CETERA INVESTMENT MANAGEMENT LLC
CRD #165436 SEC #801-77403 SCHAMBURG, IL 310-257-7880
SEC Registered
Total AUM
--
Discretionary
--
Employees
23
Clients
0
Accounts
--
Firm Details
- Organization Type
- Limited Liability Company
- State of Formation
- Delaware
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Nov 4, 2025
- Branch Offices
- 4
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| ANTONIADES, ADAM, NICHOLAS | I | MANAGER | NA | Control |
| ANTONIADES, ADAM, NICHOLAS | I | MANAGER | NA | Control |
| ANTONIADES, ADAM, NICHOLAS | I | MANAGER | NA | Control |
| ANTONIADES, ADAM, NICHOLAS | I | MANAGER | NA | Control |
| ANTONIADES, ADAM, NICHOLAS | I | MANAGER | NA | Control |
| ANTONIADES, ADAM, NICHOLAS | I | MANAGER | NA | Control |
| ANTONIADES, ADAM, NICHOLAS | I | MANAGER | NA | Control |
| ANTONIADES, ADAM, NICHOLAS | I | MANAGER | NA | Control |
| ANTONIADES, ADAM, NICHOLAS | I | MANAGER | NA | Control |
| ANTONIADES, ADAM, NICHOLAS | I | MANAGER | NA | Control |
| ANTONIADES, ADAM, NICHOLAS | I | MANAGER | NA | Control |
| ANTONIADES, ADAM, NICHOLAS | I | MANAGER | NA | Control |
| ANTONIADES, ADAM, NICHOLAS | I | MANAGER | NA | Control |
| ANTONIADES, ADAM, NICHOLAS | I | MANAGER | NA | Control |
| ANTONIADES, ADAM, NICHOLAS | I | MANAGER | NA | Control |
| ANTONIADES, ADAM, NICHOLAS | I | MANAGER | NA | Control |
| ANTONIADES, ADAM, NICHOLAS | I | MANAGER | NA | Control |
| ANTONIADES, ADAM, NICHOLAS | I | MANAGER | NA | Control |
| ANTONIADES, ADAM, NICHOLAS | I | MANAGER | NA | Control |
| ANTONIADES, ADAM, NICHOLAS | I | MANAGER | NA | Control |
| ANTONIADES, ADAM, NICHOLAS | I | MANAGER | NA | Control |
| BALLARD, JAMES, DAVID | I | MANAGER | NA | Control |
| BALLARD, JAMES, DAVID | I | MANAGER | NA | Control |
| BALLARD, JAMES, DAVID | I | MANAGER | NA | Control |
| BALLARD, JAMES, DAVID | I | MANAGER | NA | Control |
| BALLARD, JAMES, DAVID | I | MANAGER | NA | Control |
| BALLARD, JAMES, DAVID | I | MANAGER | NA | Control |
| BALLARD, JAMES, DAVID | I | MANAGER | NA | Control |
| BALLARD, JAMES, DAVID | I | MANAGER | NA | Control |
| BALLARD, JAMES, DAVID | I | MANAGER | NA | Control |
| BALLARD, JAMES, DAVID | I | MANAGER | NA | Control |
| BALLARD, JAMES, DAVID | I | MANAGER | NA | Control |
| BALLARD, JAMES, DAVID | I | MANAGER | NA | Control |
| BOROWSKI, LUANNE, MARIE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BOROWSKI, LUANNE, MARIE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BOROWSKI, LUANNE, MARIE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BOROWSKI, LUANNE, MARIE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BOROWSKI, LUANNE, MARIE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BOROWSKI, LUANNE, MARIE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BOROWSKI, LUANNE, MARIE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BOROWSKI, LUANNE, MARIE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BOROWSKI, LUANNE, MARIE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BOROWSKI, LUANNE, MARIE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BROWN, VALERIE, GAY | I | MANAGER | NA | Control |
| BROWN, VALERIE, GAY | I | MANAGER | NA | Control |
| BROWN, VALERIE, GAY | I | MANAGER | NA | Control |
| BROWN, VALERIE, GAY | I | MANAGER | NA | Control |
| BROWN, VALERIE, GAY | I | MANAGER | NA | Control |
| BROWN, VALERIE, GAY | I | MANAGER | NA | Control |
| BROWN, VALERIE, GAY | I | MANAGER | NA | Control |
| BROWN, VALERIE, GAY | I | MANAGER | NA | Control |
| BROWN, VALERIE, GAY | I | MANAGER | NA | Control |
| BROWN, VALERIE, GAY | I | MANAGER | NA | Control |
| BROWN, VALERIE, GAY | I | MANAGER | NA | Control |
| BROWN, VALERIE, GAY | I | MANAGER | NA | Control |
| BROWN, VALERIE, GAY | I | MANAGER | NA | Control |
| BROWN, VALERIE, GAY | I | MANAGER | NA | Control |
| BUCHHEISTER, JEFFREY, ROBERT | I | CHIEF FINANCIAL OFFICER | NA | Control |
| BUCHHEISTER, JEFFREY, ROBERT | I | CHIEF FINANCIAL OFFICER | NA | Control |
| BUCHHEISTER, JEFFREY, ROBERT | I | CHIEF FINANCIAL OFFICER | NA | Control |
| BUCHHEISTER, JEFFREY, ROBERT | I | CHIEF FINANCIAL OFFICER | NA | Control |
| BUCHHEISTER, JEFFREY, ROBERT | I | CHIEF FINANCIAL OFFICER | NA | Control |
| BUCHHEISTER, JEFFREY, ROBERT | I | CHIEF FINANCIAL OFFICER | NA | Control |
| BUCHHEISTER, JEFFREY, ROBERT | I | CHIEF FINANCIAL OFFICER | NA | Control |
| BUCHHEISTER, JEFFREY, ROBERT | I | CHIEF FINANCIAL OFFICER | NA | Control |
| BUCHHEISTER, JEFFREY, ROBERT | I | CHIEF FINANCIAL OFFICER | NA | Control |
| BUCHHEISTER, JEFFREY, ROBERT | I | CHIEF FINANCIAL OFFICER | NA | Control |
| BUCHHEISTER, JEFFREY, ROBERT | I | CHIEF FINANCIAL OFFICER | NA | Control |
| BUCHHEISTER, JEFFREY, ROBERT | I | CHIEF FINANCIAL OFFICER | NA | Control |
| BUCHHEISTER, JEFFREY, ROBERT | I | CHIEF FINANCIAL OFFICER | NA | Control |
| BUCHHEISTER, JEFFREY, ROBERT | I | CHIEF FINANCIAL OFFICER | NA | Control |
| BUCHHEISTER, JEFFREY, ROBERT | I | CHIEF FINANCIAL OFFICER | NA | Control |
| BUCHHEISTER, JEFFREY, ROBERT | I | CHIEF FINANCIAL OFFICER | NA | Control |
| BUCHHEISTER, JEFFREY, ROBERT | I | CHIEF FINANCIAL OFFICER | NA | Control |
| BUCHHEISTER, JEFFREY, ROBERT | I | CHIEF FINANCIAL OFFICER | NA | Control |
| BUCHHEISTER, JEFFREY, ROBERT | I | CHIEF FINANCIAL OFFICER | NA | Control |
| BUCHHEISTER, JEFFREY, ROBERT | I | CHIEF FINANCIAL OFFICER | NA | Control |
| Budevich, Serge | I | VICE PRESIDENT, TAX OFFICER | NA | |
| Budevich, Serge | I | VICE PRESIDENT, TAX OFFICER | NA | |
| COLUMBUS, CRAIG, EDWARD | I | PRESIDENT AND CEO | NA | Control |
| COLUMBUS, CRAIG, EDWARD | I | PRESIDENT AND CEO | NA | Control |
| COLUMBUS, CRAIG, EDWARD | I | PRESIDENT AND CEO | NA | Control |
| COLUMBUS, CRAIG, EDWARD | I | PRESIDENT | NA | Control |
| COLUMBUS, CRAIG, EDWARD | I | PRESIDENT | NA | Control |
| COLUMBUS, CRAIG, EDWARD | I | PRESIDENT | NA | Control |
| COLUMBUS, CRAIG, EDWARD | I | PRESIDENT AND CEO | NA | Control |
| COLUMBUS, CRAIG, EDWARD | I | PRESIDENT AND CEO | NA | Control |
| COLUMBUS, CRAIG, EDWARD | I | PRESIDENT AND CEO | NA | Control |
| COLUMBUS, CRAIG, EDWARD | I | PRESIDENT AND CEO | NA | Control |
| COLUMBUS, CRAIG, EDWARD | I | PRESIDENT AND CEO | NA | Control |
| COLUMBUS, CRAIG, EDWARD | I | PRESIDENT AND CEO | NA | Control |
| COLUMBUS, CRAIG, EDWARD | I | PRESIDENT AND CEO | NA | Control |
| COLUMBUS, CRAIG, EDWARD | I | PRESIDENT AND CEO | NA | Control |
| COLUMBUS, CRAIG, EDWARD | I | PRESIDENT AND CEO | NA | Control |
| COLUMBUS, CRAIG, EDWARD | I | PRESIDENT AND CEO | NA | Control |
| COLUMBUS, CRAIG, EDWARD | I | PRESIDENT AND CEO | NA | Control |
| COLUMBUS, CRAIG, EDWARD | I | PRESIDENT AND CEO | NA | Control |
| Carr, Jeremy, Scott | I | SECRETARY | NA | |
| Carr, Jeremy, Scott | I | SECRETARY | NA | |
| Carr, Jeremy, Scott | I | SECRETARY | NA | |
| Chaffin, Gary, Lynn | I | TAX OFFICER | NA | |
| Chaffin, Gary, Lynn | I | TAX OFFICER | NA | |
| Chaffin, Gary, Lynn | I | TAX OFFICER | NA | |
| Chaffin, Gary, Lynn | I | TAX OFFICER | NA | |
| Chaffin, Gary, Lynn | I | TAX OFFICER | NA | |
| Chaffin, Gary, Lynn | I | TAX OFFICER | NA | |
| Chaffin, Gary, Lynn | I | TAX OFFICER | NA | |
| Chaffin, Gary, Lynn | I | TAX OFFICER | NA | |
| Chaffin, Gary, Lynn | I | TAX OFFICER | NA | |
| Chaffin, Gary, Lynn | I | TAX OFFICER | NA | |
| Chaffin, Gary, Lynn | I | TAX OFFICER | NA | |
| Chaffin, Gary, Lynn | I | TAX OFFICER | NA | |
| Chaffin, Gary, Lynn | I | TAX OFFICER | NA | |
| Chaffin, Gary, Lynn | I | TAX OFFICER | NA | |
| Chaffin, Gary, Lynn | I | TAX OFFICER | NA | |
| Chaffin, Gary, Lynn | I | TAX OFFICER | NA | |
| Chaffin, Gary, Lynn | I | TAX OFFICER | NA | |
| Chaffin, Gary, Lynn | I | TAX OFFICER | NA | |
| DUNLAP, STEVEN, JAMES | I | MANAGER, PRESIDENT & CEO | NA | Control |
| DUNLAP, STEVEN, JAMES | I | MANAGER, PRESIDENT & CEO | NA | Control |
| DUNLAP, STEVEN, JAMES | I | MANAGER, PRESIDENT & CEO | NA | Control |
| DUNLAP, STEVEN, JAMES | I | MANAGER, PRESIDENT & CEO | NA | Control |
| DUNLAP, STEVEN, JAMES | I | MANAGER, PRESIDENT & CEO | NA | Control |
| DUNLAP, STEVEN, JAMES | I | MANAGER, PRESIDENT & CEO | NA | Control |
| DUNLAP, STEVEN, JAMES | I | MANAGER, PRESIDENT & CEO | NA | Control |
| DUNLAP, STEVEN, JAMES | I | MANAGER, PRESIDENT & CEO | NA | Control |
| DUNLAP, STEVEN, JAMES | I | MANAGER, PRESIDENT & CEO | NA | Control |
| DUNLAP, STEVEN, JAMES | I | MANAGER, PRESIDENT & CEO | NA | Control |
| DUNLAP, STEVEN, JAMES | I | MANAGER, PRESIDENT & CEO | NA | Control |
| DUNLAP, STEVEN, JAMES | I | MANAGER, PRESIDENT & CEO | NA | Control |
| DUNLAP, STEVEN, JAMES | I | MANAGER, PRESIDENT & CEO | NA | Control |
| DUNLAP, STEVEN, JAMES | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| DUNLAP, STEVEN, JAMES | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| DUNLAP, STEVEN, JAMES | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| DUNLAP, STEVEN, JAMES | I | MANAGER, PRESIDENT & CEO | NA | Control |
| DUNLAP, STEVEN, JAMES | I | MANAGER, PRESIDENT & CEO | NA | Control |
| DUNLAP, STEVEN, JAMES | I | MANAGER, PRESIDENT & CEO | NA | Control |
| FRIES, MATTHEW, NEIL KALANI | I | VICE PRESIDENT | NA | |
| FRIES, MATTHEW, NEIL KALANI | I | VICE PRESIDENT | NA | |
| FRIES, MATTHEW, NEIL KALANI | I | VICE PRESIDENT | NA | |
| FRIES, MATTHEW, NEIL KALANI | I | VICE PRESIDENT | NA | |
| FRIES, MATTHEW, NEIL KALANI | I | VICE PRESIDENT | NA | |
| FRIES, MATTHEW, NEIL KALANI | I | VICE PRESIDENT | NA | |
| FRIES, MATTHEW, NEIL KALANI | I | VICE PRESIDENT | NA | |
| GERBER, LON | I | CHIEF OPERATING OFFICER | NA | |
| GERBER, LON | I | CHIEF OPERATING OFFICER | NA | |
| GERBER, LON | I | CHIEF OPERATING OFFICER | NA | |
| GERBER, LON | I | CHIEF OPERATING OFFICER | NA | |
| GERBER, LON | I | CHIEF OPERATING OFFICER | NA | |
| GERBER, LON | I | CHIEF OPERATING OFFICER | NA | |
| GERBER, LON | I | CHIEF OPERATING OFFICER | NA | |
| GERBER, LON | I | CHIEF OPERATING OFFICER | NA | |
| GERBER, LON | I | CHIEF OPERATING OFFICER | NA | |
| GERBER, LON | I | CHIEF OPERATING OFFICER | NA | |
| GERBER, LON | I | CHIEF OPERATING OFFICER | NA | |
| GERBER, LON | I | CHIEF OPERATING OFFICER | NA | |
| GERBER, LON | I | CHIEF OPERATING OFFICER | NA | |
| GERBER, LON | I | CHIEF OPERATING OFFICER | NA | |
| GERBER, LON | I | CHIEF OPERATING OFFICER | NA | |
| GERBER, LON | I | CHIEF OPERATING OFFICER | NA | |
| GERBER, LON | I | CHIEF OPERATING OFFICER | NA | |
| GERBER, LON | I | CHIEF OPERATING OFFICER | NA | |
| GOK, LISA, ANNE | I | ASSISTANT SECRETARY | NA | |
| GOK, LISA, ANNE | I | ASSISTANT SECRETARY | NA | |
| GOK, LISA, ANNE | I | ASSISTANT SECRETARY | NA | |
| GOK, LISA, ANNE | I | ASSISTANT SECRETARY | NA | |
| GOK, LISA, ANNE | I | SECRETARY | NA | |
| GOK, LISA, ANNE | I | SECRETARY | NA | |
| GOK, LISA, ANNE | I | SECRETARY | NA | |
| GOK, LISA, ANNE | I | SECRETARY | NA | |
| GOK, LISA, ANNE | I | SECRETARY | NA | |
| GOK, LISA, ANNE | I | SECRETARY | NA | |
| GOK, LISA, ANNE | I | SECRETARY | NA | |
| GOK, LISA, ANNE | I | SECRETARY | NA | |
| GOK, LISA, ANNE | I | SECRETARY | NA | |
| GOK, LISA, ANNE | I | SECRETARY | NA | |
| GOK, LISA, ANNE | I | SECRETARY | NA | |
| GOK, LISA, ANNE | I | SECRETARY | NA | |
| GOK, LISA, ANNE | I | SECRETARY | NA | |
| GOK, LISA, ANNE | I | SECRETARY | NA | |
| GOK, LISA, ANNE | I | SECRETARY | NA | |
| GOK, LISA, ANNE | I | SECRETARY | NA | |
| GOK, LISA, ANNE | I | SECRETARY | NA | |
| GOK, LISA, ANNE | I | SECRETARY | NA | |
| GOK, LISA, ANNE | I | SECRETARY | NA | |
| GOK, LISA, ANNE | I | SECRETARY | NA | |
| GOLDMAN, GENE, FITZGERALD | I | DIRECTOR OF RESEARCH & CO-CIO | NA | Control |
| GOLDMAN, GENE, FITZGERALD | I | DIRECTOR OF RESEARCH & CO-CIO | NA | Control |
| GOLDMAN, GENE, FITZGERALD | I | VICE PRESIDENT AND CHIEF INVESTMENT OFFICER | NA | Control |
| GOLDMAN, GENE, FITZGERALD | I | VICE PRESIDENT AND CHIEF INVESTMENT OFFICER | NA | Control |
| GOLDMAN, GENE, FITZGERALD | I | VICE PRESIDENT AND CHIEF INVESTMENT OFFICER | NA | Control |
| GOLDMAN, GENE, FITZGERALD | I | VICE PRESIDENT AND CHIEF INVESTMENT OFFICER | NA | Control |
| GOLDMAN, GENE, FITZGERALD | I | VICE PRESIDENT AND CHIEF INVESTMENT OFFICER | NA | Control |
| GOLDMAN, GENE, FITZGERALD | I | VICE PRESIDENT AND CHIEF INVESTMENT OFFICER | NA | Control |
| GOLDMAN, GENE, FITZGERALD | I | VICE PRESIDENT AND CHIEF INVESTMENT OFFICER | NA | Control |
| GOLDMAN, GENE, FITZGERALD | I | VICE PRESIDENT AND CHIEF INVESTMENT OFFICER | NA | Control |
| GOLDMAN, GENE, FITZGERALD | I | VICE PRESIDENT AND CHIEF INVESTMENT OFFICER | NA | Control |
| GOLDMAN, GENE, FITZGERALD | I | VICE PRESIDENT AND CHIEF INVESTMENT OFFICER | NA | Control |
| GOLDMAN, GENE, FITZGERALD | I | VICE PRESIDENT AND CHIEF INVESTMENT OFFICER | NA | Control |
| GOLDMAN, GENE, FITZGERALD | I | VICE PRESIDENT AND CHIEF INVESTMENT OFFICER | NA | Control |
| GOLDMAN, GENE, FITZGERALD | I | VICE PRESIDENT AND CHIEF INVESTMENT OFFICER | NA | Control |
| GOLDMAN, GENE, FITZGERALD | I | VICE PRESIDENT AND CHIEF INVESTMENT OFFICER | NA | Control |
| GOLDMAN, GENE, FITZGERALD | I | VICE PRESIDENT AND CHIEF INVESTMENT OFFICER | NA | Control |
| GOLDMAN, GENE, FITZGERALD | I | DIRECTOR OF RESEARCH & CO-CIO | NA | Control |
| GOLDMAN, GENE, FITZGERALD | I | VICE PRESIDENT AND CHIEF INVESTMENT OFFICER | NA | Control |
| GOLDMAN, GENE, FITZGERALD | I | VICE PRESIDENT AND CHIEF INVESTMENT OFFICER | NA | Control |
| GOLDMAN, GENE, FITZGERALD | I | VICE PRESIDENT AND CHIEF INVESTMENT OFFICER | NA | Control |
| GOLDMAN, GENE, FITZGERALD | I | VICE PRESIDENT AND CHIEF INVESTMENT OFFICER | NA | Control |
| GOLDMAN, GENE, FITZGERALD | I | DIRECTOR OF RESEARCH & CO-CIO | NA | Control |
| GOLDMAN, GENE, FITZGERALD | I | DIRECTOR OF RESEARCH & CO-CIO | NA | Control |
| GOLDMAN, GENE, FITZGERALD | I | DIRECTOR OF RESEARCH & CO-CIO | NA | Control |
| GOLDMAN, GENE, FITZGERALD | I | VICE PRESIDENT AND CHIEF INVESTMENT OFFICER | NA | Control |
| GOLDMAN, GENE, FITZGERALD | I | VICE PRESIDENT AND CHIEF INVESTMENT OFFICER | NA | Control |
| GOLDMAN, GENE, FITZGERALD | I | VICE PRESIDENT AND CHIEF INVESTMENT OFFICER | NA | Control |
| GOLDMAN, GENE, FITZGERALD | I | DIRECTOR OF RESEARCH & CO-CIO | NA | Control |
| GOLDMAN, GENE, FITZGERALD | I | DIRECTOR OF RESEARCH & CO-CIO | NA | Control |
| GOLDMAN, GENE, FITZGERALD | I | DIRECTOR OF RESEARCH & CO-CIO | NA | Control |
| GOLDMAN, GENE, FITZGERALD | I | DIRECTOR OF RESEARCH & CO-CIO | NA | Control |
| GOLDMAN, GENE, FITZGERALD | I | DIRECTOR OF RESEARCH & CO-CIO | NA | Control |
| GOLDMAN, GENE, FITZGERALD | I | DIRECTOR OF RESEARCH & CO-CIO | NA | Control |
| GOLDMAN, GENE, FITZGERALD | I | DIRECTOR OF RESEARCH & CO-CIO | NA | Control |
| GOLDMAN, GENE, FITZGERALD | I | DIRECTOR OF RESEARCH & CO-CIO | NA | Control |
| GOLDMAN, GENE, FITZGERALD | I | DIRECTOR OF RESEARCH & CO-CIO | NA | Control |
| GOLDMAN, GENE, FITZGERALD | I | DIRECTOR OF RESEARCH & CO-CIO | NA | Control |
| GOLDMAN, GENE, FITZGERALD | I | PRESIDENT & CHIEF INVESTMENT OFFICER | NA | Control |
| GOLDMAN, GENE, FITZGERALD | I | DIRECTOR OF RESEARCH & CO-CIO | NA | Control |
| GOLDMAN, GENE, FITZGERALD | I | DIRECTOR OF RESEARCH & CO-CIO | NA | Control |
| GOLDMAN, GENE, FITZGERALD | I | DIRECTOR OF RESEARCH & CO-CIO | NA | Control |
| GOLDMAN, GENE, FITZGERALD | I | DIRECTOR OF RESEARCH & CO-CIO | NA | Control |
| GOLDMAN, GENE, FITZGERALD | I | CHIEF INVESTMENT OFFICER & DIRECTOR OF RESEARCH | NA | Control |
| GOLDMAN, GENE, FITZGERALD | I | PRESIDENT & CHIEF INVESTMENT OFFICER | NA | Control |
| GOLDMAN, GENE, FITZGERALD | I | PRESIDENT & CHIEF INVESTMENT OFFICER | NA | Control |
| GOLDMAN, GENE, FITZGERALD | I | CHIEF INVESTMENT OFFICER & DIRECTOR OF RESEARCH | NA | Control |
| GOLDMAN, GENE, FITZGERALD | I | CHIEF INVESTMENT OFFICER & DIRECTOR OF RESEARCH | NA | Control |
| GOLDMAN, GENE, FITZGERALD | I | CHIEF INVESTMENT OFFICER & DIRECTOR OF RESEARCH | NA | Control |
| GOLDMAN, GENE, FITZGERALD | I | CHIEF INVESTMENT OFFICER & DIRECTOR OF RESEARCH | NA | Control |
| GOLDMAN, GENE, FITZGERALD | I | CHIEF INVESTMENT OFFICER & DIRECTOR OF RESEARCH | NA | Control |
| GOLDMAN, GENE, FITZGERALD | I | CHIEF INVESTMENT OFFICER & DIRECTOR OF RESEARCH | NA | Control |
| GOLDMAN, GENE, FITZGERALD | I | CHIEF INVESTMENT OFFICER & DIRECTOR OF RESEARCH | NA | Control |
| GOLDMAN, GENE, FITZGERALD | I | CHIEF INVESTMENT OFFICER & DIRECTOR OF RESEARCH | NA | Control |
| GOLDMAN, GENE, FITZGERALD | I | CHIEF INVESTMENT OFFICER & DIRECTOR OF RESEARCH | NA | Control |
| GOLDMAN, GENE, FITZGERALD | I | CHIEF INVESTMENT OFFICER & DIRECTOR OF RESEARCH | NA | Control |
| GOLDMAN, GENE, FITZGERALD | I | CHIEF INVESTMENT OFFICER & DIRECTOR OF RESEARCH | NA | Control |
| GOLDMAN, GENE, FITZGERALD | I | CHIEF INVESTMENT OFFICER & DIRECTOR OF RESEARCH | NA | Control |
| GOLDMAN, GENE, FITZGERALD | I | CHIEF INVESTMENT OFFICER & DIRECTOR OF RESEARCH | NA | Control |
| GOLDMAN, GENE, FITZGERALD | I | CHIEF INVESTMENT OFFICER & DIRECTOR OF RESEARCH | NA | Control |
| GOLDMAN, GENE, FITZGERALD | I | CHIEF INVESTMENT OFFICER & DIRECTOR OF RESEARCH | NA | Control |
| GOLDMAN, GENE, FITZGERALD | I | CHIEF INVESTMENT OFFICER & DIRECTOR OF RESEARCH | NA | Control |
| GOLDMAN, GENE, FITZGERALD | I | CHIEF INVESTMENT OFFICER & DIRECTOR OF RESEARCH | NA | Control |
| GOLDMAN, GENE, FITZGERALD | I | CHIEF INVESTMENT OFFICER & DIRECTOR OF RESEARCH | NA | Control |
| GOLDMAN, GENE, FITZGERALD | I | CHIEF INVESTMENT OFFICER & DIRECTOR OF RESEARCH | NA | Control |
| GOLDMAN, GENE, FITZGERALD | I | CHIEF INVESTMENT OFFICER & DIRECTOR OF RESEARCH | NA | Control |
| GOLDMAN, GENE, FITZGERALD | I | CHIEF INVESTMENT OFFICER & DIRECTOR OF RESEARCH | NA | Control |
| GOLDMAN, GENE, FITZGERALD | I | CHIEF INVESTMENT OFFICER & DIRECTOR OF RESEARCH | NA | Control |
| GOLDMAN, GENE, FITZGERALD | I | CHIEF INVESTMENT OFFICER & DIRECTOR OF RESEARCH | NA | Control |
| GOLDMAN, GENE, FITZGERALD | I | CHIEF INVESTMENT OFFICER & DIRECTOR OF RESEARCH | NA | Control |
| GOLDMAN, GENE, FITZGERALD | I | CHIEF INVESTMENT OFFICER & DIRECTOR OF RESEARCH | NA | Control |
| GOLDMAN, GENE, FITZGERALD | I | CHIEF INVESTMENT OFFICER & DIRECTOR OF RESEARCH | NA | Control |
| GOLDMAN, GENE, FITZGERALD | I | CHIEF INVESTMENT OFFICER & DIRECTOR OF RESEARCH | NA | Control |
| GOLDMAN, GENE, FITZGERALD | I | CHIEF INVESTMENT OFFICER & DIRECTOR OF RESEARCH | NA | Control |
| GOLDMAN, GENE, FITZGERALD | I | CHIEF INVESTMENT OFFICER & DIRECTOR OF RESEARCH | NA | Control |
| GOLDMAN, GENE, FITZGERALD | I | CHIEF INVESTMENT OFFICER & DIRECTOR OF RESEARCH | NA | Control |
| GOLDMAN, GENE, FITZGERALD | I | CHIEF INVESTMENT OFFICER & DIRECTOR OF RESEARCH | NA | Control |
| GOLDMAN, GENE, FITZGERALD | I | CHIEF INVESTMENT OFFICER & DIRECTOR OF RESEARCH | NA | Control |
| GOLDMAN, GENE, FITZGERALD | I | CHIEF INVESTMENT OFFICER & DIRECTOR OF RESEARCH | NA | Control |
| GOLDMAN, GENE, FITZGERALD | I | CHIEF INVESTMENT OFFICER & DIRECTOR OF RESEARCH | NA | Control |
| GOLDMAN, GENE, FITZGERALD | I | CHIEF INVESTMENT OFFICER & DIRECTOR OF RESEARCH | NA | Control |
| GOLDMAN, GENE, FITZGERALD | I | CHIEF INVESTMENT OFFICER | NA | Control |
| GOLDMAN, GENE, FITZGERALD | I | CHIEF INVESTMENT OFFICER | NA | Control |
| GOLDMAN, GENE, FITZGERALD | I | CHIEF INVESTMENT OFFICER | NA | Control |
| GOLDMAN, GENE, FITZGERALD | I | CHIEF INVESTMENT OFFICER | NA | Control |
| GOLDMAN, GENE, FITZGERALD | I | CHIEF INVESTMENT OFFICER | NA | Control |
| GOLDMAN, GENE, FITZGERALD | I | CHIEF INVESTMENT OFFICER | NA | Control |
| GOLDMAN, GENE, FITZGERALD | I | CHIEF INVESTMENT OFFICER | NA | Control |
| GOOLEY, THOMAS, ANDREW | I | MANAGER | NA | |
| GOOLEY, THOMAS, ANDREW | I | MANAGER | NA | |
| GOOLEY, THOMAS, ANDREW | I | MANAGER | NA | |
| GOOLEY, THOMAS, ANDREW | I | MANAGER | NA | |
| GRAHAM, LUANNE, MARIE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| GRAHAM, LUANNE, MARIE | I | CHIEF COMPLIANCE OFFICER & SECRETARY | NA | Control |
| GRAHAM, LUANNE, MARIE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| GRAHAM, LUANNE, MARIE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| GRAHAM, LUANNE, MARIE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| GRAHAM, LUANNE, MARIE | I | CHIEF COMPLIANCE OFFICER & SECRETARY | NA | Control |
| GRAHAM, LUANNE, MARIE | I | CHIEF COMPLIANCE OFFICER & SECRETARY | NA | Control |
| GRAHAM, LUANNE, MARIE | I | CHIEF COMPLIANCE OFFICER & SECRETARY | NA | Control |
| GRAHAM, LUANNE, MARIE | I | CHIEF COMPLIANCE OFFICER & SECRETARY | NA | Control |
| GRAHAM, LUANNE, MARIE | I | CHIEF COMPLIANCE OFFICER & SECRETARY | NA | Control |
| GRAHAM, LUANNE, MARIE | I | CHIEF COMPLIANCE OFFICER & SECRETARY | NA | Control |
| GRAHAM, LUANNE, MARIE | I | CHIEF COMPLIANCE OFFICER & SECRETARY | NA | Control |
| GRAHAM, LUANNE, MARIE | I | CHIEF COMPLIANCE OFFICER & SECRETARY | NA | Control |
| GRIST, BARNABY, JAMES | I | MANAGER, PRESIDENT AND CEO | NA | Control |
| GRIST, BARNABY, JAMES | I | MANAGER, PRESIDENT AND CEO | NA | Control |
| GRIST, BARNABY, JAMES | I | MANAGER, PRESIDENT AND CEO | NA | Control |
| GRIST, BARNABY, JAMES | I | MANAGER, PRESIDENT AND CEO | NA | Control |
| GRIST, BARNABY, JAMES | I | MANAGER, PRESIDENT AND CEO | NA | Control |
| GRIST, BARNABY, JAMES | I | MANAGER, PRESIDENT AND CEO | NA | Control |
| Gill, George, Andrew | I | VICE PRESIDENT | NA | |
| Gill, George, Andrew | I | VICE PRESIDENT | NA | |
| Gill, George, Andrew | I | VICE PRESIDENT | NA | |
| Gill, George, Andrew | I | VICE PRESIDENT | NA | |
| Gill, George, Andrew | I | VICE PRESIDENT | NA | |
| Gooley, Thomas | I | MANAGER | NA | |
| HAMEL, CYNTHIA, A | I | MANAGER | NA | Control |
| HAMEL, CYNTHIA, A | I | MANAGER | NA | Control |
| HAMEL, CYNTHIA, A | I | MANAGER | NA | Control |
| HAMEL, CYNTHIA, A | I | MANAGER | NA | Control |
| HAMEL, CYNTHIA, A | I | MANAGER | NA | Control |
| HAMEL, CYNTHIA, A | I | MANAGER | NA | Control |
| HAMEL, CYNTHIA, A | I | MANAGER | NA | Control |
| HAMEL, CYNTHIA, A | I | MANAGER | NA | Control |
| HAMEL, CYNTHIA, A | I | MANAGER | NA | Control |
| HAMEL, CYNTHIA, A | I | MANAGER | NA | Control |
| HAMEL, CYNTHIA, A | I | MANAGER | NA | Control |
| HAMEL, CYNTHIA, A | I | MANAGER | NA | Control |
| HAMEL, CYNTHIA, A | I | MANAGER | NA | Control |
| HAMEL, CYNTHIA, A | I | MANAGER | NA | Control |
| HAMEL, CYNTHIA, A | I | MANAGER | NA | Control |
| HAMEL, CYNTHIA, A | I | MANAGER | NA | Control |
| HAMEL, CYNTHIA, A | I | MANAGER | NA | Control |
| Iyengar, Janani, Ravi | I | ASSISTANT TREASURER | NA | |
| Iyengar, Janani, Ravi | I | ASSISTANT TREASURER | NA | |
| Iyengar, Janani, Ravi | I | ASSISTANT TREASURER | NA | |
| Iyengar, Janani, Ravi | I | ASSISTANT TREASURER | NA | |
| Iyengar, Janani, Ravi | I | ASSISTANT TREASURER | NA | |
| Iyengar, Janani, Ravi | I | ASSISTANT TREASURER | NA | |
| Iyengar, Janani, Ravi | I | ASSISTANT TREASURER | NA | |
| JACOBSEN, BRYAN, K | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| JACOBSEN, BRYAN, K | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| JACOBSEN, BRYAN, K | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| JACOBSEN, BRYAN, K | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| JACOBSEN, BRYAN, K | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| JACOBSEN, BRYAN, K | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| JACOBSEN, BRYAN, K | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| JACOBSEN, BRYAN, K | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| KIM, DAVID | I | ASSISTANT SECRETARY | NA | |
| KIM, DAVID | I | ASSISTANT SECRETARY | NA | |
| LEE, WINNIE, AI-LING | I | ASSISTANT SECRETARY | NA | |
| LEE, WINNIE, AI-LING | I | ASSISTANT SECRETARY | NA | |
| LEE, WINNIE, AI-LING | I | ASSISTANT SECRETARY | NA | |
| LEE, WINNIE, AI-LING | I | ASSISTANT SECRETARY | NA | |
| LEE, WINNIE, AI-LING | I | ASSISTANT SECRETARY | NA | |
| LEE, WINNIE, AI-LING | I | ASSISTANT SECRETARY | NA | |
| LEE, WINNIE, AI-LING | I | ASSISTANT SECRETARY | NA | |
| LEE, WINNIE, AI-LING | I | ASSISTANT SECRETARY | NA | |
| LEE, WINNIE, AI-LING | I | ASSISTANT SECRETARY | NA | |
| LEE, WINNIE, AI-LING | I | ASSISTANT SECRETARY | NA | |
| LEE, WINNIE, AI-LING | I | ASSISTANT SECRETARY | NA | |
| LEE, WINNIE, AI-LING | I | ASSISTANT SECRETARY | NA | |
| LEE, WINNIE, AI-LING | I | ASSISTANT SECRETARY | NA | |
| LEE, WINNIE, AI-LING | I | ASSISTANT SECRETARY | NA | |
| LEE, WINNIE, AI-LING | I | ASSISTANT SECRETARY | NA | |
| LEE, WINNIE, AI-LING | I | ASSISTANT SECRETARY | NA | |
| LEE, WINNIE, AI-LING | I | ASSISTANT SECRETARY | NA | |
| Lee, Winnie | I | ASSISTANT SECRETARY | NA | |
| MCKENNA, NINA, SCHLOESSER | I | CHIEF LEGAL COUNSEL | NA | Control |
| MCKENNA, NINA, SCHLOESSER | I | CHIEF LEGAL COUNSEL | NA | Control |
| MCKENNA, NINA, SCHLOESSER | I | CHIEF LEGAL COUNSEL | NA | Control |
| MCKENNA, NINA, SCHLOESSER | I | CHIEF LEGAL COUNSEL | NA | Control |
| MCKENNA, NINA, SCHLOESSER | I | CHIEF LEGAL COUNSEL | NA | Control |
| MINDLIN, JEFFREY, JOEL | I | EXECUTIVE DIRECTOR & CO-CIO | NA | Control |
| MINDLIN, JEFFREY, JOEL | I | EXECUTIVE DIRECTOR & CO-CIO | NA | Control |
| MINDLIN, JEFFREY, JOEL | I | EXECUTIVE DIRECTOR & CO-CIO | NA | Control |
| MINDLIN, JEFFREY, JOEL | I | EXECUTIVE DIRECTOR & CO-CIO | NA | Control |
| MINDLIN, JEFFREY, JOEL | I | EXECUTIVE DIRECTOR & CO-CIO | NA | Control |
| MINDLIN, JEFFREY, JOEL | I | EXECUTIVE DIRECTOR & CO-CIO | NA | Control |
| MINDLIN, JEFFREY, JOEL | I | EXECUTIVE DIRECTOR & CO-CIO | NA | Control |
| MINDLIN, JEFFREY, JOEL | I | EXECUTIVE DIRECTOR & CO-CIO | NA | Control |
| MINDLIN, JEFFREY, JOEL | I | EXECUTIVE DIRECTOR & CO-CIO | NA | Control |
| MINDLIN, JEFFREY, JOEL | I | EXECUTIVE DIRECTOR & CO-CIO | NA | Control |
| MINDLIN, JEFFREY, JOEL | I | EXECUTIVE DIRECTOR & CO-CIO | NA | Control |
| MINDLIN, JEFFREY, JOEL | I | EXECUTIVE DIRECTOR & CO-CIO | NA | Control |
| MINDLIN, JEFFREY, JOEL | I | EXECUTIVE DIRECTOR & CO-CIO | NA | Control |
| MINDLIN, JEFFREY, JOEL | I | EXECUTIVE DIRECTOR & CO-CIO | NA | Control |
| MINDLIN, JEFFREY, JOEL | I | EXECUTIVE DIRECTOR & CO-CIO | NA | Control |
| MINDLIN, JEFFREY, JOEL | I | EXECUTIVE DIRECTOR & CO-CIO | NA | Control |
| MINDLIN, JEFFREY, JOEL | I | EXECUTIVE DIRECTOR & CO-CIO | NA | Control |
| MINDLIN, JEFFREY, JOEL | I | EXECUTIVE DIRECTOR & CO-CIO | NA | Control |
| Mackay, Todd, Christopher | I | MANAGER | NA | |
| Mackay, Todd, Christopher | I | MANAGER | NA | |
| Mackay, Todd, Christopher | I | MANAGER | NA | |
| Mackay, Todd, Christopher | I | MANAGER | NA | |
| Mackay, Todd, Christopher | I | MANAGER | NA | |
| Mizuguchi, Maura, Rie | I | CHIEF ACCOUNTING OFFICER | NA | |
| Mizuguchi, Maura, Rie | I | CHIEF ACCOUNTING OFFICER | NA | |
| Mizuguchi, Maura, Rie | I | CHIEF ACCOUNTING OFFICER | NA | |
| Mizuguchi, Maura, Rie | I | CHIEF ACCOUNTING OFFICER | NA | |
| Mizuguchi, Maura, Rie | I | CHIEF ACCOUNTING OFFICER | NA | |
| Mizuguchi, Maura, Rie | I | CHIEF ACCOUNTING OFFICER | NA | |
| Mizuguchi, Maura, Rie | I | CHIEF ACCOUNTING OFFICER | NA | |
| Mizuguchi, Maura, Rie | I | CHIEF ACCOUNTING OFFICER | NA | |
| Mizuguchi, Maura, Rie | I | CHIEF ACCOUNTING OFFICER | NA | |
| Mizuguchi, Maura, Rie | I | CHIEF ACCOUNTING OFFICER | NA | |
| Mizuguchi, Maura, Rie | I | CHIEF ACCOUNTING OFFICER | NA | |
| Mizuguchi, Maura, Rie | I | CHIEF ACCOUNTING OFFICER | NA | |
| Mizuguchi, Maura, Rie | I | CHIEF ACCOUNTING OFFICER | NA | |
| Mizuguchi, Maura, Rie | I | CHIEF ACCOUNTING OFFICER | NA | |
| Mizuguchi, Maura, Rie | I | CHIEF ACCOUNTING OFFICER | NA | |
| Mizuguchi, Maura, Rie | I | CHIEF ACCOUNTING OFFICER | NA | |
| Mizuguchi, Maura, Rie | I | CHIEF ACCOUNTING OFFICER | NA | |
| Mizuguchi, Maura, Rie | I | CHIEF ACCOUNTING OFFICER | NA | |
| Mizuguchi, Maura, Rie | I | CHIEF ACCOUNTING OFFICER | NA | |
| Mizuguchi, Maura, Rie | I | CHIEF ACCOUNTING OFFICER | NA | |
| NEARY, JOSEPH, DANIEL | I | MANAGER/DIRECTOR | NA | Control |
| NEARY, JOSEPH, DANIEL | I | MANAGER/DIRECTOR | NA | Control |
| NEARY, JOSEPH, DANIEL | I | MANAGER/DIRECTOR | NA | Control |
| NEARY, JOSEPH, DANIEL | I | MANAGER/DIRECTOR | NA | Control |
| NEARY, JOSEPH, DANIEL | I | MANAGER/DIRECTOR | NA | Control |
| NEARY, JOSEPH, DANIEL | I | MANAGER/DIRECTOR | NA | Control |
| NEARY, JOSEPH, DANIEL | I | MANAGER/DIRECTOR | NA | Control |
| NEARY, JOSEPH, DANIEL | I | MANAGER/DIRECTOR | NA | Control |
| NEARY, JOSEPH, DANIEL | I | MANAGER/DIRECTOR | NA | Control |
| NEARY, JOSEPH, DANIEL | I | MANAGER/DIRECTOR | NA | Control |
| NEARY, JOSEPH, DANIEL | I | MANAGER/DIRECTOR | NA | Control |
| NEARY, JOSEPH, DANIEL | I | MANAGER/DIRECTOR | NA | Control |
| NEARY, JOSEPH, DANIEL | I | MANAGER/DIRECTOR | NA | Control |
| NEARY, JOSEPH, DANIEL | I | MANAGER/DIRECTOR | NA | Control |
| NEARY, JOSEPH, DANIEL | I | MANAGER/DIRECTOR | NA | Control |
| NEARY, JOSEPH, DANIEL | I | MANAGER/DIRECTOR | NA | Control |
| NEARY, JOSEPH, DANIEL | I | MANAGER/DIRECTOR | NA | Control |
| NEARY, JOSEPH, DANIEL | I | MANAGER/DIRECTOR | NA | Control |
| NEARY, JOSEPH, DANIEL | I | MANAGER/DIRECTOR | NA | Control |
| NEARY, JOSEPH, DANIEL | I | MANAGER/DIRECTOR | NA | Control |
| NEARY, JOSEPH, DANIEL | I | MANAGER/DIRECTOR | NA | Control |
| NEARY, JOSEPH, DANIEL | I | MANAGER/DIRECTOR | NA | Control |
| NEARY, JOSEPH, DANIEL | I | MANAGER/DIRECTOR | NA | Control |
| NEARY, JOSEPH, DANIEL | I | MANAGER/DIRECTOR | NA | Control |
| NEARY, JOSEPH, DANIEL | I | MANAGER/DIRECTOR | NA | Control |
| NEARY, JOSEPH, DANIEL | I | MANAGER/DIRECTOR | NA | Control |
| NEARY, JOSEPH, DANIEL | I | MANAGER/DIRECTOR | NA | Control |
| NEARY, JOSEPH, DANIEL | I | MANAGER, VP | NA | Control |
| NEARY, JOSEPH, DANIEL | I | MANAGER, VP, CEO, PRESIDENT | NA | Control |
| NEARY, JOSEPH, DANIEL | I | MANAGER, VP, CEO, PRESIDENT | NA | Control |
| NEARY, JOSEPH, DANIEL | I | MANAGER, VP, CEO, PRESIDENT | NA | Control |
| NEARY, JOSEPH, DANIEL | I | MANAGER, VP, CEO, PRESIDENT | NA | Control |
| NEARY, JOSEPH, DANIEL | I | MANAGER, VP, CEO, PRESIDENT | NA | Control |
| NEARY, JOSEPH, DANIEL | I | MANAGER, VP, CEO, PRESIDENT | NA | Control |
| OLSON, GREGORY, ALAN | I | ASSISTANT SECRETARY | NA | |
| OLSON, GREGORY, ALAN | I | ASSISTANT SECRETARY | NA | |
| OLSON, GREGORY, ALAN | I | ASSISTANT SECRETARY | NA | |
| OLSON, GREGORY, ALAN | I | ASSISTANT SECRETARY | NA | |
| OLSON, GREGORY, ALAN | I | ASSISTANT SECRETARY | NA | Control |
| OLSON, GREGORY, ALAN | I | ASSISTANT SECRETARY | NA | Control |
| OLSON, GREGORY, ALAN | I | ASSISTANT SECRETARY | NA | Control |
| OLSON, GREGORY, ALAN | I | ASSISTANT SECRETARY | NA | Control |
| OLSON, GREGORY, ALAN | I | ASSISTANT SECRETARY | NA | Control |
| OLSON, GREGORY, ALAN | I | ASSISTANT SECRETARY | NA | Control |
| OLSON, GREGORY, EDWARD | I | ASSISTANT SECRETARY | NA | Control |
| OLSON, GREGORY, EDWARD | I | ASSISTANT SECRETARY | NA | Control |
| OLSON, GREGORY, EDWARD | I | ASSISTANT SECRETARY | NA | Control |
| OLSON, GREGORY, EDWARD | I | ASSISTANT SECRETARY | NA | Control |
| OLSON, GREGORY, EDWARD | I | ASSISTANT SECRETARY | NA | Control |
| OLSON, GREGORY, EDWARD | I | ASSISTANT SECRETARY | NA | Control |
| OLSON, GREGORY, EDWARD | I | ASSISTANT SECRETARY | NA | Control |
| OLSON, GREGORY, EDWARD | I | ASSISTANT SECRETARY | NA | Control |
| OLSON, GREGORY, EDWARD | I | ASSISTANT SECRETARY | NA | Control |
| OLSON, GREGORY, EDWARD | I | ASSISTANT SECRETARY | NA | Control |
| OLSON, GREGORY, EDWARD | I | ASSISTANT SECRETARY | NA | Control |
| OLSON, GREGORY, EDWARD | I | ASSISTANT SECRETARY | NA | Control |
| OLSON, GREGORY, EDWARD | I | ASSISTANT SECRETARY | NA | Control |
| OLSON, GREGORY, EDWARD | I | ASSISTANT SECRETARY | NA | Control |
| OLSON, GREGORY, EDWARD | I | ASSISTANT SECRETARY | NA | Control |
| OLSON, GREGORY, EDWARD | I | ASSISTANT SECRETARY | NA | Control |
| OLSON, GREGORY, EDWARD | I | ASSISTANT SECRETARY | NA | Control |
| OLSON, GREGORY, EDWARD | I | ASSISTANT SECRETARY | NA | Control |
| OLSON, GREGORY, EDWARD | I | ASSISTANT SECRETARY | NA | Control |
| OLSON, GREGORY, EDWARD | I | ASSISTANT SECRETARY | NA | Control |
| OLSON, GREGORY, EDWARD | I | ASSISTANT SECRETARY | NA | Control |
| OLSON, GREGORY, EDWARD | I | ASSISTANT SECRETARY | NA | Control |
| OLSON, GREGORY, EDWARD | I | ASSISTANT SECRETARY | NA | Control |
| OLSON, GREGORY, EDWARD | I | ASSISTANT SECRETARY | NA | Control |
| OLSON, GREGORY, EDWARD | I | ASSISTANT SECRETARY | NA | Control |
| OLSON, GREGORY, EDWARD | I | ASSISTANT SECRETARY | NA | Control |
| OLSON, GREGORY, EDWARD | I | ASSISTANT SECRETARY | NA | Control |
| OLSON, GREGORY, EDWARD | I | ASSISTANT SECRETARY | NA | Control |
| OLSON, GREGORY, EDWARD | I | ASSISTANT SECRETARY | NA | Control |
| RAFIA, KIAN | I | PRODUCT DIRECTOR | NA | Control |
| RAFIA, KIAN | I | PRODUCT DIRECTOR | NA | Control |
| RAFIA, KIAN | I | PRODUCT DIRECTOR | NA | Control |
| RAFIA, KIAN | I | PRODUCT DIRECTOR | NA | Control |
| RAFIA, KIAN | I | PRODUCT DIRECTOR | NA | Control |
| RODRIGUEZ, JOSE, L | I | CHIEF COMPLIANCE OFFICER & SECRETARY | NA | Control |
| RODRIGUEZ, JOSE, L | I | CHIEF COMPLIANCE OFFICER & SECRETARY | NA | Control |
| RODRIGUEZ, JOSE, L | I | CHIEF COMPLIANCE OFFICER & SECRETARY | NA | Control |
| RODRIGUEZ, JOSE, L | I | CHIEF COMPLIANCE OFFICER & SECRETARY | NA | Control |
| RODRIGUEZ, JOSE, L | I | CHIEF COMPLIANCE OFFICER & SECRETARY | NA | Control |
| RODRIGUEZ, JOSE, L | I | CHIEF COMPLIANCE OFFICER & SECRETARY | NA | Control |
| RODRIGUEZ, JOSE, L | I | CHIEF COMPLIANCE OFFICER & SECRETARY | NA | Control |
| RODRIGUEZ, JOSE, LUIS | I | CHIEF COMPLIANCE OFFICER | NA | |
| RODRIGUEZ, JOSE, LUIS | I | CHIEF COMPLIANCE OFFICER | NA | |
| RODRIGUEZ, JOSE, LUIS | I | CHIEF COMPLIANCE OFFICER | NA | |
| RODRIGUEZ, JOSE, LUIS | I | CHIEF COMPLIANCE OFFICER | NA | |
| RODRIGUEZ, JOSE, LUIS | I | CHIEF COMPLIANCE OFFICER | NA | |
| RODRIGUEZ, JOSE, LUIS | I | CHIEF COMPLIANCE OFFICER | NA | |
| RODRIGUEZ, JOSE, LUIS | I | CHIEF COMPLIANCE OFFICER | NA | |
| RODRIGUEZ, JOSE, LUIS | I | CHIEF COMPLIANCE OFFICER | NA | |
| RODRIGUEZ, JOSE, LUIS | I | CHIEF COMPLIANCE OFFICER | NA | |
| RODRIGUEZ, JOSE, LUIS | I | CHIEF COMPLIANCE OFFICER | NA | |
| RODRIGUEZ, JOSE, LUIS | I | CHIEF COMPLIANCE OFFICER | NA | |
| RODRIGUEZ, JOSE, LUIS | I | CHIEF COMPLIANCE OFFICER | NA | |
| RODRIGUEZ, JOSE, LUIS | I | CHIEF COMPLIANCE OFFICER | NA | |
| RODRIGUEZ, JOSE, LUIS | I | CHIEF COMPLIANCE OFFICER | NA | |
| RODRIGUEZ, JOSE, LUIS | I | CHIEF COMPLIANCE OFFICER | NA | |
| RODRIGUEZ, JOSE, LUIS | I | CHIEF COMPLIANCE OFFICER | NA | |
| RODRIGUEZ, JOSE, LUIS | I | CHIEF COMPLIANCE OFFICER | NA | |
| RODRIGUEZ, JOSE, LUIS | I | CHIEF COMPLIANCE OFFICER | NA | |
| RODRIGUEZ, JOSE, LUIS | I | CHIEF COMPLIANCE OFFICER | NA | |
| RODRIGUEZ, JOSE, LUIS | I | CHIEF COMPLIANCE OFFICER | NA | |
| RODRIGUEZ, JOSE, LUIS | I | CHIEF COMPLIANCE OFFICER | NA | |
| RODRIGUEZ, JOSE, LUIS | I | CHIEF COMPLIANCE OFFICER | NA | |
| RODRIGUEZ, JOSE, LUIS | I | CHIEF COMPLIANCE OFFICER | NA | |
| RODRIGUEZ, JOSE, LUIS | I | CHIEF COMPLIANCE OFFICER | NA | |
| RODRIGUEZ, JOSE, LUIS | I | CHIEF COMPLIANCE OFFICER | NA | |
| RODRIGUEZ, JOSE, LUIS | I | CHIEF COMPLIANCE OFFICER | NA | |
| RODRIGUEZ, JOSE, LUIS | I | CHIEF COMPLIANCE OFFICER | NA | |
| RODRIGUEZ, JOSE, LUIS | I | CHIEF COMPLIANCE OFFICER | NA | |
| RODRIGUEZ, JOSE, LUIS | I | CHIEF COMPLIANCE OFFICER | NA | |
| RODRIGUEZ, JOSE, LUIS | I | CHIEF COMPLIANCE OFFICER | NA | |
| ROTHENBUCHER, TOM | I | LEGAL COUNSEL | NA | Control |
| ROTHENBUCHER, TOM | I | LEGAL COUNSEL | NA | Control |
| ROTHENBUCHER, TOM | I | LEGAL COUNSEL | NA | Control |
| ROTHENBUCHER, TOM | I | LEGAL COUNSEL | NA | Control |
| ROTHENBUCHER, TOM | I | LEGAL COUNSEL | NA | Control |
| SHAH, AMI | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| SHAH, AMI | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| SHAH, AMI | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| SHAH, AMI | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| SHAH, AMI | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| SHAH, AMI | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| SHAH, AMI | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| SHAH, AMI | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| SHAH, AMI | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| SHAH, AMI | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| SHAH, AMI | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| SHAH, AMI | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| SHAH, AMI | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| SHAH, AMI | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| SHAH, AMI | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| SHAH, AMI | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| SHAH, AMI | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| SHAH, AMI | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| SHAH, AMI | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| SHAH, AMI | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| SHAY, JAMES, WALTER | I | SENIOR VICE PRESIDENT, RISK MANAGEMENT | NA | Control |
| SHAY, JAMES, WALTER | I | SENIOR VICE PRESIDENT, RISK MANAGEMENT | NA | Control |
| SHAY, JAMES, WALTER | I | SENIOR VICE PRESIDENT, RISK MANAGEMENT | NA | Control |
| SHAY, JAMES, WALTER | I | SENIOR VICE PRESIDENT, RISK MANAGEMENT | NA | Control |
| SHAY, JAMES, WALTER | I | SENIOR VICE PRESIDENT, RISK MANAGEMENT | NA | Control |
| SHELSON, MARK, PAUL | I | TREASURER | NA | |
| SHELSON, MARK, PAUL | I | TREASURER | NA | |
| SHELSON, MARK, PAUL | I | CHIEF FINANCIAL OFFICER AND TREASURER | NA | Control |
| SHELSON, MARK, PAUL | I | CHIEF FINANCIAL OFFICER AND TREASURER | NA | Control |
| SHELSON, MARK, PAUL | I | CHIEF FINANCIAL OFFICER AND TREASURER | NA | Control |
| SHELSON, MARK, PAUL | I | CHIEF FINANCIAL OFFICER AND TREASURER | NA | Control |
| SHELSON, MARK, PAUL | I | CHIEF FINANCIAL OFFICER AND TREASURER | NA | Control |
| SHELSON, MARK, PAUL | I | CHIEF FINANCIAL OFFICER AND TREASURER | NA | Control |
| SHELSON, MARK, PAUL | I | CHIEF FINANCIAL OFFICER AND TREASURER | NA | Control |
| SHELSON, MARK, PAUL | I | CHIEF FINANCIAL OFFICER AND TREASURER | NA | Control |
| SHELSON, MARK, PAUL | I | CHIEF FINANCIAL OFFICER AND TREASURER | NA | Control |
| SHELSON, MARK, PAUL | I | CHIEF FINANCIAL OFFICER AND TREASURER | NA | Control |
| SHELSON, MARK, PAUL | I | CHIEF FINANCIAL OFFICER AND TREASURER | NA | Control |
| SHELSON, MARK, PAUL | I | CHIEF FINANCIAL OFFICER AND TREASURER | NA | Control |
| SHELSON, MARK, PAUL | I | CHIEF FINANCIAL OFFICER AND TREASURER | NA | Control |
| SHELSON, MARK, PAUL | I | CHIEF FINANCIAL OFFICER AND TREASURER | NA | Control |
| SHELSON, MARK, PAUL | I | CHIEF FINANCIAL OFFICER AND TREASURER | NA | Control |
| SHELSON, MARK, PAUL | I | TREASURER | NA | |
| SHELSON, MARK, PAUL | I | CHIEF FINANCIAL OFFICER AND TREASURER | NA | Control |
| SHELSON, MARK, PAUL | I | CHIEF FINANCIAL OFFICER AND TREASURER | NA | Control |
| SHELSON, MARK, PAUL | I | CHIEF FINANCIAL OFFICER AND TREASURER | NA | Control |
| SHELSON, MARK, PAUL | I | CHIEF FINANCIAL OFFICER AND TREASURER | NA | Control |
| SHELSON, MARK, PAUL | I | TREASURER | NA | |
| SHELSON, MARK, PAUL | I | TREASURER | NA | |
| SHELSON, MARK, PAUL | I | TREASURER | NA | |
| SHELSON, MARK, PAUL | I | CHIEF FINANCIAL OFFICER AND TREASURER | NA | Control |
| SHELSON, MARK, PAUL | I | CHIEF FINANCIAL OFFICER AND TREASURER | NA | Control |
| SHELSON, MARK, PAUL | I | CHIEF FINANCIAL OFFICER AND TREASURER | NA | Control |
| SHELSON, MARK, PAUL | I | TREASURER | NA | |
| SHELSON, MARK, PAUL | I | TREASURER | NA | |
| SHELSON, MARK, PAUL | I | TREASURER | NA | |
| SHELSON, MARK, PAUL | I | TREASURER | NA | |
| SHELSON, MARK, PAUL | I | TREASURER | NA | |
| SHELSON, MARK, PAUL | I | TREASURER | NA | |
| SHELSON, MARK, PAUL | I | TREASURER | NA | |
| SHELSON, MARK, PAUL | I | TREASURER | NA | |
| SHELSON, MARK, PAUL | I | TREASURER | NA | |
| SHELSON, MARK, PAUL | I | TREASURER | NA | |
| SHELSON, MARK, PAUL | I | TREASURER | NA | |
| SHELSON, MARK, PAUL | I | TREASURER | NA | |
| SHELSON, MARK, PAUL | I | TREASURER | NA | |
| SHELSON, MARK, PAUL | I | TREASURER | NA | |
| SHORES, ALLAN, KEITH | I | TREASURER | NA | Control |
| SHORES, ALLAN, KEITH | I | TREASURER | NA | Control |
| SHORES, ALLAN, KEITH | I | TREASURER | NA | Control |
| SHORES, ALLAN, KEITH | I | TREASURER | NA | Control |
| SHORES, ALLAN, KEITH | I | TREASURER | NA | Control |
| SHORES, ALLAN, KEITH | I | TREASURER | NA | Control |
| SHORES, ALLAN, KEITH | I | TREASURER | NA | Control |
| SHORES, ALLAN, KEITH | I | TREASURER | NA | Control |
| SHORES, ALLAN, KEITH | I | TREASURER | NA | Control |
| SHORES, ALLAN, KEITH | I | TREASURER | NA | Control |
| SHORES, ALLAN, KEITH | I | TREASURER | NA | Control |
| SHORES, ALLAN, KEITH | I | TREASURER | NA | Control |
| SHORES, ALLAN, KEITH | I | TREASURER | NA | Control |
| SHORES, ALLAN, KEITH | I | TREASURER | NA | Control |
| SHORES, ALLAN, KEITH | I | TREASURER | NA | Control |
| SHORES, ALLAN, KEITH | I | TREASURER | NA | Control |
| SHORES, ALLAN, KEITH | I | TREASURER | NA | Control |
| SHORES, ALLAN, KEITH | I | TREASURER | NA | Control |
| SHORES, ALLAN, KEITH | I | TREASURER | NA | Control |
| SHORES, ALLAN, KEITH | I | TREASURER | NA | Control |
| SHORES, ALLAN, KEITH | I | TREASURER | NA | Control |
| SHORES, ALLAN, KEITH | I | TREASURER | NA | Control |
| SHORES, ALLAN, KEITH | I | TREASURER | NA | Control |
| SHORES, ALLAN, KEITH | I | TREASURER | NA | Control |
| SHORES, ALLAN, KEITH | I | TREASURER | NA | Control |
| SHORES, ALLAN, KEITH | I | TREASURER | NA | Control |
| SHORES, ALLAN, KEITH | I | TREASURER | NA | Control |
| SHORES, ALLAN, KEITH | I | TREASURER | NA | Control |
| SHORES, ALLAN, KEITH | I | TREASURER | NA | Control |
| SHORES, ALLAN, KEITH | I | TREASURER | NA | Control |
| SHORES, ALLAN, KEITH | I | TREASURER | NA | Control |
| SHORES, ALLAN, KEITH | I | TREASURER | NA | Control |
| SHORES, ALLAN, KEITH | I | TREASURER | NA | Control |
| SHORES, ALLAN, KEITH | I | TREASURER | NA | Control |
| SHORES, ALLAN, KEITH | I | TREASURER | NA | Control |
| SHORES, ALLAN, KEITH | I | TREASURER | NA | Control |
| SHORES, ALLAN, KEITH | I | TREASURER | NA | Control |
| SHORES, ALLAN, KEITH | I | TREASURER | NA | Control |
| SHORES, ALLAN, KEITH | I | TREASURER | NA | Control |
| SHORES, ALLAN, KEITH | I | TREASURER | NA | Control |
| SHORES, ALLAN, KEITH | I | TREASURER | NA | Control |
| SHORES, ALLAN, KEITH | I | TREASURER | NA | Control |
| SHORES, ALLAN, KEITH | I | TREASURER | NA | Control |
| SHORES, ALLAN, KEITH | I | TREASURER | NA | Control |
| SHORES, ALLAN, KEITH | I | TREASURER | NA | Control |
| SHORES, ALLAN, KEITH | I | TREASURER | NA | Control |
| SMILEY, STANLEY, ROBERT | I | VICE PRESIDENT | NA | |
| SMILEY, STANLEY, ROBERT | I | VICE PRESIDENT | NA | |
| SMILEY, STANLEY, ROBERT | I | VICE PRESIDENT | NA | Control |
| SMILEY, STANLEY, ROBERT | I | VICE PRESIDENT | NA | Control |
| SMILEY, STANLEY, ROBERT | I | VICE PRESIDENT | NA | Control |
| SMILEY, STANLEY, ROBERT | I | VICE PRESIDENT | NA | Control |
| SMILEY, STANLEY, ROBERT | I | VICE PRESIDENT | NA | Control |
| SMILEY, STANLEY, ROBERT | I | VICE PRESIDENT | NA | Control |
| SMILEY, STANLEY, ROBERT | I | VICE PRESIDENT | NA | Control |
| SMILEY, STANLEY, ROBERT | I | VICE PRESIDENT | NA | Control |
| SMILEY, STANLEY, ROBERT | I | VICE PRESIDENT | NA | Control |
| SMILEY, STANLEY, ROBERT | I | VICE PRESIDENT | NA | Control |
| SMILEY, STANLEY, ROBERT | I | VICE PRESIDENT | NA | Control |
| SMILEY, STANLEY, ROBERT | I | VICE PRESIDENT | NA | Control |
| SMILEY, STANLEY, ROBERT | I | VICE PRESIDENT | NA | Control |
| SMILEY, STANLEY, ROBERT | I | VICE PRESIDENT | NA | Control |
| SMILEY, STANLEY, ROBERT | I | VICE PRESIDENT | NA | Control |
| SMILEY, STANLEY, ROBERT | I | VICE PRESIDENT | NA | |
| SMILEY, STANLEY, ROBERT | I | VICE PRESIDENT | NA | Control |
| SMILEY, STANLEY, ROBERT | I | VICE PRESIDENT | NA | Control |
| SMILEY, STANLEY, ROBERT | I | VICE PRESIDENT | NA | Control |
| SMILEY, STANLEY, ROBERT | I | VICE PRESIDENT | NA | Control |
| SMILEY, STANLEY, ROBERT | I | VICE PRESIDENT | NA | |
| SMILEY, STANLEY, ROBERT | I | VICE PRESIDENT | NA | |
| SMILEY, STANLEY, ROBERT | I | VICE PRESIDENT | NA | |
| SMILEY, STANLEY, ROBERT | I | VICE PRESIDENT | NA | Control |
| SMILEY, STANLEY, ROBERT | I | VICE PRESIDENT | NA | Control |
| SMILEY, STANLEY, ROBERT | I | VICE PRESIDENT | NA | Control |
| SMILEY, STANLEY, ROBERT | I | VICE PRESIDENT | NA | |
| SMILEY, STANLEY, ROBERT | I | VICE PRESIDENT | NA | |
| SMILEY, STANLEY, ROBERT | I | VICE PRESIDENT | NA | |
| SMILEY, STANLEY, ROBERT | I | VICE PRESIDENT | NA | |
| SMILEY, STANLEY, ROBERT | I | VICE PRESIDENT | NA | |
| SMILEY, STANLEY, ROBERT | I | VICE PRESIDENT | NA | |
| SMILEY, STANLEY, ROBERT | I | VICE PRESIDENT | NA | |
| SMILEY, STANLEY, ROBERT | I | VICE PRESIDENT | NA | |
| SMILEY, STANLEY, ROBERT | I | VICE PRESIDENT | NA | |
| SMILEY, STANLEY, ROBERT | I | VICE PRESIDENT | NA | |
| SMILEY, STANLEY, ROBERT | I | VICE PRESIDENT | NA | |
| SMILEY, STANLEY, ROBERT | I | VICE PRESIDENT | NA | |
| SMILEY, STANLEY, ROBERT | I | VICE PRESIDENT | NA | |
| SMILEY, STANLEY, ROBERT | I | VICE PRESIDENT | NA | |
| SMILEY, STANLEY, ROBERT | I | VICE PRESIDENT | NA | |
| SMILEY, STANLEY, ROBERT | I | VICE PRESIDENT | NA | |
| SMILEY, STANLEY, ROBERT | I | VICE PRESIDENT | NA | |
| SMILEY, STANLEY, ROBERT | I | VICE PRESIDENT | NA | |
| SMILEY, STANLEY, ROBERT | I | VICE PRESIDENT | NA | |
| SMILEY, STANLEY, ROBERT | I | VICE PRESIDENT | NA | |
| SMILEY, STANLEY, ROBERT | I | VICE PRESIDENT | NA | |
| SMILEY, STANLEY, ROBERT | I | VICE PRESIDENT | NA | |
| SMILEY, STANLEY, ROBERT | I | VICE PRESIDENT | NA | |
| SMILEY, STANLEY, ROBERT | I | VICE PRESIDENT | NA | |
| SMILEY, STANLEY, ROBERT | I | VICE PRESIDENT | NA | |
| SMILEY, STANLEY, ROBERT | I | VICE PRESIDENT | NA | |
| SMILEY, STANLEY, ROBERT | I | VICE PRESIDENT | NA | |
| SMILEY, STANLEY, ROBERT | I | VICE PRESIDENT | NA | |
| SMILEY, STANLEY, ROBERT | I | VICE PRESIDENT | NA | |
| SMILEY, STANLEY, ROBERT | I | VICE PRESIDENT | NA | |
| SMILEY, STANLEY, ROBERT | I | VICE PRESIDENT | NA | |
| SMILEY, STANLEY, ROBERT | I | VICE PRESIDENT | NA | |
| SMILEY, STANLEY, ROBERT | I | VICE PRESIDENT | NA | |
| SMILEY, STANLEY, ROBERT | I | VICE PRESIDENT | NA | |
| SMILEY, STANLEY, ROBERT | I | VICE PRESIDENT | NA | |
| SMILEY, STANLEY, ROBERT | I | VICE PRESIDENT | NA | |
| SMILEY, STANLEY, ROBERT | I | VICE PRESIDENT | NA | |
| SMILEY, STANLEY, ROBERT | I | VICE PRESIDENT | NA | |
| SMILEY, STANLEY, ROBERT | I | VICE PRESIDENT | NA | |
| SMILEY, STANLEY, ROBERT | I | VICE PRESIDENT | NA | |
| SMILEY, STANLEY, ROBERT | I | VICE PRESIDENT | NA | |
| SMILEY, STANLEY, ROBERT | I | VICE PRESIDENT | NA | |
| SMILEY, STANLEY, ROBERT | I | VICE PRESIDENT | NA | |
| SMILEY, STANLEY, ROBERT | I | VICE PRESIDENT | NA | |
| SMILEY, STANLEY, ROBERT | I | VICE PRESIDENT | NA | |
| SMILEY, STANLEY, ROBERT | I | VICE PRESIDENT | NA | |
| SMILEY, STANLEY, ROBERT | I | VICE PRESIDENT | NA | |
| SMILEY, STANLEY, ROBERT | I | VICE PRESIDENT | NA | |
| SMILEY, STANLEY, ROBERT | I | VICE PRESIDENT | NA | |
| SMILEY, STANLEY, ROBERT | I | VICE PRESIDENT | NA | |
| SMILEY, STANLEY, ROBERT | I | VICE PRESIDENT | NA | |
| SMILEY, STANLEY, ROBERT | I | VICE PRESIDENT | NA | |
| SMILEY, STANLEY, ROBERT | I | VICE PRESIDENT | NA | |
| SMILEY, STANLEY, ROBERT | I | VICE PRESIDENT | NA | |
| SMILEY, STANLEY, ROBERT | I | VICE PRESIDENT | NA | |
| SMILEY, STANLEY, ROBERT | I | VICE PRESIDENT | NA | |
| SMILEY, STANLEY, ROBERT | I | VICE PRESIDENT | NA | |
| SMILEY, STANLEY, ROBERT | I | VICE PRESIDENT | NA | |
| SMILEY, STANLEY, ROBERT | I | VICE PRESIDENT | NA | |
| SMILEY, STANLEY, ROBERT | I | VICE PRESIDENT | NA | |
| Taylor, Thomas, Byron | I | CEO, PRESIDENT | NA | Control |
| Taylor, Thomas, Byron | I | CEO, PRESIDENT | NA | Control |
| Taylor, Thomas, Byron | I | CEO, PRESIDENT | NA | Control |
| Taylor, Thomas, Byron | I | CEO, PRESIDENT | NA | Control |
| Taylor, Thomas, Byron | I | CEO, PRESIDENT | NA | Control |
| Taylor, Thomas, Byron | I | CEO, PRESIDENT | NA | Control |
| Taylor, Thomas, Byron | I | CEO, PRESIDENT | NA | Control |
| Taylor, Thomas, Byron | I | CEO, PRESIDENT | NA | Control |
| Taylor, Thomas, Byron | I | CEO, PRESIDENT | NA | Control |
| Taylor, Thomas, Byron | I | CEO, PRESIDENT | NA | Control |
| Taylor, Thomas, Byron | I | CEO, PRESIDENT | NA | Control |
| Taylor, Thomas, Byron | I | CEO, PRESIDENT | NA | Control |
| Taylor, Thomas, Byron | I | CEO, PRESIDENT | NA | Control |
| Taylor, Thomas, Byron | I | CEO, PRESIDENT | NA | Control |
| Taylor, Thomas, Byron | I | CEO, PRESIDENT | NA | Control |
| Taylor, Thomas, Byron | I | CEO, PRESIDENT | NA | Control |
| Taylor, Thomas, Byron | I | CEO, PRESIDENT | NA | Control |
| Taylor, Thomas, Byron | I | CEO, PRESIDENT | NA | Control |
| VASQUEZ, ENRIQUE, MARTIN | I | MANAGER | NA | Control |
| VASQUEZ, ENRIQUE, MARTIN | I | PRESIDENT AND CEO | NA | Control |
| VASQUEZ, ENRIQUE, MARTIN | I | PRESIDENT AND CEO | NA | Control |
| VASQUEZ, ENRIQUE, MARTIN | I | MANAGER | NA | Control |
| VASQUEZ, ENRIQUE, MARTIN | I | MANAGER | NA | Control |
| VASQUEZ, ENRIQUE, MARTIN | I | MANAGER | NA | Control |
| VASQUEZ, ENRIQUE, MARTIN | I | MANAGER | NA | Control |
| VASQUEZ, ENRIQUE, MARTIN | I | PRESIDENT AND CEO | NA | Control |
| VASQUEZ, ENRIQUE, MARTIN | I | PRESIDENT AND CEO | NA | Control |
| VASQUEZ, ENRIQUE, MARTIN | I | PRESIDENT AND CEO | NA | Control |
| Van Havermaat, David, James | I | ASSISTANT SECRETARY | NA | |
| Van Havermaat, David, James | I | ASSISTANT SECRETARY | NA | |
| Van Havermaat, David, James | I | ASSISTANT SECRETARY | NA | |
| Van Havermaat, David, James | I | ASSISTANT SECRETARY | NA | |
| Van Havermaat, David, James | I | ASSISTANT SECRETARY | NA | |
| Van Havermaat, David, James | I | ASSISTANT SECRETARY | NA | |
| Van Havermaat, David, James | I | ASSISTANT SECRETARY | NA | |
| Van Havermaat, David, James | I | ASSISTANT SECRETARY | NA | |
| Van Havermaat, David, James | I | ASSISTANT SECRETARY | NA | |
| Van Havermaat, David, James | I | ASSISTANT SECRETARY | NA | |
| Van Havermaat, David, James | I | ASSISTANT SECRETARY | NA | |
| Van Havermaat, David, James | I | ASSISTANT SECRETARY | NA | |
| Van Havermaat, David, James | I | ASSISTANT SECRETARY | NA | |
| Van Havermaat, David, James | I | ASSISTANT SECRETARY | NA | |
| Van Havermaat, David, James | I | ASSISTANT SECRETARY | NA | |
| Van Havermaat, David, James | I | ASSISTANT SECRETARY | NA | |
| Van Havermaat, David, James | I | ASSISTANT SECRETARY | NA | |
| Van Havermaat, David, James | I | ASSISTANT SECRETARY | NA | |
| Van Havermaat, David, James | I | ASSISTANT SECRETARY | NA | |
| Van Havermaat, David, James | I | ASSISTANT SECRETARY | NA | |
| Vays, Tamas | I | MANAGER | NA | |
| Vays, Tamas | I | MANAGER | NA | |
| Vays, Tamas | I | MANAGER | NA | |
| Vays, Tamas | I | MANAGER | NA | |
| Vays, Tamas | I | MANAGER | NA | |
| WASTEK, GREGORY, STEPHEN | I | ASSISTANT SECRETARY | NA | Control |
| WASTEK, GREGORY, STEPHEN | I | ASSISTANT SECRETARY | NA | Control |
| WASTEK, GREGORY, STEPHEN | I | ASSISTANT SECRETARY | NA | Control |
| WASTEK, GREGORY, STEPHEN | I | ASSISTANT SECRETARY | NA | Control |
| CETERA FINANCIAL GROUP, INC. | DE | SOLE MEMBER | E | Control |
| CETERA FINANCIAL GROUP, INC. | DE | SOLE MEMBER | E | Control |
| CETERA FINANCIAL GROUP, INC. | DE | SOLE MEMBER | E | Control |
| CETERA FINANCIAL GROUP, INC. | DE | SOLE MEMBER | E | Control |
| CETERA FINANCIAL GROUP, INC. | DE | SOLE MEMBER | E | Control |
| CETERA FINANCIAL GROUP, INC. | DE | SOLE MEMBER | E | Control |
| CETERA FINANCIAL GROUP, INC. | DE | SOLE MEMBER | E | Control |
| CETERA FINANCIAL GROUP, INC. | DE | SOLE MEMBER | E | Control |
| CETERA FINANCIAL GROUP, INC. | DE | SOLE MEMBER | E | Control |
| CETERA FINANCIAL GROUP, INC. | DE | SOLE MEMBER | E | Control |
| CETERA FINANCIAL GROUP, INC. | DE | SOLE MEMBER | E | Control |
| CETERA FINANCIAL GROUP, INC. | DE | SOLE MEMBER | E | Control |
| CETERA FINANCIAL GROUP, INC. | DE | SOLE MEMBER | E | Control |
| CETERA FINANCIAL GROUP, INC. | DE | SOLE MEMBER | E | Control |
| CETERA FINANCIAL GROUP, INC. | DE | SOLE MEMBER | E | Control |
| CETERA FINANCIAL GROUP, INC. | DE | SOLE MEMBER | E | Control |
| CETERA FINANCIAL GROUP, INC. | DE | SOLE MEMBER | E | Control |
| CETERA FINANCIAL GROUP, INC. | DE | SOLE MEMBER | E | Control |
| CETERA FINANCIAL GROUP, INC. | DE | SOLE MEMBER | E | Control |
| CETERA FINANCIAL GROUP, INC. | DE | SOLE MEMBER | E | Control |
| CETERA FINANCIAL GROUP, INC. | DE | SOLE MEMBER | E | Control |
| CETERA FINANCIAL GROUP, INC. | DE | SOLE MEMBER | E | Control |
| CETERA FINANCIAL GROUP, INC. | DE | SOLE MEMBER | E | Control |
| CETERA FINANCIAL GROUP, INC. | DE | SOLE MEMBER | E | Control |
| CETERA FINANCIAL GROUP, INC. | DE | SOLE MEMBER | E | Control |
| CETERA FINANCIAL GROUP, INC. | DE | SOLE MEMBER | E | Control |
| CETERA FINANCIAL GROUP, INC. | DE | SOLE MEMBER | E | Control |
| CETERA FINANCIAL GROUP, INC. | DE | SOLE MEMBER | E | Control |
| CETERA FINANCIAL GROUP, INC. | DE | SOLE MEMBER | E | Control |
| CETERA FINANCIAL GROUP, INC. | DE | SOLE MEMBER | E | Control |
| CETERA FINANCIAL GROUP, INC. | DE | SOLE MEMBER | E | Control |
| CETERA FINANCIAL GROUP, INC. | DE | SOLE MEMBER | E | Control |
| CETERA FINANCIAL GROUP, INC. | DE | SOLE MEMBER | E | Control |
| CETERA FINANCIAL GROUP, INC. | DE | SOLE MEMBER | E | Control |
| CETERA FINANCIAL GROUP, INC. | DE | SOLE MEMBER | E | Control |
| CETERA FINANCIAL GROUP, INC. | DE | SOLE MEMBER | E | Control |
| CETERA FINANCIAL GROUP, INC. | DE | SOLE MEMBER | E | Control |
| CETERA FINANCIAL GROUP, INC. | DE | SOLE MEMBER | E | Control |
| CETERA FINANCIAL GROUP, INC. | DE | SOLE MEMBER | E | Control |
| CETERA FINANCIAL GROUP, INC. | DE | SOLE MEMBER | E | Control |
| CETERA FINANCIAL GROUP, INC. | DE | SOLE MEMBER | E | Control |
| CETERA FINANCIAL GROUP, INC. | DE | SOLE MEMBER | E | Control |
| CETERA FINANCIAL GROUP, INC. | DE | SOLE MEMBER | E | Control |
| CETERA FINANCIAL GROUP, INC. | DE | SOLE MEMBER | E | Control |
| CETERA FINANCIAL GROUP, INC. | DE | SOLE MEMBER | E | Control |
| CETERA FINANCIAL GROUP, INC. | DE | SOLE MEMBER | E | Control |
| CETERA FINANCIAL GROUP, INC. | DE | SOLE MEMBER | E | Control |
| CETERA FINANCIAL GROUP, INC. | DE | SOLE MEMBER | E | Control |
| CETERA FINANCIAL GROUP, INC. | DE | SOLE MEMBER | E | Control |
| CETERA FINANCIAL GROUP, INC. | DE | SOLE MEMBER | E | Control |
| CETERA FINANCIAL GROUP, INC. | DE | SOLE MEMBER | E | Control |
| CETERA FINANCIAL GROUP, INC. | DE | SOLE MEMBER | E | Control |
| CETERA FINANCIAL GROUP, INC. | DE | SOLE MEMBER | E | Control |
| CETERA FINANCIAL GROUP, INC. | DE | SOLE MEMBER | E | Control |
| CETERA FINANCIAL GROUP, INC. | DE | SOLE MEMBER | E | Control |
| CETERA FINANCIAL GROUP, INC. | DE | SOLE MEMBER | E | Control |
| CETERA FINANCIAL GROUP, INC. | DE | SOLE MEMBER | E | Control |
| CETERA FINANCIAL GROUP, INC. | DE | SOLE MEMBER | E | Control |
| CETERA FINANCIAL GROUP, INC. | DE | SOLE MEMBER | E | Control |
| CETERA FINANCIAL GROUP, INC. | DE | SOLE MEMBER | E | Control |
| CETERA FINANCIAL GROUP, INC. | DE | SOLE MEMBER | E | Control |
| CETERA FINANCIAL GROUP, INC. | DE | SOLE MEMBER | E | Control |
| CETERA FINANCIAL GROUP, INC. | DE | SOLE MEMBER | E | Control |
| CETERA FINANCIAL GROUP, INC. | DE | SOLE MEMBER | E | Control |
| CETERA FINANCIAL GROUP, INC. | DE | SOLE MEMBER | E | Control |
| CETERA FINANCIAL GROUP, INC. | DE | SOLE MEMBER | E | Control |
| CETERA FINANCIAL GROUP, INC. | DE | SOLE MEMBER | E | Control |
| CETERA FINANCIAL GROUP, INC. | DE | SOLE MEMBER | E | Control |
| CETERA FINANCIAL GROUP, INC. | DE | SOLE MEMBER | E | Control |
| CETERA FINANCIAL GROUP, INC. | DE | SOLE MEMBER | E | Control |
| CETERA FINANCIAL GROUP, INC. | DE | SOLE MEMBER | E | Control |
| CETERA FINANCIAL GROUP, INC. | DE | SOLE MEMBER | E | Control |
| CETERA FINANCIAL GROUP, INC. | DE | SOLE MEMBER | E | Control |
| CETERA FINANCIAL GROUP, INC. | DE | SOLE MEMBER | E | Control |
| CETERA FINANCIAL GROUP, INC. | DE | SOLE MEMBER | E | Control |
| CETERA FINANCIAL GROUP, INC. | DE | SOLE MEMBER | E | Control |
| CETERA FINANCIAL GROUP, INC. | DE | SOLE MEMBER | E | Control |
| CETERA FINANCIAL GROUP, INC. | DE | SOLE MEMBER | E | Control |
| CETERA FINANCIAL GROUP, INC. | DE | SOLE MEMBER | E | Control |
| CETERA FINANCIAL GROUP, INC. | DE | SOLE MEMBER | E | Control |
| CETERA FINANCIAL GROUP, INC. | DE | SOLE MEMBER | E | Control |
| CETERA FINANCIAL GROUP, INC. | DE | SOLE MEMBER | E | Control |
| CETERA FINANCIAL GROUP, INC. | DE | SOLE MEMBER | E | Control |
| CETERA FINANCIAL GROUP, INC. | DE | SOLE MEMBER | E | Control |
| CETERA FINANCIAL GROUP, INC. | DE | SOLE MEMBER | E | Control |
| CETERA FINANCIAL GROUP, INC. | DE | SOLE MEMBER | E | Control |
| CETERA FINANCIAL GROUP, INC. | DE | SOLE MEMBER | E | Control |
| CETERA FINANCIAL GROUP, INC. | DE | SOLE MEMBER | E | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| CHESTNUT VENTURE HOLDINGS, LLC | DE | MARRON & ASSOCIATES, LLC | F | Control |
| CHESTNUT VENTURE HOLDINGS, LLC | DE | MARRON & ASSOCIATES, LLC | F | Control |
| CHESTNUT VENTURE HOLDINGS, LLC | DE | MARRON & ASSOCIATES, LLC | F | Control |
| CHESTNUT VENTURE HOLDINGS, LLC | DE | MARRON & ASSOCIATES, LLC | F | Control |
| CHESTNUT VENTURE HOLDINGS, LLC | DE | MARRON & ASSOCIATES, LLC | F | Control |
| CHESTNUT VENTURE HOLDINGS, LLC | DE | MARRON & ASSOCIATES, LLC | F | Control |
| CHESTNUT VENTURE HOLDINGS, LLC | DE | MARRON & ASSOCIATES, LLC | F | Control |
| CHESTNUT VENTURE HOLDINGS, LLC | DE | MARRON & ASSOCIATES, LLC | F | Control |
| CHESTNUT VENTURE HOLDINGS, LLC | DE | MARRON & ASSOCIATES, LLC | F | Control |
| LIGHTYEAR FUND II GP HOLDINGS, LLC | DE | LIGHTYEAR FUND II GP, LP | F | Control |
| LIGHTYEAR FUND II GP HOLDINGS, LLC | DE | LIGHTYEAR FUND II GP, LP | F | Control |
| LIGHTYEAR FUND II GP HOLDINGS, LLC | DE | LIGHTYEAR FUND II GP, LP | F | Control |
| LIGHTYEAR FUND II GP HOLDINGS, LLC | DE | LIGHTYEAR FUND II GP, LP | F | Control |
| LIGHTYEAR FUND II GP HOLDINGS, LLC | DE | LIGHTYEAR FUND II GP, LP | F | Control |
| LIGHTYEAR FUND II GP HOLDINGS, LLC | DE | LIGHTYEAR FUND II GP, LP | F | Control |
| LIGHTYEAR FUND II GP HOLDINGS, LLC | DE | LIGHTYEAR FUND II GP, LP | F | Control |
| LIGHTYEAR FUND II GP HOLDINGS, LLC | DE | LIGHTYEAR FUND II GP, LP | F | Control |
| LIGHTYEAR FUND II GP HOLDINGS, LLC | DE | LIGHTYEAR FUND II GP, LP | F | Control |
| LIGHTYEAR FUND II GP HOLDINGS, LLC | DE | LIGHTYEAR FUND II GP, LP | F | Control |
| LIGHTYEAR FUND II GP HOLDINGS, LLC | DE | LIGHTYEAR FUND II GP, LP | F | Control |
| LIGHTYEAR FUND II GP HOLDINGS, LLC | DE | LIGHTYEAR FUND II GP, LP | F | Control |
| LIGHTYEAR FUND II GP HOLDINGS, LLC | DE | LIGHTYEAR FUND II GP, LP | F | Control |
| LIGHTYEAR FUND II GP HOLDINGS, LLC | DE | LIGHTYEAR FUND II GP, LP | F | Control |
| LIGHTYEAR FUND II GP HOLDINGS, LLC | DE | LIGHTYEAR FUND II GP, LP | F | Control |
| LIGHTYEAR FUND II GP, LP | DE | LIGHTYEAR FUND II, LP | F | Control |
| LIGHTYEAR FUND II GP, LP | DE | LIGHTYEAR FUND II, LP | F | Control |
| LIGHTYEAR FUND II GP, LP | DE | LIGHTYEAR FUND II, LP | F | Control |
| LIGHTYEAR FUND II GP, LP | DE | LIGHTYEAR FUND II, LP | F | Control |
| LIGHTYEAR FUND II GP, LP | DE | LIGHTYEAR FUND II, LP | F | Control |
| LIGHTYEAR FUND II GP, LP | DE | LIGHTYEAR FUND II, LP | F | Control |
| LIGHTYEAR FUND II GP, LP | DE | LIGHTYEAR FUND II, LP | F | Control |
| LIGHTYEAR FUND II GP, LP | DE | LIGHTYEAR FUND II, LP | F | Control |
| LIGHTYEAR FUND II GP, LP | DE | LIGHTYEAR FUND II, LP | F | Control |
| LIGHTYEAR FUND II GP, LP | DE | LIGHTYEAR FUND II, LP | F | Control |
| LIGHTYEAR FUND II GP, LP | DE | LIGHTYEAR FUND II, LP | F | Control |
| LIGHTYEAR FUND II GP, LP | DE | LIGHTYEAR FUND II, LP | F | Control |
| LIGHTYEAR FUND II GP, LP | DE | LIGHTYEAR FUND II, LP | F | Control |
| LIGHTYEAR FUND II GP, LP | DE | LIGHTYEAR FUND II, LP | F | Control |
| LIGHTYEAR FUND II GP, LP | DE | LIGHTYEAR FUND II, LP | F | Control |
| MARRON & ASSOCIATES LLC | DE | LIGHTYEAR FUND II GP HOLDINGS, LLC | F | Control |
| MARRON & ASSOCIATES LLC | DE | LIGHTYEAR FUND II GP HOLDINGS, LLC | F | Control |
| MARRON & ASSOCIATES LLC | DE | LIGHTYEAR FUND II GP HOLDINGS, LLC | F | Control |
| MARRON & ASSOCIATES LLC | DE | LIGHTYEAR FUND II GP HOLDINGS, LLC | F | Control |
| MARRON & ASSOCIATES LLC | DE | LIGHTYEAR FUND II GP HOLDINGS, LLC | F | Control |
| MARRON & ASSOCIATES LLC | DE | LIGHTYEAR FUND II GP HOLDINGS, LLC | F | Control |
| MARRON & ASSOCIATES LLC | DE | LIGHTYEAR FUND II GP HOLDINGS, LLC | F | Control |
| MARRON & ASSOCIATES LLC | DE | LIGHTYEAR FUND II GP HOLDINGS, LLC | F | Control |
| MARRON & ASSOCIATES LLC | DE | LIGHTYEAR FUND II GP HOLDINGS, LLC | F | Control |
| 2.RCS CAPITAL CORPORATION | DE | RCS CAPITAL HOLDINGS, LLC | E | Control |
| ARETEC GROUP, INC. | DE | RCS CAPITAL HOLDINGS, LLC | E | Control |
| ARETEC GROUP, INC. | DE | RCS CAPITAL HOLDINGS, LLC | E | Control |
| ARETEC GROUP, INC. | DE | RCS CAPITAL HOLDINGS, LLC | E | Control |
| ARETEC GROUP, INC. | DE | RCS CAPITAL HOLDINGS, LLC | E | Control |
| ARETEC GROUP, INC. | DE | RCS CAPITAL HOLDINGS, LLC | E | Control |
| ARETEC GROUP, INC. | DE | RCS CAPITAL HOLDINGS, LLC | E | Control |
| ARETEC GROUP, INC. | DE | RCS CAPITAL HOLDINGS, LLC | E | Control |
| ARETEC GROUP, INC. | DE | RCS CAPITAL HOLDINGS, LLC | E | Control |
| ARETEC GROUP, INC. | DE | RCS CAPITAL HOLDINGS, LLC | E | Control |
| ARETEC GROUP, INC. | DE | RCS CAPITAL HOLDINGS, LLC | E | Control |
| ARETEC GROUP, INC. | DE | RCS CAPITAL HOLDINGS, LLC | E | Control |
| ARETEC GROUP, INC. | DE | RCS CAPITAL HOLDINGS, LLC | E | Control |
| ARETEC GROUP, INC. | DE | RCS CAPITAL HOLDINGS, LLC | E | Control |
| ARETEC GROUP, INC. | DE | RCS CAPITAL HOLDINGS, LLC | E | Control |
| ARETEC GROUP, INC. | DE | RCS CAPITAL HOLDINGS, LLC | E | Control |
| ARETEC GROUP, INC. | DE | RCS CAPITAL HOLDINGS, LLC | E | Control |
| ARETEC GROUP, INC. | DE | RCS CAPITAL HOLDINGS, LLC | E | Control |
| ARETEC GROUP, INC. | DE | RCS CAPITAL HOLDINGS, LLC | E | Control |
| ARETEC GROUP, INC. | DE | RCS CAPITAL HOLDINGS, LLC | E | Control |
| ARETEC GROUP, INC. | DE | RCS CAPITAL HOLDINGS, LLC | E | Control |
| ARETEC GROUP, INC. | DE | RCS CAPITAL HOLDINGS, LLC | E | Control |
| ARETEC GROUP, INC. | DE | RCS CAPITAL HOLDINGS, LLC | E | Control |
| ARETEC GROUP, INC. | DE | RCS CAPITAL HOLDINGS, LLC | E | Control |
| ARETEC GROUP, INC. | DE | RCS CAPITAL HOLDINGS, LLC | E | Control |
| ARETEC GROUP, INC. | DE | RCS CAPITAL HOLDINGS, LLC | E | Control |
| ARETEC GROUP, INC. | DE | RCS CAPITAL HOLDINGS, LLC | E | Control |
| ARETEC GROUP, INC. | DE | RCS CAPITAL HOLDINGS, LLC | E | Control |
| ARETEC GROUP, INC. | DE | RCS CAPITAL HOLDINGS, LLC | E | Control |
| ARETEC GROUP, INC. | DE | RCS CAPITAL HOLDINGS, LLC | E | Control |
| ARETEC GROUP, INC. | DE | RCS CAPITAL HOLDINGS, LLC | E | Control |
| ARETEC GROUP, INC. | DE | RCS CAPITAL HOLDINGS, LLC | E | Control |
| ARETEC GROUP, INC. | DE | RCS CAPITAL HOLDINGS, LLC | E | Control |
| ARETEC GROUP, INC. | DE | RCS CAPITAL HOLDINGS, LLC | E | Control |
| ARETEC GROUP, INC. | DE | RCS CAPITAL HOLDINGS, LLC | E | Control |
| ARETEC GROUP, INC. | DE | RCS CAPITAL HOLDINGS, LLC | E | Control |
| ARETEC GROUP, INC. | DE | RCS CAPITAL HOLDINGS, LLC | E | Control |
| ARETEC GROUP, INC. | DE | RCS CAPITAL HOLDINGS, LLC | E | Control |
| ARETEC GROUP, INC. | DE | RCS CAPITAL HOLDINGS, LLC | E | Control |
| ARETEC GROUP, INC. | DE | RCS CAPITAL HOLDINGS, LLC | E | Control |
| ARETEC GROUP, INC. | DE | RCS CAPITAL HOLDINGS, LLC | E | Control |
| ARETEC GROUP, INC. | DE | RCS CAPITAL HOLDINGS, LLC | E | Control |
| ARETEC GROUP, INC. | DE | RCS CAPITAL HOLDINGS, LLC | E | Control |
| ARETEC GROUP, INC. | DE | RCS CAPITAL HOLDINGS, LLC | E | Control |
| ARETEC GROUP, INC. | DE | RCS CAPITAL HOLDINGS, LLC | E | Control |
| ARETEC GROUP, INC. | DE | RCS CAPITAL HOLDINGS, LLC | E | Control |
| ARETEC GROUP, INC. | DE | RCS CAPITAL HOLDINGS, LLC | E | Control |
| ARETEC GROUP, INC. | DE | RCS CAPITAL HOLDINGS, LLC | E | Control |
| ARETEC GROUP, INC. | DE | RCS CAPITAL HOLDINGS, LLC | E | Control |
| ARETEC GROUP, INC. | DE | RCS CAPITAL HOLDINGS, LLC | E | Control |
| ARETEC GROUP, INC. | DE | CETERA FINANCIAL HOLDINGS, INC. | E | Control |
| ARETEC GROUP, INC. | DE | CETERA FINANCIAL HOLDINGS, INC. | E | Control |
| CETERA FINANCIAL GROUP, INC | DE | CETERA FINANCIAL GROUP, INC. | E | Control |
| CETERA FINANCIAL GROUP, INC | DE | CETERA FINANCIAL GROUP, INC. | E | Control |
| CETERA FINANCIAL HOLDINGS, INC. | DE | CETERA FINANCIAL GROUP, INC. | E | Control |
| CETERA FINANCIAL HOLDINGS, INC. | DE | CETERA FINANCIAL GROUP, INC. | E | Control |
| CETERA FINANCIAL HOLDINGS, INC. | DE | CETERA FINANCIAL GROUP, INC. | E | Control |
| CETERA FINANCIAL HOLDINGS, INC. | DE | CETERA FINANCIAL GROUP, INC. | E | Control |
| CETERA FINANCIAL HOLDINGS, INC. | DE | CETERA FINANCIAL GROUP, INC. | E | Control |
| CETERA FINANCIAL HOLDINGS, INC. | DE | CETERA FINANCIAL GROUP, INC. | E | Control |
| CETERA FINANCIAL HOLDINGS, INC. | DE | CETERA FINANCIAL GROUP, INC. | E | Control |
| CETERA FINANCIAL HOLDINGS, INC. | DE | CETERA FINANCIAL GROUP, INC. | E | Control |
| CETERA FINANCIAL HOLDINGS, INC. | DE | CETERA FINANCIAL GROUP, INC. | E | Control |
| CETERA FINANCIAL HOLDINGS, INC. | DE | CETERA FINANCIAL GROUP, INC. | E | Control |
| CETERA FINANCIAL HOLDINGS, INC. | DE | CETERA FINANCIAL GROUP, INC. | E | Control |
| CETERA FINANCIAL HOLDINGS, INC. | DE | CETERA FINANCIAL GROUP, INC. | E | Control |
| CETERA FINANCIAL HOLDINGS, INC. | DE | CETERA FINANCIAL GROUP, INC. | E | Control |
| CETERA FINANCIAL HOLDINGS, INC. | DE | CETERA FINANCIAL GROUP, INC. | E | Control |
| CETERA FINANCIAL HOLDINGS, INC. | DE | CETERA FINANCIAL GROUP, INC. | E | Control |
| CETERA FINANCIAL HOLDINGS, INC. | DE | CETERA FINANCIAL GROUP, INC. | E | Control |
| CETERA FINANCIAL HOLDINGS, INC. | DE | CETERA FINANCIAL GROUP, INC. | E | Control |
| CETERA FINANCIAL HOLDINGS, INC. | DE | CETERA FINANCIAL GROUP, INC. | E | Control |
| CETERA FINANCIAL HOLDINGS, INC. | DE | CETERA FINANCIAL GROUP, INC. | E | Control |
| CETERA FINANCIAL HOLDINGS, INC. | DE | CETERA FINANCIAL GROUP, INC. | E | Control |
| CETERA FINANCIAL HOLDINGS, INC. | DE | CETERA FINANCIAL GROUP, INC. | E | Control |
| CETERA FINANCIAL HOLDINGS, INC. | DE | CETERA FINANCIAL GROUP, INC. | E | Control |
| CETERA FINANCIAL HOLDINGS, INC. | DE | CETERA FINANCIAL GROUP, INC. | E | Control |
| CETERA FINANCIAL HOLDINGS, INC. | DE | CETERA FINANCIAL GROUP, INC. | E | Control |
| CETERA FINANCIAL HOLDINGS, INC. | DE | CETERA FINANCIAL GROUP, INC. | E | Control |
| CETERA FINANCIAL HOLDINGS, INC. | DE | CETERA FINANCIAL GROUP, INC. | E | Control |
| CETERA FINANCIAL HOLDINGS, INC. | DE | CETERA FINANCIAL GROUP, INC. | E | Control |
| CETERA FINANCIAL HOLDINGS, INC. | DE | CETERA FINANCIAL GROUP, INC. | E | Control |
| CETERA FINANCIAL HOLDINGS, INC. | DE | CETERA FINANCIAL GROUP, INC. | E | Control |
| CETERA FINANCIAL HOLDINGS, INC. | DE | CETERA FINANCIAL GROUP, INC. | E | Control |
| CETERA FINANCIAL HOLDINGS, INC. | DE | CETERA FINANCIAL GROUP, INC. | E | Control |
| CETERA FINANCIAL HOLDINGS, INC. | DE | CETERA FINANCIAL GROUP, INC. | E | Control |
| CETERA FINANCIAL HOLDINGS, INC. | DE | CETERA FINANCIAL GROUP, INC. | E | Control |
| CETERA FINANCIAL HOLDINGS, INC. | DE | CETERA FINANCIAL GROUP, INC. | E | Control |
| CETERA FINANCIAL HOLDINGS, INC. | DE | CETERA FINANCIAL GROUP, INC. | E | Control |
| CETERA FINANCIAL HOLDINGS, INC. | DE | CETERA FINANCIAL GROUP, INC. | E | Control |
| CETERA FINANCIAL HOLDINGS, INC. | DE | CETERA FINANCIAL GROUP, INC. | E | Control |
| CETERA FINANCIAL HOLDINGS, INC. | DE | CETERA FINANCIAL GROUP, INC. | E | Control |
| CETERA FINANCIAL HOLDINGS, INC. | DE | CETERA FINANCIAL GROUP, INC. | E | Control |
| CETERA FINANCIAL HOLDINGS, INC. | DE | CETERA FINANCIAL GROUP, INC. | E | Control |
| CETERA FINANCIAL HOLDINGS, INC. | DE | CETERA FINANCIAL GROUP, INC. | E | Control |
| CETERA FINANCIAL HOLDINGS, INC. | DE | CETERA FINANCIAL GROUP, INC. | E | Control |
| CETERA FINANCIAL HOLDINGS, INC. | DE | CETERA FINANCIAL GROUP, INC. | E | Control |
| CETERA FINANCIAL HOLDINGS, INC. | DE | CETERA FINANCIAL GROUP, INC. | E | Control |
| CETERA FINANCIAL HOLDINGS, INC. | DE | CETERA FINANCIAL GROUP, INC. | E | Control |
| CETERA FINANCIAL HOLDINGS, INC. | DE | CETERA FINANCIAL GROUP, INC. | E | Control |
| CETERA FINANCIAL HOLDINGS, INC. | DE | CETERA FINANCIAL GROUP, INC. | E | Control |
| CETERA FINANCIAL HOLDINGS, INC. | DE | CETERA FINANCIAL GROUP, INC. | E | Control |
| CETERA FINANCIAL HOLDINGS, INC. | DE | CETERA FINANCIAL GROUP, INC. | E | Control |
| CETERA FINANCIAL HOLDINGS, INC. | DE | CETERA FINANCIAL GROUP, INC. | E | Control |
| CETERA FINANCIAL HOLDINGS, INC. | DE | CETERA FINANCIAL GROUP, INC. | E | Control |
| CETERA FINANCIAL HOLDINGS, INC. | DE | CETERA FINANCIAL GROUP, INC. | E | Control |
| CETERA FINANCIAL HOLDINGS, INC. | DE | CETERA FINANCIAL GROUP, INC. | E | Control |
| CETERA FINANCIAL HOLDINGS, INC. | DE | CETERA FINANCIAL GROUP, INC. | E | Control |
| CETERA FINANCIAL HOLDINGS, INC. | DE | CETERA FINANCIAL GROUP, INC. | E | Control |
| CETERA FINANCIAL HOLDINGS, INC. | DE | CETERA FINANCIAL GROUP, INC. | E | Control |
| CETERA FINANCIAL HOLDINGS, INC. | DE | CETERA FINANCIAL GROUP, INC. | E | Control |
| CETERA FINANCIAL HOLDINGS, INC. | DE | CETERA FINANCIAL GROUP, INC. | E | Control |
| CETERA FINANCIAL HOLDINGS, INC. | DE | CETERA FINANCIAL GROUP, INC. | E | Control |
| CETERA FINANCIAL HOLDINGS, INC. | DE | CETERA FINANCIAL GROUP, INC. | E | Control |
| CETERA FINANCIAL HOLDINGS, INC. | DE | CETERA FINANCIAL GROUP, INC. | E | Control |
| CETERA FINANCIAL HOLDINGS, INC. | DE | CETERA FINANCIAL GROUP, INC. | E | Control |
| CETERA FINANCIAL HOLDINGS, INC. | DE | CETERA FINANCIAL GROUP, INC. | E | Control |
| CETERA FINANCIAL HOLDINGS, INC. | DE | CETERA FINANCIAL GROUP, INC. | E | Control |
| CETERA FINANCIAL HOLDINGS, INC. | DE | CETERA FINANCIAL GROUP, INC. | E | Control |
| CETERA FINANCIAL HOLDINGS, INC. | DE | CETERA FINANCIAL GROUP, INC. | E | Control |
| CETERA FINANCIAL HOLDINGS, INC. | DE | CETERA FINANCIAL GROUP, INC. | E | Control |
| CETERA FINANCIAL HOLDINGS, INC. | DE | CETERA FINANCIAL GROUP, INC. | E | Control |
| CETERA FINANCIAL HOLDINGS, INC. | DE | CETERA FINANCIAL GROUP, INC. | E | Control |
| CETERA FINANCIAL HOLDINGS, INC. | DE | CETERA FINANCIAL GROUP, INC. | E | Control |
| CETERA FINANCIAL HOLDINGS, INC. | DE | CETERA FINANCIAL GROUP, INC. | E | Control |
| CETERA FINANCIAL HOLDINGS, INC. | DE | CETERA FINANCIAL GROUP, INC. | E | Control |
| CETERA FINANCIAL HOLDINGS, INC. | DE | CETERA FINANCIAL GROUP, INC. | E | Control |
| CETERA FINANCIAL HOLDINGS, INC. | DE | CETERA FINANCIAL GROUP, INC. | E | Control |
| CETERA FINANCIAL HOLDINGS, INC. | DE | CETERA FINANCIAL GROUP, INC. | E | Control |
| CETERA FINANCIAL HOLDINGS, INC. | DE | CETERA FINANCIAL GROUP, INC. | E | Control |
| CETERA FINANCIAL HOLDINGS, INC. | DE | CETERA FINANCIAL GROUP, INC. | E | Control |
| CETERA FINANCIAL HOLDINGS, INC. | DE | CETERA FINANCIAL GROUP, INC. | E | Control |
| CETERA FINANCIAL HOLDINGS, INC. | DE | CETERA FINANCIAL GROUP, INC. | E | Control |
| CETERA FINANCIAL HOLDINGS, INC. | DE | CETERA FINANCIAL GROUP, INC. | E | Control |
| CETERA FINANCIAL HOLDINGS, INC. | DE | CETERA FINANCIAL GROUP, INC | E | Control |
| CETERA FINANCIAL HOLDINGS, INC. | DE | CETERA FINANCIAL GROUP, INC | E | Control |
| GC THREE HOLDINGS, LLC | DE | GC TWO HOLDINGS, INC | E | Control |
| GC THREE HOLDINGS, LLC | DE | GC TWO HOLDINGS, INC | E | Control |
| GC TWO HOLDINGS, INC | DE | GC TWO INTERMEDIATE HOLDINGS, INC | E | Control |
| GC TWO HOLDINGS, INC | DE | GC TWO INTERMEDIATE HOLDINGS, INC | E | Control |
| GC TWO INTERMEDIATE HOLDINGS, INC | DE | ARETEC GROUP, INC. | E | Control |
| GC TWO INTERMEDIATE HOLDINGS, INC | DE | ARETEC GROUP, INC. | E | Control |
| LIGHTYEAR FUND II, LP | DE | CETERA FINANCIAL HOLDINGS, INC. | E | Control |
| LIGHTYEAR FUND II, LP | DE | CETERA FINANCIAL HOLDINGS, INC. | E | Control |
| LIGHTYEAR FUND II, LP | DE | CETERA FINANCIAL HOLDINGS, INC. | E | Control |
| LIGHTYEAR FUND II, LP | DE | CETERA FINANCIAL HOLDINGS, INC. | E | Control |
| LIGHTYEAR FUND II, LP | DE | CETERA FINANCIAL HOLDINGS, INC. | E | Control |
| LIGHTYEAR FUND II, LP | DE | CETERA FINANCIAL HOLDINGS, INC. | E | Control |
| LIGHTYEAR FUND II, LP | DE | CETERA FINANCIAL HOLDINGS, INC. | E | Control |
| LIGHTYEAR FUND II, LP | DE | CETERA FINANCIAL HOLDINGS, INC. | E | Control |
| LIGHTYEAR FUND II, LP | DE | CETERA FINANCIAL HOLDINGS, INC. | E | Control |
| LIGHTYEAR FUND II, LP | DE | CETERA FINANCIAL HOLDINGS, INC. | E | Control |
| LIGHTYEAR FUND II, LP | DE | CETERA FINANCIAL HOLDINGS, INC. | E | Control |
| LIGHTYEAR FUND II, LP | DE | CETERA FINANCIAL HOLDINGS, INC. | E | Control |
| LIGHTYEAR FUND II, LP | DE | CETERA FINANCIAL HOLDINGS, INC. | E | Control |
| LIGHTYEAR FUND II, LP | DE | CETERA FINANCIAL HOLDINGS, INC. | E | Control |
| LIGHTYEAR FUND II, LP | DE | CETERA FINANCIAL HOLDINGS, INC. | E | Control |
| LY HOLDINGS, LLC | DE | LIGHTYEAR FUND II GP HOLDINGS, LLC | E | Control |
| LY HOLDINGS, LLC | DE | LIGHTYEAR FUND II GP HOLDINGS, LLC | E | Control |
| LY HOLDINGS, LLC | DE | LIGHTYEAR FUND II GP HOLDINGS, LLC | E | Control |
| LY HOLDINGS, LLC | DE | LIGHTYEAR FUND II GP HOLDINGS, LLC | E | Control |
| LY HOLDINGS, LLC | DE | LIGHTYEAR FUND II GP HOLDINGS, LLC | E | Control |
| LY HOLDINGS, LLC | DE | LIGHTYEAR FUND II GP HOLDINGS, LLC | E | Control |
| MARRON, DONALD, BAIRD | I | CHESTNUT VENTURE HOLDINGS, LLC | E | Control |
| MARRON, DONALD, BAIRD | I | CHESTNUT VENTURE HOLDINGS, LLC | E | Control |
| MARRON, DONALD, BAIRD | I | CHESTNUT VENTURE HOLDINGS, LLC | E | Control |
| MARRON, DONALD, BAIRD | I | CHESTNUT VENTURE HOLDINGS, LLC | E | Control |
| MARRON, DONALD, BAIRD | I | CHESTNUT VENTURE HOLDINGS, LLC | E | Control |
| MARRON, DONALD, BAIRD | I | CHESTNUT VENTURE HOLDINGS, LLC | E | Control |
| MARRON, DONALD, BAIRD | I | CHESTNUT VENTURE HOLDINGS, LLC | E | Control |
| MARRON, DONALD, BAIRD | I | CHESTNUT VENTURE HOLDINGS, LLC | E | Control |
| MARRON, DONALD, BAIRD | I | CHESTNUT VENTURE HOLDINGS, LLC | E | Control |
| RCS CAPITAL CORPORATION | DE | RCS CAPITAL HOLDINGS, LLC | E | Control |
| RCS CAPITAL CORPORATION | DE | RCS CAPITAL HOLDINGS, LLC | E | Control |
| RCS CAPITAL CORPORATION | DE | RCS CAPITAL HOLDINGS, LLC | E | Control |
| RCS CAPITAL CORPORATION | DE | RCS CAPITAL HOLDINGS, LLC | E | Control |
| RCS CAPITAL CORPORATION | DE | RCS CAPITAL HOLDINGS, LLC | E | Control |
| RCS CAPITAL CORPORATION | DE | RCS CAPITAL HOLDINGS, LLC | E | Control |
| RCS CAPITAL CORPORATION | DE | RCS CAPITAL HOLDINGS, LLC | E | Control |
| RCS CAPITAL CORPORATION | DE | RCS CAPITAL HOLDINGS, LLC | E | Control |
| RCS CAPITAL CORPORATION | DE | RCS CAPITAL HOLDINGS, LLC | E | Control |
| RCS CAPITAL CORPORATION | DE | RCS CAPITAL HOLDINGS, LLC | E | Control |
| RCS CAPITAL CORPORATION | DE | RCS CAPITAL HOLDINGS, LLC | E | Control |
| RCS CAPITAL CORPORATION | DE | RCS CAPITAL HOLDINGS, LLC | E | Control |
| RCS CAPITAL CORPORATION | DE | RCS CAPITAL HOLDINGS, LLC | E | Control |
| RCS CAPITAL CORPORATION | DE | RCS CAPITAL HOLDINGS, LLC | E | Control |
| RCS CAPITAL CORPORATION | DE | RCS CAPITAL HOLDINGS, LLC | E | Control |
| RCS CAPITAL HOLDINGS, LLC | DE | CETERA FINANCIAL HOLDINGS, INC | E | Control |
| RCS CAPITAL HOLDINGS, LLC | DE | CETERA FINANCIAL HOLDINGS, INC | E | Control |
| RCS CAPITAL HOLDINGS, LLC | DE | CETERA FINANCIAL HOLDINGS, INC | E | Control |
| RCS CAPITAL HOLDINGS, LLC | DE | CETERA FINANCIAL HOLDINGS, INC | E | Control |
| RCS CAPITAL HOLDINGS, LLC | DE | CETERA FINANCIAL HOLDINGS, INC | E | Control |
| RCS CAPITAL HOLDINGS, LLC | DE | CETERA FINANCIAL HOLDINGS, INC | E | Control |
| RCS CAPITAL HOLDINGS, LLC | DE | CETERA FINANCIAL HOLDINGS, INC | E | Control |
| RCS CAPITAL HOLDINGS, LLC | DE | CETERA FINANCIAL HOLDINGS, INC | E | Control |
| RCS CAPITAL HOLDINGS, LLC | DE | CETERA FINANCIAL HOLDINGS, INC | E | Control |
| RCS CAPITAL HOLDINGS, LLC | DE | CETERA FINANCIAL HOLDINGS, INC | E | Control |
| RCS CAPITAL HOLDINGS, LLC | DE | CETERA FINANCIAL HOLDINGS, INC | E | Control |
| RCS CAPITAL HOLDINGS, LLC | DE | CETERA FINANCIAL HOLDINGS, INC | E | Control |
| RCS CAPITAL HOLDINGS, LLC | DE | CETERA FINANCIAL HOLDINGS, INC | E | Control |
| RCS CAPITAL HOLDINGS, LLC | DE | CETERA FINANCIAL HOLDINGS, INC | E | Control |
| RCS CAPITAL HOLDINGS, LLC | DE | CETERA FINANCIAL HOLDINGS, INC | E | Control |
| RCS CAPITAL HOLDINGS, LLC | DE | CETERA FINANCIAL HOLDINGS, INC | E | Control |
| RCS CAPITAL HOLDINGS, LLC | DE | CETERA FINANCIAL HOLDINGS, INC | E | Control |
| RCS CAPITAL HOLDINGS, LLC | DE | CETERA FINANCIAL HOLDINGS, INC | E | Control |
| RCS CAPITAL HOLDINGS, LLC | DE | CETERA FINANCIAL HOLDINGS, INC | E | Control |
| RCS CAPITAL HOLDINGS, LLC | DE | CETERA FINANCIAL HOLDINGS, INC | E | Control |
| RCS CAPITAL HOLDINGS, LLC | DE | CETERA FINANCIAL HOLDINGS, INC | E | Control |
| RCS CAPITAL HOLDINGS, LLC | DE | CETERA FINANCIAL HOLDINGS, INC | E | Control |
| RCS CAPITAL HOLDINGS, LLC | DE | CETERA FINANCIAL HOLDINGS, INC | E | Control |
| RCS CAPITAL HOLDINGS, LLC | DE | CETERA FINANCIAL HOLDINGS, INC | E | Control |
| RCS CAPITAL HOLDINGS, LLC | DE | CETERA FINANCIAL HOLDINGS, INC | E | Control |
| RCS CAPITAL HOLDINGS, LLC | DE | CETERA FINANCIAL HOLDINGS, INC | E | Control |
| RCS CAPITAL HOLDINGS, LLC | DE | CETERA FINANCIAL HOLDINGS, INC | E | Control |
| RCS CAPITAL HOLDINGS, LLC | DE | CETERA FINANCIAL HOLDINGS, INC | E | Control |
| RCS CAPITAL HOLDINGS, LLC | DE | CETERA FINANCIAL HOLDINGS, INC | E | Control |
| RCS CAPITAL HOLDINGS, LLC | DE | CETERA FINANCIAL HOLDINGS, INC | E | Control |
| RCS CAPITAL HOLDINGS, LLC | DE | CETERA FINANCIAL HOLDINGS, INC | E | Control |
| RCS CAPITAL HOLDINGS, LLC | DE | CETERA FINANCIAL HOLDINGS, INC | E | Control |
| RCS CAPITAL HOLDINGS, LLC | DE | CETERA FINANCIAL HOLDINGS, INC | E | Control |
| RCS CAPITAL HOLDINGS, LLC | DE | CETERA FINANCIAL HOLDINGS, INC | E | Control |
| RCS CAPITAL HOLDINGS, LLC | DE | CETERA FINANCIAL HOLDINGS, INC | E | Control |
| RCS CAPITAL HOLDINGS, LLC | DE | CETERA FINANCIAL HOLDINGS, INC | E | Control |
| RCS CAPITAL HOLDINGS, LLC | DE | CETERA FINANCIAL HOLDINGS, INC | E | Control |
| RCS CAPITAL HOLDINGS, LLC | DE | CETERA FINANCIAL HOLDINGS, INC | E | Control |
| RCS CAPITAL HOLDINGS, LLC | DE | CETERA FINANCIAL HOLDINGS, INC | E | Control |
| RCS CAPITAL HOLDINGS, LLC | DE | CETERA FINANCIAL HOLDINGS, INC | E | Control |
| RCS CAPITAL HOLDINGS, LLC | DE | CETERA FINANCIAL HOLDINGS, INC | E | Control |
| RCS CAPITAL HOLDINGS, LLC | DE | CETERA FINANCIAL HOLDINGS, INC | E | Control |
| RCS CAPITAL HOLDINGS, LLC | DE | CETERA FINANCIAL HOLDINGS, INC | E | Control |
| RCS CAPITAL HOLDINGS, LLC | DE | CETERA FINANCIAL HOLDINGS, INC | E | Control |
| VASSALLO, MARK, FRANCIS | I | LY HOLDINGS, LLC | E | Control |
| VASSALLO, MARK, FRANCIS | I | LY HOLDINGS, LLC | E | Control |
| VASSALLO, MARK, FRANCIS | I | LY HOLDINGS, LLC | E | Control |
| VASSALLO, MARK, FRANCIS | I | LY HOLDINGS, LLC | E | Control |
| VASSALLO, MARK, FRANCIS | I | LY HOLDINGS, LLC | E | Control |
| VASSALLO, MARK, FRANCIS | I | LY HOLDINGS, LLC | E | Control |
Registrations
Federal
IA
Nov 4, 2025 REGISTERED
Notice Filings (18)
AL AZ CA CO DE FL GA IL LA MA MN NC NJ NY OR SC TX VA
Address
1450 AMERICAN LANESUITE 650
SCHAMBURG, IL 60173
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Phone: 310-257-7880