOAN | I | RCAP HOLDINGS, LLC | D | Control |
| SCHORSCH, NICHOLAS, SLOAN | I | RCAP HOLDINGS, LLC | D | Control |
| SCHORSCH, NICHOLAS, SLOAN | I | RCAP HOLDINGS, LLC | D | Control |
| SCHORSCH, NICHOLAS, SLOAN | I | RCAP HOLDINGS, LLC | D | Control |
| SCHORSCH, NICHOLAS, SLOAN | I | RCAP HOLDINGS, LLC | D | Control |
| SCHORSCH, NICHOLAS, SLOAN | I | RCAP HOLDINGS, LLC | D | Control |
| SCHORSCH, NICHOLAS, SLOAN | I | RCAP HOLDINGS, LLC | D | Control |
| BADGER, DWIGHT, OLIVER | I | ADVANCED EQUITIES FINANCIAL CORP | C | Control |
| BADGER, DWIGHT, OLIVER | I | ADVANCED EQUITIES FINANCIAL CORP | C | Control |
| BADGER, DWIGHT, OLIVER | I | ADVANCED EQUITIES FINANCIAL CORP | C | Control |
| BADGER, DWIGHT, OLIVER | I | ADVANCED EQUITIES FINANCIAL CORP | C | Control |
| BADGER, DWIGHT, OLIVER | I | ADVANCED EQUITIES FINANCIAL CORP | C | Control |
| BADGER, DWIGHT, OLIVER | I | ADVANCED EQUITIES FINANCIAL CORP | C | Control |
| BADGER, DWIGHT, OLIVER | I | ADVANCED EQUITIES FINANCIAL CORP | C | Control |
| BADGER, DWIGHT, OLIVER | I | ADVANCED EQUITIES FINANCIAL CORP | C | Control |
| BADGER, DWIGHT, OLIVER | I | ADVANCED EQUITIES FINANCIAL CORP | C | Control |
| BADGER, DWIGHT, OLIVER | I | ADVANCED EQUITIES FINANCIAL CORP | C | Control |
| BADGER, DWIGHT, OLIVER | I | ADVANCED EQUITIES FINANCIAL CORP | C | Control |
| BADGER, DWIGHT, OLIVER | I | ADVANCED EQUITIES FINANCIAL CORP | C | Control |
| BADGER, DWIGHT, OLIVER | I | ADVANCED EQUITIES FINANCIAL CORP | C | Control |
| BADGER, DWIGHT, OLIVER | I | ADVANCED EQUITIES FINANCIAL CORP | C | Control |
| BADGER, DWIGHT, OLIVER | I | ADVANCED EQUITIES FINANCIAL CORP | C | Control |
| BADGER, DWIGHT, OLIVER | I | ADVANCED EQUITIES FINANCIAL CORP | C | Control |
| BADGER, DWIGHT, OLIVER | I | ADVANCED EQUITIES FINANCIAL CORP | C | Control |
| BADGER, DWIGHT, OLIVER | I | ADVANCED EQUITIES FINANCIAL CORP | C | Control |
| DAUBENSPECK, KEITH, GREGORY | I | ADVANCED EQUITIES FINANCIAL CORP | C | Control |
| DAUBENSPECK, KEITH, GREGORY | I | ADVANCED EQUITIES FINANCIAL CORP | C | Control |
| DAUBENSPECK, KEITH, GREGORY | I | ADVANCED EQUITIES FINANCIAL CORP | C | Control |
| DAUBENSPECK, KEITH, GREGORY | I | ADVANCED EQUITIES FINANCIAL CORP | C | Control |
| DAUBENSPECK, KEITH, GREGORY | I | ADVANCED EQUITIES FINANCIAL CORP | C | Control |
| DAUBENSPECK, KEITH, GREGORY | I | ADVANCED EQUITIES FINANCIAL CORP | C | Control |
| DAUBENSPECK, KEITH, GREGORY | I | ADVANCED EQUITIES FINANCIAL CORP | C | Control |
| DAUBENSPECK, KEITH, GREGORY | I | ADVANCED EQUITIES FINANCIAL CORP | C | Control |
| DAUBENSPECK, KEITH, GREGORY | I | ADVANCED EQUITIES FINANCIAL CORP | C | Control |
| DAUBENSPECK, KEITH, GREGORY | I | ADVANCED EQUITIES FINANCIAL CORP | C | Control |
| DAUBENSPECK, KEITH, GREGORY | I | ADVANCED EQUITIES FINANCIAL CORP | C | Control |
| DAUBENSPECK, KEITH, GREGORY | I | ADVANCED EQUITIES FINANCIAL CORP | C | Control |
| DAUBENSPECK, KEITH, GREGORY | I | ADVANCED EQUITIES FINANCIAL CORP | C | Control |
| DAUBENSPECK, KEITH, GREGORY | I | ADVANCED EQUITIES FINANCIAL CORP | C | Control |
| DAUBENSPECK, KEITH, GREGORY | I | ADVANCED EQUITIES FINANCIAL CORP | C | Control |
| DAUBENSPECK, KEITH, GREGORY | I | ADVANCED EQUITIES FINANCIAL CORP | C | Control |
| DAUBENSPECK, KEITH, GREGORY | I | ADVANCED EQUITIES FINANCIAL CORP | C | Control |
| DAUBENSPECK, KEITH, GREGORY | I | ADVANCED EQUITIES FINANCIAL CORP | C | Control |
| LOVELL MINNICK EQUITY PARTNERS III-A (LMEP IIIA) | DE | FIRST ALLIED HOLDINGS, INC | C | Control |
| LOVELL MINNICK EQUITY PARTNERS III-A (LMEP IIIA) | DE | FIRST ALLIED HOLDINGS, INC | C | Control |
| LOVELL MINNICK EQUITY PARTNERS III-A (LMEP IIIA) | DE | FIRST ALLIED HOLDINGS, INC | C | Control |
| LOVELL MINNICK EQUITY PARTNERS III-A (LMEP IIIA) | DE | FIRST ALLIED HOLDINGS, INC | C | Control |
| LOVELL MINNICK EQUITY PARTNERS III-A (LMEP IIIA) | DE | FIRST ALLIED HOLDINGS, INC | C | Control |
| LOVELL MINNICK EQUITY PARTNERS III-A (LMEP IIIA) | DE | FIRST ALLIED HOLDINGS, INC | C | Control |
| LOVELL MINNICK EQUITY PARTNERS III-A (LMEP IIIA) | DE | FIRST ALLIED HOLDINGS, INC | C | Control |
| LOVELL MINNICK EQUITY PARTNERS III-A (LMEP IIIA) | DE | FIRST ALLIED HOLDINGS, INC | C | Control |
| LOVELL MINNICK EQUITY PARTNERS III-A (LMEP IIIA) | DE | FIRST ALLIED HOLDINGS, INC | C | Control |
| LOVELL MINNICK EQUITY PARTNERS III-A (LMEP IIIA) | DE | FIRST ALLIED HOLDINGS, INC | C | Control |
| LOVELL MINNICK EQUITY PARTNERS III-A (LMEP IIIA) | DE | FIRST ALLIED HOLDINGS, INC | C | Control |
| LOVELL MINNICK EQUITY PARTNERS III-A (LMEP IIIA) | DE | FIRST ALLIED HOLDINGS, INC | C | Control |
| LOVELL MINNICK EQUITY PARTNERS III-A (LMEP IIIA) | DE | FIRST ALLIED HOLDINGS, INC | C | Control |
| LOVELL MINNICK EQUITY PARTNERS III-A (LMEP IIIA) | DE | FIRST ALLIED HOLDINGS, INC | C | Control |
| LOVELL MINNICK EQUITY PARTNERS III-A (LMEP IIIA) | DE | FIRST ALLIED HOLDINGS, INC | C | Control |
| LOVELL MINNICK EQUITY PARTNERS III-A (LMEP IIIA) | DE | FIRST ALLIED HOLDINGS, INC | C | Control |
Registrations
Federal
IA
Jun 25, 2020 REGISTERED
Notice Filings (51)
AK AL AR AZ CA CO CT DC DE FL GA HI IA ID IL IN KS KY LA MA MD ME MI MN MO MS MT NC ND NE NH NJ NM NV NY OH OK OR PA PR RI SC SD TN TX UT VA VT WA WI WV
Address
655 W. BROADWAY12TH FLOOR
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United States
Phone: 866-378-1376