CONVERGEX EXECUTION SOLUTIONS LLC
CRD #35693 SEC #801-67167 NEW YORK, NY 800-828-5454
SEC Registered Broker-Dealer Disclosures
Total AUM
--
Discretionary
--
Employees
51
Clients
--
Accounts
--
This firm has regulatory disclosures on file.
View disclosures
Firm Details
- Organization Type
- Limited Liability Company
- State of Formation
- Delaware
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Apr 30, 2012
- 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 |
|---|---|---|---|---|
| BASMAJIAN, PAUL GARO | I | MANAGING DIRECTOR | NA | |
| BASMAJIAN, PAUL GARO | I | MANAGING DIRECTOR | NA | |
| BASMAJIAN, PAUL GARO | I | MANAGING DIRECTOR | NA | |
| BASMAJIAN, PAUL GARO | I | MANAGING DIRECTOR | NA | |
| BASMAJIAN, PAUL GARO | I | MANAGING DIRECTOR, MANAGER | NA | |
| BASMAJIAN, PAUL GARO | I | MANAGING DIRECTOR, MANAGER | NA | |
| BASMAJIAN, PAUL GARO | I | MANAGING DIRECTOR, MANAGER | NA | |
| BASMAJIAN, PAUL GARO | I | MANAGING DIRECTOR, MANAGER | NA | |
| BASMAJIAN, PAUL GARO | I | MANAGING DIRECTOR, MANAGER | NA | |
| BASMAJIAN, PAUL GARO | I | MANAGING DIRECTOR, MANAGER | NA | |
| BASMAJIAN, PAUL GARO | I | MANAGING DIRECTOR, MANAGER | NA | |
| BASMAJIAN, PAUL GARO | I | MANAGING DIRECTOR | NA | |
| BASMAJIAN, PAUL GARO | I | MANAGING DIRECTOR | NA | |
| BASMAJIAN, PAUL GARO | I | MANAGING DIRECTOR | NA | |
| BASMAJIAN, PAUL GARO | I | MANAGING DIRECTOR | NA | |
| BASMAJIAN, PAUL GARO | I | MANAGING DIRECTOR | NA | |
| BASMAJIAN, PAUL GARO | I | MANAGING DIRECTOR, MANAGER | NA | |
| BASMAJIAN, PAUL GARO | I | MANAGING DIRECTOR, MANAGER | NA | |
| BASMAJIAN, PAUL GARO | I | MANAGING DIRECTOR, MANAGER | NA | |
| BASMAJIAN, PAUL GARO | I | MANAGING DIRECTOR, MANAGER | NA | |
| BASMAJIAN, PAUL GARO | I | CHIEF EXECUTIVE OFFICER, MANAGER | NA | Control |
| BASMAJIAN, PAUL GARO | I | MANAGING DIRECTOR, MANAGER | NA | |
| BASMAJIAN, PAUL GARO | I | MANAGING DIRECTOR, MANAGER | NA | |
| BASMAJIAN, PAUL GARO | I | MANAGING DIRECTOR, MANAGER | NA | Control |
| BASMAJIAN, PAUL GARO | I | MANAGING DIRECTOR, MANAGER | NA | Control |
| BASMAJIAN, PAUL GARO | I | MANAGING DIRECTOR, MANAGER | NA | |
| BASMAJIAN, PAUL GARO | I | MANAGING DIRECTOR, MANAGER | NA | |
| BASMAJIAN, PAUL GARO | I | MANAGING DIRECTOR, MANAGER | NA | |
| BASMAJIAN, PAUL GARO | I | MANAGING DIRECTOR, MANAGER | NA | |
| BASMAJIAN, PAUL GARO | I | MANAGING DIRECTOR, MANAGER | NA | |
| BASMAJIAN, PAUL GARO | I | MANAGING DIRECTOR, MANAGER | NA | |
| BASMAJIAN, PAUL GARO | I | MANAGING DIRECTOR, MANAGER | NA | |
| BURNETT, FRANK JOHN | I | REGISTERED OPTIONS AND SECURITY FUTURES PRINCIPAL | NA | |
| BURNETT, FRANK JOHN | I | REGISTERED OPTIONS AND SECURITY FUTURES PRINCIPAL | NA | |
| BURNETT, FRANK JOHN | I | REGISTERED OPTIONS AND SECURITY FUTURES PRINCIPAL | NA | |
| BURNETT, FRANK JOHN | I | REGISTERED OPTIONS AND SECURITY FUTURES PRINCIPAL | NA | |
| BURNETT, FRANK JOHN | I | REGISTERED OPTIONS AND SECURITY FUTURES PRINCIPAL | NA | |
| BURNETT, FRANK JOHN | I | REGISTERED OPTIONS AND SECURITY FUTURES PRINCIPAL | NA | |
| BURNETT, FRANK JOHN | I | REGISTERED OPTIONS AND SECURITY FUTURES PRINCIPAL | NA | |
| BURNETT, FRANK JOHN | I | REGISTERED OPTIONS AND SECURITY FUTURES PRINCIPAL | NA | |
| BURNETT, FRANK JOHN | I | REGISTERED OPTIONS AND SECURITY FUTURES PRINCIPAL | NA | |
| BURNETT, FRANK JOHN | I | REGISTERED OPTIONS AND SECURITY FUTURES PRINCIPAL | NA | |
| BURNETT, FRANK JOHN | I | REGISTERED OPTIONS AND SECURITY FUTURES PRINCIPAL | NA | |
| BURNETT, FRANK JOHN | I | REGISTERED OPTIONS AND SECURITY FUTURES PRINCIPAL | NA | |
| BURNETT, FRANK JOHN | I | REGISTERED OPTIONS AND SECURITY FUTURES PRINCIPAL | NA | |
| BURNETT, FRANK JOHN | I | SVP, REGISTERED OPTIONS AND SECURITY FUTURES PRINCIPAL | NA | |
| BURNETT, FRANK JOHN | I | REGISTERED OPTIONS AND SECURITY FUTURES PRINCIPAL | NA | |
| BURNETT, FRANK JOHN | I | SVP, REGISTERED OPTIONS AND SECURITY FUTURES PRINCIPAL | NA | |
| BURNETT, FRANK JOHN | I | SVP, REGISTERED OPTIONS AND SECURITY FUTURES PRINCIPAL | NA | |
| BURNETT, FRANK JOHN | I | SVP, REGISTERED OPTIONS AND SECURITY FUTURES PRINCIPAL | NA | |
| BURNETT, FRANK JOHN | I | REGISTERED OPTIONS AND SECURITY FUTURES PRINCIPAL | NA | |
| BURNETT, FRANK JOHN | I | REGISTERED OPTIONS AND SECURITY FUTURES PRINCIPAL | NA | |
| BURNETT, FRANK JOHN | I | REGISTERED OPTIONS AND SECURITY FUTURES PRINCIPAL | NA | |
| BURNETT, FRANK JOHN | I | REGISTERED OPTIONS AND SECURITY FUTURES PRINCIPAL | NA | |
| BURNETT, FRANK JOHN | I | REGISTERED OPTIONS AND SECURITY FUTURES PRINCIPAL | NA | |
| BURNETT, FRANK JOHN | I | REGISTERED OPTIONS AND SECURITY FUTURES PRINCIPAL | NA | |
| BURNETT, FRANK JOHN | I | REGISTERED OPTIONS AND SECURITY FUTURES PRINCIPAL | NA | |
| FITZPATRICK, VINCENT JOHN | I | NON-EMPLOYEE DIRECTOR | NA | |
| FITZPATRICK, VINCENT JOHN | I | NON-EMPLOYEE DIRECTOR | NA | |
| FITZPATRICK, VINCENT JOHN | I | NON-EMPLOYEE MANAGER | NA | |
| FITZPATRICK, VINCENT JOHN | I | NON-EMPLOYEE MANAGER | NA | |
| FITZPATRICK, VINCENT JOHN | I | NON-EMPLOYEE MANAGER | NA | |
| FITZPATRICK, VINCENT JOHN | I | NON-EMPLOYEE MANAGER | NA | |
| FITZPATRICK, VINCENT JOHN | I | NON-EMPLOYEE MANAGER | NA | |
| FITZPATRICK, VINCENT JOHN | I | NON-EMPLOYEE MANAGER | NA | |
| FITZPATRICK, VINCENT JOHN | I | NON-EMPLOYEE MANAGER | NA | |
| FITZPATRICK, VINCENT JOHN | I | NON-EMPLOYEE MANAGER | NA | |
| FITZPATRICK, VINCENT JOHN | I | NON-EMPLOYEE MANAGER | NA | |
| FITZPATRICK, VINCENT JOHN | I | NON-EMPLOYEE DIRECTOR | NA | |
| FITZPATRICK, VINCENT JOHN | I | NON-EMPLOYEE DIRECTOR | NA | |
| FITZPATRICK, VINCENT JOHN | I | NON-EMPLOYEE DIRECTOR | NA | |
| FITZPATRICK, VINCENT JOHN | I | NON-EMPLOYEE DIRECTOR | NA | |
| FITZPATRICK, VINCENT JOHN | I | NON-EMPLOYEE DIRECTOR | NA | |
| FITZPATRICK, VINCENT JOHN | I | NON-EMPLOYEE MANAGER | NA | |
| FITZPATRICK, VINCENT JOHN | I | NON-EMPLOYEE MANAGER | NA | |
| FITZPATRICK, VINCENT JOHN | I | NON-EMPLOYEE MANAGER | NA | |
| FITZPATRICK, VINCENT JOHN | I | NON-EMPLOYEE MANAGER | NA | |
| FITZPATRICK, VINCENT JOHN | I | NON-EMPLOYEE MANAGER | NA | Control |
| FITZPATRICK, VINCENT JOHN | I | NON-EMPLOYEE MANAGER | NA | |
| FITZPATRICK, VINCENT JOHN | I | NON-EMPLOYEE MANAGER | NA | |
| FITZPATRICK, VINCENT JOHN | I | NON-EMPLOYEE MANAGER | NA | Control |
| FITZPATRICK, VINCENT JOHN | I | NON-EMPLOYEE MANAGER | NA | Control |
| FITZPATRICK, VINCENT JOHN | I | NON-EMPLOYEE MANAGER | NA | |
| FITZPATRICK, VINCENT JOHN | I | NON-EMPLOYEE MANAGER | NA | |
| FITZPATRICK, VINCENT JOHN | I | NON-EMPLOYEE MANAGER | NA | |
| FITZPATRICK, VINCENT JOHN | I | NON-EMPLOYEE MANAGER | NA | |
| FITZPATRICK, VINCENT JOHN | I | NON-EMPLOYEE MANAGER | NA | |
| FITZPATRICK, VINCENT JOHN | I | NON-EMPLOYEE MANAGER | NA | |
| FITZPATRICK, VINCENT JOHN | I | NON-EMPLOYEE MANAGER | NA | |
| LAX, CRAIG STEVEN | I | CHIEF EXECUTIVE OFFICER, MANAGER | NA | Control |
| LAX, CRAIG STEVEN | I | CHIEF EXECUTIVE OFFICER, MANAGER | NA | Control |
| MAESE, MICHAEL JOSEPH | I | SVP, FINOP | NA | |
| MAESE, MICHAEL JOSEPH | I | SVP, FINOP | NA | |
| MAESE, MICHAEL JOSEPH | I | SVP, FINOP | NA | |
| MAESE, MICHAEL JOSEPH | I | SVP, FINOP | NA | |
| MAESE, MICHAEL JOSEPH | I | SVP, FINOP | NA | |
| MAESE, MICHAEL JOSEPH | I | SVP, FINOP | NA | |
| MAESE, MICHAEL JOSEPH | I | SVP, FINOP | NA | |
| MAESE, MICHAEL JOSEPH | I | SVP, FINOP | NA | |
| MAESE, MICHAEL JOSEPH | I | SVP, FINOP | NA | |
| MAESE, MICHAEL JOSEPH | I | SVP, FINOP | NA | |
| MAESE, MICHAEL JOSEPH | I | SVP, FINOP | NA | |
| MAESE, MICHAEL JOSEPH | I | SVP, FINOP | NA | |
| MAESE, MICHAEL JOSEPH | I | MANAGING DIRECTOR, FINOP | NA | |
| MAESE, MICHAEL JOSEPH | I | MANAGING DIRECTOR, FINOP | NA | |
| MAESE, MICHAEL JOSEPH | I | MANAGING DIRECTOR, FINOP | NA | |
| MAESE, MICHAEL JOSEPH | I | SVP, FINOP | NA | |
| MAESE, MICHAEL JOSEPH | I | SVP, FINOP | NA | |
| MAESE, MICHAEL JOSEPH | I | SVP, FINOP | NA | |
| MAESE, MICHAEL JOSEPH | I | SVP, FINOP | NA | |
| MAESE, MICHAEL JOSEPH | I | SVP, FINOP | NA | |
| MAESE, MICHAEL JOSEPH | I | SVP, FINOP | NA | |
| MAESE, MICHAEL JOSEPH | I | SVP, FINOP | NA | |
| MINOGUE, MICHAEL JOHN | I | MUNICIPAL PRINCIPAL | NA | |
| MINOGUE, MICHAEL JOHN | I | MUNICIPAL PRINCIPAL | NA | |
| MINOGUE, MICHAEL JOHN | I | MUNICIPAL PRINCIPAL | NA | |
| MINOGUE, MICHAEL JOHN | I | MUNICIPAL PRINCIPAL | NA | |
| MINOGUE, MICHAEL JOHN | I | MUNICIPAL PRINCIPAL | NA | |
| MINOGUE, MICHAEL JOHN | I | MUNICIPAL PRINCIPAL | NA | |
| MINOGUE, MICHAEL JOHN | I | MUNICIPAL PRINCIPAL | NA | |
| MINOGUE, MICHAEL JOHN | I | MUNICIPAL PRINCIPAL | NA | |
| MINOGUE, MICHAEL JOHN | I | MUNICIPAL PRINCIPAL | NA | |
| MINOGUE, MICHAEL JOHN | I | MUNICIPAL PRINCIPAL | NA | |
| MINOGUE, MICHAEL JOHN | I | MUNICIPAL PRINCIPAL | NA | |
| MINOGUE, MICHAEL JOHN | I | MUNICIPAL PRINCIPAL | NA | |
| MINOGUE, MICHAEL JOHN | I | MUNICIPAL PRINCIPAL | NA | |
| MINOGUE, MICHAEL JOHN | I | MUNICIPAL PRINCIPAL | NA | |
| MINOGUE, MICHAEL JOHN | I | MUNICIPAL PRINCIPAL | NA | |
| MINOGUE, MICHAEL JOHN | I | MUNICIPAL PRINCIPAL | NA | |
| MINOGUE, MICHAEL JOHN | I | MUNICIPAL PRINCIPAL | NA | |
| MINOGUE, MICHAEL JOHN | I | MUNICIPAL PRINCIPAL | NA | |
| MINOGUE, MICHAEL JOHN | I | MUNICIPAL PRINCIPAL | NA | |
| MINOGUE, MICHAEL JOHN | I | MUNICIPAL PRINCIPAL | NA | |
| MINOGUE, MICHAEL JOHN | I | SVP, MUNICIPAL PRINCIPAL | NA | |
| MINOGUE, MICHAEL JOHN | I | MUNICIPAL PRINCIPAL | NA | |
| MINOGUE, MICHAEL JOHN | I | SVP, MUNICIPAL PRINCIPAL | NA | |
| MINOGUE, MICHAEL JOHN | I | SVP, MUNICIPAL PRINCIPAL | NA | |
| MINOGUE, MICHAEL JOHN | I | SVP, MUNICIPAL PRINCIPAL | NA | |
| MINOGUE, MICHAEL JOHN | I | MUNICIPAL PRINCIPAL | NA | |
| MINOGUE, MICHAEL JOHN | I | MUNICIPAL PRINCIPAL | NA | |
| MINOGUE, MICHAEL JOHN | I | MUNICIPAL PRINCIPAL | NA | |
| MINOGUE, MICHAEL JOHN | I | MUNICIPAL PRINCIPAL | NA | |
| MINOGUE, MICHAEL JOHN | I | MUNICIPAL PRINCIPAL | NA | |
| MINOGUE, MICHAEL JOHN | I | MUNICIPAL PRINCIPAL | NA | |
| MINOGUE, MICHAEL JOHN | I | MUNICIPAL PRINCIPAL | NA | |
| MURTAUGH, JEANNE LOIS | I | VICE CHAIRMAN | NA | |
| MURTAUGH, JEANNE LOIS | I | VICE CHAIRMAN | NA | |
| MURTAUGH, JEANNE LOIS | I | VICE CHAIRMAN | NA | |
| MURTAUGH, JEANNE LOIS | I | VICE CHAIRMAN | NA | |
| MURTAUGH, JEANNE LOIS | I | VICE CHAIRMAN | NA | |
| MURTAUGH, JEANNE LOIS | I | VICE CHAIRMAN | NA | |
| MURTAUGH, JEANNE LOIS | I | VICE CHAIRMAN | NA | |
| NOLL, ERIC WILSON | I | NON-EMPLOYEE MANAGER | NA | Control |
| ORDONEZ, BEATRICE | I | MD, COO | NA | |
| ORDONEZ, BEATRICE | I | MD, COO | NA | |
| ORDONEZ, BEATRICE | I | MD, COO | NA | |
| ORDONEZ, BEATRICE | I | MD, COO | NA | |
| ORDONEZ, BEATRICE | I | MD, CHIEF OPERATIONS OFFICER | NA | |
| ORDONEZ, BEATRICE | I | MD, CHIEF OPERATIONS OFFICER | NA | |
| ORDONEZ, BEATRICE | I | MD, CHIEF OPERATIONS OFFICER | NA | |
| ORDONEZ, BEATRICE | I | MD, CHIEF OPERATIONS OFFICER | NA | |
| PACK, CAREY STEVEN | I | PRESIDENT, DIRECTOR | NA | |
| PACK, CAREY STEVEN | I | PRESIDENT, DIRECTOR | NA | |
| PACK, CAREY STEVEN | I | CHIEF EXECUTIVE OFFICER, MANAGER | NA | Control |
| PACK, CAREY STEVEN | I | CHIEF EXECUTIVE OFFICER, MANAGER | NA | Control |
| PACK, CAREY STEVEN | I | CHIEF EXECUTIVE OFFICER, MANAGER | NA | Control |
| PACK, CAREY STEVEN | I | CHIEF EXECUTIVE OFFICER, MANAGER | NA | Control |
| PACK, CAREY STEVEN | I | CHIEF EXECUTIVE OFFICER, MANAGER | NA | Control |
| PACK, CAREY STEVEN | I | CHIEF EXECUTIVE OFFICER, MANAGER | NA | Control |
| PACK, CAREY STEVEN | I | CHIEF EXECUTIVE OFFICER, MANAGER | NA | Control |
| PACK, CAREY STEVEN | I | CHIEF EXECUTIVE OFFICER, MANAGER | NA | Control |
| PACK, CAREY STEVEN | I | CHIEF EXECUTIVE OFFICER, MANAGER | NA | Control |
| PACK, CAREY STEVEN | I | PRESIDENT, DIRECTOR | NA | Control |
| PACK, CAREY STEVEN | I | PRESIDENT, DIRECTOR | NA | Control |
| PACK, CAREY STEVEN | I | PRESIDENT, DIRECTOR | NA | |
| PACK, CAREY STEVEN | I | PRESIDENT, DIRECTOR | NA | |
| PACK, CAREY STEVEN | I | PRESIDENT, DIRECTOR | NA | Control |
| PACK, CAREY STEVEN | I | CHIEF EXECUTIVE OFFICER, MANAGER | NA | Control |
| PACK, CAREY STEVEN | I | CHIEF EXECUTIVE OFFICER, MANAGER | NA | Control |
| PACK, CAREY STEVEN | I | CHIEF EXECUTIVE OFFICER, MANAGER | NA | Control |
| PACK, CAREY STEVEN | I | CHIEF EXECUTIVE OFFICER, MANAGER | NA | Control |
| PACK, CAREY STEVEN | I | CHIEF EXECUTIVE OFFICER, MANAGER | NA | Control |
| PACK, CAREY STEVEN | I | CHIEF EXECUTIVE OFFICER, MANAGER | NA | Control |
| PACK, CAREY STEVEN | I | CHIEF EXECUTIVE OFFICER, MANAGER | NA | Control |
| PACK, CAREY STEVEN | I | CHIEF EXECUTIVE OFFICER, MANAGER | NA | Control |
| PACK, CAREY STEVEN | I | CHIEF EXECUTIVE OFFICER, MANAGER | NA | Control |
| PACK, CAREY STEVEN | I | CHIEF EXECUTIVE OFFICER, MANAGER | NA | Control |
| PACK, CAREY STEVEN | I | CHIEF EXECUTIVE OFFICER, MANAGER | NA | Control |
| PACK, CAREY STEVEN | I | CHIEF EXECUTIVE OFFICER, MANAGER | NA | Control |
| PACK, CAREY STEVEN | I | CHIEF EXECUTIVE OFFICER, MANAGER | NA | Control |
| PRICOLI, PAUL ANTHONY | I | MD, CHIEF OPERATIONS OFFICER | NA | |
| PRICOLI, PAUL ANTHONY | I | MD, CHIEF OPERATIONS OFFICER | NA | |
| PRICOLI, PAUL ANTHONY | I | MD, CHIEF OPERATIONS OFFICER | NA | |
| PRICOLI, PAUL ANTHONY | I | MD, CHIEF OPERATIONS OFFICER | NA | |
| PRICOLI, PAUL ANTHONY | I | MD, CHIEF OPERATIONS OFFICER | NA | |
| PRICOLI, PAUL ANTHONY | I | MD, CHIEF OPERATIONS OFFICER | NA | |
| PRICOLI, PAUL ANTHONY | I | MD, CHIEF OPERATIONS OFFICER | NA | |
| PRICOLI, PAUL ANTHONY | I | MD, CHIEF OPERATIONS OFFICER | NA | |
| PRICOLI, PAUL ANTHONY | I | MD, CHIEF OPERATIONS OFFICER | NA | |
| PRICOLI, PAUL ANTHONY | I | MD, CHIEF OPERATIONS OFFICER | NA | |
| PRICOLI, PAUL ANTHONY | I | MD, CHIEF OPERATIONS OFFICER | NA | |
| PRICOLI, PAUL ANTHONY | I | MD, CHIEF OPERATIONS OFFICER | NA | |
| PRICOLI, PAUL ANTHONY | I | MD, CHIEF OPERATIONS OFFICER | NA | |
| PRICOLI, PAUL ANTHONY | I | MD, CHIEF OPERATIONS OFFICER | NA | |
| PRICOLI, PAUL ANTHONY | I | MD, CHIEF OPERATIONS OFFICER | NA | |
| PRICOLI, PAUL ANTHONY | I | MD, CHIEF OPERATIONS OFFICER | NA | |
| PRICOLI, PAUL ANTHONY | I | MD, CHIEF OPERATIONS OFFICER | NA | |
| PRICOLI, PAUL ANTHONY | I | MD, CHIEF OPERATIONS OFFICER | NA | |
| PRICOLI, PAUL ANTHONY | I | MD, CHIEF OPERATIONS OFFICER | NA | |
| PRICOLI, PAUL ANTHONY | I | MD, CHIEF OPERATIONS OFFICER | NA | |
| PRICOLI, PAUL ANTHONY | I | MD, CHIEF OPERATIONS OFFICER | NA | |
| PRICOLI, PAUL ANTHONY | I | MD, CHIEF OPERATIONS OFFICER | NA | |
| PRICOLI, PAUL ANTHONY | I | MD, CHIEF OPERATIONS OFFICER | NA | |
| PRICOLI, PAUL ANTHONY | I | MD, CHIEF OPERATIONS OFFICER | NA | |
| RAPPOLD, CHARLES EDWARD II | I | NON-EMPLOYEE DIRECTOR | NA | |
| RAPPOLD, CHARLES EDWARD II | I | NON-EMPLOYEE DIRECTOR | NA | |
| RAPPOLD, CHARLES EDWARD II | I | NON-EMPLOYEE MANAGER | NA | |
| RAPPOLD, CHARLES EDWARD II | I | NON-EMPLOYEE MANAGER | NA | |
| RAPPOLD, CHARLES EDWARD II | I | NON-EMPLOYEE MANAGER | NA | |
| RAPPOLD, CHARLES EDWARD II | I | NON-EMPLOYEE MANAGER | NA | |
| RAPPOLD, CHARLES EDWARD II | I | NON-EMPLOYEE MANAGER | NA | |
| RAPPOLD, CHARLES EDWARD II | I | NON-EMPLOYEE MANAGER | NA | |
| RAPPOLD, CHARLES EDWARD II | I | NON-EMPLOYEE MANAGER | NA | |
| RAPPOLD, CHARLES EDWARD II | I | NON-EMPLOYEE MANAGER | NA | |
| RAPPOLD, CHARLES EDWARD II | I | NON-EMPLOYEE MANAGER | NA | |
| RAPPOLD, CHARLES EDWARD II | I | NON-EMPLOYEE DIRECTOR | NA | |
| RAPPOLD, CHARLES EDWARD II | I | NON-EMPLOYEE DIRECTOR | NA | |
| RAPPOLD, CHARLES EDWARD II | I | NON-EMPLOYEE DIRECTOR | NA | |
| RAPPOLD, CHARLES EDWARD II | I | NON-EMPLOYEE DIRECTOR | NA | |
| RAPPOLD, CHARLES EDWARD II | I | NON-EMPLOYEE DIRECTOR | NA | |
| RAPPOLD, CHARLES EDWARD II | I | NON-EMPLOYEE MANAGER | NA | |
| RAPPOLD, CHARLES EDWARD II | I | NON-EMPLOYEE MANAGER | NA | |
| RAPPOLD, CHARLES EDWARD II | I | NON-EMPLOYEE MANAGER | NA | |
| RAPPOLD, CHARLES EDWARD II | I | NON-EMPLOYEE MANAGER | NA | |
| RAPPOLD, CHARLES EDWARD II | I | NON-EMPLOYEE MANAGER | NA | Control |
| RAPPOLD, CHARLES EDWARD II | I | NON-EMPLOYEE MANAGER | NA | |
| RAPPOLD, CHARLES EDWARD II | I | NON-EMPLOYEE MANAGER | NA | |
| RAPPOLD, CHARLES EDWARD II | I | NON-EMPLOYEE MANAGER | NA | Control |
| RAPPOLD, CHARLES EDWARD II | I | NON-EMPLOYEE MANAGER | NA | Control |
| RAPPOLD, CHARLES EDWARD II | I | NON-EMPLOYEE MANAGER | NA | |
| RAPPOLD, CHARLES EDWARD II | I | NON-EMPLOYEE MANAGER | NA | |
| RAPPOLD, CHARLES EDWARD II | I | NON-EMPLOYEE MANAGER | NA | |
| RAPPOLD, CHARLES EDWARD II | I | NON-EMPLOYEE MANAGER | NA | |
| RAPPOLD, CHARLES EDWARD II | I | NON-EMPLOYEE MANAGER | NA | |
| RAPPOLD, CHARLES EDWARD II | I | NON-EMPLOYEE MANAGER | NA | |
| RAPPOLD, CHARLES EDWARD II | I | NON-EMPLOYEE MANAGER | NA | |
| SALIBA, ANTHONY JOSEPH | I | NON EMPLOYEE MANAGER | NA | |
| SALIBA, ANTHONY JOSEPH | I | NON EMPLOYEE MANAGER | NA | |
| SALIBA, ANTHONY JOSEPH | I | NON EMPLOYEE MANAGER | NA | |
| SALIBA, ANTHONY JOSEPH | I | NON EMPLOYEE MANAGER | NA | |
| SALIBA, ANTHONY JOSEPH | I | NON EMPLOYEE MANAGER | NA | |
| SALIBA, ANTHONY JOSEPH | I | NON EMPLOYEE MANAGER | NA | |
| SALIBA, ANTHONY JOSEPH | I | NON EMPLOYEE MANAGER | NA | |
| SALIBA, ANTHONY JOSEPH | I | NON EMPLOYEE MANAGER | NA | |
| SALIBA, ANTHONY JOSEPH | I | NON EMPLOYEE MANAGER | NA | |
| SALIBA, ANTHONY JOSEPH | I | NON EMPLOYEE MANAGER | NA | |
| SALIBA, ANTHONY JOSEPH | I | NON EMPLOYEE MANAGER | NA | |
| SALIBA, ANTHONY JOSEPH | I | NON EMPLOYEE MANAGER | NA | Control |
| SALIBA, ANTHONY JOSEPH | I | NON EMPLOYEE MANAGER | NA | |
| SALIBA, ANTHONY JOSEPH | I | NON EMPLOYEE MANAGER | NA | |
| SALIBA, ANTHONY JOSEPH | I | NON EMPLOYEE MANAGER | NA | Control |
| SALIBA, ANTHONY JOSEPH | I | NON EMPLOYEE MANAGER | NA | Control |
| SALIBA, ANTHONY JOSEPH | I | NON EMPLOYEE MANAGER | NA | |
| SALIBA, ANTHONY JOSEPH | I | NON EMPLOYEE MANAGER | NA | |
| SALIBA, ANTHONY JOSEPH | I | NON EMPLOYEE MANAGER | NA | |
| SALIBA, ANTHONY JOSEPH | I | NON EMPLOYEE MANAGER | NA | |
| SALIBA, ANTHONY JOSEPH | I | NON EMPLOYEE MANAGER | NA | |
| SALIBA, ANTHONY JOSEPH | I | NON EMPLOYEE MANAGER | NA | |
| SALIBA, ANTHONY JOSEPH | I | NON EMPLOYEE MANAGER | NA | |
| SPRINGER, CHRISTOPHER MICHAEL | I | MANAGING DIRECTOR AND CFO | NA | |
| SPRINGER, CHRISTOPHER MICHAEL | I | MANAGING DIRECTOR AND CFO | NA | |
| SPRINGER, CHRISTOPHER MICHAEL | I | MANAGING DIRECTOR AND CFO | NA | |
| SPRINGER, CHRISTOPHER MICHAEL | I | MANAGING DIRECTOR AND CFO | NA | |
| SPRINGER, CHRISTOPHER MICHAEL | I | EXECUTIVE MANAGING DIRECTOR AND CFO | NA | |
| SPRINGER, CHRISTOPHER MICHAEL | I | EXECUTIVE MANAGING DIRECTOR AND CFO | NA | |
| SPRINGER, CHRISTOPHER MICHAEL | I | EXECUTIVE MANAGING DIRECTOR AND CFO | NA | |
| SPRINGER, CHRISTOPHER MICHAEL | I | EXECUTIVE MANAGING DIRECTOR AND CFO | NA | |
| SPRINGER, CHRISTOPHER MICHAEL | I | EXECUTIVE MANAGING DIRECTOR AND CFO | NA | |
| SPRINGER, CHRISTOPHER MICHAEL | I | EXECUTIVE MANAGING DIRECTOR AND CFO | NA | |
| SPRINGER, CHRISTOPHER MICHAEL | I | EXECUTIVE MANAGING DIRECTOR AND CFO | NA | |
| SPRINGER, CHRISTOPHER MICHAEL | I | MANAGING DIRECTOR AND CFO | NA | |
| SPRINGER, CHRISTOPHER MICHAEL | I | MANAGING DIRECTOR AND CFO | NA | |
| SPRINGER, CHRISTOPHER MICHAEL | I | MANAGING DIRECTOR AND CFO | NA | |
| SPRINGER, CHRISTOPHER MICHAEL | I | MANAGING DIRECTOR AND CFO | NA | |
| SPRINGER, CHRISTOPHER MICHAEL | I | MANAGING DIRECTOR AND CFO | NA | |
| SPRINGER, CHRISTOPHER MICHAEL | I | EXECUTIVE MANAGING DIRECTOR AND CFO | NA | |
| SPRINGER, CHRISTOPHER MICHAEL | I | EXECUTIVE MANAGING DIRECTOR AND CFO | NA | |
| SPRINGER, CHRISTOPHER MICHAEL | I | EXECUTIVE MANAGING DIRECTOR AND CFO | NA | |
| SPRINGER, CHRISTOPHER MICHAEL | I | EXECUTIVE MANAGING DIRECTOR AND CFO | NA | |
| SPRINGER, CHRISTOPHER MICHAEL | I | EXECUTIVE MANAGING DIRECTOR, FINOP AND CFO | NA | |
| SPRINGER, CHRISTOPHER MICHAEL | I | EXECUTIVE MANAGING DIRECTOR AND CFO | NA | |
| SPRINGER, CHRISTOPHER MICHAEL | I | EXECUTIVE MANAGING DIRECTOR AND CFO | NA | |
| SPRINGER, CHRISTOPHER MICHAEL | I | EXECUTIVE MANAGING DIRECTOR AND CFO | NA | |
| SPRINGER, CHRISTOPHER MICHAEL | I | EXECUTIVE MANAGING DIRECTOR AND CFO | NA | |
| SPRINGER, CHRISTOPHER MICHAEL | I | EXECUTIVE MANAGING DIRECTOR AND CFO | NA | |
| SPRINGER, CHRISTOPHER MICHAEL | I | EXECUTIVE MANAGING DIRECTOR AND CFO | NA | |
| SPRINGER, CHRISTOPHER MICHAEL | I | EXECUTIVE MANAGING DIRECTOR AND CFO | NA | |
| SPRINGER, CHRISTOPHER MICHAEL | I | EXECUTIVE MANAGING DIRECTOR AND CFO | NA | |
| SPRINGER, CHRISTOPHER MICHAEL | I | EXECUTIVE MANAGING DIRECTOR AND CFO | NA | |
| SPRINGER, CHRISTOPHER MICHAEL | I | EXECUTIVE MANAGING DIRECTOR AND CFO | NA | |
| SPRINGER, CHRISTOPHER MICHAEL | I | EXECUTIVE MANAGING DIRECTOR AND CFO | NA | |
| VELLI, JOSEPH MARK | I | NON-EMPLOYEE DIRECTOR | NA | |
| VELLI, JOSEPH MARK | I | NON-EMPLOYEE DIRECTOR | NA | |
| VELLI, JOSEPH MARK | I | NON-EMPLOYEE MANAGER | NA | |
| VELLI, JOSEPH MARK | I | NON-EMPLOYEE MANAGER | NA | |
| VELLI, JOSEPH MARK | I | NON-EMPLOYEE MANAGER | NA | |
| VELLI, JOSEPH MARK | I | NON-EMPLOYEE MANAGER | NA | |
| VELLI, JOSEPH MARK | I | NON-EMPLOYEE MANAGER | NA | |
| VELLI, JOSEPH MARK | I | NON-EMPLOYEE MANAGER | NA | |
| VELLI, JOSEPH MARK | I | NON-EMPLOYEE MANAGER | NA | |
| VELLI, JOSEPH MARK | I | NON-EMPLOYEE MANAGER | NA | |
| VELLI, JOSEPH MARK | I | NON-EMPLOYEE MANAGER | NA | |
| VELLI, JOSEPH MARK | I | NON-EMPLOYEE DIRECTOR | NA | |
| VELLI, JOSEPH MARK | I | NON-EMPLOYEE DIRECTOR | NA | |
| VELLI, JOSEPH MARK | I | NON-EMPLOYEE DIRECTOR | NA | |
| VELLI, JOSEPH MARK | I | NON-EMPLOYEE DIRECTOR | NA | |
| VELLI, JOSEPH MARK | I | NON-EMPLOYEE DIRECTOR | NA | |
| VELLI, JOSEPH MARK | I | NON-EMPLOYEE MANAGER | NA | |
| VELLI, JOSEPH MARK | I | NON-EMPLOYEE MANAGER | NA | |
| VELLI, JOSEPH MARK | I | NON-EMPLOYEE MANAGER | NA | |
| VELLI, JOSEPH MARK | I | NON-EMPLOYEE MANAGER | NA | |
| VELLI, JOSEPH MARK | I | NON-EMPLOYEE MANAGER | NA | |
| VELLI, JOSEPH MARK | I | NON-EMPLOYEE MANAGER | NA | |
| VELLI, JOSEPH MARK | I | NON-EMPLOYEE MANAGER | NA | Control |
| VELLI, JOSEPH MARK | I | NON-EMPLOYEE MANAGER | NA | Control |
| VELLI, JOSEPH MARK | I | NON-EMPLOYEE MANAGER | NA | |
| VELLI, JOSEPH MARK | I | NON-EMPLOYEE MANAGER | NA | |
| VELLI, JOSEPH MARK | I | NON-EMPLOYEE MANAGER | NA | |
| VELLI, JOSEPH MARK | I | NON-EMPLOYEE MANAGER | NA | |
| VELLI, JOSEPH MARK | I | NON-EMPLOYEE MANAGER | NA | |
| VELLI, JOSEPH MARK | I | NON-EMPLOYEE MANAGER | NA | |
| VELLI, JOSEPH MARK | I | NON-EMPLOYEE MANAGER | NA | |
| VIRGILIO, ROBERT JOSEPH | I | MD, CHIEF COMPLIANCE OFFICER | NA | Control |
| VIRGILIO, ROBERT JOSEPH | I | MD, CHIEF COMPLIANCE OFFICER | NA | Control |
| VIRGILIO, ROBERT JOSEPH | I | MD, CHIEF COMPLIANCE OFFICER | NA | Control |
| VIRGILIO, ROBERT JOSEPH | I | MD, CHIEF COMPLIANCE OFFICER | NA | Control |
| VIRGILIO, ROBERT JOSEPH | I | MD, CHIEF COMPLIANCE OFFICER | NA | Control |
| VIRGILIO, ROBERT JOSEPH | I | MD, CHIEF COMPLIANCE OFFICER | NA | Control |
| VIRGILIO, ROBERT JOSEPH | I | MD, CHIEF COMPLIANCE OFFICER | NA | Control |
| VIRGILIO, ROBERT JOSEPH | I | MD, CHIEF COMPLIANCE OFFICER | NA | Control |
| VIRGILIO, ROBERT JOSEPH | I | MD, CHIEF COMPLIANCE OFFICER | NA | Control |
| VIRGILIO, ROBERT JOSEPH | I | MD, CHIEF COMPLIANCE OFFICER | NA | Control |
| VIRGILIO, ROBERT JOSEPH | I | MD, CHIEF COMPLIANCE OFFICER | NA | Control |
| VIRGILIO, ROBERT JOSEPH | I | MD, CHIEF COMPLIANCE OFFICER | NA | Control |
| VIRGILIO, ROBERT JOSEPH | I | MD, CHIEF COMPLIANCE OFFICER | NA | Control |
| VIRGILIO, ROBERT JOSEPH | I | MD, CHIEF COMPLIANCE OFFICER | NA | Control |
| VIRGILIO, ROBERT JOSEPH | I | MD, CHIEF COMPLIANCE OFFICER | NA | Control |
| VIRGILIO, ROBERT JOSEPH | I | MD, CHIEF COMPLIANCE OFFICER | NA | Control |
| VIRGILIO, ROBERT JOSEPH | I | MD, CHIEF COMPLIANCE OFFICER | NA | Control |
| VIRGILIO, ROBERT JOSEPH | I | MD, CHIEF COMPLIANCE OFFICER | NA | Control |
| VIRGILIO, ROBERT JOSEPH | I | MD, CHIEF COMPLIANCE OFFICER | NA | Control |
| VIRGILIO, ROBERT JOSEPH | I | MD, CHIEF COMPLIANCE OFFICER | NA | Control |
| VIRGILIO, ROBERT JOSEPH | I | MD, CHIEF COMPLIANCE OFFICER | NA | |
| VIRGILIO, ROBERT JOSEPH | I | MD, CHIEF COMPLIANCE OFFICER | NA | Control |
| VIRGILIO, ROBERT JOSEPH | I | MD, CHIEF COMPLIANCE OFFICER | NA | Control |
| VIRGILIO, ROBERT JOSEPH | I | MD, CHIEF COMPLIANCE OFFICER | NA | |
| VIRGILIO, ROBERT JOSEPH | I | MD, CHIEF COMPLIANCE OFFICER | NA | |
| VIRGILIO, ROBERT JOSEPH | I | MD, CHIEF COMPLIANCE OFFICER | NA | Control |
| VIRGILIO, ROBERT JOSEPH | I | MD, CHIEF COMPLIANCE OFFICER | NA | Control |
| VIRGILIO, ROBERT JOSEPH | I | MD, CHIEF COMPLIANCE OFFICER | NA | Control |
| VIRGILIO, ROBERT JOSEPH | I | MD, CHIEF COMPLIANCE OFFICER | NA | Control |
| VIRGILIO, ROBERT JOSEPH | I | MD, CHIEF COMPLIANCE OFFICER | NA | Control |
| VIRGILIO, ROBERT JOSEPH | I | MD, CHIEF COMPLIANCE OFFICER | NA | Control |
| VIRGILIO, ROBERT JOSEPH | I | MD, CHIEF COMPLIANCE OFFICER | NA | Control |
| BNY CONVERGEX GROUP,LLC | DE | SHAREHOLDER | E | Control |
| BNY CONVERGEX GROUP,LLC | DE | SHAREHOLDER | E | Control |
| BNY CONVERGEX GROUP,LLC | DE | SHAREHOLDER, MEMBER | E | Control |
| BNY CONVERGEX GROUP,LLC | DE | SHAREHOLDER, MEMBER | E | Control |
| BNY CONVERGEX GROUP,LLC | DE | MEMBER | E | Control |
| BNY CONVERGEX GROUP,LLC | DE | MEMBER | E | Control |
| BNY CONVERGEX GROUP,LLC | DE | MEMBER | E | Control |
| BNY CONVERGEX GROUP,LLC | DE | MEMBER | E | Control |
| BNY CONVERGEX GROUP,LLC | DE | MEMBER | E | Control |
| BNY CONVERGEX GROUP,LLC | DE | MEMBER | E | Control |
| BNY CONVERGEX GROUP,LLC | DE | MEMBER | E | Control |
| BNY CONVERGEX GROUP,LLC | DE | SHAREHOLDER | E | Control |
| BNY CONVERGEX GROUP,LLC | DE | SHAREHOLDER | E | Control |
| BNY CONVERGEX GROUP,LLC | DE | SHAREHOLDER | E | Control |
| BNY CONVERGEX GROUP,LLC | DE | SHAREHOLDER | E | Control |
| BNY CONVERGEX GROUP,LLC | DE | SHAREHOLDER | E | Control |
| BNY CONVERGEX GROUP,LLC | DE | MEMBER | E | Control |
| BNY CONVERGEX GROUP,LLC | DE | MEMBER | E | Control |
| BNY CONVERGEX GROUP,LLC | DE | MEMBER | E | Control |
| BNY CONVERGEX GROUP,LLC | DE | MEMBER | E | Control |
| CONVERGEX GROUP,LLC | DE | MEMBER | E | Control |
| CONVERGEX GROUP,LLC | DE | MEMBER | E | Control |
| CONVERGEX GROUP,LLC | DE | MEMBER | E | Control |
| CONVERGEX GROUP,LLC | DE | MEMBER | E | Control |
| CONVERGEX GROUP,LLC | DE | MEMBER | E | Control |
| CONVERGEX GROUP,LLC | DE | MEMBER | E | Control |
| CONVERGEX GROUP,LLC | DE | MEMBER | E | Control |
| CONVERGEX GROUP,LLC | DE | MEMBER | E | Control |
| CONVERGEX GROUP,LLC | DE | MEMBER | E | Control |
| CONVERGEX GROUP,LLC | DE | MEMBER | E | Control |
| CONVERGEX GROUP,LLC | DE | MEMBER | E | Control |
| CONVERGEX GROUP,LLC | DE | MEMBER | E | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| GTCR GOLDER RAUNER II, LLC | DE | GTCR PARTNERS VIII, L.P. | F | Control |
| GTCR GOLDER RAUNER II, LLC | DE | GTCR PARTNERS VIII, L.P. | F | Control |
| GTCR GOLDER RAUNER II, LLC | DE | GTCR PARTNERS VIII, L.P. | F | Control |
| GTCR PARTNERS VIII, L.P. | DE | GTCR FUND VIII AIV, L.P. | F | Control |
| GTCR PARTNERS VIII, L.P. | DE | GTCR FUND VIII AIV, L.P. | F | Control |
| GTCR PARTNERS VIII, L.P. | DE | GTCR FUND VIII AIV, L.P. | F | Control |
| HEINEMAN, STEVEN P | I | CONVERGEX GROUP, LLC | F | Control |
| HEINEMAN, STEVEN P | I | CONVERGEX GROUP, LLC | F | Control |
| HEINEMAN, STEVEN P | I | CONVERGEX GROUP, LLC | F | Control |
| RAPPOLD, CHARLES EDWARD II | I | CONVERGEX GROUP, LLC | F | Control |
| RAPPOLD, CHARLES EDWARD II | I | CONVERGEX GROUP, LLC | F | Control |
| RAPPOLD, CHARLES EDWARD II | I | CONVERGEX GROUP, LLC | F | Control |
| VELLI, JOSEPH MARK | I | CONVERGEX GROUP, LLC | F | Control |
| VELLI, JOSEPH MARK | I | CONVERGEX GROUP, LLC | F | Control |
| CONVERGEX HOLDINGS, LLC | DE | CONVERGEX GROUP, LLC | E | Control |
| CONVERGEX HOLDINGS, LLC | DE | CONVERGEX GROUP, LLC | E | Control |
| CONVERGEX HOLDINGS, LLC | DE | CONVERGEX GROUP, LLC | E | Control |
| CONVERGEX HOLDINGS, LLC | DE | CONVERGEX GROUP, LLC | E | Control |
| CONVERGEX HOLDINGS, LLC | DE | CONVERGEX GROUP, LLC | E | Control |
| CONVERGEX HOLDINGS, LLC | DE | CONVERGEX GROUP, LLC | E | Control |
| CONVERGEX HOLDINGS, LLC | DE | CONVERGEX GROUP, LLC | E | Control |
| CONVERGEX HOLDINGS, LLC | DE | CONVERGEX GROUP, LLC | E | Control |
| CONVERGEX HOLDINGS, LLC | DE | CONVERGEX GROUP, LLC | E | Control |
| CONVERGEX HOLDINGS, LLC | DE | CONVERGEX GROUP, LLC | E | Control |
| CONVERGEX HOLDINGS, LLC | DE | CONVERGEX GROUP, LLC | E | Control |
| CONVERGEX HOLDINGS, LLC | DE | CONVERGEX GROUP, LLC | E | Control |
| CONVERGEX HOLDINGS,LLC | DE | BNY CONVERGEX GROUP,LLC | E | Control |
| CONVERGEX HOLDINGS,LLC | DE | BNY CONVERGEX GROUP,LLC | E | Control |
| CONVERGEX HOLDINGS,LLC | DE | BNY CONVERGEX GROUP,LLC | E | Control |
| CONVERGEX HOLDINGS,LLC | DE | BNY CONVERGEX GROUP,LLC | E | Control |
| CONVERGEX HOLDINGS,LLC | DE | BNY CONVERGEX GROUP,LLC | E | Control |
| CONVERGEX HOLDINGS,LLC | DE | BNY CONVERGEX GROUP,LLC | E | Control |
| CONVERGEX HOLDINGS,LLC | DE | BNY CONVERGEX GROUP,LLC | E | Control |
| CONVERGEX HOLDINGS,LLC, | DE | BNY CONVERGEX GROUP,LLC | E | Control |
| CONVERGEX HOLDINGS,LLC, | DE | BNY CONVERGEX GROUP,LLC | E | Control |
| CONVERGEX HOLDINGS,LLC, | DE | BNY CONVERGEX GROUP,LLC | E | Control |
| CONVERGEX HOLDINGS,LLC, | DE | BNY CONVERGEX GROUP,LLC | E | Control |
| CONVERGEX HOLDINGS,LLC, | DE | BNY CONVERGEX GROUP,LLC | E | Control |
| CONVERGEX HOLDINGS,LLC, | DE | BNY CONVERGEX GROUP,LLC | E | Control |
| CONVERGEX HOLDINGS,LLC, | DE | BNY CONVERGEX GROUP,LLC | E | Control |
| CONVERGEX HOLDINGS,LLC, | DE | BNY CONVERGEX GROUP,LLC | E | Control |
| CONVERGEX HOLDINGS,LLC, | DE | BNY CONVERGEX GROUP,LLC | E | Control |
| CONVERGEX HOLDINGS,LLC, | DE | BNY CONVERGEX GROUP,LLC | E | Control |
| CONVERGEX HOLDINGS,LLC, | DE | BNY CONVERGEX GROUP,LLC | E | Control |
| CONVERGEX HOLDINGS,LLC, | DE | BNY CONVERGEX GROUP,LLC | E | Control |
| CONVERGEX HOLDINGS,LLC, | DE | BNY CONVERGEX GROUP,LLC | E | Control |
| THE BANK OF NEW YORK MELLON CORPORATION | DE | AGENCY BROKERAGE HOLDINGS LLC | E | Control |
| THE BANK OF NEW YORK MELLON CORPORATION | DE | AGENCY BROKERAGE HOLDINGS LLC | E | Control |
| THE BANK OF NEW YORK MELLON CORPORATION | DE | AGENCY BROKERAGE HOLDINGS LLC | E | Control |
| THE BANK OF NEW YORK MELLON CORPORATION | DE | AGENCY BROKERAGE HOLDINGS LLC | E | Control |
| THE BANK OF NEW YORK MELLON CORPORATION | DE | AGENCY BROKERAGE HOLDINGS LLC | E | Control |
| THE BANK OF NEW YORK MELLON CORPORATION | DE | AGENCY BROKERAGE HOLDINGS LLC | E | Control |
| THE BANK OF NEW YORK MELLON CORPORATION | DE | AGENCY BROKERAGE HOLDINGS LLC | E | Control |
| THE BANK OF NEW YORK MELLON CORPORATION | DE | AGENCY BROKERAGE HOLDINGS LLC | E | Control |
| THE BANK OF NEW YORK MELLON CORPORATION | DE | AGENCY BROKERAGE HOLDINGS LLC | E | Control |
| THE BANK OF NEW YORK MELLON CORPORATION | DE | AGENCY BROKERAGE HOLDINGS LLC | E | Control |
| THE BANK OF NEW YORK MELLON CORPORATION | DE | AGENCY BROKERAGE HOLDINGS LLC | E | Control |
| THE BANK OF NEW YORK MELLON CORPORATION | DE | AGENCY BROKERAGE HOLDINGS LLC | E | Control |
| THE BANK OF NEW YORK MELLON CORPORATION | DE | AGENCY BROKERAGE HOLDINGS LLC | E | Control |
| THE BANK OF NEW YORK MELLON CORPORATION | DE | AGENCY BROKERAGE HOLDINGS LLC | E | Control |
| THE BANK OF NEW YORK MELLON CORPORATION | DE | AGENCY BROKERAGE HOLDING, LLC | E | Control |
| THE BANK OF NEW YORK MELLON CORPORATION | DE | AGENCY BROKERAGE HOLDING, LLC | E | Control |
| THE BANK OF NEW YORK MELLON CORPORATION | DE | AGENCY BROKERAGE HOLDING, LLC | E | Control |
| THE BANK OF NEW YORK MELLON CORPORATION | DE | AGENCY BROKERAGE HOLDING, LLC | E | Control |
| THE BANK OF NEW YORK MELLON CORPORATION | DE | AGENCY BROKERAGE HOLDING, LLC | E | Control |
| THE BANK OF NEW YORK MELLON CORPORATION | DE | AGENCY BROKERAGE HOLDING, LLC | E | Control |
| THE BANK OF NEW YORK MELLON CORPORATION | DE | AGENCY BROKERAGE HOLDING, LLC | E | Control |
| THE BANK OF NEW YORK MELLON CORPORATION | DE | AGENCY BROKERAGE HOLDING, LLC | E | Control |
| THE BANK OF NEW YORK MELLON CORPORATION | DE | AGENCY BROKERAGE HOLDING, LLC | E | Control |
| THE BANK OF NEW YORK MELLON CORPORATION | DE | AGENCY BROKERAGE HOLDING, LLC | E | Control |
| THE BANK OF NEW YORK MELLON CORPORATION | DE | AGENCY BROKERAGE HOLDING, LLC | E | Control |
| THE BANK OF NEW YORK MELLON CORPORATION | DE | AGENCY BROKERAGE HOLDING, LLC | E | Control |
| AGENCY BROKERAGE HOLDING, LLC | DE | CONVERGEX HOLDINGS, LLC | C | Control |
| AGENCY BROKERAGE HOLDING, LLC | DE | CONVERGEX HOLDINGS, LLC | C | Control |
| AGENCY BROKERAGE HOLDING, LLC | DE | CONVERGEX HOLDINGS, LLC | C | Control |
| AGENCY BROKERAGE HOLDING, LLC | DE | CONVERGEX HOLDINGS, LLC | C | Control |
| AGENCY BROKERAGE HOLDING, LLC | DE | CONVERGEX HOLDINGS, LLC | C | Control |
| AGENCY BROKERAGE HOLDING, LLC | DE | CONVERGEX HOLDINGS, LLC | C | Control |
| AGENCY BROKERAGE HOLDING, LLC | DE | CONVERGEX HOLDINGS, LLC | C | Control |
| AGENCY BROKERAGE HOLDING, LLC | DE | CONVERGEX HOLDINGS, LLC | C | Control |
| AGENCY BROKERAGE HOLDING, LLC | DE | CONVERGEX HOLDINGS, LLC | C | Control |
| AGENCY BROKERAGE HOLDING, LLC | DE | CONVERGEX HOLDINGS, LLC | C | Control |
| AGENCY BROKERAGE HOLDING, LLC | DE | CONVERGEX HOLDINGS, LLC | C | Control |
| AGENCY BROKERAGE HOLDING, LLC | DE | CONVERGEX HOLDINGS, LLC | C | Control |
| AGENCY BROKERAGE HOLDINGS, LLC | DE | CONVERGEX HOLDINGS,LLC | C | Control |
| AGENCY BROKERAGE HOLDINGS, LLC | DE | CONVERGEX HOLDINGS,LLC | C | Control |
| AGENCY BROKERAGE HOLDINGS, LLC | DE | CONVERGEX HOLDINGS,LLC | C | Control |
| AGENCY BROKERAGE HOLDINGS, LLC | DE | CONVERGEX HOLDINGS,LLC | C | Control |
| AGENCY BROKERAGE HOLDINGS, LLC | DE | CONVERGEX HOLDINGS,LLC | C | Control |
| AGENCY BROKERAGE HOLDINGS, LLC | DE | CONVERGEX HOLDINGS,LLC | C | Control |
| AGENCY BROKERAGE HOLDINGS, LLC | DE | CONVERGEX HOLDINGS,LLC | C | Control |
| AGENCY BROKERAGE HOLDINGS, LLC | DE | CONVERGEX HOLDINGS,LLC | C | Control |
| AGENCY BROKERAGE HOLDINGS, LLC | DE | CONVERGEX HOLDINGS,LLC | C | Control |
| AGENCY BROKERAGE HOLDINGS, LLC | DE | CONVERGEX HOLDINGS,LLC | C | Control |
| AGENCY BROKERAGE HOLDINGS, LLC | DE | CONVERGEX HOLDINGS,LLC | C | Control |
| AGENCY BROKERAGE HOLDINGS, LLC | DE | CONVERGEX HOLDINGS,LLC | C | Control |
| AGENCY BROKERAGE HOLDINGS, LLC | DE | CONVERGEX HOLDINGS,LLC | C | Control |
| AGENCY BROKERAGE HOLDINGS, LLC | DE | CONVERGEX HOLDINGS,LLC | C | Control |
| GTCR FUND VIII AIV, L.P. | DE | CONVERGEX HOLDINGS, LLC | C | Control |
| GTCR FUND VIII AIV, L.P. | DE | CONVERGEX HOLDINGS, LLC | C | Control |
| GTCR FUND VIII AIV, L.P. | DE | CONVERGEX HOLDINGS, LLC | C | Control |
| GTCR FUNDVIII AIV, L.P. | DE | CONVERGEX HOLDINGS, LLC | C | Control |
| GTCR FUNDVIII AIV, L.P. | DE | CONVERGEX HOLDINGS, LLC | C | Control |
| GTCR FUNDVIII AIV, L.P. | DE | CONVERGEX HOLDINGS, LLC | C | Control |
| GTCR FUNDVIII AIV, L.P. | DE | CONVERGEX HOLDINGS, LLC | C | Control |
| GTCR FUNDVIII AIV, L.P. | DE | CONVERGEX HOLDINGS, LLC | C | Control |
| GTCR FUNDVIII AIV, L.P. | DE | CONVERGEX HOLDINGS, LLC | C | Control |
| GTCR FUNDVIII AIV, L.P. | DE | CONVERGEX HOLDINGS, LLC | C | Control |
| GTCR FUNDVIII AIV, L.P. | DE | CONVERGEX HOLDINGS, LLC | C | Control |
| GTCR FUNDVIII AIV, L.P. | DE | CONVERGEX HOLDINGS, LLC | C | Control |
| GTCR FUNDVIII AIV, L.P. | DE | CONVERGEX HOLDINGS, LLC | C | Control |
| GTCR FUNDVIII AIV, L.P. | DE | CONVERGEX HOLDINGS, LLC | C | Control |
| GTCR FUNDVIII AIV, L.P. | DE | CONVERGEX HOLDINGS, LLC | C | Control |
| GTCR FUNDVIII AIV, L.P. | DE | CONVERGEX HOLDINGS, LLC | C | Control |
| GTCR FUNDVIII AIV, L.P. | DE | CONVERGEX HOLDINGS, LLC | C | Control |
| GTCR FUNDVIII AIV, L.P. | DE | CONVERGEX HOLDINGS, LLC | C | Control |
| GTCR FUNDVIII AIV, L.P. | DE | CONVERGEX HOLDINGS, LLC | C | Control |
| GTCR FUNDVIII AIV, L.P. | DE | CONVERGEX HOLDINGS, LLC | C | Control |
| GTCR FUNDVIII AIV, L.P. | DE | CONVERGEX HOLDINGS, LLC | C | Control |
| GTCR FUNDVIII AIV, L.P. | DE | CONVERGEX HOLDINGS, LLC | C | Control |
| GTCR FUNDVIII AIV, L.P. | DE | CONVERGEX HOLDINGS, LLC | C | Control |
| GTCR FUNDVIII AIV, L.P. | DE | CONVERGEX HOLDINGS, LLC | C | Control |
| GTCR FUNDVIII AIV, L.P. | DE | CONVERGEX HOLDINGS, LLC | C | Control |
| GTCR FUNDVIII AIV, L.P. | DE | CONVERGEX HOLDINGS, LLC | C | Control |
| GTCR FUNDVIII AIV, L.P. | DE | CONVERGEX HOLDINGS, LLC | C | Control |
| GTCR FUNDVIII AIV, L.P. | DE | CONVERGEX HOLDINGS, LLC | C | Control |
| GTCR FUNDVIII AIV, L.P. | DE | CONVERGEX HOLDINGS, LLC | C | Control |
| GTCR FUNDVIII AIV, L.P. | DE | CONVERGEX HOLDINGS, LLC | C | Control |
| GTCR FUNDVIII AIV, L.P. | DE | CONVERGEX HOLDINGS, LLC | C | Control |
| GTCR FUNDVIII AIV, L.P. | DE | CONVERGEX HOLDINGS, LLC | C | Control |
| THE BANK OF NEW YORK COMPANY, INC. | DE | CONVERGEX HOLDINGS, LLC | C | Control |
| THE BANK OF NEW YORK COMPANY, INC. | DE | CONVERGEX HOLDINGS, LLC | C | Control |
| THE BANK OF NEW YORK COMPANY, INC. | DE | CONVERGEX HOLDINGS, LLC | C | Control |
| THE BANK OF NEW YORK COMPANY, INC. | DE | CONVERGEX HOLDINGS, LLC | C | Control |
| THE BANK OF NEW YORK COMPANY, INC. | DE | CONVERGEX HOLDINGS, LLC | C | Control |
| THE BANK OF NEW YORK MELLON CORPORATION | DE | CONVERGEX HOLDINGS, LLC | C | Control |
Registrations
Federal
IA
Apr 30, 2012 REGISTERED
Notice Filings (51)
AK AL AR AZ CA CO CT DC DE FL GA HI IA ID IL IN KS KY LA MA MD ME MI MN MO MS MT NC ND NE NH NJ NM NV NY OH OK OR PA PR RI SC SD TN TX UT VA VT WA WI WV
Address
1633 BROADWAY48TH FLOOR
NEW YORK, NY 10019
United States
Phone: 800-828-5454