NEEDHAM & COMPANY, LLC
CRD #16360 SEC #801-62735 NEW YORK, NY 212-371-8300
SEC Registered Broker-Dealer Disclosures
Total AUM
--
Discretionary
--
Employees
185
Clients
0
Accounts
--
This firm has regulatory disclosures on file.
View disclosures
Firm Details
- Organization Type
- Limited Liability Company
- State of Formation
- Delaware
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Mar 27, 2025
- Branch Offices
- 4
- LEI
- 254900J2GFQ4J4NK1J89
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| ABBRUZZESE, JAMES MICHAEL | I | MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER | NA | |
| ABBRUZZESE, JAMES MICHAEL | I | MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER | NA | |
| ABBRUZZESE, JAMES MICHAEL | I | MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER | NA | |
| ABBRUZZESE, JAMES MICHAEL | I | MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER | NA | |
| ABBRUZZESE, JAMES MICHAEL | I | MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER | NA | |
| ABBRUZZESE, JAMES MICHAEL | I | MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER | NA | |
| ABBRUZZESE, JAMES MICHAEL | I | MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER | NA | |
| ABBRUZZESE, JAMES MICHAEL | I | MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER | NA | |
| ABBRUZZESE, JAMES MICHAEL | I | MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER | NA | |
| ABBRUZZESE, JAMES MICHAEL | I | MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER | NA | |
| ABBRUZZESE, JAMES MICHAEL | I | MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER | NA | |
| ABBRUZZESE, JAMES MICHAEL | I | MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER | NA | |
| ABBRUZZESE, JAMES MICHAEL | I | PRINCIPAL, CHIEF COMPLIANCE OFFICER | NA | |
| ABBRUZZESE, JAMES MICHAEL | I | MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER | NA | |
| ABBRUZZESE, JAMES MICHAEL | I | MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER | NA | |
| ABBRUZZESE, JAMES MICHAEL | I | VICE PRESIDENT, DIRECTOR OF COMPLIANCE | NA | |
| ABBRUZZESE, JAMES MICHAEL | I | VICE PRESIDENT, DIRECTOR OF COMPLIANCE | NA | |
| ABBRUZZESE, JAMES MICHAEL | I | MANAGING DIRECTOR, CHIEF ADMINISTRATIVE OFFICER | NA | |
| ABBRUZZESE, JAMES MICHAEL | I | MANAGING DIRECTOR, CHIEF ADMINISTRATIVE OFFICER | NA | |
| ABBRUZZESE, JAMES MICHAEL | I | MANAGING DIRECTOR, CHIEF ADMINISTRATIVE OFFICER | NA | |
| ABBRUZZESE, JAMES MICHAEL | I | MANAGING DIRECTOR, CHIEF ADMINISTRATIVE OFFICER | NA | |
| ABBRUZZESE, JAMES MICHAEL | I | MANAGING DIRECTOR, CHIEF ADMINISTRATIVE OFFICER | NA | |
| ABBRUZZESE, JAMES MICHAEL | I | MANAGING DIRECTOR, CHIEF ADMINISTRATIVE OFFICER | NA | |
| ABBRUZZESE, JAMES MICHAEL | I | MANAGING DIRECTOR, CHIEF ADMINISTRATIVE OFFICER | NA | |
| ABBRUZZESE, JAMES MICHAEL | I | MANAGING DIRECTOR, CHIEF ADMINISTRATIVE OFFICER | NA | |
| ABBRUZZESE, JAMES MICHAEL | I | MANAGING DIRECTOR, CHIEF ADMINISTRATIVE OFFICER | NA | |
| ABBRUZZESE, JAMES MICHAEL | I | MANAGING DIRECTOR, CHIEF ADMINISTRATIVE OFFICER | NA | |
| ABBRUZZESE, JAMES MICHAEL | I | MANAGING DIRECTOR, CHIEF ADMINISTRATIVE OFFICER | NA | |
| ABBRUZZESE, JAMES MICHAEL | I | MANAGING DIRECTOR, CHIEF ADMINISTRATIVE OFFICER | NA | |
| ABBRUZZESE, JAMES MICHAEL | I | MANAGING DIRECTOR, CHIEF ADMINISTRATIVE OFFICER/ACTING CO-HEAD OF TRADING | NA | Control |
| ABBRUZZESE, JAMES MICHAEL | I | MANAGING DIRECTOR, CHIEF ADMINISTRATIVE OFFICER/ACTING CO-HEAD OF TRADING | NA | Control |
| ABBRUZZESE, JAMES MICHAEL | I | MANAGING DIRECTOR, CHIEF ADMINISTRATIVE OFFICER | NA | Control |
| ABBRUZZESE, JAMES MICHAEL | I | MANAGING DIRECTOR, CHIEF ADMINISTRATIVE OFFICER | NA | Control |
| ABBRUZZESE, JAMES MICHAEL | I | MANAGING DIRECTOR, CHIEF ADMINISTRATIVE OFFICER & ACTING HEAD OF SALES | NA | Control |
| ABBRUZZESE, JAMES MICHAEL | I | MANAGING DIRECTOR, CHIEF ADMINISTRATIVE OFFICER & ACTING HEAD OF SALES | NA | Control |
| ABBRUZZESE, JAMES MICHAEL | I | MANAGING DIRECTOR, CHIEF ADMINISTRATIVE OFFICER & ACTING HEAD OF SALES | NA | Control |
| ABBRUZZESE, JAMES MICHAEL | I | MANAGING DIRECTOR, CHIEF ADMINISTRATIVE OFFICER & ACTING HEAD OF SALES | NA | Control |
| ABBRUZZESE, JAMES MICHAEL | I | MANAGING DIRECTOR, CHIEF ADMINISTRATIVE OFFICER & ACTING HEAD OF SALES | NA | Control |
| ABBRUZZESE, JAMES MICHAEL | I | MANAGING DIRECTOR, CHIEF ADMINISTRATIVE OFFICER & ACTING HEAD OF SALES | NA | Control |
| ABBRUZZESE, JAMES MICHAEL | I | MANAGING DIRECTOR, CHIEF ADMINISTRATIVE OFFICER & ACTING HEAD OF SALES | NA | Control |
| ABBRUZZESE, JAMES MICHAEL | I | MANAGING DIRECTOR, CHIEF ADMINISTRATIVE OFFICER & ACTING HEAD OF SALES | NA | Control |
| ABBRUZZESE, JAMES MICHAEL | I | MANAGING DIRECTOR, CHIEF ADMINISTRATIVE OFFICER & ACTING HEAD OF SALES | NA | Control |
| ALBANESE, GLEN WILLIAM | I | CFO, MANAGING DIRECTOR | NA | Control |
| ALBANESE, GLEN WILLIAM | I | CFO, MANAGING DIRECTOR | NA | Control |
| ALBANESE, GLEN WILLIAM | I | CFO, MANAGING DIRECTOR | NA | Control |
| ALBANESE, GLEN WILLIAM | I | CFO, MANAGING DIRECTOR | NA | Control |
| ALBANESE, GLEN WILLIAM | I | CFO, MANAGING DIRECTOR | NA | Control |
| ALBANESE, GLEN WILLIAM | I | CFO, MANAGING DIRECTOR | NA | Control |
| ALBANESE, GLEN WILLIAM | I | CFO, MANAGING DIRECTOR | NA | Control |
| ALBANESE, GLEN WILLIAM | I | CFO, MANAGING DIRECTOR | NA | Control |
| ALBANESE, GLEN WILLIAM | I | CFO, MANAGING DIRECTOR | NA | Control |
| ALBANESE, GLEN WILLIAM | I | CFO, MANAGING DIRECTOR | NA | Control |
| ALBANESE, GLEN WILLIAM | I | CFO, MANAGING DIRECTOR | NA | Control |
| ALBANESE, GLEN WILLIAM | I | CFO, MANAGING DIRECTOR | NA | Control |
| ALBANESE, GLEN WILLIAM | I | CFO, MANAGING DIRECTOR | NA | Control |
| ALBANESE, GLEN WILLIAM | I | CFO, MANAGING DIRECTOR | NA | Control |
| ALBANESE, GLEN WILLIAM | I | CFO | NA | Control |
| ALBANESE, GLEN WILLIAM | I | CFO | NA | Control |
| DWYER, SEAN CHRISTIAN | I | MANAGING DIRECTOR, HEAD OF SALES TRADING | NA | Control |
| DWYER, SEAN CHRISTIAN | I | MANAGING DIRECTOR, HEAD OF SALES TRADING | NA | Control |
| DWYER, SEAN CHRISTIAN | I | MANAGING DIRECTOR, HEAD OF SALES TRADING | NA | Control |
| DWYER, SEAN CHRISTIAN | I | MANAGING DIRECTOR, HEAD OF SALES TRADING | NA | Control |
| DWYER, SEAN CHRISTIAN | I | MANAGING DIRECTOR, HEAD OF SALES TRADING | NA | Control |
| DWYER, SEAN CHRISTIAN | I | MANAGING DIRECTOR, HEAD OF SALES TRADING | NA | Control |
| DWYER, SEAN CHRISTIAN | I | MANAGING DIRECTOR, HEAD OF SALES TRADING | NA | Control |
| DWYER, SEAN CHRISTIAN | I | MANAGING DIRECTOR, HEAD OF SALES TRADING | NA | Control |
| DWYER, SEAN CHRISTIAN | I | MANAGING DIRECTOR, HEAD OF SALES TRADING | NA | Control |
| DWYER, SEAN CHRISTIAN | I | MANAGING DIRECTOR, HEAD OF SALES TRADING | NA | Control |
| DWYER, SEAN CHRISTIAN | I | MANAGING DIRECTOR, HEAD OF SALES TRADING | NA | Control |
| DWYER, SEAN CHRISTIAN | I | MANAGING DIRECTOR, HEAD OF SALES TRADING | NA | Control |
| DWYER, SEAN CHRISTIAN | I | MANAGING DIRECTOR, HEAD OF SALES TRADING | NA | Control |
| DWYER, SEAN CHRISTIAN | I | MANAGING DIRECTOR, HEAD OF SALES TRADING | NA | Control |
| DWYER, SEAN CHRISTIAN | I | MANAGING DIRECTOR, HEAD OF SALES TRADING | NA | Control |
| DWYER, SEAN CHRISTIAN | I | MANAGING DIRECTOR, HEAD OF SALES TRADING | NA | Control |
| DWYER, SEAN CHRISTIAN | I | MANAGING DIRECTOR, HEAD OF SALES TRADING | NA | Control |
| DWYER, SEAN CHRISTIAN | I | MANAGING DIRECTOR, HEAD OF SALES TRADING | NA | Control |
| DWYER, SEAN CHRISTIAN | I | MANAGING DIRECTOR, HEAD OF SALES TRADING | NA | Control |
| DWYER, SEAN CHRISTIAN | I | MANAGING DIRECTOR, HEAD OF SALES TRADING | NA | Control |
| DWYER, SEAN CHRISTIAN | I | MANAGING DIRECTOR, HEAD OF SALES TRADING | NA | Control |
| DWYER, SEAN CHRISTIAN | I | MANAGING DIRECTOR, HEAD OF SALES TRADING | NA | Control |
| FIORDALISO, ROBERT JOSEPH | I | PRINCIPAL, (ACTING) CHIEF FINANCIAL OFFICER | NA | Control |
| FIORDALISO, ROBERT JOSEPH | I | MANAGING DIRECTOR, (ACTING) CHIEF FINANCIAL OFFICER | NA | Control |
| FIORDALISO, ROBERT JOSEPH | I | PRINCIPAL, (ACTING) CHIEF FINANCIAL OFFICER | NA | Control |
| FIORDALISO, ROBERT JOSEPH | I | MANAGING DIRECTOR, (ACTING) CHIEF FINANCIAL OFFICER | NA | Control |
| FIORDALISO, ROBERT JOSEPH | I | MANAGING DIRECTOR, (ACTING) CHIEF FINANCIAL OFFICER | NA | Control |
| FIORDALISO, ROBERT JOSEPH | I | PRINCIPAL, (ACTING) CHIEF FINANCIAL OFFICER | NA | Control |
| FIORDALISO, ROBERT JOSEPH | I | MANAGING DIRECTOR, (ACTING) CHIEF FINANCIAL OFFICER | NA | Control |
| FIORDALISO, ROBERT JOSEPH | I | MANAGING DIRECTOR, (ACTING) CHIEF FINANCIAL OFFICER | NA | Control |
| FIORDALISO, ROBERT JOSEPH | I | MANAGING DIRECTOR, (ACTING) CHIEF FINANCIAL OFFICER | NA | Control |
| FIORDALISO, ROBERT JOSEPH | I | MANAGING DIRECTOR, (ACTING) CHIEF FINANCIAL OFFICER | NA | Control |
| FIORDALISO, ROBERT JOSEPH | I | MANAGING DIRECTOR, (ACTING) CHIEF FINANCIAL OFFICER | NA | Control |
| FIORDALISO, ROBERT JOSEPH | I | MANAGING DIRECTOR, (ACTING) CHIEF FINANCIAL OFFICER | NA | Control |
| FIORDALISO, ROBERT JOSEPH | I | MANAGING DIRECTOR, (ACTING) CHIEF FINANCIAL OFFICER | NA | Control |
| FIORDALISO, ROBERT JOSEPH | I | MANAGING DIRECTOR, (ACTING) CHIEF FINANCIAL OFFICER | NA | Control |
| FIORDALISO, ROBERT JOSEPH | I | MANAGING DIRECTOR, (ACTING) CHIEF FINANCIAL OFFICER | NA | Control |
| FIORDALISO, ROBERT JOSEPH | I | MANAGING DIRECTOR, (ACTING) CHIEF FINANCIAL OFFICER | NA | Control |
| FIORDALISO, ROBERT JOSEPH | I | MANAGING DIRECTOR, (ACTING) CHIEF FINANCIAL OFFICER | NA | Control |
| FIORDALISO, ROBERT JOSEPH | I | MANAGING DIRECTOR, ACTING CHIEF FINANCIAL OFFICER | NA | Control |
| FIORDALISO, ROBERT JOSEPH | I | MANAGING DIRECTOR, ACTING CHIEF FINANCIAL OFFICER | NA | Control |
| FIORDALISO, ROBERT JOSEPH | I | MANAGING DIRECTOR, ACTING CHIEF FINANCIAL OFFICER | NA | Control |
| FIORDALISO, ROBERT JOSEPH | I | MANAGING DIRECTOR, ACTING CHIEF FINANCIAL OFFICER | NA | Control |
| FIORDALISO, ROBERT JOSEPH | I | MANAGING DIRECTOR, ACTING CHIEF FINANCIAL OFFICER | NA | Control |
| FIORDALISO, ROBERT JOSEPH | I | MANAGING DIRECTOR, CHIEF FINANCIAL OFFICER | NA | Control |
| FIORDALISO, ROBERT JOSEPH | I | MANAGING DIRECTOR, CHIEF FINANCIAL OFFICER | NA | Control |
| FIORDALISO, ROBERT JOSEPH | I | MANAGING DIRECTOR, CHIEF FINANCIAL OFFICER | NA | Control |
| FIORDALISO, ROBERT JOSEPH | I | MANAGING DIRECTOR, CHIEF FINANCIAL OFFICER | NA | Control |
| FOSS, WARREN MASON JR | I | MANAGING DIRECTOR, HEAD OF CAPITAL MARKETS | NA | Control |
| FOSS, WARREN MASON JR | I | MANAGING DIRECTOR, HEAD OF CAPITAL MARKETS, DIRECTOR | NA | Control |
| FOSS, WARREN MASON JR | I | MANAGING DIRECTOR, HEAD OF CAPITAL MARKETS, DIRECTOR | NA | Control |
| FOSS, WARREN MASON JR | I | MANAGING DIRECTOR, HEAD OF CAPITAL MARKETS | NA | Control |
| FOSS, WARREN MASON JR | I | MANAGING DIRECTOR, HEAD OF CAPITAL MARKETS | NA | Control |
| FOSS, WARREN MASON JR | I | MANAGING DIRECTOR, HEAD OF CAPITAL MARKETS | NA | Control |
| FOSS, WARREN MASON JR | I | MANAGING DIRECTOR, HEAD OF CAPITAL MARKETS | NA | Control |
| FOSS, WARREN MASON JR | I | MANAGING DIRECTOR, HEAD OF CAPITAL MARKETS, DIRECTOR | NA | Control |
| FOSS, WARREN MASON JR | I | MANAGING DIRECTOR, HEAD OF CAPITAL MARKETS, DIRECTOR | NA | Control |
| FOSS, WARREN MASON JR | I | MANAGING DIRECTOR, HEAD OF CAPITAL MARKETS | NA | Control |
| FOSS, WARREN MASON JR | I | MANAGING DIRECTOR, HEAD OF CAPITAL MARKETS, DIRECTOR | NA | Control |
| FOSS, WARREN MASON JR | I | MANAGING DIRECTOR, HEAD OF CAPITAL MARKETS, DIRECTOR | NA | Control |
| FOSS, WARREN MASON JR | I | MANAGING DIRECTOR, HEAD OF CAPITAL MARKETS, DIRECTOR | NA | Control |
| FOSS, WARREN MASON JR | I | MANAGING DIRECTOR, HEAD OF CAPITAL MARKETS | NA | Control |
| FOSS, WARREN MASON JR | I | MANAGING DIRECTOR, HEAD OF CAPITAL MARKETS | NA | Control |
| GIANNAKOPOULOS, GRIGORIOS | I | MD, HEAD OF SALES | NA | Control |
| GIANNAKOPOULOS, GRIGORIOS | I | MD, HEAD OF SALES | NA | Control |
| GIANNAKOPOULOS, GRIGORIOS | I | MD, HEAD OF SALES | NA | Control |
| GIANNAKOPOULOS, GRIGORIOS | I | MANAGING DIRECTOR, HEAD OF SALES & SALES TRADING | NA | Control |
| GIANNAKOPOULOS, GRIGORIOS | I | MANAGING DIRECTOR, HEAD OF SALES & SALES TRADING | NA | Control |
| GIANNAKOPOULOS, GRIGORIOS | I | MD, HEAD OF SALES | NA | Control |
| GIANNAKOPOULOS, GRIGORIOS | I | MANAGING DIRECTOR, HEAD OF SALES & SALES TRADING | NA | Control |
| GIANNAKOPOULOS, GRIGORIOS | I | MANAGING DIRECTOR, HEAD OF SALES & SALES TRADING | NA | Control |
| GIANNAKOPOULOS, GRIGORIOS | I | MANAGING DIRECTOR, HEAD OF SALES & SALES TRADING | NA | Control |
| GIANNAKOPOULOS, GRIGORIOS | I | MANAGING DIRECTOR, HEAD OF SALES & SALES TRADING | NA | Control |
| GIANNAKOPOULOS, GRIGORIOS | I | MANAGING DIRECTOR, HEAD OF SALES & SALES TRADING | NA | Control |
| GILKES, CRAIG MILTON | I | MANAGING DIRECTOR - ACTING HEAD OF SALES | NA | Control |
| GILKES, CRAIG MILTON | I | MANAGING DIRECTOR - ACTING HEAD OF SALES | NA | Control |
| HEIZER, EDGAR F (JR) | I | DIRECTOR | NA | Control |
| HEIZER, EDGAR F (JR) | I | DIRECTOR | NA | Control |
| HEIZER, EDGAR F (JR) | I | DIRECTOR | NA | Control |
| HEIZER, EDGAR F (JR) | I | DIRECTOR | NA | Control |
| HEIZER, EDGAR F (JR) | I | DIRECTOR | NA | Control |
| HEIZER, EDGAR F (JR) | I | DIRECTOR | NA | Control |
| HEIZER, EDGAR F (JR) | I | DIRECTOR | NA | Control |
| HEIZER, EDGAR F (JR) | I | DIRECTOR | NA | Control |
| IACOVONE, JACK JAMES | I | MANAGING DIRECTOR - HEAD OF INVESTMENT BANKING | NA | Control |
| IACOVONE, JACK JAMES | I | MANAGING DIRECTOR, HEAD OF INVESTMENT BANKING | NA | Control |
| IACOVONE, JACK JAMES | I | MANAGING DIRECTOR - HEAD OF INVESTMENT BANKING | NA | Control |
| IACOVONE, JACK JAMES | I | MANAGING DIRECTOR, HEAD OF INVESTMENT BANKING | NA | Control |
| IACOVONE, JACK JAMES | I | MANAGING DIRECTOR, HEAD OF INVESTMENT BANKING | NA | Control |
| IACOVONE, JACK JAMES | I | MANAGING DIRECTOR - HEAD OF INVESTMENT BANKING | NA | Control |
| IACOVONE, JACK JAMES | I | MANAGING DIRECTOR, HEAD OF INVESTMENT BANKING | NA | Control |
| IACOVONE, JACK JAMES | I | MANAGING DIRECTOR, HEAD OF INVESTMENT BANKING | NA | Control |
| IACOVONE, JACK JAMES | I | MANAGING DIRECTOR, HEAD OF INVESTMENT BANKING | NA | Control |
| IACOVONE, JACK JAMES | I | MANAGING DIRECTOR, HEAD OF INVESTMENT BANKING | NA | Control |
| IACOVONE, JACK JAMES | I | MANAGING DIRECTOR, HEAD OF INVESTMENT BANKING | NA | Control |
| IACOVONE, JACK JAMES | I | MANAGING DIRECTOR, HEAD OF INVESTMENT BANKING | NA | Control |
| IACOVONE, JACK JAMES | I | MANAGING DIRECTOR, HEAD OF INVESTMENT BANKING | NA | Control |
| KECK, CHAD WHITNEY | I | MANAGING DIRECTOR, CORPORATE FINANCE | NA | Control |
| KECK, CHAD WHITNEY | I | MANAGING DIRECTOR, CORPORATE FINANCE | NA | Control |
| KECK, CHAD WHITNEY | I | MANAGING DIRECTOR, CORPORATE FINANCE | NA | Control |
| KECK, CHAD WHITNEY | I | MANAGING DIRECTOR, CORPORATE FINANCE | NA | Control |
| KECK, CHAD WHITNEY | I | MANAGING DIRECTOR, CORPORATE FINANCE | NA | Control |
| KECK, CHAD WHITNEY | I | MANAGING DIRECTOR, CORPORATE FINANCE | NA | Control |
| KECK, CHAD WHITNEY | I | MANAGING DIRECTOR, CORPORATE FINANCE | NA | Control |
| KENNEY, VINCENT JOHN | I | MANAGING DIRECTOR, HEAD OF INSTITUTIONAL SALES/TRADING | NA | Control |
| KENNEY, VINCENT JOHN | I | MANAGING DIRECTOR, HEAD OF INSTITUTIONAL SALES/TRADING | NA | Control |
| KENNEY, VINCENT JOHN | I | MANAGING DIRECTOR, HEAD OF INSTITUTIONAL SALES/TRADING | NA | Control |
| KENNEY, VINCENT JOHN | I | MANAGING DIRECTOR, HEAD OF INSTITUTIONAL SALES/TRADING | NA | Control |
| LAUFER, DAVID MICHAEL | I | MANAGING DIRECTOR, HEAD OF TRADING | NA | Control |
| LAUFER, DAVID MICHAEL | I | MANAGING DIRECTOR, HEAD OF TRADING | NA | Control |
| LAUFER, DAVID MICHAEL | I | MANAGING DIRECTOR, HEAD OF TRADING & SALES TRADING | NA | Control |
| LAUFER, DAVID MICHAEL | I | MANAGING DIRECTOR, HEAD OF TRADING & SALES TRADING | NA | Control |
| LAUFER, DAVID MICHAEL | I | MANAGING DIRECTOR, HEAD OF TRADING & SALES TRADING | NA | Control |
| LAUFER, DAVID MICHAEL | I | MANAGING DIRECTOR, HEAD OF TRADING & SALES TRADING | NA | Control |
| LAUFER, DAVID MICHAEL | I | MANAGING DIRECTOR, HEAD OF TRADING & SALES TRADING | NA | Control |
| LAUFER, DAVID MICHAEL | I | MANAGING DIRECTOR, HEAD OF TRADING & SALES TRADING | NA | Control |
| LAUFER, DAVID MICHAEL | I | MANAGING DIRECTOR, HEAD OF TRADING & SALES TRADING | NA | Control |
| LAUFER, DAVID MICHAEL | I | MANAGING DIRECTOR, HEAD OF TRADING & SALES TRADING | NA | Control |
| LAUFER, DAVID MICHAEL | I | MANAGING DIRECTOR, HEAD OF TRADING & SALES TRADING | NA | Control |
| LAZO, JOHN JR | I | MANAGING DIRECTOR, HEAD OF TRADING | NA | Control |
| LAZO, JOHN JR | I | MANAGING DIRECTOR, HEAD OF TRADING | NA | Control |
| LAZO, JOHN JR | I | MANAGING DIRECTOR, HEAD OF TRADING | NA | Control |
| LAZO, JOHN JR | I | MANAGING DIRECTOR, HEAD OF TRADING | NA | Control |
| LAZO, JOHN JR | I | MANAGING DIRECTOR, HEAD OF TRADING | NA | Control |
| LAZO, JOHN JR | I | MANAGING DIRECTOR, HEAD OF TRADING | NA | Control |
| LAZO, JOHN JR | I | MANAGING DIRECTOR, HEAD OF TRADING | NA | Control |
| LAZO, JOHN JR | I | MANAGING DIRECTOR, HEAD OF TRADING | NA | Control |
| LAZO, JOHN JR | I | MANAGING DIRECTOR, HEAD OF TRADING | NA | Control |
| LAZO, JOHN JR | I | MANAGING DIRECTOR, HEAD OF TRADING | NA | Control |
| LAZO, JOHN JR | I | MANAGING DIRECTOR, HEAD OF TRADING | NA | Control |
| LAZO, JOHN JR | I | MANAGING DIRECTOR, HEAD OF TRADING | NA | Control |
| LAZO, JOHN JR | I | MANAGING DIRECTOR, HEAD OF TRADING | NA | Control |
| LAZO, JOHN JR | I | MANAGING DIRECTOR, HEAD OF TRADING | NA | Control |
| LAZO, JOHN JR | I | MANAGING DIRECTOR, HEAD OF TRADING | NA | Control |
| LAZO, JOHN JR | I | MANAGING DIRECTOR, HEAD OF TRADING | NA | Control |
| LAZO, JOHN JR | I | MANAGING DIRECTOR, HEAD OF TRADING | NA | Control |
| LAZO, JOHN JR | I | MANAGING DIRECTOR, HEAD OF TRADING | NA | Control |
| LAZO, JOHN JR | I | MANAGING DIRECTOR, HEAD OF TRADING | NA | Control |
| LAZO, JOHN JR | I | MANAGING DIRECTOR, HEAD OF TRADING | NA | Control |
| LAZO, JOHN JR | I | MANAGING DIRECTOR, HEAD OF TRADING | NA | Control |
| LAZO, JOHN JR | I | MANAGING DIRECTOR, HEAD OF TRADING | NA | Control |
| LAZO, JOHN JR | I | MANAGING DIRECTOR, HEAD OF TRADING | NA | Control |
| LAZO, JOHN JR | I | MANAGING DIRECTOR, HEAD OF TRADING | NA | Control |
| LAZO, JOHN JR | I | MANAGING DIRECTOR, HEAD OF TRADING | NA | Control |
| LIROLA, BERNARD HENRI | I | MANAGING DIRECTOR, CO-HEAD OF INVESTMENT BANKING | NA | Control |
| LIROLA, BERNARD HENRI | I | MANAGING DIRECTOR, CO-HEAD OF INVESTMENT BANKING | NA | Control |
| LIROLA, BERNARD HENRI | I | MANAGING DIRECTOR, CO-HEAD OF INVESTMENT BANKING | NA | Control |
| LIROLA, BERNARD HENRI | I | MANAGING DIRECTOR, CO-HEAD OF INVESTMENT BANKING | NA | Control |
| MALIK, ANDREW JOSEPH | I | MANAGING DIRECTOR - CHAIRMAN | NA | Control |
| MALIK, ANDREW JOSEPH | I | MANAGING DIRECTOR - CHAIRMAN | NA | Control |
| MALIK, ANDREW JOSEPH | I | MANAGING DIRECTOR, CHAIRMAN | NA | Control |
| MALIK, ANDREW JOSEPH | I | MANAGING DIRECTOR - CHAIRMAN | NA | Control |
| MALIK, ANDREW JOSEPH | I | MANAGING DIRECTOR, CHAIRMAN | NA | Control |
| MALIK, ANDREW JOSEPH | I | MANAGING DIRECTOR, CHAIRMAN | NA | Control |
| MALIK, ANDREW JOSEPH | I | MANAGING DIRECTOR - CHAIRMAN | NA | Control |
| MALIK, ANDREW JOSEPH | I | MANAGING DIRECTOR, CHAIRMAN | NA | Control |
| MALIK, ANDREW JOSEPH | I | MANAGING DIRECTOR, CHAIRMAN | NA | Control |
| MALIK, ANDREW JOSEPH | I | MANAGING DIRECTOR, CHAIRMAN | NA | Control |
| MALIK, ANDREW JOSEPH | I | MANAGING DIRECTOR, CHAIRMAN | NA | Control |
| MALIK, ANDREW JOSEPH | I | MANAGING DIRECTOR, CHAIRMAN | NA | Control |
| MALIK, ANDREW JOSEPH | I | MANAGING DIRECTOR, CHAIRMAN | NA | Control |
| MALIK, ANDREW JOSEPH | I | MANAGING DIRECTOR, CHAIRMAN | NA | Control |
| MALIK, ANDREW JOSEPH | I | MANAGING DIRECTOR, CHAIRMAN | NA | Control |
| MALIK, ANDREW JOSEPH | I | MANAGING DIRECTOR, CHAIRMAN | NA | Control |
| MALIK, ANDREW JOSEPH | I | MANAGING DIRECTOR, CHAIRMAN | NA | Control |
| MALIK, ANDREW JOSEPH | I | MANAGING DIRECTOR, CHAIRMAN | NA | Control |
| MALLOY, JOHN PATRICK | I | MANAGING DIRECTOR, CO-DIRECTOR OF RESEARCH | NA | Control |
| MALLOY, JOHN PATRICK | I | MANAGING DIRECTOR, CO-DIRECTOR OF RESEARCH | NA | Control |
| MALLOY, JOHN PATRICK | I | MANAGING DIRECTOR, CO-DIRECTOR OF RESEARCH | NA | Control |
| MALLOY, JOHN PATRICK | I | MANAGING DIRECTOR, CO-DIRECTOR OF RESEARCH | NA | Control |
| MALLOY, JOHN PATRICK | I | MANAGING DIRECTOR, CO-DIRECTOR OF RESEARCH | NA | Control |
| MALLOY, JOHN PATRICK | I | MANAGING DIRECTOR, CO-DIRECTOR OF RESEARCH | NA | Control |
| MALLOY, JOHN PATRICK | I | MANAGING DIRECTOR, CO-DIRECTOR OF RESEARCH | NA | Control |
| MALLOY, JOHN PATRICK | I | MANAGING DIRECTOR, CO-DIRECTOR OF RESEARCH | NA | Control |
| MALLOY, JOHN PATRICK | I | MANAGING DIRECTOR, CO-DIRECTOR OF RESEARCH | NA | Control |
| MALLOY, JOHN PATRICK | I | MANAGING DIRECTOR, CO-DIRECTOR OF RESEARCH | NA | Control |
| MALLOY, JOHN PATRICK | I | MANAGING DIRECTOR, CO-DIRECTOR OF RESEARCH | NA | Control |
| MALLOY, JOHN PATRICK | I | MANAGING DIRECTOR, CO-DIRECTOR OF RESEARCH | NA | Control |
| MALLOY, JOHN PATRICK | I | MANAGING DIRECTOR, CO-DIRECTOR OF RESEARCH | NA | Control |
| MALONEY, THOMAS ANTHONY | I | MANAGING DIRECTOR, DIRECTOR OF RESEARCH | NA | Control |
| MALONEY, THOMAS ANTHONY | I | MANAGING DIRECTOR, DIRECTOR OF RESEARCH | NA | Control |
| MALONEY, THOMAS ANTHONY | I | MANAGING DIRECTOR, DIRECTOR OF RESEARCH | NA | Control |
| MALONEY, THOMAS ANTHONY | I | MANAGING DIRECTOR, CO-DIRECTOR OF RESEARCH | NA | Control |
| MALONEY, THOMAS ANTHONY | I | MANAGING DIRECTOR, CO-DIRECTOR OF RESEARCH | NA | Control |
| MALONEY, THOMAS ANTHONY | I | MANAGING DIRECTOR, CO-DIRECTOR OF RESEARCH | NA | Control |
| MALONEY, THOMAS ANTHONY | I | MANAGING DIRECTOR, CO-DIRECTOR OF RESEARCH | NA | Control |
| MALONEY, THOMAS ANTHONY | I | MANAGING DIRECTOR, CO-DIRECTOR OF RESEARCH | NA | Control |
| MALONEY, THOMAS ANTHONY | I | MANAGING DIRECTOR, CO-DIRECTOR OF RESEARCH | NA | Control |
| MALONEY, THOMAS ANTHONY | I | MANAGING DIRECTOR, CO-DIRECTOR OF RESEARCH | NA | Control |
| MALONEY, THOMAS ANTHONY | I | MANAGING DIRECTOR, CO-DIRECTOR OF RESEARCH | NA | Control |
| MALONEY, THOMAS ANTHONY | I | MANAGING DIRECTOR, CO-DIRECTOR OF RESEARCH | NA | Control |
| MALONEY, THOMAS ANTHONY | I | MANAGING DIRECTOR, CO-DIRECTOR OF RESEARCH | NA | Control |
| MALONEY, THOMAS ANTHONY | I | MANAGING DIRECTOR, CO-DIRECTOR OF RESEARCH | NA | Control |
| MALONEY, THOMAS ANTHONY | I | MANAGING DIRECTOR, CO-DIRECTOR OF RESEARCH | NA | Control |
| MALONEY, THOMAS ANTHONY | I | MANAGING DIRECTOR, CO-DIRECTOR OF RESEARCH | NA | Control |
| MERLINO, SALVATORE ANTHONY | I | MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER | NA | |
| MERLINO, SALVATORE ANTHONY | I | PRINCIPAL, CHIEF COMPLIANCE OFFICER | NA | |
| MERLINO, SALVATORE ANTHONY | I | MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER | NA | |
| MERLINO, SALVATORE ANTHONY | I | MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER | NA | |
| MERLINO, SALVATORE ANTHONY | I | PRINCIPAL, CHIEF COMPLIANCE OFFICER | NA | |
| MERLINO, SALVATORE ANTHONY | I | MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER | NA | |
| MERLINO, SALVATORE ANTHONY | I | MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER | NA | |
| MERLINO, SALVATORE ANTHONY | I | MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER | NA | |
| MERLINO, SALVATORE ANTHONY | I | MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER | NA | |
| MERLINO, SALVATORE ANTHONY | I | MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER | NA | |
| MERLINO, SALVATORE ANTHONY | I | MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER | NA | |
| MERLINO, SALVATORE ANTHONY | I | MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER | NA | |
| MERLINO, SALVATORE ANTHONY | I | MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER | NA | Control |
| MERLINO, SALVATORE ANTHONY | I | MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER | NA | Control |
| MERLINO, SALVATORE ANTHONY | I | MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER | NA | Control |
| MERLINO, SALVATORE ANTHONY | I | MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER | NA | Control |
| MERLINO, SALVATORE ANTHONY | I | MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER | NA | Control |
| MERLINO, SALVATORE ANTHONY | I | MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER | NA | Control |
| MERLINO, SALVATORE ANTHONY | I | MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER | NA | Control |
| MERLINO, SALVATORE ANTHONY | I | MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER | NA | Control |
| MERLINO, SALVATORE ANTHONY | I | MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER | NA | Control |
| MERLINO, SALVATORE ANTHONY | I | MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER | NA | Control |
| MERLINO, SALVATORE ANTHONY | I | MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER | NA | Control |
| MERLINO, SALVATORE ANTHONY | I | MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER | NA | Control |
| MERLINO, SALVATORE ANTHONY | I | MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER | NA | Control |
| MICHAELSON, JOHN CHARLES | I | MANAGING DIRECTOR, DIRECTOR | NA | Control |
| NEEDHAM, GEORGE AUSTIN | I | CHAIRMAN | NA | Control |
| NEEDHAM, GEORGE AUSTIN | I | CHAIRMAN | NA | Control |
| NEEDHAM, GEORGE AUSTIN | I | CHAIRMAN | NA | Control |
| NEEDHAM, GEORGE AUSTIN | I | CHAIRMAN | NA | Control |
| OBRIEN, JOHN | I | MANAGING DIRECTOR, ACTING CO-HEAD OF TRADING | NA | |
| OBRIEN, JOHN | I | MANAGING DIRECTOR, ACTING CO-HEAD OF TRADING | NA | |
| POSNER, JEFFREY JAY | I | MD - HEAD OF SALES | NA | Control |
| POSNER, JEFFREY JAY | I | MANAGING DIRECTOR, HEAD OF SALES | NA | Control |
| POSNER, JEFFREY JAY | I | MD - HEAD OF SALES | NA | Control |
| POSNER, JEFFREY JAY | I | MANAGING DIRECTOR, HEAD OF SALES | NA | Control |
| POSNER, JEFFREY JAY | I | MANAGING DIRECTOR, HEAD OF SALES | NA | Control |
| POSNER, JEFFREY JAY | I | MD - HEAD OF SALES | NA | Control |
| PRIOR, JOHN JOSEPH JR | I | MANAGING DIRECTOR, CEO | NA | Control |
| PRIOR, JOHN JOSEPH JR | I | CEO, MANAGING DIRECTOR | NA | Control |
| PRIOR, JOHN JOSEPH JR | I | CEO, MANAGING DIRECTOR, HEAD OF INVESTMENT BANKING | NA | Control |
| PRIOR, JOHN JOSEPH JR | I | MANAGING DIRECTOR, CEO, DIRECTOR | NA | Control |
| PRIOR, JOHN JOSEPH JR | I | MANAGING DIRECTOR, CEO, DIRECTOR | NA | Control |
| PRIOR, JOHN JOSEPH JR | I | MANAGING DIRECTOR, CEO | NA | Control |
| PRIOR, JOHN JOSEPH JR | I | CEO, MANAGING DIRECTOR, HEAD OF INVESTMENT BANKING | NA | Control |
| PRIOR, JOHN JOSEPH JR | I | CEO, MANAGING DIRECTOR, HEAD OF INVESTMENT BANKING | NA | Control |
| PRIOR, JOHN JOSEPH JR | I | CEO, MANAGING DIRECTOR, HEAD OF INVESTMENT BANKING | NA | Control |
| PRIOR, JOHN JOSEPH JR | I | MANAGING DIRECTOR, CEO, DIRECTOR | NA | Control |
| PRIOR, JOHN JOSEPH JR | I | MANAGING DIRECTOR, CEO, DIRECTOR | NA | Control |
| PRIOR, JOHN JOSEPH JR | I | CEO, MANAGING DIRECTOR, HEAD OF INVESTMENT BANKING | NA | Control |
| PRIOR, JOHN JOSEPH JR | I | MANAGING DIRECTOR, CEO, DIRECTOR | NA | Control |
| PRIOR, JOHN JOSEPH JR | I | MANAGING DIRECTOR, CORPORATE FINANCE | NA | Control |
| PRIOR, JOHN JOSEPH JR | I | MANAGING DIRECTOR, CORPORATE FINANCE | NA | Control |
| PRIOR, JOHN JOSEPH JR | I | MANAGING DIRECTOR, CEO | NA | Control |
| PRIOR, JOHN JOSEPH JR | I | CEO, MANAGING DIRECTOR | NA | Control |
| PRIOR, JOHN JOSEPH JR | I | MANAGING DIRECTOR, CEO | NA | Control |
| PRIOR, JOHN JOSEPH JR | I | MANAGING DIRECTOR, CEO | NA | Control |
| PRIOR, JOHN JOSEPH JR | I | CEO, MANAGING DIRECTOR | NA | Control |
| PRIOR, JOHN JOSEPH JR | I | MANAGING DIRECTOR, CEO | NA | Control |
| PRIOR, JOHN JOSEPH JR | I | MANAGING DIRECTOR, CEO | NA | Control |
| PRIOR, JOHN JOSEPH JR | I | MANAGING DIRECTOR, CEO | NA | Control |
| PRIOR, JOHN JOSEPH JR | I | MANAGING DIRECTOR, CEO | NA | Control |
| PRIOR, JOHN JOSEPH JR | I | MANAGING DIRECTOR, CEO | NA | Control |
| PRIOR, JOHN JOSEPH JR | I | MANAGING DIRECTOR, CEO | NA | Control |
| PRIOR, JOHN JOSEPH JR | I | MANAGING DIRECTOR, CEO | NA | Control |
| REICH, JOSEPH HARDEN | I | DIRECTOR | NA | Control |
| REICH, JOSEPH HARDEN | I | DIRECTOR | NA | Control |
| REICH, JOSEPH HARDEN | I | DIRECTOR | NA | Control |
| REICH, JOSEPH HARDEN | I | DIRECTOR | NA | Control |
| REICH, JOSEPH HARDEN | I | DIRECTOR | NA | Control |
| REICH, JOSEPH HARDEN | I | DIRECTOR | NA | Control |
| REICH, JOSEPH HARDEN | I | DIRECTOR | NA | Control |
| REICH, JOSEPH HARDEN | I | DIRECTOR | NA | Control |
| SCHECHNER, DAVID SYDNEY | I | MANAGING DIRECTOR, CO-HEAD OF INVESTMENT BANKING | NA | Control |
| SCHECHNER, DAVID SYDNEY | I | MANAGING DIRECTOR, CO-HEAD OF INVESTMENT BANKING | NA | Control |
| SCHECHNER, DAVID SYDNEY | I | MANAGING DIRECTOR, CO-HEAD OF INVESTMENT BANKING | NA | Control |
| SCHECHNER, DAVID SYDNEY | I | MANAGING DIRECTOR, CO-HEAD OF INVESTMENT BANKING | NA | Control |
| VANVALKENBURGH, MARK RAYMOND | I | MANAGING DIRECTOR, HEAD OF SALES | NA | Control |
| VANVALKENBURGH, MARK RAYMOND | I | MANAGING DIRECTOR, HEAD OF SALES | NA | Control |
| VANVALKENBURGH, MARK RAYMOND | I | MANAGING DIRECTOR, HEAD OF SALES | NA | Control |
| VANVALKENBURGH, MARK RAYMOND | I | MANAGING DIRECTOR, HEAD OF SALES | NA | Control |
| VANVALKENBURGH, MARK RAYMOND | I | MANAGING DIRECTOR, HEAD OF SALES | NA | Control |
| VANVALKENBURGH, MARK RAYMOND | I | MANAGING DIRECTOR, HEAD OF SALES | NA | Control |
| VANVALKENBURGH, MARK RAYMOND | I | MANAGING DIRECTOR, HEAD OF SALES | NA | Control |
| VANVALKENBURGH, MARK RAYMOND | I | MANAGING DIRECTOR, HEAD OF SALES | NA | Control |
| VANVALKENBURGH, MARK RAYMOND | I | MANAGING DIRECTOR, HEAD OF SALES | NA | Control |
| VANVALKENBURGH, MARK RAYMOND | I | MANAGING DIRECTOR, HEAD OF SALES | NA | Control |
| WHITE, EUGENE ROBERT | I | DIRECTOR | NA | Control |
| WHITE, EUGENE ROBERT | I | DIRECTOR | NA | Control |
| WHITE, EUGENE ROBERT | I | DIRECTOR | NA | Control |
| WHITE, EUGENE ROBERT | I | DIRECTOR | NA | Control |
| WHITE, EUGENE ROBERT | I | DIRECTOR | NA | Control |
| WHITE, EUGENE ROBERT | I | DIRECTOR | NA | Control |
| WHITE, EUGENE ROBERT | I | DIRECTOR | NA | Control |
| WHITE, EUGENE ROBERT | I | DIRECTOR | NA | Control |
| NEEDHAM HOLDINGS, LLC | DE | MEMBER | E | Control |
| NEEDHAM HOLDINGS, LLC | DE | MEMBER | E | Control |
| NEEDHAM HOLDINGS, LLC | DE | MEMBER | E | Control |
| NEEDHAM HOLDINGS, LLC | DE | SHAREHOLDER | E | Control |
| NEEDHAM HOLDINGS, LLC | DE | SHAREHOLDER | E | Control |
| NEEDHAM HOLDINGS, LLC | DE | MEMBER | E | Control |
| NEEDHAM HOLDINGS, LLC | DE | MEMBER | E | Control |
| NEEDHAM HOLDINGS, LLC | DE | MEMBER | E | Control |
| NEEDHAM HOLDINGS, LLC | DE | MEMBER | E | Control |
| NEEDHAM HOLDINGS, LLC | DE | SHAREHOLDER | E | Control |
| NEEDHAM HOLDINGS, LLC | DE | SHAREHOLDER | E | Control |
| NEEDHAM HOLDINGS, LLC | DE | MEMBER | E | Control |
| NEEDHAM HOLDINGS, LLC | DE | SHAREHOLDER | E | Control |
| NEEDHAM HOLDINGS, LLC | DE | MEMBER | E | Control |
| NEEDHAM HOLDINGS, LLC | DE | MEMBER | E | Control |
| NEEDHAM HOLDINGS, LLC | DE | MEMBER | E | Control |
| NEEDHAM HOLDINGS, LLC | DE | MEMBER | E | Control |
| NEEDHAM HOLDINGS, LLC | DE | MEMBER | E | Control |
| NEEDHAM HOLDINGS, LLC | DE | MEMBER | E | Control |
| NEEDHAM HOLDINGS, LLC | DE | MEMBER | E | Control |
| NEEDHAM HOLDINGS, LLC | DE | MEMBER | E | Control |
| NEEDHAM HOLDINGS, LLC | DE | MEMBER | E | Control |
| NEEDHAM HOLDINGS, LLC | DE | MEMBER | E | Control |
| NEEDHAM HOLDINGS, LLC | DE | MEMBER | E | Control |
| NEEDHAM HOLDINGS, LLC | DE | MEMBER | E | Control |
| NEEDHAM HOLDINGS, LLC | DE | MEMBER | E | Control |
| NEEDHAM HOLDINGS, LLC | DE | MEMBER | E | Control |
| NEEDHAM HOLDINGS, LLC | DE | MEMBER | E | Control |
| NEEDHAM HOLDINGS, LLC | DE | MEMBER | E | Control |
| NEEDHAM HOLDINGS, LLC | DE | MEMBER | E | Control |
| NEEDHAM HOLDINGS, LLC | DE | MEMBER | E | Control |
| NEEDHAM HOLDINGS, LLC | DE | MEMBER | E | Control |
| NEEDHAM HOLDINGS, LLC | DE | MEMBER | E | Control |
| NEEDHAM HOLDINGS, LLC | DE | MEMBER | E | Control |
| NEEDHAM HOLDINGS, LLC | DE | MEMBER | E | Control |
| NEEDHAM HOLDINGS, LLC | DE | MEMBER | E | Control |
| NEEDHAM HOLDINGS, LLC | DE | MEMBER | E | Control |
| NEEDHAM HOLDINGS, LLC | DE | MEMBER | E | Control |
| NEEDHAM, GEORGE AUSTIN | I | CHAIRMAN, CEO | C | Control |
| NEEDHAM, GEORGE AUSTIN | I | CHAIRMAN, CEO | C | Control |
| IACOVONE, JACK JAMES | I | MANAGING DIRECTOR, CEO & HEAD OF INVESTMENT BANKING | B | Control |
| IACOVONE, JACK JAMES | I | MANAGING DIRECTOR, CEO & HEAD OF INVESTMENT BANKING | B | Control |
| IACOVONE, JACK JAMES | I | MANAGING DIRECTOR, CEO & HEAD OF INVESTMENT BANKING | B | Control |
| IACOVONE, JACK JAMES | I | MANAGING DIRECTOR, CEO & HEAD OF INVESTMENT BANKING | B | Control |
| MICHAELSON, JOHN CHARLES | I | MANAGING DIRECTOR, DIRECTOR | B | Control |
| MICHAELSON, JOHN CHARLES | I | MANAGING DIRECTOR, DIRECTOR | B | Control |
| MICHAELSON, JOHN CHARLES | I | MANAGING DIRECTOR | B | Control |
| MICHAELSON, JOHN CHARLES | I | MANAGING DIRECTOR | B | Control |
| NEEDHAM, GEORGE AUSTIN | I | CHAIRMAN, CEO | B | Control |
| NEEDHAM, GEORGE AUSTIN | I | CHAIRMAN, CEO | B | Control |
| PRIOR, JOHN JOSEPH JR | I | MANAGING DIRECTOR, CEO | B | Control |
| PRIOR, JOHN JOSEPH JR | I | MANAGING DIRECTOR, CEO | B | Control |
| PRIOR, JOHN JOSEPH JR | I | MANAGING DIRECTOR, CEO | B | Control |
| PRIOR, JOHN JOSEPH JR | I | MANAGING DIRECTOR, CEO | B | Control |
| PRIOR, JOHN JOSEPH JR | I | MANAGING DIRECTOR, CEO OF THE NEEDHAM GROUP, INC. | B | Control |
| PRIOR, JOHN JOSEPH JR | I | MANAGING DIRECTOR, CEO OF THE NEEDHAM GROUP, INC. | B | Control |
| PRIOR, JOHN JOSEPH JR | I | MANAGING DIRECTOR, CEO OF THE NEEDHAM GROUP, INC. | B | Control |
| PRIOR, JOHN JOSEPH JR | I | MANAGING DIRECTOR, CEO OF THE NEEDHAM GROUP, INC. | B | Control |
| PRIOR, JOHN JOSEPH JR | I | MANAGING DIRECTOR, CEO OF THE NEEDHAM GROUP, INC. | B | Control |
| PRIOR, JOHN JOSEPH JR | I | MANAGING DIRECTOR, CEO OF THE NEEDHAM GROUP, INC. | B | Control |
| PRIOR, JOHN JOSEPH JR | I | MANAGING DIRECTOR, CEO OF THE NEEDHAM GROUP, INC. | B | Control |
| PRIOR, JOHN JOSEPH JR | I | MANAGING DIRECTOR, CEO OF THE NEEDHAM GROUP, INC. | B | Control |
| PRIOR, JOHN JOSEPH JR | I | MANAGING DIRECTOR, CEO OF THE NEEDHAM GROUP, INC. | B | Control |
| IACOVONE, JACK JAMES | I | MANAGING DIRECTOR, HEAD OF INVESTMENT BANKING | A | Control |
| IACOVONE, JACK JAMES | I | MANAGING DIRECTOR, HEAD OF INVESTMENT BANKING | A | Control |
| IACOVONE, JACK JAMES | I | MANAGING DIRECTOR, HEAD OF INVESTMENT BANKING | A | Control |
| IACOVONE, JACK JAMES | I | MANAGING DIRECTOR, HEAD OF INVESTMENT BANKING | A | Control |
| IACOVONE, JACK JAMES | I | MANAGING DIRECTOR, CEO & HEAD OF INVESTMENT BANKING | A | Control |
| IACOVONE, JACK JAMES | I | MANAGING DIRECTOR, CEO & HEAD OF INVESTMENT BANKING | A | Control |
| IACOVONE, JACK JAMES | I | MANAGING DIRECTOR, CEO & HEAD OF INVESTMENT BANKING | A | Control |
| IACOVONE, JACK JAMES | I | MANAGING DIRECTOR, CEO & HEAD OF INVESTMENT BANKING | A | Control |
| IACOVONE, JACK JAMES | I | MANAGING DIRECTOR, CEO & HEAD OF INVESTMENT BANKING | A | Control |
| MALIK, ANDREW JOSEPH | I | MANAGING DIRECTOR, CHAIRMAN | A | Control |
| MALIK, ANDREW JOSEPH | I | MANAGING DIRECTOR, CHAIRMAN | A | Control |
| MALIK, ANDREW JOSEPH | I | MANAGING DIRECTOR, CHAIRMAN | A | Control |
| MALIK, ANDREW JOSEPH | I | MANAGING DIRECTOR, CHAIRMAN | A | Control |
| MALIK, ANDREW JOSEPH | I | MANAGING DIRECTOR, CHAIRMAN | A | Control |
| MALIK, ANDREW JOSEPH | I | MANAGING DIRECTOR, CHAIRMAN | A | Control |
| MALIK, ANDREW JOSEPH | I | MANAGING DIRECTOR, CHAIRMAN | A | Control |
| MALIK, ANDREW JOSEPH | I | MANAGING DIRECTOR, CHAIRMAN | A | Control |
| MALIK, ANDREW JOSEPH | I | MANAGING DIRECTOR, CHAIRMAN | A | Control |
| PRIOR, JOHN JOSEPH JR | I | MANAGING DIRECTOR, CORPORATE FINANCE, DIRECTOR | A | Control |
| PRIOR, JOHN JOSEPH JR | I | MANAGING DIRECTOR, CORPORATE FINANCE, DIRECTOR | A | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| NEEDHAM, GEORGE AUSTIN | I | THE NEEDHAM GROUP, INC | F | Control |
| NEEDHAM, GEORGE AUSTIN | I | THE NEEDHAM GROUP, INC | F | Control |
| NEEDHAM, GEORGE AUSTIN | I | THE NEEDHAM GROUP, INC | F | Control |
| NEEDHAM, GEORGE AUSTIN | I | THE NEEDHAM GROUP, INC | F | Control |
| NEEDHAM, GEORGE AUSTIN | I | THE NEEDHAM GROUP, INC | F | Control |
| NEEDHAM, GEORGE AUSTIN | I | THE NEEDHAM GROUP, INC | F | Control |
| NEEDHAM, GEORGE AUSTIN | I | THE NEEDHAM GROUP, INC | F | Control |
| NEEDHAM, GEORGE AUSTIN | I | THE NEEDHAM GROUP, INC | F | Control |
| NEEDHAM, GEORGE AUSTIN | I | THE NEEDHAM GROUP, INC | F | Control |
| NEEDHAM, GEORGE AUSTIN | I | THE NEEDHAM GROUP, INC | F | Control |
| NEEDHAM HOLDINGS, LLC | DE | NEEDHAM & COMPANY, LLC | E | Control |
| THE NEEDHAM GROUP, INC. | DE | NEEDHAM HOLDINGS LLC | E | Control |
| THE NEEDHAM GROUP, INC. | DE | NEEDHAM HOLDINGS LLC | E | Control |
| THE NEEDHAM GROUP, INC. | DE | NEEDHAM HOLDINGS LLC | E | Control |
| THE NEEDHAM GROUP, INC. | DE | NEEDHAM HOLDINGS LLC | E | Control |
| THE NEEDHAM GROUP, INC. | DE | NEEDHAM HOLDINGS LLC | E | Control |
| THE NEEDHAM GROUP, INC. | DE | NEEDHAM HOLDINGS LLC | E | Control |
| THE NEEDHAM GROUP, INC. | DE | NEEDHAM HOLDINGS LLC | E | Control |
| THE NEEDHAM GROUP, INC. | DE | NEEDHAM HOLDINGS LLC | E | Control |
| THE NEEDHAM GROUP, INC. | DE | NEEDHAM HOLDINGS LLC | E | Control |
| THE NEEDHAM GROUP, INC. | DE | NEEDHAM HOLDINGS LLC | E | Control |
| THE NEEDHAM GROUP, INC. | DE | NEEDHAM HOLDINGS LLC | E | Control |
| THE NEEDHAM GROUP, INC. | DE | NEEDHAM HOLDINGS LLC | E | Control |
| THE NEEDHAM GROUP, INC. | DE | NEEDHAM HOLDINGS LLC | E | Control |
| THE NEEDHAM GROUP, INC. | DE | NEEDHAM HOLDINGS LLC | E | Control |
| THE NEEDHAM GROUP, INC. | DE | NEEDHAM HOLDINGS LLC | E | Control |
| THE NEEDHAM GROUP, INC. | DE | NEEDHAM HOLDINGS LLC | E | Control |
| THE NEEDHAM GROUP, INC. | DE | NEEDHAM HOLDINGS LLC | E | Control |
| THE NEEDHAM GROUP, INC. | DE | NEEDHAM HOLDINGS LLC | E | Control |
| THE NEEDHAM GROUP, INC. | DE | NEEDHAM HOLDINGS LLC | E | Control |
| THE NEEDHAM GROUP, INC. | DE | NEEDHAM HOLDINGS LLC | E | Control |
| THE NEEDHAM GROUP, INC. | DE | NEEDHAM HOLDINGS LLC | E | Control |
| THE NEEDHAM GROUP, INC. | DE | NEEDHAM HOLDINGS LLC | E | Control |
| THE NEEDHAM GROUP, INC. | DE | NEEDHAM HOLDINGS LLC | E | Control |
| THE NEEDHAM GROUP, INC. | DE | NEEDHAM HOLDINGS LLC | E | Control |
| THE NEEDHAM GROUP, INC. | DE | NEEDHAM HOLDINGS LLC | E | Control |
| THE NEEDHAM GROUP, INC. | DE | NEEDHAM HOLDINGS LLC | E | Control |
| THE NEEDHAM GROUP, INC. | DE | NEEDHAM HOLDINGS LLC | E | Control |
| THE NEEDHAM GROUP, INC. | DE | NEEDHAM HOLDINGS LLC | E | Control |
| THE NEEDHAM GROUP, INC. | DE | NEEDHAM HOLDINGS LLC | E | Control |
| THE NEEDHAM GROUP, INC. | DE | NEEDHAM HOLDINGS LLC | E | Control |
| THE NEEDHAM GROUP, INC. | DE | NEEDHAM HOLDINGS LLC | E | Control |
| THE NEEDHAM GROUP, INC. | DE | NEEDHAM HOLDINGS LLC | E | Control |
| THE NEEDHAM GROUP, INC. | DE | NEEDHAM HOLDINGS LLC | E | Control |
| THE NEEDHAM GROUP, INC. | DE | NEEDHAM HOLDINGS LLC | E | Control |
| THE NEEDHAM GROUP, INC. | DE | NEEDHAM HOLDINGS LLC | E | Control |
| THE NEEDHAM GROUP, INC. | DE | NEEDHAM HOLDINGS LLC | E | Control |
| THE NEEDHAM GROUP, INC. | DE | NEEDHAM HOLDINGS LLC | E | Control |
| NEEDHAM, GEORGE AUSTIN | I | THE NEEDHAM GROUP, INC | C | Control |
| NEEDHAM, GEORGE AUSTIN | I | THE NEEDHAM GROUP, INC | C | Control |
| NEEDHAM, GEORGE AUSTIN | I | THE NEEDHAM GROUP, INC | C | Control |
| NEEDHAM, GEORGE AUSTIN | I | THE NEEDHAM GROUP, INC | C | Control |
| NEEDHAM, GEORGE AUSTIN | I | THE NEEDHAM GROUP, INC | C | Control |
| NEEDHAM, GEORGE AUSTIN | I | THE NEEDHAM GROUP, INC | C | Control |
| NEEDHAM, GEORGE AUSTIN | I | THE NEEDHAM GROUP, INC | C | Control |
| NEEDHAM, GEORGE AUSTIN | I | THE NEEDHAM GROUP, INC | C | Control |
| NEEDHAM, GEORGE AUSTIN | I | THE NEEDHAM GROUP, INC | C | Control |
| NEEDHAM, GEORGE AUSTIN | I | THE NEEDHAM GROUP, INC | C | Control |
| NEEDHAM, GEORGE AUSTIN | I | THE NEEDHAM GROUP, INC | C | Control |
| NEEDHAM, GEORGE AUSTIN | I | THE NEEDHAM GROUP, INC | C | Control |
| NEEDHAM, GEORGE AUSTIN | I | THE NEEDHAM GROUP, INC | C | Control |
| NEEDHAM, GEORGE AUSTIN | I | THE NEEDHAM GROUP, INC | C | Control |
| NEEDHAM, GEORGE AUSTIN | I | THE NEEDHAM GROUP, INC | C | Control |
| NEEDHAM, GEORGE AUSTIN | I | THE NEEDHAM GROUP, INC | C | Control |
| NEEDHAM, GEORGE AUSTIN | I | THE NEEDHAM GROUP, INC | C | Control |
| NEEDHAM, GEORGE AUSTIN | I | THE NEEDHAM GROUP, INC | C | Control |
| NEEDHAM, GEORGE AUSTIN | I | THE NEEDHAM GROUP, INC | C | Control |
| NEEDHAM, GEORGE AUSTIN | I | THE NEEDHAM GROUP, INC | C | Control |
| NEEDHAM, GEORGE AUSTIN | I | THE NEEDHAM GROUP, INC | C | Control |
| NEEDHAM, GEORGE AUSTIN | I | THE NEEDHAM GROUP, INC | C | Control |
| NEEDHAM, GEORGE AUSTIN | I | THE NEEDHAM GROUP, INC | C | Control |
Registrations
Federal
IA
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