INVESTMENT CENTERS OF AMERICA, INC.
CRD #16443 SEC #801-56410 APPLETON, WI 866-275-4422
SEC Registered Broker-Dealer Disclosures
Total AUM
--
Discretionary
--
Employees
2
Clients
0
Accounts
--
This firm has regulatory disclosures on file.
View disclosures
Firm Details
- Organization Type
- Corporation
- State of Formation
- North Dakota
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Jun 13, 2018
- Branch Offices
- 0
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| AVENA, ALLAN REYES | I | VP, ADVISORY SERVICES | NA | Control |
| AVENA, ALLAN REYES | I | VP, ADVISORY SERVICES | NA | Control |
| AVENA, ALLAN REYES | I | VP, ADVISORY SERVICES | NA | Control |
| AVENA, ALLAN REYES | I | VP, ADVISORY SERVICES | NA | Control |
| AVENA, ALLAN REYES | I | VP, ADVISORY SERVICES | NA | Control |
| AVENA, ALLAN REYES | I | VP, ADVISORY SERVICES | NA | Control |
| AVENA, ALLAN REYES | I | VP, ADVISORY SERVICES | NA | Control |
| AVENA, ALLAN REYES | I | VP, ADVISORY SERVICES | NA | Control |
| AVENA, ALLAN REYES | I | VP, ADVISORY SERVICES | NA | Control |
| AVENA, ALLAN REYES | I | VP, ADVISORY SERVICES | NA | Control |
| AVENA, ALLAN REYES | I | VP, ADVISORY SERVICES | NA | Control |
| AVENA, ALLAN REYES | I | VP, ADVISORY SERVICES | NA | Control |
| AVENA, ALLAN REYES | I | VP, ADVISORY SERVICES | NA | Control |
| AVENA, ALLAN REYES | I | VP, ADVISORY SERVICES | NA | Control |
| AVENA, ALLAN REYES | I | VP, ADVISORY SERVICES | NA | Control |
| AVENA, ALLAN REYES | I | VP, ADVISORY SERVICES | NA | Control |
| AVENA, ALLAN REYES | I | VP, ADVISORY SERVICES | NA | Control |
| AVENA, ALLAN REYES | I | VP, ADVISORY SERVICES | NA | Control |
| AVENA, ALLAN REYES | I | VP, ADVISORY SERVICES | NA | Control |
| AVENA, ALLAN REYES | I | VP, ADVISORY SERVICES | NA | Control |
| AVENA, ALLAN REYES | I | VP, ADVISORY SERVICES | NA | Control |
| AVENA, ALLAN REYES | I | VP, ADVISORY SERVICES | NA | Control |
| AVENA, ALLAN REYES | I | VP, ADVISORY SERVICES | NA | Control |
| AVENA, ALLAN REYES | I | VP, STRATEGIC DEVELOPMENT | NA | Control |
| AVENA, ALLAN REYES | I | VP, ADVISORY SERVICES | NA | Control |
| AVENA, ALLAN REYES | I | VP, STRATEGIC DEVELOPMENT | NA | Control |
| AVENA, ALLAN REYES | I | VP, ADVISORY SERVICES | NA | Control |
| AVENA, ALLAN REYES | I | VP, STRATEGIC DEVELOPMENT | NA | Control |
| AVENA, ALLAN REYES | I | VP, STRATEGIC DEVELOPMENT | NA | Control |
| BRUNNER, JENNIFER ANN | I | MUNI PRINICIPAL/INVESTMENT ADVISORY | NA | Control |
| BRUNNER, JENNIFER ANN | I | MUNI PRINICIPAL/INVESTMENT ADVISORY | NA | Control |
| BRUNNER, JENNIFER ANN | I | MUNI PRINICIPAL/INVESTMENT ADVISORY | NA | Control |
| BRUNNER, JENNIFER ANN | I | MUNI PRINICIPAL/INVESTMENT ADVISORY | NA | Control |
| BRUNNER, JENNIFER ANN | I | MUNI PRINICIPAL/INVESTMENT ADVISORY | NA | Control |
| CHIULLI, ALLAN THOMAS | I | SVP/CHIEF MARKETING OFFICER | NA | Control |
| CHIULLI, ALLAN THOMAS | I | SVP/CHIEF MARKETING OFFICER | NA | Control |
| CHIULLI, ALLAN THOMAS | I | SVP/CHIEF MARKETING OFFICER | NA | Control |
| CICOTTE, GREGORY PHILIP | I | NPH PRESIDENT & CEO/DIRECTOR | NA | Control |
| CICOTTE, GREGORY PHILIP | I | NPH PRESIDENT & CEO/DIRECTOR | NA | Control |
| CICOTTE, GREGORY PHILIP | I | NPH PRESIDENT & CEO/DIRECTOR | NA | Control |
| CICOTTE, GREGORY PHILIP | I | NPH PRESIDENT & CEO/DIRECTOR | NA | Control |
| CICOTTE, GREGORY PHILIP | I | NPH PRESIDENT & CEO/DIRECTOR | NA | Control |
| CICOTTE, GREGORY PHILIP | I | NPH PRESIDENT & CEO/DIRECTOR | NA | Control |
| CICOTTE, GREGORY PHILIP | I | NPH PRESIDENT & CEO/DIRECTOR | NA | Control |
| CICOTTE, GREGORY PHILIP | I | NPH PRESIDENT & CEO/DIRECTOR | NA | Control |
| CICOTTE, GREGORY PHILIP | I | NPH PRESIDENT & CEO/DIRECTOR | NA | Control |
| CICOTTE, GREGORY PHILIP | I | NPH PRESIDENT & CEO/DIRECTOR | NA | Control |
| CICOTTE, GREGORY PHILIP | I | NPH PRESIDENT & CEO/DIRECTOR | NA | Control |
| CICOTTE, GREGORY PHILIP | I | NPH PRESIDENT & CEO/DIRECTOR | NA | Control |
| CICOTTE, GREGORY PHILIP | I | NPH PRESIDENT & CEO/DIRECTOR | NA | Control |
| CICOTTE, GREGORY PHILIP | I | NPH PRESIDENT & CEO/DIRECTOR | NA | Control |
| CICOTTE, GREGORY PHILIP | I | NPH PRESIDENT & CEO/DIRECTOR | NA | Control |
| COLEMAN, CAREN LESLIE | I | VP, NPH PRODUCT & SPONSOR RELATIONS | NA | Control |
| COLEMAN, CAREN LESLIE | I | VP, NPH PRODUCT & SPONSOR RELATIONS | NA | Control |
| COLEMAN, CAREN LESLIE | I | VP, NPH PRODUCT & SPONSOR RELATIONS | NA | Control |
| COLEMAN, CAREN LESLIE | I | VP, NPH PRODUCT & SPONSOR RELATIONS | NA | Control |
| COLEMAN, CAREN LESLIE | I | VP, NPH PRODUCT & SPONSOR RELATIONS | NA | Control |
| COLEMAN, CAREN LESLIE | I | VP, NPH PRODUCT & SPONSOR RELATIONS | NA | Control |
| COLEMAN, CAREN LESLIE | I | VP, NPH PRODUCT & SPONSOR RELATIONS | NA | Control |
| COLEMAN, CAREN LESLIE | I | VP, NPH PRODUCT & SPONSOR RELATIONS | NA | Control |
| COLEMAN, CAREN LESLIE | I | VP, NPH PRODUCT & SPONSOR RELATIONS | NA | Control |
| COLEMAN, CAREN LESLIE | I | VP, NPH PRODUCT & SPONSOR RELATIONS | NA | Control |
| COLEMAN, CAREN LESLIE | I | VP, NPH PRODUCT & SPONSOR RELATIONS | NA | Control |
| COLEMAN, CAREN LESLIE | I | VP, NPH PRODUCT & SPONSOR RELATIONS | NA | Control |
| COLEMAN, CAREN LESLIE | I | VP, NPH PRODUCT & SPONSOR RELATIONS | NA | Control |
| COLEMAN, CAREN LESLIE | I | VP, NPH PRODUCT & SPONSOR RELATIONS | NA | Control |
| COLEMAN, CAREN LESLIE | I | VP, NPH PRODUCT & SPONSOR RELATIONS | NA | Control |
| COLEMAN, CAREN LESLIE | I | VP, NPH PRODUCT & SPONSOR RELATIONS | NA | Control |
| COLEMAN, CAREN LESLIE | I | VP, NPH PRODUCT & SPONSOR RELATIONS | NA | Control |
| COLEMAN, CAREN LESLIE | I | VP, NPH PRODUCT & SPONSOR RELATIONS | NA | Control |
| COLEMAN, CAREN LESLIE | I | VICE PRESIDENT | NA | Control |
| COLEMAN, CAREN LESLIE | I | VP, NPH PRODUCT & SPONSOR RELATIONS | NA | Control |
| COLEMAN, CAREN LESLIE | I | VP, NPH PRODUCT & SPONSOR RELATIONS | NA | Control |
| COLEMAN, CAREN LESLIE | I | VP, NPH PRODUCT & SPONSOR RELATIONS | NA | Control |
| COLEMAN, CAREN LESLIE | I | VP, NPH PRODUCT & SPONSOR RELATIONS | NA | Control |
| COLEMAN, CAREN LESLIE | I | VP, NPH PRODUCT AND SPONSOR RELATIONS | NA | Control |
| COLEMAN, CAREN LESLIE | I | VICE PRESIDENT | NA | Control |
| COLEMAN, CAREN LESLIE | I | VP, NPH PRODUCT AND SPONSOR RELATIONS | NA | Control |
| COLEMAN, CAREN LESLIE | I | VICE PRESIDENT | NA | Control |
| COLEMAN, CAREN LESLIE | I | VP, NPH PRODUCT AND SPONSOR RELATIONS | NA | Control |
| COLEMAN, CAREN LESLIE | I | VP, NPH PRODUCT AND SPONSOR RELATIONS | NA | Control |
| COLEMAN, CAREN LESLIE | I | VP, NPH PRODUCT AND SPONSOR RELATIONS | NA | Control |
| COLEMAN, CAREN LESLIE | I | VP, NPH PRODUCT AND SPONSOR RELATIONS | NA | Control |
| COLLETT, DAVID WENDALL | I | FINOP,CFO,TREASURER/SVP | NA | Control |
| COLLETT, DAVID WENDALL | I | FINOP,CFO,TREASURER/SVP | NA | Control |
| COLLETT, DAVID WENDALL | I | FINOP,CFO,TREASURER/SVP | NA | Control |
| COLLINS, MAURA KATHRYN | I | CFO & FINOP | NA | Control |
| COLLINS, MAURA KATHRYN | I | CFO & FINOP | NA | Control |
| COLLINS, MAURA KATHRYN | I | CFO/FINOP | NA | Control |
| COLLINS, MAURA KATHRYN | I | CFO/FINOP | NA | Control |
| COLLINS, MAURA KATHRYN | I | CFO & FINOP | NA | Control |
| COLLINS, MAURA KATHRYN | I | CFO & FINOP | NA | Control |
| COLLINS, MAURA KATHRYN | I | CFO & FINOP | NA | Control |
| COLLINS, MAURA KATHRYN | I | CFO/FINOP | NA | Control |
| COLLINS, MAURA KATHRYN | I | CFO/FINOP | NA | Control |
| COLLINS, MAURA KATHRYN | I | CFO & FINOP | NA | Control |
| COLLINS, MAURA KATHRYN | I | CFO/FINOP | NA | Control |
| COLLINS, MAURA KATHRYN | I | CFO/FINOP | NA | Control |
| COLLINS, MAURA KATHRYN | I | CFO/FINOP | NA | Control |
| COLLINS, MAURA KATHRYN | I | CFO & FINOP | NA | Control |
| COLLINS, MAURA KATHRYN | I | CFO & FINOP | NA | Control |
| COLLINS, MAURA KATHRYN | I | CFO & FINOP | NA | Control |
| COLLINS, MAURA KATHRYN | I | CFO & FINOP | NA | Control |
| COLLINS, MAURA KATHRYN | I | CFO & FINOP | NA | Control |
| COLLINS, MAURA KATHRYN | I | CFO & FINOP | NA | Control |
| COLLINS, MAURA KATHRYN | I | CFO & FINOP | NA | Control |
| COLLINS, MAURA KATHRYN | I | CFO & FINOP | NA | Control |
| COLLINS, MAURA KATHRYN | I | CFO & FINOP | NA | Control |
| COLLINS, MAURA KATHRYN | I | CFO/FINOP | NA | Control |
| COLLINS, MAURA KATHRYN | I | CFO | NA | Control |
| COLLINS, MAURA KATHRYN | I | CFO/FINOP | NA | Control |
| COLLINS, MAURA KATHRYN | I | CFO/FINOP | NA | Control |
| COLLINS, MAURA KATHRYN | I | CFO | NA | Control |
| COLLINS, MAURA KATHRYN | I | CFO | NA | Control |
| COLLINS, MAURA KATHRYN | I | SVP/CFO NPH | NA | Control |
| COLLINS, MAURA KATHRYN | I | SVP/CFO NPH | NA | Control |
| COLLINS, MAURA KATHRYN | I | CFO | NA | Control |
| COLLINS, MAURA KATHRYN | I | CFO | NA | Control |
| COLLINS, MAURA KATHRYN | I | CFO | NA | Control |
| COLLINS, MAURA KATHRYN | I | SVP/CFO & EVP/CFO NATIONAL PLANNING HOLDINGS, INC. | NA | Control |
| COLLINS, MAURA KATHRYN | I | SVP/CFO & EVP/CFO NATIONAL PLANNING HOLDINGS, INC. | NA | Control |
| COLLINS, MAURA KATHRYN | I | SVP/CFO & EVP/CFO NATIONAL PLANNING HOLDINGS, INC. | NA | Control |
| COLLINS, MAURA KATHRYN | I | SVP/CFO & EVP/CFO NATIONAL PLANNING HOLDINGS, INC. | NA | Control |
| COLLINS, MAURA KATHRYN | I | SVP/CFO & EVP/CFO NATIONAL PLANNING HOLDINGS, INC. | NA | Control |
| COLLINS, MAURA KATHRYN | I | SVP/CFO & EVP/CFO NATIONAL PLANNING HOLDINGS, INC. | NA | Control |
| COLLINS, MAURA KATHRYN | I | SVP/CFO & EVP/CFO NATIONAL PLANNING HOLDINGS, INC. | NA | Control |
| COLLINS, MAURA KATHRYN | I | SVP/CFO & EVP/CFO NATIONAL PLANNING HOLDINGS, INC. | NA | Control |
| COLLINS, MAURA KATHRYN | I | SVP/CFO & EVP/CFO NATIONAL PLANNING HOLDINGS, INC. | NA | Control |
| COLLINS, MAURA KATHRYN | I | SVP/CFO & EVP/CFO NATIONAL PLANNING HOLDINGS, INC. | NA | Control |
| COLLINS, MAURA KATHRYN | I | SENIOR VICE PRESIDENT AND CHIEF FINANCIAL OFFICER | NA | Control |
| COLLINS, MAURA KATHRYN | I | SVP/CFO & EVP/CFO NATIONAL PLANNING HOLDINGS, INC. | NA | Control |
| COLLINS, MAURA KATHRYN | I | SVP/CFO & EVP/CFO NATIONAL PLANNING HOLDINGS, INC. | NA | Control |
| COLLINS, MAURA KATHRYN | I | SVP/CFO & EVP/CFO NATIONAL PLANNING HOLDINGS, INC. | NA | Control |
| COLLINS, MAURA KATHRYN | I | SVP/CFO & EVP/CFO NATIONAL PLANNING HOLDINGS, INC. | NA | Control |
| COLLINS, MAURA KATHRYN | I | SVP/CFO NATIONAL PLANNING HOLDINGS | NA | Control |
| COLLINS, MAURA KATHRYN | I | SENIOR VICE PRESIDENT AND CHIEF FINANCIAL OFFICER | NA | Control |
| COLLINS, MAURA KATHRYN | I | SVP/CFO NATIONAL PLANNING HOLDINGS | NA | Control |
| COLLINS, MAURA KATHRYN | I | SENIOR VICE PRESIDENT AND CHIEF FINANCIAL OFFICER | NA | Control |
| COLLINS, MAURA KATHRYN | I | SVP/CFO NATIONAL PLANNING HOLDINGS | NA | Control |
| COLLINS, MAURA KATHRYN | I | SVP/CFO NATIONAL PLANNING HOLDINGS | NA | Control |
| COLLINS, MAURA KATHRYN | I | SVP/CFO NATIONAL PLANNING HOLDINGS | NA | Control |
| COLLINS, MAURA KATHRYN | I | SVP/CFO NATIONAL PLANNING HOLDINGS | NA | Control |
| COSTELLO, MICHAEL ALAN | I | DIRECTOR | NA | Control |
| COSTELLO, MICHAEL ALAN | I | DIRECTOR | NA | Control |
| COSTELLO, MICHAEL ALAN | I | DIRECTOR | NA | Control |
| COSTELLO, MICHAEL ALAN | I | DIRECTOR | NA | Control |
| COSTELLO, MICHAEL ALAN | I | DIRECTOR | NA | Control |
| COSTELLO, MICHAEL ALAN | I | DIRECTOR | NA | Control |
| COSTELLO, MICHAEL ALAN | I | DIRECTOR | NA | Control |
| COSTELLO, MICHAEL ALAN | I | DIRECTOR | NA | Control |
| COSTELLO, MICHAEL ALAN | I | DIRECTOR | NA | Control |
| COSTELLO, MICHAEL ALAN | I | DIRECTOR | NA | Control |
| COSTELLO, MICHAEL ALAN | I | DIRECTOR | NA | Control |
| COSTELLO, MICHAEL ALAN | I | DIRECTOR | NA | Control |
| COSTELLO, MICHAEL ALAN | I | DIRECTOR | NA | Control |
| COSTELLO, MICHAEL ALAN | I | DIRECTOR | NA | Control |
| COSTELLO, MICHAEL ALAN | I | DIRECTOR | NA | Control |
| COSTELLO, MICHAEL ALAN | I | DIRECTOR | NA | Control |
| COSTELLO, MICHAEL ALAN | I | DIRECTOR | NA | Control |
| COSTELLO, MICHAEL ALAN | I | DIRECTOR | NA | Control |
| COSTELLO, MICHAEL ALAN | I | DIRECTOR | NA | Control |
| DAFT, JOSEPH STEPHEN | I | MUNI PRINCIPAL | NA | |
| DAFT, JOSEPH STEPHEN | I | MUNI PRINCIPAL | NA | |
| DAFT, JOSEPH STEPHEN | I | MUNI PRINCIPAL | NA | |
| DAFT, JOSEPH STEPHEN | I | MUNI PRINCIPAL | NA | |
| DAFT, JOSEPH STEPHEN | I | MUNI PRINCIPAL | NA | |
| DAFT, JOSEPH STEPHEN | I | MUNI PRINCIPAL | NA | |
| DAFT, JOSEPH STEPHEN | I | MUNI PRINCIPAL | NA | |
| DAFT, JOSEPH STEPHEN | I | MUNI PRINCIPAL | NA | |
| DAFT, JOSEPH STEPHEN | I | MUNI PRINCIPAL | NA | |
| DAFT, JOSEPH STEPHEN | I | MUNI PRINCIPAL | NA | |
| DEARMAN, ROBERT HAROLD JR. | I | NPH SVP ADVISORY PRACTICE | NA | Control |
| DEARMAN, ROBERT HAROLD JR. | I | NPH SVP ADVISORY PRACTICE | NA | Control |
| DEARMAN, ROBERT HAROLD JR. | I | NPH SVP ADVISORY PRACTICE | NA | Control |
| DELLARCO, LEWIS JAMES JR | I | CHIEF COMPLIANCE OFFICER CURIAN CLEARING(A DIVISION OF INVESTMENT CENTERS OF AMERICA) | NA | Control |
| DELLARCO, LEWIS JAMES JR | I | CHIEF COMPLIANCE OFFICER CURIAN CLEARING(A DIVISION OF INVESTMENT CENTERS OF AMERICA) | NA | Control |
| DELLARCO, LEWIS JAMES JR | I | CHIEF COMPLIANCE OFFICER CURIAN CLEARING(A DIVISION OF INVESTMENT CENTERS OF AMERICA) | NA | Control |
| DELLARCO, LEWIS JAMES JR | I | CHIEF COMPLIANCE OFFICER CURIAN CLEARING(A DIVISION OF INVESTMENT CENTERS OF AMERICA) | NA | Control |
| DELLARCO, LEWIS JAMES JR | I | CHIEF COMPLIANCE OFFICER CURIAN CLEARING(A DIVISION OF INVESTMENT CENTERS OF AMERICA) | NA | Control |
| DELLARCO, LEWIS JAMES JR | I | CHIEF COMPLIANCE OFFICER CURIAN CLEARING(A DIVISION OF INVESTMENT CENTERS OF AMERICA) | NA | Control |
| DELLARCO, LEWIS JAMES JR | I | CHIEF COMPLIANCE OFFICER CURIAN CLEARING(A DIVISION OF INVESTMENT CENTERS OF AMERICA) | NA | Control |
| DELLARCO, LEWIS JAMES JR | I | CHIEF COMPLIANCE OFFICER CURIAN CLEARING(A DIVISION OF INVESTMENT CENTERS OF AMERICA) | NA | Control |
| DELLARCO, LEWIS JAMES JR | I | CHIEF COMPLIANCE OFFICER CURIAN CLEARING(A DIVISION OF INVESTMENT CENTERS OF AMERICA) | NA | Control |
| DELLARCO, LEWIS JAMES JR | I | CHIEF COMPLIANCE OFFICER CURIAN CLEARING(A DIVISION OF INVESTMENT CENTERS OF AMERICA) | NA | Control |
| DELLARCO, LEWIS JAMES JR | I | CHIEF COMPLIANCE OFFICER CURIAN CLEARING(A DIVISION OF INVESTMENT CENTERS OF AMERICA) | NA | Control |
| DELLARCO, LEWIS JAMES JR | I | CHIEF COMPLIANCE OFFICER CURIAN CLEARING(A DIVISION OF INVESTMENT CENTERS OF AMERICA) | NA | Control |
| DELLARCO, LEWIS JAMES JR | I | CHIEF COMPLIANCE OFFICER CURIAN CLEARING(A DIVISION OF INVESTMENT CENTERS OF AMERICA) | NA | Control |
| DELLARCO, LEWIS JAMES JR | I | CHIEF COMPLIANCE OFFICER CURIAN CLEARING(A DIVISION OF INVESTMENT CENTERS OF AMERICA) | NA | Control |
| DELLARCO, LEWIS JAMES JR | I | CHIEF COMPLIANCE OFFICER CURIAN CLEARING(A DIVISION OF INVESTMENT CENTERS OF AMERICA) | NA | Control |
| DESMIDT, JON PATRICK | I | MUNI PRINCIPAL | NA | |
| DESMIDT, JON PATRICK | I | MUNI PRINCIPAL | NA | |
| DESMIDT, JON PATRICK | I | MUNI PRINCIPAL/AVP INVESTMENT ADVISORY | NA | Control |
| DESMIDT, JON PATRICK | I | MUNI PRINCIPAL/AVP INVESTMENT ADVISORY | NA | Control |
| DESMIDT, JON PATRICK | I | MUNI PRINCIPAL | NA | |
| DESMIDT, JON PATRICK | I | MUNI PRINCIPAL/AVP INVESTMENT ADVISORY | NA | Control |
| DESMIDT, JON PATRICK | I | MUNI PRINCIPAL/AVP INVESTMENT ADVISORY | NA | Control |
| DESMIDT, JON PATRICK | I | MUNI PRINCIPAL | NA | |
| DESMIDT, JON PATRICK | I | MUNI PRINCIPAL/DIRECTOR INVESTMENT REVIEW | NA | Control |
| DESMIDT, JON PATRICK | I | MUNI PRINCIPAL/DIRECTOR INVESTMENT REVIEW | NA | Control |
| DESMIDT, JON PATRICK | I | MUNI PRINCIPAL/AVP INVESTMENT ADVISORY | NA | Control |
| DESMIDT, JON PATRICK | I | MUNI PRINCIPAL | NA | |
| DESMIDT, JON PATRICK | I | MUNI PRINCIPAL | NA | |
| DESMIDT, JON PATRICK | I | MUNI PRINCIPAL | NA | |
| DESMIDT, JON PATRICK | I | MUNI PRINCIPAL/AVP INVESTMENT ADVISORY | NA | Control |
| DESMIDT, JON PATRICK | I | MUNI PRINCIPAL/AVP INVESTMENT ADVISORY | NA | Control |
| DESMIDT, JON PATRICK | I | MUNI PRINCIPAL/AVP INVESTMENT ADVISORY | NA | Control |
| DESMIDT, JON PATRICK | I | MUNI PRINCIPAL/AVP INVESTMENT ADVISORY | NA | Control |
| DESMIDT, JON PATRICK | I | MUNI PRINCIPAL/AVP INVESTMENT ADVISORY | NA | Control |
| DESMIDT, JON PATRICK | I | MUNI PRINCIPAL/AVP INVESTMENT ADVISORY | NA | Control |
| DESMIDT, JON PATRICK | I | MUNI PRINCIPAL/AVP INVESTMENT ADVISORY | NA | Control |
| DESMIDT, JON PATRICK | I | MUNI PRINCIPAL/AVP INVESTMENT ADVISORY | NA | Control |
| DESMIDT, JON PATRICK | I | MUNI PRINCIPAL/AVP INVESTMENT ADVISORY | NA | Control |
| DESMIDT, JON PATRICK | I | MUNI PRINCIPAL/AVP INVESTMENT ADVISORY | NA | Control |
| DESMIDT, JON PATRICK | I | MUNI PRINCIPAL/AVP INVESTMENT ADVISORY | NA | Control |
| DESMIDT, JON PATRICK | I | MUNI PRINCIPAL/AVP INVESTMENT ADVISORY | NA | Control |
| DESMIDT, JON PATRICK | I | MUNI PRINCIPAL/AVP INVESTMENT ADVISORY | NA | Control |
| DESMIDT, JON PATRICK | I | MUNI PRINCIPAL/AVP INVESTMENT ADVISORY | NA | Control |
| DESMIDT, JON PATRICK | I | MUNI PRINCIPAL/AVP INVESTMENT ADVISORY | NA | Control |
| DESMIDT, JON PATRICK | I | MUNI PRINCIPAL/AVP INVESTMENT ADVISORY | NA | Control |
| DESMIDT, JON PATRICK | I | MUNI PRINCIPAL/AVP INVESTMENT ADVISORY | NA | Control |
| DESMIDT, JON PATRICK | I | MUNI PRINCIPAL/AVP INVESTMENT ADVISORY | NA | Control |
| DESMIDT, JON PATRICK | I | MUNI PRINCIPAL/AVP INVESTMENT ADVISORY | NA | Control |
| DESMIDT, JON PATRICK | I | MUNI PRINCIPAL/AVP INVESTMENT ADVISORY | NA | Control |
| DESMIDT, JON PATRICK | I | MUNI PRINCIPAL/AVP INVESTMENT ADVISORY | NA | Control |
| DESMIDT, JON PATRICK | I | MUNI PRINCIPAL/AVP INVESTMENT ADVISORY | NA | Control |
| DESMIDT, JON PATRICK | I | MUNI PRINCIPAL/AVP INVESTMENT ADVISORY | NA | Control |
| DESMIDT, JON PATRICK | I | MUNI PRINCIPAL/AVP INVESTMENT ADVISORY | NA | Control |
| DESMIDT, JON PATRICK | I | MUNI PRINCIPAL/AVP INVESTMENT ADVISORY | NA | Control |
| DESMIDT, JON PATRICK | I | MUNI PRINCIPAL/AVP INVESTMENT ADVISORY | NA | Control |
| DESMIDT, JON PATRICK | I | MUNI PRINCIPAL/AVP INVESTMENT ADVISORY | NA | Control |
| DESMIDT, JON PATRICK | I | MUNI PRINCIPAL/AVP INVESTMENT ADVISORY | NA | Control |
| DOWDEN, STEVEN HOWARD | I | EXECUTIVE VP-NATIONAL PLANNING HOLDINGS, INC. | NA | Control |
| DOWDEN, STEVEN HOWARD | I | EXECUTIVE VP-NATIONAL PLANNING HOLDINGS, INC. | NA | Control |
| DOWDEN, STEVEN HOWARD | I | EXECUTIVE VP-NATIONAL PLANNING HOLDINGS, INC. | NA | Control |
| DOWDEN, STEVEN HOWARD | I | EXECUTIVE VP-NATIONAL PLANNING HOLDINGS, INC. | NA | Control |
| DOWDEN, STEVEN HOWARD | I | EXECUTIVE VP-NATIONAL PLANNING HOLDINGS, INC. | NA | Control |
| DOWDEN, STEVEN HOWARD | I | EXECUTIVE VP-NATIONAL PLANNING HOLDINGS, INC. | NA | Control |
| DOWDEN, STEVEN HOWARD | I | EXECUTIVE VP-NATIONAL PLANNING HOLDINGS, INC. | NA | Control |
| DOWDEN, STEVEN HOWARD | I | EXECUTIVE VP-NATIONAL PLANNING HOLDINGS, INC. | NA | Control |
| DOWDEN, STEVEN HOWARD | I | EXECUTIVE VP-NATIONAL PLANNING HOLDINGS, INC. | NA | Control |
| DOWDEN, STEVEN HOWARD | I | EXECUTIVE VP-NATIONAL PLANNING HOLDINGS, INC. | NA | Control |
| DOWDEN, STEVEN HOWARD | I | EXECUTIVE VP-NATIONAL PLANNING HOLDINGS, INC. | NA | Control |
| DOWDEN, STEVEN HOWARD | I | EXECUTIVE VP-NATIONAL PLANNING HOLDINGS, INC. | NA | Control |
| DOWDEN, STEVEN HOWARD | I | EXECUTIVE VP-NATIONAL PLANNING HOLDINGS, INC. | NA | Control |
| DOWDEN, STEVEN HOWARD | I | EXECUTIVE VP-NATIONAL PLANNING HOLDINGS, INC. | NA | Control |
| DOWDEN, STEVEN HOWARD | I | EXECUTIVE VP-NATIONAL PLANNING HOLDINGS, INC. | NA | Control |
| DOWDEN, STEVEN HOWARD | I | NPH CHIEF OPERATING OFFICER | NA | Control |
| DOWDEN, STEVEN HOWARD | I | EXECUTIVE VP-NATIONAL PLANNING HOLDINGS, INC. | NA | Control |
| DOWDEN, STEVEN HOWARD | I | NPH CHIEF OPERATING OFFICER | NA | Control |
| DOWDEN, STEVEN HOWARD | I | EXECUTIVE VP-NATIONAL PLANNING HOLDINGS, INC. | NA | Control |
| DOWDEN, STEVEN HOWARD | I | NPH CHIEF OPERATING OFFICER | NA | Control |
| DOWDEN, STEVEN HOWARD | I | NPH CHIEF OPERATING OFFICER | NA | Control |
| DOWDEN, STEVEN HOWARD | I | PRESIDENT AND CEO OF NPH | NA | Control |
| DOWDEN, STEVEN HOWARD | I | PRESIDENT AND CEO OF NPH | NA | Control |
| DREFFEIN, MARY SHAWN | I | DIRECTOR | NA | Control |
| DREFFEIN, MARY SHAWN | I | DIRECTOR | NA | Control |
| DREFFEIN, MARY SHAWN | I | DIRECTOR | NA | Control |
| DREFFEIN, MARY SHAWN | I | DIRECTOR | NA | Control |
| DREFFEIN, MARY SHAWN | I | DIRECTOR | NA | Control |
| DREFFEIN, MARY SHAWN | I | DIRECTOR | NA | Control |
| DREFFEIN, MARY SHAWN | I | DIRECTOR | NA | Control |
| DREFFEIN, MARY SHAWN | I | DIRECTOR | NA | Control |
| DREFFEIN, MARY SHAWN | I | DIRECTOR | NA | Control |
| DREFFEIN, MARY SHAWN | I | DIRECTOR | NA | Control |
| DREFFEIN, MARY SHAWN | I | DIRECTOR | NA | Control |
| DREFFEIN, MARY SHAWN | I | DIRECTOR | NA | Control |
| DREFFEIN, MARY SHAWN | I | DIRECTOR | NA | Control |
| DREFFEIN, MARY SHAWN | I | DIRECTOR | NA | Control |
| DREFFEIN, MARY SHAWN | I | DIRECTOR | NA | Control |
| GUNDERSON, GERRY A | I | SENIOR VICE PRESIDENT | NA | Control |
| GUNDERSON, GERRY A | I | VICE PRESIDENT | NA | Control |
| GUNDERSON, GERRY A | I | VICE PRESIDENT | NA | Control |
| GUNDERSON, GERRY A | I | VICE PRESIDENT | NA | Control |
| GUNDERSON, GERRY A | I | NPH SVP GENERAL COUNSEL | NA | Control |
| GUNDERSON, GERRY A | I | NPH SVP GENERAL COUNSEL | NA | Control |
| GUNDERSON, GERRY A | I | INTERIM CCO | NA | |
| GUNDERSON, GERRY A | I | VICE PRESIDENT/CCO | NA | Control |
| GUNDERSON, GERRY A | I | VICE PRESIDENT/CCO | NA | Control |
| GUNDERSON, GERRY A | I | NPH SVP GENERAL COUNSEL | NA | Control |
| GUNDERSON, GERRY A | I | NPH SVP GENERAL COUNSEL | NA | Control |
| GUNDERSON, GERRY A | I | SENIOR VICE PRESIDENT | NA | Control |
| GUNDERSON, GERRY A | I | NPH SVP GENERAL COUNSEL | NA | Control |
| GUNDERSON, GERRY A | I | NPH SVP GENERAL COUNSEL | NA | Control |
| GUNDERSON, GERRY A | I | NPH SVP GENERAL COUNSEL | NA | Control |
| GUNDERSON, GERRY A | I | INTERIM CCO | NA | |
| GUNDERSON, GERRY A | I | VICE PRESIDENT/CCO | NA | Control |
| GUNDERSON, GERRY A | I | VICE PRESIDENT/CCO | NA | Control |
| GUNDERSON, GERRY A | I | VICE PRESIDENT/CCO | NA | Control |
| GUNDERSON, GERRY A | I | VICE PRESIDENT/CCO | NA | Control |
| GUNDERSON, GERRY A | I | NPH SVP GENERAL COUNSEL | NA | Control |
| GUNDERSON, GERRY A | I | NPH SVP GENERAL COUNSEL/DIRECTOR | NA | Control |
| GUNDERSON, GERRY A | I | NPH SVP GENERAL COUNSEL | NA | Control |
| GUNDERSON, GERRY A | I | NPH SVP GENERAL COUNSEL | NA | Control |
| GUNDERSON, GERRY A | I | NPH SVP GENERAL COUNSEL/DIRECTOR | NA | Control |
| GUNDERSON, GERRY A | I | NPH SVP GENERAL COUNSEL/DIRECTOR | NA | Control |
| GUNDERSON, GERRY A | I | SVP GENERAL COUNSEL | NA | Control |
| GUNDERSON, GERRY A | I | SVP GENERAL COUNSEL | NA | Control |
| GUNDERSON, GERRY A | I | NPH SVP GENERAL COUNSEL/DIRECTOR | NA | Control |
| GUNDERSON, GERRY A | I | NPH SVP GENERAL COUNSEL/DIRECTOR | NA | Control |
| GUNDERSON, GERRY A | I | NPH SVP GENERAL COUNSEL/DIRECTOR | NA | Control |
| GUNDERSON, GERRY A | I | SVP GENERAL COUNSEL | NA | Control |
| GUNDERSON, GERRY A | I | SVP GENERAL COUNSEL | NA | Control |
| GUNDERSON, GERRY A | I | SVP GENERAL COUNSEL | NA | Control |
| GUNDERSON, GERRY A | I | SVP GENERAL COUNSEL | NA | Control |
| GUNDERSON, GERRY A | I | SVP GENERAL COUNSEL | NA | Control |
| GUNDERSON, GERRY A | I | SVP GENERAL COUNSEL | NA | Control |
| GUNDERSON, GERRY A | I | SVP GENERAL COUNSEL | NA | Control |
| GUNDERSON, GERRY A | I | SVP GENERAL COUNSEL | NA | Control |
| GUNDERSON, GERRY A | I | SVP GENERAL COUNSEL | NA | Control |
| GUNDERSON, GERRY A | I | SVP GENERAL COUNSEL | NA | Control |
| GUNDERSON, GERRY A | I | SENIOR VICE PRESIDENT/GENERAL COUNSEL AND ASSISTANT SECRETARY | NA | Control |
| GUNDERSON, GERRY A | I | SVP GENERAL COUNSEL | NA | Control |
| GUNDERSON, GERRY A | I | SVP GENERAL COUNSEL | NA | Control |
| GUNDERSON, GERRY A | I | SVP GENERAL COUNSEL | NA | Control |
| GUNDERSON, GERRY A | I | SVP GENERAL COUNSEL | NA | Control |
| GUNDERSON, GERRY A | I | NPH GENERAL COUNSEL & SVP REGULATORY AFFAIRS | NA | Control |
| GUNDERSON, GERRY A | I | SENIOR VICE PRESIDENT/GENERAL COUNSEL AND ASSISTANT SECRETARY | NA | Control |
| GUNDERSON, GERRY A | I | NPH GENERAL COUNSEL & SVP REGULATORY AFFAIRS | NA | Control |
| GUNDERSON, GERRY A | I | SENIOR VICE PRESIDENT/GENERAL COUNSEL AND ASSISTANT SECRETARY | NA | Control |
| GUNDERSON, GERRY A | I | NPH GENERAL COUNSEL & SVP REGULATORY AFFAIRS | NA | Control |
| GUNDERSON, GERRY A | I | NPH GENERAL COUNSEL & SVP REGULATORY AFFAIRS | NA | Control |
| GUNDERSON, GERRY A | I | NPH GENERAL COUNSEL & SVP REGULATORY AFFAIRS | NA | Control |
| GUNDERSON, GERRY A | I | NPH GENERAL COUNSEL & SVP REGULATORY AFFAIRS | NA | Control |
| GUNDERSON, GREGORY CRAIG | I | PRESIDENT & CEO | NA | Control |
| GUNDERSON, GREGORY CRAIG | I | PRESIDENT | NA | Control |
| GUNDERSON, GREGORY CRAIG | I | PRESIDENT/CEO | NA | Control |
| GUNDERSON, GREGORY CRAIG | I | PRESIDENT/CEO | NA | Control |
| GUNDERSON, GREGORY CRAIG | I | PRESIDENT/CEO | NA | Control |
| GUNDERSON, GREGORY CRAIG | I | PRESIDENT & CEO/DIRECTOR | NA | Control |
| GUNDERSON, GREGORY CRAIG | I | PRESIDENT & CEO/DIRECTOR | NA | Control |
| GUNDERSON, GREGORY CRAIG | I | PRESIDENT/CEO | NA | Control |
| GUNDERSON, GREGORY CRAIG | I | PRESIDENT/CEO | NA | Control |
| GUNDERSON, GREGORY CRAIG | I | PRESIDENT/CEO | NA | Control |
| GUNDERSON, GREGORY CRAIG | I | PRESIDENT & CEO/DIRECTOR | NA | Control |
| GUNDERSON, GREGORY CRAIG | I | PRESIDENT & CEO/DIRECTOR | NA | Control |
| GUNDERSON, GREGORY CRAIG | I | PRESIDENT & CEO | NA | Control |
| GUNDERSON, GREGORY CRAIG | I | PRESIDENT & CEO/DIRECTOR | NA | Control |
| GUNDERSON, GREGORY CRAIG | I | PRESIDENT & CEO/DIRECTOR | NA | Control |
| GUNDERSON, GREGORY CRAIG | I | PRESIDENT & CEO/DIRECTOR | NA | Control |
| GUNDERSON, GREGORY CRAIG | I | PRESIDENT/CEO | NA | Control |
| GUNDERSON, GREGORY CRAIG | I | PRESIDENT/CEO | NA | Control |
| GUNDERSON, GREGORY CRAIG | I | PRESIDENT/CEO | NA | Control |
| GUNDERSON, GREGORY CRAIG | I | PRESIDENT/CEO | NA | Control |
| GUNDERSON, GREGORY CRAIG | I | PRESIDENT/CEO | NA | Control |
| GUNDERSON, GREGORY CRAIG | I | PRESIDENT/CEO | NA | Control |
| GUNDERSON, GREGORY CRAIG | I | PRESIDENT/CEO | NA | Control |
| GUNDERSON, GREGORY CRAIG | I | PRESIDENT/CEO | NA | Control |
| GUNDERSON, GREGORY CRAIG | I | PRESIDENT/CEO | NA | Control |
| GUNDERSON, GREGORY CRAIG | I | PRESIDENT/CEO | NA | Control |
| GUNDERSON, GREGORY CRAIG | I | PRESIDENT/CEO | NA | Control |
| GUNDERSON, GREGORY CRAIG | I | PRESIDENT & CEO/DIRECTOR | NA | Control |
| GUNDERSON, GREGORY CRAIG | I | PRESIDENT & CEO/DIRECTOR | NA | Control |
| GUNDERSON, GREGORY CRAIG | I | PRESIDENT & CEO/DIRECTOR | NA | Control |
| GUNDERSON, GREGORY CRAIG | I | PRESIDENT & CEO/DIRECTOR | NA | Control |
| GUNDERSON, GREGORY CRAIG | I | PRESIDENT & CEO/DIRECTOR | NA | Control |
| GUNDERSON, GREGORY CRAIG | I | PRESIDENT & CEO/DIRECTOR | NA | Control |
| GUNDERSON, GREGORY CRAIG | I | PRESIDENT & CEO/DIRECTOR | NA | Control |
| GUNDERSON, GREGORY CRAIG | I | PRESIDENT & CEO/DIRECTOR | NA | Control |
| GUNDERSON, GREGORY CRAIG | I | PRESIDENT & CEO/DIRECTOR | NA | Control |
| GUNDERSON, GREGORY CRAIG | I | PRESIDENT & CEO/DIRECTOR | NA | Control |
| GUNDERSON, GREGORY CRAIG | I | PRESIDENT & CEO/DIRECTOR | NA | Control |
| GUNDERSON, GREGORY CRAIG | I | PRESIDENT & CEO/DIRECTOR | NA | Control |
| GUNDERSON, GREGORY CRAIG | I | PRESIDENT & CEO/DIRECTOR | NA | Control |
| GUNDERSON, GREGORY CRAIG | I | PRESIDENT & CEO/DIRECTOR | NA | Control |
| GUNDERSON, GREGORY CRAIG | I | PRESIDENT & CEO/DIRECTOR | NA | Control |
| GUNDERSON, GREGORY CRAIG | I | PRESIDENT & CEO/DIRECTOR | NA | Control |
| GUNDERSON, GREGORY CRAIG | I | PRESIDENT & CEO/DIRECTOR | NA | Control |
| GUNDERSON, GREGORY CRAIG | I | PRESIDENT & CEO/DIRECTOR | NA | Control |
| GUNDERSON, GREGORY CRAIG | I | PRESIDENT & CEO/DIRECTOR | NA | Control |
| HARRIS, BRADLEY OLAN | I | DIRECTOR | NA | Control |
| HARRIS, BRADLEY OLAN | I | DIRECTOR | NA | Control |
| HARRIS, BRADLEY OLAN | I | DIRECTOR | NA | Control |
| HARRIS, BRADLEY OLAN | I | DIRECTOR | NA | Control |
| HARRIS, BRADLEY OLAN | I | DIRECTOR | NA | Control |
| HARRIS, BRADLEY OLAN | I | DIRECTOR | NA | Control |
| HERMAN, JANICE LYNN | I | OFFICER, SROP/CROP | NA | |
| HERMAN, JANICE LYNN | I | OFFICER, SROP/CROP | NA | |
| HERMAN, JANICE LYNN | I | VP COMPLIANCE/ROSFP | NA | Control |
| HERMAN, JANICE LYNN | I | VP COMPLIANCE/ROSFP | NA | Control |
| HERMAN, JANICE LYNN | I | OFFICER, SROP/CROP | NA | |
| HERMAN, JANICE LYNN | I | OFFICER | NA | |
| HERMAN, JANICE LYNN | I | OFFICER | NA | |
| HERMAN, JANICE LYNN | I | VP COMPLIANCE/ROSFP | NA | Control |
| HERMAN, JANICE LYNN | I | VP COMPLIANCE/ROSFP | NA | Control |
| HERMAN, JANICE LYNN | I | OFFICER, SROP/CROP | NA | |
| HERMAN, JANICE LYNN | I | VP COMPLIANCE/SROP/CROP | NA | Control |
| HERMAN, JANICE LYNN | I | VP COMPLIANCE/SROP/CROP | NA | Control |
| HERMAN, JANICE LYNN | I | VP COMPLIANCE/ROSFP | NA | Control |
| HERMAN, JANICE LYNN | I | OFFICER, SROP/CROP | NA | |
| HERMAN, JANICE LYNN | I | OFFICER, SROP/CROP | NA | |
| HERMAN, JANICE LYNN | I | OFFICER, SROP/CROP | NA | |
| HERMAN, JANICE LYNN | I | OFFICER, SROP/CROP | NA | |
| HERMAN, JANICE LYNN | I | OFFICER, SROP/CROP | NA | |
| HERMAN, JANICE LYNN | I | OFFICER | NA | |
| HERMAN, JANICE LYNN | I | OFFICER, SROP/CROP | NA | |
| HERMAN, JANICE LYNN | I | OFFICER, SROP/CROP | NA | |
| HERMAN, JANICE LYNN | I | OFFICER, SROP/CROP | NA | |
| HERMAN, JANICE LYNN | I | OFFICER, SROP/CROP | NA | |
| HERMAN, JANICE LYNN | I | OFFICER | NA | |
| HERMAN, JANICE LYNN | I | VP COMPLIANCE/ROSFP | NA | Control |
| HERMAN, JANICE LYNN | I | VP COMPLIANCE/ROSFP | NA | Control |
| HERMAN, JANICE LYNN | I | VP COMPLIANCE/ROSFP | NA | Control |
| HERMAN, JANICE LYNN | I | VP COMPLIANCE/ROSFP | NA | Control |
| HERMAN, JANICE LYNN | I | VP COMPLIANCE/ROSFP | NA | Control |
| HERMAN, JANICE LYNN | I | VP COMPLIANCE/ROSFP | NA | Control |
| HERMAN, JANICE LYNN | I | VP COMPLIANCE/ROSFP | NA | Control |
| HERMAN, JANICE LYNN | I | VP COMPLIANCE/ROSFP | NA | Control |
| HERMAN, JANICE LYNN | I | VP COMPLIANCE/ROSFP | NA | Control |
| HERMAN, JANICE LYNN | I | VP COMPLIANCE/ROSFP | NA | Control |
| HERMAN, JANICE LYNN | I | VP COMPLIANCE/ROSFP | NA | Control |
| HERMAN, JANICE LYNN | I | VP COMPLIANCE/ROSFP | NA | Control |
| HERMAN, JANICE LYNN | I | VP COMPLIANCE/ROSFP | NA | Control |
| HERMAN, JANICE LYNN | I | VP COMPLIANCE/ROSFP | NA | Control |
| HERMAN, JANICE LYNN | I | VP COMPLIANCE/ROSFP | NA | Control |
| HERMAN, JANICE LYNN | I | VP COMPLIANCE/ROSFP | NA | Control |
| HERMAN, JANICE LYNN | I | VP COMPLIANCE/ROSFP | NA | Control |
| HERMAN, JANICE LYNN | I | VP COMPLIANCE/ROSFP | NA | Control |
| HERMAN, JANICE LYNN | I | VP COMPLIANCE/ROSFP | NA | Control |
| HITTLE, ALICE MICHELLE | I | VP INVESTMENT ADVISORY | NA | |
| HITTLE, ALICE MICHELLE | I | VP INVESTMENT ADVISORY | NA | Control |
| HITTLE, ALICE MICHELLE | I | VP INVESTMENT ADVISORY | NA | Control |
| HOPPING, ANDREW BOUTWELL | I | DIRECTOR | NA | Control |
| HOPPING, ANDREW BOUTWELL | I | DIRECTOR | NA | Control |
| HOPPING, ANDREW BOUTWELL | I | DIRECTOR | NA | Control |
| HOPPING, ANDREW BOUTWELL | I | CFO & FINOP | NA | Control |
| HOPPING, ANDREW BOUTWELL | I | CFO & FINOP | NA | Control |
| INVEST FINANCIAL CORPORATION | DE | OWNER | NA | Control |
| INVEST FINANCIAL CORPORATION | DE | OWNER | NA | Control |
| INVEST FINANCIAL CORPORATION | DE | DIRECT OWNER | NA | Control |
| INVEST FINANCIAL CORPORATION | DE | DIRECT OWNER | NA | Control |
| JACK, CLIFFORD JAMES | I | CEO | NA | Control |
| JACK, CLIFFORD JAMES | I | DIRECTOR | NA | Control |
| JACK, CLIFFORD JAMES | I | DIRECTOR | NA | Control |
| JACK, CLIFFORD JAMES | I | DIRECTOR | NA | Control |
| JACK, CLIFFORD JAMES | I | DIRECTOR | NA | Control |
| JACK, CLIFFORD JAMES | I | DIRECTOR | NA | Control |
| JACK, CLIFFORD JAMES | I | NPH PRESIDENT & CEO/DIRECTOR | NA | Control |
| JACK, CLIFFORD JAMES | I | NPH PRESIDENT & CEO/DIRECTOR | NA | Control |
| JACK, CLIFFORD JAMES | I | NPH PRESIDENT & CEO/DIRECTOR | NA | Control |
| JACK, CLIFFORD JAMES | I | NPH PRESIDENT & CEO/DIRECTOR | NA | Control |
| JACK, CLIFFORD JAMES | I | NPH PRESIDENT & CEO/DIRECTOR | NA | Control |
| JOHNSON, MISTY ANN | I | FIRST VP & INTERIM COO | NA | |
| JOHNSON, MISTY ANN | I | FIRST VP & INTERIM COO | NA | |
| JOHNSON, MISTY ANN | I | FIRST VP & INTERIM COO | NA | |
| JOHNSON, MISTY ANN | I | FIRST VP & INTERIM COO | NA | |
| JOHNSON, MISTY ANN | I | FIRST VP & INTERIM COO | NA | |
| JOHNSON, MISTY ANN | I | FIRST VP & INTERIM COO | NA | |
| JOHNSON, MISTY ANN | I | FIRST VP & INTERIM COO | NA | |
| JOHNSON, PETER MICHAEL | I | SVP | NA | Control |
| JOHNSON, PETER MICHAEL | I | SVP | NA | Control |
| JOHNSON, PETER MICHAEL | I | SVP | NA | Control |
| JOHNSON, PETER MICHAEL | I | SVP & DIRECTOR | NA | Control |
| JOHNSON, PETER MICHAEL | I | SVP & DIRECTOR | NA | Control |
| JOHNSON, PETER MICHAEL | I | SVP | NA | Control |
| JOHNSON, PETER MICHAEL | I | SVP | NA | Control |
| KALINOWSKI, DAWN MARIE | I | FVP OPERATIONS | NA | |
| KALINOWSKI, DAWN MARIE | I | FVP OPERATIONS | NA | |
| KALINOWSKI, DAWN MARIE | I | FVP OPERATIONS | NA | Control |
| KALINOWSKI, DAWN MARIE | I | FVP OPERATIONS | NA | Control |
| KALINOWSKI, DAWN MARIE | I | FVP OPERATIONS | NA | |
| KALINOWSKI, DAWN MARIE | I | FVP OPERATIONS | NA | Control |
| KALINOWSKI, DAWN MARIE | I | FVP OPERATIONS | NA | Control |
| KALINOWSKI, DAWN MARIE | I | FVP OPERATIONS | NA | |
| KALINOWSKI, DAWN MARIE | I | FVP OPERATIONS | NA | Control |
| KALINOWSKI, DAWN MARIE | I | FVP OPERATIONS | NA | Control |
| KALINOWSKI, DAWN MARIE | I | FVP OPERATIONS | NA | Control |
| KALINOWSKI, DAWN MARIE | I | FVP OPERATIONS | NA | |
| KALINOWSKI, DAWN MARIE | I | FVP OPERATIONS | NA | |
| KALINOWSKI, DAWN MARIE | I | FVP OPERATIONS | NA | Control |
| KALINOWSKI, DAWN MARIE | I | FVP OPERATIONS | NA | Control |
| KALINOWSKI, DAWN MARIE | I | FVP OPERATIONS | NA | Control |
| KALINOWSKI, DAWN MARIE | I | FVP OPERATIONS | NA | Control |
| KALINOWSKI, DAWN MARIE | I | FVP OPERATIONS | NA | Control |
| KALINOWSKI, DAWN MARIE | I | FVP OPERATIONS | NA | Control |
| KALINOWSKI, DAWN MARIE | I | FVP OPERATIONS | NA | Control |
| KALINOWSKI, DAWN MARIE | I | FVP OPERATIONS | NA | Control |
| KALINOWSKI, DAWN MARIE | I | FVP OPERATIONS | NA | Control |
| KALINOWSKI, DAWN MARIE | I | FVP OPERATIONS | NA | Control |
| KALINOWSKI, DAWN MARIE | I | FVP OPERATIONS | NA | Control |
| KALINOWSKI, DAWN MARIE | I | FVP OPERATIONS | NA | Control |
| KALINOWSKI, DAWN MARIE | I | FVP OPERATIONS | NA | Control |
| KALINOWSKI, DAWN MARIE | I | FVP OPERATIONS | NA | Control |
| KALINOWSKI, DAWN MARIE | I | FVP OPERATIONS | NA | Control |
| KALINOWSKI, DAWN MARIE | I | FVP OPERATIONS | NA | Control |
| KALINOWSKI, DAWN MARIE | I | FVP OPERATIONS | NA | Control |
| KALINOWSKI, DAWN MARIE | I | FVP OPERATIONS | NA | Control |
| KALINOWSKI, DAWN MARIE | I | FVP OPERATIONS | NA | Control |
| KALINOWSKI, DAWN MARIE | I | FVP OPERATIONS | NA | Control |
| KALINOWSKI, DAWN MARIE | I | FVP OPERATIONS | NA | Control |
| KALINOWSKI, DAWN MARIE | I | FVP OPERATIONS | NA | Control |
| KALINOWSKI, DAWN MARIE | I | FVP OPERATIONS | NA | Control |
| KALINOWSKI, DAWN MARIE | I | FVP OPERATIONS | NA | Control |
| KALINOWSKI, DAWN MARIE | I | FVP OPERATIONS | NA | Control |
| KALINOWSKI, DAWN MARIE | I | FVP OPERATIONS | NA | Control |
| KALINOWSKI, DAWN MARIE | I | SVP/COO | NA | Control |
| KALINOWSKI, DAWN MARIE | I | FVP OPERATIONS | NA | Control |
| KALINOWSKI, DAWN MARIE | I | SVP/COO | NA | Control |
| KALINOWSKI, DAWN MARIE | I | FVP OPERATIONS | NA | Control |
| KALINOWSKI, DAWN MARIE | I | SVP/COO | NA | Control |
| KALINOWSKI, DAWN MARIE | I | SVP/COO | NA | Control |
| KALINOWSKI, DAWN MARIE | I | SVP/COO | NA | Control |
| KALINOWSKI, DAWN MARIE | I | SVP/COO | NA | Control |
| KOMOSZEWSKI, JAMES ANTHONY | I | PRESIDENT/CEO/DIRECTOR | NA | Control |
| KOMOSZEWSKI, JAMES ANTHONY | I | PRESIDENT/CEO/DIRECTOR | NA | Control |
| KOMOSZEWSKI, JAMES ANTHONY | I | PRESIDENT/CEO/DIRECTOR | NA | Control |
| KOMOSZEWSKI, JAMES ANTHONY | I | PRESIDENT/CEO/DIRECTOR | NA | Control |
| KOMOSZEWSKI, JAMES ANTHONY | I | PRESIDENT/CEO/DIRECTOR | NA | Control |
| KOMOSZEWSKI, JAMES ANTHONY | I | PRESIDENT/CEO/DIRECTOR | NA | Control |
| KOMOSZEWSKI, JAMES ANTHONY | I | PRESIDENT/CEO/DIRECTOR | NA | Control |
| KOMOSZEWSKI, JAMES ANTHONY | I | PRESIDENT/CEO/DIRECTOR | NA | Control |
| KOMOSZEWSKI, JAMES ANTHONY | I | PRESIDENT/CEO/DIRECTOR | NA | Control |
| KOMOSZEWSKI, JAMES ANTHONY | I | PRESIDENT/CEO/DIRECTOR | NA | Control |
| KOMOSZEWSKI, JAMES ANTHONY | I | PRESIDENT/CEO/DIRECTOR | NA | Control |
| KOMOSZEWSKI, JAMES ANTHONY | I | PRESIDENT/CEO/DIRECTOR | NA | Control |
| KOMOSZEWSKI, JAMES ANTHONY | I | PRESIDENT/CEO/DIRECTOR | NA | Control |
| KOMOSZEWSKI, JAMES ANTHONY | I | PRESIDENT/CEO/DIRECTOR | NA | Control |
| KOMOSZEWSKI, JAMES ANTHONY | I | PRESIDENT/CEO/DIRECTOR | NA | Control |
| LAMBRECHTS, VANESSA MARIE RODRIGUEZ | I | FINOP | NA | Control |
| LAMBRECHTS, VANESSA MARIE RODRIGUEZ | I | FINOP | NA | Control |
| LAMBRECHTS, VANESSA MARIE RODRIGUEZ | I | FINOP | NA | Control |
| LAMBRECHTS, VANESSA MARIE RODRIGUEZ | I | VP, FINOP & CONTROLLER | NA | Control |
| LAMBRECHTS, VANESSA MARIE RODRIGUEZ | I | VP, FINOP & CONTROLLER | NA | Control |
| LAMBRECHTS, VANESSA MARIE RODRIGUEZ | I | FINOP | NA | Control |
| LAMBRECHTS, VANESSA MARIE RODRIGUEZ | I | FINOP | NA | Control |
| LAMBRECHTS, VANESSA MARIE RODRIGUEZ | I | FINOP | NA | Control |
| LAMBRECHTS, VANESSA MARIE RODRIGUEZ | I | VP, FINOP & CONTROLLER | NA | Control |
| LAMBRECHTS, VANESSA MARIE RODRIGUEZ | I | VP, FINOP & CONTROLLER | NA | Control |
| LAMBRECHTS, VANESSA MARIE RODRIGUEZ | I | VP, FINOP & CONTROLLER | NA | Control |
| LAMBRECHTS, VANESSA MARIE RODRIGUEZ | I | VP, FINOP & CONTROLLER | NA | Control |
| LAMBRECHTS, VANESSA MARIE RODRIGUEZ | I | VP, FINOP & CONTROLLER | NA | Control |
| LAMBRECHTS, VANESSA MARIE RODRIGUEZ | I | VP, FINOP & CONTROLLER | NA | Control |
| LAMBRECHTS, VANESSA MARIE RODRIGUEZ | I | VP, FINOP & CONTROLLER | NA | Control |
| LAMBRECHTS, VANESSA MARIE RODRIGUEZ | I | VP, FINOP & CONTROLLER | NA | Control |
| LAMBRECHTS, VANESSA MARIE RODRIGUEZ | I | VP, FINOP & CONTROLLER | NA | Control |
| LAMBRECHTS, VANESSA MARIE RODRIGUEZ | I | VP, FINOP & CONTROLLER | NA | Control |
| LAMBRECHTS, VANESSA MARIE RODRIGUEZ | I | VP, FINOP & CONTROLLER | NA | Control |
| LAMBRECHTS, VANESSA MARIE RODRIGUEZ | I | VP, FINOP & CONTROLLER | NA | Control |
| LAMBRECHTS, VANESSA MARIE RODRIGUEZ | I | VP, FINOP & CONTROLLER | NA | Control |
| LAMBRECHTS, VANESSA MARIE RODRIGUEZ | I | VP, FINOP & CONTROLLER | NA | Control |
| LAMBRECHTS, VANESSA MARIE RODRIGUEZ | I | VP, FINOP & CONTROLLER | NA | Control |
| LAMBRECHTS, VANESSA MARIE RODRIGUEZ | I | VP, FINOP & CONTROLLER | NA | Control |
| LAMBRECHTS, VANESSA MARIE RODRIGUEZ | I | VP, FINOP & CONTROLLER | NA | Control |
| LAMBRECHTS, VANESSA MARIE RODRIGUEZ | I | VP, FINOP & CONTROLLER | NA | Control |
| LAMBRECHTS, VANESSA MARIE RODRIGUEZ | I | VP, FINOP & CONTROLLER | NA | Control |
| LAMBRECHTS, VANESSA MARIE RODRIGUEZ | I | VP, FINOP & CONTROLLER | NA | Control |
| LAMBRECHTS, VANESSA MARIE RODRIGUEZ | I | VP, FINOP & CONTROLLER | NA | Control |
| LAMBRECHTS, VANESSA MARIE RODRIGUEZ | I | VP, FINOP & CONTROLLER | NA | Control |
| LAMBRECHTS, VANESSA MARIE RODRIGUEZ | I | VP, FINOP & CONTROLLER | NA | Control |
| LANDEFELD, JENNIFER LEE | I | NPH SVP REGULATORY AFFAIRS | NA | Control |
| LANDEFELD, JENNIFER LEE | I | NPH SVP REGULATORY AFFAIRS | NA | Control |
| LIVINGSTON, JAMES LOYD JR | I | NPH PRESIDENT & CEO/DIRECTOR | NA | Control |
| LIVINGSTON, JAMES LOYD JR | I | NPH PRESIDENT & CEO/DIRECTOR | NA | Control |
| LIVINGSTON, JAMES LOYD JR | I | NPH PRESIDENT & CEO/DIRECTOR | NA | Control |
| LIVINGSTON, JAMES LOYD JR | I | NPH PRESIDENT & CEO/DIRECTOR | NA | Control |
| LIVINGSTON, JAMES LOYD JR | I | NPH PRESIDENT & CEO/DIRECTOR | NA | Control |
| LIVINGSTON, JAMES LOYD JR | I | NPH PRESIDENT & CEO/DIRECTOR | NA | Control |
| LIVINGSTON, JAMES LOYD JR | I | NPH PRESIDENT & CEO/DIRECTOR | NA | Control |
| LIVINGSTON, JAMES LOYD JR | I | NPH PRESIDENT & CEO/DIRECTOR | NA | Control |
| LIVINGSTON, JAMES LOYD JR | I | NPH PRESIDENT & CEO/DIRECTOR | NA | Control |
| LIVINGSTON, JAMES LOYD JR | I | NPH PRESIDENT & CEO | NA | Control |
| LIVINGSTON, JAMES LOYD JR | I | NPH PRESIDENT & CEO | NA | Control |
| LOASBY, DAVID ANDREW | I | CHIEF COMPLIANCE OFFICER | NA | |
| LOASBY, DAVID ANDREW | I | CCO | NA | |
| LOASBY, DAVID ANDREW | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| LOASBY, DAVID ANDREW | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| LOASBY, DAVID ANDREW | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| LOASBY, DAVID ANDREW | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| LOASBY, DAVID ANDREW | I | CHIEF COMPLIANCE OFFICER | NA | |
| LOASBY, DAVID ANDREW | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| LOASBY, DAVID ANDREW | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| LOASBY, DAVID ANDREW | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| LOASBY, DAVID ANDREW | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| LOASBY, DAVID ANDREW | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| LOASBY, DAVID ANDREW | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| LOASBY, DAVID ANDREW | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| LOASBY, DAVID ANDREW | I | SVP, CHIEF COMPLIANCE OFFICER | NA | Control |
| LOASBY, DAVID ANDREW | I | SVP, CHIEF COMPLIANCE OFFICER | NA | Control |
| LOASBY, DAVID ANDREW | I | SVP, CHIEF COMPLIANCE OFFICER | NA | Control |
| LOASBY, DAVID ANDREW | I | SVP, CHIEF COMPLIANCE OFFICER | NA | Control |
| LOASBY, DAVID ANDREW | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| LOASBY, DAVID ANDREW | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| LOASBY, DAVID ANDREW | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| LOASBY, DAVID ANDREW | I | SVP, CHIEF COMPLIANCE OFFICER | NA | Control |
| LOASBY, DAVID ANDREW | I | SVP, CHIEF COMPLIANCE OFFICER | NA | Control |
| LOASBY, DAVID ANDREW | I | SVP, CHIEF COMPLIANCE OFFICER | NA | Control |
| LOASBY, DAVID ANDREW | I | SVP, CHIEF COMPLIANCE OFFICER | NA | Control |
| LOASBY, DAVID ANDREW | I | SVP, CHIEF COMPLIANCE OFFICER | NA | Control |
| LOASBY, DAVID ANDREW | I | SVP, CHIEF COMPLIANCE OFFICER | NA | Control |
| LOASBY, DAVID ANDREW | I | SVP, CHIEF COMPLIANCE OFFICER | NA | Control |
| LOASBY, DAVID ANDREW | I | SVP, CHIEF COMPLIANCE OFFICER | NA | Control |
| LOASBY, DAVID ANDREW | I | SVP, CHIEF COMPLIANCE OFFICER | NA | Control |
| LOASBY, DAVID ANDREW | I | SVP, CHIEF COMPLIANCE OFFICER | NA | Control |
| LOASBY, DAVID ANDREW | I | SVP, CHIEF COMPLIANCE OFFICER | NA | Control |
| LOASBY, DAVID ANDREW | I | SVP, CHIEF COMPLIANCE OFFICER | NA | Control |
| LOASBY, DAVID ANDREW | I | SVP, CHIEF COMPLIANCE OFFICER | NA | Control |
| LOASBY, DAVID ANDREW | I | SVP, CHIEF COMPLIANCE OFFICER | NA | Control |
| LOASBY, DAVID ANDREW | I | SVP, CHIEF COMPLIANCE OFFICER | NA | Control |
| LOASBY, DAVID ANDREW | I | SVP, CHIEF COMPLIANCE OFFICER | NA | Control |
| LOASBY, DAVID ANDREW | I | SVP, CHIEF COMPLIANCE OFFICER | NA | Control |
| MCCALLOP, PATRICIA ANN | I | NPH AND ICA SVP & CHIEF COMPLIANCE OFFICER | NA | |
| MCNULTY, MARK EDWARD | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MEYER, THOMAS JOHN | I | SECRETARY & DIRECTOR | NA | Control |
| MEYER, THOMAS JOHN | I | SECRETARY & DIRECTOR | NA | Control |
| MEYER, THOMAS JOHN | I | SECRETARY/DIRECTOR | NA | Control |
| MEYER, THOMAS JOHN | I | SECRETARY/DIRECTOR | NA | Control |
| MEYER, THOMAS JOHN | I | SECRETARY & DIRECTOR | NA | Control |
| MEYER, THOMAS JOHN | I | DIRECTOR | NA | Control |
| MEYER, THOMAS JOHN | I | DIRECTOR | NA | Control |
| MEYER, THOMAS JOHN | I | SECRETARY/DIRECTOR | NA | Control |
| MEYER, THOMAS JOHN | I | SECRETARY/DIRECTOR | NA | Control |
| MEYER, THOMAS JOHN | I | SECRETARY & DIRECTOR | NA | Control |
| MEYER, THOMAS JOHN | I | SECRETARY/DIRECTOR | NA | Control |
| MEYER, THOMAS JOHN | I | SECRETARY/DIRECTOR | NA | Control |
| MEYER, THOMAS JOHN | I | SECRETARY/DIRECTOR | NA | Control |
| MEYER, THOMAS JOHN | I | SECRETARY & DIRECTOR | NA | Control |
| MEYER, THOMAS JOHN | I | SECRETARY & DIRECTOR | NA | Control |
| MEYER, THOMAS JOHN | I | SECRETARY & DIRECTOR | NA | Control |
| MEYER, THOMAS JOHN | I | SECRETARY & DIRECTOR | NA | Control |
| MEYER, THOMAS JOHN | I | SECRETARY & DIRECTOR | NA | Control |
| MEYER, THOMAS JOHN | I | SECRETARY & DIRECTOR | NA | Control |
| MEYER, THOMAS JOHN | I | SECRETARY & DIRECTOR | NA | Control |
| MEYER, THOMAS JOHN | I | SECRETARY & DIRECTOR | NA | Control |
| MEYER, THOMAS JOHN | I | SECRETARY & DIRECTOR | NA | Control |
| MEYER, THOMAS JOHN | I | SECRETARY/DIRECTOR | NA | Control |
| MEYER, THOMAS JOHN | I | SECRETARY | NA | Control |
| MEYER, THOMAS JOHN | I | SECRETARY/DIRECTOR | NA | Control |
| MEYER, THOMAS JOHN | I | SECRETARY/DIRECTOR | NA | Control |
| MEYER, THOMAS JOHN | I | SECRETARY | NA | Control |
| MEYER, THOMAS JOHN | I | SECRETARY | NA | Control |
| MEYER, THOMAS JOHN | I | SECRETARY | NA | Control |
| MEYER, THOMAS JOHN | I | SECRETARY | NA | Control |
| MEYER, THOMAS JOHN | I | SECRETARY | NA | Control |
| MILLER, JAMES PETER | I | COO/SROP/VP/CROP/MUNI/SECRETARY | NA | Control |
| MILLER, JAMES PETER | I | COO/SROP/VP/CROP/MUNI/SECRETARY | NA | Control |
| MILLER, JAMES PETER | I | COO/SROP/VP/CROP/MUNI/SECRETARY | NA | Control |
| MILLER, JAMES PETER | I | NPH SVP OPERATIONS | NA | Control |
| MILLER, JAMES PETER | I | NPH SVP OPERATIONS | NA | Control |
| MILLER, JAMES PETER | I | SVP, DIRECTOR | NA | Control |
| MILLER, JAMES PETER | I | COO/SROP/VP/CROP | NA | Control |
| MILLER, JAMES PETER | I | COO/SROP/VP/CROP | NA | Control |
| MILLER, JAMES PETER | I | NPH SVP OPERATIONS | NA | Control |
| MILLER, JAMES PETER | I | NPH SVP OPERATIONS | NA | Control |
| MILLER, JAMES PETER | I | NPH SVP OPERATIONS | NA | Control |
| MILLER, JAMES PETER | I | NPH SVP OPERATIONS | NA | Control |
| MILLER, JAMES PETER | I | NPH SVP OPERATIONS | NA | Control |
| MILLER, JAMES PETER | I | SVP, DIRECTOR | NA | Control |
| MILLER, JAMES PETER | I | SVP, DIRECTOR | NA | Control |
| MILLER, JAMES PETER | I | SVP, DIRECTOR | NA | Control |
| MILLER, JAMES PETER | I | SVP, DIRECTOR | NA | Control |
| MILLER, JAMES PETER | I | SVP, DIRECTOR | NA | Control |
| MILLER, JAMES PETER | I | COO/SROP/VP/CROP | NA | Control |
| MILLER, JAMES PETER | I | SVP, DIRECTOR | NA | Control |
| MILLER, JAMES PETER | I | SVP, DIRECTOR | NA | Control |
| MILLER, JAMES PETER | I | SVP, DIRECTOR | NA | Control |
| MILLER, JAMES PETER | I | SVP, DIRECTOR | NA | Control |
| MILLER, JAMES PETER | I | COO/SROP/VP/CROP | NA | Control |
| MILLER, JAMES PETER | I | NPH SVP OPERATIONS | NA | Control |
| MILLER, JAMES PETER | I | NPH SVP OPERATIONS | NA | Control |
| MILLER, JAMES PETER | I | NPH SVP OPERATIONS | NA | Control |
| MILLER, JAMES PETER | I | NPH SVP OPERATIONS | NA | Control |
| MILLER, JAMES PETER | I | NPH SVP OPERATIONS | NA | Control |
| MILLER, JAMES PETER | I | NPH SVP OPERATIONS | NA | Control |
| MILLER, JAMES PETER | I | NPH SVP OPERATIONS | NA | Control |
| MILLER, JAMES PETER | I | NPH SVP OPERATIONS | NA | Control |
| MILLER, JAMES PETER | I | NPH SVP OPERATIONS | NA | Control |
| MILLER, JAMES PETER | I | NPH SVP OPERATIONS | NA | Control |
| MILLER, JAMES PETER | I | NPH SVP OPERATIONS | NA | Control |
| MILLER, JAMES PETER | I | NPH SVP OPERATIONS | NA | Control |
| MILLER, JAMES PETER | I | NPH SVP OPERATIONS | NA | Control |
| MILLER, JAMES PETER | I | NPH SVP OPERATIONS | NA | Control |
| MILLER, JAMES PETER | I | NPH SVP OPERATIONS | NA | Control |
| MILLER, JAMES PETER | I | NPH SVP OPERATIONS | NA | Control |
| MILLER, JAMES PETER | I | NPH SVP OPERATIONS | NA | Control |
| MILLER, JAMES PETER | I | NPH SVP OPERATIONS | NA | Control |
| MILLER, JAMES PETER | I | NPH SVP OPERATIONS | NA | Control |
| MILLER, JAMES PETER | I | NPH SVP OPERATIONS | NA | Control |
| MILLER, JAMES PETER | I | NPH SVP OPERATIONS | NA | Control |
| MILLER, JAMES PETER | I | NPH SVP OPERATIONS | NA | Control |
| MILLER, JAMES PETER | I | NPH SVP OPERATIONS | NA | Control |
| MILLER, JAMES PETER | I | NPH SVP OPERATIONS | NA | Control |
| MILLER, JAMES PETER | I | NPH SVP OPERATIONS | NA | Control |
| MILLER, JAMES PETER | I | NPH SVP OPERATIONS | NA | Control |
| MILLER, JAMES PETER | I | NPH SVP OPERATIONS | NA | Control |
| MILLER, JAMES PETER | I | NPH SVP OPERATIONS | NA | Control |
| MILLER, JAMES PETER | I | NPH SVP OPERATIONS | NA | Control |
| MILLER, JAMES PETER | I | NPH SVP OPERATIONS | NA | Control |
| MILLER, JAMES PETER | I | NPH SVP OPERATIONS | NA | Control |
| MILLER, JAMES PETER | I | NPH SVP OPERATIONS | NA | Control |
| MILLER, JAMES PETER | I | NPH SVP OPERATIONS | NA | Control |
| MILLER, JAMES PETER | I | NPH SVP OPERATIONS | NA | Control |
| NATIONAL PLANNING HOLDINGS, INC. | DE | SHAREHOLDER | NA | Control |
| NATIONAL PLANNING HOLDINGS, INC. | DE | SHAREHOLDER | NA | Control |
| OSWALD, MARK MICHAEL | I | CCO/VP | NA | Control |
| OSWALD, MARK MICHAEL | I | CCO/VP | NA | Control |
| OSWALD, MARK MICHAEL | I | CCO/VP | NA | Control |
| PETKO, MICHAEL GEORGE | I | EVP AND CDO - NATIONAL PLANNING HOLDINGS, INC. | NA | Control |
| PETKO, MICHAEL GEORGE | I | EVP AND CDO - NATIONAL PLANNING HOLDINGS, INC. | NA | Control |
| PETKO, MICHAEL GEORGE | I | EVP AND CDO - NATIONAL PLANNING HOLDINGS, INC. | NA | Control |
| REED, ALISON RUSS | I | NPH VP DUE DILIGENCE | NA | Control |
| REED, ALISON RUSS | I | NPH VP DUE DILIGENCE | NA | Control |
| REED, ALISON RUSS | I | DIRECTOR | NA | Control |
| REED, ALISON RUSS | I | DIRECTOR | NA | Control |
| REED, ALISON RUSS | I | DIRECTOR | NA | Control |
| REED, ALISON RUSS | I | DIRECTOR | NA | Control |
| REED, ALISON RUSS | I | DIRECTOR | NA | Control |
| REED, ALISON RUSS | I | DIRECTOR | NA | Control |
| ROMINE, SCOTT ERIC | I | DIRECTOR; PRESIDENT & CEO AND DIRECTOR NPH, INC. | NA | Control |
| ROMINE, SCOTT ERIC | I | DIRECTOR; PRESIDENT & CEO AND DIRECTOR NPH, INC. | NA | Control |
| ROMINE, SCOTT ERIC | I | NPH PRESIDENT/CEO & DIRECTOR | NA | Control |
| ROMINE, SCOTT ERIC | I | DIRECTOR; PRESIDENT & CEO AND DIRECTOR NPH, INC. | NA | Control |
| ROMINE, SCOTT ERIC | I | NPH PRESIDENT/CEO & DIRECTOR | NA | Control |
| ROMINE, SCOTT ERIC | I | DIRECTOR; PRESIDENT & CEO AND DIRECTOR NPH, INC. | NA | Control |
| ROMINE, SCOTT ERIC | I | NPH PRESIDENT/CEO & DIRECTOR | NA | Control |
| ROMINE, SCOTT ERIC | I | NPH PRESIDENT/CEO & DIRECTOR | NA | Control |
| SIMON, JAMES LEWIS | I | DIRECTOR | NA | Control |
| SIMON, JAMES LEWIS | I | DIRECTOR | NA | Control |
| SIMON, JAMES LEWIS | I | DIRECTOR | NA | Control |
| SIMON, JAMES LEWIS | I | DIRECTOR | NA | Control |
| SIMON, JAMES LEWIS | I | DIRECTOR | NA | Control |
| WASSON, TIMOTHY D | I | FVP CHIEF COMPLIANCE OFFICER | NA | |
| WASSON, TIMOTHY D | I | FVP CHIEF COMPLIANCE OFFICER | NA | |
| WASSON, TIMOTHY D | I | FVP CHIEF COMPLIANCE OFFICER | NA | |
| WASSON, TIMOTHY D | I | FVP CHIEF COMPLIANCE OFFICER | NA | |
| WASSON, TIMOTHY D | I | FVP CHIEF COMPLIANCE OFFICER | NA | |
| WASSON, TIMOTHY D | I | FVP CHIEF COMPLIANCE OFFICER | NA | |
| WEISS, DANIEL STUART | I | VP DUE DILIGENCE | NA | Control |
| WEISS, DANIEL STUART | I | VP DUE DILIGENCE | NA | Control |
| WEISS, DANIEL STUART | I | VP DUE DILIGENCE | NA | Control |
| WEISS, DANIEL STUART | I | VP DUE DILIGENCE | NA | Control |
| WEISS, DANIEL STUART | I | VP DUE DILIGENCE | NA | Control |
| WEISS, DANIEL STUART | I | VP DUE DILIGENCE | NA | Control |
| WEISS, DANIEL STUART | I | VP DUE DILIGENCE | NA | Control |
| WEISS, DANIEL STUART | I | NPH VP DUE DILIGENCE | NA | Control |
| WEISS, DANIEL STUART | I | NPH VP DUE DILIGENCE | NA | Control |
| WEISS, DANIEL STUART | I | VP DUE DILIGENCE | NA | Control |
| WEISS, DANIEL STUART | I | VP DUE DILIGENCE | NA | Control |
| WEISS, DANIEL STUART | I | VP DUE DILIGENCE | NA | Control |
| WEISS, DANIEL STUART | I | NPH VP DUE DILIGENCE | NA | Control |
| WEISS, DANIEL STUART | I | NPH VP DUE DILIGENCE | NA | Control |
| WEISS, DANIEL STUART | I | NPH VP DUE DILIGENCE | NA | Control |
| WEISS, DANIEL STUART | I | NPH VP DUE DILIGENCE | NA | Control |
| WEISS, DANIEL STUART | I | NPH VP DUE DILIGENCE | NA | Control |
| WEISS, DANIEL STUART | I | NPH VP DUE DILIGENCE | NA | Control |
| WEISS, DANIEL STUART | I | NPH VP DUE DILIGENCE | NA | Control |
| WEISS, DANIEL STUART | I | NPH VP DUE DILIGENCE | NA | Control |
| WEISS, DANIEL STUART | I | NPH VP DUE DILIGENCE | NA | Control |
| WEISS, DANIEL STUART | I | NPH VP DUE DILIGENCE | NA | Control |
| WEISS, DANIEL STUART | I | VICE PRESIDENT | NA | Control |
| WEISS, DANIEL STUART | I | NPH VP DUE DILIGENCE | NA | Control |
| WEISS, DANIEL STUART | I | NPH VP DUE DILIGENCE | NA | Control |
| WEISS, DANIEL STUART | I | NPH VP DUE DILIGENCE | NA | Control |
| WEISS, DANIEL STUART | I | NPH VP DUE DILIGENCE | NA | Control |
| WEISS, DANIEL STUART | I | NPH VP DUE DILIGENCE | NA | Control |
| WEISS, DANIEL STUART | I | VICE PRESIDENT | NA | Control |
| WEISS, DANIEL STUART | I | NPH VP DUE DILIGENCE | NA | Control |
| WEISS, DANIEL STUART | I | VICE PRESIDENT | NA | Control |
| WEISS, DANIEL STUART | I | NPH VP DUE DILIGENCE | NA | Control |
| WEISS, DANIEL STUART | I | NPH VP DUE DILIGENCE | NA | Control |
| WEISS, DANIEL STUART | I | NPH VP DUE DILIGENCE | NA | Control |
| WELLS, MICHAEL ANDREW | I | DIRECTOR | NA | Control |
| WELLS, MICHAEL ANDREW | I | DIRECTOR | NA | Control |
| WELLS, MICHAEL ANDREW | I | DIRECTOR | NA | Control |
| WELLS, MICHAEL ANDREW | I | DIRECTOR | NA | Control |
| WELLS, MICHAEL ANDREW | I | DIRECTOR | NA | Control |
| WRIGHT, DANIEL EUGENE | I | NPH SVP CHIEF COMPLIANCE OFFICER | NA | Control |
| WRIGHT, DANIEL EUGENE | I | NPH SVP CHIEF COMPLIANCE OFFICER | NA | Control |
| WRIGHT, DANIEL EUGENE | I | NPH SVP CHIEF COMPLIANCE OFFICER | NA | Control |
| WRIGHT, DANIEL EUGENE | I | NPH SVP CHIEF COMPLIANCE OFFICER | NA | Control |
| WRIGHT, DANIEL EUGENE | I | SENIOR VICE PRESIDENT | NA | Control |
| WRIGHT, DANIEL EUGENE | I | NPH SVP CHIEF COMPLIANCE OFFICER | NA | Control |
| WRIGHT, DANIEL EUGENE | I | SENIOR VICE PRESIDENT | NA | Control |
| WRIGHT, DANIEL EUGENE | I | NPH SVP CHIEF COMPLIANCE OFFICER | NA | Control |
| WRIGHT, DANIEL EUGENE | I | SENIOR VICE PRESIDENT | NA | Control |
| WRIGHT, DANIEL EUGENE | I | NPH SVP CHIEF COMPLIANCE OFFICER | NA | Control |
| WRIGHT, DANIEL EUGENE | I | NPH SVP CHIEF COMPLIANCE OFFICER | NA | Control |
| WRIGHT, DANIEL EUGENE | I | NPH SVP CHIEF COMPLIANCE OFFICER | NA | Control |
| INVEST FINANCIAL CORPORATION | DE | OWNER | E | Control |
| INVEST FINANCIAL CORPORATION | DE | OWNER | E | Control |
| INVEST FINANCIAL CORPORATION | DE | OWNER | E | Control |
| INVEST FINANCIAL CORPORATION | DE | OWNER | E | Control |
| INVEST FINANCIAL CORPORATION | DE | DIRECT OWNER | E | Control |
| INVEST FINANCIAL CORPORATION | DE | DIRECT OWNER | E | Control |
| INVEST FINANCIAL CORPORATION | DE | OWNER | E | Control |
| INVEST FINANCIAL CORPORATION | DE | DIRECT OWNER | E | Control |
| INVEST FINANCIAL CORPORATION | DE | DIRECT OWNER | E | Control |
| INVEST FINANCIAL CORPORATION | DE | DIRECT OWNER | E | Control |
| INVEST FINANCIAL CORPORATION | DE | OWNER | E | Control |
| INVEST FINANCIAL CORPORATION | DE | OWNER | E | Control |
| INVEST FINANCIAL CORPORATION | DE | OWNER | E | Control |
| INVEST FINANCIAL CORPORATION | DE | OWNER | E | Control |
| INVEST FINANCIAL CORPORATION | DE | OWNER | E | Control |
| INVEST FINANCIAL CORPORATION | DE | OWNER | E | Control |
| INVEST FINANCIAL CORPORATION | DE | OWNER | E | Control |
| INVEST FINANCIAL CORPORATION | DE | OWNER | E | Control |
| INVEST FINANCIAL CORPORATION | DE | OWNER | E | Control |
| INVEST FINANCIAL CORPORATION | DE | OWNER | E | Control |
| INVEST FINANCIAL CORPORATION | DE | OWNER | E | Control |
| INVEST FINANCIAL CORPORATION | DE | DIRECT OWNER | E | Control |
| INVEST FINANCIAL CORPORATION | DE | DIRECT OWNER | E | Control |
| INVEST FINANCIAL CORPORATION | DE | DIRECT OWNER | E | Control |
| INVEST FINANCIAL CORPORATION | DE | DIRECT OWNER | E | Control |
| INVEST FINANCIAL CORPORATION | DE | DIRECT OWNER | E | Control |
| INVEST FINANCIAL CORPORATION | DE | DIRECT OWNER | E | Control |
| INVEST FINANCIAL CORPORATION | DE | DIRECT OWNER | E | Control |
| INVEST FINANCIAL CORPORATION | DE | DIRECT OWNER | E | Control |
| INVEST FINANCIAL CORPORATION | DE | DIRECT OWNER | E | Control |
| INVEST FINANCIAL CORPORATION | DE | DIRECT OWNER | E | Control |
| INVEST FINANCIAL CORPORATION | DE | DIRECT OWNER | E | Control |
| INVEST FINANCIAL CORPORATION | DE | DIRECT OWNER | E | Control |
| INVEST FINANCIAL CORPORATION | DE | DIRECT OWNER | E | Control |
| INVEST FINANCIAL CORPORATION | DE | DIRECT OWNER | E | Control |
| INVEST FINANCIAL CORPORATION | DE | DIRECT OWNER | E | Control |
| INVEST FINANCIAL CORPORATION | DE | DIRECT OWNER | E | Control |
| INVEST FINANCIAL CORPORATION | DE | DIRECT OWNER | E | Control |
| INVEST FINANCIAL CORPORATION | DE | DIRECT OWNER | E | Control |
| INVEST FINANCIAL CORPORATION | DE | DIRECT OWNER | E | Control |
| INVEST FINANCIAL CORPORATION | DE | DIRECT OWNER | E | Control |
| INVEST FINANCIAL CORPORATION | DE | DIRECT OWNER | E | Control |
| INVEST FINANCIAL CORPORATION | DE | DIRECT OWNER | E | Control |
| INVEST FINANCIAL CORPORATION | DE | DIRECT OWNER | E | Control |
| INVEST FINANCIAL CORPORATION | DE | DIRECT OWNER | E | Control |
| INVEST FINANCIAL CORPORATION | DE | DIRECT OWNER | E | Control |
| INVEST FINANCIAL CORPORATION | DE | DIRECT OWNER | E | Control |
| INVEST FINANCIAL CORPORATION | DE | DIRECT OWNER | E | Control |
| INVEST FINANCIAL CORPORATION | DE | DIRECT OWNER | E | Control |
| INVEST FINANCIAL CORPORATION | DE | DIRECT OWNER | E | Control |
| INVEST FINANCIAL CORPORATION | DE | DIRECT OWNER | E | Control |
| INVEST FINANCIAL CORPORATION | DE | DIRECT OWNER | E | Control |
| INVEST FINANCIAL CORPORATION | DE | DIRECT OWNER | E | Control |
| INVEST FINANCIAL CORPORATION | DE | DIRECT OWNER | E | Control |
| INVEST FINANCIAL CORPORATION | DE | DIRECT OWNER | E | Control |
| NATIONAL PLANNING HOLDINGS, INC | FE | SHAREHOLDER | E | Control |
| NATIONAL PLANNING HOLDINGS, INC | FE | SHAREHOLDER | E | Control |
| NATIONAL PLANNING HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| NATIONAL PLANNING HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| NATIONAL PLANNING HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| NATIONAL PLANNING HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| NATIONAL PLANNING HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| BROOKE (HOLDCO1), INC. | DE | BROOKE, GP | E | Control |
| BROOKE (HOLDCO1), INC. | DE | BROOKE, GP | E | Control |
| BROOKE (HOLDCO1), INC. | DE | BROOKE, GP | E | Control |
| BROOKE (HOLDCO1), INC. | DE | BROOKE, GP | E | Control |
| BROOKE (HOLDCO1), INC. | DE | BROOKE, GP | E | Control |
| BROOKE (HOLDCO1), INC. | DE | BROOKE, GP | E | Control |
| BROOKE (HOLDCO1), INC. | DE | BROOKE, GP | E | Control |
| BROOKE (HOLDCO1), INC. | DE | BROOKE, GP | E | Control |
| BROOKE (HOLDCO1), INC. | DE | BROOKE, GP | E | Control |
| BROOKE (HOLDCO1), INC. | DE | BROOKE, GP | E | Control |
| BROOKE (HOLDCO1), INC. | DE | BROOKE UK, LLC. | E | Control |
| BROOKE (HOLDCO1), INC. | DE | BROOKE UK, LLC. | E | Control |
| BROOKE (HOLDCO1), INC. | DE | BROOKE UK, LLC. | E | Control |
| BROOKE (HOLDCO1), INC. | DE | BROOKE UK, LLC. | E | Control |
| BROOKE (HOLDCO1), INC. | DE | BROOKE UK, LLC. | E | Control |
| BROOKE (HOLDCO1), INC. | DE | BROOKE UK, LLC. | E | Control |
| BROOKE (HOLDCO1), INC. | DE | BROOKE UK, LLC. | E | Control |
| BROOKE (HOLDCO1), INC. | DE | BROOKE UK, LLC. | E | Control |
| BROOKE (HOLDCO1), INC. | DE | BROOKE UK, LLC. | E | Control |
| BROOKE (HOLDCO1), INC. | DE | BROOKE UK, LLC. | E | Control |
| BROOKE (HOLDCO1), INC. | DE | BROOKE UK, LLC. | E | Control |
| BROOKE (HOLDCO1), INC. | DE | BROOKE HOLDINGS LLC | E | Control |
| BROOKE (HOLDCO1), INC. | DE | BROOKE HOLDINGS LLC | E | Control |
| BROOKE (HOLDCO1), INC. | DE | BROOKE HOLDINGS LLC | E | Control |
| BROOKE (HOLDCO1), INC. | DE | BROOKE HOLDINGS LLC | E | Control |
| BROOKE (HOLDCO1), INC. | DE | BROOKE HOLDINGS LLC | E | Control |
| BROOKE (HOLDCO1), INC. | DE | BROOKE HOLDINGS LLC | E | Control |
| BROOKE (HOLDCO1), INC. | DE | BROOKE HOLDINGS LLC | E | Control |
| BROOKE (HOLDCO1), INC. | DE | BROOKE HOLDINGS LLC | E | Control |
| BROOKE (HOLDCO1), INC. | DE | BROOKE HOLDINGS LLC | E | Control |
| BROOKE (HOLDCO1), INC. | DE | BROOKE HOLDINGS LLC | E | Control |
| BROOKE (HOLDCO1), INC. | DE | BROOKE UK, LLC. | E | Control |
| BROOKE (HOLDCO1), INC. | DE | BROOKE HOLDINGS LLC | E | Control |
| BROOKE (HOLDCO1), INC. | DE | BROOKE HOLDINGS LLC | E | Control |
| BROOKE (HOLDCO1), INC. | DE | BROOKE HOLDINGS LLC | E | Control |
| BROOKE (HOLDCO1), INC. | DE | BROOKE HOLDINGS LLC | E | Control |
| BROOKE (HOLDCO1), INC. | DE | BROOKE HOLDINGS LLC | E | Control |
| BROOKE (HOLDCO1), INC. | DE | BROOKE HOLDINGS LLC | E | Control |
| BROOKE (HOLDCO1), INC. | DE | BROOKE HOLDINGS LLC | E | Control |
| BROOKE (HOLDCO1), INC. | DE | BROOKE HOLDINGS LLC | E | Control |
| BROOKE (HOLDCO1), INC. | DE | BROOKE HOLDINGS LLC | E | Control |
| BROOKE (HOLDCO1), INC. | DE | JACKSON HOLDINGS LLC | E | Control |
| BROOKE (HOLDCO1), INC. | DE | JACKSON HOLDINGS LLC | E | Control |
| BROOKE HOLDINGS, INC. | DE | NATIONAL PLANNING HOLDINGS, INC. | E | Control |
| BROOKE HOLDINGS, INC. | DE | NATIONAL PLANNING HOLDINGS, INC. | E | Control |
| BROOKE HOLDINGS, INC. | DE | NATIONAL PLANNING HOLDINGS, INC. | E | Control |
| BROOKE HOLDINGS, INC. | DE | NATIONAL PLANNING HOLDINGS, INC. | E | Control |
| BROOKE HOLDINGS, INC. | DE | NATIONAL PLANNING HOLDINGS, INC. | E | Control |
| BROOKE HOLDINGS, INC. | DE | NATIONAL PLANNING HOLDINGS, INC. | E | Control |
| BROOKE HOLDINGS, INC. | DE | NATIONAL PLANNING HOLDINGS, INC. | E | Control |
| BROOKE HOLDINGS, INC. | DE | NATIONAL PLANNING HOLDINGS, INC. | E | Control |
| BROOKE HOLDINGS, INC. | DE | NATIONAL PLANNING HOLDINGS, INC. | E | Control |
| BROOKE HOLDINGS, INC. | DE | NATIONAL PLANNING HOLDINGS, INC. | E | Control |
| BROOKE HOLDINGS, INC. | DE | NATIONAL PLANNING HOLDINGS, INC. | E | Control |
| BROOKE HOLDINGS, INC. | DE | NATIONAL PLANNING HOLDINGS, INC. | E | Control |
| BROOKE HOLDINGS, INC. | DE | NATIONAL PLANNING HOLDINGS, INC. | E | Control |
| BROOKE HOLDINGS, INC. | DE | NATIONAL PLANNING HOLDINGS, INC. | E | Control |
| BROOKE HOLDINGS, INC. | DE | NATIONAL PLANNING HOLDINGS, INC. | E | Control |
| BROOKE HOLDINGS, INC. | DE | NATIONAL PLANNING HOLDINGS, INC. | E | Control |
| BROOKE HOLDINGS, INC. | DE | NATIONAL PLANNING HOLDINGS, INC. | E | Control |
| BROOKE HOLDINGS, INC. | DE | NATIONAL PLANNING HOLDINGS, INC. | E | Control |
| BROOKE HOLDINGS, LLC | DE | NATIONAL PLANNING HOLDINGS | E | Control |
| BROOKE HOLDINGS, LLC | DE | NATIONAL PLANNING HOLDINGS, INC. | E | Control |
| BROOKE HOLDINGS, LLC | DE | NATIONAL PLANNING HOLDINGS | E | Control |
| BROOKE HOLDINGS, LLC | DE | NATIONAL PLANNING HOLDINGS, INC. | E | Control |
| BROOKE HOLDINGS, LLC | DE | NATIONAL PLANNING HOLDINGS, INC. | E | Control |
| BROOKE HOLDINGS, LLC | DE | NATIONAL PLANNING HOLDINGS | E | Control |
| BROOKE HOLDINGS, LLC | DE | NATIONAL PLANNING HOLDINGS | E | Control |
| BROOKE HOLDINGS, LLC | DE | NATIONAL PLANNING HOLDINGS | E | Control |
| BROOKE HOLDINGS, LLC | DE | NATIONAL PLANNING HOLDINGS | E | Control |
| BROOKE HOLDINGS, LLC | DE | NATIONAL PLANNING HOLDINGS | E | Control |
| BROOKE HOLDINGS, LLC. | DE | NATIONAL PLANNING HOLDINGS, INC. | E | Control |
| BROOKE HOLDINGS, LLC. | DE | NATIONAL PLANNING HOLDINGS, INC. | E | Control |
| BROOKE HOLDINGS, LLC. | DE | NATIONAL PLANNING HOLDINGS, INC. | E | Control |
| BROOKE HOLDINGS, LLC. | DE | NATIONAL PLANNING HOLDINGS, INC. | E | Control |
| BROOKE HOLDINGS, LLC. | DE | NATIONAL PLANNING HOLDINGS, INC. | E | Control |
| BROOKE HOLDINGS, LLC. | DE | NATIONAL PLANNING HOLDINGS, INC. | E | Control |
| BROOKE HOLDINGS, LLC. | DE | NATIONAL PLANNING HOLDINGS, INC. | E | Control |
| BROOKE HOLDINGS, LLC. | DE | NATIONAL PLANNING HOLDINGS, INC. | E | Control |
| BROOKE HOLDINGS, LLC. | DE | NATIONAL PLANNING HOLDINGS, INC. | E | Control |
| BROOKE HOLDINGS, LLC. | DE | NATIONAL PLANNING HOLDINGS, INC. | E | Control |
| BROOKE HOLDINGS, LLC. | DE | NATIONAL PLANNING HOLDINGS, INC. | E | Control |
| BROOKE HOLDINGS, LLC. | DE | NATIONAL PLANNING HOLDINGS, INC. | E | Control |
| BROOKE HOLDINGS, LLC. | DE | NATIONAL PLANNING HOLDINGS, INC. | E | Control |
| BROOKE HOLDINGS, LLC. | DE | NATIONAL PLANNING HOLDINGS, INC. | E | Control |
| BROOKE HOLDINGS, LLC. | DE | NATIONAL PLANNING HOLDINGS, INC. | E | Control |
| BROOKE HOLDINGS, LLC. | DE | NATIONAL PLANNING HOLDINGS, INC. | E | Control |
| BROOKE HOLDINGS, LLC. | DE | NATIONAL PLANNING HOLDINGS, INC. | E | Control |
| BROOKE HOLDINGS, LLC. | DE | NATIONAL PLANNING HOLDINGS, INC. | E | Control |
| BROOKE HOLDINGS, LLC. | DE | NATIONAL PLANNING HOLDINGS, INC. | E | Control |
| BROOKE HOLDINGS, LLC. | DE | NATIONAL PLANNING HOLDINGS, INC. | E | Control |
| BROOKE HOLDINGS, LLC. | DE | NATIONAL PLANNING HOLDINGS, INC. | E | Control |
| BROOKE HOLDINGS, LLC. | DE | NATIONAL PLANNING HOLDINGS, INC. | E | Control |
| BROOKE HOLDINGS, LLC. | DE | NATIONAL PLANNING HOLDINGS, INC. | E | Control |
| BROOKE HOLDINGS, LLC. | DE | NATIONAL PLANNING HOLDINGS, INC. | E | Control |
| BROOKE HOLDINGS, LLC. | DE | NATIONAL PLANNING HOLDINGS, INC. | E | Control |
| BROOKE HOLDINGS, LLC. | DE | NATIONAL PLANNING HOLDINGS, INC. | E | Control |
| BROOKE HOLDINGS, LLC. | DE | NATIONAL PLANNING HOLDINGS, INC. | E | Control |
| BROOKE HOLDINGS, LLC. | DE | NATIONAL PLANNING HOLDINGS, INC. | E | Control |
| BROOKE HOLDINGS, LLC. | DE | NATIONAL PLANNING HOLDINGS, INC. | E | Control |
| BROOKE HOLDINGS, LLC. | DE | NATIONAL PLANNING HOLDINGS, INC. | E | Control |
| BROOKE HOLDINGS, LLC. | DE | NATIONAL PLANNING HOLDINGS, INC. | E | Control |
| BROOKE HOLDINGS, LTD | FE | BROOKE HOLDINGS, INC. | E | Control |
| BROOKE HOLDINGS, LTD | FE | BROOKE HOLDINGS, INC. | E | Control |
| BROOKE HOLDINGS, LTD | FE | BROOKE HOLDINGS, INC | E | Control |
| BROOKE HOLDINGS, LTD | FE | BROOKE HOLDINGS, INC | E | Control |
| BROOKE HOLDINGS, LTD | FE | BROOKE HOLDINGS, INC. | E | Control |
| BROOKE HOLDINGS, LTD | FE | BROOKE HOLDINGS, INC. | E | Control |
| BROOKE HOLDINGS, LTD | FE | BROOKE HOLDINGS, INC. | E | Control |
| BROOKE HOLDINGS, LTD | FE | BROOKE HOLDINGS, INC. | E | Control |
| BROOKE HOLDINGS, LTD | FE | BROOKE HOLDINGS, INC. | E | Control |
| BROOKE HOLDINGS, LTD | FE | BROOKE HOLDINGS, INC | E | Control |
| BROOKE HOLDINGS, LTD | FE | BROOKE HOLDINGS, INC | E | Control |
| BROOKE HOLDINGS, LTD | FE | BROOKE HOLDINGS, INC. | E | Control |
| BROOKE HOLDINGS, LTD | FE | BROOKE HOLDINGS, INC. | E | Control |
| BROOKE HOLDINGS, LTD. | DE | BROOKE HOLDINGS, INC. | E | Control |
| BROOKE HOLDINGS, LTD. | DE | BROOKE HOLDINGS, INC. | E | Control |
| BROOKE UK, LLC | DE | NICOLE FINANCE, INC. | E | Control |
| BROOKE UK, LLC. | DE | NICOLE FINANCE, INC. | E | Control |
| BROOKE UK, LLC. | DE | NICOLE FINANCE, INC. | E | Control |
| BROOKE UK, LLC. | DE | NICOLE FINANCE, INC. | E | Control |
| BROOKE UK, LLC. | DE | NICOLE FINANCE, INC. | E | Control |
| BROOKE UK, LLC. | DE | NICOLE FINANCE, INC. | E | Control |
| BROOKE UK, LLC. | DE | NICOLE FINANCE, INC. | E | Control |
| BROOKE UK, LLC. | DE | NICOLE FINANCE, INC. | E | Control |
| BROOKE UK, LLC. | DE | NICOLE FINANCE, INC. | E | Control |
| BROOKE UK, LLC. | DE | NICOLE FINANCE, INC. | E | Control |
| BROOKE UK, LLC. | DE | NICOLE FINANCE, INC. | E | Control |
| BROOKE UK, LLC. | DE | NICOLE FINANCE, INC. | E | Control |
| BROOKE, GP | DE | NICOLE FINANCE, INC. | E | Control |
| BROOKE, GP | DE | NICOLE FINANCE, INC. | E | Control |
| BROOKE, GP | DE | NICOLE FINANCE, INC. | E | Control |
| BROOKE, GP | DE | NICOLE FINANCE, INC. | E | Control |
| BROOKE, GP | DE | NICOLE FINANCE, INC. | E | Control |
| BROOKE, GP | DE | NICOLE FINANCE, INC. | E | Control |
| BROOKE, GP | DE | NICOLE FINANCE, INC. | E | Control |
| BROOKE, GP | DE | NICOLE FINANCE, INC. | E | Control |
| BROOKE, GP | DE | NICOLE FINANCE, INC. | E | Control |
| BROOKE, LLC | DE | PUS HOLDCO1 LIMITED | E | Control |
| BROOKE, LLC | DE | PUS HOLDCO1 LIMITED | E | Control |
| BROOKE, LLC | DE | PUS HOLDCO1 LIMITED | E | Control |
| BROOKE, LLC | DE | PUS HOLDCO1 LIMITED | E | Control |
| BROOKE, LLC | DE | PUS HOLDCO1 LIMITED | E | Control |
| BROOKE, LLC | DE | PUS HOLDCO1 LIMITED | E | Control |
| BROOKE, LLC | DE | PUS HOLDCO1 LIMITED | E | Control |
| BROOKE, LLC | DE | PUS HOLDCO1 LIMITED | E | Control |
| BROOKE, LLC | DE | PUS HOLDCO1 LIMITED | E | Control |
| BROOKE, LLC | DE | PUS HOLDCO1 LIMITED | E | Control |
| HOLBORN DELAWARE CORPORATION | DE | BROOKE HOLDINGS, LTD | E | Control |
| HOLBORN DELAWARE CORPORATION | DE | BROOKE HOLDINGS, LTD | E | Control |
| HOLBORN DELAWARE CORPORATION | DE | BROOKE HOLDINGS, LTD | E | Control |
| HOLBORN DELAWARE CORPORATION | DE | BROOKE HOLDINGS, LTD | E | Control |
| HOLBORN DELAWARE CORPORATION | DE | BROOKE HOLDINGS, LTD | E | Control |
| HOLBORN DELAWARE CORPORATION | DE | BROOKE HOLDINGS, LTD | E | Control |
| HOLBORN DELAWARE CORPORATION | DE | BROOKE HOLDINGS, LTD | E | Control |
| HOLBORN DELAWARE CORPORATION | DE | BROOKE HOLDINGS, LTD | E | Control |
| HOLBORN DELAWARE CORPORATION | DE | BROOKE HOLDINGS, LTD | E | Control |
| HOLBORN DELAWARE CORPORATION | DE | BROOKE HOLDINGS, LTD. | E | Control |
| HOLBORN DELAWARE CORPORATION | DE | BROOKE HOLDINGS, LTD | E | Control |
| HOLBORN DELAWARE CORPORATION | DE | BROOKE HOLDINGS, LTD | E | Control |
| HOLBORN DELAWARE CORPORATION | DE | BROOKE HOLDINGS, LTD | E | Control |
| HOLBORN DELAWARE CORPORATION | DE | BROOKE HOLDINGS, LTD | E | Control |
| HOLBORN DELAWARE CORPORATION | DE | BROOKE HOLDINGS, LTD. | E | Control |
| HOLBORN DELAWARE PARTNERSHIP | DE | BROOKE HOLDINGS, INC. | E | Control |
| HOLBORN DELAWARE PARTNERSHIP | DE | BROOKE HOLDINGS, INC. | E | Control |
| HOLBORN DELAWARE PARTNERSHIP | DE | BROOKE HOLDINGS, INC. | E | Control |
| HOLBORN DELAWARE, LLC | DE | PUS HOLDCO2 LIMITED | E | Control |
| HOLBORN DELAWARE, LLC | DE | PUS HOLDCO2 LIMITED | E | Control |
| HOLBORN DELAWARE, LLC | DE | PUS HOLDCO2 LIMITED | E | Control |
| HOLBORN DELAWARE, LLC | DE | PUS HOLDCO2 LIMITED | E | Control |
| HOLBORN DELAWARE, LLC | DE | PUS HOLDCO2 LIMITED | E | Control |
| HOLBORN DELAWARE, LLC | DE | PUS HOLDCO2 LIMITED | E | Control |
| HOLBORN DELAWARE, LLC | DE | PUS HOLDCO2 LIMITED | E | Control |
| HOLBORN DELAWARE, LLC | DE | PUS HOLDCO2 LIMITED | E | Control |
| HOLBORN DELAWARE, LLC | DE | PUS HOLDCO2 LIMITED | E | Control |
| HOLBORN DELAWARE, LLC | DE | PUS HOLDCO2 LIMITED | E | Control |
| JACKSON HOLDINGS LLC | DE | NATIONAL PLANNING HOLDINGS, INC. | E | Control |
| JACKSON HOLDINGS LLC | DE | NATIONAL PLANNING HOLDINGS, INC. | E | Control |
| NATIONAL PLANNING HOLDINGS, INC. | DE | IFC HOLDINGS, INC. D/B/A INVEST FINANCIAL CORP | E | Control |
| NATIONAL PLANNING HOLDINGS, INC. | DE | IFC HOLDINGS, INC. D/B/A INVEST FINANCIAL CORP | E | Control |
| NATIONAL PLANNING HOLDINGS, INC. | DE | IFC HOLDINGS, INC. D/B/A INVEST FINANCIAL CORP | E | Control |
| NATIONAL PLANNING HOLDINGS, INC. | DE | INVEST FINANCIAL CORPORATION | E | Control |
| NATIONAL PLANNING HOLDINGS, INC. | DE | IFC HOLDINGS, INC. D/B/A INVEST FINANCIAL CORP | E | Control |
| NATIONAL PLANNING HOLDINGS, INC. | DE | INVEST FINANCIAL CORPORATION | E | Control |
| NATIONAL PLANNING HOLDINGS, INC. | DE | INVEST FINANCIAL CORPORATION | E | Control |
| NATIONAL PLANNING HOLDINGS, INC. | DE | IFC HOLDINGS, INC. D/B/A INVEST FINANCIAL CORP | E | Control |
| NATIONAL PLANNING HOLDINGS, INC. | DE | IFC HOLDINGS, INC. D/B/A INVEST FINANCIAL CORP | E | Control |
| NATIONAL PLANNING HOLDINGS, INC. | DE | IFC HOLDINGS, INC. D/B/A INVEST FINANCIAL CORP | E | Control |
| NATIONAL PLANNING HOLDINGS, INC. | DE | IFC HOLDINGS, INC. D/B/A INVEST FINANCIAL CORP | E | Control |
| NATIONAL PLANNING HOLDINGS, INC. | DE | IFC HOLDINGS, INC. D/B/A INVEST FINANCIAL CORP | E | Control |
| NATIONAL PLANNING HOLDINGS, INC. | DE | IFC HOLDINGS, INC. D/B/A INVEST FINANCIAL CORP | E | Control |
| NATIONAL PLANNING HOLDINGS, INC. | DE | IFC HOLDINGS, INC. D/B/A INVEST FINANCIAL CORP | E | Control |
| NATIONAL PLANNING HOLDINGS, INC. | DE | IFC HOLDINGS, INC. D/B/A INVEST FINANCIAL CORP | E | Control |
| NATIONAL PLANNING HOLDINGS, INC. | DE | IFC HOLDINGS, INC. D/B/A INVEST FINANCIAL CORP | E | Control |
| NATIONAL PLANNING HOLDINGS, INC. | DE | IFC HOLDINGS, INC. D/B/A INVEST FINANCIAL CORP | E | Control |
| NATIONAL PLANNING HOLDINGS, INC. | DE | IFC HOLDINGS, INC. D/B/A INVEST FINANCIAL CORP | E | Control |
| NATIONAL PLANNING HOLDINGS, INC. | DE | INVEST FINANCIAL CORPORATION | E | Control |
| NATIONAL PLANNING HOLDINGS, INC. | DE | INVEST FINANCIAL CORPORATION | E | Control |
| NATIONAL PLANNING HOLDINGS, INC. | DE | INVEST FINANCIAL CORPORATION | E | Control |
| NATIONAL PLANNING HOLDINGS, INC. | DE | INVEST FINANCIAL CORPORATION | E | Control |
| NATIONAL PLANNING HOLDINGS, INC. | DE | INVEST FINANCIAL CORPORATION | E | Control |
| NATIONAL PLANNING HOLDINGS, INC. | DE | INVEST FINANCIAL CORPORATION | E | Control |
| NATIONAL PLANNING HOLDINGS, INC. | DE | INVEST FINANCIAL CORPORATION | E | Control |
| NATIONAL PLANNING HOLDINGS, INC. | DE | INVEST FINANCIAL CORPORATION | E | Control |
| NATIONAL PLANNING HOLDINGS, INC. | DE | INVEST FINANCIAL CORPORATION | E | Control |
| NATIONAL PLANNING HOLDINGS, INC. | DE | INVEST FINANCIAL CORPORATION | E | Control |
| NATIONAL PLANNING HOLDINGS, INC. | DE | INVEST FINANCIAL CORPORATION | E | Control |
| NATIONAL PLANNING HOLDINGS, INC. | DE | INVEST FINANCIAL CORPORATION | E | Control |
| NATIONAL PLANNING HOLDINGS, INC. | DE | INVEST FINANCIAL CORPORATION | E | Control |
| NATIONAL PLANNING HOLDINGS, INC. | DE | INVEST FINANCIAL CORPORATION | E | Control |
| NATIONAL PLANNING HOLDINGS, INC. | DE | INVEST FINANCIAL CORPORATION | E | Control |
| NATIONAL PLANNING HOLDINGS, INC. | DE | INVEST FINANCIAL CORPORATION | E | Control |
| NATIONAL PLANNING HOLDINGS, INC. | DE | INVEST FINANCIAL CORPORATION | E | Control |
| NATIONAL PLANNING HOLDINGS, INC. | DE | INVEST FINANCIAL CORPORATION | E | Control |
| NATIONAL PLANNING HOLDINGS, INC. | DE | INVEST FINANCIAL CORPORATION | E | Control |
| NATIONAL PLANNING HOLDINGS, INC. | DE | INVEST FINANCIAL CORPORATION | E | Control |
| NATIONAL PLANNING HOLDINGS, INC. | DE | INVEST FINANCIAL CORPORATION | E | Control |
| NATIONAL PLANNING HOLDINGS, INC. | DE | INVEST FINANCIAL CORPORATION | E | Control |
| NATIONAL PLANNING HOLDINGS, INC. | DE | INVEST FINANCIAL CORPORATION | E | Control |
| NATIONAL PLANNING HOLDINGS, INC. | DE | INVEST FINANCIAL CORPORATION | E | Control |
| NATIONAL PLANNING HOLDINGS, INC. | DE | INVEST FINANCIAL CORPORATION | E | Control |
| NATIONAL PLANNING HOLDINGS, INC. | DE | INVEST FINANCIAL CORPORATION | E | Control |
| NATIONAL PLANNING HOLDINGS, INC. | DE | INVEST FINANCIAL CORPORATION | E | Control |
| NATIONAL PLANNING HOLDINGS, INC. | DE | INVEST FINANCIAL CORPORATION | E | Control |
| NATIONAL PLANNING HOLDINGS, INC. | DE | INVEST FINANCIAL CORPORATION | E | Control |
| NATIONAL PLANNING HOLDINGS, INC. | DE | INVEST FINANCIAL CORPORATION | E | Control |
| NATIONAL PLANNING HOLDINGS, INC. | DE | INVEST FINANCIAL CORPORATION | E | Control |
| NATIONAL PLANNING HOLDINGS, INC. | DE | INVEST FINANCIAL CORPORATION | E | Control |
| NATIONAL PLANNING HOLDINGS, INC. | DE | INVEST FINANCIAL CORPORATION | E | Control |
| NICOLE FINANCE, INC. | DE | BROOKE HOLDINGS, LLC | E | Control |
| NICOLE FINANCE, INC. | DE | BROOKE HOLDINGS, LLC | E | Control |
| NICOLE FINANCE, INC. | DE | BROOKE HOLDINGS, LLC | E | Control |
| NICOLE FINANCE, INC. | DE | BROOKE HOLDINGS, LLC | E | Control |
| NICOLE FINANCE, INC. | DE | BROOKE HOLDINGS, LLC | E | Control |
| NICOLE FINANCE, INC. | DE | BROOKE HOLDINGS, LLC | E | Control |
| NICOLE FINANCE, INC. | DE | BROOKE HOLDINGS, LLC | E | Control |
| NICOLE FINANCE, INC. | DE | BROOKE HOLDINGS, LLC | E | Control |
| NICOLE FINANCE, INC. | DE | BROOKE HOLDINGS, LLC | E | Control |
| NICOLE FINANCE, INC. | DE | BROOKE HOLDINGS, LLC | E | Control |
| NICOLE FINANCE, INC. | DE | BROOKE HOLDINGS, LLC. | E | Control |
| NICOLE FINANCE, INC. | DE | BROOKE HOLDINGS, LLC. | E | Control |
| NICOLE FINANCE, INC. | DE | BROOKE HOLDINGS, LLC. | E | Control |
| NICOLE FINANCE, INC. | DE | BROOKE HOLDINGS, LLC. | E | Control |
| NICOLE FINANCE, INC. | DE | BROOKE HOLDINGS, LLC. | E | Control |
| NICOLE FINANCE, INC. | DE | BROOKE HOLDINGS, LLC. | E | Control |
| NICOLE FINANCE, INC. | DE | BROOKE HOLDINGS, LLC. | E | Control |
| NICOLE FINANCE, INC. | DE | BROOKE HOLDINGS, LLC. | E | Control |
| NICOLE FINANCE, INC. | DE | BROOKE HOLDINGS, LLC. | E | Control |
| NICOLE FINANCE, INC. | DE | BROOKE HOLDINGS, LLC. | E | Control |
| NICOLE FINANCE, INC. | DE | BROOKE HOLDINGS, LLC. | E | Control |
| PRUDENTIAL (US HOLDCO1) | FE | BROOKE (HOLDCO1), INC. | E | Control |
| PRUDENTIAL (US HOLDCO1) | FE | BROOKE (HOLDCO1), INC. | E | Control |
| PRUDENTIAL (US HOLDCO1) | FE | BROOKE (HOLDCO1), INC. | E | Control |
| PRUDENTIAL (US HOLDCO1) | FE | BROOKE (HOLDCO1), INC. | E | Control |
| PRUDENTIAL (US HOLDCO1) | FE | BROOKE (HOLDCO1), INC. | E | Control |
| PRUDENTIAL (US HOLDCO1) | FE | BROOKE (HOLDCO1), INC. | E | Control |
| PRUDENTIAL (US HOLDCO1) | FE | BROOKE (HOLDCO1), INC. | E | Control |
| PRUDENTIAL (US HOLDCO1) | FE | BROOKE (HOLDCO1), INC. | E | Control |
| PRUDENTIAL (US HOLDCO1) | FE | BROOKE (HOLDCO1), INC. | E | Control |
| PRUDENTIAL (US HOLDCO1) | FE | BROOKE (HOLDCO1), INC. | E | Control |
| PRUDENTIAL (US HOLDCO1) | FE | BROOKE (HOLDCO1), INC. | E | Control |
| PRUDENTIAL (US HOLDCO1) | FE | BROOKE (HOLDCO1), INC. | E | Control |
| PRUDENTIAL (US HOLDCO1) | FE | BROOKE (HOLDCO1), INC. | E | Control |
| PRUDENTIAL (US HOLDCO1) | FE | BROOKE (HOLDCO1), INC. | E | Control |
| PRUDENTIAL (US HOLDCO1) | FE | BROOKE (HOLDCO1), INC. | E | Control |
| PRUDENTIAL (US HOLDCO1) | FE | BROOKE (HOLDCO1), INC. | E | Control |
| PRUDENTIAL (US HOLDCO1) | FE | BROOKE (HOLDCO1), INC. | E | Control |
| PRUDENTIAL (US HOLDCO1) | FE | BROOKE (HOLDCO1), INC. | E | Control |
| PRUDENTIAL (US HOLDCO1) | FE | BROOKE (HOLDCO1), INC. | E | Control |
| PRUDENTIAL (US HOLDCO1) | FE | BROOKE (HOLDCO1), INC. | E | Control |
| PRUDENTIAL (US HOLDCO1) | FE | BROOKE (HOLDCO1), INC. | E | Control |
| PRUDENTIAL (US HOLDCO1) BV | FE | PRUDENTIAL (US HOLDCO2) BV | E | Control |
| PRUDENTIAL (US HOLDCO1) BV | FE | PRUDENTIAL (US HOLDCO2) BV | E | Control |
| PRUDENTIAL (US HOLDCO1) BV | FE | PRUDENTIAL (US HOLDCO2) BV | E | Control |
| PRUDENTIAL (US HOLDCO1) BV | FE | PRUDENTIAL (US HOLDCO2) BV | E | Control |
| PRUDENTIAL (US HOLDCO1) BV | FE | PRUDENTIAL (US HOLDCO2) BV | E | Control |
| PRUDENTIAL (US HOLDCO1) BV | FE | PRUDENTIAL (US HOLDCO2) BV | E | Control |
| PRUDENTIAL (US HOLDCO1) BV | FE | PRUDENTIAL (US HOLDCO2) BV | E | Control |
| PRUDENTIAL (US HOLDCO1) BV | FE | PRUDENTIAL (US HOLDCO2) BV | E | Control |
| PRUDENTIAL (US HOLDCO1) BV | FE | PRUDENTIAL (US HOLDCO2) BV | E | Control |
| PRUDENTIAL (US HOLDCO2) BV | FE | PRUDENTIAL (US HOLDCO3) | E | Control |
| PRUDENTIAL (US HOLDCO2) BV | FE | PRUDENTIAL (US HOLDCO3) BV | E | Control |
| PRUDENTIAL (US HOLDCO2) BV | FE | PRUDENTIAL (US HOLDCO3) | E | Control |
| PRUDENTIAL (US HOLDCO2) BV | FE | PRUDENTIAL (US HOLDCO3) BV | E | Control |
| PRUDENTIAL (US HOLDCO2) BV | FE | PRUDENTIAL (US HOLDCO3) | E | Control |
| PRUDENTIAL (US HOLDCO2) BV | FE | PRUDENTIAL (US HOLDCO3) | E | Control |
| PRUDENTIAL (US HOLDCO2) BV | FE | PRUDENTIAL (US HOLDCO3) | E | Control |
| PRUDENTIAL (US HOLDCO2) BV | FE | PRUDENTIAL (US HOLDCO3) | E | Control |
| PRUDENTIAL (US HOLDCO2) BV | FE | PRUDENTIAL (US HOLDCO3) | E | Control |
| PRUDENTIAL (US HOLDCO3) BV | FE | BROOKE (HOLDCO1), INC. | E | Control |
| PRUDENTIAL (US HOLDCO3) BV | FE | BROOKE (HOLDCO1), INC. | E | Control |
| PRUDENTIAL (US HOLDCO3) BV | FE | BROOKE (HOLDCO1), INC. | E | Control |
| PRUDENTIAL (US HOLDCO3) BV | FE | BROOKE (HOLDCO1), INC. | E | Control |
| PRUDENTIAL (US HOLDCO3) BV | FE | BROOKE (HOLDCO1), INC. | E | Control |
| PRUDENTIAL (US HOLDCO3) BV | FE | BROOKE (HOLDCO1), INC. | E | Control |
| PRUDENTIAL (US HOLDCO3) BV | FE | BROOKE (HOLDCO1), INC. | E | Control |
| PRUDENTIAL (US HOLDCO3) BV | FE | BROOKE (HOLDCO1), INC. | E | Control |
| PRUDENTIAL (US HOLDCO3) BV | FE | BROOKE (HOLDCO1), INC. | E | Control |
| PRUDENTIAL CORPORATION HOLDINGS, INC. | FE | PRUDENTIAL, PLC | E | Control |
| PRUDENTIAL CORPORATION HOLDINGS, INC. | FE | PRUDENTIAL, PLC | E | Control |
| PRUDENTIAL CORPORATION HOLDINGS, INC. | FE | PRUDENTIAL, PLC | E | Control |
| PRUDENTIAL CORPORATION HOLDINGS, INC. | FE | PRUDENTIAL, PLC | E | Control |
| PRUDENTIAL CORPORATION HOLDINGS, LTD. | FE | PRUDENTIAL ONE, LTD. | E | Control |
| PRUDENTIAL CORPORATION HOLDINGS, LTD. | FE | PRUDENTIAL ONE, LTD. | E | Control |
| PRUDENTIAL CORPORATION HOLDINGS, LTD. | FE | PRUDENTIAL ONE, LTD. | E | Control |
| PRUDENTIAL CORPORATION HOLDINGS, LTD. | FE | PRUDENTIAL ONE, LTD. | E | Control |
| PRUDENTIAL CORPORATION HOLDINGS, LTD. | FE | PRUDENTIAL ONE, LTD. | E | Control |
| PRUDENTIAL CORPORATIONS HOLDINGS, LIMITED | FE | PRUDENTIAL ONE LIMITED | E | Control |
| PRUDENTIAL CORPORATIONS HOLDINGS, LIMITED | FE | PRUDENTIAL ONE, LIMITED | E | Control |
| PRUDENTIAL CORPORATIONS HOLDINGS, LIMITED | FE | PRUDENTIAL ONE, LIMITED | E | Control |
| PRUDENTIAL CORPORATIONS HOLDINGS, LIMITED | FE | PRUDENTIAL ONE, LIMITED | E | Control |
| PRUDENTIAL CORPORATIONS HOLDINGS, LIMITED | FE | PRUDENTIAL ONE, LIMITED | E | Control |
| PRUDENTIAL CORPORATIONS HOLDINGS, LIMITED | FE | PRUDENTIAL ONE LIMITED | E | Control |
| PRUDENTIAL CORPORATIONS HOLDINGS, LIMITED | FE | PRUDENTIAL ONE LIMITED | E | Control |
| PRUDENTIAL CORPORATIONS HOLDINGS, LIMITED | FE | PRUDENTIAL ONE LIMITED | E | Control |
| PRUDENTIAL CORPORATIONS HOLDINGS, LIMITED | FE | PRUDENTIAL ONE LIMITED | E | Control |
| PRUDENTIAL CORPORATIONS HOLDINGS, LIMITED | FE | PRUDENTIAL ONE LIMITED | E | Control |
| PRUDENTIAL FOUR, LIMITED | FE | HOLBORN DELAWARE, LLC | E | Control |
| PRUDENTIAL FOUR, LIMITED | FE | HOLBORN DELAWARE, LLC | E | Control |
| PRUDENTIAL FOUR, LIMITED | FE | HOLBORN DELAWARE, LLC | E | Control |
| PRUDENTIAL FOUR, LIMITED | FE | HOLBORN DELAWARE, LLC | E | Control |
| PRUDENTIAL FOUR, LIMITED | FE | HOLBORN DELAWARE, LLC | E | Control |
| PRUDENTIAL FOUR, LIMITED | FE | HOLBORN DELAWARE, LLC | E | Control |
| PRUDENTIAL FOUR, LIMITED | FE | HOLBORN DELAWARE, LLC | E | Control |
| PRUDENTIAL FOUR, LIMITED | FE | HOLBORN DELAWARE, LLC | E | Control |
| PRUDENTIAL FOUR, LIMITED | FE | HOLBORN DELAWARE, LLC | E | Control |
| PRUDENTIAL FOUR, LIMITED | FE | HOLBORN DELAWARE, LLC | E | Control |
| PRUDENTIAL FOUR, LTD | FE | HOLBORN DELAWARE CORPORATION | E | Control |
| PRUDENTIAL FOUR, LTD | FE | HOLBORN DELAWARE CORPORATION | E | Control |
| PRUDENTIAL FOUR, LTD | FE | HOLBORN DELAWARE CORPORATION | E | Control |
| PRUDENTIAL FOUR, LTD | FE | HOLBORN DELAWARE CORPORATION | E | Control |
| PRUDENTIAL FOUR, LTD | FE | HOLBORN DELAWARE CORPORATION | E | Control |
| PRUDENTIAL FOUR, LTD | FE | HOLBORN DELAWARE CORPORATION | E | Control |
| PRUDENTIAL FOUR, LTD | FE | HOLBORN DELAWARE CORPORATION | E | Control |
| PRUDENTIAL FOUR, LTD | FE | HOLBORN DELAWARE CORPORATION | E | Control |
| PRUDENTIAL FOUR, LTD | FE | HOLBORN DELAWARE CORPORATION | E | Control |
| PRUDENTIAL FOUR, LTD | FE | HOLBORN DELAWARE CORPORATION | E | Control |
| PRUDENTIAL FOUR, LTD | FE | HOLBORN DELAWARE CORPORATION | E | Control |
| PRUDENTIAL FOUR, LTD | FE | HOLBORN DELAWARE CORPORATION | E | Control |
| PRUDENTIAL FOUR, LTD | FE | HOLBORN DELAWARE CORPORATION | E | Control |
| PRUDENTIAL HOLDINGS LIMITED | FE | PRUDENTIAL CORPORATIONS HOLDINGS, LIMITED | E | Control |
| PRUDENTIAL HOLDINGS LIMITED | FE | PRUDENTIAL CORPORATIONS HOLDINGS, LIMITED | E | Control |
| PRUDENTIAL HOLDINGS LIMITED | FE | PRUDENTIAL CORPORATIONS HOLDINGS, LIMITED | E | Control |
| PRUDENTIAL HOLDINGS LIMITED | FE | PRUDENTIAL CORPORATIONS HOLDINGS, LIMITED | E | Control |
| PRUDENTIAL HOLDINGS LIMITED | FE | PRUDENTIAL CORPORATIONS HOLDINGS, LIMITED | E | Control |
| PRUDENTIAL HOLDINGS LIMITED | FE | PRUDENTIAL CORPORATIONS HOLDINGS, LIMITED | E | Control |
| PRUDENTIAL HOLDINGS LIMITED | FE | PRUDENTIAL CORPORATIONS HOLDINGS, LIMITED | E | Control |
| PRUDENTIAL HOLDINGS LIMITED | FE | PRUDENTIAL CORPORATIONS HOLDINGS, LIMITED | E | Control |
| PRUDENTIAL HOLDINGS LIMITED | FE | PRUDENTIAL CORPORATIONS HOLDINGS, LIMITED | E | Control |
| PRUDENTIAL HOLDINGS LIMITED | FE | PRUDENTIAL CORPORATIONS HOLDINGS, LIMITED | E | Control |
| PRUDENTIAL HOLDINGS, LTD. | FE | PRUDENTIAL CORPORATION HOLDINGS, LTD. | E | Control |
| PRUDENTIAL ONE LIMITED | FE | PRUDENTIAL FOUR LIMITED | E | Control |
| PRUDENTIAL ONE LIMITED | FE | PRUDENTIAL FOUR, LIMITED | E | Control |
| PRUDENTIAL ONE LIMITED | FE | PRUDENTIAL FOUR LIMITED | E | Control |
| PRUDENTIAL ONE LIMITED | FE | PRUDENTIAL FOUR, LIMITED | E | Control |
| PRUDENTIAL ONE LIMITED | FE | PRUDENTIAL FOUR, LIMITED | E | Control |
| PRUDENTIAL ONE LIMITED | FE | PRUDENTIAL FOUR LIMITED | E | Control |
| PRUDENTIAL ONE LIMITED | FE | PRUDENTIAL FOUR LIMITED | E | Control |
| PRUDENTIAL ONE LIMITED | FE | PRUDENTIAL FOUR LIMITED | E | Control |
| PRUDENTIAL ONE LIMITED | FE | PRUDENTIAL FOUR LIMITED | E | Control |
| PRUDENTIAL ONE LIMITED | FE | PRUDENTIAL FOUR LIMITED | E | Control |
| PRUDENTIAL ONE, LTD | FE | PRUDENTIAL, FOUR, LTD. | E | Control |
| PRUDENTIAL ONE, LTD | FE | PRUDENTIAL, FOUR, LTD. | E | Control |
| PRUDENTIAL ONE, LTD | FE | PRUDENTIAL FOUR, LTD. | E | Control |
| PRUDENTIAL ONE, LTD | FE | PRUDENTIAL FOUR, LTD. | E | Control |
| PRUDENTIAL ONE, LTD | FE | PRUDENTIAL, FOUR, LTD. | E | Control |
| PRUDENTIAL ONE, LTD | FE | PRUDENTIAL, FOUR, LTD. | E | Control |
| PRUDENTIAL ONE, LTD | FE | PRUDENTIAL, FOUR, LTD. | E | Control |
| PRUDENTIAL ONE, LTD | FE | PRUDENTIAL, FOUR, LTD. | E | Control |
| PRUDENTIAL ONE, LTD | FE | PRUDENTIAL, FOUR, LTD. | E | Control |
| PRUDENTIAL ONE, LTD | FE | PRUDENTIAL FOUR, LTD. | E | Control |
| PRUDENTIAL ONE, LTD | FE | PRUDENTIAL FOUR, LTD. | E | Control |
| PRUDENTIAL ONE, LTD | FE | PRUDENTIAL, FOUR, LTD. | E | Control |
| PRUDENTIAL ONE, LTD | FE | PRUDENTIAL, FOUR, LTD. | E | Control |
| PRUDENTIAL ONE, LTD. | FE | HOLBORN DELAWARE PARTNERSHIP | E | Control |
| PRUDENTIAL ONE, LTD. | FE | HOLBORN DELAWARE PARTNERSHIP | E | Control |
| PRUDENTIAL ONE, LTD. | FE | HOLBORN DELAWARE PARTNERSHIP | E | Control |
| PRUDENTIAL ONE, LTD. | FE | HOLBORN DELAWARE CORPORATION | E | Control |
| PRUDENTIAL ONE, LTD. | FE | HOLBORN DELAWARE CORPORATION | E | Control |
| PRUDENTIAL PLC | FE | PRUDENTIAL CORP HOLDINGS, INC. | E | Control |
| PRUDENTIAL PLC | FE | PRUDENTIAL CORP HOLDINGS, INC. | E | Control |
| PRUDENTIAL PLC | FE | PRUDENTIAL CORP HOLDINGS, INC. | E | Control |
| PRUDENTIAL PLC | FE | PRUDENTIAL CORP HOLDINGS, LTD. | E | Control |
| PRUDENTIAL PLC | FE | PRUDENTIAL CORP HOLDINGS, LTD. | E | Control |
| PRUDENTIAL US, LTD. | FE | PUS HOLDCO1, LTD. | E | Control |
| PRUDENTIAL US, LTD. | FE | PUS HOLDCO1, LTD. | E | Control |
| PRUDENTIAL US, LTD. | FE | PUS HOLDCO1, LTD. | E | Control |
| PRUDENTIAL US, LTD. | FE | PUS HOLDCO1, LTD. | E | Control |
| PRUDENTIAL US, LTD. | FE | PUS HOLDCO1, LTD. | E | Control |
| PRUDENTIAL US, LTD. | FE | PUS HOLDCO1, LTD. | E | Control |
| PRUDENTIAL US, LTD. | FE | PUS HOLDCO1, LTD. | E | Control |
| PRUDENTIAL US, LTD. | FE | PUS HOLDCO1, LTD. | E | Control |
| PRUDENTIAL US, LTD. | FE | PUS HOLDCO1, LTD. | E | Control |
| PRUDENTIAL US, LTD. | FE | PUS HOLDCO1, LTD. | E | Control |
| PRUDENTIAL US, LTD. | FE | PUS HOLDCO1, LTD. | E | Control |
| PRUDENTIAL, PLC | FE | PRUDENTIAL HOLDINGS, LTC | E | Control |
| PRUDENTIAL, PLC | FE | PRUDENTIAL HOLDINGS, LTD. | E | Control |
| PRUDENTIAL, PLC | FE | PRUDENTIAL HOLDINGS, LIMITED | E | Control |
| PRUDENTIAL, PLC | FE | PRUDENTIAL HOLDINGS, LIMITED | E | Control |
| PRUDENTIAL, PLC | FE | PRUDENTIAL ONE, LTD. | E | Control |
| PRUDENTIAL, PLC | FE | PRUDENTIAL ONE, LTD. | E | Control |
| PRUDENTIAL, PLC | FE | PRUDENTIAL ONE, LTD. | E | Control |
| PRUDENTIAL, PLC | FE | PRUDENTIAL HOLDINGS, LIMITED | E | Control |
| PRUDENTIAL, PLC | FE | PRUDENTIAL HOLDINGS, LIMITED | E | Control |
| PRUDENTIAL, PLC | FE | PRUDENTIAL HOLDINGS, LTC | E | Control |
| PRUDENTIAL, PLC | FE | PRUDENTIAL HOLDINGS, LTC | E | Control |
| PRUDENTIAL, PLC | FE | PRUDENTIAL HOLDINGS, LTC | E | Control |
| PRUDENTIAL, PLC | FE | PRUDENTIAL HOLDINGS, LTC | E | Control |
| PRUDENTIAL, PLC | FE | PRUDENTIAL ONE, LTD. | E | Control |
| PRUDENTIAL, PLC | FE | PRUDENTIAL ONE, LTD. | E | Control |
| PRUDENTIAL, PLC | FE | PRUDENTIAL ONE, LTD. | E | Control |
| PRUDENTIAL, PLC | FE | PRUDENTIAL ONE, LTD. | E | Control |
| PRUDENTIAL, PLC | FE | PRUDENTIAL ONE, LTD. | E | Control |
| PRUDENTIAL, PLC | FE | PRUDENTIAL ONE, LTD. | E | Control |
| PRUDENTIAL, PLC | FE | PRUDENTIAL ONE, LTD. | E | Control |
| PRUDENTIAL, PLC | FE | PRUDENTIAL ONE, LTD. | E | Control |
| PRUDENTIAL, PLC | FE | PRUDENTIAL ONE, LTD. | E | Control |
| PRUDENTIAL, PLC | FE | PRUDENTIAL HOLDINGS, LTC | E | Control |
| PRUDENTIAL, PLC. | FE | PRUDENTIAL US, LTD. | E | Control |
| PRUDENTIAL, PLC. | FE | PRUDENTIAL US, LTD. | E | Control |
| PRUDENTIAL, PLC. | FE | PRUDENTIAL US, LTD. | E | Control |
| PRUDENTIAL, PLC. | FE | PRUDENTIAL US, LTD. | E | Control |
| PRUDENTIAL, PLC. | FE | PRUDENTIAL US, LTD. | E | Control |
| PRUDENTIAL, PLC. | FE | PRUDENTIAL US, LTD. | E | Control |
| PRUDENTIAL, PLC. | FE | PRUDENTIAL US, LTD. | E | Control |
| PRUDENTIAL, PLC. | FE | PRUDENTIAL US, LTD. | E | Control |
| PRUDENTIAL, PLC. | FE | PRUDENTIAL US, LTD. | E | Control |
| PRUDENTIAL, PLC. | FE | PRUDENTIAL US, LTD. | E | Control |
| PRUDENTIAL, PLC. | FE | PRUDENTIAL US, LTD. | E | Control |
| PRUDENTIAL, PLC. | FE | PRUDENTIAL (US HOLDCO 1) | E | Control |
| PRUDENTIAL, PLC. | FE | PRUDENTIAL (US HOLDCO 1) | E | Control |
| PRUDENTIAL, PLC. | FE | PRUDENTIAL (US HOLDCO 1) | E | Control |
| PRUDENTIAL, PLC. | FE | PRUDENTIAL (US HOLDCO 1) | E | Control |
| PRUDENTIAL, PLC. | FE | PRUDENTIAL (US HOLDCO 1) | E | Control |
| PRUDENTIAL, PLC. | FE | PRUDENTIAL (US HOLDCO 1) | E | Control |
| PRUDENTIAL, PLC. | FE | PRUDENTIAL (US HOLDCO 1) | E | Control |
| PRUDENTIAL, PLC. | FE | PRUDENTIAL (US HOLDCO 1) | E | Control |
| PRUDENTIAL, PLC. | FE | PRUDENTIAL (US HOLDCO 1) | E | Control |
| PRUDENTIAL, PLC. | FE | PRUDENTIAL (US HOLDCO 1) | E | Control |
| PRUDENTIAL, PLC. | FE | PRUDENTIAL US, LTD. | E | Control |
| PRUDENTIAL, PLC. | FE | PRUDENTIAL (US HOLDCO 1) | E | Control |
| PRUDENTIAL, PLC. | FE | PRUDENTIAL (US HOLDCO 1) | E | Control |
| PRUDENTIAL, PLC. | FE | PRUDENTIAL (US HOLDCO 1) | E | Control |
| PRUDENTIAL, PLC. | FE | PRUDENTIAL (US HOLDCO 1) | E | Control |
| PRUDENTIAL, PLC. | FE | PRUDENTIAL (US HOLDCO 1) | E | Control |
| PRUDENTIAL, PLC. | FE | PRUDENTIAL (US HOLDCO 1) | E | Control |
| PRUDENTIAL, PLC. | FE | PRUDENTIAL (US HOLDCO 1) | E | Control |
| PRUDENTIAL, PLC. | FE | PRUDENTIAL (US HOLDCO 1) | E | Control |
| PRUDENTIAL, PLC. | FE | PRUDENTIAL (US HOLDCO 1) | E | Control |
| PRUDENTIAL, PLC. | FE | PRUDENTIAL (US HOLDCO 1) | E | Control |
| PRUDENTIAL, PLC. | FE | PRUDENTIAL (US HOLDCO 1) | E | Control |
| PUS HOLDCO1 LIMITED | FE | PRUDENTIAL (US HOLDCO1) BV | E | Control |
| PUS HOLDCO1 LIMITED | FE | PRUDENTIAL (US HOLDCO1) BV | E | Control |
| PUS HOLDCO1 LIMITED | FE | PRUDENTIAL (US HOLDCO1) BV | E | Control |
| PUS HOLDCO1 LIMITED | FE | PRUDENTIAL (US HOLDCO1) BV | E | Control |
| PUS HOLDCO1 LIMITED | FE | PRUDENTIAL (US HOLDCO1) BV | E | Control |
| PUS HOLDCO1 LIMITED | FE | PRUDENTIAL (US HOLDCO1) BV | E | Control |
| PUS HOLDCO1 LIMITED | FE | PRUDENTIAL (US HOLDCO1) BV | E | Control |
| PUS HOLDCO1 LIMITED | FE | PRUDENTIAL (US HOLDCO1) BV | E | Control |
| PUS HOLDCO1 LIMITED | FE | PRUDENTIAL (US HOLDCO1) BV | E | Control |
| PUS HOLDCO1 LIMITED | FE | PRUDENTIAL (US HOLDCO1) BV | E | Control |
| PUS HOLDCO1, LTD. | FE | BROOKE (HOLDCO1), INC. | E | Control |
| PUS HOLDCO1, LTD. | FE | BROOKE (HOLDCO1), INC. | E | Control |
| PUS HOLDCO1, LTD. | FE | BROOKE (HOLDCO1), INC. | E | Control |
| PUS HOLDCO1, LTD. | FE | BROOKE (HOLDCO1), INC. | E | Control |
| PUS HOLDCO1, LTD. | FE | BROOKE (HOLDCO1), INC. | E | Control |
| PUS HOLDCO1, LTD. | FE | BROOKE (HOLDCO1), INC. | E | Control |
| PUS HOLDCO1, LTD. | FE | BROOKE (HOLDCO1), INC. | E | Control |
| PUS HOLDCO1, LTD. | FE | BROOKE (HOLDCO1), INC. | E | Control |
| PUS HOLDCO1, LTD. | FE | BROOKE (HOLDCO1), INC. | E | Control |
| PUS HOLDCO1, LTD. | FE | BROOKE (HOLDCO1), INC. | E | Control |
| PUS HOLDCO1, LTD. | FE | BROOKE (HOLDCO1), INC. | E | Control |
| PUS HOLDCO1, LTD. | FE | BROOKE (HOLDCO1), INC. | E | Control |
| PUS HOLDCO2 LIMITED | FE | BROOKE LLC | E | Control |
| PUS HOLDCO2 LIMITED | FE | BROOKE LLC | E | Control |
| PUS HOLDCO2 LIMITED | FE | BROOKE LLC | E | Control |
| PUS HOLDCO2 LIMITED | FE | BROOKE LLC | E | Control |
| PUS HOLDCO2 LIMITED | FE | BROOKE LLC | E | Control |
| PUS HOLDCO2 LIMITED | FE | BROOKE LLC | E | Control |
| PUS HOLDCO2 LIMITED | FE | BROOKE LLC | E | Control |
| PUS HOLDCO2 LIMITED | FE | BROOKE LLC | E | Control |
| PUS HOLDCO2 LIMITED | FE | BROOKE LLC | E | Control |
| PUS HOLDCO2 LIMITED | FE | BROOKE LLC | E | Control |
| PRUDENTIAL CORPORATION HOLDINGS, LTD. | FE | PRUDENTIAL ONE, LTD. | C | Control |
Registrations
Federal
IA
Jun 13, 2018 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
5555 W GRANDE MARKET DRIVEAPPLETON, WI 54913-8403
United States
Phone: 866-275-4422