CUNA BROKERAGE SERVICES, INC.
CRD #13941 SEC #801-60099 WAVERLY, IA 319-352-4090
SEC Registered Broker-Dealer Disclosures
Total AUM
$5.8B
Discretionary
$24.3M
Employees
716
Clients
11
Accounts
20,233
This firm has regulatory disclosures on file.
View disclosures
Firm Details
- Organization Type
- Corporation
- State of Formation
- Wisconsin
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Mar 31, 2022
- Branch Offices
- 253
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| ANDERSON, CHRISTINE, MARY | I | SECRETARY AND TREASURER, INTERNAL AUDITING VICE PRESIDENT, FINANCE | NA | |
| ANDERSON, CHRISTINE, MARY | I | SECRETARY AND TREASURER, INTERNAL AUDITING VICE PRESIDENT, FINANCE | NA | |
| ANDERSON, CHRISTINE, MARY | I | SECRETARY AND TREASURER, INTERNAL AUDITING VICE PRESIDENT, FINANCE | NA | |
| ANDERSON, MICHAEL FRANK | I | DIRECTOR | NA | |
| ANDERSON, MICHAEL FRANK | I | DIRECTOR | NA | |
| ANDERSON, MICHAEL FRANK | I | DIRECTOR | NA | |
| ANDERSON, MICHAEL FRANK | I | DIRECTOR | NA | |
| ANDERSON, MICHAEL FRANK | I | DIRECTOR | NA | |
| ANDERSON, MICHAEL FRANK | I | DIRECTOR | NA | |
| ANDERSON, MICHAEL FRANK | I | DIRECTOR | NA | |
| ANDERSON, MICHAEL FRANK | I | DIRECTOR | NA | |
| ANDERSON, MICHAEL FRANK | I | DIRECTOR | NA | |
| ANDERSON, MICHAEL FRANK | I | DIRECTOR | NA | |
| ANDERSON, MICHAEL FRANK | I | DIRECTOR | NA | |
| ANDERSON, MICHAEL FRANK | I | DIRECTOR | NA | |
| ANDERSON, MICHAEL FRANK | I | DIRECTOR | NA | |
| ANDERSON, MICHAEL FRANK | I | DIRECTOR | NA | |
| ANDERSON, MICHAEL FRANK | I | DIRECTOR | NA | |
| ANDERSON, MICHAEL FRANK | I | DIRECTOR | NA | |
| ANDERSON, MICHAEL FRANK | I | DIRECTOR | NA | |
| ANDERSON, MICHAEL FRANK | I | DIRECTOR | NA | |
| ANDERSON, MICHAEL FRANK | I | DIRECTOR | NA | |
| ANDERSON, MICHAEL FRANK | I | DIRECTOR | NA | |
| ANDERSON, MICHAEL FRANK | I | DIRECTOR | NA | |
| ANDERSON, MICHAEL FRANK | I | DIRECTOR | NA | |
| ANDERSON, MICHAEL FRANK | I | DIRECTOR | NA | |
| ANDERSON, MICHAEL FRANK | I | DIRECTOR | NA | |
| ANDERSON, MICHAEL FRANK | I | DIRECTOR | NA | |
| ANDERSON, MICHAEL FRANK | I | DIRECTOR | NA | |
| ANDERSON, MICHAEL FRANK | I | DIRECTOR | NA | |
| BACKES, MARK ELLIOTT | I | PRESIDENT AND HEAD OF OPERATIONS | NA | Control |
| BACKES, MARK ELLIOTT | I | PRESIDENT AND HEAD OF OPERATIONS | NA | Control |
| BARBATO, PAUL DAMIEN | I | SECRETARY, DIRECTOR | NA | |
| BARBATO, PAUL DAMIEN | I | SECRETARY, DIRECTOR | NA | |
| BARBATO, PAUL DAMIEN | I | SECRETARY, DIRECTOR | NA | |
| BARBATO, PAUL DAMIEN | I | SECRETARY, DIRECTOR | NA | |
| BARBATO, PAUL DAMIEN | I | SECRETARY, DIRECTOR | NA | |
| BARBATO, PAUL DAMIEN | I | SECRETARY, DIRECTOR | NA | |
| BARBATO, PAUL DAMIEN | I | SECRETARY, DIRECTOR | NA | |
| BARBATO, PAUL DAMIEN | I | SECRETARY, DIRECTOR | NA | |
| BARBATO, PAUL DAMIEN | I | SECRETARY, DIRECTOR | NA | |
| BARBATO, PAUL DAMIEN | I | SECRETARY, DIRECTOR | NA | |
| BARBATO, PAUL DAMIEN | I | SECRETARY, DIRECTOR | NA | |
| BARBATO, PAUL DAMIEN | I | SECRETARY, DIRECTOR | NA | |
| BARBATO, PAUL DAMIEN | I | SECRETARY | NA | |
| BARBATO, PAUL DAMIEN | I | SECRETARY | NA | |
| BARBATO, PAUL DAMIEN | I | SECRETARY | NA | |
| BARBATO, PAUL DAMIEN | I | SECRETARY | NA | |
| BARBATO, PAUL DAMIEN | I | VICE PRESIDENT, SECRETARY | NA | |
| BARKER, GRAEL BURT | I | DIRECTOR | NA | Control |
| BARKER, GRAEL BURT | I | DIRECTOR | NA | Control |
| BARKER, GRAEL BURT | I | DIRECTOR | NA | Control |
| BARKER, GRAEL BURT | I | DIRECTOR | NA | Control |
| BARKER, GRAEL BURT | I | DIRECTOR | NA | Control |
| BAUER, JOSEPH LOUIS | I | ASST. TREASURER | NA | |
| BAUER, JOSEPH LOUIS | I | ASST. TREASURER | NA | |
| BAUER, JOSEPH LOUIS | I | ASST. TREASURER | NA | |
| BAUER, JOSEPH LOUIS | I | ASST. TREASURER | NA | |
| BAUER, JOSEPH LOUIS | I | ASST. TREASURER | NA | |
| BENSON, WAYNE ALLEN | I | DIRECTOR/PRESIDENT | NA | Control |
| BENSON, WAYNE ALLEN | I | DIRECTOR | NA | Control |
| BENSON, WAYNE ALLEN | I | DIRECTOR | NA | Control |
| BENSON, WAYNE ALLEN | I | DIRECTOR | NA | Control |
| BLANKENHEIM, DONNA CATHERINE | I | ASST. SECRETARY | NA | |
| BLANKENHEIM, DONNA CATHERINE | I | ASST. SECRETARY | NA | |
| BLANKENHEIM, DONNA CATHERINE | I | ASST. SECRETARY | NA | |
| BLANKENHEIM, DONNA CATHERINE | I | ASST. SECRETARY | NA | |
| BOSCO, MICHAEL JEFFREY | I | DIRECTOR | NA | Control |
| BOSCO, MICHAEL JEFFREY | I | DIRECTOR | NA | Control |
| BOSCO, MICHAEL JEFFREY | I | DIRECTOR | NA | Control |
| BOSCO, MICHAEL JEFFREY | I | DIRECTOR | NA | Control |
| BROCK, JENNY MARIE | I | TREASURER | NA | |
| BROCK, JENNY MARIE | I | TREASURER | NA | |
| BROCK, JENNY MARIE | I | TREASURER | NA | |
| BROCK, JENNY MARIE | I | TREASURER | NA | |
| BROCK, JENNY MARIE | I | TREASURER | NA | |
| BROCK, JENNY MARIE | I | TREASURER | NA | |
| BROCK, JENNY MARIE | I | TREASURER | NA | |
| BROCK, JENNY MARIE | I | TREASURER | NA | |
| BROCK, JENNY MARIE | I | TREASURER | NA | |
| BROCK, JENNY MARIE | I | TREASURER | NA | |
| BROCK, JENNY MARIE | I | TREASURER | NA | |
| BROCK, JENNY MARIE | I | TREASURER | NA | |
| BROCK, JENNY MARIE | I | TREASURER | NA | |
| BROCK, JENNY MARIE | I | TREASURER | NA | |
| BROCK, JENNY MARIE | I | TREASURER | NA | |
| BROCK, JENNY MARIE | I | TREASURER | NA | |
| BROCK, JENNY MARIE | I | TREASURER | NA | |
| BROCK, JENNY MARIE | I | TREASURER | NA | |
| BROCK, JENNY MARIE | I | TREASURER | NA | |
| BROCK, JENNY MARIE | I | TREASURER | NA | |
| BROCK, JENNY MARIE | I | TREASURER | NA | |
| BROCK, JENNY MARIE | I | TREASURER | NA | |
| BROCK, JENNY MARIE | I | TREASURER | NA | |
| BROCK, JENNY MARIE | I | TREASURER | NA | |
| BROCK, JENNY MARIE | I | TREASURER | NA | |
| BUNGE, DEBORAH ANN | I | ASSISTANT VICE PRESIDENT | NA | |
| BUNGE, DEBORAH ANN | I | ASSISTANT VICE PRESIDENT | NA | |
| BUNGE, DEBORAH ANN | I | ASSISTANT VICE PRESIDENT | NA | |
| BUNGE, DEBORAH ANN | I | ASSISTANT VICE PRESIDENT | NA | |
| BUSS, BRADLEY ALLEN | I | ASSISTANT VICE PRESIDENT | NA | |
| BUSS, BRADLEY ALLEN | I | ASSISTANT VICE PRESIDENT | NA | |
| BUSS, BRADLEY ALLEN | I | ASSISTANT VICE PRESIDENT | NA | |
| BUSS, BRADLEY ALLEN | I | ASSISTANT VICE PRESIDENT | NA | |
| BUSS, BRADLEY ALLEN | I | ASSISTANT VICE PRESIDENT | NA | |
| BUSS, BRADLEY ALLEN | I | ASSISTANT VICE PRESIDENT | NA | |
| BUSS, BRADLEY ALLEN | I | ASSISTANT VICE PRESIDENT | NA | |
| BUSS, BRADLEY ALLEN | I | ASSISTANT VICE PRESIDENT | NA | |
| CAMPBELL, ANGELA KARI | I | ASSISTANT SECRETARY | NA | |
| CAMPBELL, ANGELA KARI | I | ASSISTANT SECRETARY | NA | |
| CAMPBELL, ANGELA KARI | I | ASSISTANT SECRETARY | NA | |
| CAMPBELL, ANGELA KARI | I | ASSISTANT SECRETARY | NA | |
| CAMPBELL, ANGELA KARI | I | ASSISTANT SECRETARY | NA | |
| CAMPBELL, ANGELA KARI | I | ASSISTANT SECRETARY | NA | |
| CAMPBELL, ANGELA KARI | I | ASSISTANT SECRETARY | NA | |
| CARLSON, LAURIE | I | ASSISTANT SECRETARY | NA | Control |
| CARLSON, TIMOTHY LEE | I | ASST. TREASURER | NA | |
| CARLSON, TIMOTHY LEE | I | ASST. TREASURER | NA | |
| CARLSON, TIMOTHY LEE | I | ASST. TREASURER | NA | |
| CARLSON, TIMOTHY LEE | I | ASST. TREASURER | NA | |
| CARLSON, TIMOTHY LEE | I | ASST. TREASURER | NA | |
| CHAPDELAINE, LYNN SABO | I | ASSISTANT VICE PRESIDENT | NA | |
| CHAPDELAINE, LYNN SABO | I | ASSISTANT VICE PRESIDENT | NA | |
| CHAPDELAINE, LYNN SABO | I | ASSISTANT VICE PRESIDENT | NA | |
| CHAPDELAINE, LYNN SABO | I | ASSISTANT VICE PRESIDENT | NA | |
| CHONG, PAUL JOSEPH | I | DIRECTOR | NA | |
| CHONG, PAUL JOSEPH | I | DIRECTOR | NA | |
| CHONG, PAUL JOSEPH | I | DIRECTOR | NA | |
| CHONG, PAUL JOSEPH | I | DIRECTOR | NA | |
| CHONG, PAUL JOSEPH | I | DIRECTOR | NA | |
| CHOSY JOHN ANDREW | I | ASSISTANT SECRETARY | NA | |
| COMFORT, ROBERT JAMES | I | PRESIDENT | NA | Control |
| COMFORT, ROBERT JAMES | I | PRESIDENT | NA | Control |
| COMFORT, ROBERT JAMES | I | PRESIDENT | NA | Control |
| COMFORT, ROBERT JAMES | I | PRESIDENT | NA | Control |
| COMFORT, ROBERT JAMES | I | PRESIDENT | NA | Control |
| COMFORT, ROBERT JAMES | I | PRESIDENT | NA | Control |
| COMFORT, ROBERT JAMES | I | PRESIDENT | NA | Control |
| COMFORT, ROBERT JAMES | I | PRESIDENT | NA | Control |
| COMFORT, ROBERT JAMES | I | PRESIDENT | NA | Control |
| COMFORT, ROBERT JAMES | I | PRESIDENT | NA | Control |
| COMFORT, ROBERT JAMES | I | PRESIDENT | NA | Control |
| COMFORT, ROBERT JAMES | I | PRESIDENT | NA | Control |
| COMFORT, ROBERT JAMES | I | PRESIDENT | NA | Control |
| COMFORT, ROBERT JAMES | I | PRESIDENT | NA | Control |
| COMFORT, ROBERT JAMES | I | PRESIDENT | NA | Control |
| COMFORT, ROBERT JAMES | I | PRESIDENT | NA | Control |
| COMFORT, ROBERT JAMES | I | PRESIDENT | NA | Control |
| COMFORT, ROBERT JAMES | I | PRESIDENT | NA | Control |
| COMFORT, ROBERT JAMES | I | PRESIDENT | NA | Control |
| COMFORT, ROBERT JAMES | I | PRESIDENT | NA | Control |
| COMFORT, ROBERT JAMES | I | PRESIDENT | NA | Control |
| COMFORT, ROBERT JAMES | I | PRESIDENT | NA | Control |
| COMFORT, ROBERT JAMES | I | PRESIDENT | NA | Control |
| COPELAND, CHRISTOPHER | I | DIRECTOR | NA | |
| COPELAND, CHRISTOPHER | I | DIRECTOR | NA | |
| COPELAND, CHRISTOPHER JUDD | I | DIRECTOR | NA | |
| COPELAND, CHRISTOPHER JUDD | I | DIRECTOR | NA | |
| COPELAND, CHRISTOPHER JUDD | I | DIRECTOR | NA | |
| COPELAND, CHRISTOPHER JUDD | I | DIRECTOR | NA | |
| CORNING, PETER H | I | SECRETARY AND TREASURER | NA | |
| CUMMER, KEVIN ROBERT | I | SECRETARY, TREASURER, FINANCIAL OPERATIONS PRINCIPAL | NA | |
| CUMMER, KEVIN ROBERT | I | TREASURER, FINANCIAL OPERATIONS PRINCIPAL | NA | |
| CUMMER, KEVIN ROBERT | I | TREASURER, FINANCIAL OPERATIONS PRINCIPAL | NA | |
| CUMMER, KEVIN ROBERT | I | TREASURER, FINANCIAL OPERATIONS PRINCIPAL | NA | |
| CUMMER, KEVIN ROBERT | I | TREASURER, FINANCIAL OPERATIONS PRINCIPAL | NA | |
| CUMMER, KEVIN ROBERT | I | TREASURER, FINANCIAL OPERATIONS PRINCIPAL | NA | |
| CUMMER, KEVIN ROBERT | I | SECRETARY, TREASURER, FINANCIAL OPERATIONS PRINCIPAL | NA | |
| CUMMER, KEVIN ROBERT | I | TREASURER, FINANCIAL OPERATIONS PRINCIPAL | NA | |
| CUMMER, KEVIN ROBERT | I | TREASURER, FINANCIAL OPERATIONS PRINCIPAL | NA | |
| CUMMER, KEVIN ROBERT | I | TREASURER, FINANCIAL OPERATIONS PRINCIPAL | NA | |
| CUMMER, KEVIN ROBERT | I | TREASURER, FINANCIAL OPERATIONS PRINCIPAL | NA | |
| DEFNET, MICHAEL TODD | I | DIRECTOR | NA | |
| DEFNET, MICHAEL TODD | I | DIRECTOR | NA | |
| DEFNET, MICHAEL TODD | I | DIRECTOR | NA | |
| DEFNET, MICHAEL TODD | I | DIRECTOR | NA | |
| DEFNET, MICHAEL TODD | I | DIRECTOR | NA | |
| DEFNET, MICHAEL TODD | I | DIRECTOR | NA | |
| DEFNET, MICHAEL TODD | I | DIRECTOR | NA | |
| DEFNET, MICHAEL TODD | I | DIRECTOR | NA | |
| DEFNET, MICHAEL TODD | I | DIRECTOR | NA | |
| DEFNET, MICHAEL TODD | I | DIRECTOR | NA | |
| DEFNET, MICHAEL TODD | I | DIRECTOR | NA | |
| DEFNET, MICHAEL TODD | I | DIRECTOR | NA | |
| DEFNET, MICHAEL TODD | I | DIRECTOR | NA | |
| DEFNET, MICHAEL TODD | I | DIRECTOR | NA | |
| DEFNET, MICHAEL TODD | I | DIRECTOR | NA | |
| DEFNET, MICHAEL TODD | I | DIRECTOR | NA | |
| DOWDEN, STEVEN HOWARD | I | PRESIDENT | NA | Control |
| DOWDEN, STEVEN HOWARD | I | CHAIRMAN | NA | |
| DOWDEN, STEVEN HOWARD | I | PRESIDENT | NA | Control |
| DOYLE, JANICE CAROL | I | ASST. SECRETARY | NA | |
| DOYLE, JANICE CAROL | I | ASST. SECRETARY | NA | |
| DOYLE, JANICE CAROL | I | ASST. SECRETARY | NA | |
| DOYLE, JANICE CAROL | I | ASST. SECRETARY | NA | |
| EMERY, DAVID STEPHEN | I | VICE PRESIDENT | NA | |
| EVERSON, MARK S | I | DIRECTOR | NA | |
| EVERSON, MARK S | I | DIRECTOR | NA | |
| FOSTER, DAVID MATTHEW | I | PRESIDENT | NA | |
| FOSTER, DAVID MATTHEW | I | PRESIDENT | NA | |
| FOSTER, DAVID MATTHEW | I | PRESIDENT | NA | Control |
| FRITSCHE, JOHN CHARLES | I | ASST. VICE PRESIDENT | NA | |
| GODFREY, DENNIS J | I | DIRECTOR | NA | |
| GODFREY, DENNIS J. | I | DIRECTOR | NA | Control |
| GODFREY, DENNIS J. | I | DIRECTOR | NA | Control |
| GODFREY, DENNIS J. | I | DIRECTOR | NA | Control |
| GODFREY, DENNIS J. | I | DIRECTOR | NA | Control |
| GODFREY, DENNIS J. | I | DIRECTOR | NA | Control |
| GOWAN, JAMES EDWARD | I | DIRECTOR | NA | Control |
| GOWAN, JAMES EDWARD | I | DIRECTOR/VICE PRESIDENT | NA | Control |
| GOWAN, JAMES EDWARD | I | DIRECTOR/VICE PRESIDENT | NA | Control |
| GOWAN, JAMES EDWARD | I | DIRECTOR/VICE PRESIDENT | NA | Control |
| GOWAN, JAMES EDWARD | I | DIRECTOR | NA | Control |
| GRETE, KATHERINE IRMA | I | ASSISTANT TREASURER, FINANCIAL OPERATIONS PRINCIPAL | NA | |
| GRETE, KATHERINE IRMA | I | ASSISTANT TREASURER | NA | |
| GRETE, KATHERINE IRMA | I | ASSISTANT TREASURER, FINANCIAL OPERATIONS PRINCIPAL | NA | |
| GRETE, KATHERINE IRMA | I | ASSISTANT TREASURER, FINANCIAL OPERATIONS PRINCIPAL | NA | |
| GRETE, KATHERINE IRMA | I | ASSISTANT TREASURER | NA | |
| GRETE, KATHERINE IRMA | I | ASSISTANT TREASURER | NA | |
| GRETE, KATHERINE IRMA | I | ASSISTANT TREASURER | NA | |
| GRETE, KATHERINE IRMA | I | ASSISTANT TREASURER | NA | |
| GRETE, KATHERINE IRMA | I | ASSISTANT TREASURER, FINANCIAL OPERATIONS PRINCIPAL | NA | |
| GUNDERSON, TRACY KAY | I | ASST. SECRETARY | NA | |
| GUNDERSON, TRACY KAY | I | ASST. SECRETARY | NA | |
| GUNDERSON, TRACY KAY | I | ASST. SECRETARY | NA | |
| GUNDERSON, TRACY KAY | I | ASST. SECRETARY | NA | |
| GUNDERSON, TRACY KAY | I | ASST. SECRETARY | NA | |
| GUNDERSON, TRACY KAY | I | ASST. SECRETARY | NA | |
| GUNDERSON, TRACY KAY | I | ASST. SECRETARY | NA | |
| GUNDERSON, TRACY KAY | I | ASST. SECRETARY | NA | |
| GUNDERSON, TRACY KAY | I | ASST. SECRETARY | NA | |
| GUNDERSON, TRACY KAY | I | ASST. SECRETARY | NA | |
| GUNDERSON, TRACY KAY | I | ASST. SECRETARY | NA | |
| HALEVAN, TIMOTHY SULLIVAN | I | CHIEF COMPLIANCE OFFICER/VICE PRESIDENT | NA | Control |
| HALEVAN, TIMOTHY SULLIVAN | I | CHIEF COMPLIANCE OFFICER/VP, CUNA BROKERAGE SERVICES, INC., MEMBERS CAPITALS ADVISORS, MEMBERS MUTUAL FUNDS, ULTRA SERIES FUNDS | NA | Control |
| HALEVAN, TIMOTHY SULLIVAN | I | COMPLIANCE OFFICER/ASSISTANT VICE PRESIDENT | NA | |
| HALEVAN, TIMOTHY SULLIVAN | I | CHIEF COMPLIANCE OFFICER/VP, CUNA BROKERAGE SERVICES, INC., MEMBERS CAPTIAL ADVISORS | NA | Control |
| HALEVAN, TIMOTHY SULLIVAN | I | CHIEF COMPLIANCE OFFICER/VP, CUNA BROKERAGE SERVICES, INC., MEMBERS CAPTIAL ADVISORS | NA | Control |
| HALEVAN, TIMOTHY SULLIVAN | I | CHIEF COMPLIANCE OFFICER/VP, CUNA BROKERAGE SERVICES, INC., MEMBERS CAPTIAL ADVISORS | NA | Control |
| HALEVAN, TIMOTHY SULLIVAN | I | CHIEF COMPLIANCE OFFICER/VP, CUNA BROKERAGE SERVICES, INC., MEMBERS CAPTIAL ADVISORS | NA | Control |
| HALEVAN, TIMOTHY SULLIVAN | I | COMPLIANCE OFFICER/VICE PRESIDENT | NA | Control |
| HALEVAN, TIMOTHY SULLIVAN | I | COMPLIANCE OFFICER/VICE PRESIDENT | NA | Control |
| HALEVAN, TIMOTHY SULLIVAN | I | CHIEF COMPLIANCE OFFICER/VP, CUNA BROKERAGE SERVICES, INC., MEMBERS CAPTIAL ADVISORS | NA | Control |
| HALEVAN, TIMOTHY SULLIVAN | I | COMPLIANCE OFFICER/ASSISTANT VICE PRESIDENT | NA | |
| HALEVAN, TIMOTHY SULLIVAN | I | COMPLIANCE OFFICER/ASSISTANT VICE PRESIDENT | NA | |
| HALEVAN, TIMOTHY SULLIVAN | I | CHIEF COMPLIANCE OFFICER/VICE PRESIDENT | NA | Control |
| HALEVAN, TIMOTHY SULLIVAN | I | COMPLIANCE OFFICER/VICE PRESIDENT | NA | Control |
| HALEVAN, TIMOTHY SULLIVAN | I | COMPLIANCE OFFICER/ASSISTANT VICE PRESIDENT | NA | |
| HALEVAN, TIMOTHY SULLIVAN | I | COMPLIANCE OFFICER/VICE PRESIDENT | NA | Control |
| HALEVAN, TIMOTHY SULLIVAN | I | CHIEF COMPLIANCE OFFICER/VP, CUNA BROKERAGE SERVICES, INC., MEMBERS CAPTIAL ADVISORS | NA | Control |
| HALEVAN, TIMOTHY SULLIVAN | I | CHIEF COMPLIANCE OFFICER/VP, CUNA BROKERAGE SERVICES, INC., MEMBERS CAPTIAL ADVISORS | NA | Control |
| HALEVAN, TIMOTHY SULLIVAN | I | CHIEF COMPLIANCE OFFICER, VP | NA | Control |
| HALEVAN, TIMOTHY SULLIVAN | I | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | NA | Control |
| HALEVAN, TIMOTHY SULLIVAN | I | PRESIDENT, CHIEF COMPLIANCE OFFICER | NA | Control |
| HALEVAN, TIMOTHY SULLIVAN | I | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | NA | Control |
| HALEVAN, TIMOTHY SULLIVAN | I | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | NA | Control |
| HALEVAN, TIMOTHY SULLIVAN | I | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | NA | Control |
| HALEVAN, TIMOTHY SULLIVAN | I | CHIEF COMPLIANCE OFFICER, VP | NA | Control |
| HALEVAN, TIMOTHY SULLIVAN | I | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | NA | Control |
| HALEVAN, TIMOTHY SULLIVAN | I | PRESIDENT, CHIEF COMPLIANCE OFFICER | NA | Control |
| HALEVAN, TIMOTHY SULLIVAN | I | CHIEF COMPLIANCE OFFICER, VP | NA | Control |
| HALEVAN, TIMOTHY SULLIVAN | I | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | NA | Control |
| HALEVAN, TIMOTHY SULLIVAN | I | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | NA | Control |
| HALEVAN, TIMOTHY SULLIVAN | I | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | NA | Control |
| HALEVAN, TIMOTHY SULLIVAN | I | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | NA | Control |
| HALEVAN, TIMOTHY SULLIVAN | I | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | NA | Control |
| HALEVAN, TIMOTHY SULLIVAN | I | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | NA | Control |
| HALEVAN, TIMOTHY SULLIVAN | I | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | NA | Control |
| HALEVAN, TIMOTHY SULLIVAN | I | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | NA | Control |
| HALEVAN, TIMOTHY SULLIVAN | I | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | NA | Control |
| HALVERSON, LAWRENCE ROY | I | DIRECTOR | NA | Control |
| HALVERSON, LAWRENCE ROY | I | DIRECTOR | NA | Control |
| HALVERSON, LAWRENCE ROY | I | DIRECTOR | NA | Control |
| HALVERSON, LAWRENCE ROY | I | DIRECTOR | NA | Control |
| HANSEN, ROSS DRECHSEL | I | VICE PRESDENT, ASSOCIATE GENERAL COUNSEL | NA | |
| HANSEN, ROSS DRECHSEL | I | VICE PRESDENT, ASSOCIATE GENERAL COUNSEL | NA | |
| HANSEN, ROSS DRECHSEL | I | VICE PRESDENT, ASSOCIATE GENERAL COUNSEL | NA | |
| HANSEN, ROSS DRECHSEL | I | VICE PRESDENT, ASSOCIATE GENERAL COUNSEL | NA | |
| HANSEN, ROSS DRECHSEL | I | VICE PRESDENT, ASSOCIATE GENERAL COUNSEL | NA | |
| HANSEN, ROSS DRECHSEL | I | VICE PRESDENT, ASSOCIATE GENERAL COUNSEL | NA | |
| HANSEN, ROSS DRECHSEL | I | VICE PRESDENT, SECRETARY, ASSOCIATE GENERAL COUNSEL | NA | |
| HANSEN, ROSS DRECHSEL | I | VICE PRESDENT, SECRETARY, ASSOCIATE GENERAL COUNSEL | NA | |
| HANSEN, ROSS DRECHSEL | I | VICE PRESDENT, SECRETARY, ASSOCIATE GENERAL COUNSEL | NA | |
| HANSEN, ROSS DRECHSEL | I | VICE PRESDENT, ASSOCIATE GENERAL COUNSEL | NA | |
| HANSEN, ROSS DRECHSEL | I | VICE PRESDENT, ASSOCIATE GENERAL COUNSEL | NA | |
| HANSEN, ROSS DRECHSEL | I | VICE PRESDENT, ASSOCIATE GENERAL COUNSEL | NA | |
| HANSEN, ROSS DRECHSEL | I | VICE PRESDENT, ASSOCIATE GENERAL COUNSEL | NA | |
| HANSEN, ROSS DRECHSEL | I | VICE PRESDENT, ASSOCIATE GENERAL COUNSEL | NA | |
| HANSEN, ROSS DRECHSEL | I | VICE PRESDENT, ASSOCIATE GENERAL COUNSEL | NA | |
| HANSEN, ROSS DRECHSEL | I | VICE PRESDENT, ASSOCIATE GENERAL COUNSEL | NA | |
| HANSEN, ROSS DRECHSEL | I | VICE PRESDENT, ASSOCIATE GENERAL COUNSEL | NA | |
| HANSEN, ROSS DRECHSEL | I | VICE PRESDENT, ASSOCIATE GENERAL COUNSEL | NA | |
| HANSEN, ROSS DRECHSEL | I | VICE PRESDENT, ASSOCIATE GENERAL COUNSEL | NA | |
| HANSEN, ROSS DRECHSEL | I | VICE PRESDENT, ASSOCIATE GENERAL COUNSEL | NA | |
| HANSEN, ROSS DRECHSEL | I | VICE PRESDENT, ASSOCIATE GENERAL COUNSEL | NA | |
| HANSEN, ROSS DRECHSEL | I | VICE PRESDENT, ASSOCIATE GENERAL COUNSEL | NA | |
| HANSEN, ROSS DRECHSEL | I | VICE PRESDENT, ASSOCIATE GENERAL COUNSEL | NA | |
| HANSEN, ROSS DRECHSEL | I | VICE PRESDENT, ASSOCIATE GENERAL COUNSEL | NA | |
| HANSEN, ROSS DRECHSEL | I | VICE PRESDENT, ASSOCIATE GENERAL COUNSEL | NA | |
| HANSEN, ROSS DRECHSEL | I | VICE PRESDENT, ASSOCIATE GENERAL COUNSEL | NA | |
| HANSEN, ROSS DRECHSEL | I | VICE PRESDENT, ASSOCIATE GENERAL COUNSEL | NA | |
| HANSEN, ROSS DRECHSEL | I | VICE PRESDENT, ASSOCIATE GENERAL COUNSEL | NA | |
| HANSEN, ROSS DRECHSEL | I | VICE PRESDENT, ASSOCIATE GENERAL COUNSEL | NA | |
| HANSEN, ROSS DRECHSEL | I | VICE PRESDENT, ASSOCIATE GENERAL COUNSEL | NA | |
| HANSEN, ROSS DRECHSEL | I | VICE PRESDENT, ASSOCIATE GENERAL COUNSEL | NA | |
| HENRY, JOHN WELDON | I | DIRECTOR/VICE PRESIDENT | NA | Control |
| HENRY, JOHN WELDON | I | DIRECTOR/VICE PRESIDENT | NA | Control |
| HENRY, JOHN WELDON | I | DIRECTOR | NA | Control |
| HENRY, JOHN WELDON | I | DIRECTOR | NA | Control |
| HENRY, JOHN WELDON | I | ACTING PRESIDENT | NA | Control |
| HENRY, JOHN WELDON | I | DIRECTOR/VICE PRESIDENT | NA | Control |
| HENRY, JOHN WELDON | I | DIRECTOR/VICE PRESIDENT | NA | Control |
| HENRY, JOHN WELDON | I | DIRECTOR | NA | Control |
| HENRY, JOHN WELDON | I | DIRECTOR | NA | Control |
| HENRY, JOHN WELDON | I | DIRECTOR | NA | Control |
| HUGHES DAVID J | I | TREASURER | NA | |
| HUGHES, DAVID J | I | TREASURER, FINANCIAL OPERATIONS PRINCIPAL | NA | |
| JONESON, MICHAEL GENE | I | SECRETARY/TREASURER | NA | |
| JONESON, MICHAEL GENE | I | SECRETARY/TREASURER | NA | |
| JONESON, MICHAEL GENE | I | SECRETARY/TREASURER | NA | |
| JONESON, MICHAEL GENE | I | SECRETARY/TREASURER | NA | |
| JONESON, MICHAEL GENE | I | SECRETARY/TREASURER | NA | |
| JONESON, MICHAEL GENE | I | SECRETARY/TREASURER | NA | |
| JUNG, KERRY ANNE | I | SECRETARY | NA | |
| JUNG, KERRY ANNE | I | SECRETARY | NA | |
| JUNG, KERRY ANNE | I | SECRETARY | NA | |
| JUNG, KERRY ANNE | I | SECRETARY | NA | |
| JUNG, KERRY ANNE | I | SECRETARY | NA | |
| KARLS, WILLIAM A | I | DIRECTOR | NA | |
| KARLS, WILLIAM A | I | DIRECTOR | NA | |
| KARLS, WILLIAM A | I | DIRECTOR | NA | |
| KARLS, WILLIAM A | I | DIRECTOR | NA | |
| KARLS, WILLIAM A | I | DIRECTOR | NA | |
| KARLS, WILLIAM A | I | DIRECTOR | NA | |
| KARLS, WILLIAM A | I | DIRECTOR | NA | |
| KARLS, WILLIAM A | I | DIRECTOR | NA | |
| KARLS, WILLIAM A | I | DIRECTOR | NA | |
| KARLS, WILLIAM A | I | DIRECTOR | NA | |
| KARLS, WILLIAM A | I | DIRECTOR | NA | |
| KARLS, WILLIAM A | I | DIRECTOR | NA | |
| KARLS, WILLIAM A | I | DIRECTOR | NA | |
| KARLS, WILLIAM A | I | DIRECTOR | NA | |
| KARLS, WILLIAM A | I | DIRECTOR | NA | |
| KARLS, WILLIAM A | I | DIRECTOR | NA | |
| KARLS, WILLIAM A | I | DIRECTOR | NA | |
| KARLS, WILLIAM A | I | DIRECTOR | NA | |
| KARLS, WILLIAM ANTON | I | DIRECTOR | NA | |
| KARLS, WILLIAM ANTON | I | DIRECTOR | NA | |
| KARLS, WILLIAM ANTON | I | DIRECTOR | NA | |
| KARLS, WILLIAM ANTON | I | DIRECTOR | NA | |
| KITTLESON, SHEILA MARIE | I | ASSISTANT TREASURER | NA | |
| KITTLESON, SHEILA MARIE | I | ASSISTANT TREASURER | NA | |
| KOSLOW, STEPHEN WAYNE | I | DIRECTOR | NA | |
| KOSLOW, STEPHEN WAYNE | I | DIRECTOR | NA | |
| KOSLOW, STEPHEN WAYNE | I | DIRECTOR | NA | |
| KOSLOW, STEPHEN WAYNE | I | DIRECTOR | NA | |
| KOSLOW, STEPHEN WAYNE | I | DIRECTOR | NA | |
| KOSLOW, STEPHEN WAYNE | I | DIRECTOR | NA | |
| KOSLOW, STEPHEN WAYNE | I | DIRECTOR | NA | |
| KOSLOW, STEPHEN WAYNE | I | DIRECTOR | NA | |
| KOSLOW, STEPHEN WAYNE | I | DIRECTOR | NA | |
| KOSLOW, STEPHEN WAYNE | I | DIRECTOR | NA | |
| KRILL, PAMELA MARIE | I | LEGAL COUNSEL | NA | |
| KRILL, PAMELA MARIE | I | LEGAL COUNSEL | NA | |
| LANDERS, JOHN MONROE JR. | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| LANDERS, JOHN MONROE JR. | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| LANDERS, JOHN MONROE JR. | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| LANDERS, JOHN MONROE JR. | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| LANDERS, JOHN MONROE JR. | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| LANDERS, JOHN MONROE JR. | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| LANDERS, JOHN MONROE JR. | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| LANDERS, JOHN MONROE JR. | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| LANDERS, JOHN MONROE JR. | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| LANDERS, JOHN MONROE JR. | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| LANDERS, JOHN MONROE JR. | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| LANDERS, JOHN MONROE JR. | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| LANDERS, JOHN MONROE JR. | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| LANDERS, JOHN MONROE JR. | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| LANDERS, JOHN MONROE JR. | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| LANDERS, JOHN MONROE JR. | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| LANDERS, JOHN MONROE JR. | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| LANDERS, JOHN MONROE JR. | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| LANDERS, JOHN MONROE JR. | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| LENTZ, KEVIN THOMAS | I | DIRECTOR | NA | |
| LENTZ, KEVIN THOMAS | I | DIRECTOR | NA | Control |
| LENTZ, KEVIN THOMAS | I | DIRECTOR | NA | Control |
| LENTZ, KEVIN THOMAS | I | DIRECTOR | NA | |
| LENTZ, KEVIN THOMAS | I | DIRECTOR | NA | Control |
| LENTZ, KEVIN THOMAS | I | DIRECTOR | NA | Control |
| LENTZ, KEVIN THOMAS | I | DIRECTOR | NA | Control |
| LIEN, TRACY KAY | I | ASST. SECRETARY | NA | |
| LIEN, TRACY KAY | I | ASST. SECRETARY | NA | |
| MARTIN, MARCIA LYNN | I | DIRECTOR, ASST. VICE PRESIDENT, MANAGING PRINCIPAL | NA | Control |
| MARTIN, MARCIA LYNN | I | DIRECTOR/PRESIDENT | NA | Control |
| MARTIN, MARCIA LYNN | I | DIRECTOR/PRESIDENT | NA | Control |
| MARTIN, MARCIA LYNN | I | DIRECTOR/PRESIDENT | NA | Control |
| MARTIN, MARCIA LYNN | I | DIRECTOR, PRESIDENT | NA | Control |
| MARTIN, MARCIA LYNN | I | DIRECTOR | NA | Control |
| MARTIN, MARCIA LYNN | I | DIRECTOR, PRESIDENT | NA | Control |
| MCCLOSKEY, GEOFFREY | I | ASSISTANT TREASURER | NA | Control |
| MCHUGH, CAMPBELL DENNIS | I | COMPLIANCE OFFICER | NA | |
| MERFELD, THOMAS JOSEPH | I | DIRECTOR | NA | |
| MERFELD, THOMAS JOSEPH | I | DIRECTOR | NA | |
| MERFELD, THOMAS JOSEPH | I | DIRECTOR | NA | |
| MERFELD, THOMAS JOSEPH | I | DIRECTOR | NA | |
| MERFELD, THOMAS JOSEPH | I | DIRECTOR | NA | |
| MERFELD, THOMAS JOSEPH | I | DIRECTOR | NA | |
| MERFELD, THOMAS JOSEPH | I | DIRECTOR | NA | |
| MERFELD, THOMAS JOSEPH | I | DIRECTOR | NA | |
| MERFELD, THOMAS JOSEPH | I | DIRECTOR | NA | |
| MERFELD, THOMAS JOSEPH | I | DIRECTOR | NA | |
| MERFELD, THOMAS JOSEPH | I | DIRECTOR | NA | |
| METZ, JAMES HAROLD | I | CHAIRMAN OF THE BOARD | NA | Control |
| METZ, JAMES HAROLD | I | PRESIDENT & CHAIRMAN OF THE BOARD | NA | Control |
| METZ, JAMES HAROLD | I | PRESIDENT & CHAIRMAN OF THE BOARD | NA | Control |
| METZ, JAMES HAROLD | I | PRESIDENT & CHAIRMAN OF THE BOARD | NA | Control |
| METZ, JAMES HAROLD | I | PRESIDENT & CHAIRMAN OF THE BOARD | NA | Control |
| METZ, JAMES HAROLD | I | PRESIDENT & CHAIRMAN OF THE BOARD | NA | Control |
| METZ, JAMES HAROLD | I | DIRECTOR | NA | |
| METZ, JAMES HAROLD | I | CHAIRMAN OF THE BOARD | NA | Control |
| METZ, JAMES HAROLD | I | PRESIDENT & CHAIRMAN OF THE BOARD | NA | Control |
| METZ, JAMES HAROLD | I | PRESIDENT | NA | Control |
| METZ, JAMES HAROLD | I | PRESIDENT, DIRECTOR | NA | Control |
| METZ, JAMES HAROLD | I | PRESIDENT, DIRECTOR | NA | Control |
| METZ, JAMES HAROLD | I | PRESIDENT, DIRECTOR | NA | Control |
| METZ, JAMES HAROLD | I | PRESIDENT, DIRECTOR | NA | Control |
| METZ, JAMES HAROLD | I | PRESIDENT | NA | Control |
| METZ, JAMES HAROLD | I | PRESIDENT | NA | Control |
| METZ, JAMES HAROLD | I | PRESIDENT | NA | Control |
| METZ, JAMES HAROLD | I | PRESIDENT, DIRECTOR | NA | Control |
| MEYLINK, DANIEL EVAN | I | DIRECTOR | NA | Control |
| MEYLINK, DANIEL EVAN | I | DIRECTOR | NA | Control |
| MEYLINK, DANIEL EVAN | I | DIRECTOR | NA | Control |
| MEYLINK, DANIEL EVAN | I | DIRECTOR | NA | Control |
| MICHIE, ANDREW J | I | DIRECTOR | NA | |
| MICHIE, ANDREW J | I | DIRECTOR | NA | |
| MICHIE, ANDREW J | I | DIRECTOR | NA | |
| NIEMEC, MICHELLE NICOLE | I | TREASURER | NA | |
| NIEMEC, MICHELLE NICOLE | I | TREASURER | NA | |
| OSEN, ANDREW CLIFFORD | I | ASSOC. COMPLIANCE OFFICER | NA | |
| PATZNER, FAYE A. | I | SENIOR VICE PRESIDENT & GENERAL COUNSEL | NA | |
| PATZNER, FAYE A. | I | SENIOR VICE PRESIDENT & GENERAL COUNSEL | NA | |
| PATZNER, FAYE A. | I | SENIOR VICE PRESIDENT & GENERAL COUNSEL | NA | |
| PATZNER, FAYE A. | I | SENIOR VICE PRESIDENT & GENERAL COUNSEL | NA | |
| PATZNER, FAYE ANNE | I | CHIEF OFFICER - LEGAL | NA | |
| PATZNER, FAYE ANNE | I | CHIEF OFFICER - LEGAL | NA | |
| PATZNER, FAYE ANNE | I | CHIEF OFFICER - LEGAL | NA | |
| PATZNER, FAYE ANNE | I | CHIEF OFFICER - LEGAL | NA | |
| PATZNER, FAYE ANNE | I | CHIEF OFFICER - LEGAL | NA | |
| PISARIK, JASON ALAN | I | DIRECTOR | NA | |
| PISARIK, JASON ALAN | I | DIRECTOR | NA | |
| PISARIK, JASON ALAN | I | DIRECTOR | NA | |
| PISARIK, JASON ALAN | I | DIRECTOR | NA | |
| PISARIK, JASON ALAN | I | DIRECTOR | NA | |
| PISARIK, JASON ALAN | I | DIRECTOR | NA | |
| PISARIK, JASON ALAN | I | DIRECTOR | NA | |
| PISARIK, JASON ALAN | I | DIRECTOR | NA | |
| PISARIK, JASON ALAN | I | DIRECTOR | NA | |
| PISARIK, JASON ALAN | I | DIRECTOR | NA | |
| PISARIK, JASON ALAN | I | DIRECTOR | NA | |
| PISARIK, JASON ALAN | I | DIRECTOR | NA | |
| PISARIK, JASON ALAN | I | DIRECTOR | NA | |
| PISARIK, JASON ALAN | I | DIRECTOR | NA | |
| POWELL, MARTIN KENNEDY | I | VICE PRESIDENT | NA | |
| PRICE, PATRICIA ANNE | I | ASSISTANT VICE PRESIDENT | NA | |
| PRICE, PATRICIA ANNE | I | ASSISTANT VICE PRESIDENT | NA | |
| PRICE, PATRICIA ANNE | I | ASSISTANT VICE PRESIDENT | NA | |
| PRICE, PATRICIA ANNE | I | ASSISTANT VICE PRESIDENT | NA | |
| PRICE, PATRICIA ANNE | I | ASSISTANT VICE PRESIDENT | NA | |
| RIDGE, JOHN ROBERT | I | DIRECTOR | NA | |
| RODRIGUEZ, ABIGAIL | I | DIRECTOR | NA | |
| RODRIGUEZ, ABIGAIL | I | DIRECTOR | NA | |
| RODRIGUEZ, ABIGAIL | I | DIRECTOR | NA | |
| RODRIGUEZ, ABIGAIL | I | DIRECTOR | NA | |
| RODRIGUEZ, ABIGAIL | I | DIRECTOR | NA | |
| RODRIGUEZ, ABIGAIL | I | DIRECTOR | NA | |
| RODRIGUEZ, ABIGAIL | I | DIRECTOR | NA | |
| ROY, RICHARD R | I | DIRECTOR | NA | |
| ROY, RICHARD R | I | DIRECTOR | NA | |
| ROY, RICHARD R | I | DIRECTOR | NA | |
| ROY, RICHARD R | I | DIRECTOR | NA | |
| ROY, RICHARD R | I | DIRECTOR | NA | |
| ROY, RICHARD R | I | DIRECTOR | NA | |
| ROY, RICHARD R | I | DIRECTOR | NA | |
| ROY, RICHARD R | I | DIRECTOR | NA | |
| ROY, RICHARD R | I | DIRECTOR | NA | |
| ROY, RICHARD R | I | DIRECTOR | NA | |
| SCHEMMEL, JUDD THOMAS | I | ASSOC. COMPLIANCE OFFICER | NA | |
| SCHROEDER, BRIAN L | I | ASSOC. COMPLIANCE OFFICER | NA | |
| SHORE, ALASTAIR C | I | DIRECTOR | NA | |
| SHORE, ALASTAIR C | I | DIRECTOR | NA | |
| STRENNEN, NANETTE LEE | I | TREASURER | NA | |
| STRENNEN, NANETTE LEE | I | TREASURER | NA | |
| STRENNEN, NANETTE LEE | I | TREASURER | NA | |
| STRENNEN, NANETTE LEE | I | TREASURER | NA | |
| STRENNEN, NANETTE LEE | I | TREASURER | NA | |
| STRENNEN, NANETTE LEE | I | TREASURER | NA | |
| STRENNEN, NANETTE LEE | I | TREASURER | NA | |
| STRENNEN, NANETTE LEE | I | TREASURER | NA | |
| SULESKI, STEVEN R | I | VICE PRESIDENT, ASSOCIATE GENERAL COUNSEL | NA | |
| SULESKI, STEVEN R | I | SECRETARY, DIRECTOR | NA | |
| SULESKI, STEVEN R | I | SECRETARY, DIRECTOR | NA | |
| SULESKI, STEVEN RICHARD | I | SECRETARY, DIRECTOR | NA | |
| SULESKI, STEVEN RICHARD | I | SECRETARY, DIRECTOR | NA | |
| SULESKI, STEVEN RICHARD | I | SECRETARY, DIRECTOR | NA | |
| SULESKI, STEVEN RICHARD | I | SECRETARY, DIRECTOR | NA | |
| SULESKI, STEVEN RICHARD | I | SECRETARY, DIRECTOR | NA | |
| SULESKI, STEVEN RICHARD | I | SECRETARY, DIRECTOR | NA | |
| SULESKI, STEVEN RICHARD | I | SECRETARY, DIRECTOR | NA | |
| SULESKI, STEVEN RICHARD | I | SECRETARY, DIRECTOR | NA | |
| SWEITZER, DAVID LAWRENCE | I | DIRECTOR | NA | Control |
| SWEITZER, DAVID LAWRENCE | I | DIRECTOR | NA | Control |
| SWEITZER, DAVID LAWRENCE | I | DIRECTOR | NA | Control |
| SWEITZER, DAVID LAWRENCE | I | DIRECTOR | NA | Control |
| SWEITZER, DAVID LAWRENCE | I | DIRECTOR | NA | Control |
| SWEITZER, DAVID LAWRENCE | I | DIRECTOR | NA | Control |
| SWEITZER, DAVID LAWRENCE | I | DIRECTOR | NA | Control |
| SWEITZER, DAVID LAWRENCE | I | DIRECTOR | NA | Control |
| SWEITZER, DAVID LAWRENCE | I | DIRECTOR | NA | Control |
| SWEITZER, DAVID LAWRENCE | I | DIRECTOR | NA | Control |
| SWEITZER, DAVID LAWRENCE | I | DIRECTOR | NA | Control |
| SWEITZER, DAVID LAWRENCE | I | DIRECTOR | NA | Control |
| SWEITZER, DAVID LAWRENCE | I | DIRECTOR | NA | Control |
| SWEITZER, DAVID LAWRENCE | I | DIRECTOR | NA | Control |
| SWEITZER, DAVID LAWRENCE | I | DIRECTOR | NA | Control |
| SWEITZER, DAVID LAWRENCE | I | DIRECTOR | NA | Control |
| SWEITZER, DAVID LAWRENCE | I | DIRECTOR | NA | Control |
| SWEITZER, DAVID LAWRENCE | I | DIRECTOR | NA | Control |
| SWEITZER, DAVID LAWRENCE | I | DIRECTOR | NA | Control |
| SWEITZER, DAVID LAWRENCE | I | DIRECTOR | NA | Control |
| SWEITZER, DAVID LAWRENCE | I | DIRECTOR | NA | Control |
| SWEITZER, DAVID LAWRENCE | I | DIRECTOR | NA | Control |
| SWEITZER, DAVID LAWRENCE | I | DIRECTOR | NA | Control |
| SWEITZER, DAVID LAWRENCE | I | DIRECTOR | NA | Control |
| SWEITZER, DAVID LAWRENCE | I | DIRECTOR | NA | Control |
| THOMPSON, KEVIN S | I | DIRECTOR | NA | |
| THOMPSON, KEVIN S | I | DIRECTOR | NA | |
| THOMPSON, KEVIN S | I | DIRECTOR | NA | |
| THOMPSON, KEVIN S | I | DIRECTOR | NA | |
| THOMPSON, KEVIN S | I | VICE PRESDENT, SECRETARY, ASSOCIATE GENERAL COUNSEL | NA | |
| THOMPSON, KEVIN S | I | VICE PRESDENT, SECRETARY, ASSOCIATE GENERAL COUNSEL | NA | |
| THOMPSON, KEVIN S | I | VICE PRESDENT, SECRETARY, ASSOCIATE GENERAL COUNSEL | NA | |
| THOMPSON, KEVIN S | I | VICE PRESDENT, SECRETARY, ASSOCIATE GENERAL COUNSEL | NA | |
| THOMPSON, KEVIN S | I | VICE PRESDENT, SECRETARY, ASSOCIATE GENERAL COUNSEL | NA | |
| THOMPSON, KEVIN S | I | VICE PRESDENT, SECRETARY, ASSOCIATE GENERAL COUNSEL | NA | |
| THOMPSON, KEVIN S | I | VICE PRESDENT, SECRETARY, ASSOCIATE GENERAL COUNSEL | NA | |
| THOMPSON, KEVIN S | I | VICE PRESDENT, SECRETARY, ASSOCIATE GENERAL COUNSEL | NA | |
| THOMPSON, KEVIN SEAN | I | PRESIDENT | NA | Control |
| TOMAR, DAVID | I | VICE PRESIDENT, ASSOCIATE GENERAL COUNSEL | NA | |
| TOMAR, DAVID KENT | I | VICE PRESIDENT, ASSOCIATE GENERAL COUNSEL | NA | |
| TOMAR, DAVID KENT | I | VICE PRESIDENT, ASSOCIATE GENERAL COUNSEL | NA | |
| TOMAR, DAVID KENT | I | VICE PRESIDENT, ASSOCIATE GENERAL COUNSEL | NA | |
| WAGABAZA, HELEN MARIE | I | ASST. SECRETARY | NA | |
| WAGABAZA, HELEN MARIE | I | ASST. SECRETARY | NA | |
| WAGABAZA, HELEN MARIE | I | ASST. SECRETARY | NA | |
| WAGABAZA, HELEN MARIE | I | ASST. SECRETARY | NA | |
| WALLACE, GLORIA JEAN | I | ASSISTANT VICE PRESIDENT, BROKERAGE OPERATIONS AND ADVISORY SERVICES | NA | Control |
| WALLACE, GLORIA JEAN | I | ASSISTANT VICE PRESIDENT, BROKERAGE OPERATIONS AND ADVISORY SERVICES | NA | Control |
| WALLACE, GLORIA JEAN | I | ASSISTANT VICE PRESIDENT, BROKERAGE OPERATIONS AND ADVISORY SERVICES | NA | Control |
| WARSHAUER, MARK T | I | DIRECTOR | NA | |
| WARSHAUER, MARK T | I | DIRECTOR | NA | |
| WARSHAUER, MARK T | I | DIRECTOR | NA | |
| WARSHAUER, MARK T | I | DIRECTOR | NA | |
| WARSHAUER, MARK T | I | DIRECTOR | NA | |
| WARSHAUER, MARK T | I | DIRECTOR | NA | Control |
| WARSHAUER, MARK T | I | DIRECTOR | NA | Control |
| WARSHAUER, MARK T | I | DIRECTOR | NA | |
| WARSHAUER, MARK T | I | DIRECTOR | NA | |
| WARSHAUER, MARK T | I | DIRECTOR | NA | Control |
| WARSHAUER, MARK T | I | DIRECTOR | NA | Control |
| WARSHAUER, MARK T | I | DIRECTOR | NA | Control |
| WARSHAUER, MARK T | I | DIRECTOR | NA | |
| WILEY, JOHN WARREN | I | ASSOC. COMPLIANCE OFFICER | NA | |
| WILLSON, MARK | I | ASSISTANT SECRETARY | NA | Control |
| WITHEY, DEBORAH ANN | I | ASSISTANT VICE PRESIDENT | NA | |
| WITHEY, DEBORAH ANN | I | ASSISTANT VICE PRESIDENT | NA | |
| WITHEY, DEBORAH ANN | I | ASSISTANT VICE PRESIDENT | NA | |
| WITHEY, DEBORAH ANN | I | ASSISTANT VICE PRESIDENT | NA | |
| CUNA MUTUAL INVESTMENT CORPORATION | DE | OWNER | E | Control |
| CUNA MUTUAL INVESTMENT CORPORATION | DE | OWNER | E | Control |
| CUNA MUTUAL INVESTMENT CORPORATION | DE | OWNER | E | Control |
| CUNA MUTUAL INVESTMENT CORPORATION | DE | OWNER | E | Control |
| CUNA MUTUAL INVESTMENT CORPORATION | DE | OWNER | E | Control |
| CUNA MUTUAL INVESTMENT CORPORATION | DE | OWNER | E | Control |
| CUNA MUTUAL INVESTMENT CORPORATION | DE | OWNER | E | Control |
| CUNA MUTUAL INVESTMENT CORPORATION | DE | OWNER | E | Control |
| CUNA MUTUAL INVESTMENT CORPORATION | DE | OWNER | E | Control |
| CUNA MUTUAL INVESTMENT CORPORATION | DE | OWNER | E | Control |
| CUNA MUTUAL INVESTMENT CORPORATION | DE | OWNER | E | Control |
| CUNA MUTUAL INVESTMENT CORPORATION | DE | OWNER | E | Control |
| CUNA MUTUAL INVESTMENT CORPORATION | DE | OWNER | E | Control |
| CUNA MUTUAL INVESTMENT CORPORATION | DE | OWNER | E | Control |
| CUNA MUTUAL INVESTMENT CORPORATION | DE | OWNER | E | Control |
| CUNA MUTUAL INVESTMENT CORPORATION | DE | OWNER | E | Control |
| CUNA MUTUAL INVESTMENT CORPORATION | DE | OWNER | E | Control |
| CUNA MUTUAL INVESTMENT CORPORATION | DE | OWNER | E | Control |
| CUNA MUTUAL INVESTMENT CORPORATION | DE | OWNER | E | Control |
| CUNA MUTUAL INVESTMENT CORPORATION | DE | OWNER | E | Control |
| CUNA MUTUAL INVESTMENT CORPORATION | DE | OWNER | E | Control |
| CUNA MUTUAL INVESTMENT CORPORATION | DE | OWNER | E | Control |
| CUNA MUTUAL INVESTMENT CORPORATION | DE | OWNER | E | Control |
| CUNA MUTUAL INVESTMENT CORPORATION | DE | OWNER | E | Control |
| CUNA MUTUAL INVESTMENT CORPORATION | DE | OWNER | E | Control |
| CUNA MUTUAL INVESTMENT CORPORATION | DE | OWNER | E | Control |
| CUNA MUTUAL INVESTMENT CORPORATION | DE | OWNER | E | Control |
| CUNA MUTUAL INVESTMENT CORPORATION | DE | OWNER | E | Control |
| CUNA MUTUAL INVESTMENT CORPORATION | DE | OWNER | E | Control |
| CUNA MUTUAL INVESTMENT CORPORATION | DE | OWNER | E | Control |
| CUNA MUTUAL INVESTMENT CORPORATION | DE | OWNER | E | Control |
| CUNA MUTUAL INVESTMENT CORPORATION | DE | OWNER | E | Control |
| CUNA MUTUAL INVESTMENT CORPORATION | DE | OWNER | E | Control |
| CUNA MUTUAL INVESTMENT CORPORATION | DE | OWNER | E | Control |
| CUNA MUTUAL INVESTMENT CORPORATION | DE | OWNER | E | Control |
| CUNA MUTUAL INVESTMENT CORPORATION | DE | OWNER | E | Control |
| CUNA MUTUAL INVESTMENT CORPORATION | DE | OWNER | E | Control |
| CUNA MUTUAL INVESTMENT CORPORATION | DE | OWNER | E | Control |
| CUNA MUTUAL INVESTMENT CORPORATION | DE | OWNER | E | Control |
| CUNA MUTUAL INVESTMENT CORPORATION | DE | OWNER | E | Control |
| CUNA MUTUAL INVESTMENT CORPORATION | DE | OWNER | E | Control |
| CUNA MUTUAL INVESTMENT CORPORATION | DE | OWNER | E | Control |
| CUNA MUTUAL INVESTMENT CORPORATION | DE | OWNER | E | Control |
| CUNA MUTUAL INVESTMENT CORPORATION | DE | OWNER | E | Control |
| CUNA MUTUAL INVESTMENT CORPORATION | DE | OWNER | E | Control |
| CUNA MUTUAL INVESTMENT CORPORATION | DE | OWNER | E | Control |
| CUNA MUTUAL INVESTMENT CORPORATION | DE | OWNER | E | Control |
| CUNA MUTUAL INVESTMENT CORPORATION | DE | OWNER | E | Control |
| CUNA MUTUAL INVESTMENT CORPORATION | DE | OWNER | E | Control |
| CUNA MUTUAL INVESTMENT CORPORATION | DE | OWNER | E | Control |
| CUNA MUTUAL INVESTMENT CORPORATION | DE | OWNER | E | Control |
| CUNA MUTUAL INVESTMENT CORPORATION | DE | OWNER | E | Control |
| CUNA MUTUAL INVESTMENT CORPORATION | DE | OWNER | E | Control |
| CUNA MUTUAL INVESTMENT CORPORATION | DE | OWNER | E | Control |
| CUNA MUTUAL INVESTMENT CORPORATION | DE | OWNER | E | Control |
| CUNA MUTUAL INVESTMENT CORPORATION | DE | OWNER | E | Control |
| CUNA MUTUAL INVESTMENT CORPORATION | DE | OWNER | E | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| CMFG LIFE INSURANCE COMPANY | DE | CUNA MUTUAL INVESTMENT CORPORATION | E | Control |
| CMFG LIFE INSURANCE COMPANY | DE | CUNA MUTUAL INVESTMENT CORPORATION | E | Control |
| CMFG LIFE INSURANCE COMPANY | DE | CUNA MUTUAL INVESTMENT CORPORATION | E | Control |
| CMFG LIFE INSURANCE COMPANY | DE | CUNA MUTUAL INVESTMENT CORPORATION | E | Control |
| CMFG LIFE INSURANCE COMPANY | DE | CUNA MUTUAL INVESTMENT CORPORATION | E | Control |
| CMFG LIFE INSURANCE COMPANY | DE | CUNA MUTUAL INVESTMENT CORPORATION | E | Control |
| CMFG LIFE INSURANCE COMPANY | DE | CUNA MUTUAL INVESTMENT CORPORATION | E | Control |
| CMFG LIFE INSURANCE COMPANY | DE | CUNA MUTUAL INVESTMENT CORPORATION | E | Control |
| CMFG LIFE INSURANCE COMPANY | DE | CUNA MUTUAL INVESTMENT CORPORATION | E | Control |
| CMFG LIFE INSURANCE COMPANY | DE | CUNA MUTUAL INVESTMENT CORPORATION | E | Control |
| CMFG LIFE INSURANCE COMPANY | DE | CUNA MUTUAL INVESTMENT CORPORATION | E | Control |
| CMFG LIFE INSURANCE COMPANY | DE | CUNA MUTUAL INVESTMENT CORPORATION | E | Control |
| CMFG LIFE INSURANCE COMPANY | DE | CUNA MUTUAL INVESTMENT CORPORATION | E | Control |
| CMFG LIFE INSURANCE COMPANY | DE | CUNA MUTUAL INVESTMENT CORPORATION | E | Control |
| CMFG LIFE INSURANCE COMPANY | DE | CUNA MUTUAL INVESTMENT CORPORATION | E | Control |
| CMFG LIFE INSURANCE COMPANY | DE | CUNA MUTUAL INVESTMENT CORPORATION | E | Control |
| CMFG LIFE INSURANCE COMPANY | DE | CUNA MUTUAL INVESTMENT CORPORATION | E | Control |
| CMFG LIFE INSURANCE COMPANY | DE | CUNA MUTUAL INVESTMENT CORPORATION | E | Control |
| CMFG LIFE INSURANCE COMPANY | DE | CUNA MUTUAL INVESTMENT CORPORATION | E | Control |
| CMFG LIFE INSURANCE COMPANY | DE | CUNA MUTUAL INVESTMENT CORPORATION | E | Control |
| CMFG LIFE INSURANCE COMPANY | DE | CUNA MUTUAL INVESTMENT CORPORATION | E | Control |
| CMFG LIFE INSURANCE COMPANY | DE | CUNA MUTUAL INVESTMENT CORPORATION | E | Control |
| CMFG LIFE INSURANCE COMPANY | DE | CUNA MUTUAL INVESTMENT CORPORATION | E | Control |
| CMFG LIFE INSURANCE COMPANY | DE | CUNA MUTUAL INVESTMENT CORPORATION | E | Control |
| CMFG LIFE INSURANCE COMPANY | DE | CUNA MUTUAL INVESTMENT CORPORATION | E | Control |
| CMFG LIFE INSURANCE COMPANY | DE | CUNA MUTUAL INVESTMENT CORPORATION | E | Control |
| CMFG LIFE INSURANCE COMPANY | DE | CUNA MUTUAL INVESTMENT CORPORATION | E | Control |
| CMFG LIFE INSURANCE COMPANY | DE | CUNA MUTUAL INVESTMENT CORPORATION | E | Control |
| CMFG LIFE INSURANCE COMPANY | DE | CUNA MUTUAL INVESTMENT CORPORATION | E | Control |
| CMFG LIFE INSURANCE COMPANY | DE | CUNA MUTUAL INVESTMENT CORPORATION | E | Control |
| CMFG LIFE INSURANCE COMPANY | DE | CUNA MUTUAL INVESTMENT CORPORATION | E | Control |
| CMFG LIFE INSURANCE COMPANY | DE | CUNA MUTUAL INVESTMENT CORPORATION | E | Control |
| CMFG LIFE INSURANCE COMPANY | DE | CUNA MUTUAL INVESTMENT CORPORATION | E | Control |
| CMFG LIFE INSURANCE COMPANY | DE | CUNA MUTUAL INVESTMENT CORPORATION | E | Control |
| CMFG LIFE INSURANCE COMPANY | DE | CUNA MUTUAL INVESTMENT CORPORATION | E | Control |
| CMFG LIFE INSURANCE COMPANY | DE | CUNA MUTUAL INVESTMENT CORPORATION | E | Control |
| CMFG LIFE INSURANCE COMPANY | DE | CUNA MUTUAL INVESTMENT CORPORATION | E | Control |
| CMFG LIFE INSURANCE COMPANY | DE | CUNA MUTUAL INVESTMENT CORPORATION | E | Control |
| CUNA MUTUAL INSURANCE SOCIETY | DE | CUNA MUTUAL INVESTMENT CORPORATION | E | Control |
| CUNA MUTUAL INSURANCE SOCIETY | DE | CUNA MUTUAL INVESTMENT CORPORATION | E | Control |
| CUNA MUTUAL INSURANCE SOCIETY | DE | CUNA MUTUAL INVESTMENT CORPORATION | E | Control |
| CUNA MUTUAL INSURANCE SOCIETY | DE | CUNA MUTUAL INVESTMENT CORPORATION | E | Control |
| CUNA MUTUAL INSURANCE SOCIETY | DE | CUNA MUTUAL INVESTMENT CORPORATION | E | Control |
| CUNA MUTUAL INSURANCE SOCIETY | DE | CUNA MUTUAL INVESTMENT CORPORATION | E | Control |
| CUNA MUTUAL INSURANCE SOCIETY | DE | CUNA MUTUAL INVESTMENT CORPORATION | E | Control |
| CUNA MUTUAL INSURANCE SOCIETY | DE | CUNA MUTUAL INVESTMENT CORPORATION | E | Control |
| CUNA MUTUAL INSURANCE SOCIETY | DE | CUNA MUTUAL INVESTMENT CORPORATION | E | Control |
| CUNA MUTUAL INSURANCE SOCIETY | DE | CUNA MUTUAL INVESTMENT CORPORATION | E | Control |
| CUNA MUTUAL INSURANCE SOCIETY | DE | CUNA MUTUAL INVESTMENT CORPORATION | E | Control |
| CUNA MUTUAL INSURANCE SOCIETY | DE | CUNA MUTUAL INVESTMENT CORPORATION | E | Control |
| CUNA MUTUAL INSURANCE SOCIETY | DE | CUNA MUTUAL INVESTMENT CORPORATION | E | Control |
| CUNA MUTUAL INSURANCE SOCIETY | DE | CUNA MUTUAL INVESTMENT CORPORATION | E | Control |
| CUNA MUTUAL INSURANCE SOCIETY | DE | CUNA MUTUAL INVESTMENT CORPORATION | E | Control |
| CUNA MUTUAL INSURANCE SOCIETY | DE | CUNA MUTUAL INVESTMENT CORPORATION | E | Control |
| CUNA MUTUAL INSURANCE SOCIETY | DE | CUNA MUTUAL INVESTMENT CORPORATION | E | Control |
| CUNA MUTUAL INSURANCE SOCIETY | DE | CUNA MUTUAL INVESTMENT CORPORATION | E | Control |
| CUNA MUTUAL INSURANCE SOCIETY | DE | CUNA MUTUAL INVESTMENT CORPORATION | E | Control |
Registrations
Federal
IA
Mar 31, 2022 REGISTERED
Notice Filings (52)
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 VI VT WA WI WV
Address
2000 HERITAGE WAYWAVERLY, IA 50677
United States
Phone: 319-352-4090