GIRARD SECURITIES, INC.
CRD #18697 SEC #801-61470 SAN DIEGO, CA 858-622-2140
SEC Registered Broker-Dealer
Total AUM
$596.8M
Discretionary
$510M
Employees
126
Clients
101
Accounts
2,658
Firm Details
- Organization Type
- Corporation
- State of Formation
- California
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Mar 31, 2017
- Branch Offices
- --
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| BALLARD, JAMES DAVID | I | VP | NA | Control |
| BALLARD, JAMES DAVID | I | VP | NA | Control |
| BALLARD, JAMES DAVID | I | VP | NA | Control |
| BALLARD, JAMES DAVID | I | VP | NA | Control |
| BALLARD, JAMES DAVID | I | VP | NA | Control |
| BARRAGAN, JOHN ARTHUR III | I | CHIEF OPERATIONS OFFICER | NA | Control |
| BARRAGAN, JOHN ARTHUR III | I | PRESIDENT/CHIEF OPERATIONS OFFICER | NA | Control |
| BARRAGAN, JOHN ARTHUR III | I | PRESIDENT/CHIEF OPERATIONS OFFICER | NA | Control |
| BARRAGAN, JOHN ARTHUR III | I | PRESIDENT/CHIEF OPERATIONS OFFICER | NA | Control |
| BARRAGAN, JOHN ARTHUR III | I | CHIEF OPERATIONS OFFICER | NA | Control |
| BARRAGAN, JOHN ARTHUR III | I | CHIEF OPERATIONS OFFICER | NA | Control |
| BARRAGAN, JOHN ARTHUR III | I | PRESIDENT/CHIEF OPERATIONS OFFICER | NA | Control |
| BARRAGAN, JOHN ARTHUR III | I | PRESIDENT/CHIEF OPERATIONS OFFICER | NA | Control |
| BARRAGAN, JOHN ARTHUR III | I | CHIEF OPERATIONS OFFICER | NA | Control |
| BARRAGAN, JOHN ARTHUR III | I | PRESIDENT/CHIEF OPERATIONS OFFICER | NA | Control |
| BARRAGAN, JOHN ARTHUR III | I | PRESIDENT/CHIEF OPERATIONS OFFICER | NA | Control |
| BARRAGAN, JOHN ARTHUR III | I | PRESIDENT/CHIEF OPERATIONS OFFICER | NA | Control |
| BARRAGAN, JOHN ARTHUR III | I | PRESIDENT/CHIEF OPERATIONS OFFICER | NA | Control |
| BARRAGAN, JOHN ARTHUR III | I | CHIEF OPERATIONS OFFICER | NA | Control |
| BARRAGAN, JOHN ARTHUR III | I | CHIEF OPERATIONS OFFICER | NA | Control |
| BARRAGAN, JOHN ARTHUR III | I | PRESIDENT/CHIEF OPERATIONS OFFICER | NA | Control |
| BARRAGAN, JOHN ARTHUR III | I | PRESIDENT/COO | NA | Control |
| BARRAGAN, JOHN ARTHUR III | I | PRESIDENT/COO | NA | Control |
| BARRAGAN, JOHN ARTHUR III | I | PRESIDENT/CHIEF OPERATIONS OFFICER | NA | Control |
| BARRAGAN, JOHN ARTHUR III | I | PRESIDENT/CHIEF OPERATIONS OFFICER | NA | Control |
| BARRAGAN, JOHN ARTHUR III | I | PRESIDENT/CHIEF OPERATIONS OFFICER | NA | Control |
| BARRAGAN, JOHN ARTHUR III | I | PRESIDENT/CHIEF OPERATIONS OFFICER | NA | Control |
| BARRAGAN, JOHN ARTHUR III | I | PRESIDENT/CHIEF OPERATIONS OFFICER | NA | Control |
| BARRAGAN, JOHN ARTHUR III | I | PRESIDENT/COO | NA | Control |
| BARRAGAN, JOHN ARTHUR III | I | PRESIDENT/COO | NA | Control |
| BARRAGAN, JOHN ARTHUR III | I | PRESIDENT/COO | NA | Control |
| BORIO, RONALD WILLIAM | I | FINOP/CFO/VP | NA | |
| BORIO, RONALD WILLIAM | I | FINOP/CFO/VP | NA | |
| BORIO, RONALD WILLIAM | I | FINOP/CFO/VP | NA | |
| BORIO, RONALD WILLIAM | I | FINOP/CFO/VP | NA | |
| BORIO, RONALD WILLIAM | I | FINOP/CFO/VP | NA | |
| BORIO, RONALD WILLIAM | I | FINOP/CFO/VP | NA | |
| BORIO, RONALD WILLIAM | I | FINOP/CFO/VP | NA | |
| BORIO, RONALD WILLIAM | I | FINOP/CFO/VP | NA | |
| BORIO, RONALD WILLIAM | I | FINOP/CFO/VP | NA | |
| BOROWSKI, LUANNE MARIE | I | RIA CHIEF COMPLIANCE OFFICER | NA | Control |
| BOROWSKI, LUANNE MARIE | I | ADVISORY CCO | NA | Control |
| BOROWSKI, LUANNE MARIE | I | ADVISORY CCO | NA | Control |
| BOROWSKI, LUANNE MARIE | I | RIA CHIEF COMPLIANCE OFFICER | NA | Control |
| BOROWSKI, LUANNE MARIE | I | RIA CHIEF COMPLIANCE OFFICER | NA | Control |
| BOROWSKI, LUANNE MARIE | I | RIA CHIEF COMPLIANCE OFFICER | NA | Control |
| BOROWSKI, LUANNE MARIE | I | ADVISORY CCO | NA | Control |
| COOK WAITMAN, CONSTANCE MILLER | I | EXECUTIVE VICE PRESIDENT/OPERATIONS | NA | Control |
| COOK WAITMAN, CONSTANCE MILLER | I | MUNICIPAL BOND PRINCIPAL | NA | Control |
| COOK WAITMAN, CONSTANCE MILLER | I | FINOP | NA | Control |
| COOK WAITMAN, CONSTANCE MILLER | I | EXECUTIVE VICE PRESIDENT/OPERATIONS | NA | Control |
| COOK WAITMAN, CONSTANCE MILLER | I | MUNICIPAL BOND PRINCIPAL | NA | Control |
| COOK WAITMAN, CONSTANCE MILLER | I | FINOP | NA | Control |
| COOK WAITMAN, CONSTANCE MILLER | I | EXECUTIVE VICE PRESIDENT/OPERATIONS | NA | Control |
| COOK WAITMAN, CONSTANCE MILLER | I | MUNICIPAL BOND PRINCIPAL | NA | Control |
| COOK WAITMAN, CONSTANCE MILLER | I | EXECUTIVE VICE PRESIDENT/OPERATIONS | NA | Control |
| COOK WAITMAN, CONSTANCE MILLER | I | MUNICIPAL BOND PRINCIPAL | NA | Control |
| COOK WAITMAN, CONSTANCE MILLER | I | EXECUTIVE VICE PRESIDENT/OPERATIONS | NA | Control |
| COOK WAITMAN, CONSTANCE MILLER | I | MUNICIPAL BOND PRINCIPAL | NA | Control |
| COOK WAITMAN, CONSTANCE MILLER | I | EXECUTIVE VICE PRESIDENT/OPERATIONS | NA | Control |
| COOK WAITMAN, CONSTANCE MILLER | I | MUNICIPAL BOND PRINCIPAL | NA | Control |
| COOK WAITMAN, CONSTANCE MILLER | I | EXECUTIVE VICE PRESIDENT/OPERATIONS | NA | Control |
| COOK WAITMAN, CONSTANCE MILLER | I | MUNICIPAL BOND PRINCIPAL | NA | Control |
| COOK WAITMAN, CONSTANCE MILLER | I | EXECUTIVE VICE PRESIDENT/OPERATIONS | NA | Control |
| COOK WAITMAN, CONSTANCE MILLER | I | MUNICIPAL BOND PRINCIPAL | NA | Control |
| COOK WAITMAN, CONSTANCE MILLER | I | EXECUTIVE VICE PRESIDENT/OPERATIONS | NA | Control |
| COOK WAITMAN, CONSTANCE MILLER | I | MUNICIPAL BOND PRINCIPAL | NA | Control |
| COOK WAITMAN, CONSTANCE MILLER | I | EXECUTIVE VICE PRESIDENT/OPERATIONS | NA | Control |
| COOK WAITMAN, CONSTANCE MILLER | I | MUNICIPAL BOND PRINCIPAL | NA | Control |
| COOK WAITMAN, CONSTANCE MILLER | I | EXECUTIVE VICE PRESIDENT/OPERATIONS | NA | Control |
| COOK WAITMAN, CONSTANCE MILLER | I | MUNICIPAL BOND PRINCIPAL | NA | Control |
| COOK WAITMAN, CONSTANCE MILLER | I | EXECUTIVE VICE PRESIDENT/OPERATIONS | NA | Control |
| COOK WAITMAN, CONSTANCE MILLER | I | MUNICIPAL BOND PRINCIPAL | NA | Control |
| COOK WAITMAN, CONSTANCE MILLER | I | EXECUTIVE VICE PRESIDENT/OPERATIONS | NA | Control |
| COOK WAITMAN, CONSTANCE MILLER | I | MUNICIPAL BOND PRINCIPAL | NA | Control |
| COOK WAITMAN, CONSTANCE MILLER | I | EXECUTIVE VICE PRESIDENT/OPERATIONS | NA | Control |
| COOK WAITMAN, CONSTANCE MILLER | I | MUNICIPAL BOND PRINCIPAL | NA | Control |
| ERNO, JENNY JEAN | I | MUNICIPAL BOND PRINCIPAL | NA | |
| ERNO, JENNY JEAN | I | MUNICIPAL BOND PRINCIPAL | NA | |
| ERNO, JENNY JEAN | I | MUNICIPAL BOND PRINCIPAL | NA | |
| ERNO, JENNY JEAN | I | MUNICIPAL BOND PRINCIPAL | NA | |
| ERNO, JENNY JEAN | I | MUNICIPAL BOND PRINCIPAL | NA | |
| ERNO, JENNY JEAN | I | MUNICIPAL BOND PRINCIPAL | NA | |
| ERNO, JENNY JEAN | I | MUNICIPAL BOND PRINCIPAL | NA | |
| ERNO, JENNY JEAN | I | MUNICIPAL BOND PRINCIPAL | NA | Control |
| ERNO, JENNY JEAN | I | MUNICIPAL BOND PRINCIPAL | NA | |
| ERNO, JENNY JEAN | I | MUNICIPAL BOND PRINCIPAL | NA | |
| FICHERA, DANTE | I | FINOP | NA | Control |
| FICHERA, DANTE | I | FINOP | NA | Control |
| GALARPE, GARY CHRISTOPHER | I | MUNICIPAL BOND PRINCIPAL | NA | Control |
| GALARPE, GARY CHRISTOPHER | I | MUNICIPAL BOND PRINCIPAL | NA | Control |
| GALARPE, GARY CHRISTOPHER | I | MUNICIPAL BOND PRINCIPAL | NA | Control |
| GALARPE, GARY CHRISTOPHER | I | MUNICIPAL BOND PRINCIPAL | NA | Control |
| GALARPE, GARY CHRISTOPHER | I | MUNICIPAL BOND PRINCIPAL | NA | Control |
| GODDARD, HOUSTON ALLEN | I | GENERAL COUNSEL/SROP/CHIEF COMPLIANCE OFFICER | NA | |
| GODDARD, HOUSTON ALLEN | I | GENERAL COUNSEL/SROP/CHIEF COMPLIANCE OFFICER | NA | |
| GODDARD, HOUSTON ALLEN | I | GENERAL COUNSEL/SROP/CHIEF COMPLIANCE OFFICER | NA | |
| GODDARD, HOUSTON ALLEN | I | GENERAL COUNSEL/CHIEF COMPLIANCE OFFICER | NA | Control |
| GODDARD, HOUSTON ALLEN | I | GENERAL COUNSEL/CHIEF COMPLIANCE OFFICER | NA | Control |
| GODDARD, HOUSTON ALLEN | I | GENERAL COUNSEL/CHIEF COMPLIANCE OFFICER | NA | Control |
| GODDARD, HOUSTON ALLEN | I | GENERAL COUNSEL/SROP | NA | |
| GODDARD, HOUSTON ALLEN | I | GENERAL COUNSEL/SROP | NA | |
| GODDARD, HOUSTON ALLEN | I | GENERAL COUNSEL/SROP | NA | |
| GODDARD, HOUSTON ALLEN | I | GENERAL COUNSEL/CHIEF COMPLIANCE OFFICER | NA | Control |
| GODDARD, HOUSTON ALLEN | I | GENERAL COUNSEL/CHIEF COMPLIANCE OFFICER | NA | Control |
| GODDARD, HOUSTON ALLEN | I | GENERAL COUNSEL/CHIEF COMPLIANCE OFFICER | NA | Control |
| GODDARD, HOUSTON ALLEN | I | GENERAL COUNSEL/CHIEF COMPLIANCE OFFICER | NA | Control |
| GODDARD, HOUSTON ALLEN | I | GENERAL COUNSEL/CHIEF COMPLIANCE OFFICER | NA | Control |
| GODDARD, HOUSTON ALLEN | I | GENERAL COUNSEL/CCO/SROP | NA | |
| GODDARD, HOUSTON ALLEN | I | GENERAL COUNSEL/CCO/SROP | NA | |
| GODDARD, HOUSTON ALLEN | I | GENERAL COUNSEL/CCO/SROP | NA | |
| GODDARD, HOUSTON ALLEN | I | GENERAL COUNSEL/CROP/CHIEF COMPLIANCE OFFICER | NA | |
| GODDARD, HOUSTON ALLEN | I | GENERAL COUNSEL/CROP/CHIEF COMPLIANCE OFFICER | NA | |
| GODDARD, HOUSTON ALLEN | I | GENERAL COUNSEL/SROP | NA | |
| GODDARD, HOUSTON ALLEN | I | GENERAL COUNSEL/CHIEF COMPLIANCE OFFICER | NA | Control |
| GODDARD, HOUSTON ALLEN | I | GENERAL COUNSEL/CCO/SROP | NA | |
| GODDARD, HOUSTON ALLEN | I | GENERAL COUNSEL/CHIEF COMPLIANCE OFFICER | NA | Control |
| GODDARD, HOUSTON ALLEN | I | GENERAL COUNSEL/CHIEF COMPLIANCE OFFICER | NA | Control |
| GODDARD, HOUSTON ALLEN | I | GENERAL COUNSEL/CHIEF COMPLIANCE OFFICER | NA | Control |
| GRAHAM, LUANNE MARIE | I | ADVISORY CCO | NA | Control |
| GRAHAM, LUANNE MARIE | I | ADVISORY CCO | NA | Control |
| HARRISON, BRETT LAMAR | I | DIRECTOR | NA | Control |
| HARRISON, BRETT LAMAR | I | DIRECTOR | NA | Control |
| HARRISON, BRETT LAMAR | I | DIRECTOR | NA | Control |
| HARRISON, BRETT LAMAR | I | DIRECTOR | NA | Control |
| HARRISON, BRETT LAMAR | I | DIRECTOR | NA | Control |
| HINCK, KATHERINE SUE | I | CHIEF COMPLIANCE OFFICER | NA | |
| HINCK, KATHERINE SUE | I | CHIEF COMPLIANCE OFFICER | NA | |
| HINCK, KATHERINE SUE | I | CHIEF COMPLIANCE OFFICER | NA | |
| HINCK, KATHERINE SUE | I | CHIEF COMPLIANCE OFFICER | NA | |
| JACOBSEN, BRYAN K | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| JACOBSEN, BRYAN K | I | B-D CCO, SECRETARY | NA | Control |
| JACOBSEN, BRYAN K | I | B-D CCO, SECRETARY | 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 | B-D CCO, SECRETARY | NA | Control |
| JACOBSEN, BRYAN K | I | B-D CCO, SECRETARY | NA | Control |
| JACOBSEN, BRYAN K | I | B-D CCO, SECRETARY | NA | Control |
| JOHNSTON, KENNETH MERLE JR | I | PRESIDENT/CEO | NA | Control |
| JOHNSTON, KENNETH MERLE JR | I | PRESIDENT/CEO | NA | Control |
| JOHNSTON, KENNETH MERLE JR | I | PRESIDENT/CEO | NA | Control |
| JOHNSTON, KENNETH MERLE JR | I | PRESIDENT/CEO | NA | Control |
| JOHNSTON, KENNETH MERLE JR | I | PRESIDENT/CEO | NA | Control |
| JOHNSTON, KENNETH MERLE JR | I | PRESIDENT/CEO | NA | Control |
| JOHNSTON, KENNETH MERLE JR | I | PRESIDENT/CEO | NA | Control |
| JOHNSTON, KENNETH MERLE JR | I | PRESIDENT/CEO | NA | Control |
| JOHNSTON, KENNETH MERLE JR | I | PRESIDENT/CEO | NA | Control |
| JOHNSTON, KENNETH MERLE JR | I | PRESIDENT/CEO | NA | Control |
| JOHNSTON, KENNETH MERLE JR | I | PRESIDENT/CEO | NA | Control |
| KLICMAN, SHIRLEY ANNE | I | FINOP | NA | Control |
| KLICMAN, SHIRLEY ANNE | I | FINOP | NA | Control |
| KLICMAN, SHIRLEY ANNE | I | FINOP | NA | Control |
| KLICMAN, SHIRLEY ANNE | I | FINOP | NA | Control |
| KLICMAN, SHIRLEY ANNE | I | FINOP | NA | Control |
| KLICMAN, SHIRLEY ANNE | I | FINOP | NA | Control |
| KLICMAN, SHIRLEY ANNE | I | FINOP | NA | Control |
| KLICMAN, SHIRLEY ANNE | I | FINOP | NA | Control |
| KLICMAN, SHIRLEY ANNE | I | FINOP | NA | Control |
| KLICMAN, SHIRLEY ANNE | I | FINOP | NA | Control |
| KLICMAN, SHIRLEY ANNE | I | FINOP | NA | Control |
| KLICMAN, SHIRLEY ANNE | I | FINOP | NA | Control |
| KLICMAN, SHIRLEY ANNE | I | FINOP | NA | Control |
| KLICMAN, SHIRLEY ANNE | I | FINOP | NA | Control |
| KLICMAN, SHIRLEY ANNE | I | FINOP | NA | Control |
| KLICMAN, SHIRLEY ANNE | I | FINOP | NA | Control |
| KLICMAN, SHIRLEY ANNE | I | FINOP | NA | Control |
| KLICMAN, SHIRLEY ANNE | I | FINOP | NA | Control |
| KLICMAN, SHIRLEY ANNE | I | FINOP | NA | Control |
| KLICMAN, SHIRLEY ANNE | I | FINOP | NA | Control |
| KLICMAN, SHIRLEY ANNE | I | FINOP | NA | Control |
| KLICMAN, SHIRLEY ANNE | I | FINOP | NA | Control |
| KLICMAN, SHIRLEY ANNE | I | FINOP | NA | Control |
| KLICMAN, SHIRLEY ANNE | I | FINOP | NA | Control |
| KLICMAN, SHIRLEY ANNE | I | FINOP | NA | Control |
| KLICMAN, SHIRLEY ANNE | I | FINOP | NA | Control |
| KLICMAN, SHIRLEY ANNE | I | FINOP | NA | Control |
| KLICMAN, SHIRLEY ANNE | I | FINOP | NA | Control |
| KLICMAN, SHIRLEY ANNE | I | FINOP | NA | Control |
| KLICMAN, SHIRLEY ANNE | I | VP | NA | Control |
| KLICMAN, SHIRLEY ANNE | I | VP | NA | Control |
| KLICMAN, SHIRLEY ANNE | I | FINOP | NA | Control |
| KLICMAN, SHIRLEY ANNE | I | FINOP | NA | Control |
| KLICMAN, SHIRLEY ANNE | I | FINOP | NA | Control |
| KLICMAN, SHIRLEY ANNE | I | FINOP | NA | Control |
| KLICMAN, SHIRLEY ANNE | I | FINOP | NA | Control |
| KLICMAN, SHIRLEY ANNE | I | VP | NA | Control |
| KLICMAN, SHIRLEY ANNE | I | VP | NA | Control |
| KLICMAN, SHIRLEY ANNE | I | VP | NA | Control |
| KUHLMAN, PATTI ANN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| KUHLMAN, PATTI ANN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| KUHLMAN, PATTI ANN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| KUHLMAN, PATTI ANN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| KUHLMAN, PATTI ANN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| KUHLMAN, PATTI ANN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| KUHLMAN, PATTI ANN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| KUHLMAN, PATTI ANN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| KUHLMAN, PATTI ANN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| KUHLMAN, PATTI ANN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| KUHLMAN, PATTI ANN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| KUHLMAN, PATTI ANN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| KUHLMAN, PATTI ANN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| KUHLMAN, PATTI ANN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| KUHLMAN, PATTI ANN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| KUHLMAN, PATTI ANN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| LARICCIA, GREGORY LEONARD | I | SROP | NA | |
| LARICCIA, GREGORY LEONARD | I | SROP | NA | |
| LUKEHART, JILL ANN | I | CROP | NA | |
| LUKEHART, JILL ANN | I | CROP | NA | |
| LUKEHART, JILL ANN | I | CROP | NA | |
| LUKEHART, JILL ANN | I | CROP | NA | |
| LUKEHART, JILL ANN | I | CROP | NA | |
| LUKEHART, JILL ANN | I | CROP | NA | |
| LUKEHART, JILL ANN | I | CROP | NA | |
| LUKEHART, JILL ANN | I | CROP | NA | |
| LUKEHART, JILL ANN | I | CROP | NA | |
| LUKEHART, JILL ANN | I | CROP | NA | |
| LUKEHART, JILL ANN | I | CROP | NA | |
| OLSON, GREGORY ALAN | I | ASST. SECRETARY | NA | Control |
| OLSON, GREGORY ALAN | I | ASST. SECRETARY | NA | Control |
| OLSON, GREGORY ALAN | I | ASST. SECRETARY | NA | Control |
| OLSON, GREGORY ALAN | I | ASST. SECRETARY | NA | Control |
| OLSON, GREGORY ALAN | I | ASST. SECRETARY | NA | Control |
| ROGERS, JASON DYLAN | I | SENIOR EXECUTIVE VICE PRESIDENT | NA | Control |
| ROGERS, JASON DYLAN | I | SENIOR EXECUTIVE VICE PRESIDENT | NA | Control |
| ROGERS, JASON DYLAN | I | SENIOR EXECUTIVE VICE PRESIDENT | NA | Control |
| ROGERS, JASON DYLAN | I | SENIOR EXECUTIVE VICE PRESIDENT | NA | Control |
| ROGERS, JASON DYLAN | I | SENIOR EXECUTIVE VICE PRESIDENT | NA | Control |
| ROGERS, JASON DYLAN | I | SENIOR EXECUTIVE VICE PRESIDENT | NA | Control |
| ROGERS, JASON DYLAN | I | SENIOR EXECUTIVE VICE PRESIDENT | NA | Control |
| ROGERS, JASON DYLAN | I | SENIOR EXECUTIVE VICE PRESIDENT | NA | Control |
| ROGERS, JASON DYLAN | I | SENIOR EXECUTIVE VICE PRESIDENT | NA | Control |
| ROGERS, JASON DYLAN | I | SENIOR EXECUTIVE VICE PRESIDENT | NA | Control |
| ROGERS, JASON DYLAN | I | SENIOR EXECUTIVE VP | NA | Control |
| ROGERS, JASON DYLAN | I | SENIOR EXECUTIVE VP | NA | Control |
| ROGERS, JASON DYLAN | I | SENIOR EXECUTIVE VICE PRESIDENT | NA | Control |
| ROGERS, JASON DYLAN | I | SENIOR EXECUTIVE VICE PRESIDENT | NA | Control |
| ROGERS, JASON DYLAN | I | SENIOR EXECUTIVE VICE PRESIDENT | NA | Control |
| ROGERS, JASON DYLAN | I | SENIOR EXECUTIVE VICE PRESIDENT | NA | Control |
| ROGERS, JASON DYLAN | I | SENIOR EXECUTIVE VICE PRESIDENT | NA | Control |
| ROGERS, JASON DYLAN | I | SENIOR EXECUTIVE VP | NA | Control |
| ROGERS, JASON DYLAN | I | SENIOR EXECUTIVE VP | NA | Control |
| ROGERS, JASON DYLAN | I | SENIOR EXECUTIVE VP | NA | Control |
| ROTH, RALPH LAWRENCE | I | DIRECTOR | NA | Control |
| SHERROD, TRACI LYNN | I | MUNICIPAL BOND PRINCIPAL/AVP ENTERPRISE RISK MANAGEMENT/OSJ SUPERVISION | NA | |
| SHERROD, TRACI LYNN | I | MUNICIPAL BOND PRINCIPAL/AVP ENTERPRISE RISK MANAGEMENT/OSJ SUPERVISION | NA | |
| SHERROD, TRACI LYNN | I | MUNICIPAL BOND PRINCIPAL/AVP ENTERPRISE RISK MANAGEMENT/OSJ SUPERVISION | NA | |
| SHERROD, TRACI LYNN | I | MUNICIPAL BOND PRINCIPAL/AVP ENTERPRISE RISK MANAGEMENT/OSJ SUPERVISION | NA | |
| SHERROD, TRACI LYNN | I | MUNICIPAL BOND PRINCIPAL/AVP ENTERPRISE RISK MANAGEMENT/OSJ SUPERVISION | NA | |
| SHERROD, TRACI LYNN | I | MUNICIPAL BOND PRINCIPAL/AVP ENTERPRISE RISK MANAGEMENT/OSJ SUPERVISION | NA | |
| SHERROD, TRACI LYNN | I | MUNICIPAL BOND PRINCIPAL/AVP ENTERPRISE RISK MANAGEMENT/OSJ SUPERVISION | NA | |
| SHERROD, TRACI LYNN | I | MUNICIPAL BOND PRINCIPAL/AVP ENTERPRISE RISK MANAGEMENT/OSJ SUPERVISION | NA | |
| SHERROD, TRACI LYNN | I | MUNICIPAL BOND PRINCIPAL/AVP ENTERPRISE RISK MANAGEMENT/OSJ SUPERVISION | NA | |
| SHERROD, TRACI LYNN | I | MUNICIPAL BOND PRINCIPAL/AVP ENTERPRISE RISK MANAGEMENT/OSJ SUPERVISION | NA | |
| SHERROD, TRACI LYNN | I | MUNICIPAL BOND PRINCIPAL/AVP ENTERPRISE RISK MANAGEMENT/OSJ SUPERVISION | NA | |
| SHERROD, TRACI LYNN | I | MUNICIPAL BOND PRINCIPAL/AVP ENTERPRISE RISK MANAGEMENT/OSJ SUPERVISION | NA | |
| SHERROD, TRACI LYNN | I | AVP | NA | |
| SHERROD, TRACI LYNN | I | AVP | NA | |
| SHERROD, TRACI LYNN | I | MUNICIPAL BOND PRINCIPAL/AVP ENTERPRISE RISK MANAGEMENT/OSJ SUPERVISION | NA | |
| SHERROD, TRACI LYNN | I | MUNICIPAL BOND PRINCIPAL/AVP ENTERPRISE RISK MANAGEMENT/OSJ SUPERVISION | NA | |
| SHERROD, TRACI LYNN | I | MUNICIPAL BOND PRINCIPAL/AVP ENTERPRISE RISK MANAGEMENT/OSJ SUPERVISION | NA | |
| SHERROD, TRACI LYNN | I | MUNICIPAL BOND PRINCIPAL/AVP ENTERPRISE RISK MANAGEMENT/OSJ SUPERVISION | NA | |
| SHERROD, TRACI LYNN | I | MUNICIPAL BOND PRINCIPAL/AVP ENTERPRISE RISK MANAGEMENT/OSJ SUPERVISION | NA | |
| SHERROD, TRACI LYNN | I | AVP | NA | |
| SHERROD, TRACI LYNN | I | AVP | NA | |
| SHERROD, TRACI LYNN | I | AVP | NA | |
| SMILEY, STANLEY ROBERT | I | VP | NA | Control |
| SMILEY, STANLEY ROBERT | I | VP | NA | Control |
| SMILEY, STANLEY ROBERT | I | VP | NA | Control |
| SMILEY, STANLEY ROBERT | I | VP | NA | Control |
| SMILEY, STANLEY ROBERT | I | VP | NA | Control |
| TARPY, TRACI LYNN | I | MUNICIPAL BOND PRINCIPAL/AVP ENTERPRISE RISK MANAGEMENT/OSJ SUPERVISION | NA | |
| TARPY, TRACI LYNN | I | MUNICIPAL BOND PRINCIPAL/AVP ENTERPRISE RISK MANAGEMENT/OSJ SUPERVISION | NA | |
| TARRA, SCOTT PATRICK | I | FINOP | NA | |
| TARRA, SCOTT PATRICK | I | FINOP | NA | |
| TIETJEN, MARGARET SUSAN | I | EXECUTIVE VICE PRESIDENT/BRANCH DEVELOPMENT & MARKETING | NA | Control |
| TIETJEN, MARGARET SUSAN | I | EXECUTIVE VICE PRESIDENT/BRANCH DEVELOPMENT & MARKETING | NA | Control |
| TIETJEN, MARGARET SUSAN | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| TIETJEN, MARGARET SUSAN | I | CHIEF EXECUTIVE OFFICER/PRESIDENT | NA | Control |
| TIETJEN, MARGARET SUSAN | I | OWNER | NA | Control |
| TIETJEN, MARGARET SUSAN | I | CHIEF EXECUTIVE OFFICER/PRESIDENT | NA | Control |
| TIETJEN, MARGARET SUSAN | I | OWNER | NA | Control |
| TIETJEN, MARGARET SUSAN | I | CHIEF EXECUTIVE OFFICER/PRESIDENT | NA | Control |
| TIETJEN, MARGARET SUSAN | I | OWNER | NA | Control |
| TIETJEN, MARGARET SUSAN | I | CHIEF EXECUTIVE OFFICER/PRESIDENT | NA | Control |
| TIETJEN, MARGARET SUSAN | I | OWNER | NA | Control |
| TIETJEN, MARGARET SUSAN | I | CHIEF EXECUTIVE OFFICER/PRESIDENT | NA | Control |
| TIETJEN, MARGARET SUSAN | I | OWNER | NA | Control |
| TIETJEN, MARGARET SUSAN | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| TIETJEN, MARGARET SUSAN | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| TIETJEN, MARGARET SUSAN | I | CHIEF EXECUTIVE OFFICER/PRESIDENT | NA | Control |
| TIETJEN, MARGARET SUSAN | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| TIETJEN, MARGARET SUSAN | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| TIETJEN, MARGARET SUSAN | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| TIETJEN, MARGARET SUSAN | I | CHIEF EXECUTIVE OFFICER/PRESIDENT | NA | Control |
| TIETJEN, MARGARET SUSAN | I | CHIEF EXECUTIVE OFFICER/PRESIDENT | NA | Control |
| TIETJEN, MARGARET SUSAN | I | CHIEF EXECUTIVE OFFICER/CHAIRMAN | NA | Control |
| TIETJEN, MARGARET SUSAN | I | CHIEF EXECUTIVE OFFICER/CHAIRMAN | NA | Control |
| TIETJEN, MARGARET SUSAN | I | CHIEF EXECUTIVE OFFICER/PRESIDENT | NA | Control |
| TIETJEN, MARGARET SUSAN | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| TIETJEN, MARGARET SUSAN | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| TIETJEN, MARGARET SUSAN | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| TIETJEN, MARGARET SUSAN | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| TIETJEN, MARGARET SUSAN | I | CHIEF EXECUTIVE OFFICER/PRESIDENT | NA | Control |
| TIETJEN, MARGARET SUSAN | I | CHIEF EXECUTIVE OFFICER/PRESIDENT | NA | Control |
| TIETJEN, MARGARET SUSAN | I | OWNER | NA | Control |
| TIETJEN, MARGARET SUSAN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| TIETJEN, MARGARET SUSAN | I | CHIEF EXECUTIVE OFFICER/PRESIDENT | NA | Control |
| TIETJEN, MARGARET SUSAN | I | OWNER | NA | Control |
| TIETJEN, MARGARET SUSAN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| TIETJEN, MARGARET SUSAN | I | CHIEF EXECUTIVE OFFICER/PRESIDENT | NA | Control |
| TIETJEN, MARGARET SUSAN | I | OWNER | NA | Control |
| TIETJEN, MARGARET SUSAN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| TIETJEN, MARGARET SUSAN | I | CHIEF EXECUTIVE OFFICER/PRESIDENT | NA | Control |
| TIETJEN, MARGARET SUSAN | I | CHIEF EXECUTIVE OFFICER/PRESIDENT | NA | Control |
| TIETJEN, MARGARET SUSAN | I | OWNER | NA | Control |
| TIETJEN, MARGARET SUSAN | I | CHIEF EXECUTIVE OFFICER/PRESIDENT | NA | Control |
| TIETJEN, MARGARET SUSAN | I | OWNER | NA | Control |
| TIETJEN, MARGARET SUSAN | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| TIETJEN, MARGARET SUSAN | I | CHIEF EXECUTIVE OFFICER/ DIRECTOR | NA | Control |
| TIETJEN, MARGARET SUSAN | I | CHIEF EXECUTIVE OFFICER/ DIRECTOR | NA | Control |
| TIETJEN, MARGARET SUSAN | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| TIETJEN, MARGARET SUSAN | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| TIETJEN, MARGARET SUSAN | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| TIETJEN, MARGARET SUSAN | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| TIETJEN, MARGARET SUSAN | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| TIETJEN, MARGARET SUSAN | I | CHIEF EXECUTIVE OFFICER/ DIRECTOR | NA | Control |
| TIETJEN, MARGARET SUSAN | I | CHIEF EXECUTIVE OFFICER/ DIRECTOR | NA | Control |
| TIETJEN, MARGARET SUSAN | I | CHIEF EXECUTIVE OFFICER/ DIRECTOR | NA | Control |
| WOLTMAN, KAYE ALYCIA | I | SUCCESSOR TRUSTEE | NA | Control |
| WOLTMAN, KAYE ALYCIA | I | VICE CHAIRMAN | NA | Control |
| WOLTMAN, KAYE ALYCIA | I | MUNICIPAL BOND PRINCIPAL | NA | Control |
| WOLTMAN, KAYE ALYCIA | I | SUCCESSOR TRUSTEE | NA | Control |
| WOLTMAN, KAYE ALYCIA | I | VICE CHAIRMAN | NA | Control |
| WOLTMAN, MARGARET SUSAN | I | EXECUTIVE VICE PRESIDENT/COO | NA | Control |
| WOLTMAN, MARGARET SUSAN | I | EXECUTIVE VICE PRESIDENT/COO | NA | Control |
| WOLTMAN, MARGARET SUSAN | I | EXECUTIVE VICE PRESIDENT/COO | NA | Control |
| WOLTMAN, MARGARET SUSAN | I | EXECUTIVE VICE PRESIDENT/COO | NA | Control |
| WOLTMAN, MARGARET SUSAN | I | EXECUTIVE VICE PRESIDENT/COO | NA | Control |
| WOLTMAN, MARGARET SUSAN | I | EXECUTIVE VICE PRESIDENT/COO | NA | Control |
| WOLTMAN, MARGARET SUSAN | I | EXECUTIVE VICE PRESIDENT/COO | NA | Control |
| WOLTMAN, MARGARET SUSAN | I | EXECUTIVE VICE PRESIDENT/COO | NA | Control |
| WOLTMAN, MARGARET SUSAN | I | EXECUTIVE VICE PRESIDENT/COO | NA | Control |
| WOLTMAN, MARGARET SUSAN | I | EXECUTIVE VICE PRESIDENT/BRANCH DEVELOPMENT & MARKETING | NA | Control |
| WOLTMAN, MARGARET SUSAN | I | EXECUTIVE VICE PRESIDENT/BRANCH DEVELOPMENT & MARKETING | NA | Control |
| WOLTMAN, MARGARET SUSAN | I | EXECUTIVE VICE PRESIDENT/COO | NA | Control |
| WOLTMAN, MARGARET SUSAN | I | EXECUTIVE VICE PRESIDENT/COO | NA | Control |
| WOLTMAN, RICHARD PAUL | I | CHAIRMAN | NA | Control |
| WOLTMAN, RICHARD PAUL | I | CHAIRMAN | NA | Control |
| WOLTMAN, RICHARD PAUL | I | CHAIRMAN | NA | Control |
| WOLTMAN, RICHARD PAUL | I | CHAIRMAN | NA | Control |
| WOLTMAN, RICHARD PAUL | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| WOLTMAN, RICHARD PAUL | I | CHAIRMAN | NA | Control |
| WOLTMAN, RICHARD PAUL | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| WOLTMAN, RICHARD PAUL | I | CHAIRMAN | NA | Control |
| WOLTMAN, RICHARD PAUL | I | CHAIRMAN | NA | Control |
| WOLTMAN, RICHARD PAUL | I | CHAIRMAN | NA | Control |
| WOLTMAN, RICHARD PAUL | I | CHAIRMAN | NA | Control |
| WOLTMAN, RICHARD PAUL | I | CHAIRMAN | NA | Control |
| WOLTMAN, RICHARD PAUL | I | CHAIRMAN | NA | Control |
| WOLTMAN, RICHARD PAUL | I | CHAIRMAN | NA | Control |
| WOLTMAN, RICHARD PAUL | I | CHAIRMAN | NA | Control |
| WOLTMAN, RICHARD PAUL | I | CHAIRMAN | NA | Control |
| WOLTMAN, RICHARD PAUL | I | CHAIRMAN | NA | Control |
| WOLTMAN, RICHARD PAUL | I | CHAIRMAN | NA | Control |
| WOLTMAN, RICHARD PAUL | I | CHAIRMAN | NA | Control |
| WOLTMAN, RICHARD PAUL | I | CHAIRMAN | NA | Control |
| WOLTMAN, RICHARD PAUL | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| WOLTMAN, RICHARD PAUL | I | CHAIRMAN | NA | Control |
| WOLTMAN, RICHARD PAUL | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| WOLTMAN, RICHARD PAUL | I | CHAIRMAN | NA | Control |
| WOLTMAN, RICHARD PAUL | I | CHAIRMAN | NA | Control |
| WOLTMAN, RICHARD PAUL | I | CHAIRMAN | NA | Control |
| WOLTMAN, RICHARD PAUL | I | CHAIRMAN | NA | Control |
| WOLTMAN, RICHARD PAUL | I | CHAIRMAN/TRUSTEE | NA | Control |
| WOLTMAN, RICHARD PAUL | I | CHAIRMAN/TRUSTEE | NA | Control |
| WOLTMAN, RICHARD PAUL | I | CHAIRMAN/TRUSTEE | NA | Control |
| WOLTMAN, RICHARD PAUL | I | CHAIRMAN EMERITUS /TRUSTEE | NA | Control |
| WOLTMAN, RICHARD PAUL | I | CHAIRMAN EMERITUS /TRUSTEE | NA | Control |
| WOLTMAN, RICHARD PAUL | I | CHAIRMAN/TRUSTEE | NA | Control |
| WOLTMAN, RICHARD PAUL | I | CHAIRMAN/TRUSTEE | NA | Control |
| WOLTMAN, RICHARD PAUL | I | CHAIRMAN | NA | Control |
| WOLTMAN, RICHARD PAUL | I | TTE, RICHARD P. WOLTMAN TRUST UTA DTD JANUARY 10, 2008 & THE WOLTMAN FAMILY TRUST UTA 92-1998 | NA | Control |
| WOLTMAN, RICHARD PAUL | I | CHAIRMAN | NA | Control |
| WOLTMAN, RICHARD PAUL | I | TTE, RICHARD P. WOLTMAN TRUST UTA DTD JANUARY 10, 2008 & THE WOLTMAN FAMILY TRUST UTA 92-1998 | NA | Control |
| WOLTMAN, RICHARD PAUL | I | CHAIRMAN | NA | Control |
| WOLTMAN, RICHARD PAUL | I | TTE, RICHARD P. WOLTMAN TRUST UTA DTD JANUARY 10, 2008 & THE WOLTMAN FAMILY TRUST UTA 92-1998 | NA | Control |
| WOLTMAN, RICHARD PAUL | I | CHAIRMAN/TRUSTEE | NA | Control |
| WOLTMAN, RICHARD PAUL | I | CHAIRMAN | NA | Control |
| WOLTMAN, RICHARD PAUL | I | CHAIRMAN | NA | Control |
| CHARGERS ACQUISITION LLC | DE | SHAREHOLDER | E | Control |
| CHARGERS ACQUISITION LLC | DE | SHAREHOLDER | E | Control |
| CHARGERS ACQUISITION LLC | DE | SHAREHOLDER | E | Control |
| CHARGERS ACQUISITION LLC | DE | SHAREHOLDER | E | Control |
| CHARGERS ACQUISITION LLC | DE | SHAREHOLDER | E | Control |
| CHARGERS ACQUISITION LLC | DE | SHAREHOLDER | E | Control |
| CHARGERS ACQUISITION LLC | DE | SHAREHOLDER | E | Control |
| CHARGERS ACQUISITION LLC | DE | SHAREHOLDER | E | Control |
| CHARGERS ACQUISITION LLC | DE | SHAREHOLDER | E | Control |
| MELISA MCGUIRE TRUST DATED 12/19/2002 | DE | OWNER | E | |
| MELISA MCGUIRE TRUST DATED 12/19/2002 | DE | OWNER | E | |
| RCS CAPITAL CORPORATION | DE | SHAREHOLDER | E | Control |
| RCS CAPITAL HOLDINGS, LLC | DE | SOLE MEMBER | E | Control |
| RCS CAPITAL HOLDINGS, LLC | DE | SOLE MEMBER | E | Control |
| RCS CAPITAL HOLDINGS, LLC | DE | SOLE MEMBER | E | Control |
| RCS CAPITAL HOLDINGS, LLC | DE | SOLE MEMBER | E | Control |
| RCS CAPITAL HOLDINGS, LLC | DE | SOLE MEMBER | E | Control |
| RCS CAPITAL HOLDINGS, LLC | DE | SOLE MEMBER | E | Control |
| RCS CAPITAL HOLDINGS, LLC | DE | SOLE MEMBER | E | Control |
| RCS CAPITAL HOLDINGS, LLC | DE | SOLE MEMBER | E | Control |
| RCS CAPITAL HOLDINGS, LLC | DE | SOLE MEMBER | E | Control |
| WOLTMAN, KAYE ALYCIA | I | OWNER | E | Control |
| WOLTMAN, KAYE ALYCIA | I | VICE CHAIRMAN | E | Control |
| WOLTMAN, KAYE ALYCIA | I | OWNER | E | Control |
| WOLTMAN, KAYE ALYCIA | I | VICE CHAIRMAN | E | Control |
| WOLTMAN, KAYE ALYCIA | I | OWNER | E | Control |
| WOLTMAN, KAYE ALYCIA | I | VICE CHAIRMAN | E | Control |
| WOLTMAN, KAYE ALYCIA | I | OWNER | E | Control |
| WOLTMAN, KAYE ALYCIA | I | VICE CHAIRMAN | E | Control |
| WOLTMAN, KAYE ALYCIA | I | PRESIDENT | E | Control |
| WOLTMAN, KAYE ALYCIA | I | OWNER | E | Control |
| WOLTMAN, KAYE ALYCIA | I | VICE CHAIRMAN | E | Control |
| WOLTMAN, KAYE ALYCIA | I | PRESIDENT | E | Control |
| WOLTMAN, KAYE ALYCIA | I | OWNER | E | Control |
| WOLTMAN, KAYE ALYCIA | I | VICE CHAIRMAN | E | Control |
| WOLTMAN, KAYE ALYCIA | I | PRESIDENT | E | Control |
| WOLTMAN, KAYE ALYCIA | I | OWNER | E | Control |
| WOLTMAN, KAYE ALYCIA | I | VICE CHAIRMAN | E | Control |
| WOLTMAN, KAYE ALYCIA | I | OWNER | E | Control |
| WOLTMAN, KAYE ALYCIA | I | VICE CHAIRMAN | E | Control |
| WOLTMAN, KAYE ALYCIA | I | OWNER | E | Control |
| WOLTMAN, KAYE ALYCIA | I | VICE CHAIRMAN | E | Control |
| WOLTMAN, KAYE ALYCIA | I | OWNER | E | Control |
| WOLTMAN, KAYE ALYCIA | I | VICE CHAIRMAN | E | Control |
| WOLTMAN, KAYE ALYCIA | I | OWNER | E | Control |
| WOLTMAN, KAYE ALYCIA | I | VICE CHAIRMAN | E | Control |
| WOLTMAN, KAYE ALYCIA | I | PRESIDENT | E | Control |
| WOLTMAN, KAYE ALYCIA | I | OWNER | E | Control |
| WOLTMAN, KAYE ALYCIA | I | VICE CHAIRMAN | E | Control |
| WOLTMAN, KAYE ALYCIA | I | PRESIDENT | E | Control |
| WOLTMAN, KAYE ALYCIA | I | OWNER | E | Control |
| WOLTMAN, KAYE ALYCIA | I | VICE CHAIRMAN | E | Control |
| WOLTMAN, KAYE ALYCIA | I | OWNER | E | Control |
| WOLTMAN, KAYE ALYCIA | I | VICE CHAIRMAN | E | Control |
| WOLTMAN, KAYE ALYCIA | I | PRESIDENT | E | Control |
| WOLTMAN, KAYE ALYCIA | I | OWNER | E | Control |
| WOLTMAN, KAYE ALYCIA | I | VICE CHAIRMAN | E | Control |
| WOLTMAN, KAYE ALYCIA | I | OWNER | E | Control |
| WOLTMAN, KAYE ALYCIA | I | VICE CHAIRMAN | E | Control |
| WOLTMAN, KAYE ALYCIA | I | PRESIDENT | E | Control |
| RICHARD P. WOLTMAN IRREVOCABLE TRUST DATED 12/19/2012 | DE | OWNER | D | Control |
| RICHARD P. WOLTMAN IRREVOCABLE TRUST DATED 12/19/2012 | DE | OWNER | D | Control |
| RICHARD P. WOLTMAN IRREVOCABLE TRUST DATED 12/19/2012 | DE | OWNER | D | Control |
| RICHARD P. WOLTMAN IRREVOCABLE TRUST DATED 12/19/2012 | DE | OWNER | D | Control |
| RICHARD P. WOLTMAN IRREVOCABLE TRUST DATED 12/19/2012 | DE | OWNER | D | Control |
| RICHARD P. WOLTMAN IRREVOCABLE TRUST DATED 12/19/2012 | DE | OWNER | D | Control |
| RICHARD P. WOLTMAN IRREVOCABLE TRUST DATED 12/19/2012 | DE | OWNER | D | Control |
| RICHARD P. WOLTMAN IRREVOCABLE TRUST DATED 12/19/2012 | DE | OWNER | D | Control |
| RICHARD P. WOLTMAN TRUST UTA DTD JANUARY 10, 2008 | DE | OWNER | D | Control |
| RICHARD P. WOLTMAN TRUST UTA DTD JANUARY 10, 2008 | DE | OWNER | D | Control |
| RICHARD P. WOLTMAN TRUST UTA DTD JANUARY 10, 2008 | DE | OWNER | D | Control |
| WOLTMAN, RICHARD PAUL | I | TTE, OWNER | D | Control |
| WOLTMAN, RICHARD PAUL | I | TTE, OWNER | D | Control |
| WOLTMAN, RICHARD PAUL | I | TTE, OWNER | D | Control |
| WOLTMAN, RICHARD PAUL | I | TTE, OWNER | D | Control |
| WOLTMAN, RICHARD PAUL | I | TTE, OWNER | D | Control |
| WOLTMAN, RICHARD PAUL | I | TTE, OWNER | D | Control |
| WOLTMAN, RICHARD PAUL | I | TTE, OWNER | D | Control |
| THE WOLTMAN FAMILY TRUST,UTA 92-1998 | DE | OWNER | C | Control |
| THE WOLTMAN FAMILY TRUST,UTA 92-1998 | DE | OWNER | C | Control |
| THE WOLTMAN FAMILY TRUST,UTA 92-1998 | DE | OWNER | C | Control |
| THE WOLTMAN FAMILY TRUST,UTA 92-1998 | DE | OWNER | C | Control |
| THE WOLTMAN FAMILY TRUST,UTA 92-1998 | DE | OWNER | C | Control |
| THE WOLTMAN FAMILY TRUST,UTA 92-1998 | DE | OWNER | C | Control |
| THE WOLTMAN FAMILY TRUST,UTA 92-1998 | DE | OWNER | C | Control |
| THE WOLTMAN FAMILY TRUST,UTA 92-1998 | DE | OWNER | C | Control |
| THE WOLTMAN FAMILY TRUST,UTA 92-1998 | DE | OWNER | C | Control |
| THE WOLTMAN FAMILY TRUST,UTA 92-1998 | DE | OWNER | C | Control |
| TIETJEN, MARGARET SUSAN | I | OWNER | C | Control |
| TIETJEN, MARGARET SUSAN | I | OWNER | C | Control |
| TIETJEN, MARGARET SUSAN | I | OWNER | C | Control |
| TIETJEN, MARGARET SUSAN | I | OWNER | C | Control |
| TIETJEN, MARGARET SUSAN | I | OWNER | C | Control |
| TIETJEN, MARGARET SUSAN | I | OWNER | C | Control |
| TIETJEN, MARGARET SUSAN | I | OWNER | C | Control |
| TIETJEN, MARGARET SUSAN | I | OWNER | C | Control |
| RICHARD P. WOLTMAN TRUST UTA DTD JANUARY 10, 2008 | DE | OWNER | B | Control |
| RICHARD P. WOLTMAN TRUST UTA DTD JANUARY 10, 2008 | DE | OWNER | B | Control |
| RICHARD P. WOLTMAN TRUST UTA DTD JANUARY 10, 2008 | DE | OWNER | B | Control |
| RICHARD P. WOLTMAN TRUST UTA DTD JANUARY 10, 2008 | DE | OWNER | B | Control |
| RICHARD P. WOLTMAN TRUST UTA DTD JANUARY 10, 2008 | DE | OWNER | B | Control |
| RICHARD P. WOLTMAN TRUST UTA DTD JANUARY 10, 2008 | DE | OWNER | B | Control |
| RICHARD P. WOLTMAN TRUST UTA DTD JANUARY 10, 2008 | DE | OWNER | B | Control |
| RICHARD P. WOLTMAN TRUST UTA DTD JANUARY 10, 2008 | DE | OWNER | B | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | 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 |
| 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 | GIRARD SECURITIES, INC. | E | Control |
| RCS CAPITAL HOLDINGS, LLC | DE | CHARGES ACQUISITION LLC | E | Control |
| RCS CAPITAL HOLDINGS, LLC | DE | CHARGES ACQUISITION LLC | E | Control |
| RCS CAPITAL HOLDINGS, LLC | DE | CHARGES ACQUISITION LLC | E | Control |
| RCS CAPITAL HOLDINGS, LLC | DE | CHARGES ACQUISITION LLC | E | Control |
| RCS CAPITAL HOLDINGS, LLC | DE | CHARGES ACQUISITION LLC | E | Control |
| RCS CAPITAL HOLDINGS, LLC | DE | CHARGES ACQUISITION LLC | E | Control |
| RCS CAPITAL HOLDINGS, LLC | DE | CHARGES ACQUISITION LLC | E | Control |
| RCS CAPITAL HOLDINGS, LLC | DE | CHARGES ACQUISITION LLC | E | Control |
Registrations
Federal
IA
Mar 31, 2017 REGISTERED
Notice Filings (51)
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Address
9560 WAPLES STREETSUITE B
SAN DIEGO, CA 92121
United States
Phone: 858-622-2140