H. BECK, INC.

CRD #1763 SEC #801- ROCKVILLE, MD 301-944-5900

SEC Registered Broker-Dealer Disclosures

Total AUM

$2B

Discretionary

$421.2M

Employees

406

Clients

251

Accounts

7,230

This firm has regulatory disclosures on file. View disclosures

Firm Details

Organization Type: Corporation
State of Formation: Maryland
Fiscal Year End: DECEMBER
Registration Date: --
Latest Filing: Mar 25, 2021
Branch Offices: 237

Advisory Services

No services reported

Compensation Methods

No compensation methods reported

Ownership

Direct Owners & Executive Officers (Schedule A)

Name	Type	Title / Status	Ownership	Control
ALBINO, JASON R	I	SENIOR VICE PRESIDENT & CHIEF COMPLIANCE OFFICER	NA	Control
ALBINO, JASON R	I	CHIEF COMPLIANCE OFFICER	NA	Control
ALBINO, JASON R	I	CHIEF COMPLIANCE OFFICER	NA	Control
ALBINO, JASON R	I	CHIEF COMPLIANCE OFFICER	NA	Control
ALBINO, JASON R	I	CHIEF COMPLIANCE OFFICER	NA	Control
ALBINO, JASON R	I	SENIOR VICE PRESIDENT & CHIEF COMPLIANCE OFFICER	NA	Control
ALBINO, JASON R	I	SENIOR VICE PRESIDENT & CHIEF COMPLIANCE OFFICER	NA	Control
ALBINO, JASON R	I	SENIOR VICE PRESIDENT & CHIEF COMPLIANCE OFFICER	NA	Control
ALBINO, JASON R	I	SENIOR VICE PRESIDENT & CHIEF COMPLIANCE OFFICER	NA	Control
ALBINO, JASON R	I	SENIOR VICE PRESIDENT & CHIEF COMPLIANCE OFFICER	NA	Control
ALBINO, JASON R	I	EXECUTIVE VICE PRESIDENT & CHIEF COMPLIANCE OFFICER	NA	Control
ALBINO, JASON R	I	EXECUTIVE VICE PRESIDENT & CHIEF COMPLIANCE OFFICER	NA	Control
ALBINO, JASON R	I	EXECUTIVE VICE PRESIDENT & CHIEF COMPLIANCE OFFICER	NA	Control
ALVARADO, MARIA CHRISTINA	I	FNOP	NA
ALVARADO, MARIA CHRISTINA	I	FNOP	NA
ALVARADO, MARIA CHRISTINA	I	FNOP	NA
ALVARADO, MARIA CHRISTINA	I	FNOP	NA
ALVARADO, MARIA CHRISTINA	I	FNOP	NA
ALVARADO, MARIA CHRISTINA	I	FNOP	NA
ALVARADO, MARIA CHRISTINA	I	FNOP	NA
ALVARADO, MARIA CHRISTINA	I	FNOP	NA
ALVARADO, MARIA CHRISTINA	I	FNOP	NA
ALVARADO, MARIA CHRISTINA	I	FNOP	NA
BARRY, MICHELLE ANNE	I	PRESIDENT	NA	Control
BARRY, MICHELLE ANNE	I	PRESIDENT	NA	Control
BARRY, MICHELLE ANNE	I	PRESIDENT	NA	Control
BARRY, MICHELLE ANNE	I	PRESIDENT	NA	Control
BARRY, MICHELLE ANNE	I	PRESIDENT	NA	Control
BARRY, MICHELLE ANNE	I	PRESIDENT	NA	Control
BARRY, MICHELLE ANNE	I	PRESIDENT	NA	Control
BARRY, MICHELLE ANNE	I	PRESIDENT	NA	Control
BARRY, MICHELLE ANNE	I	PRESIDENT	NA	Control
BARRY, MICHELLE ANNE	I	PRESIDENT	NA	Control
BARRY, MICHELLE ANNE	I	PRESIDENT	NA	Control
BARRY, MICHELLE ANNE	I	PRESIDENT	NA	Control
BARRY, MICHELLE ANNE	I	PRESIDENT	NA	Control
BARRY, MICHELLE ANNE	I	PRESIDENT	NA	Control
BARRY, MICHELLE ANNE	I	PRESIDENT	NA	Control
BARRY, MICHELLE ANNE	I	PRESIDENT	NA	Control
BASSETT, PATRICK TERENCE	I	DIRECTOR OF ADVISORY SERVICES, MSRB AND CROP	NA	Control
BASSETT, PATRICK TERENCE	I	DIRECTOR OF ADVISORY SERVICES, MSRB AND CROP	NA	Control
BASSETT, PATRICK TERENCE	I	CROP	NA
BASSETT, PATRICK TERENCE	I	CROP	NA
BASSETT, PATRICK TERENCE	I	CROP	NA
BASSETT, PATRICK TERENCE	I	CROP	NA
BASSETT, PATRICK TERENCE	I	CROP	NA
BENNETT, JOEL VAN	I	ASSISTANT VICE PRESIDENT	NA
BENNETT, JOEL VAN	I	ASSISTANT VICE PRESIDENT	NA
BENNETT, JOEL VAN	I	ASSISTANT VICE PRESIDENT	NA
BENNETT, JOEL VAN	I	ASSISTANT VICE PRESIDENT	NA
BENNETT, JOEL VAN	I	ASSISTANT VICE PRESIDENT	NA
BENNETT, JOEL VAN	I	ASSISTANT VICE PRESIDENT	NA
BENNETT, JOEL VAN	I	ASSISTANT VICE PRESIDENT	NA
BENNETT, JOEL VAN	I	ASSISTANT VICE PRESIDENT	NA
BENNETT, JOEL VAN	I	ASSISTANT VICE PRESIDENT	NA
BERLUTE, PETER GORDON	I	DIRECTOR	NA
BUTLER, DONALD PAUL	I	FNOP	NA
BUTLER, DONALD PAUL	I	FNOP	NA
BUTLER, DONALD PAUL	I	FNOP	NA
BUTLER, DONALD PAUL	I	FNOP	NA
BUTLER, DONALD PAUL	I	FNOP	NA
BUTLER, DONALD PAUL	I	FNOP	NA
BUTLER, DONALD PAUL	I	FNOP	NA
BUTLER, DONALD PAUL	I	FNOP	NA
BUTLER, DONALD PAUL	I	FNOP	NA
BUTLER, DONALD PAUL	I	FNOP	NA
BUTLER, DONALD PAUL	I	FNOP	NA
BUTLER, DONALD PAUL	I	FNOP	NA
BUTLER, DONALD PAUL	I	FNOP	NA
BUTLER, DONALD PAUL	I	FNOP	NA
BUTLER, DONALD PAUL	I	FNOP	NA
BUTLER, DONALD PAUL	I	FNOP	NA
BUTLER, DONALD PAUL	I	FNOP	NA
BUTLER, DONALD PAUL	I	FNOP	NA
BUTLER, DONALD PAUL	I	FNOP	NA
BUTLER, DONALD PAUL	I	FNOP	NA
BUTLER, DONALD PAUL	I	FNOP	NA
BUTLER, DONALD PAUL	I	FNOP	NA
BUTLER, DONALD PAUL	I	FNOP	NA
BUTLER, DONALD PAUL	I	FNOP	NA
BUTLER, DONALD PAUL	I	FNOP	NA
BUTLER, DONALD PAUL	I	FNOP	NA
BUTLER, DONALD PAUL	I	FNOP	NA
BUTLER, DONALD PAUL	I	FNOP	NA
BUTLER, DONALD PAUL	I	FNOP	NA
BUTLER, DONALD PAUL	I	FNOP	NA
BUTLER, DONALD PAUL	I	FNOP	NA
BUTLER, DONALD PAUL	I	FNOP	NA
BUTLER, DONALD PAUL	I	FNOP	NA
CHAVANNE, ROSEANN (NMN)	I	AVP OF TRADING AND MSRB	NA	Control
CHAVANNE, ROSEANN (NMN)	I	AVP OF TRADING AND MSRB	NA	Control
CHAVANNE, ROSEANN (NMN)	I	AVP OF TRADING AND MSRB	NA	Control
CHAVANNE, ROSEANN (NMN)	I	AVP OF TRADING	NA	Control
CHAVANNE, ROSEANN (NMN)	I	AVP OF TRADING	NA	Control
CHOCHREK, SUZANNE MARIE	I	DIRECTOR	NA
CHOCHREK, SUZANNE MARIE	I	DIRECTOR	NA
CHOCHREK, SUZANNE MARIE	I	DIRECTOR	NA
CHOCHREK, SUZANNE MARIE	I	DIRECTOR	NA
CHOCHREK, SUZANNE MARIE	I	DIRECTOR	NA
CHOCHREK, SUZANNE MARIE	I	DIRECTOR	NA
CHOCHREK, SUZANNE MARIE	I	DIRECTOR	NA
CHOCHREK, SUZANNE MARIE	I	DIRECTOR	NA
CHOCHREK, SUZANNE MARIE	I	DIRECTOR	NA
CHOCHREK, SUZANNE MARIE	I	DIRECTOR	NA
CHOCHREK, SUZANNE MARIE	I	DIRECTOR	NA
CHOCHREK, SUZANNE MARIE	I	DIRECTOR	NA
CHOCHREK, SUZANNE MARIE	I	DIRECTOR	NA
CHOCHREK, SUZANNE MARIE	I	DIRECTOR	NA
CHOCHREK, SUZANNE MARIE	I	DIRECTOR	NA
CHOCHREK, SUZANNE MARIE	I	DIRECTOR	NA
CHOCHREK, SUZANNE MARIE	I	DIRECTOR	NA
CHOCHREK, SUZANNE MARIE	I	DIRECTOR	NA
CHOCHREK, SUZANNE MARIE	I	DIRECTOR	NA
CHOCHREK, SUZANNE MARIE	I	DIRECTOR	NA
CHOCHREK, SUZANNE MARIE	I	DIRECTOR	NA
CHOCHREK, SUZANNE MARIE	I	DIRECTOR	NA
CHOCHREK, SUZANNE MARIE	I	DIRECTOR	NA
CHOCHREK, SUZANNE MARIE	I	DIRECTOR	NA
CHOCHREK, SUZANNE MARIE	I	DIRECTOR	NA
CHOCHREK, SUZANNE MARIE	I	DIRECTOR	NA
CHOCHREK, SUZANNE MARIE	I	DIRECTOR	NA
CHOCHREK, SUZANNE MARIE	I	DIRECTOR	NA
CHOCHREK, SUZANNE MARIE	I	DIRECTOR	NA
CHOCHREK, SUZANNE MARIE	I	DIRECTOR	NA
CONNOLLY, GEORGE IGNATIUS	I	DIRECTOR	NA
CONNOLLY, GEORGE IGNATIUS	I	DIRECTOR	NA
CONNOLLY, GEORGE IGNATIUS	I	DIRECTOR	NA
CONNOLLY, GEORGE IGNATIUS	I	DIRECTOR	NA
CONNOLLY, GEORGE IGNATIUS	I	DIRECTOR	NA
CONNOLLY, GEORGE IGNATIUS	I	DIRECTOR	NA
CONNOLLY, GEORGE IGNATIUS	I	DIRECTOR	NA
CONNOLLY, GEORGE IGNATIUS	I	DIRECTOR	NA
CONNOLLY, GEORGE IGNATIUS	I	DIRECTOR	NA
CONNOLLY, GEORGE IGNATIUS	I	DIRECTOR	NA
CONNOLLY, GEORGE IGNATIUS	I	DIRECTOR	NA
CONNOLLY, GEORGE IGNATIUS	I	DIRECTOR	NA
CONNOLLY, GEORGE IGNATIUS	I	DIRECTOR	NA
CONNOLLY, GEORGE IGNATIUS	I	DIRECTOR	NA
CONNOLLY, GEORGE IGNATIUS	I	DIRECTOR	NA
CONNOLLY, GEORGE IGNATIUS	I	DIRECTOR	NA
CONNOLLY, GEORGE IGNATIUS	I	DIRECTOR	NA
CONNOLLY, GEORGE IGNATIUS	I	DIRECTOR	NA
CONNOLLY, GEORGE IGNATIUS	I	DIRECTOR	NA
CONNOLLY, GEORGE IGNATIUS	I	DIRECTOR	NA
CONNOLLY, GEORGE IGNATIUS	I	DIRECTOR	NA
CONNOLLY, GEORGE IGNATIUS	I	DIRECTOR	NA
CONNOLLY, GEORGE IGNATIUS	I	DIRECTOR	NA
CONNOLLY, GEORGE IGNATIUS	I	DIRECTOR	NA
CONNOLLY, GEORGE IGNATIUS	I	DIRECTOR	NA
CONNOLLY, GEORGE IGNATIUS	I	DIRECTOR	NA
CONNOLLY, GEORGE IGNATIUS	I	CHAIRMAN, CHIEF EXECUTIVE OFFICER & DIRECTOR	NA
CONNOLLY, GEORGE IGNATIUS	I	DIRECTOR	NA
CONNOLLY, GEORGE IGNATIUS	I	DIRECTOR	NA
CONNOLLY, GEORGE IGNATIUS	I	CHAIRMAN, CHIEF EXECUTIVE OFFICER & DIRECTOR	NA
CONNOLLY, GEORGE IGNATIUS	I	CHAIRMAN, CHIEF EXECUTIVE OFFICER & DIRECTOR	NA
CONNOLLY, GEORGE IGNATIUS	I	CHAIRMAN, CHIEF EXECUTIVE OFFICER & DIRECTOR	NA
CONNOLLY, GEORGE IGNATIUS	I	CHAIRMAN, CHIEF EXECUTIVE OFFICER & DIRECTOR	NA
CONNOLLY, GEORGE IGNATIUS	I	CHAIRMAN, CHIEF EXECUTIVE OFFICER & DIRECTOR	NA	Control
COOPER, BENJAMIN	I	SENIOR VICE PRESIDENT & CHIEF LEGAL OFFICER	NA	Control
COOPER, BENJAMIN	I	SENIOR VICE PRESIDENT & CHIEF LEGAL OFFICER	NA	Control
COOPER, BENJAMIN	I	SENIOR VICE PRESIDENT & CHIEF LEGAL OFFICER	NA	Control
COOPER, BENJAMIN	I	SENIOR VICE PRESIDENT & CHIEF LEGAL OFFICER	NA	Control
COOPER, BENJAMIN	I	SENIOR VICE PRESIDENT & CHIEF LEGAL OFFICER	NA	Control
COOPER, BENJAMIN	I	SENIOR VICE PRESIDENT & CHIEF LEGAL OFFICER	NA	Control
COOPER, BENJAMIN	I	SENIOR VICE PRESIDENT & CHIEF LEGAL OFFICER	NA	Control
COOPER, BENJAMIN	I	SENIOR VICE PRESIDENT & CHIEF LEGAL OFFICER	NA	Control
COOPER, BENJAMIN	I	SENIOR VICE PRESIDENT & CHIEF LEGAL OFFICER	NA	Control
COOPER, BENJAMIN	I	SENIOR VICE PRESIDENT & CHIEF LEGAL OFFICER	NA	Control
COOPER, BENJAMIN	I	SENIOR VICE PRESIDENT & CHIEF LEGAL OFFICER	NA	Control
COOPER, BENJAMIN	I	SENIOR VICE PRESIDENT & CHIEF LEGAL OFFICER	NA	Control
COOPER, BENJAMIN	I	SENIOR VICE PRESIDENT & CHIEF LEGAL OFFICER	NA	Control
COOPER, BENJAMIN	I	SENIOR VICE PRESIDENT & CHIEF LEGAL OFFICER	NA	Control
COOPER, BENJAMIN	I	SENIOR VICE PRESIDENT & CHIEF LEGAL OFFICER	NA
COOPER, BENJAMIN	I	SENIOR VICE PRESIDENT & CHIEF LEGAL OFFICER	NA
COOPER, BENJAMIN	I	SENIOR VICE PRESIDENT & CHIEF LEGAL OFFICER	NA
COOPER, BENJAMIN	I	SENIOR VICE PRESIDENT & CHIEF LEGAL OFFICER	NA
COOPER, BENJAMIN	I	SENIOR VICE PRESIDENT & CHIEF LEGAL OFFICER	NA
COOPER, BENJAMIN	I	SENIOR VICE PRESIDENT & CHIEF LEGAL OFFICER	NA
COOPER, BENJAMIN	I	SENIOR VICE PRESIDENT & CHIEF LEGAL OFFICER	NA
COSTELLO, ROBERT	I	CHIEF OPERATION OFFICER	NA	Control
COSTELLO, ROBERT	I	CHIEF OPERATION OFFICER	NA	Control
COSTELLO, ROBERT	I	CHIEF OPERATION OFFICER	NA	Control
DEBEBE, EDEN	I	CROP	NA
DEBEBE, EDEN	I	CROP	NA
DEBEBE, EDEN	I	CROP	NA
DEBEBE, EDEN	I	CROP	NA
DEBEBE, EDEN	I	CROP	NA
DEBEBE, EDEN	I	CROP	NA
DEBEBE, EDEN	I	CROP	NA
DEBEBE, EDEN	I	CROP	NA
DRESSELAERS, JAMES HENRY	I	EXECUTIVE VICE PRESIDENT, SROP AND CHIEF OPERATING OFFICER	NA	Control
DRESSELAERS, JAMES HENRY	I	EXECUTIVE VICE PRESIDENT, SROP AND CHIEF OPERATING OFFICER	NA	Control
DRESSELAERS, JAMES HENRY	I	EXECUTIVE VICE PRESIDENT, SROP AND CHIEF OPERATING OFFICER	NA	Control
DRESSELAERS, JAMES HENRY	I	EXECUTIVE VICE PRESIDENT, SROP, CHIEF COMPLIANCE OFFICER AND CHIEF OPERATING OFFICER	NA	Control
DRESSELAERS, JAMES HENRY	I	EXECUTIVE VICE PRESIDENT AND CHIEF OPERATING OFFICER	NA	Control
DRESSELAERS, JAMES HENRY	I	EXECUTIVE VICE PRESIDENT AND CHIEF OPERATING OFFICER	NA	Control
DRESSELAERS, JAMES HENRY	I	EXECUTIVE VICE PRESIDENT AND CHIEF OPERATING OFFICER	NA	Control
DRESSELAERS, JAMES HENRY	I	EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER AND CHIEF OPERATING OFFICER	NA	Control
DRESSELAERS, JAMES HENRY	I	EXECUTIVE VICE PRESIDENT AND CHIEF OPERATING OFFICER	NA	Control
DRESSELAERS, JAMES HENRY	I	EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER AND CHIEF OPERATING OFFICER	NA	Control
DRESSELAERS, JAMES HENRY	I	EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER AND CHIEF OPERATING OFFICER	NA	Control
DRESSELAERS, JAMES HENRY	I	EXECUTIVE VICE PRESIDENT AND CHIEF OPERATING OFFICER	NA	Control
DRESSELAERS, JAMES HENRY	I	EXECUTIVE VICE PRESIDENT, SROP AND CHIEF OPERATING OFFICER	NA	Control
DRESSELAERS, JAMES HENRY	I	EXECUTIVE VICE PRESIDENT, SROP AND CHIEF OPERATING OFFICER	NA	Control
DRESSELAERS, JAMES HENRY	I	EXECUTIVE VICE PRESIDENT, SROP, CHIEF COMPLIANCE OFFICER AND CHIEF OPERATING OFFICER	NA	Control
DRESSELAERS, JAMES HENRY	I	EXECUTIVE VICE PRESIDENT, SROP AND CHIEF OPERATING OFFICER	NA	Control
DRESSELAERS, JAMES HENRY	I	EXECUTIVE VICE PRESIDENT, SROP, CHIEF COMPLIANCE OFFICER AND CHIEF OPERATING OFFICER	NA	Control
DRESSELAERS, JAMES HENRY	I	EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER AND CHIEF OPERATING OFFICER	NA	Control
DRESSELAERS, JAMES HENRY	I	EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER AND CHIEF OPERATING OFFICER	NA	Control
DRESSELAERS, JAMES HENRY	I	EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER AND CHIEF OPERATING OFFICER	NA	Control
DRESSELAERS, JAMES HENRY	I	PRESIDENT	NA	Control
DRESSELAERS, JAMES HENRY	I	EXECUTIVE VICE PRESIDENT AND CHIEF OPERATING OFFICER	NA	Control
DRESSELAERS, JAMES HENRY	I	PRESIDENT & DIRECTOR	NA	Control
DRESSELAERS, JAMES HENRY	I	EXECUTIVE VICE PRESIDENT AND CHIEF OPERATING OFFICER	NA	Control
DRESSELAERS, JAMES HENRY	I	EXECUTIVE VICE PRESIDENT AND CHIEF OPERATING OFFICER	NA	Control
DRESSELAERS, JAMES HENRY	I	PRESIDENT & DIRECTOR	NA	Control
DRESSELAERS, JAMES HENRY	I	EXECUTIVE VICE PRESIDENT AND CHIEF OPERATING OFFICER	NA	Control
DRESSELAERS, JAMES HENRY	I	PRESIDENT & DIRECTOR	NA	Control
DRESSELAERS, JAMES HENRY	I	PRESIDENT & DIRECTOR	NA	Control
DRESSELAERS, JAMES HENRY	I	PRESIDENT & DIRECTOR	NA	Control
DRESSELAERS, JAMES HENRY	I	EXECUTIVE VICE PRESIDENT AND CHIEF OPERATING OFFICER	NA	Control
DRESSELAERS, JAMES HENRY	I	EXECUTIVE VICE PRESIDENT AND CHIEF OPERATING OFFICER	NA	Control
DRESSELAERS, JAMES HENRY	I	PRESIDENT & DIRECTOR	NA	Control
DRESSELAERS, JAMES HENRY	I	EXECUTIVE VICE PRESIDENT AND CHIEF OPERATING OFFICER	NA	Control
DRESSELAERS, JAMES HENRY	I	PRESIDENT & DIRECTOR	NA	Control
DRESSELAERS, JAMES HENRY	I	CHIEF FIELD OFFICER	NA	Control
DRESSELAERS, JAMES HENRY	I	PRESIDENT & DIRECTOR	NA	Control
DRESSELAERS, JAMES HENRY	I	PRESIDENT & DIRECTOR	NA	Control
DRESSELAERS, JAMES HENRY	I	CHIEF FIELD OFFICER	NA	Control
DRESSELAERS, JAMES HENRY	I	CHIEF FIELD OFFICER	NA	Control
DRESSELAERS, JAMES HENRY	I	EXECUTIVE VICE PRESIDENT & CHIEF FIELD OFFICER	NA	Control
DRESSELAERS, JAMES HENRY	I	EXECUTIVE VICE PRESIDENT, DIRECTOR & CHIEF FIELD OFFICER	NA	Control
DUFFUS, ELAINE FRANCES	I	CHIEF COMPLIANCE OFFICER	NA	Control
EISENMANN, CHARLES RICHARD	I	PRESIDENT, COO,SROP, MSRB	NA	Control
EISENMANN, CHARLES RICHARD	I	PRESIDENT, COO,SROP, MSRB	NA	Control
EISENMANN, CHARLES RICHARD	I	PRESIDENT, COO,SROP, MSRB	NA	Control
EISENMANN, CHARLES RICHARD	I	PRESIDENT, COO,SROP, MSRB	NA	Control
EISENMANN, CHARLES RICHARD	I	PRESIDENT, COO,SROP, MSRB	NA	Control
EISENMANN, CHARLES RICHARD	I	PRESIDENT, COO,SROP, MSRB	NA	Control
ENGLE, ROBERT JAMES	I	EXECUTIVE VICE PRESIDENT	NA
FENNING, PATRICK DESMOND	I	PRINCIPAL TRADER	NA	Control
FENNING, PATRICK DESMOND	I	PRINCIPAL TRADER	NA	Control
FENNING, PATRICK DESMOND	I	PRINCIPAL TRADER	NA	Control
FENNING, PATRICK DESMOND	I	PRINCIPAL TRADER	NA	Control
FENNING, PATRICK DESMOND	I	PRINCIPAL TRADER	NA	Control
FENNING, PATRICK DESMOND	I	PRINCIPAL TRADER	NA	Control
FENNING, PATRICK DESMOND	I	PRINCIPAL TRADER	NA	Control
FENNING, PATRICK DESMOND	I	PRINCIPAL TRADER	NA	Control
FENNING, PATRICK DESMOND	I	PRINCIPAL TRADER	NA	Control
FONEY, ROBERT HAROLD	I	CHIEF MARKETING OFFICER	NA
FONEY, ROBERT HAROLD	I	CHIEF MARKETING OFFICER	NA
HESSLING, RAYMOND ROBERT JR	I	CHIEF COMPLIANCE OFFICER	NA	Control
HESSLING, RAYMOND ROBERT JR	I	CHIEF COMPLIANCE OFFICER	NA	Control
HESSLING, RAYMOND ROBERT JR	I	CHIEF COMPLIANCE OFFICER	NA	Control
HESSLING, RAYMOND ROBERT JR	I	CHIEF COMPLIANCE OFFICER	NA	Control
HESSLING, RAYMOND ROBERT JR	I	CHIEF COMPLIANCE OFFICER	NA	Control
HESSLING, RAYMOND ROBERT JR	I	CHIEF COMPLIANCE OFFICER	NA	Control
HESSLING, RAYMOND ROBERT JR	I	CHIEF COMPLIANCE OFFICER	NA	Control
HESSLING, RAYMOND ROBERT JR	I	CHIEF COMPLIANCE OFFICER	NA	Control
HESSLING, RAYMOND ROBERT JR	I	CHIEF COMPLIANCE OFFICER	NA	Control
HESSLING, RAYMOND ROBERT JR	I	CHIEF COMPLIANCE OFFICER	NA	Control
HESSLING, RAYMOND ROBERT JR	I	SENIOR VICE PRESIDENT & CHIEF COMPLIANCE OFFICER	NA	Control
HESSLING, RAYMOND ROBERT JR	I	CHIEF COMPLIANCE OFFICER	NA	Control
HESSLING, RAYMOND ROBERT JR	I	CHIEF COMPLIANCE OFFICER	NA	Control
HESSLING, RAYMOND ROBERT JR	I	SENIOR VICE PRESIDENT & CHIEF COMPLIANCE OFFICER	NA	Control
HESSLING, RAYMOND ROBERT JR	I	SENIOR VICE PRESIDENT & CHIEF COMPLIANCE OFFICER	NA	Control
HESSLING, RAYMOND ROBERT JR	I	SENIOR VICE PRESIDENT & CHIEF COMPLIANCE OFFICER	NA	Control
HESSLING, RAYMOND ROBERT JR	I	SENIOR VICE PRESIDENT & CHIEF COMPLIANCE OFFICER	NA	Control
HESSLING, RAYMOND ROBERT JR	I	VICE PRESIDENT SURVEILLANCE & MONITORING	NA	Control
HESSLING, RAYMOND ROBERT JR	I	SENIOR VICE PRESIDENT & CHIEF COMPLIANCE OFFICER	NA	Control
HESSLING, RAYMOND ROBERT JR	I	SENIOR VICE PRESIDENT & CHIEF COMPLIANCE OFFICER	NA	Control
HESSLING, RAYMOND ROBERT JR	I	SENIOR VICE PRESIDENT & CHIEF COMPLIANCE OFFICER	NA	Control
HESSLING, RAYMOND ROBERT JR	I	SENIOR VICE PRESIDENT & CHIEF COMPLIANCE OFFICER	NA	Control
HESSLING, RAYMOND ROBERT JR	I	SENIOR VICE PRESIDENT & CHIEF COMPLIANCE OFFICER	NA	Control
HESSLING, RAYMOND ROBERT JR	I	SENIOR VICE PRESIDENT & CHIEF COMPLIANCE OFFICER	NA	Control
HESSLING, RAYMOND ROBERT JR	I	SENIOR VICE PRESIDENT & CHIEF COMPLIANCE OFFICER	NA	Control
HESSLING, RAYMOND ROBERT JR	I	SENIOR VICE PRESIDENT & CHIEF COMPLIANCE OFFICER	NA	Control
HOLDEN, COURTNEY E.	I	ASSISTANT SECRETARY	NA
HOLDEN, COURTNEY E.	I	ASSISTANT SECRETARY	NA
HOLDEN, COURTNEY E.	I	ASSISTANT SECRETARY	NA
HOLDEN, COURTNEY E.	I	ASSISTANT SECRETARY	NA
HOLDEN, COURTNEY E.	I	ASSISTANT SECRETARY	NA
HOLDEN, COURTNEY E.	I	ASSISTANT SECRETARY	NA
HURVITZ, GARY S	I	SENIOR VP / CLO / DIRECTOR	NA	Control
HURVITZ, GARY S	I	SENIOR VP / CLO / DIRECTOR	NA	Control
HURVITZ, GARY S	I	SENIOR VP / CLO / DIRECTOR	NA	Control
HURVITZ, GARY S	I	SENIOR VP / CLO / DIRECTOR	NA	Control
HURVITZ, GARY S	I	SENIOR VP / CLO / DIRECTOR	NA	Control
HURVITZ, GARY S	I	SENIOR VP / CLO / DIRECTOR	NA	Control
HURVITZ, GARY S	I	SENIOR VP / CLO / DIRECTOR	NA	Control
HURVITZ, GARY S	I	SENIOR VP / CLO / DIRECTOR	NA	Control
HURVITZ, GARY S	I	SENIOR VP / CLO / DIRECTOR	NA	Control
HURVITZ, GARY S	I	SENIOR VP / CLO / DIRECTOR	NA	Control
HURVITZ, GARY S	I	SENIOR VP / CLO / DIRECTOR	NA	Control
HURVITZ, GARY S	I	SENIOR VP / CLO / DIRECTOR	NA	Control
HURVITZ, GARY S	I	SENIOR VP / CLO / DIRECTOR	NA	Control
HURVITZ, GARY S	I	SENIOR VP / CLO / DIRECTOR	NA	Control
HURVITZ, GARY S	I	SENIOR VP / CLO / DIRECTOR	NA	Control
HURVITZ, GARY S	I	SENIOR VP / CLO / DIRECTOR	NA	Control
HURVITZ, GARY S	I	SENIOR VP / CLO / DIRECTOR	NA	Control
HURVITZ, GARY S	I	SENIOR VP / CLO / DIRECTOR	NA	Control
HURVITZ, GARY S	I	SENIOR VP / CLO / DIRECTOR	NA	Control
JEAN, CLINELLE ARMINTA	I	PRINCIPAL TRADER	NA	Control
JEAN, CLINELLE ARMINTA	I	PRINCIPAL TRADER	NA	Control
JEAN, CLINELLE ARMINTA	I	PRINCIPAL TRADER	NA	Control
JEAN, CLINELLE ARMINTA	I	PRINCIPAL TRADER	NA	Control
JEAN, CLINELLE ARMINTA	I	PRINCIPAL TRADER	NA	Control
JEAN, CLINELLE ARMINTA	I	PRINCIPAL TRADER	NA	Control
JEAN, CLINELLE ARMINTA	I	PRINCIPAL TRADER	NA	Control
JEAN, CLINELLE ARMINTA	I	PRINCIPAL TRADER	NA	Control
JEAN, CLINELLE ARMINTA	I	PRINCIPAL TRADER	NA	Control
JEAN, CLINELLE ARMINTA	I	PRINCIPAL TRADER	NA	Control
JEAN, CLINELLE ARMINTA	I	PRINCIPAL TRADER	NA	Control
JEAN, CLINELLE ARMINTA	I	PRINCIPAL TRADER	NA	Control
JEAN, CLINELLE ARMINTA	I	PRINCIPAL TRADER	NA	Control
JEAN, CLINELLE ARMINTA	I	PRINCIPAL TRADER	NA	Control
JEAN, CLINELLE ARMINTA	I	PRINCIPAL TRADER	NA	Control
JEAN, CLINELLE ARMINTA	I	PRINCIPAL TRADER	NA
JEAN, CLINELLE ARMINTA	I	PRINCIPAL TRADER	NA
JEAN, CLINELLE ARMINTA	I	PRINCIPAL TRADER	NA
JEAN, CLINELLE ARMINTA	I	PRINCIPAL TRADER	NA
JEAN, CLINELLE ARMINTA	I	PRINCIPAL TRADER	NA
JEAN, CLINELLE ARMINTA	I	PRINCIPAL TRADER	NA
JEAN, CLINELLE ARMINTA	I	PRINCIPAL TRADER	NA
JEAN, CLINELLE ARMINTA	I	PRINCIPAL TRADER	NA
JEAN, CLINELLE ARMINTA	I	PRINCIPAL TRADER	NA
JEAN, CLINELLE ARMINTA	I	PRINCIPAL TRADER	NA
JEAN, CLINELLE ARMINTA	I	PRINCIPAL TRADER	NA
JEAN, CLINELLE ARMINTA	I	PRINCIPAL TRADER	NA
JEAN, CLINELLE ARMINTA	I	PRINCIPAL TRADER	NA
JEAN, CLINELLE ARMINTA	I	PRINCIPAL TRADER	NA
JEAN, CLINELLE ARMINTA	I	PRINCIPAL TRADER	NA
JEAN, CLINELLE ARMINTA	I	PRINCIPAL TRADER	NA
JEAN, CLINELLE ARMINTA	I	PRINCIPAL TRADER	NA
JEAN, CLINELLE ARMINTA	I	PRINCIPAL TRADER	NA
JEAN, CLINELLE ARMINTA	I	PRINCIPAL TRADER	NA
JEAN, CLINELLE ARMINTA	I	PRINCIPAL TRADER	NA
JEAN, CLINELLE ARMINTA	I	PRINCIPAL TRADER	NA
KARPE, MARK ANDREW	I	CCO	NA
KARPE, MARK ANDREW	I	CCO	NA
KARPE, MARK ANDREW	I	CCO	NA
KARPE, MARK ANDREW	I	CCO	NA
KARPE, MARK ANDREW	I	CCO	NA
KIRK, KEVIN VINCENT	I	COMPLIANCE OFFICER, MSRB AND CROP	NA	Control
KIRK, KEVIN VINCENT	I	COMPLIANCE OFFICER AND MSRB	NA	Control
KIRK, KEVIN VINCENT	I	COMPLIANCE OFFICER AND MSRB	NA	Control
KIRK, KEVIN VINCENT	I	COMPLIANCE OFFICER AND MSRB	NA	Control
KIRK, KEVIN VINCENT	I	COMPLIANCE OFFICER AND MSRB	NA	Control
KIRK, KEVIN VINCENT	I	COMPLIANCE OFFICER AND MSRB	NA	Control
KIRK, KEVIN VINCENT	I	COMPLIANCE OFFICER AND MSRB	NA	Control
MERRITT, RICHARD MICHAEL	I	PRINCIPAL	NA	Control
MERRITT, RICHARD MICHAEL	I	PRINCIPAL	NA	Control
MERRITT, RICHARD MICHAEL	I	PRINCIPAL	NA	Control
MERRITT, RICHARD MICHAEL	I	PRINCIPAL	NA	Control
MERRITT, RICHARD MICHAEL	I	PRINCIPAL	NA	Control
MERRITT, RICHARD MICHAEL	I	PRINCIPAL	NA	Control
MERRITT, RICHARD MICHAEL	I	PRINCIPAL	NA	Control
MERRITT, RICHARD MICHAEL	I	PRINCIPAL	NA	Control
MERRITT, RICHARD MICHAEL	I	PRINCIPAL	NA	Control
MEYERS, ERIC GORDON	I	CEO / PRESIDENT / DIRECTOR	NA	Control
MEYERS, ERIC GORDON	I	CEO / PRESIDENT / DIRECTOR	NA	Control
MEYERS, ERIC GORDON	I	CEO / PRESIDENT / DIRECTOR	NA	Control
MEYERS, ERIC GORDON	I	CEO / PRESIDENT / DIRECTOR	NA	Control
MEYERS, ERIC GORDON	I	CEO / PRESIDENT / DIRECTOR	NA	Control
MEYERS, ERIC GORDON	I	CEO / PRESIDENT / DIRECTOR	NA	Control
MEYERS, ERIC GORDON	I	CEO / PRESIDENT / DIRECTOR	NA	Control
MEYERS, ERIC GORDON	I	CEO / PRESIDENT / DIRECTOR	NA	Control
MEYERS, ERIC GORDON	I	CEO / PRESIDENT / DIRECTOR	NA	Control
MEYERS, ERIC GORDON	I	CEO / PRESIDENT / DIRECTOR	NA	Control
MEYERS, ERIC GORDON	I	CEO / PRESIDENT / DIRECTOR	NA	Control
MEYERS, ERIC GORDON	I	CEO / DIRECTOR	NA	Control
MEYERS, ERIC GORDON	I	CEO / PRESIDENT / DIRECTOR	NA	Control
MEYERS, ERIC GORDON	I	CEO / PRESIDENT / DIRECTOR	NA	Control
MEYERS, ERIC GORDON	I	CEO / PRESIDENT / DIRECTOR	NA	Control
MEYERS, ERIC GORDON	I	CEO / PRESIDENT / DIRECTOR	NA	Control
MEYERS, ERIC GORDON	I	CEO / PRESIDENT / DIRECTOR	NA	Control
MEYERS, ERIC GORDON	I	CEO / PRESIDENT / DIRECTOR	NA	Control
MEYERS, ERIC GORDON	I	CEO / PRESIDENT / DIRECTOR	NA	Control
NORWOOD, ROBERT BREDT	I	ASSISTANT VICE PRESIDENT & DIRECTOR	NA
NORWOOD, ROBERT BREDT	I	DIRECTOR	NA
NORWOOD, ROBERT BREDT	I	DIRECTOR	NA
NORWOOD, ROBERT BREDT	I	DIRECTOR	NA
NORWOOD, ROBERT BREDT	I	DIRECTOR	NA
NORWOOD, ROBERT BREDT	I	DIRECTOR	NA
NORWOOD, ROBERT BREDT	I	DIRECTOR	NA
NORWOOD, ROBERT BREDT	I	DIRECTOR	NA
NORWOOD, ROBERT BREDT	I	DIRECTOR	NA
NORWOOD, ROBERT BREDT	I	DIRECTOR	NA
NORWOOD, ROBERT BREDT	I	DIRECTOR	NA
NORWOOD, ROBERT BREDT	I	DIRECTOR	NA
NORWOOD, ROBERT BREDT	I	ASSISTANT VICE PRESIDENT & DIRECTOR	NA
NORWOOD, ROBERT BREDT	I	ASSISTANT VICE PRESIDENT & DIRECTOR	NA
NORWOOD, ROBERT BREDT	I	ASSISTANT VICE PRESIDENT & DIRECTOR	NA
NORWOOD, ROBERT BREDT	I	ASSISTANT VICE PRESIDENT & DIRECTOR	NA
NORWOOD, ROBERT BREDT	I	ASSISTANT VICE PRESIDENT & DIRECTOR	NA
NORWOOD, ROBERT BREDT	I	OFFICER	NA
NORWOOD, ROBERT BREDT	I	ASSISTANT VICE PRESIDENT & DIRECTOR	NA
NORWOOD, ROBERT BREDT	I	OFFICER	NA
OBRIEN, KERI SUE	I	SECRETARY	NA
PEDLOW, MICHAEL ROSS	I	INVESTMENT ADVISER CHIEF COMPLIANCE OFFICER	NA
PEDLOW, MICHAEL ROSS	I	INVESTMENT ADVISER CHIEF COMPLIANCE OFFICER	NA
PEDLOW, MICHAEL ROSS	I	INVESTMENT ADVISER CHIEF COMPLIANCE OFFICER	NA
PEDLOW, MICHAEL ROSS	I	INVESTMENT ADVISER CHIEF COMPLIANCE OFFICER	NA
PEDLOW, MICHAEL ROSS	I	INVESTMENT ADVISER CHIEF COMPLIANCE OFFICER	NA
PEDLOW, MICHAEL ROSS	I	INVESTMENT ADVISER CHIEF COMPLIANCE OFFICER	NA
PEDLOW, MICHAEL ROSS	I	INVESTMENT ADVISER CHIEF COMPLIANCE OFFICER	NA
PEDLOW, MICHAEL ROSS	I	INVESTMENT ADVISER CHIEF COMPLIANCE OFFICER	NA
PINKETT, KATHLEEN	I	DIRECTOR	NA
PINKETT, KATHLEEN	I	DIRECTOR	NA
PINKETT, KATHLEEN	I	DIRECTOR	NA
PINKETT, KATHLEEN	I	DIRECTOR	NA
PINKETT, KATHLEEN	I	DIRECTOR	NA
PINKETT, KATHLEEN	I	DIRECTOR	NA
PINKETT, KATHLEEN	I	DIRECTOR	NA
PINKETT, KATHLEEN	I	DIRECTOR	NA
PINKETT, KATHLEEN	I	DIRECTOR	NA
PINKETT, KATHLEEN	I	DIRECTOR	NA
PINKETT, KATHLEEN	I	DIRECTOR	NA
PINKETT, KATHLEEN	I	DIRECTOR	NA
PINKETT, KATHLEEN	I	DIRECTOR	NA
PINKETT, KATHLEEN	I	DIRECTOR	NA
PINKETT, KATHLEEN	I	DIRECTOR	NA
PINKETT, KATHLEEN	I	DIRECTOR	NA
PINKETT, KATHLEEN	I	DIRECTOR	NA
PINKLEY, ROBERT NOEL	I	CHIEF COMPLIANCE OFFICER	NA	Control
PINKLEY, ROBERT NOEL	I	CHIEF COMPLIANCE OFFICER	NA	Control
PINKLEY, ROBERT NOEL	I	CHIEF COMPLIANCE OFFICER	NA	Control
PINKLEY, ROBERT NOEL	I	CHIEF COMPLIANCE OFFICER	NA	Control
PINKLEY, ROBERT NOEL	I	CHIEF COMPLIANCE OFFICER	NA	Control
PINKLEY, ROBERT NOEL	I	CHIEF COMPLIANCE OFFICER	NA	Control
PINKLEY, ROBERT NOEL	I	CHIEF COMPLIANCE OFFICER	NA	Control
PINKLEY, ROBERT NOEL	I	CHIEF COMPLIANCE OFFICER	NA	Control
PINKLEY, ROBERT NOEL	I	CHIEF COMPLIANCE OFFICER	NA	Control
POER, JAMES LYNN	I	ASSISTANT VICE PRESIDENT & DIRECTOR	NA
POER, JAMES LYNN	I	DIRECTOR	NA
POER, JAMES LYNN	I	DIRECTOR	NA
POER, JAMES LYNN	I	DIRECTOR	NA
POER, JAMES LYNN	I	DIRECTOR	NA
POER, JAMES LYNN	I	DIRECTOR	NA
POER, JAMES LYNN	I	DIRECTOR	NA
POER, JAMES LYNN	I	DIRECTOR	NA
POER, JAMES LYNN	I	DIRECTOR	NA
POER, JAMES LYNN	I	DIRECTOR	NA
POER, JAMES LYNN	I	DIRECTOR	NA
POER, JAMES LYNN	I	DIRECTOR	NA
POER, JAMES LYNN	I	ASSISTANT VICE PRESIDENT & DIRECTOR	NA
POER, JAMES LYNN	I	ASSISTANT VICE PRESIDENT & DIRECTOR	NA
POER, JAMES LYNN	I	ASSISTANT VICE PRESIDENT & DIRECTOR	NA
POER, JAMES LYNN	I	ASSISTANT VICE PRESIDENT & DIRECTOR	NA
POER, JAMES LYNN	I	ASSISTANT VICE PRESIDENT & DIRECTOR	NA
POER, JAMES LYNN	I	OFFICER	NA
POER, JAMES LYNN	I	ASSISTANT VICE PRESIDENT & DIRECTOR	NA
POER, JAMES LYNN	I	OFFICER	NA
PORTER, STEVEN ROBERT	I	CFO, SVP / DIRECTOR	NA	Control
PORTER, STEVEN ROBERT	I	CFO, SVP / DIRECTOR	NA	Control
PORTER, STEVEN ROBERT	I	CFO, SVP / DIRECTOR	NA	Control
PORTER, STEVEN ROBERT	I	CFO, SVP / DIRECTOR	NA	Control
PORTER, STEVEN ROBERT	I	CFO, SVP / DIRECTOR	NA	Control
PORTER, STEVEN ROBERT	I	CFO, SVP / DIRECTOR	NA	Control
PORTER, STEVEN ROBERT	I	CFO, SVP / DIRECTOR	NA	Control
PORTER, STEVEN ROBERT	I	CFO, SVP / DIRECTOR	NA	Control
PORTER, STEVEN ROBERT	I	CFO, SVP / DIRECTOR	NA	Control
PORTER, STEVEN ROBERT	I	CFO, SVP / DIRECTOR	NA	Control
PORTER, STEVEN ROBERT	I	CFO, SVP / DIRECTOR	NA	Control
POSTON, MICHAEL EDWARD	I	VICE PRESIDENT CHIEF COMPLIANCE OFFICER AND MSRB	NA	Control
POSTON, MICHAEL EDWARD	I	VICE PRESIDENT CHIEF COMPLIANCE OFFICER, CROP AND MSRB	NA	Control
POSTON, MICHAEL EDWARD	I	VICE PRESIDENT CHIEF COMPLIANCE OFFICER, SROP AND MSRB	NA	Control
POSTON, MICHAEL EDWARD	I	VICE PRESIDENT CHIEF COMPLIANCE OFFICER AND MSRB	NA	Control
POSTON, MICHAEL EDWARD	I	VICE PRESIDENT CHIEF COMPLIANCE OFFICER, SROP AND MSRB	NA	Control
POSTON, MICHAEL EDWARD	I	VICE PRESIDENT CHIEF COMPLIANCE OFFICER AND MSRB	NA	Control
POSTON, MICHAEL EDWARD	I	VICE PRESIDENT CHIEF COMPLIANCE OFFICER AND MSRB	NA	Control
POSTON, MICHAEL EDWARD	I	VICE PRESIDENT CHIEF COMPLIANCE OFFICER, CROP AND MSRB	NA	Control
POSTON, MICHAEL EDWARD	I	CCO	NA
POSTON, MICHAEL EDWARD	I	CCO	NA
ROBERTS, CHRISTOPHER RYAN	I	SENIOR VICE PRESIDENT & SALES SUPPORT	NA
ROBERTS, CHRISTOPHER RYAN	I	SENIOR VICE PRESIDENT & SALES SUPPORT	NA
ROBERTS, CHRISTOPHER RYAN	I	SENIOR VICE PRESIDENT & SALES SUPPORT	NA
ROBERTS, CHRISTOPHER RYAN	I	SENIOR VICE PRESIDENT & SALES SUPPORT	NA
ROBERTS, CHRISTOPHER RYAN	I	SENIOR VICE PRESIDENT & SALES SUPPORT	NA
ROBERTS, CHRISTOPHER RYAN	I	SENIOR VICE PRESIDENT & SALES SUPPORT	NA
ROBERTS, CHRISTOPHER RYAN	I	SENIOR VICE PRESIDENT & SALES SUPPORT	NA
ROBERTS, CHRISTOPHER RYAN	I	SENIOR VICE PRESIDENT & SALES SUPPORT	NA
ROBERTS, CHRISTOPHER RYAN	I	SENIOR VICE PRESIDENT & SALES SUPPORT	NA
SANFILIPPO, SARAH FLORENCE	I	INTERIM INVESTMENT ADVISER CHIEF COMPLAINCE	NA	Control
SANFILIPPO, SARAH FLORENCE	I	INTERIM INVESTMENT ADVISER CHIEF COMPLIANCE OFFICER	NA	Control
SHANK, BILLY WAYNE JR	I	VICE PRESIDENT, INVESTMENT ADVISORY	NA
SHANK, BILLY WAYNE JR	I	VICE PRESIDENT, INVESTMENT ADVISORY	NA
SHANK, BILLY WAYNE JR	I	VICE PRESIDENT, INVESTMENT ADVISORY	NA
SHANK, BILLY WAYNE JR	I	VICE PRESIDENT, INVESTMENT ADVISORY	NA
SHANK, BILLY WAYNE JR	I	VICE PRESIDENT, INVESTMENT ADVISORY	NA
THORSON, SCOTT CARL	I	EXECUTIVE VICE PRESIDENT AND CHIEF OPERATING OFFICER	NA	Control
THORSON, SCOTT CARL	I	EXECUTIVE VICE PRESIDENT & CHIEF OPERATING OFFICER	NA	Control
THORSON, SCOTT CARL	I	EXECUTIVE VICE PRESIDENT & CHIEF OPERATING OFFICER	NA	Control
THORSON, SCOTT CARL	I	EXECUTIVE VICE PRESIDENT & CHIEF OPERATING OFFICER	NA	Control
THORSON, SCOTT CARL	I	EXECUTIVE VICE PRESIDENT & CHIEF OPERATING OFFICER	NA	Control
THORSON, SCOTT CARL	I	EXECUTIVE VICE PRESIDENT & CHIEF OPERATING OFFICER	NA	Control
THORSON, SCOTT CARL	I	EXECUTIVE VICE PRESIDENT & CHIEF OPERATING OFFICER	NA	Control
THORSON, SCOTT CARL	I	FNOP, EXECUTIVE VICE PRESIDENT & CHIEF OPERATING OFFICER	NA	Control
THORSON, SCOTT CARL	I	FNOP, EXECUTIVE VICE PRESIDENT & CHIEF OPERATING OFFICER	NA	Control
THORSON, SCOTT CARL	I	FNOP, EXECUTIVE VICE PRESIDENT & CHIEF OPERATING OFFICER	NA	Control
THORSON, SCOTT CARL	I	FNOP, EXECUTIVE VICE PRESIDENT & CHIEF OPERATING OFFICER	NA	Control
THORSON, SCOTT CARL	I	FNOP, EXECUTIVE VICE PRESIDENT & CHIEF OPERATING OFFICER	NA	Control
THORSON, SCOTT CARL	I	FNOP, EXECUTIVE VICE PRESIDENT & CHIEF OPERATING OFFICER	NA	Control
THORSON, SCOTT CARL	I	FNOP, EXECUTIVE VICE PRESIDENT & CHIEF OPERATING OFFICER	NA	Control
THORSON, SCOTT CARL	I	FNOP, EXECUTIVE VICE PRESIDENT & CHIEF OPERATING OFFICER	NA	Control
THORSON, SCOTT CARL	I	FNOP, EXECUTIVE VICE PRESIDENT, TREASURER & CHIEF OPERATING OFFICER	NA	Control
THORSON, SCOTT CARL	I	FNOP, EXECUTIVE VICE PRESIDENT & CHIEF OPERATING OFFICER	NA	Control
THORSON, SCOTT CARL	I	FNOP, EXECUTIVE VICE PRESIDENT & CHIEF OPERATING OFFICER	NA	Control
THORSON, SCOTT CARL	I	INTERIM PRESIDENT, FNOP, EXECUTIVE VICE PRESIDENT & CHIEF OPERATING OFFICER	NA	Control
THORSON, SCOTT CARL	I	FNOP, EXECUTIVE VICE PRESIDENT & CHIEF OPERATING OFFICER	NA	Control
THORSON, SCOTT CARL	I	FNOP, EXECUTIVE VICE PRESIDENT & CHIEF OPERATING OFFICER	NA	Control
THORSON, SCOTT CARL	I	INTERIM PRESIDENT, FNOP, EXECUTIVE VICE PRESIDENT & CHIEF OPERATING OFFICER	NA	Control
THORSON, SCOTT CARL	I	INTERIM PRESIDENT, FNOP, EXECUTIVE VICE PRESIDENT & CHIEF OPERATING OFFICER	NA	Control
THORSON, SCOTT CARL	I	FNOP, EXECUTIVE VICE PRESIDENT & CHIEF OPERATING OFFICER	NA	Control
THORSON, SCOTT CARL	I	FNOP, EXECUTIVE VICE PRESIDENT & CHIEF OPERATING OFFICER	NA	Control
THORSON, SCOTT CARL	I	INTERIM PRESIDENT, FNOP, EXECUTIVE VICE PRESIDENT & CHIEF OPERATING OFFICER	NA	Control
THORSON, SCOTT CARL	I	FNOP, EXECUTIVE VICE PRESIDENT & CHIEF OPERATING OFFICER	NA	Control
THORSON, SCOTT CARL	I	INTERIM PRESIDENT, FNOP, EXECUTIVE VICE PRESIDENT & CHIEF OPERATING OFFICER	NA	Control
THORSON, SCOTT CARL	I	FNOP, EXECUTIVE VICE PRESIDENT, TREASURER & CHIEF OPERATING OFFICER	NA	Control
THORSON, SCOTT CARL	I	FNOP, EXECUTIVE VICE PRESIDENT, TREASURER & CHIEF OPERATING OFFICER	NA	Control
THORSON, SCOTT CARL	I	FNOP, EXECUTIVE VICE PRESIDENT, TREASURER & CHIEF OPERATING OFFICER	NA	Control
THORSON, SCOTT CARL	I	FNOP, EXECUTIVE VICE PRESIDENT, TREASURER & CHIEF OPERATING OFFICER	NA	Control
THORSON, SCOTT CARL	I	FNOP, EXECUTIVE VICE PRESIDENT, TREASURER & CHIEF OPERATING OFFICER	NA	Control
VANDERHEYDEN, JOHN PATRICK	I	ASSISTANT VICE PRESIDENT & DIRECTOR	NA
VANDERHEYDEN, JOHN PATRICK	I	DIRECTOR	NA
VANDERHEYDEN, JOHN PATRICK	I	DIRECTOR	NA
VANDERHEYDEN, JOHN PATRICK	I	DIRECTOR	NA
VANDERHEYDEN, JOHN PATRICK	I	DIRECTOR	NA
VANDERHEYDEN, JOHN PATRICK	I	DIRECTOR	NA
VANDERHEYDEN, JOHN PATRICK	I	DIRECTOR	NA
VANDERHEYDEN, JOHN PATRICK	I	DIRECTOR	NA
VANDERHEYDEN, JOHN PATRICK	I	DIRECTOR	NA
VANDERHEYDEN, JOHN PATRICK	I	DIRECTOR	NA
VANDERHEYDEN, JOHN PATRICK	I	DIRECTOR	NA
VANDERHEYDEN, JOHN PATRICK	I	DIRECTOR	NA
VANDERHEYDEN, JOHN PATRICK	I	ASSISTANT VICE PRESIDENT & DIRECTOR	NA
VANDERHEYDEN, JOHN PATRICK	I	ASSISTANT VICE PRESIDENT & DIRECTOR	NA
VANDERHEYDEN, JOHN PATRICK	I	ASSISTANT VICE PRESIDENT & DIRECTOR	NA
VANDERHEYDEN, JOHN PATRICK	I	ASSISTANT VICE PRESIDENT & DIRECTOR	NA
VANDERHEYDEN, JOHN PATRICK	I	ASSISTANT VICE PRESIDENT & DIRECTOR	NA
VANDERHEYDEN, JOHN PATRICK	I	OFFICER	NA
VANDERHEYDEN, JOHN PATRICK	I	ASSISTANT VICE PRESIDENT & DIRECTOR	NA
VANDERHEYDEN, JOHN PATRICK	I	OFFICER	NA
WALLAKE, RANDY F	I	DIRECTOR	NA
WALLAKE, RANDY FENTON	I	DIRECTOR	NA
WALLAKE, RANDY FENTON	I	DIRECTOR	NA
WALLAKE, RANDY FENTON	I	DIRECTOR	NA
WALLAKE, RANDY FENTON	I	DIRECTOR	NA
WALLAKE, RANDY FENTON	I	DIRECTOR	NA
WALLAKE, RANDY FENTON	I	DIRECTOR	NA
WALLAKE, RANDY FENTON	I	DIRECTOR	NA
WALLAKE, RANDY FENTON	I	DIRECTOR	NA
WALLAKE, RANDY FENTON	I	DIRECTOR	NA
WALLAKE, RANDY FENTON	I	DIRECTOR	NA
WALLAKE, RANDY FENTON	I	DIRECTOR	NA
WALLAKE, RANDY FENTON	I	DIRECTOR	NA
WALLAKE, RANDY FENTON	I	DIRECTOR	NA
WALLAKE, RANDY FENTON	I	DIRECTOR	NA
WALLAKE, RANDY FENTON	I	DIRECTOR	NA
WALLAKE, RANDY FENTON	I	DIRECTOR	NA
WALLAKE, RANDY FENTON	I	DIRECTOR	NA
WALLAKE, RANDY FENTON	I	DIRECTOR	NA
WHITED, SANDRA RENEE	I	VICE PRESIDENT, BROKER DEALER COMPLIANCE	NA	Control
WHITED, SANDRA RENEE	I	VICE PRESIDENT, BROKER DEALER COMPLIANCE	NA	Control
WILSON, LOYALL EDWARD	I	DIRECTOR	NA
WILSON, LOYALL EDWARD	I	DIRECTOR	NA
WILSON, LOYALL EDWARD	I	DIRECTOR	NA
WILSON, LOYALL EDWARD	I	DIRECTOR	NA
WILSON, LOYALL EDWARD	I	DIRECTOR	NA
WILSON, LOYALL EDWARD	I	DIRECTOR	NA
WILSON, LOYALL EDWARD	I	DIRECTOR	NA
WILSON, LOYALL EDWARD	I	DIRECTOR	NA
WILSON, LOYALL EDWARD	I	DIRECTOR	NA
WILSON, LOYALL EDWARD	I	PRESIDENT & DIRECTOR	NA
WILSON, LOYALL EDWARD	I	DIRECTOR	NA
WILSON, LOYALL EDWARD	I	DIRECTOR	NA
WILSON, LOYALL EDWARD	I	PRESIDENT & DIRECTOR	NA
WILSON, LOYALL EDWARD	I	PRESIDENT & DIRECTOR	NA
WILSON, LOYALL EDWARD	I	PRESIDENT & DIRECTOR	NA
WILSON, LOYALL EDWARD	I	PRESIDENT & DIRECTOR	NA
WORSHAM, SANDRA RENEE	I	VICE PRESIDENT, BROKER DEALER COMPLIANCE	NA
YIN, YIN	I	ASSISTANT SECRETARY	NA
YIN, YIN	I	ASSISTANT SECRETARY	NA
YIN, YIN	I	ASSISTANT SECRETARY	NA
YIN, YIN	I	ASSISTANT SECRETARY	NA
YIN, YIN	I	ASSISTANT SECRETARY	NA
YIN, YIN	I	ASSISTANT SECRETARY	NA
YIN, YIN	I	ASSISTANT SECRETARY	NA
YIN, YIN	I	ASSISTANT SECRETARY	NA
YIN, YIN	I	ASSISTANT SECRETARY	NA
ZACCARO, WARREN JOHN	I	DIRECTOR	NA
ZACCARO, WARREN JOHN	I	DIRECTOR	NA
ZACCARO, WARREN JOHN	I	DIRECTOR	NA
ZACCARO, WARREN JOHN	I	DIRECTOR	NA
ZACCARO, WARREN JOHN	I	DIRECTOR	NA
ZACCARO, WARREN JOHN	I	DIRECTOR	NA
ZACCARO, WARREN JOHN	I	DIRECTOR	NA
ZACCARO, WARREN JOHN	I	DIRECTOR	NA
ZACCARO, WARREN JOHN	I	DIRECTOR	NA
ZACCARO, WARREN JOHN	I	DIRECTOR	NA
ZACCARO, WARREN JOHN	I	DIRECTOR	NA
ZACCARO, WARREN JOHN	I	DIRECTOR	NA
ZACCARO, WARREN JOHN	I	DIRECTOR	NA
ZACCARO, WARREN JOHN	I	DIRECTOR	NA
ZACCARO, WARREN JOHN	I	DIRECTOR	NA
ZACCARO, WARREN JOHN	I	DIRECTOR	NA
ZACCARO, WARREN JOHN	I	DIRECTOR	NA
ZACCARO, WARREN JOHN	I	DIRECTOR	NA
ZACCARO, WARREN JOHN	I	DIRECTOR	NA
ZACCARO, WARREN JOHN	I	DIRECTOR	NA
ZACCARO, WARREN JOHN	I	DIRECTOR	NA
ZACCARO, WARREN JOHN	I	DIRECTOR	NA
ZACCARO, WARREN JOHN	I	DIRECTOR	NA
ZACCARO, WARREN JOHN	I	DIRECTOR	NA
ZACCARO, WARREN JOHN	I	DIRECTOR	NA
ZACCARO, WARREN JOHN	I	DIRECTOR	NA
ZACCARO, WARREN JOHN	I	DIRECTOR	NA
ZACCARO, WARREN JOHN	I	DIRECTOR	NA
ZACCARO, WARREN JOHN	I	DIRECTOR	NA
ZACCARO, WARREN JOHN	I	DIRECTOR	NA
ZACCARO, WARREN JOHN	I	DIRECTOR	NA
ZACCARO, WARREN JOHN	I	DIRECTOR	NA
ZACCARO, WARREN JOHN	I	DIRECTOR	NA
ZACCARO, WARREN JOHN	I	DIRECTOR	NA
KESTRA FINANCIAL INC.	DE	100 % SHAREHOLDER	E	Control
KESTRA FINANCIAL INC.	DE	100 % SHAREHOLDER	E	Control
KESTRA FINANCIAL INC.	DE	100 % SHAREHOLDER	E	Control
KESTRA FINANCIAL INC.	DE	100 % SHAREHOLDER	E	Control
KESTRA FINANCIAL INC.	DE	100 % SHAREHOLDER	E	Control
KESTRA FINANCIAL INC.	DE	100 % SHAREHOLDER	E	Control
KESTRA FINANCIAL INC.	DE	100 % SHAREHOLDER	E	Control
KESTRA FINANCIAL INC.	DE	100 % SHAREHOLDER	E	Control
KESTRA FINANCIAL INC.	DE	100 % SHAREHOLDER	E	Control
KESTRA FINANCIAL INC.	DE	100 % SHAREHOLDER	E	Control
KESTRA FINANCIAL INC.	DE	100 % SHAREHOLDER	E	Control
KESTRA FINANCIAL INC.	DE	100 % SHAREHOLDER	E	Control
KESTRA FINANCIAL INC.	DE	100 % SHAREHOLDER	E	Control
KESTRA FINANCIAL INC.	DE	100 % SHAREHOLDER	E	Control
KESTRA FINANCIAL INC.	DE	100 % SHAREHOLDER	E	Control
KESTRA FINANCIAL INC.	DE	100 % SHAREHOLDER	E	Control
KESTRA FINANCIAL INC.	DE	100 % SHAREHOLDER	E	Control
KESTRA FINANCIAL INC.	DE	100 % SHAREHOLDER	E	Control
KESTRA FINANCIAL INC.	DE	100 % SHAREHOLDER	E	Control
KESTRA FINANCIAL INC.	DE	100 % SHAREHOLDER	E	Control
SECURIAN FINANCIAL GROUP, INC.	DE	100 % SHARHOLDER	E	Control
SECURIAN FINANCIAL GROUP, INC.	DE	100 % SHARHOLDER	E	Control
SECURIAN FINANCIAL GROUP, INC.	DE	100 % SHARHOLDER	E	Control
SECURIAN FINANCIAL GROUP, INC.	DE	100 % SHARHOLDER	E	Control
SECURIAN FINANCIAL GROUP, INC.	DE	100 % SHARHOLDER	E	Control
SECURIAN FINANCIAL GROUP, INC.	DE	100 % SHARHOLDER	E	Control
SECURIAN FINANCIAL GROUP, INC.	DE	100 % SHARHOLDER	E	Control
SECURIAN FINANCIAL GROUP, INC.	DE	100 % SHARHOLDER	E	Control
SECURIAN FINANCIAL GROUP, INC.	DE	100 % SHARHOLDER	E	Control
SECURIAN FINANCIAL GROUP, INC.	DE	100 % SHARHOLDER	E	Control
SECURIAN FINANCIAL GROUP, INC.	DE	100 % SHARHOLDER	E	Control
SECURIAN FINANCIAL GROUP, INC.	DE	100 % SHARHOLDER	E	Control
SECURIAN FINANCIAL GROUP, INC.	DE	100 % SHARHOLDER	E	Control
SECURIAN FINANCIAL GROUP, INC.	DE	100 % SHARHOLDER	E	Control
SECURIAN FINANCIAL GROUP, INC.	DE	100 % SHARHOLDER	E	Control
SECURIAN FINANCIAL GROUP, INC.	DE	100 % SHARHOLDER	E	Control
SECURIAN FINANCIAL GROUP, INC.	DE	100 % SHARHOLDER	E	Control
SECURIAN FINANCIAL GROUP, INC.	DE	100 % SHARHOLDER	E	Control
SECURIAN FINANCIAL GROUP, INC.	DE	100 % SHARHOLDER	E	Control
SECURIAN FINANCIAL GROUP, INC.	DE	100 % SHARHOLDER	E	Control
SECURIAN FINANCIAL GROUP, INC.	DE	100 % SHARHOLDER	E	Control
SECURIAN FINANCIAL GROUP, INC.	DE	100 % SHARHOLDER	E	Control
SECURIAN FINANCIAL GROUP, INC.	DE	100 % SHARHOLDER	E	Control
SECURIAN FINANCIAL GROUP, INC.	DE	100 % SHARHOLDER	E	Control
SECURIAN FINANCIAL GROUP, INC.	DE	100 % SHARHOLDER	E	Control
SECURIAN FINANCIAL GROUP, INC.	DE	100 % SHARHOLDER	E	Control
SECURIAN FINANCIAL GROUP, INC.	DE	100 % SHARHOLDER	E	Control
SECURIAN FINANCIAL GROUP, INC.	DE	100 % SHARHOLDER	E	Control
SECURIAN FINANCIAL GROUP, INC.	DE	100 % SHARHOLDER	E	Control
SECURIAN FINANCIAL GROUP, INC.	DE	100 % SHARHOLDER	E	Control
SECURIAN FINANCIAL GROUP, INC.	DE	100 % SHARHOLDER	E	Control
SECURIAN FINANCIAL GROUP, INC.	DE	100 % SHARHOLDER	E	Control
SECURIAN FINANCIAL GROUP, INC.	DE	100 % SHARHOLDER	E	Control
SECURIAN FINANCIAL GROUP, INC.	DE	100 % SHAREHOLDER	E	Control
HURVITZ, GARY S	I	SR. V.P. , CLO/SHAREHOLDER/DIRECTOR	B	Control
HURVITZ, GARY S	I	SR. V.P. , CLO/SHAREHOLDER/DIRECTOR	B	Control
HURVITZ, GARY S	I	SR. V.P. , CLO/SHAREHOLDER/DIRECTOR	B	Control
HURVITZ, GARY S	I	SR. V.P. , CLO/SHAREHOLDER/DIRECTOR	B	Control
HURVITZ, GARY S	I	SR. V.P. , CLO/SHAREHOLDER/DIRECTOR	B	Control
HURVITZ, GARY S	I	SR. V.P. , CLO/SHAREHOLDER/DIRECTOR	B	Control
HURVITZ, GARY S	I	SR. V.P. , CLO/SHAREHOLDER/DIRECTOR	B	Control
HURVITZ, GARY S	I	SR. V.P. , CLO/SHAREHOLDER/DIRECTOR	B	Control
HURVITZ, GARY S	I	SR. V.P. , CLO/SHAREHOLDER/DIRECTOR	B	Control
HURVITZ, GARY S	I	SR. V.P. , CLO/SHAREHOLDER/DIRECTOR	B	Control
HURVITZ, GARY S	I	SR. V.P. , CLO/SHAREHOLDER/DIRECTOR	B	Control
HURVITZ, GARY S	I	SR. V.P. , CLO/SHAREHOLDER/DIRECTOR	B	Control
HURVITZ, GARY S	I	SR. V.P. , CLO/SHAREHOLDER/DIRECTOR	B	Control
HURVITZ, GARY S	I	SR. V.P. , CLO/SHAREHOLDER/DIRECTOR	B	Control
HURVITZ, GARY S	I	SR. V.P. , CLO/SHAREHOLDER/DIRECTOR	B	Control
HURVITZ, GARY S	I	SR. V.P. , CLO/SHAREHOLDER/DIRECTOR	B	Control
HURVITZ, GARY S	I	SR. V.P. , CLO/SHAREHOLDER/DIRECTOR	B	Control
HURVITZ, GARY S	I	SR. V.P. , CLO/SHAREHOLDER/DIRECTOR	B	Control
KAMEROW, NORMAN WARREN	I	SHAREHOLDER/DIRECTOR	B	Control
KAMEROW, NORMAN WARREN	I	SHAREHOLDER/DIRECTOR	B	Control
KAMEROW, NORMAN WARREN	I	SHAREHOLDER/DIRECTOR	B	Control
KAMEROW, NORMAN WARREN	I	SHAREHOLDER/DIRECTOR	B	Control
KAMEROW, NORMAN WARREN	I	SHAREHOLDER/DIRECTOR	B	Control
KAMEROW, NORMAN WARREN	I	SHAREHOLDER/DIRECTOR	B	Control
KAMEROW, NORMAN WARREN	I	SHAREHOLDER/DIRECTOR	B	Control
KAMEROW, NORMAN WARREN	I	SHAREHOLDER/DIRECTOR	B	Control
KAMEROW, NORMAN WARREN	I	SHAREHOLDER/DIRECTOR	B	Control
KAMEROW, NORMAN WARREN	I	SHAREHOLDER/DIRECTOR	B	Control
KAMEROW, NORMAN WARREN	I	SHAREHOLDER/DIRECTOR	B	Control
KAMEROW, NORMAN WARREN	I	SHAREHOLDER/DIRECTOR	B	Control
KAMEROW, NORMAN WARREN	I	SHAREHOLDER/DIRECTOR	B	Control
KAMEROW, NORMAN WARREN	I	SHAREHOLDER/DIRECTOR	B	Control
KAMEROW, NORMAN WARREN	I	SHAREHOLDER/DIRECTOR	B	Control
KAMEROW, NORMAN WARREN	I	SHAREHOLDER/DIRECTOR	B	Control
KAMEROW, NORMAN WARREN	I	SHAREHOLDER/DIRECTOR	B	Control
KAMEROW, NORMAN WARREN	I	SHAREHOLDER/DIRECTOR	B	Control
MEYERS, ERIC GORDON	I	CHAIRMAN, CEO/SHAREHOLDER/DIRECTOR	B	Control
MEYERS, ERIC GORDON	I	CHAIRMAN, CEO/SHAREHOLDER/DIRECTOR	B	Control
MEYERS, ERIC GORDON	I	COO, CHAIRMAN, CEO/SHAREHOLDER/DIRECTOR	B	Control
MEYERS, ERIC GORDON	I	CHAIRMAN, CEO/SHAREHOLDER/DIRECTOR	B	Control
MEYERS, ERIC GORDON	I	CHAIRMAN, CEO/SHAREHOLDER/DIRECTOR	B	Control
MEYERS, ERIC GORDON	I	COO, CHAIRMAN, CEO/SHAREHOLDER/DIRECTOR	B	Control
MEYERS, ERIC GORDON	I	CHAIRMAN, CEO/SHAREHOLDER/DIRECTOR	B	Control
MEYERS, ERIC GORDON	I	CHAIRMAN, CEO/SHAREHOLDER/DIRECTOR	B	Control
MEYERS, ERIC GORDON	I	CHAIRMAN, CEO/SHAREHOLDER/DIRECTOR	B	Control
MEYERS, ERIC GORDON	I	CHAIRMAN, CEO/SHAREHOLDER/DIRECTOR	B	Control
MEYERS, ERIC GORDON	I	CHAIRMAN, CEO/SHAREHOLDER/DIRECTOR	B	Control
MEYERS, ERIC GORDON	I	SHAREHOLDER/DIRECTOR	B	Control
MEYERS, ERIC GORDON	I	SHAREHOLDER/DIRECTOR	B	Control
MEYERS, ERIC GORDON	I	CHAIRMAN, CEO/SHAREHOLDER/DIRECTOR	B	Control
MEYERS, ERIC GORDON	I	PRESIDENT, CHAIRMAN, CEO/SHAREHOLDER/DIRECTOR	B	Control
MEYERS, ERIC GORDON	I	CHAIRMAN, CEO/SHAREHOLDER/DIRECTOR	B	Control
MEYERS, ERIC GORDON	I	CHAIRMAN, CEO/SHAREHOLDER/DIRECTOR	B	Control
MEYERS, ERIC GORDON	I	CHAIRMAN, CEO/SHAREHOLDER/DIRECTOR	B	Control
PORTER, STEVEN ROBERT	I	CFO,SR. V.P.,SHAREHOLDER/DIRECTOR	B	Control
PORTER, STEVEN ROBERT	I	CFO,SR. V.P.,SHAREHOLDER/DIRECTOR	B	Control
PORTER, STEVEN ROBERT	I	CFO,SR. V.P.,SHAREHOLDER/DIRECTOR	B	Control
PORTER, STEVEN ROBERT	I	CFO,SR. V.P.,SHAREHOLDER/DIRECTOR	B	Control
PORTER, STEVEN ROBERT	I	CFO,SR. V.P.,SHAREHOLDER/DIRECTOR	B	Control
PORTER, STEVEN ROBERT	I	CFO,SR. V.P.,SHAREHOLDER/DIRECTOR	B	Control
PORTER, STEVEN ROBERT	I	CFO,SR. V.P.,SHAREHOLDER/DIRECTOR	B	Control
PORTER, STEVEN ROBERT	I	CFO,SR. V.P.,SHAREHOLDER/DIRECTOR	B	Control
PORTER, STEVEN ROBERT	I	CFO,SR. V.P.,SHAREHOLDER/DIRECTOR	B	Control
PORTER, STEVEN ROBERT	I	CFO,SR. V.P.,SHAREHOLDER/DIRECTOR	B	Control
PORTER, STEVEN ROBERT	I	CFO,SR. V.P.,SHAREHOLDER/DIRECTOR	B	Control
PORTER, STEVEN ROBERT	I	CFO,SR. V.P.,SHAREHOLDER/DIRECTOR	B	Control
PORTER, STEVEN ROBERT	I	CFO,SR. V.P.,SHAREHOLDER/DIRECTOR	B	Control
PORTER, STEVEN ROBERT	I	CFO,SR. V.P.,SHAREHOLDER/DIRECTOR	B	Control
PORTER, STEVEN ROBERT	I	CFO,SR. V.P.,SHAREHOLDER/DIRECTOR	B	Control
PORTER, STEVEN ROBERT	I	CFO,SR. V.P.,SHAREHOLDER/DIRECTOR	B	Control
PORTER, STEVEN ROBERT	I	CFO,SR. V.P.,SHAREHOLDER/DIRECTOR	B	Control
PORTER, STEVEN ROBERT	I	CFO,SR. V.P.,SHAREHOLDER/DIRECTOR	B	Control
SHANK, BILLY WAYNE JR	I	VICE PRESIDENT, INVESTMENT ADVISORY	B
SHANK, BILLY WAYNE JR	I	VICE PRESIDENT, INVESTMENT ADVISORY	B
PROKOPCHAK, JOHN NICHOLAS	I	SENIOR V.P.,SHAREHOLDER/DIRECTOR	A	Control
PROKOPCHAK, JOHN NICHOLAS	I	SENIOR V.P.,SHAREHOLDER/DIRECTOR	A	Control
PROKOPCHAK, JOHN NICHOLAS	I	SENIOR V.P.,SHAREHOLDER/DIRECTOR	A	Control
PROKOPCHAK, JOHN NICHOLAS	I	SENIOR V.P.,SHAREHOLDER/DIRECTOR	A	Control
PROKOPCHAK, JOHN NICHOLAS	I	SENIOR V.P.,SHAREHOLDER/DIRECTOR	A	Control
PROKOPCHAK, JOHN NICHOLAS	I	SENIOR V.P.,SHAREHOLDER/DIRECTOR	A	Control
PROKOPCHAK, JOHN NICHOLAS	I	SENIOR V.P.,SHAREHOLDER/DIRECTOR	A	Control
PROKOPCHAK, JOHN NICHOLAS	I	SENIOR V.P.,SHAREHOLDER/DIRECTOR	A	Control
PROKOPCHAK, JOHN NICHOLAS	I	SENIOR V.P.,SHAREHOLDER/DIRECTOR	A	Control
PROKOPCHAK, JOHN NICHOLAS	I	SENIOR V.P.,SHAREHOLDER/DIRECTOR	A	Control
PROKOPCHAK, JOHN NICHOLAS	I	SENIOR V.P.,SHAREHOLDER/DIRECTOR	A	Control
PROKOPCHAK, JOHN NICHOLAS	I	SENIOR V.P.,SHAREHOLDER/DIRECTOR	A	Control
PROKOPCHAK, JOHN NICHOLAS	I	SENIOR V.P.,SHAREHOLDER/DIRECTOR	A	Control
PROKOPCHAK, JOHN NICHOLAS	I	SENIOR V.P.,SHAREHOLDER/DIRECTOR	A	Control
PROKOPCHAK, JOHN NICHOLAS	I	SENIOR V.P.,SHAREHOLDER/DIRECTOR	A	Control
PROKOPCHAK, JOHN NICHOLAS	I	SENIOR V.P.,SHAREHOLDER/DIRECTOR	A	Control
PROKOPCHAK, JOHN NICHOLAS	I	SENIOR V.P.,SHAREHOLDER/DIRECTOR	A	Control
PROKOPCHAK, JOHN NICHOLAS	I	SENIOR V.P.,SHAREHOLDER/DIRECTOR	A	Control

Indirect Owners (Schedule B)

Name	Type	Entity	Ownership	Control
KESTRA FINANCIAL HOLDINGS GP, LLC	DE	KESTRA FINANCIAL HOLDINGS LP	F
KESTRA FINANCIAL HOLDINGS GP, LLC	DE	KESTRA FINANCIAL HOLDINGS LP	F
KESTRA FINANCIAL HOLDINGS GP, LLC	DE	KESTRA FINANCIAL HOLDINGS LP	F
KESTRA FINANCIAL HOLDINGS GP, LLC	DE	KESTRA FINANCIAL HOLDINGS LP	F
KESTRA FINANCIAL HOLDINGS GP, LLC	DE	KESTRA FINANCIAL HOLDINGS LP	F
KINGFISHER HOLDING GP, LLC	DE	KINGFISHER HOLDING, LP.	F
KINGFISHER HOLDING GP, LLC	DE	KINGFISHER HOLDING, LP.	F
KINGFISHER HOLDING GP, LLC	DE	KINGFISHER HOLDING, LP.	F
TRIDENT VI PARALLEL FUND, LP	DE	KESTRA FINANCIAL HOLDINGS LP	F
TRIDENT VI PARALLEL FUND, LP	DE	KESTRA FINANCIAL HOLDINGS LP	F
TRIDENT VI PARALLEL FUND, LP	DE	KESTRA FINANCIAL HOLDINGS LP	F
TRIDENT VI PARALLEL FUND, LP	DE	KESTRA FINANCIAL HOLDINGS LP	F
TRIDENT VI PARALLEL FUND, LP	DE	KESTRA FINANCIAL HOLDINGS LP	F
TRIDENT VI, LP	DE	KESTRA FINANCIAL HOLDINGS LP	F
TRIDENT VI, LP	DE	KESTRA FINANCIAL HOLDINGS LP	F
TRIDENT VI, LP	DE	KESTRA FINANCIAL HOLDINGS LP	F
TRIDENT VI, LP	DE	KESTRA FINANCIAL HOLDINGS LP	F
TRIDENT VI, LP	DE	KESTRA FINANCIAL HOLDINGS LP	F
KESTRA ADVISOR SERVICES HOLDING A, INC.	DE	KESTRA ADVISOR SERVICES HOLDINGS B, INC.	E
KESTRA ADVISOR SERVICES HOLDING A, INC.	DE	KESTRA ADVISOR SERVICES HOLDINGS B, INC.	E
KESTRA ADVISOR SERVICES HOLDING A, INC.	DE	KESTRA ADVISOR SERVICES HOLDINGS B, INC.	E
KESTRA ADVISOR SERVICES HOLDING A, INC.	DE	KESTRA ADVISOR SERVICES HOLDINGS B, INC.	E
KESTRA ADVISOR SERVICES HOLDING A, INC.	DE	KESTRA ADVISOR SERVICES HOLDINGS B, INC.	E
KESTRA ADVISOR SERVICES HOLDING A, INC.	DE	KESTRA ADVISOR SERVICES HOLDINGS B, INC.	E
KESTRA ADVISOR SERVICES HOLDING A, INC.	DE	KESTRA ADVISOR SERVICES HOLDINGS B, INC.	E
KESTRA ADVISOR SERVICES HOLDING A, INC.	DE	KESTRA ADVISOR SERVICES HOLDINGS B, INC.	E
KESTRA ADVISOR SERVICES HOLDING A, INC.	DE	KESTRA ADVISOR SERVICES HOLDINGS B, INC.	E
KESTRA ADVISOR SERVICES HOLDING B, INC.	DE	KESTRA ADVISOR SERVICES HOLDING C, INC.	E
KESTRA ADVISOR SERVICES HOLDING B, INC.	DE	KESTRA ADVISOR SERVICES HOLDING C, INC.	E
KESTRA ADVISOR SERVICES HOLDING B, INC.	DE	KESTRA ADVISOR SERVICES HOLDING C, INC.	E
KESTRA ADVISOR SERVICES HOLDING B, INC.	DE	KESTRA ADVISOR SERVICES HOLDING C, INC.	E
KESTRA ADVISOR SERVICES HOLDING B, INC.	DE	KESTRA ADVISOR SERVICES HOLDING C, INC.	E
KESTRA ADVISOR SERVICES HOLDING B, INC.	DE	KESTRA ADVISOR SERVICES HOLDING C, INC.	E
KESTRA ADVISOR SERVICES HOLDING B, INC.	DE	KESTRA ADVISOR SERVICES HOLDING C, INC.	E
KESTRA ADVISOR SERVICES HOLDING B, INC.	DE	KESTRA ADVISOR SERVICES HOLDING C, INC.	E
KESTRA ADVISOR SERVICES HOLDING B, INC.	DE	KESTRA ADVISOR SERVICES HOLDING C, INC.	E
KESTRA ADVISOR SERVICES HOLDING C, INC.	DE	KESTRA FINANCIAL, INC.	E
KESTRA ADVISOR SERVICES HOLDING C, INC.	DE	KESTRA FINANCIAL, INC.	E
KESTRA ADVISOR SERVICES HOLDING C, INC.	DE	KESTRA FINANCIAL, INC.	E
KESTRA ADVISOR SERVICES HOLDING C, INC.	DE	KESTRA FINANCIAL, INC.	E
KESTRA ADVISOR SERVICES HOLDING C, INC.	DE	KESTRA FINANCIAL, INC.	E
KESTRA ADVISOR SERVICES HOLDING C, INC.	DE	KESTRA FINANCIAL, INC.	E
KESTRA ADVISOR SERVICES HOLDING C, INC.	DE	KESTRA FINANCIAL, INC.	E
KESTRA ADVISOR SERVICES HOLDING C, INC.	DE	KESTRA FINANCIAL, INC.	E
KESTRA ADVISOR SERVICES HOLDING C, INC.	DE	KESTRA FINANCIAL, INC.	E
KESTRA FINANCIAL HOLDINGS, LP	DE	KESTRA ADVISOR SERVICES HOLDING A, INC.	E
KESTRA FINANCIAL HOLDINGS, LP	DE	KESTRA ADVISOR SERVICES HOLDING A, INC.	E
KESTRA FINANCIAL HOLDINGS, LP	DE	KESTRA ADVISOR SERVICES HOLDING A, INC.	E
KESTRA FINANCIAL HOLDINGS, LP	DE	KESTRA ADVISOR SERVICES HOLDING A, INC.	E
KESTRA FINANCIAL HOLDINGS, LP	DE	KESTRA ADVISOR SERVICES HOLDING A, INC.	E
KESTRA FINANCIAL, INC.	DE	BLUESPRING WEALTH PARTNERS, LLC	E
KESTRA INVESTMENT SERVICES, LLC	DE	KESTRA FINANCIAL	E	Control
KESTRA INVESTMENT SERVICES, LLC	DE	KESTRA FINANCIAL	E	Control
KESTRA INVESTMENT SERVICES, LLC	DE	KESTRA FINANCIAL	E	Control
KESTRA INVESTMENT SERVICES, LLC	DE	KESTRA FINANCIAL	E	Control
KESTRA INVESTMENT SERVICES, LLC	DE	KESTRA FINANCIAL	E	Control
KESTRA INVESTMENT SERVICES, LLC	DE	KESTRA FINANCIAL	E	Control
KESTRA INVESTMENT SERVICES, LLC	DE	KESTRA FINANCIAL	E	Control
KESTRA INVESTMENT SERVICES, LLC	DE	KESTRA FINANCIAL	E	Control
KESTRA INVESTMENT SERVICES, LLC	DE	KESTRA FINANCIAL	E	Control
KESTRA INVESTMENT SERVICES, LLC	DE	KESTRA FINANCIAL	E	Control
KESTRA INVESTMENT SERVICES, LLC	DE	KESTRA FINANCIAL	E	Control
KINGFISHER HOLDING A, INC.	DE	KINGFISHER HOLDING B, INC.	E	Control
KINGFISHER HOLDING A, INC.	DE	KINGFISHER HOLDING B, INC.	E	Control
KINGFISHER HOLDING A, INC.	DE	KINGFISHER HOLDING B, INC.	E	Control
KINGFISHER HOLDING A, INC.	DE	KINGFISHER HOLDING B, INC.	E	Control
KINGFISHER HOLDING B, INC.	DE	KESTRA ADVISOR SERVICES HOLDINGS A, INC.	E	Control
KINGFISHER HOLDING B, INC.	DE	KESTRA ADVISOR SERVICES HOLDINGS A, INC.	E	Control
KINGFISHER HOLDING B, INC.	DE	KESTRA ADVISOR SERVICES HOLDINGS A, INC.	E	Control
KINGFISHER HOLDING B, INC.	DE	KESTRA ADVISOR SERVICES HOLDINGS A, INC.	E	Control
KINGFISHER HOLDING GP, LLC	DE	KINGFISHER HOLDING GP, LLC	E	Control
KINGFISHER HOLDING, L.P.	DE	KINGFISHER HOLDING A, INC.	E	Control
KINGFISHER HOLDING, L.P.	DE	KINGFISHER HOLDING A, INC.	E	Control
KINGFISHER HOLDING, L.P.	DE	KINGFISHER HOLDING A, INC.	E	Control
KINGFISHER HOLDING, L.P.	DE	KINGFISHER HOLDING A, INC.	E	Control
MINNESOTA MUTUAL COMPANIES	DE	SECURIAN HOLDING COMPANY	E	Control
MINNESOTA MUTUAL COMPANIES	DE	SECURIAN HOLDING COMPANY	E	Control
MINNESOTA MUTUAL COMPANIES	DE	SECURIAN HOLDING COMPANY	E	Control
MINNESOTA MUTUAL COMPANIES	DE	SECURIAN HOLDING COMPANY	E	Control
MINNESOTA MUTUAL COMPANIES	DE	SECURIAN HOLDING COMPANY	E	Control
MINNESOTA MUTUAL COMPANIES	DE	SECURIAN HOLDING COMPANY	E	Control
MINNESOTA MUTUAL COMPANIES	DE	SECURIAN HOLDING COMPANY	E	Control
MINNESOTA MUTUAL COMPANIES	DE	SECURIAN HOLDING COMPANY	E	Control
MINNESOTA MUTUAL COMPANIES	DE	SECURIAN HOLDING COMPANY	E	Control
MINNESOTA MUTUAL COMPANIES	DE	SECURIAN HOLDING COMPANY	E	Control
MINNESOTA MUTUAL COMPANIES	DE	SECURIAN HOLDING COMPANY	E	Control
MINNESOTA MUTUAL COMPANIES	DE	SECURIAN HOLDING COMPANY	E	Control
MINNESOTA MUTUAL COMPANIES	DE	SECURIAN HOLDING COMPANY	E	Control
MINNESOTA MUTUAL COMPANIES	DE	SECURIAN HOLDING COMPANY	E	Control
MINNESOTA MUTUAL COMPANIES	DE	SECURIAN HOLDING COMPANY	E	Control
MINNESOTA MUTUAL COMPANIES	DE	SECURIAN HOLDING COMPANY	E	Control
MINNESOTA MUTUAL COMPANIES	DE	SECURIAN HOLDING COMPANY	E	Control
MINNESOTA MUTUAL COMPANIES	DE	SECURIAN HOLDING COMPANY	E	Control
MINNESOTA MUTUAL COMPANIES	DE	SECURIAN HOLDING COMPANY	E	Control
MINNESOTA MUTUAL COMPANIES	DE	SECURIAN HOLDING COMPANY	E	Control
MINNESOTA MUTUAL COMPANIES	DE	SECURIAN HOLDING COMPANY	E	Control
MINNESOTA MUTUAL COMPANIES	DE	SECURIAN HOLDING COMPANY	E	Control
MINNESOTA MUTUAL COMPANIES	DE	SECURIAN HOLDING COMPANY	E	Control
MINNESOTA MUTUAL COMPANIES	DE	SECURIAN HOLDING COMPANY	E	Control
MINNESOTA MUTUAL COMPANIES	DE	SECURIAN HOLDING COMPANY	E	Control
MINNESOTA MUTUAL COMPANIES	DE	SECURIAN HOLDING COMPANY	E	Control
MINNESOTA MUTUAL COMPANIES	DE	SECURIAN HOLDING COMPANY	E	Control
MINNESOTA MUTUAL COMPANIES	DE	SECURIAN HOLDING COMPANY	E	Control
MINNESOTA MUTUAL COMPANIES	DE	SECURIAN HOLDING COMPANY	E	Control
MINNESOTA MUTUAL COMPANIES	DE	SECURIAN HOLDING COMPANY	E	Control
MINNESOTA MUTUAL COMPANIES	DE	SECURIAN HOLDING COMPANY	E	Control
MINNESOTA MUTUAL COMPANIES	DE	SECURIAN HOLDING COMPANY	E	Control
MINNESOTA MUTUAL COMPANIES	DE	SECURIAN HOLDING COMPANY	E	Control
MINNESOTA MUTUAL COMPANIES	DE	SECURIAN HOLDING COMPANY	E	Control
SECURIAN HOLDING COMPANY	DE	SECURIAN FINANCIAL GROUP, INC.	E	Control
SECURIAN HOLDING COMPANY	DE	SECURIAN FINANCIAL GROUP, INC.	E	Control
SECURIAN HOLDING COMPANY	DE	SECURIAN FINANCIAL GROUP, INC.	E	Control
SECURIAN HOLDING COMPANY	DE	SECURIAN FINANCIAL GROUP, INC.	E	Control
SECURIAN HOLDING COMPANY	DE	SECURIAN FINANCIAL GROUP, INC.	E	Control
SECURIAN HOLDING COMPANY	DE	SECURIAN FINANCIAL GROUP, INC.	E	Control
SECURIAN HOLDING COMPANY	DE	SECURIAN FINANCIAL GROUP, INC.	E	Control
SECURIAN HOLDING COMPANY	DE	SECURIAN FINANCIAL GROUP, INC.	E	Control
SECURIAN HOLDING COMPANY	DE	SECURIAN FINANCIAL GROUP, INC.	E	Control
SECURIAN HOLDING COMPANY	DE	SECURIAN FINANCIAL GROUP, INC.	E	Control
SECURIAN HOLDING COMPANY	DE	SECURIAN FINANCIAL GROUP, INC.	E	Control
SECURIAN HOLDING COMPANY	DE	SECURIAN FINANCIAL GROUP, INC.	E	Control
SECURIAN HOLDING COMPANY	DE	SECURIAN FINANCIAL GROUP, INC.	E	Control
SECURIAN HOLDING COMPANY	DE	SECURIAN FINANCIAL GROUP, INC.	E	Control
SECURIAN HOLDING COMPANY	DE	SECURIAN FINANCIAL GROUP, INC.	E	Control
SECURIAN HOLDING COMPANY	DE	SECURIAN FINANCIAL GROUP, INC.	E	Control
SECURIAN HOLDING COMPANY	DE	SECURIAN FINANCIAL GROUP, INC.	E	Control
SECURIAN HOLDING COMPANY	DE	SECURIAN FINANCIAL GROUP, INC.	E	Control
SECURIAN HOLDING COMPANY	DE	SECURIAN FINANCIAL GROUP, INC.	E	Control
SECURIAN HOLDING COMPANY	DE	SECURIAN FINANCIAL GROUP, INC.	E	Control
SECURIAN HOLDING COMPANY	DE	SECURIAN FINANCIAL GROUP, INC.	E	Control
SECURIAN HOLDING COMPANY	DE	SECURIAN FINANCIAL GROUP, INC.	E	Control
SECURIAN HOLDING COMPANY	DE	SECURIAN FINANCIAL GROUP, INC.	E	Control
SECURIAN HOLDING COMPANY	DE	SECURIAN FINANCIAL GROUP, INC.	E	Control
SECURIAN HOLDING COMPANY	DE	SECURIAN FINANCIAL GROUP, INC.	E	Control
SECURIAN HOLDING COMPANY	DE	SECURIAN FINANCIAL GROUP, INC.	E	Control
SECURIAN HOLDING COMPANY	DE	SECURIAN FINANCIAL GROUP, INC.	E	Control
SECURIAN HOLDING COMPANY	DE	SECURIAN FINANCIAL GROUP, INC.	E	Control
SECURIAN HOLDING COMPANY	DE	SECURIAN FINANCIAL GROUP, INC.	E	Control
SECURIAN HOLDING COMPANY	DE	SECURIAN FINANCIAL GROUP, INC.	E	Control
SECURIAN HOLDING COMPANY	DE	SECURIAN FINANCIAL GROUP, INC.	E	Control
SECURIAN HOLDING COMPANY	DE	SECURIAN FINANCIAL GROUP, INC.	E	Control
SECURIAN HOLDING COMPANY	DE	SECURIAN FINANCIAL GROUP, INC.	E	Control
SECURIAN HOLDING COMPANY	DE	SECURIAN FINANCIAL GROUP, INC.	E	Control
WARBURG PINCUS FINANCIAL SECTOR, L.P.	DE	KINGFISHER HOLDING, L.P.	C	Control
WARBURG PINCUS FINANCIAL SECTOR, L.P.	DE	KINGFISHER HOLDING, L.P.	C	Control
WARBURG PINCUS FINANCIAL SECTOR, L.P.	DE	KINGFISHER HOLDING, L.P.	C	Control
WARBURG PINCUS FINANCIAL SECTOR, L.P.	DE	KINGFISHER HOLDING, L.P.	C	Control

Registrations

Federal

Mar 25, 2021 REGISTERED

Notice Filings (50)

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Address

2440 RESEARCH BOULEVARD
SUITE 500
ROCKVILLE, MD 20850
United States

Phone: 301-944-5900