HORNOR, TOWNSEND & KENT, LLC
CRD #4031 SEC #801-56151 CONSHOHOCKEN, PA 215-957-7300
SEC Registered Broker-Dealer Disclosures
Total AUM
$7.8B
Discretionary
$377.9M
Employees
442
Clients
101
Accounts
31,522
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
- Aug 11, 2025
- Branch Offices
- 163
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 ROBERTO | I | CHIEF COMPLIANCE OFFICER | NA | |
| ALBINO, JASON ROBERTO | I | CHIEF COMPLIANCE OFFICER | NA | |
| ALBINO, JASON ROBERTO | I | CHIEF COMPLIANCE OFFICER | NA | |
| ALBINO, JASON ROBERTO | I | CHIEF COMPLIANCE OFFICER | NA | |
| ALBINO, JASON ROBERTO | I | CHIEF COMPLIANCE OFFICER | NA | |
| ALBINO, JASON ROBERTO | I | CHIEF COMPLIANCE OFFICER | NA | |
| ALBINO, JASON ROBERTO | I | CHIEF COMPLIANCE OFFICER | NA | |
| ALBINO, JASON ROBERTO | I | CHIEF COMPLIANCE OFFICER | NA | |
| ALBINO, JASON ROBERTO | I | CHIEF COMPLIANCE OFFICER | NA | |
| ALBINO, JASON ROBERTO | I | CHIEF COMPLIANCE OFFICER | NA | |
| ALBINO, JASON ROBERTO | I | CHIEF COMPLIANCE OFFICER | NA | |
| ALBINO, JASON ROBERTO | I | CHIEF COMPLIANCE OFFICER | NA | |
| ALBINO, JASON ROBERTO | I | CHIEF COMPLIANCE OFFICER | NA | |
| ALBINO, JASON ROBERTO | I | CHIEF COMPLIANCE OFFICER | NA | |
| ALBINO, JASON ROBERTO | I | CHIEF COMPLIANCE OFFICER | NA | |
| ALBINO, JASON ROBERTO | I | CHIEF COMPLIANCE OFFICER | NA | |
| ALBINO, JASON ROBERTO | I | CHIEF COMPLIANCE OFFICER | NA | |
| ALBINO, JASON ROBERTO | I | CHIEF COMPLIANCE OFFICER | NA | |
| ALBINO, JASON ROBERTO | I | CHIEF COMPLIANCE OFFICER | NA | |
| ALBINO, JASON ROBERTO | I | CHIEF COMPLIANCE OFFICER | NA | |
| ALBINO, JASON ROBERTO | I | CHIEF COMPLIANCE OFFICER | NA | |
| ALBINO, JASON ROBERTO | I | CHIEF COMPLIANCE OFFICER | NA | |
| ALBINO, JASON ROBERTO | I | CHIEF COMPLIANCE OFFICER | NA | |
| AYRES, DAVID EDSON | I | VICE-PRESIDENT | NA | |
| AYRES, DAVID EDSON | I | VICE-PRESIDENT | NA | |
| AYRES, DAVID EDSON | I | VICE-PRESIDENT | NA | |
| AYRES, DAVID EDSON | I | VICE-PRESIDENT | NA | |
| AYRES, DAVID EDSON | I | VICE-PRESIDENT | NA | |
| AYRES, DAVID EDSON | I | VICE-PRESIDENT | NA | |
| AYRES, DAVID EDSON | I | VICE-PRESIDENT | NA | |
| BARRY, MICHELLE ANNE | I | AVP, SALES SUPPORT & ADVISORY SERVICES | NA | |
| BARRY, MICHELLE ANNE | I | VICE PRESIDENT - MARKETING | NA | |
| BARRY, MICHELLE ANNE | I | VICE PRESIDENT - MARKETING | NA | |
| BARRY, MICHELLE ANNE | I | VICE PRESIDENT - MARKETING | NA | |
| BARRY, MICHELLE ANNE | I | AVP, SALES SUPPORT/REGISTERED INVESTMENT ADVISORY | NA | |
| BARRY, MICHELLE ANNE | I | PRESIDENT, CHIEF EXECUTIVE OFFICER & DIRECTOR | NA | Control |
| BARRY, MICHELLE ANNE | I | PRESIDENT, CHIEF EXECUTIVE OFFICER; INTERIM CHIEF COMPLIANCE OFFICER; INTERIM ANTI-MONEY LAUNDERING OFFICER & DIRECTOR | NA | Control |
| BARRY, MICHELLE ANNE | I | AVP, SALES SUPPORT/REGISTERED INVESTMENT ADVISORY | NA | |
| BARRY, MICHELLE ANNE | I | AVP, SALES SUPPORT/REGISTERED INVESTMENT ADVISORY | NA | |
| BARRY, MICHELLE ANNE | I | AVP, SALES SUPPORT/REGISTERED INVESTMENT ADVISORY | NA | |
| BARRY, MICHELLE ANNE | I | PRESIDENT, CHIEF EXECUTIVE OFFICER & DIRECTOR | NA | Control |
| BARRY, MICHELLE ANNE | I | PRESIDENT, CHIEF EXECUTIVE OFFICER & DIRECTOR | NA | Control |
| BARRY, MICHELLE ANNE | I | PRESIDENT, CHIEF EXECUTIVE OFFICER; INTERIM CHIEF COMPLIANCE OFFICER & DIRECTOR | NA | Control |
| BARRY, MICHELLE ANNE | I | PRESIDENT, CHIEF EXECUTIVE OFFICER; INTERIM CHIEF COMPLIANCE OFFICER; INTERIM ANTI-MONEY LAUNDERING OFFICER & DIRECTOR | NA | Control |
| BARRY, MICHELLE ANNE | I | VICE PRESIDENT - MARKETING | NA | |
| BARRY, MICHELLE ANNE | I | VICE PRESIDENT - MARKETING | NA | |
| BARRY, MICHELLE ANNE | I | PRESIDENT, CHIEF EXECUTIVE OFFICER & DIRECTOR | NA | Control |
| BARRY, MICHELLE ANNE | I | PRESIDENT, CHIEF EXECUTIVE OFFICER; INTERIM CHIEF COMPLIANCE OFFICER & DIRECTOR | NA | Control |
| BARRY, MICHELLE ANNE | I | PRESIDENT, CHIEF EXECUTIVE OFFICER; INTERIM CHIEF COMPLIANCE OFFICER & DIRECTOR | NA | Control |
| BARRY, MICHELLE ANNE | I | PRESIDENT & CHIEF EXECUTIVE OFFICER | NA | Control |
| BARRY, MICHELLE ANNE | I | PRESIDENT, CHIEF EXECUTIVE OFFICER; INTERIM CHIEF COMPLIANCE OFFICER & DIRECTOR | NA | Control |
| BARRY, MICHELLE ANNE | I | PRESIDENT, CHIEF EXECUTIVE OFFICER; INTERIM CHIEF COMPLIANCE OFFICER & DIRECTOR | NA | Control |
| BARRY, MICHELLE ANNE | I | PRESIDENT, CHIEF EXECUTIVE OFFICER; INTERIM CHIEF COMPLIANCE OFFICER & DIRECTOR | NA | Control |
| BARRY, MICHELLE ANNE | I | PRESIDENT, CHIEF EXECUTIVE OFFICER; & DIRECTOR | NA | Control |
| BARRY, MICHELLE ANNE | I | PRESIDENT, CHIEF EXECUTIVE OFFICER; & DIRECTOR | NA | Control |
| BARRY, MICHELLE ANNE | I | PRESIDENT, CHIEF EXECUTIVE OFFICER; & DIRECTOR | NA | Control |
| BARRY, MICHELLE ANNE | I | PRESIDENT, CHIEF EXECUTIVE OFFICER; & DIRECTOR | NA | Control |
| BARRY, MICHELLE ANNE | I | PRESIDENT, CHIEF EXECUTIVE OFFICER; & DIRECTOR | NA | Control |
| BARRY, MICHELLE ANNE | I | PRESIDENT, CHIEF EXECUTIVE OFFICER; & DIRECTOR | NA | Control |
| BARRY, MICHELLE ANNE | I | PRESIDENT, CHIEF EXECUTIVE OFFICER; & DIRECTOR | NA | Control |
| BARRY, MICHELLE ANNE | I | PRESIDENT, CHIEF EXECUTIVE OFFICER; & DIRECTOR | NA | Control |
| BARRY, MICHELLE ANNE | I | PRESIDENT, CHIEF EXECUTIVE OFFICER; & DIRECTOR | NA | Control |
| BARRY, MICHELLE ANNE | I | PRESIDENT, CHIEF EXECUTIVE OFFICER; & DIRECTOR | NA | Control |
| BARRY, MICHELLE ANNE | I | PRESIDENT, CHIEF EXECUTIVE OFFICER; & DIRECTOR | NA | Control |
| BARRY, MICHELLE ANNE | I | PRESIDENT, CHIEF EXECUTIVE OFFICER; & DIRECTOR | NA | Control |
| BARRY, MICHELLE ANNE | I | PRESIDENT, CHIEF EXECUTIVE OFFICER; INTERIM CHIEF COMPLIANCE OFFICER & DIRECTOR | NA | Control |
| BARRY, MICHELLE ANNE | I | PRESIDENT, CHIEF EXECUTIVE OFFICER; & DIRECTOR | NA | Control |
| BARRY, MICHELLE ANNE | I | PRESIDENT, CHIEF EXECUTIVE OFFICER; & DIRECTOR | NA | Control |
| BARRY, MICHELLE ANNE | I | PRESIDENT, CHIEF EXECUTIVE OFFICER; & DIRECTOR | NA | Control |
| BARRY, MICHELLE ANNE | I | PRESIDENT, CHIEF EXECUTIVE OFFICER; & DIRECTOR | NA | Control |
| BARRY, MICHELLE ANNE | I | PRESIDENT, CHIEF EXECUTIVE OFFICER; & DIRECTOR | NA | Control |
| BARRY, MICHELLE ANNE | I | PRESIDENT, CHIEF EXECUTIVE OFFICER; & DIRECTOR | NA | Control |
| BARRY, MICHELLE ANNE | I | PRESIDENT, CHIEF EXECUTIVE OFFICER; & DIRECTOR | NA | Control |
| BARRY, MICHELLE ANNE | I | PRESIDENT, CHIEF EXECUTIVE OFFICER; INTERIM CHIEF COMPLIANCE OFFICER & DIRECTOR | NA | Control |
| BARRY, MICHELLE ANNE | I | PRESIDENT, CHIEF EXECUTIVE OFFICER; & DIRECTOR | NA | Control |
| BARRY, MICHELLE ANNE | I | PRESIDENT, CHIEF EXECUTIVE OFFICER; & DIRECTOR | NA | Control |
| BARRY, MICHELLE ANNE | I | PRESIDENT, CHIEF EXECUTIVE OFFICER; & DIRECTOR | NA | Control |
| BARRY, MICHELLE ANNE | I | PRESIDENT, CHIEF EXECUTIVE OFFICER; & DIRECTOR | NA | Control |
| BARRY, MICHELLE ANNE | I | PRESIDENT, CHIEF EXECUTIVE OFFICER; DIRECTOR & CHIEF COMPLIANCE OFFICER | NA | Control |
| BARRY, MICHELLE ANNE | I | PRESIDENT, CHIEF EXECUTIVE OFFICER; DIRECTOR & CHIEF COMPLIANCE OFFICER | NA | Control |
| BARRY, MICHELLE ANNE | I | PRESIDENT, CHIEF EXECUTIVE OFFICER; DIRECTOR | NA | Control |
| BARRY, MICHELLE ANNE | I | PRESIDENT, CHIEF EXECUTIVE OFFICER; DIRECTOR | NA | Control |
| BARRY, MICHELLE ANNE | I | PRESIDENT, CHIEF EXECUTIVE OFFICER; DIRECTOR | NA | Control |
| BARRY, MICHELLE ANNE | I | PRESIDENT, CHIEF EXECUTIVE OFFICER; DIRECTOR | NA | Control |
| BARRY, MICHELLE ANNE | I | PRESIDENT, CHIEF EXECUTIVE OFFICER; DIRECTOR | NA | Control |
| BARRY, MICHELLE ANNE | I | PRESIDENT, CHIEF EXECUTIVE OFFICER; DIRECTOR | NA | Control |
| BARRY, MICHELLE ANNE | I | PRESIDENT, CHIEF EXECUTIVE OFFICER; DIRECTOR | NA | Control |
| BENNETT, CHARLES LUTIE | I | VICE PRESIDENT OF MARKET CONDUCT AND COMPLIANCE | NA | |
| BENNETT, CHARLES LUTIE | I | VICE PRESIDENT OF MARKET CONDUCT AND COMPLIANCE | NA | |
| BENNETT, CHARLES LUTIE | I | VICE PRESIDENT OF MARKET CONDUCT AND COMPLIANCE | NA | |
| BENNETT, CHARLES LUTIE | I | VICE PRESIDENT OF MARKET CONDUCT AND COMPLIANCE | NA | |
| BENNETT, CHARLES LUTIE | I | VICE PRESIDENT OF MARKET CONDUCT AND COMPLIANCE | NA | |
| BENNETT, CHARLES LUTIE | I | VICE PRESIDENT OF MARKET CONDUCT AND COMPLIANCE | NA | |
| BENNETT, CHARLES LUTIE | I | VICE PRESIDENT OF MARKET CONDUCT AND COMPLIANCE | NA | |
| BENNETT, CHARLES LUTIE | I | VICE PRESIDENT OF MARKET CONDUCT AND COMPLIANCE | NA | |
| BENNETT, CHARLES LUTIE | I | VICE PRESIDENT OF MARKET CONDUCT AND COMPLIANCE | NA | |
| BENNETT, CHARLES LUTIE | I | VICE PRESIDENT OF MARKET CONDUCT AND COMPLIANCE | NA | |
| BEST JR., FRANKLIN LUTHER | I | COUNSEL & SECRETARY | NA | |
| BEST JR., FRANKLIN LUTHER | I | COUNSEL & SECRETARY | NA | |
| BEST JR., FRANKLIN LUTHER | I | COUNSEL & SECRETARY | NA | |
| BEST JR., FRANKLIN LUTHER | I | COUNSEL & SECRETARY | NA | |
| BEST JR., FRANKLIN LUTHER | I | COUNSEL & SECRETARY | NA | |
| BEST JR., FRANKLIN LUTHER | I | COUNSEL & SECRETARY | NA | |
| BEST JR., FRANKLIN LUTHER | I | COUNSEL & SECRETARY | NA | |
| BEST JR., FRANKLIN LUTHER | I | COUNSEL & SECRETARY | NA | |
| BEST JR., FRANKLIN LUTHER | I | COUNSEL & SECRETARY | NA | |
| BEST JR., FRANKLIN LUTHER | I | COUNSEL & SECRETARY | NA | |
| BEST JR., FRANKLIN LUTHER | I | COUNSEL & SECRETARY | NA | |
| BEST JR., FRANKLIN LUTHER | I | COUNSEL & SECRETARY | NA | |
| BEST JR., FRANKLIN LUTHER | I | COUNSEL & SECRETARY | NA | |
| BEST JR., FRANKLIN LUTHER | I | COUNSEL & SECRETARY | NA | |
| BEST JR., FRANKLIN LUTHER | I | COUNSEL & SECRETARY | NA | |
| BEST JR., FRANKLIN LUTHER | I | COUNSEL & SECRETARY | NA | |
| BEST JR., FRANKLIN LUTHER | I | COUNSEL & SECRETARY | NA | |
| BEST JR., FRANKLIN LUTHER | I | COUNSEL & SECRETARY | NA | |
| BEST JR., FRANKLIN LUTHER | I | COUNSEL & SECRETARY | NA | |
| BEST JR., FRANKLIN LUTHER | I | COUNSEL & SECRETARY | NA | |
| BEST JR., FRANKLIN LUTHER | I | COUNSEL & SECRETARY | NA | |
| BEST JR., FRANKLIN LUTHER | I | COUNSEL & SECRETARY | NA | |
| BEST JR., FRANKLIN LUTHER | I | COUNSEL & SECRETARY | NA | |
| BEST JR., FRANKLIN LUTHER | I | COUNSEL & SECRETARY | NA | |
| BEST JR., FRANKLIN LUTHER | I | COUNSEL & SECRETARY | NA | |
| BEST JR., FRANKLIN LUTHER | I | COUNSEL & SECRETARY | NA | |
| BEST JR., FRANKLIN LUTHER | I | COUNSEL & SECRETARY | NA | |
| BEST JR., FRANKLIN LUTHER | I | COUNSEL & SECRETARY | NA | |
| BEST JR., FRANKLIN LUTHER | I | COUNSEL & SECRETARY | NA | |
| BEST JR., FRANKLIN LUTHER | I | COUNSEL & SECRETARY | NA | |
| BEST JR., FRANKLIN LUTHER | I | COUNSEL & SECRETARY | NA | |
| BEST JR., FRANKLIN LUTHER | I | COUNSEL & SECRETARY | NA | |
| BEST JR., FRANKLIN LUTHER | I | COUNSEL & SECRETARY | NA | |
| BEST JR., FRANKLIN LUTHER | I | COUNSEL & SECRETARY | NA | |
| BEST JR., FRANKLIN LUTHER | I | COUNSEL & SECRETARY | NA | |
| BEST JR., FRANKLIN LUTHER | I | COUNSEL & SECRETARY | NA | |
| BEST JR., FRANKLIN LUTHER | I | COUNSEL & SECRETARY | NA | |
| BEST JR., FRANKLIN LUTHER | I | COUNSEL & SECRETARY | NA | |
| BEST JR., FRANKLIN LUTHER | I | COUNSEL & SECRETARY | NA | |
| BEST JR., FRANKLIN LUTHER | I | COUNSEL & SECRETARY | NA | |
| BEST JR., FRANKLIN LUTHER | I | COUNSEL & SECRETARY | NA | |
| BEST JR., FRANKLIN LUTHER | I | COUNSEL & SECRETARY | NA | |
| BEST JR., FRANKLIN LUTHER | I | COUNSEL & SECRETARY | NA | |
| BEST JR., FRANKLIN LUTHER | I | COUNSEL & SECRETARY | NA | |
| BEST JR., FRANKLIN LUTHER | I | COUNSEL & SECRETARY | NA | |
| BEST JR., FRANKLIN LUTHER | I | COUNSEL & SECRETARY | NA | |
| BEST JR., FRANKLIN LUTHER | I | COUNSEL & SECRETARY | NA | |
| BEST JR., FRANKLIN LUTHER | I | COUNSEL & SECRETARY | NA | |
| BEST JR., FRANKLIN LUTHER | I | COUNSEL & SECRETARY | NA | |
| BEST JR., FRANKLIN LUTHER | I | COUNSEL & SECRETARY | NA | |
| BEST JR., FRANKLIN LUTHER | I | COUNSEL & SECRETARY | NA | |
| BEST JR., FRANKLIN LUTHER | I | COUNSEL & SECRETARY | NA | |
| BEST JR., FRANKLIN LUTHER | I | COUNSEL & SECRETARY | NA | |
| BEST JR., FRANKLIN LUTHER | I | COUNSEL & SECRETARY | NA | |
| BEST JR., FRANKLIN LUTHER | I | COUNSEL & SECRETARY | NA | |
| BEST JR., FRANKLIN LUTHER | I | COUNSEL & SECRETARY | NA | |
| BEST JR., FRANKLIN LUTHER | I | COUNSEL & SECRETARY | NA | |
| BEST JR., FRANKLIN LUTHER | I | COUNSEL & SECRETARY | NA | |
| BEST JR., FRANKLIN LUTHER | I | COUNSEL & SECRETARY | NA | |
| BEST JR., FRANKLIN LUTHER | I | COUNSEL & SECRETARY | NA | |
| BEST JR., FRANKLIN LUTHER | I | COUNSEL & SECRETARY | NA | |
| BEST JR., FRANKLIN LUTHER | I | COUNSEL & SECRETARY | NA | |
| BEST JR., FRANKLIN LUTHER | I | COUNSEL & SECRETARY | NA | |
| BEST JR., FRANKLIN LUTHER | I | COUNSEL & SECRETARY | NA | |
| BEST JR., FRANKLIN LUTHER | I | COUNSEL & SECRETARY | NA | |
| BEST JR., FRANKLIN LUTHER | I | COUNSEL & SECRETARY | NA | |
| BEST JR., FRANKLIN LUTHER | I | COUNSEL & SECRETARY | NA | |
| BEST JR., FRANKLIN LUTHER | I | COUNSEL & SECRETARY | NA | |
| BEST JR., FRANKLIN LUTHER | I | COUNSEL & SECRETARY | NA | |
| BEST JR., FRANKLIN LUTHER | I | COUNSEL & SECRETARY | NA | |
| BEST JR., FRANKLIN LUTHER | I | COUNSEL & SECRETARY | NA | |
| BEST JR., FRANKLIN LUTHER | I | COUNSEL & SECRETARY | NA | |
| BEST JR., FRANKLIN LUTHER | I | COUNSEL & SECRETARY | NA | |
| BEST JR., FRANKLIN LUTHER | I | COUNSEL & SECRETARY | NA | |
| BEST JR., FRANKLIN LUTHER | I | COUNSEL & SECRETARY | NA | |
| BIONDOLILLO, MICHAEL ANDREW | I | DIRECTOR | NA | Control |
| BIONDOLILLO, MICHAEL ANDREW | I | DIRECTOR | NA | Control |
| BIONDOLILLO, MICHAEL ANDREW | I | DIRECTOR | NA | Control |
| BIONDOLILLO, MICHAEL ANDREW | I | DIRECTOR | NA | Control |
| BIONDOLILLO, MICHAEL ANDREW | I | DIRECTOR | NA | Control |
| BIONDOLILLO, MICHAEL ANDREW | I | DIRECTOR | NA | Control |
| BIONDOLILLO, MICHAEL ANDREW | I | DIRECTOR | NA | Control |
| BIONDOLILLO, MICHAEL ANDREW | I | DIRECTOR | NA | Control |
| BIONDOLILLO, MICHAEL, A | I | DIRECTOR | NA | Control |
| BIONDOLILLO, MICHAEL, A | I | DIRECTOR | NA | Control |
| BIONDOLILLO, MICHAEL, A | I | DIRECTOR | NA | Control |
| BIONDOLILLO, MICHAEL, A | I | DIRECTOR | NA | Control |
| BIONDOLILLO, MICHAEL, A | I | DIRECTOR | NA | Control |
| BIONDOLILLO, MICHAEL, A | I | DIRECTOR | NA | Control |
| BIONDOLILLO, MICHAEL, A | I | DIRECTOR | NA | Control |
| BIONDOLILLO, MICHAEL, A | I | DIRECTOR | NA | Control |
| BIONDOLILLO, MICHAEL, A | I | DIRECTOR | NA | Control |
| BUCK, HENRY R | I | VICE PRESIDENT, TREASURER | NA | Control |
| CARBEE, PATRICIA LEE | I | SENIOR VICE-PRESIDENT OF SALES & MARKETING | NA | |
| CARBEE, PATRICIA LEE | I | SENIOR VICE-PRESIDENT OF SALES & MARKETING | NA | |
| CARBEE, PATRICIA LEE | I | SENIOR VICE-PRESIDENT OF SALES & MARKETING | NA | |
| CARBEE, PATRICIA LEE | I | SENIOR VICE-PRESIDENT OF SALES & MARKETING | NA | |
| CARBEE, PATRICIA LEE | I | SENIOR VICE-PRESIDENT OF SALES & MARKETING | NA | |
| CARBEE, PATRICIA LEE | I | SENIOR VICE-PRESIDENT OF SALES & MARKETING | NA | |
| CARBEE, PATRICIA LEE | I | SENIOR VICE-PRESIDENT OF SALES & MARKETING | NA | |
| CARBEE, PATRICIA LEE | I | VICE-PRESIDENT OF SALES & MARKETING | NA | |
| CARBEE, PATRICIA LEE | I | SENIOR VICE-PRESIDENT OF SALES & MARKETING | NA | |
| CARBEE, PATRICIA LEE | I | SENIOR VICE-PRESIDENT OF SALES & MARKETING | NA | |
| CARBEE, PATRICIA LEE | I | SENIOR VICE-PRESIDENT OF SALES & MARKETING | NA | |
| CARBEE, PATRICIA LEE | I | SENIOR VICE-PRESIDENT OF SALES & MARKETING | NA | |
| CARBEE, PATRICIA LEE | I | SENIOR VICE-PRESIDENT OF SALES & MARKETING | NA | |
| CARBEE, PATRICIA LEE | I | SENIOR VICE-PRESIDENT OF SALES & MARKETING | NA | |
| CARBEE, PATRICIA LEE | I | SENIOR VICE-PRESIDENT OF SALES & MARKETING | NA | |
| CARBEE, PATRICIA LEE | I | SENIOR VICE-PRESIDENT OF SALES & MARKETING | NA | |
| CARBEE, PATRICIA LEE | I | SENIOR VICE-PRESIDENT OF SALES & MARKETING | NA | |
| CARBEE, PATRICIA LEE | I | SENIOR VICE-PRESIDENT OF SALES & MARKETING | NA | |
| CARBEE, PATRICIA LEE | I | SENIOR VICE-PRESIDENT OF SALES & MARKETING | NA | |
| CARRA, JOSEPH PAUL JR | I | DIRECTOR, HTK COMMISSIONS | NA | |
| CARRA, JOSEPH PAUL JR | I | DIRECTOR, HTK COMMISSIONS | NA | |
| CARRA, JOSEPH PAUL JR | I | DIRECTOR, HTK COMMISSIONS | NA | |
| CARRA, JOSEPH PAUL JR | I | DIRECTOR, HTK COMMISSIONS | NA | |
| CARRA, JOSEPH PAUL JR | I | DIRECTOR, HTK COMMISSIONS | NA | |
| CARRA, JOSEPH PAUL JR | I | DIRECTOR, HTK COMMISSIONS | NA | |
| CAUCCI, RAYMOND GERARD | I | DIRECTOR | NA | Control |
| CAUCCI, RAYMOND GERARD | I | DIRECTOR | NA | Control |
| CAUCCI, RAYMOND GERARD | I | DIRECTOR | NA | Control |
| CAUCCI, RAYMOND GERARD | I | DIRECTOR | NA | Control |
| CAUCCI, RAYMOND GERARD | I | DIRECTOR | NA | Control |
| CAUCCI, RAYMOND GERARD | I | DIRECTOR | NA | Control |
| CAUCCI, RAYMOND GERARD | I | DIRECTOR | NA | Control |
| CAUCCI, RAYMOND GERARD | I | DIRECTOR | NA | Control |
| CAUCCI, RAYMOND GERARD | I | DIRECTOR | NA | Control |
| CAUCCI, RAYMOND GERARD | I | DIRECTOR | NA | Control |
| CAUCCI, RAYMOND GERARD | I | DIRECTOR | NA | Control |
| CAUCCI, RAYMOND GERARD | I | DIRECTOR | NA | Control |
| CHIARLANZA, PATRICIA M | I | ASSISTANT TREASURER | NA | |
| CHIARLANZA, PATRICIA M | I | ASSISTANT TREASURER | NA | |
| CHIARLANZA, PATRICIA M | I | ASSISTANT TREASURER | NA | |
| CHIARLANZA, PATRICIA M | I | ASSISTANT TREASURER | NA | |
| CHIARLANZA, PATRICIA M | I | ASSISTANT TREASURER | NA | |
| CHIARLANZA, PATRICIA M | I | ASSISTANT TREASURER | NA | |
| CHIARLANZA, PATRICIA M | I | TREASURER | NA | |
| CHIARLANZA, PATRICIA M | I | TREASURER | NA | |
| CLARK, JAMES BRIAN | I | COMPLIANCE REGISTERED OPTIONS PRINCIPAL | NA | |
| CLARK, JAMES BRIAN | I | COMPLIANCE REGISTERED OPTIONS PRINCIPAL | NA | |
| CLARK, JAMES BRIAN | I | REGISTERED OPTIONS AND SECURITIES FUTURES PRINCIPAL | NA | |
| CLARK, JAMES BRIAN | I | REGISTERED OPTIONS AND SECURITIES FUTURES PRINCIPAL | NA | |
| CLARK, JAMES BRIAN | I | COMPLIANCE REGISTERED OPTIONS PRINCIPAL | NA | |
| CLARK, JAMES BRIAN | I | COMPLIANCE REGISTERED OPTIONS PRINCIPAL | NA | |
| CLARK, JAMES BRIAN | I | COMPLIANCE REGISTERED OPTIONS PRINCIPAL | NA | |
| CLARK, JAMES BRIAN | I | REGISTERED OPTIONS AND SECURITIES FUTURES PRINCIPAL | NA | |
| CLARK, JAMES BRIAN | I | REGISTERED OPTIONS AND SECURITIES FUTURES PRINCIPAL | NA | |
| CLARK, JAMES BRIAN | I | REGISTERED OPTIONS AND SECURITIES FUTURES PRINCIPAL | NA | |
| CLARK, JAMES BRIAN | I | REGISTERED OPTIONS AND SECURITIES FUTURES PRINCIPAL | NA | |
| CLARK, JAMES BRIAN | I | COMPLIANCE REGISTERED OPTIONS PRINCIPAL | NA | |
| CLARK, JAMES BRIAN | I | COMPLIANCE REGISTERED OPTIONS PRINCIPAL | NA | |
| CLARY, JAMES ANTONY | I | SENIOR VICE PRESIDENT | NA | Control |
| CLARY, JAMES ANTONY | I | SENIOR VICE PRESIDENT | NA | Control |
| CLARY, JAMES ANTONY | I | SENIOR VICE PRESIDENT | NA | Control |
| CLARY, JAMES ANTONY | I | SENIOR VICE PRESIDENT | NA | Control |
| CLARY, JAMES ANTONY | I | SENIOR VICE PRESIDENT AND CHIEF OPERATING OFFICER | NA | Control |
| CLARY, JAMES ANTONY | I | SENIOR VICE PRESIDENT AND CHIEF OPERATING OFFICER | NA | Control |
| CLARY, JAMES ANTONY | I | SENIOR VICE PRESIDENT AND CHIEF OPERATING OFFICER | NA | Control |
| CLARY, JAMES ANTONY | I | SENIOR VICE PRESIDENT AND CHIEF OPERATING OFFICER | NA | Control |
| CLARY, JAMES ANTONY | I | SENIOR VICE PRESIDENT AND CHIEF OPERATING OFFICER | NA | Control |
| CLARY, JAMES ANTONY | I | SENIOR VICE PRESIDENT AND CHIEF OPERATING OFFICER | NA | Control |
| CLARY, JAMES ANTONY | I | SENIOR VICE PRESIDENT AND CHIEF OPERATING OFFICER | NA | Control |
| CLARY, JAMES ANTONY | I | SENIOR VICE PRESIDENT AND CHIEF OPERATING OFFICER | NA | Control |
| CLARY, JAMES ANTONY | I | SENIOR VICE PRESIDENT AND CHIEF OPERATING OFFICER | NA | Control |
| CLARY, JAMES ANTONY | I | SENIOR VICE PRESIDENT AND CHIEF OPERATING OFFICER | NA | Control |
| CLARY, JAMES ANTONY | I | SENIOR VICE PRESIDENT AND CHIEF OPERATING OFFICER | NA | Control |
| CLARY, JAMES ANTONY | I | SENIOR VICE PRESIDENT AND CHIEF OPERATING OFFICER | NA | Control |
| CLARY, JAMES ANTONY | I | SENIOR VICE PRESIDENT AND CHIEF OPERATING OFFICER | NA | Control |
| CLARY, JAMES ANTONY | I | SENIOR VICE PRESIDENT AND CHIEF OPERATING OFFICER | NA | Control |
| CLEMENS, GREGORY JON | I | COMPLIANCE REGISTERED OPTIONS PRINCIPAL | NA | |
| CLEMENS, GREGORY JON | I | COMPLIANCE REGISTERED OPTIONS PRINCIPAL | NA | |
| CLEMENS, GREGORY JON | I | COMPLIANCE REGISTERED OPTIONS PRINCIPAL | NA | |
| CLEMENS, GREGORY JON | I | COMPLIANCE REGISTERED OPTIONS PRINCIPAL | NA | |
| CLEMENS, GREGORY JON | I | COMPLIANCE REGISTERED OPTIONS PRINCIPAL | NA | |
| CLEMENS, GREGORY JON | I | COMPLIANCE REGISTERED OPTIONS PRINCIPAL | NA | |
| CLEMENS, GREGORY JON | I | COMPLIANCE REGISTERED OPTIONS PRINCIPAL | NA | |
| CLEMENS, GREGORY JON | I | COMPLIANCE REGISTERED OPTIONS PRINCIPAL | NA | |
| CLEMENS, GREGORY JON | I | COMPLIANCE REGISTERED OPTIONS PRINCIPAL | NA | |
| CLEMENS, GREGORY JON | I | COMPLIANCE REGISTERED OPTIONS PRINCIPAL | NA | |
| COFFEY, THOMAS HENDERSON | I | VICE PRESIDENT, INDEPENDENCE FINANCIAL NETWORK | NA | |
| COFFEY, THOMAS HENDERSON | I | VICE PRESIDENT, INDEPENDENCE FINANCIAL NETWORK | NA | |
| COFFEY, THOMAS HENDERSON | I | VICE PRESIDENT, INDEPENDENCE FINANCIAL NETWORK | NA | |
| COFFEY, THOMAS HENDERSON | I | VICE PRESIDENT, INDEPENDENCE FINANCIAL NETWORK | NA | |
| COFFEY, THOMAS HENDERSON | I | VICE PRESIDENT, INDEPENDENCE FINANCIAL NETWORK | NA | |
| COFFEY, THOMAS HENDERSON | I | VICE PRESIDENT, INDEPENDENCE FINANCIAL NETWORK | NA | |
| COFFEY, THOMAS HENDERSON | I | VICE PRESIDENT, INDEPENDENCE FINANCIAL NETWORK | NA | |
| COFFEY, THOMAS HENDERSON | I | VICE PRESIDENT, INDEPENDENCE FINANCIAL NETWORK | NA | |
| COFFEY, THOMAS HENDERSON | I | VICE PRESIDENT, INDEPENDENCE FINANCIAL NETWORK | NA | |
| COFFEY, THOMAS HENDERSON | I | VICE PRESIDENT, INDEPENDENCE FINANCIAL NETWORK | NA | |
| COFFEY, THOMAS HENDERSON | I | VICE PRESIDENT, INDEPENDENCE FINANCIAL NETWORK | NA | |
| COFFEY, THOMAS HENDERSON | I | VICE PRESIDENT, INDEPENDENCE FINANCIAL NETWORK | NA | |
| COFFEY, THOMAS HENDERSON | I | VICE PRESIDENT, INDEPENDENCE FINANCIAL NETWORK | NA | |
| COFFEY, THOMAS HENDERSON | I | VICE PRESIDENT, INDEPENDENCE FINANCIAL NETWORK | NA | |
| COFFEY, THOMAS HENDERSON | I | VICE PRESIDENT, INDEPENDENCE FINANCIAL NETWORK | NA | |
| COFFEY, THOMAS HENDERSON | I | VICE PRESIDENT, INDEPENDENCE FINANCIAL NETWORK | NA | |
| COFFEY, THOMAS HENDERSON | I | VICE PRESIDENT, INDEPENDENCE FINANCIAL NETWORK | NA | |
| COFFEY, THOMAS HENDERSON | I | VICE PRESIDENT, INDEPENDENCE FINANCIAL NETWORK | NA | |
| CREWS, RALPH LYNWOOD | I | DIRECTOR | NA | Control |
| CREWS, RALPH LYNWOOD | I | DIRECTOR | NA | Control |
| CREWS, RALPH LYNWOOD | I | SENIOR VICE PRESIDENT - CAREER AGENCY | NA | Control |
| CREWS, RALPH LYNWOOD | I | DIRECTOR | NA | Control |
| CREWS, RALPH LYNWOOD | I | SENIOR VICE PRESIDENT - CAREER AGENCY | NA | Control |
| CREWS, RALPH LYNWOOD | I | SENIOR VICE PRESIDENT - CAREER AGENCY | NA | Control |
| CREWS, RALPH LYNWOOD | I | SENIOR VICE PRESIDENT - CAREER AGENCY | NA | Control |
| CREWS, RALPH LYNWOOD | I | DIRECTOR | NA | Control |
| CREWS, RALPH LYNWOOD | I | DIRECTOR | NA | Control |
| CREWS, RALPH LYNWOOD | I | SENIOR VICE PRESIDENT, CAREER AGENCY | NA | Control |
| CREWS, RALPH LYNWOOD | I | SENIOR VICE PRESIDENT, CAREER AGENCY | NA | Control |
| CREWS, RALPH LYNWOOD | I | SENIOR VICE PRESIDENT, CAREER AGENCY | NA | Control |
| CREWS, RALPH LYNWOOD | I | DIRECTOR | NA | Control |
| CREWS, RALPH LYNWOOD | I | DIRECTOR | NA | Control |
| CREWS, RALPH LYNWOOD | I | DIRECTOR | NA | Control |
| CREWS, RALPH LYNWOOD | I | SENIOR VICE PRESIDENT, CAREER AGENCY | NA | Control |
| CREWS, RALPH LYNWOOD | I | SENIOR VICE PRESIDENT, CAREER AGENCY | NA | Control |
| CREWS, RALPH LYNWOOD | I | SENIOR VICE PRESIDENT - CAREER AGENCY, & DIRECTOR | NA | Control |
| CREWS, RALPH LYNWOOD | I | DIRECTOR | NA | Control |
| CREWS, RALPH LYNWOOD | I | SENIOR VICE PRESIDENT, CAREER AGENCY | NA | Control |
| CREWS, RALPH LYNWOOD | I | SENIOR VICE PRESIDENT, CAREER AGENCY | NA | Control |
| CREWS, RALPH LYNWOOD | I | SENIOR VICE PRESIDENT, CAREER AGENCY | NA | Control |
| CREWS, RALPH LYNWOOD | I | SENIOR VICE PRESIDENT, CAREER AGENCY | NA | Control |
| CREWS, RALPH LYNWOOD | I | SENIOR VICE PRESIDENT, CAREER AGENCY | NA | Control |
| CREWS, RALPH LYNWOOD | I | SENIOR VICE PRESIDENT, CAREER AGENCY | NA | Control |
| CREWS, RALPH LYNWOOD | I | SENIOR VICE PRESIDENT, CAREER AGENCY | NA | Control |
| CREWS, RALPH LYNWOOD | I | SENIOR VICE PRESIDENT, CAREER AGENCY | NA | Control |
| DALAWAI NARAYANSWAMY, KARTHICK | I | MANAGER | NA | |
| DALAWAI NARAYANSWAMY, KARTHICK | I | DIRECTOR | NA | |
| DALAWAI NARAYANSWAMY, KARTHICK | I | MANAGER | NA | |
| DALAWAI NARAYANSWAMY, KARTHICK | I | MANAGER | NA | |
| DALAWAI NARAYANSWAMY, KARTHICK | I | MANAGER | NA | |
| DALAWAI NARAYANSWAMY, KARTHICK | I | MANAGER | NA | |
| DALAWAI NARAYANSWAMY, KARTHICK | I | MANAGER | NA | |
| DALAWAI NARAYANSWAMY, KARTHICK | I | MANAGER | NA | |
| DALAWAI NARAYANSWAMY, KARTHICK | I | MANAGER | NA | |
| DALAWAI NARAYANSWAMY, KARTHICK | I | MANAGER | NA | |
| DALAWAI NARAYANSWAMY, KARTHICK | I | MANAGER | NA | |
| DALAWAI NARAYANSWAMY, KARTHICK | I | MANAGER | NA | |
| DAMBRISI, PHILLIP PAUL | I | SR. VICE PRESIDENT & CHIEF OPERATING OFFICER, DIRECTOR | NA | Control |
| DAMBRISI, PHILLIP PAUL | I | SR. VICE PRESIDENT & CHIEF OPERATING OFFICER, DIRECTOR | NA | Control |
| DAMBRISI, PHILLIP PAUL | I | SR. VICE PRESIDENT & CHIEF OPERATING OFFICER, DIRECTOR | NA | Control |
| DAMBRISI, PHILLIP PAUL | I | SR. VICE PRESIDENT & CHIEF OPERATING OFFICER, DIRECTOR | NA | Control |
| DAMBRISI, PHILLIP PAUL | I | SR. VICE PRESIDENT & CHIEF OPERATING OFFICER, DIRECTOR | NA | Control |
| DAMBRISI, PHILLIP PAUL | I | MANAGING DIRECTOR PRODUCTS & FIELD SUPPORT | NA | |
| DAMBRISI, PHILLIP PAUL | I | MANAGING DIRECTOR PRODUCTS & FIELD SUPPORT | NA | |
| DAMBRISI, PHILLIP PAUL | I | MANAGING DIRECTOR PRODUCTS & FIELD SUPPORT | NA | |
| DAMBRISI, PHILLIP PAUL | I | MANAGING DIRECTOR PRODUCTS & FIELD SUPPORT | NA | |
| DAMBRISI, PHILLIP PAUL | I | MANAGING DIRECTOR PRODUCTS & FIELD SUPPORT | NA | |
| DAMBRISI, PHILLIP PAUL | I | MANAGING DIRECTOR PRODUCTS & FIELD SUPPORT | NA | |
| DAMBRISI, PHILLIP PAUL | I | MANAGING DIRECTOR PRODUCTS & FIELD SUPPORT | NA | |
| DAMBRISI, PHILLIP PAUL | I | MANAGING DIRECTOR PRODUCTS & FIELD SUPPORT | NA | |
| DAMBRISI, PHILLIP PAUL | I | MANAGING DIRECTOR PRODUCTS & FIELD SUPPORT | NA | |
| DEAKINS, SUSAN TWINE | I | DIRECTOR | NA | Control |
| DEAKINS, SUSAN TWINE | I | DIRECTOR | NA | Control |
| DEAKINS, SUSAN TWINE | I | DIRECTOR | NA | Control |
| DEAKINS, SUSAN TWINE | I | DIRECTOR | NA | Control |
| DEAKINS, SUSAN TWINE | I | DIRECTOR | NA | Control |
| DEAKINS, SUSAN TWINE | I | DIRECTOR | NA | Control |
| DEAKINS, SUSAN TWINE | I | DIRECTOR | NA | Control |
| DEAKINS, SUSAN TWINE | I | DIRECTOR | NA | Control |
| DEAKINS, SUSAN TWINE | I | DIRECTOR | NA | Control |
| DEAKINS, SUSAN TWINE | I | DIRECTOR | NA | Control |
| DEAKINS, SUSAN TWINE | I | DIRECTOR | NA | Control |
| DEAKINS, SUSAN TWINE | I | DIRECTOR | NA | Control |
| DEAKINS, SUSAN TWINE | I | DIRECTOR | NA | Control |
| DEAKINS, SUSAN TWINE | I | DIRECTOR | NA | Control |
| DEAKINS, SUSAN TWINE | I | DIRECTOR | NA | Control |
| DEAKINS, SUSAN TWINE | I | DIRECTOR | NA | Control |
| DEAKINS, SUSAN TWINE | I | DIRECTOR | NA | Control |
| DEAKINS, SUSAN TWINE | I | DIRECTOR | NA | Control |
| DEAKINS, SUSAN TWINE | I | DIRECTOR | NA | Control |
| DEAKINS, SUSAN TWINE | I | DIRECTOR | NA | Control |
| DEAKINS, SUSAN TWINE | I | DIRECTOR | NA | Control |
| DEAKINS, SUSAN TWINE | I | DIRECTOR | NA | Control |
| DEAKINS, SUSAN TWINE | I | DIRECTOR | NA | Control |
| DEAKINS, SUSAN TWINE | I | DIRECTOR | NA | Control |
| DEAKINS, SUSAN TWINE | I | DIRECTOR | NA | Control |
| DEAKINS, SUSAN TWINE | I | DIRECTOR | NA | Control |
| DEAKINS, SUSAN TWINE | I | DIRECTOR | NA | Control |
| DEAKINS, SUSAN TWINE | I | DIRECTOR | NA | Control |
| DEAKINS, SUSAN TWINE | I | DIRECTOR | NA | Control |
| DEAKINS, SUSAN TWINE | I | DIRECTOR | NA | Control |
| DEAKINS, SUSAN TWINE | I | DIRECTOR | NA | Control |
| DEAKINS, SUSAN TWINE | I | DIRECTOR | NA | Control |
| DEAKINS, SUSAN TWINE | I | DIRECTOR | NA | Control |
| DEAKINS, SUSAN TWINE | I | DIRECTOR | NA | Control |
| DEAKINS, SUSAN TWINE | I | DIRECTOR | NA | Control |
| DEAKINS, SUSAN TWINE | I | DIRECTOR | NA | Control |
| DEAKINS, SUSAN TWINE | I | DIRECTOR | NA | Control |
| DEAKINS, SUSAN TWINE | I | DIRECTOR | NA | Control |
| DEAKINS, SUSAN TWINE | I | DIRECTOR | NA | Control |
| DEAKINS, SUSAN TWINE | I | DIRECTOR | NA | Control |
| DEAKINS, SUSAN TWINE | I | DIRECTOR | NA | Control |
| DEAKINS, SUSAN TWINE | I | DIRECTOR | NA | Control |
| DEAKINS, SUSAN TWINE | I | DIRECTOR | NA | Control |
| DEAKINS, SUSAN TWINE | I | DIRECTOR | NA | Control |
| DELONG, MARCIA ANN | I | DIRECTOR, PRODUCER COMPENSATION & CL&R | NA | |
| DELONG, MARCIA ANN | I | DIRECTOR, PRODUCER COMPENSATION & CL&R | NA | |
| DEMETRES, TIMOTHY PETER | I | DIRECTOR | NA | Control |
| DEMETRES, TIMOTHY PETER | I | DIRECTOR | NA | Control |
| DEMETRES, TIMOTHY PETER | I | DIRECTOR | NA | Control |
| DEMETRES, TIMOTHY PETER | I | DIRECTOR | NA | Control |
| DEMETRES, TIMOTHY PETER | I | DIRECTOR | NA | Control |
| DEMETRES, TIMOTHY PETER | I | DIRECTOR | NA | Control |
| DEMETRES, TIMOTHY PETER | I | DIRECTOR | NA | Control |
| DEMETRES, TIMOTHY PETER | I | DIRECTOR | NA | Control |
| DEMETRES, TIMOTHY PETER | I | DIRECTOR | NA | Control |
| DEMETRES, TIMOTHY PETER | I | DIRECTOR | NA | Control |
| DEMETRES, TIMOTHY PETER | I | DIRECTOR | NA | Control |
| DEMETRES, TIMOTHY PETER | I | DIRECTOR | NA | Control |
| DONAHUE, TIMOTHY NOLAN | I | MANAGING DIRECTOR, OPERATIONS AND SUPERVISION; & DIRECTOR | NA | |
| DONAHUE, TIMOTHY NOLAN | I | MANAGING DIRECTOR, OPERATIONS AND SUPERVISION; & DIRECTOR | NA | |
| DONAHUE, TIMOTHY NOLAN | I | MANAGING DIRECTOR, OPERATIONS AND SUPERVISION | NA | |
| DONAHUE, TIMOTHY NOLAN | I | MANAGING DIRECTOR, OPERATIONS AND SUPERVISION | NA | |
| DONAHUE, TIMOTHY NOLAN | I | MANAGING DIRECTOR, OPERATIONS AND SUPERVISION; & DIRECTOR | NA | |
| DONAHUE, TIMOTHY NOLAN | I | MANAGING DIRECTOR, OPERATIONS AND SUPERVISION | NA | |
| DONAHUE, TIMOTHY NOLAN | I | MANAGING DIRECTOR, OPERATIONS AND SUPERVISION | NA | |
| DONAHUE, TIMOTHY NOLAN | I | MANAGING DIRECTOR, OPERATIONS AND SUPERVISION | NA | |
| DONAHUE, TIMOTHY NOLAN | I | MANAGING DIRECTOR, OPERATIONS AND SUPERVISION; & DIRECTOR | NA | |
| DONAHUE, TIMOTHY NOLAN | I | MANAGING DIRECTOR, OPERATIONS AND SUPERVISION | NA | |
| DONAHUE, TIMOTHY NOLAN | I | MANAGING DIRECTOR, OPERATIONS AND SUPERVISION | NA | |
| DONAHUE, TIMOTHY NOLAN | I | MANAGING DIRECTOR, OPERATIONS AND SUPERVISION | NA | |
| DONAHUE, TIMOTHY NOLAN | I | MANAGING DIRECTOR, OPERATIONS AND SUPERVISION; & DIRECTOR | NA | |
| DONAHUE, TIMOTHY NOLAN | I | MANAGING DIRECTOR, OPERATIONS AND SUPERVISION | NA | |
| DONAHUE, TIMOTHY NOLAN | I | MANAGING DIRECTOR, OPERATIONS AND SUPERVISION | NA | |
| DONAHUE, TIMOTHY NOLAN | I | MANAGING DIRECTOR, OPERATIONS AND SUPERVISION; & DIRECTOR | NA | |
| DONAHUE, TIMOTHY NOLAN | I | MANAGING DIRECTOR, OPERATIONS AND SUPERVISION; & DIRECTOR | NA | |
| DONAHUE, TIMOTHY NOLAN | I | MANAGING DIRECTOR, OPERATIONS AND SUPERVISION; & DIRECTOR | NA | |
| DONAHUE, TIMOTHY NOLAN | I | MANAGING DIRECTOR, OPERATIONS AND SUPERVISION; & DIRECTOR | NA | |
| DONAHUE, TIMOTHY NOLAN | I | MANAGING DIRECTOR, OPERATIONS AND SUPERVISION; & DIRECTOR | NA | |
| DONAHUE, TIMOTHY NOLAN | I | MANAGING DIRECTOR, OPERATIONS AND SUPERVISION; & DIRECTOR | NA | |
| DONAHUE, TIMOTHY NOLAN | I | MANAGING DIRECTOR, OPERATIONS AND SUPERVISION; & DIRECTOR | NA | |
| DONAHUE, TIMOTHY NOLAN | I | MANAGING DIRECTOR, OPERATIONS AND SUPERVISION; & DIRECTOR | NA | |
| DONAHUE, TIMOTHY NOLAN | I | MANAGING DIRECTOR, OPERATIONS AND SUPERVISION; & DIRECTOR | NA | |
| DONAHUE, TIMOTHY NOLAN | I | MANAGING DIRECTOR, OPERATIONS AND SUPERVISION; & DIRECTOR | NA | |
| DONAHUE, TIMOTHY NOLAN | I | MANAGING DIRECTOR, OPERATIONS AND SUPERVISION; & DIRECTOR | NA | |
| DONAHUE, TIMOTHY NOLAN | I | MANAGING DIRECTOR, OPERATIONS AND SUPERVISION; & DIRECTOR | NA | |
| DONAHUE, TIMOTHY NOLAN | I | MANAGING DIRECTOR, OPERATIONS AND SUPERVISION; & DIRECTOR | NA | |
| DONAHUE, TIMOTHY NOLAN | I | PRESIDENT, CHIEF EXECUTIVE OFFICER; DIRECTOR | NA | Control |
| DONAHUE, TIMOTHY NOLAN | I | PRESIDENT, CHIEF EXECUTIVE OFFICER; DIRECTOR | NA | Control |
| DONAHUE, TIMOTHY NOLAN | I | PRESIDENT, CHIEF EXECUTIVE OFFICER; DIRECTOR | NA | Control |
| DONAHUE, TIMOTHY NOLAN | I | PRESIDENT, CHIEF EXECUTIVE OFFICER; DIRECTOR | NA | Control |
| DONAHUE, TIMOTHY NOLAN | I | PRESIDENT, CHIEF EXECUTIVE OFFICER; DIRECTOR | NA | Control |
| DONAHUE, TIMOTHY NOLAN | I | PRESIDENT, CHIEF EXECUTIVE OFFICER; DIRECTOR | NA | Control |
| DONAHUE, TIMOTHY NOLAN | I | PRESIDENT, CHIEF EXECUTIVE OFFICER; DIRECTOR | NA | Control |
| DONAHUE, TIMOTHY NOLAN | I | PRESIDENT, CHIEF EXECUTIVE OFFICER; DIRECTOR | NA | Control |
| DONAHUE, TIMOTHY NOLAN | I | PRESIDENT, CHIEF EXECUTIVE OFFICER; DIRECTOR | NA | Control |
| DONAHUE, TIMOTHY NOLAN | I | PRESIDENT, CHIEF EXECUTIVE OFFICER; DIRECTOR | NA | Control |
| DONAHUE, TIMOTHY NOLAN | I | PRESIDENT, CHIEF EXECUTIVE OFFICER; DIRECTOR | NA | Control |
| DONAHUE, TIMOTHY NOLAN | I | PRESIDENT, CHIEF EXECUTIVE OFFICER; DIRECTOR | NA | Control |
| DONAHUE, TIMOTHY NOLAN | I | PRESIDENT, CHIEF EXECUTIVE OFFICER; DIRECTOR | NA | Control |
| DONAHUE, TIMOTHY NOLAN | I | PRESIDENT, CHIEF EXECUTIVE OFFICER; DIRECTOR | NA | Control |
| DONAHUE, TIMOTHY NOLAN | I | PRESIDENT, CHIEF EXECUTIVE OFFICER; DIRECTOR | NA | Control |
| DONAHUE, TIMOTHY NOLAN | I | PRESIDENT, CHIEF EXECUTIVE OFFICER; DIRECTOR | NA | Control |
| DONAHUE, TIMOTHY NOLAN | I | PRESIDENT, CHIEF EXECUTIVE OFFICER; DIRECTOR | NA | Control |
| DONAHUE, TIMOTHY NOLAN | I | PRESIDENT, CHIEF EXECUTIVE OFFICER; DIRECTOR | NA | Control |
| DONAHUE, TIMOTHY NOLAN | I | PRESIDENT, CHIEF EXECUTIVE OFFICER; DIRECTOR | NA | Control |
| DORFMAN FOSTER, ESTEE | I | REGISTERED FINANCIAL OPERATIONS PRINCIPAL | NA | |
| DORFMAN FOSTER, ESTEE | I | REGISTERED FINANCIAL OPERATIONS PRINCIPAL | NA | |
| DRISCOLL, GREGORY JOSEPH | I | CHIEF INFORMATION OFFICER | NA | |
| DRISCOLL, GREGORY JOSEPH | I | CHIEF INFORMATION OFFICER | NA | |
| DRISCOLL, GREGORY JOSEPH | I | CHIEF INFORMATION OFFICER | NA | |
| DRISCOLL, GREGORY JOSEPH | I | CHIEF INFORMATION OFFICER | NA | |
| DRISCOLL, GREGORY JOSEPH | I | CHIEF INFORMATION OFFICER | NA | |
| DRISCOLL, GREGORY JOSEPH | I | CHIEF INFORMATION OFFICER | NA | |
| DRISCOLL, GREGORY JOSEPH | I | CHIEF INFORMATION OFFICER | NA | |
| DRISCOLL, GREGORY JOSEPH | I | CHIEF INFORMATION OFFICER | NA | |
| DRISCOLL, GREGORY JOSEPH | I | CHIEF INFORMATION OFFICER | NA | |
| DRISCOLL, GREGORY JOSEPH | I | CHIEF INFORMATION OFFICER | NA | |
| DRISCOLL, GREGORY JOSEPH | I | CHIEF INFORMATION OFFICER | NA | |
| DRISCOLL, GREGORY JOSEPH | I | CHIEF INFORMATION OFFICER | NA | |
| DRISCOLL, GREGORY JOSEPH | I | CHIEF INFORMATION OFFICER | NA | |
| DRISCOLL, GREGORY JOSEPH | I | CHIEF INFORMATION OFFICER | NA | |
| DRISCOLL, GREGORY JOSEPH | I | CHIEF INFORMATION OFFICER | NA | |
| DRISCOLL, GREGORY JOSEPH | I | CHIEF INFORMATION OFFICER | NA | |
| DRISCOLL, GREGORY JOSEPH | I | CHIEF INFORMATION OFFICER | NA | |
| DRISCOLL, GREGORY JOSEPH | I | CHIEF INFORMATION OFFICER | NA | |
| EILEEN M. TKACIK | I | AUDITOR | NA | |
| EILEEN M. TKACIK | I | AUDITOR | NA | |
| EILEEN M. TKACIK | I | AUDITOR | NA | |
| EILEEN M. TKACIK | I | AUDITOR | NA | |
| ENGLERT, JOSEPH ROBERT | I | VICE PRESIDENTOF SPECIAL PROJECTS | NA | |
| ENGLERT, JOSEPH ROBERT | I | VICE PRESIDENTOF SPECIAL PROJECTS | NA | |
| ENGLERT, JOSEPH ROBERT | I | VICE PRESIDENTOF SPECIAL PROJECTS | NA | |
| ENGLERT, JOSEPH ROBERT | I | VICE PRESIDENT, TRADING & OPERATIONS | NA | Control |
| ENGLERT, JOSEPH ROBERT | I | VICE PRESIDENTOF SPECIAL PROJECTS | NA | |
| ENGLERT, JOSEPH ROBERT | I | VICE PRESIDENTOF SPECIAL PROJECTS | NA | |
| ENGLERT, JOSEPH ROBERT | I | VICE PRESIDENTOF SPECIAL PROJECTS | NA | |
| ENGLERT, JOSEPH ROBERT | I | VICE PRESIDENTOF SPECIAL PROJECTS | NA | Control |
| ENGLERT, JOSEPH ROBERT | I | VICE PRESIDENTOF SPECIAL PROJECTS | NA | Control |
| ENGLERT, JOSEPH ROBERT | I | VICE PRESIDENTOF SPECIAL PROJECTS | NA | Control |
| ENGLERT, JOSEPH ROBERT | I | VICE PRESIDENTOF SPECIAL PROJECTS | NA | Control |
| FLEISCHMAN, JEFFREY | I | DIRECTOR | NA | Control |
| FLEISCHMAN, JEFFREY | I | DIRECTOR | NA | Control |
| FLEISCHMAN, JEFFREY | I | DIRECTOR | NA | Control |
| FLEISCHMAN, JEFFREY | I | DIRECTOR | NA | Control |
| FLEISCHMAN, JEFFREY | I | DIRECTOR | NA | Control |
| FLEISCHMAN, JEFFREY | I | DIRECTOR | NA | Control |
| FLEISCHMAN, JEFFREY | I | DIRECTOR | NA | Control |
| FLEISCHMAN, JEFFREY | I | DIRECTOR | NA | Control |
| FLEISCHMAN, JEFFREY | I | DIRECTOR | NA | Control |
| FLEISCHMAN, JEFFREY | I | DIRECTOR | NA | Control |
| FLEISCHMAN, JEFFREY | I | DIRECTOR | NA | Control |
| FLEISCHMAN, JEFFREY | I | DIRECTOR | NA | Control |
| FRANKLIN L. BEST JR. | I | COUNSEL | NA | |
| FRANKLIN L. BEST JR. | I | COUNSEL | NA | |
| FRANKLIN L. BEST JR. | I | COUNSEL | NA | |
| FRANKLIN L. BEST JR. | I | COUNSEL | NA | |
| FRANKLIN L. BEST JR. | I | COUNSEL | NA | |
| FRANKLIN L. BEST JR. | I | COUNSEL | NA | |
| FRANKLIN L. BEST JR. | I | COUNSEL | NA | |
| FRANKLIN L. BEST JR. | I | COUNSEL | NA | |
| FRANKLIN L. BEST JR. | I | COUNSEL | NA | |
| FRANKLIN L. BEST JR. | I | COUNSEL | NA | |
| FRANKLIN L. BEST JR. | I | COUNSEL | NA | |
| FRANKLIN L. BEST JR. | I | COUNSEL | NA | |
| FRANKLIN L. BEST JR. | I | COUNSEL | NA | |
| GORDON, AARON J | I | PRESIDENT, MANAGER | NA | Control |
| GORDON, AARON J | I | PRESIDENT, MANAGER | NA | Control |
| GORDON, AARON J | I | PRESIDENT, MANAGER | NA | Control |
| GORDON, AARON J | I | PRESIDENT, MANAGER | NA | Control |
| GORDON, AARON J | I | PRESIDENT, MANAGER | NA | Control |
| GORDON, AARON J | I | PRESIDENT, MANAGER | NA | Control |
| GORDON, AARON J | I | PRESIDENT, MANAGER | NA | Control |
| GORDON, AARON J | I | PRESIDENT, MANAGER | NA | Control |
| GORDON, AARON J | I | PRESIDENT, MANAGER | NA | Control |
| GORDON, AARON J | I | PRESIDENT, MANAGER | NA | Control |
| GORDON, AARON J | I | PRESIDENT, MANAGER | NA | Control |
| GRAY, JOHN JOSEPH | I | DIRECTOR | NA | Control |
| GRUCCIO, WILLIAM DAVID | I | VICE PRESIDENT, CAREER AGENCY SYSTEM | NA | |
| GRUCCIO, WILLIAM DAVID | I | VICE PRESIDENT, CAREER AGENCY SYSTEM | NA | |
| GRUCCIO, WILLIAM DAVID | I | VICE PRESIDENT, CAREER AGENCY SYSTEM | NA | |
| GRUCCIO, WILLIAM DAVID | I | VICE PRESIDENT, CAREER AGENCY SYSTEM | NA | |
| GRUCCIO, WILLIAM DAVID | I | VICE PRESIDENT, CAREER AGENCY SYSTEM | NA | |
| GUNZENHAUSER, RADFORD MICHAEL | I | FINOP | NA | |
| GUNZENHAUSER, RADFORD MICHAEL | I | FINOP | NA | |
| GUNZENHAUSER, RADFORD MICHAEL | I | FINOP | NA | |
| HARRIS, THOMAS H | I | CHAIRMAN AND DIRECTOR | NA | Control |
| HARRIS, THOMAS H | I | DIRECTOR | NA | Control |
| HARRIS, THOMAS H | I | CHAIRMAN AND DIRECTOR | NA | Control |
| HARRIS, THOMAS H | I | CHAIRMAN AND DIRECTOR | NA | Control |
| HARRIS, THOMAS H | I | CHAIRMAN AND DIRECTOR | NA | Control |
| HARRIS, THOMAS H | I | CHAIRMAN AND DIRECTOR | NA | Control |
| HARRIS, THOMAS H | I | CHAIRMAN AND DIRECTOR | NA | Control |
| HARRIS, THOMAS H | I | CHAIRMAN AND DIRECTOR | NA | Control |
| HARRIS, THOMAS H | I | CHAIRMAN AND DIRECTOR | NA | Control |
| HARRIS, THOMAS H | I | CHAIRMAN AND DIRECTOR | NA | Control |
| HARRIS, THOMAS H | I | CHAIRMAN AND DIRECTOR | NA | Control |
| HARRIS, THOMAS H | I | CHAIRMAN AND DIRECTOR | NA | Control |
| HARRIS, THOMAS H | I | CHAIRMAN AND DIRECTOR | NA | Control |
| HARRIS, THOMAS H | I | CHAIRMAN AND DIRECTOR | NA | Control |
| HARRIS, THOMAS H | I | CHAIRMAN AND DIRECTOR | NA | Control |
| HARRIS, THOMAS H | I | CHAIRMAN AND DIRECTOR | NA | Control |
| HARRIS, THOMAS H | I | CHAIRMAN AND DIRECTOR | NA | Control |
| HARRIS, THOMAS H | I | CHAIRMAN AND DIRECTOR | NA | Control |
| HARRIS, THOMAS H | I | CHAIRMAN AND DIRECTOR | NA | Control |
| HARRIS, THOMAS H | I | CHAIRMAN AND DIRECTOR | NA | Control |
| HARRIS, THOMAS H | I | CHAIRMAN AND DIRECTOR | NA | Control |
| HARRIS, THOMAS H | I | CHAIRMAN AND DIRECTOR | NA | Control |
| HARRIS, THOMAS H | I | CHAIRMAN AND DIRECTOR | NA | Control |
| HARRIS, THOMAS H | I | CHAIRMAN AND DIRECTOR | NA | Control |
| HARRIS, THOMAS H | I | CHAIRMAN AND DIRECTOR | NA | Control |
| HARRIS, THOMAS H | I | CHAIRMAN AND DIRECTOR | NA | Control |
| HARRIS, THOMAS H | I | CHAIRMAN AND DIRECTOR | NA | Control |
| HARRIS, THOMAS H | I | CHAIRMAN AND DIRECTOR | NA | Control |
| HARRIS, THOMAS H | I | CHAIRMAN AND DIRECTOR | NA | Control |
| HARRIS, THOMAS H | I | CHAIRMAN AND DIRECTOR | NA | Control |
| HARRIS, THOMAS H | I | CHAIRMAN AND DIRECTOR | NA | Control |
| HARRIS, THOMAS H | I | CHAIRMAN AND DIRECTOR | NA | Control |
| HARRIS, THOMAS H | I | CHAIRMAN AND DIRECTOR | NA | Control |
| HARRIS, THOMAS H | I | CHAIRMAN AND DIRECTOR | NA | Control |
| HARRIS, THOMAS H | I | CHAIRMAN AND DIRECTOR | NA | Control |
| HARRIS, THOMAS H | I | CHAIRMAN AND DIRECTOR | NA | Control |
| HARRIS, THOMAS H | I | CHAIRMAN AND DIRECTOR | NA | Control |
| HARRIS, THOMAS H | I | CHAIRMAN AND DIRECTOR | NA | Control |
| HARRIS, THOMAS H | I | CHAIRMAN AND DIRECTOR | NA | Control |
| HARRIS, THOMAS H | I | CHAIRMAN AND DIRECTOR | NA | Control |
| HARRIS, THOMAS H | I | CHAIRMAN AND DIRECTOR | NA | Control |
| HARRIS, THOMAS H | I | CHAIRMAN AND DIRECTOR | NA | Control |
| HARRIS, THOMAS H | I | CHAIRMAN AND DIRECTOR | NA | Control |
| HARRIS, THOMAS H | I | CHAIRMAN AND DIRECTOR | NA | Control |
| HARRIS, THOMAS H | I | CHAIRMAN AND DIRECTOR | NA | Control |
| HARRIS, THOMAS H | I | CHAIRMAN AND DIRECTOR | NA | Control |
| HARRIS, THOMAS H | I | CHAIRMAN AND DIRECTOR | NA | Control |
| HARRIS, THOMAS H | I | CHAIRMAN AND DIRECTOR | NA | Control |
| HARRIS, THOMAS H | I | CHAIRMAN AND DIRECTOR | NA | Control |
| HARRIS, THOMAS H | I | CHAIRMAN AND DIRECTOR | NA | Control |
| HARRIS, THOMAS H | I | CHAIRMAN AND DIRECTOR | NA | Control |
| HARRIS, THOMAS H | I | CHAIRMAN AND DIRECTOR | NA | Control |
| HARRIS, THOMAS H | I | CHAIRMAN AND DIRECTOR | NA | Control |
| HARRIS, THOMAS H | I | CHAIRMAN AND DIRECTOR | NA | Control |
| HARRIS, THOMAS H | I | MANAGER | NA | Control |
| HARRIS, THOMAS H | I | PRESIDENT AND CEO | NA | Control |
| HARRIS, THOMAS H | I | CHAIRMAN AND DIRECTOR | NA | Control |
| HARRIS, THOMAS H | I | CHAIRMAN AND DIRECTOR | NA | Control |
| HARRIS, THOMAS H | I | MANAGER | NA | Control |
| HARRIS, THOMAS H | I | MANAGER | NA | Control |
| HARRIS, THOMAS H | I | MANAGER | NA | Control |
| HARRIS, THOMAS H | I | MANAGER | NA | Control |
| HUCKERBY, KEITH GORDON | I | MANAGER | NA | |
| HUCKERBY, KEITH GORDON | I | DIRECTOR | NA | |
| HUCKERBY, KEITH GORDON | I | MANAGER | NA | |
| HUCKERBY, KEITH GORDON | I | MANAGER | NA | |
| HUCKERBY, KEITH GORDON | I | MANAGER | NA | |
| HUCKERBY, KEITH GORDON | I | MANAGER | NA | |
| HUCKERBY, KEITH GORDON | I | MANAGER | NA | |
| HUCKERBY, KEITH GORDON | I | MANAGER | NA | |
| HUCKERBY, KEITH GORDON | I | MANAGER | NA | |
| HUCKERBY, KEITH GORDON | I | MANAGER | NA | |
| HUCKERBY, KEITH GORDON | I | MANAGER | NA | |
| HUCKERBY, KEITH GORDON | I | MANAGER | NA | |
| HUCKERBY, KEITH GORDON | I | MANAGER | NA | |
| HUCKERBY, KEITH GORDON | I | MANAGER | NA | |
| HUCKERBY, KEITH GORDON | I | MANAGER | NA | |
| INGULLI, CHARLES J JR | I | TREASURER AND CONTROLLER | NA | |
| INGULLI, CHARLES J JR | I | TREASURER AND CONTROLLER | NA | |
| INGULLI, CHARLES J JR | I | TREASURER AND CONTROLLER | NA | |
| INGULLI, CHARLES J JR | I | TREASURER AND CONTROLLER | NA | |
| INGULLI, CHARLES J JR | I | TREASURER AND CONTROLLER | NA | |
| INGULLI, CHARLES J JR | I | TREASURER AND CONTROLLER | NA | |
| INGULLI, CHARLES J JR | I | TREASURER AND CONTROLLER | NA | |
| INGULLI, CHARLES J JR | I | TREASURER AND CONTROLLER | NA | |
| INGULLI, CHARLES J JR | I | TREASURER AND CONTROLLER | NA | |
| INGULLI, CHARLES J JR | I | TREASURER AND CONTROLLER | NA | |
| INGULLI, CHARLES J JR | I | TREASURER AND CONTROLLER | NA | |
| INGULLI, CHARLES J JR | I | TREASURER AND CONTROLLER | NA | |
| INGULLI, CHARLES J JR | I | TREASURER AND CONTROLLER | NA | |
| INGULLI, CHARLES J JR | I | TREASURER AND CONTROLLER | NA | |
| INGULLI, CHARLES J JR | I | TREASURER AND CONTROLLER | NA | |
| INGULLI, CHARLES J JR | I | TREASURER AND CONTROLLER | NA | |
| INGULLI, CHARLES J JR | I | TREASURER AND CONTROLLER | NA | |
| INGULLI, CHARLES J JR | I | TREASURER AND CONTROLLER | NA | |
| INGULLI, CHARLES J JR | I | TREASURER AND CONTROLLER | NA | |
| INGULLI, CHARLES J JR | I | TREASURER AND CONTROLLER | NA | |
| INGULLI, CHARLES J JR | I | TREASURER AND CONTROLLER | NA | |
| INGULLI, CHARLES J JR | I | TREASURER AND CONTROLLER | NA | |
| INGULLI, CHARLES J JR | I | TREASURER AND CONTROLLER | NA | |
| INGULLI, CHARLES J JR | I | TREASURER AND CONTROLLER | NA | |
| INGULLI, CHARLES J JR | I | TREASURER AND CONTROLLER | NA | |
| INGULLI, CHARLES J JR | I | TREASURER AND CONTROLLER | NA | |
| INGULLI, CHARLES J JR | I | TREASURER AND CONTROLLER | NA | |
| INGULLI, CHARLES J JR | I | TREASURER AND CONTROLLER | NA | |
| INGULLI, CHARLES J JR | I | TREASURER AND CONTROLLER | NA | |
| INGULLI, CHARLES J JR | I | TREASURER AND CONTROLLER | NA | |
| INGULLI, CHARLES J JR | I | TREASURER AND CONTROLLER | NA | |
| INGULLI, CHARLES J JR | I | TREASURER AND CONTROLLER | NA | |
| INGULLI, CHARLES J JR | I | TREASURER AND CONTROLLER | NA | |
| INGULLI, CHARLES J JR | I | TREASURER AND CONTROLLER | NA | |
| JAHN, CHRISTOPHER GORDON | I | ASSISTANT VICE PRESIDENT, ASSURANCE | NA | |
| JAHN, CHRISTOPHER GORDON | I | ASSISTANT VICE PRESIDENT, ASSURANCE | NA | |
| JAHN, CHRISTOPHER GORDON | I | ASSISTANT VICE PRESIDENT, ASSURANCE | NA | |
| JAHN, CHRISTOPHER GORDON | I | ASSISTANT VICE PRESIDENT, ASSURANCE | NA | |
| JAHN, CHRISTOPHER GORDON | I | ASSISTANT VICE PRESIDENT, ASSURANCE | NA | |
| JAHN, CHRISTOPHER GORDON | I | ASSISTANT VICE PRESIDENT, ASSURANCE | NA | |
| JAHN, CHRISTOPHER GORDON | I | ASSISTANT VICE PRESIDENT, ASSURANCE | NA | |
| JAHN, CHRISTOPHER GORDON | I | ASSISTANT VICE PRESIDENT, ASSURANCE | NA | |
| JAHN, CHRISTOPHER GORDON | I | ASSISTANT VICE PRESIDENT, ASSURANCE | NA | |
| KAEHLER, ROBERT JAMES | I | CHIEF COMPLIANCE OFFICER | NA | |
| KAEHLER, ROBERT JAMES | I | CHIEF COMPLIANCE OFFICER | NA | |
| KAEHLER, ROBERT JAMES | I | CHIEF COMPLIANCE OFFICER | NA | |
| KAEHLER, ROBERT JAMES | I | CHIEF COMPLIANCE OFFICER | NA | |
| KAEHLER, ROBERT JAMES | I | CHIEF COMPLIANCE OFFICER | NA | |
| KAEHLER, ROBERT JAMES | I | CHIEF COMPLIANCE OFFICER | NA | |
| KAEHLER, ROBERT JAMES | I | CHIEF COMPLIANCE OFFICER | NA | |
| KAEHLER, ROBERT JAMES | I | CHIEF COMPLIANCE OFFICER | NA | |
| KAEHLER, ROBERT JAMES | I | CHIEF COMPLIANCE OFFICER | NA | |
| KAEHLER, ROBERT JAMES | I | CHIEF COMPLIANCE OFFICER | NA | |
| KAEHLER, ROBERT JAMES | I | CHIEF COMPLIANCE OFFICER | NA | |
| KAEHLER, ROBERT JAMES | I | CHIEF COMPLIANCE OFFICER | NA | |
| KAEHLER, ROBERT JAMES | I | CHIEF COMPLIANCE OFFICER | NA | |
| KAEHLER, ROBERT JAMES | I | CHIEF COMPLIANCE OFFICER | NA | |
| KAEHLER, ROBERT JAMES | I | CHIEF COMPLIANCE OFFICER | NA | |
| KNOLL, ELIZABETH ANNE | I | ASSISTANT TREASUER | NA | Control |
| KNOLL, ELIZABETH ANNE | I | ASSISTANT TREASUER | NA | Control |
| KNOLL, ELIZABETH ANNE | I | ASSISTANT TREASUER | NA | Control |
| KNOLL, ELIZABETH ANNE | I | ASSISTANT TREASUER | NA | Control |
| KNOLL, ELIZABETH ANNE | I | ASSISTANT TREASUER | NA | Control |
| LABEL, ROBYN GAIL | I | VICE PRESIDENT, MARKET CONDUCT AND COMPLIANCE | NA | |
| LABEL, ROBYN GAIL | I | VICE PRESIDENT, MARKET CONDUCT AND COMPLIANCE | NA | |
| LABEL, ROBYN GAIL | I | VICE PRESIDENT, MARKET CONDUCT AND COMPLIANCE | NA | |
| LABEL, ROBYN GAIL | I | VICE PRESIDENT, MARKET CONDUCT AND COMPLIANCE | NA | |
| LABEL, ROBYN GAIL | I | VICE PRESIDENT, MARKET CONDUCT AND COMPLIANCE | NA | |
| LABEL, ROBYN GAIL | I | DIRECTOR | NA | Control |
| LABEL, ROBYN GAIL | I | DIRECTOR | NA | Control |
| LABEL, ROBYN GAIL | I | VICE PRESIDENT, MARKET CONDUCT AND COMPLIANCE | NA | |
| LABEL, ROBYN GAIL | I | VICE PRESIDENT, MARKET CONDUCT AND COMPLIANCE | NA | |
| LABEL, ROBYN GAIL | I | VICE PRESIDENT, MARKET CONDUCT AND COMPLIANCE | NA | |
| LABEL, ROBYN GAIL | I | DIRECTOR | NA | Control |
| LABEL, ROBYN GAIL | I | DIRECTOR | NA | Control |
| LABEL, ROBYN GAIL | I | VICE PRESIDENT, MARKET CONDUCT AND COMPLIANCE | NA | |
| LABEL, ROBYN GAIL | I | VICE PRESIDENT, MARKET CONDUCT AND COMPLIANCE | NA | |
| LABEL, ROBYN GAIL | I | VICE PRESIDENT, MARKET CONDUCT AND COMPLIANCE | NA | |
| LABEL, ROBYN GAIL | I | VICE PRESIDENT, MARKET CONDUCT AND COMPLIANCE | NA | |
| LABEL, ROBYN GAIL | I | VICE PRESIDENT, MARKET CONDUCT AND COMPLIANCE | NA | |
| LABEL, ROBYN GAIL | I | VICE PRESIDENT, MARKET CONDUCT AND COMPLIANCE | NA | |
| LABEL, ROBYN GAIL | I | VICE PRESIDENT, MARKET CONDUCT AND COMPLIANCE | NA | |
| LABEL, ROBYN GAIL | I | DIRECTOR | NA | Control |
| LABEL, ROBYN GAIL | I | VICE PRESIDENT, MARKET CONDUCT AND COMPLIANCE | NA | |
| LABEL, ROBYN GAIL | I | VICE PRESIDENT, MARKET CONDUCT AND COMPLIANCE | NA | |
| LABEL, ROBYN GAIL | I | VICE PRESIDENT, MARKET CONDUCT AND COMPLIANCE | NA | |
| LABEL, ROBYN GAIL | I | VICE PRESIDENT, MARKET CONDUCT AND COMPLIANCE | NA | |
| LABEL, ROBYN GAIL | I | DIRECTOR | NA | Control |
| LABEL, ROBYN GAIL | I | DIRECTOR | NA | Control |
| LABEL, ROBYN GAIL | I | DIRECTOR | NA | Control |
| LABEL, ROBYN GAIL | I | DIRECTOR | NA | Control |
| LABEL, ROBYN GAIL | I | DIRECTOR | NA | Control |
| LABEL, ROBYN GAIL | I | DIRECTOR | NA | Control |
| LABEL, ROBYN GAIL | I | DIRECTOR | NA | Control |
| LABEL, ROBYN GAIL | I | DIRECTOR | NA | Control |
| LABEL, ROBYN GAIL | I | DIRECTOR | NA | Control |
| LABEL, ROBYN GAIL | I | DIRECTOR | NA | Control |
| LABEL, ROBYN GAIL | I | DIRECTOR | NA | Control |
| LABEL, ROBYN GAIL | I | DIRECTOR | NA | Control |
| LABEL, ROBYN GAIL | I | DIRECTOR | NA | Control |
| LABEL, ROBYN GAIL | I | DIRECTOR | NA | Control |
| LABEL, ROBYN GAIL | I | DIRECTOR | NA | Control |
| LABEL, ROBYN GAIL | I | DIRECTOR | NA | Control |
| LABEL, ROBYN GAIL | I | DIRECTOR | NA | Control |
| LAGANA, JOHN | I | AUDITOR | NA | |
| LAGANA, JOHN | I | AUDITOR | NA | |
| LAGANA, JOHN | I | AUDITOR | NA | |
| LAGANA, JOHN | I | AUDITOR | NA | |
| LAGANA, JOHN | I | AUDITOR | NA | |
| LAGANA, JOHN | I | AUDITOR | NA | |
| LAGANA, JOHN | I | AUDITOR | NA | |
| LAZARUS, NORMAN ROBERT | I | SR VP, CHIEF COMPLIANCE OFFICER, ANTI MONEY LAUNDERING OFFICER, CHIEF OPERATING OFFICER & DIRECTOR | NA | Control |
| LAZARUS, NORMAN ROBERT | I | SR VP, CHIEF COMPLIANCE OFFICER, ANTI MONEY LAUNDERING OFFICER, CHIEF OPERATING OFFICER & DIRECTOR | NA | Control |
| LAZARUS, NORMAN ROBERT | I | SR VP, CHIEF COMPLIANCE OFFICER, ANTI MONEY LAUNDERING OFFICER, CHIEF OPERATING OFFICER & DIRECTOR | NA | Control |
| LAZARUS, NORMAN ROBERT | I | SR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER, ANTI-MONEY LAUNDERING OFFICER & DIRECTOR | NA | Control |
| LAZARUS, NORMAN ROBERT | I | SR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER, ANTI-MONEY LAUNDERING OFFICER & DIRECTOR | NA | Control |
| LAZARUS, NORMAN ROBERT | I | SR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER, ANTI-MONEY LAUNDERING OFFICER & DIRECTOR | NA | Control |
| LAZARUS, NORMAN ROBERT | I | SR VP, CHIEF COMPLIANCE OFFICER, ANTI MONEY LAUNDERING OFFICER, CHIEF OPERATING OFFICER & DIRECTOR | NA | Control |
| LAZARUS, NORMAN ROBERT | I | SR VP, CHIEF COMPLIANCE OFFICER, ANTI MONEY LAUNDERING OFFICER, CHIEF OPERATING OFFICER & DIRECTOR | NA | Control |
| LAZARUS, NORMAN ROBERT | I | SR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER, ANTI-MONEY LAUNDERING OFFICER & DIRECTOR | NA | Control |
| LAZARUS, NORMAN ROBERT | I | SR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER, ANTI-MONEY LAUNDERING OFFICER & DIRECTOR | NA | Control |
| LEDER, CRISTINA MARIE | I | FINOP | NA | |
| LEDER, CRISTINA MARIE | I | FINOP | NA | |
| LEDER, CRISTINA MARIE | I | FINOP | NA | |
| LEDER, CRISTINA MARIE | I | FINOP | NA | |
| LEDER, CRISTINA MARIE | I | FINOP | NA | |
| LEDER, CRISTINA MARIE | I | FINOP | NA | |
| LEDER, CRISTINA MARIE | I | FINOP | NA | |
| LEDER, CRISTINA MARIE | I | FINOP | NA | |
| LEDER, CRISTINA MARIE | I | FINOP | NA | |
| LEDER, CRISTINA MARIE | I | FINOP | NA | |
| LINVILLE, STEVEN W | I | VICE PRESIDENT, FINANCIAL MANAGEMENT | NA | |
| LINVILLE, STEVEN W | I | VICE PRESIDENT, FINANCIAL MANAGEMENT | NA | |
| LINVILLE, STEVEN W | I | VICE PRESIDENT, FINANCIAL MANAGEMENT | NA | |
| LINVILLE, STEVEN W | I | VICE PRESIDENT, FINANCIAL MANAGEMENT | NA | |
| LINVILLE, STEVEN W | I | VICE PRESIDENT, FINANCIAL MANAGEMENT | NA | |
| LINVILLE, STEVEN W | I | VICE PRESIDENT, FINANCIAL MANAGEMENT | NA | |
| LINVILLE, STEVEN W | I | VICE PRESIDENT, FINANCIAL MANAGEMENT | NA | |
| LINVILLE, STEVEN W | I | VICE PRESIDENT, FINANCIAL MANAGEMENT | NA | |
| LINVILLE, STEVEN W | I | VICE PRESIDENT, FINANCIAL MANAGEMENT | NA | |
| LOCHER, CHARLES RICHARD | I | ASSISTANT VICE PRESIDENT-PRODUCTS AND SALES SUPPORT | NA | |
| LOCHER, CHARLES RICHARD | I | ASSISTANT VICE PRESIDENT-PRODUCTS AND SALES SUPPORT | NA | |
| LOCHER, CHARLES RICHARD | I | ASSISTANT VICE PRESIDENT-PRODUCTS AND SALES SUPPORT | NA | |
| LOCHER, CHARLES RICHARD | I | ASSISTANT VICE PRESIDENT-PRODUCTS AND SALES SUPPORT | NA | |
| LUBY, JAMES CLAY | I | TREASURER | NA | |
| LUBY, JAMES CLAY | I | TREASURER | NA | |
| LUBY, JAMES CLAY | I | TREASURER | NA | |
| LUBY, JAMES CLAY | I | TREASURER | NA | |
| LUBY, JAMES CLAY | I | TREASURER | NA | |
| LUBY, JAMES CLAY | I | TREASURER | NA | |
| LUBY, JAMES CLAY | I | TREASURER | NA | |
| LUBY, JAMES CLAY | I | TREASURER | NA | |
| LUBY, JAMES CLAY | I | TREASURER | NA | |
| LUBY, JAMES CLAY | I | TREASURER | NA | |
| LUBY, JAMES CLAY | I | TREASURER | NA | |
| LUBY, JAMES CLAY | I | TREASURER | NA | |
| LUBY, JAMES CLAY | I | TREASURER | NA | |
| MAINARDI, ROBERT LOUIS | I | AUDITOR | NA | |
| MAINARDI, ROBERT LOUIS | I | AUDITOR | NA | |
| MAINARDI, ROBERT LOUIS | I | AUDITOR | NA | |
| MAINARDI, ROBERT LOUIS | I | AUDITOR | NA | |
| MAINARDI, ROBERT LOUIS | I | AUDITOR | NA | |
| MARTIN, PAUL I | I | DIRECTOR -CONTRACTS, LICENSING & REGISTRATION | NA | |
| MARTIN, PAUL I | I | DIRECTOR -CONTRACTS, LICENSING & REGISTRATION | NA | |
| MARTIN, PAUL I | I | DIRECTOR -CONTRACTS, LICENSING & REGISTRATION | NA | |
| MARTIN, PAUL I | I | DIRECTOR -CONTRACTS, LICENSING & REGISTRATION | NA | |
| MARTIN, PAUL I | I | DIRECTOR -CONTRACTS, LICENSING & REGISTRATION | NA | |
| MARTIN, PAUL I | I | DIRECTOR -CONTRACTS, LICENSING & REGISTRATION | NA | |
| MARTIN, PAUL I | I | DIRECTOR -CONTRACTS, LICENSING & REGISTRATION | NA | |
| MARTIN, PAUL I | I | DIRECTOR -CONTRACTS, LICENSING & REGISTRATION | NA | |
| MARTIN, PAUL I | I | DIRECTOR -CONTRACTS, LICENSING & REGISTRATION | NA | |
| MARTIN, PAUL I | I | DIRECTOR -CONTRACTS, LICENSING & REGISTRATION | NA | |
| MARTIN, PAUL I | I | DIRECTOR -CONTRACTS, LICENSING & REGISTRATION | NA | |
| MARTIN, PAUL I | I | DIRECTOR -CONTRACTS, LICENSING & REGISTRATION | NA | |
| MARTIN, PAUL I | I | DIRECTOR -CONTRACTS, LICENSING & REGISTRATION | NA | |
| MARTIN, PAUL IRA | I | DIRECTOR -CONTRACTS, LICENSING & REGISTRATION | NA | |
| MARTIN, PAUL IRA | I | DIRECTOR -CONTRACTS, LICENSING & REGISTRATION | NA | |
| MARTIN, PAUL IRA | I | DIRECTOR -CONTRACTS, LICENSING & REGISTRATION | NA | |
| MARTIN, PAUL IRA | I | DIRECTOR -CONTRACTS, LICENSING & REGISTRATION | NA | |
| MARTIN, PAUL IRA | I | DIRECTOR -CONTRACTS, LICENSING & REGISTRATION | NA | |
| MARTIN, PAUL IRA | I | DIRECTOR -CONTRACTS, LICENSING & REGISTRATION | NA | |
| MARTIN, PAUL IRA | I | DIRECTOR -CONTRACTS, LICENSING & REGISTRATION | NA | |
| MARTIN, PAUL IRA | I | DIRECTOR -CONTRACTS, LICENSING & REGISTRATION | NA | |
| MARTIN, PAUL IRA | I | DIRECTOR -CONTRACTS, LICENSING & REGISTRATION | NA | |
| MARTIN, PAUL IRA | I | DIRECTOR -CONTRACTS, LICENSING & REGISTRATION | NA | |
| MARTIN, PAUL IRA | I | DIRECTOR -CONTRACTS, LICENSING & REGISTRATION | NA | |
| MARTIN, PAUL IRA | I | DIRECTOR -CONTRACTS, LICENSING & REGISTRATION | NA | |
| MASON, ANN-MARIE | I | CHIEF LEGAL OFFICER AND SECRETARY | NA | |
| MASON, ANN-MARIE | I | COUNSEL & SECRETARY | NA | |
| MASON, ANN-MARIE | I | COUNSEL & SECRETARY | NA | |
| MASON, ANN-MARIE | I | COUNSEL & SECRETARY | NA | |
| MASON, ANN-MARIE | I | CHIEF LEGAL OFFICER AND SECRETARY | NA | |
| MASON, ANN-MARIE | I | CHIEF LEGAL OFFICER AND SECRETARY | NA | |
| MASON, ANN-MARIE | I | CHIEF LEGAL OFFICER AND SECRETARY | NA | |
| MASON, ANN-MARIE | I | CHIEF LEGAL OFFICER AND SECRETARY | NA | |
| MASON, ANN-MARIE | I | CHIEF LEGAL OFFICER AND SECRETARY | NA | |
| MASON, ANN-MARIE | I | CHIEF LEGAL OFFICER AND SECRETARY | NA | |
| MASON, ANN-MARIE | I | CHIEF LEGAL OFFICER AND SECRETARY | NA | |
| MASON, ANN-MARIE | I | CHIEF LEGAL OFFICER AND SECRETARY | NA | |
| MASON, ANN-MARIE | I | CHIEF LEGAL OFFICER AND SECRETARY | NA | |
| MASON, ANN-MARIE | I | CHIEF LEGAL OFFICER AND SECRETARY | NA | |
| MASON, ANN-MARIE | I | CHIEF LEGAL OFFICER AND SECRETARY | NA | |
| MASON, ANN-MARIE | I | CHIEF LEGAL OFFICER AND SECRETARY | NA | |
| MASON, ANN-MARIE | I | CHIEF LEGAL OFFICER AND SECRETARY | NA | |
| MAST, LARRY LEROY | I | PRESIDENT, CEO, DIRECTOR & CHAIRMAN | NA | Control |
| MAST, LARRY LEROY | I | PRESIDENT, CEO, DIRECTOR & CHAIRMAN | NA | Control |
| MAST, LARRY LEROY | I | PRESIDENT, CEO, DIRECTOR & CHAIRMAN | NA | Control |
| MAST, LARRY LEROY | I | DIRECTOR | NA | Control |
| MAST, LARRY LEROY | I | PRESIDENT, CEO, DIRECTOR & CHAIRMAN | NA | Control |
| MAST, LARRY LEROY | I | PRESIDENT, CEO, DIRECTOR & CHAIRMAN | NA | Control |
| MAST, LARRY LEROY | I | PRESIDENT, CEO & DIRECTOR | NA | Control |
| MAST, LARRY LEROY | I | PRESIDENT, CEO, DIRECTOR & CHAIRMAN | NA | Control |
| MAST, LARRY LEROY | I | PRESIDENT, CEO, DIRECTOR & CHAIRMAN | NA | Control |
| MAST, LARRY LEROY | I | PRESIDENT, CEO, DIRECTOR & CHAIRMAN | NA | Control |
| MAST, LARRY LEROY | I | PRESIDENT, CEO, DIRECTOR & CHAIRMAN | NA | Control |
| MAST, LARRY LEROY | I | PRESIDENT, CEO, DIRECTOR & CHAIRMAN | NA | Control |
| MAST, LARRY LEROY | I | PRESIDENT, CEO, DIRECTOR & CHAIRMAN | NA | Control |
| MAST, LARRY LEROY | I | PRESIDENT, CEO, DIRECTOR & CHAIRMAN | NA | Control |
| MAST, LARRY LEROY | I | PRESIDENT, CEO, DIRECTOR & CHAIRMAN | NA | Control |
| MCCORMACK, NICOLE ANNE | I | DIRECTOR, OPERATIONS | NA | |
| MCCORMACK, NICOLE ANNE | I | DIRECTOR, OPERATIONS | NA | |
| MCCORMACK, NICOLE ANNE | I | DIRECTOR, OPERATIONS | NA | |
| MCCORMACK, NICOLE ANNE | I | DIRECTOR, OPERATIONS | NA | |
| MCCORMACK, NICOLE ANNE | I | DIRECTOR, OPERATIONS | NA | |
| MCCORMACK, NICOLE ANNE | I | DIRECTOR, OPERATIONS | NA | |
| MCDONNELL, EILEEN CLAIRE | I | CHAIRMAN AND DIRECTOR | NA | Control |
| MCDONNELL, EILEEN CLAIRE | I | CHAIRMAN AND DIRECTOR | NA | Control |
| MCDONNELL, EILEEN CLAIRE | I | CHAIRMAN AND DIRECTOR | NA | Control |
| MCDONNELL, EILEEN CLAIRE | I | CHAIRMAN AND DIRECTOR | NA | Control |
| MCDONNELL, EILEEN CLAIRE | I | CHAIRMAN AND DIRECTOR | NA | Control |
| MCDONNELL, EILEEN CLAIRE | I | CHAIRMAN AND DIRECTOR | NA | Control |
| MCDONNELL, EILEEN CLAIRE | I | CHAIRMAN AND DIRECTOR | NA | Control |
| MCDONNELL, EILEEN CLAIRE | I | CHAIRMAN AND DIRECTOR | NA | Control |
| MCDONNELL, EILEEN CLAIRE | I | CHAIRMAN AND DIRECTOR | NA | Control |
| MCDONNELL, EILEEN CLAIRE | I | CHAIRMAN AND DIRECTOR | NA | Control |
| MCDONNELL, EILEEN CLAIRE | I | CHAIRMAN AND DIRECTOR | NA | Control |
| MILLER, RICHARD JOSEPH | I | PRESIDENT & CHIEF EXECUTIVE OFFICER, & DIRECTOR | NA | Control |
| MILLER, RICHARD JOSEPH | I | PRESIDENT & CHIEF EXECUTIVE OFFICER, & DIRECTOR | NA | Control |
| MILLER, RICHARD JOSEPH | I | PRESIDENT & CHIEF EXECUTIVE OFFICER, & DIRECTOR | NA | Control |
| MILLER, RICHARD JOSEPH | I | PRESIDENT & CHIEF EXECUTIVE OFFICER, & DIRECTOR | NA | Control |
| MILLER, RICHARD JOSEPH | I | PRESIDENT & CHIEF EXECUTIVE OFFICER, & DIRECTOR | NA | Control |
| MILLER, RICHARD JOSEPH | I | PRESIDENT & CHIEF EXECUTIVE OFFICER, & DIRECTOR | NA | Control |
| MILLER, RICHARD JOSEPH | I | PRESIDENT & CHIEF EXECUTIVE OFFICER, & DIRECTOR | NA | Control |
| MILLER, RICHARD JOSEPH | I | PRESIDENT & CHIEF EXECUTIVE OFFICER, & DIRECTOR | NA | Control |
| MILLER, RICHARD JOSEPH | I | PRESIDENT & CHIEF EXECUTIVE OFFICER, & DIRECTOR | NA | Control |
| MILLER, RICHARD JOSEPH | I | PRESIDENT & CHIEF EXECUTIVE OFFICER, & DIRECTOR | NA | Control |
| MILLER, STEVEN OTT | I | SENIOR VICE-PRESIDENT, INDEPENDENCE FINANCIAL NETWORK | NA | Control |
| MILLER, STEVEN OTT | I | SENIOR VICE-PRESIDENT, INDEPENDENCE FINANCIAL NETWORK | NA | Control |
| MILLER, STEVEN OTT | I | SENIOR VICE-PRESIDENT, INDEPENDENCE FINANCIAL NETWORK | NA | Control |
| MILLER, STEVEN OTT | I | SENIOR VICE-PRESIDENT, INDEPENDENCE FINANCIAL NETWORK | NA | Control |
| MILLER, STEVEN OTT | I | SENIOR VICE-PRESIDENT, INDEPENDENCE FINANCIAL NETWORK | NA | Control |
| MILLER, STEVEN OTT | I | SENIOR VICE-PRESIDENT, INDEPENDENCE FINANCIAL NETWORK | NA | Control |
| MILLER, STEVEN OTT | I | SENIOR VICE-PRESIDENT, INDEPENDENCE FINANCIAL NETWORK, DIRECTOR | NA | Control |
| MILLER, STEVEN OTT | I | SENIOR VICE-PRESIDENT, INDEPENDENCE FINANCIAL NETWORK, DIRECTOR | NA | Control |
| MILLER, STEVEN OTT | I | SENIOR VICE-PRESIDENT, INDEPENDENCE FINANCIAL NETWORK, DIRECTOR | NA | Control |
| MILLER, STEVEN OTT | I | PRESIDENT & CEO | NA | Control |
| MILLER, STEVEN OTT | I | SENIOR VICE-PRESIDENT, INDEPENDENCE FINANCIAL NETWORK, DIRECTOR | NA | Control |
| MILLER, STEVEN OTT | I | SENIOR VICE-PRESIDENT, INDEPENDENCE FINANCIAL NETWORK, DIRECTOR | NA | Control |
| MILLER, STEVEN OTT | I | SENIOR VICE-PRESIDENT, INDEPENDENCE FINANCIAL NETWORK, DIRECTOR | NA | Control |
| MILLER, STEVEN OTT | I | SENIOR VICE-PRESIDENT, INDEPENDENCE FINANCIAL NETWORK, DIRECTOR | NA | Control |
| MILLER, STEVEN OTT | I | SENIOR VICE-PRESIDENT, INDEPENDENCE FINANCIAL NETWORK, DIRECTOR | NA | Control |
| MILLER, STEVEN OTT | I | SENIOR VICE-PRESIDENT, INDEPENDENCE FINANCIAL NETWORK, DIRECTOR | NA | Control |
| MILLER, STEVEN OTT | I | SENIOR VICE-PRESIDENT, INDEPENDENCE FINANCIAL NETWORK, DIRECTOR | NA | Control |
| MILLER, STEVEN OTT | I | SENIOR VICE-PRESIDENT, INDEPENDENCE FINANCIAL NETWORK, DIRECTOR | NA | Control |
| MILLER, STEVEN OTT | I | SENIOR VICE-PRESIDENT, INDEPENDENCE FINANCIAL NETWORK, DIRECTOR | NA | Control |
| MILLER, STEVEN OTT | I | SENIOR VICE-PRESIDENT, INDEPENDENCE FINANCIAL NETWORK, DIRECTOR | NA | Control |
| MILLER, STEVEN OTT | I | SENIOR VICE-PRESIDENT, INDEPENDENCE FINANCIAL NETWORK, DIRECTOR | NA | Control |
| MOYER, KEVIN LEIGH | I | ASSISTANT VICE PRESIDENT, COMMISSIONS & CONTRACTS, LICENSING AND REGISTRATION | NA | |
| MOYER, KEVIN LEIGH | I | ASSISTANT VICE PRESIDENT, COMMISSIONS & CONTRACTS, LICENSING AND REGISTRATION | NA | |
| MOYER, KEVIN LEIGH | I | ASSISTANT VICE PRESIDENT, COMMISSIONS & CONTRACTS, LICENSING AND REGISTRATION | NA | |
| MOYER, KEVIN LEIGH | I | ASSISTANT VICE PRESIDENT, COMMISSIONS & CONTRACTS, LICENSING AND REGISTRATION | NA | |
| MULLER, NIKI LEE | I | PRINCIPAL OPERATIONS OFFICER | NA | Control |
| MULLER, NIKI LEE | I | PRINCIPAL OPERATIONS OFFICER | NA | Control |
| MULLER, NIKI LEE | I | PRINCIPAL OPERATIONS OFFICER | NA | Control |
| MULROONEY, NINA MARIE | I | SENIOR VICE PRESIDENT, COMPLIANCE, CHIEF COMPLIANCE OFFICER & DIRECTOR | NA | Control |
| MULROONEY, NINA MARIE | I | SENIOR VICE PRESIDENT, COMPLIANCE, CHIEF COMPLIANCE OFFICER & DIRECTOR | NA | Control |
| MULROONEY, NINA MARIE | I | SENIOR VICE PRESIDENT, COMPLIANCE, CHIEF COMPLIANCE OFFICER & DIRECTOR | NA | Control |
| MULROONEY, NINA MARIE | I | SENIOR VICE PRESIDENT, COMPLIANCE, CHIEF COMPLIANCE OFFICER & DIRECTOR | NA | Control |
| MULROONEY, NINA MARIE | I | SENIOR VICE PRESIDENT, COMPLIANCE, CHIEF COMPLIANCE OFFICER & DIRECTOR | NA | Control |
| MULROONEY, NINA MARIE | I | SENIOR VICE PRESIDENT MARKET CONDUCT & COMPLIANCE, DIRECTOR | NA | Control |
| MULROONEY, NINA MARIE | I | SENIOR VICE PRESIDENT MARKET CONDUCT & COMPLIANCE, DIRECTOR | NA | Control |
| MULROONEY, NINA MARIE | I | SENIOR VICE PRESIDENT MARKET CONDUCT & COMPLIANCE, DIRECTOR | NA | Control |
| MULROONEY, NINA MARIE | I | SENIOR VICE PRESIDENT, COMPLIANCE | NA | Control |
| MULROONEY, NINA MARIE | I | SENIOR VICE PRESIDENT MARKET CONDUCT & COMPLIANCE, DIRECTOR | NA | Control |
| MULROONEY, NINA MARIE | I | SENIOR VICE PRESIDENT MARKET CONDUCT & COMPLIANCE, DIRECTOR | NA | Control |
| MULROONEY, NINA MARIE | I | SENIOR VICE PRESIDENT, COMPLIANCE, CHIEF COMPLIANCE OFFICER & DIRECTOR | NA | Control |
| MULROONEY, NINA MARIE | I | SENIOR VICE PRESIDENT MARKET CONDUCT & COMPLIANCE, DIRECTOR | NA | Control |
| MULROONEY, NINA MARIE | I | SENIOR VICE PRESIDENT MARKET CONDUCT & COMPLIANCE, DIRECTOR | NA | Control |
| MULROONEY, NINA MARIE | I | SENIOR VICE PRESIDENT MARKET CONDUCT & COMPLIANCE, DIRECTOR | NA | Control |
| MULROONEY, NINA MARIE | I | SENIOR VICE PRESIDENT MARKET CONDUCT & COMPLIANCE, DIRECTOR | NA | Control |
| MULROONEY, NINA MARIE | I | SENIOR VICE PRESIDENT MARKET CONDUCT & COMPLIANCE, DIRECTOR | NA | Control |
| MULROONEY, NINA MARIE | I | SENIOR VICE PRESIDENT MARKET CONDUCT & COMPLIANCE, DIRECTOR | NA | Control |
| MULROONEY, NINA MARIE | I | SENIOR VICE PRESIDENT MARKET CONDUCT & COMPLIANCE, DIRECTOR | NA | Control |
| MULROONEY, NINA MARIE | I | SENIOR VICE PRESIDENT MARKET CONDUCT & COMPLIANCE, DIRECTOR | NA | Control |
| MURRAY, JAMES G | I | TAX DIRECTOR | NA | |
| MURRAY, JAMES G | I | TAX DIRECTOR | NA | |
| MURRAY, JAMES G | I | TAX DIRECTOR | NA | |
| MURRAY, JAMES G | I | TAX DIRECTOR | NA | |
| MURRAY, JAMES G | I | TAX DIRECTOR | NA | |
| MURRAY, JAMES G | I | TAX DIRECTOR | NA | |
| NAGENGAST, HEATHER JILL | I | MANAGER | NA | Control |
| NAGENGAST, HEATHER JILL | I | MANAGER | NA | Control |
| NAGENGAST, HEATHER JILL | I | MANAGER | NA | Control |
| NAGENGAST, HEATHER JILL | I | MANAGER | NA | Control |
| NAGENGAST, HEATHER JILL | I | MANAGER | NA | Control |
| NAGENGAST, HEATHER JILL | I | MANAGER | NA | Control |
| NAGENGAST, HEATHER JILL | I | PRESIDENT, MANAGER | NA | Control |
| NAGENGAST, HEATHER JILL | I | PRESIDENT, MANAGER | NA | Control |
| NAGENGAST, HEATHER JILL | I | PRESIDENT, MANAGER | NA | Control |
| O'MALLEY, DAVID MICHAEL | I | DIRECTOR | NA | Control |
| O'MALLEY, DAVID MICHAEL | I | DIRECTOR | NA | Control |
| O'MALLEY, DAVID MICHAEL | I | DIRECTOR | NA | Control |
| O'MALLEY, DAVID MICHAEL | I | DIRECTOR | NA | Control |
| O'MALLEY, DAVID MICHAEL | I | DIRECTOR | NA | Control |
| O'MALLEY, DAVID MICHAEL | I | DIRECTOR | NA | Control |
| O'MALLEY, DAVID MICHAEL | I | DIRECTOR | NA | Control |
| O'MALLEY, DAVID MICHAEL | I | DIRECTOR | NA | Control |
| O'MALLEY, DAVID MICHAEL | I | DIRECTOR | NA | Control |
| O'MALLEY, DAVID MICHAEL | I | DIRECTOR | NA | Control |
| O'MALLEY, DAVID MICHAEL | I | DIRECTOR | NA | Control |
| O'MALLEY, DAVID MICHAEL | I | DIRECTOR | NA | Control |
| O'MALLEY, DAVID MICHAEL | I | DIRECTOR | NA | Control |
| O'MALLEY, DAVID MICHAEL | I | DIRECTOR | NA | Control |
| O'MALLEY, DAVID MICHAEL | I | DIRECTOR | NA | Control |
| O'MALLEY, DAVID MICHAEL | I | DIRECTOR | NA | Control |
| O'MALLEY, DAVID MICHAEL | I | CHAIRMAN AND MANAGER | NA | |
| O'MALLEY, DAVID MICHAEL | I | CHAIRMAN AND DIRECTOR | NA | |
| O'MALLEY, DAVID MICHAEL | I | CHAIRMAN AND MANAGER | NA | |
| O'MALLEY, DAVID MICHAEL | I | CHAIRMAN AND MANAGER | NA | |
| O'MALLEY, DAVID MICHAEL | I | CHAIRMAN AND MANAGER | NA | |
| O'MALLEY, DAVID MICHAEL | I | CHAIRMAN AND MANAGER | NA | |
| O'MALLEY, DAVID MICHAEL | I | CHAIRMAN AND MANAGER | NA | |
| O'MALLEY, DAVID MICHAEL | I | CHAIRMAN AND MANAGER | NA | |
| O'MALLEY, DAVID MICHAEL | I | CHAIRMAN AND MANAGER | NA | |
| O'MALLEY, DAVID MICHAEL | I | CHAIRMAN AND MANAGER | NA | |
| O'MALLEY, DAVID MICHAEL | I | CHAIRMAN AND MANAGER | NA | |
| O'MALLEY, DAVID MICHAEL | I | CHAIRMAN AND MANAGER | NA | |
| O'MALLEY, DAVID MICHAEL | I | CHAIRMAN AND MANAGER | NA | |
| O'MALLEY, DAVID MICHAEL | I | CHAIRMAN AND MANAGER | NA | |
| O'MALLEY, DAVID MICHAEL | I | CHAIRMAN AND MANAGER | NA | |
| PACHECO, ROGER II | I | AVP, QUALITY MANAGEMENT/SURVEILLANCE | NA | |
| PACHECO, ROGER II | I | AVP, QUALITY MANAGEMENT/SURVEILLANCE | NA | |
| PACHECO, ROGER II | I | AVP, QUALITY MANAGEMENT/SURVEILLANCE | NA | |
| PACHECO, ROGER II | I | AVP, QUALITY MANAGEMENT/SURVEILLANCE | NA | |
| PACHECO, ROGER II | I | AVP, QUALITY MANAGEMENT/SURVEILLANCE | NA | |
| PACHECO, ROGER II | I | AVP, QUALITY MANAGEMENT/SURVEILLANCE | NA | |
| POLAKOWSKI, STACEY NINA | I | TREASURER & CONTROLLER | NA | |
| POLAKOWSKI, STACEY NINA | I | TREASURER & CONTROLLER | NA | |
| POLAKOWSKI, STACEY NINA | I | TREASURER & CONTROLLER | NA | |
| POLAKOWSKI, STACEY NINA | I | TREASURER & CONTROLLER | NA | |
| POLAKOWSKI, STACEY NINA | I | TREASURER | NA | |
| POLAKOWSKI, STACEY NINA | I | TREASURER & CONTROLLER | NA | |
| POLAKOWSKI, STACEY NINA | I | TREASURER & CONTROLLER | NA | |
| POLAKOWSKI, STACEY NINA | I | TREASURER | NA | |
| POLAKOWSKI, STACEY NINA | I | TREASURER | NA | |
| POLAKOWSKI, STACEY NINA | I | TREASURER | NA | |
| POLAKOWSKI, STACEY NINA | I | TREASURER & CONTROLLER | NA | |
| POLAKOWSKI, STACEY NINA | I | TREASURER & CONTROLLER | NA | |
| POLAKOWSKI, STACEY NINA | I | TREASURER & CONTROLLER | NA | |
| POLAKOWSKI, STACEY NINA | I | TREASURER & CONTROLLER | NA | |
| POLAKOWSKI, STACEY NINA | I | TREASURER & CONTROLLER | NA | |
| POLAKOWSKI, STACEY NINA | I | TREASURER & CONTROLLER | NA | |
| POLAKOWSKI, STACEY NINA | I | TREASURER & CONTROLLER | NA | |
| POLAKOWSKI, STACEY NINA | I | TREASURER & CONTROLLER | NA | |
| POLAKOWSKI, STACEY NINA | I | TREASURER & CONTROLLER | NA | |
| POLAKOWSKI, STACEY NINA | I | TREASURER | NA | |
| POLAKOWSKI, STACEY NINA | I | TREASURER & CONTROLLER | NA | |
| POLAKOWSKI, STACEY NINA | I | TREASURER & CONTROLLER | NA | |
| POLAKOWSKI, STACEY NINA | I | TREASURER & CONTROLLER | NA | |
| POLAKOWSKI, STACEY NINA | I | TREASURER & CONTROLLER | NA | |
| POLAKOWSKI, STACEY NINA | I | TREASURER & CONTROLLER | NA | |
| POLAKOWSKI, STACEY NINA | I | TREASURER & CONTROLLER | NA | |
| POLAKOWSKI, STACEY NINA | I | TREASURER & CONTROLLER | NA | |
| POLAKOWSKI, STACEY NINA | I | TREASURER & CONTROLLER | NA | |
| POLAKOWSKI, STACEY NINA | I | TREASURER & CONTROLLER | NA | |
| POLAKOWSKI, STACEY NINA | I | TREASURER & CONTROLLER | NA | |
| POLAKOWSKI, STACEY NINA | I | TREASURER & CONTROLLER | NA | |
| POLAKOWSKI, STACEY NINA | I | TREASURER & CONTROLLER | NA | |
| POLTER, SCOTT ERIC | I | DIRECTOR - TRADING & OPERATIONS | NA | |
| POLTER, SCOTT ERIC | I | DIRECTOR - TRADING & OPERATIONS | NA | |
| POLTER, SCOTT ERIC | I | DIRECTOR - TRADING & OPERATIONS | NA | |
| POLTER, SCOTT ERIC | I | DIRECTOR - TRADING & OPERATIONS | NA | |
| POLTER, SCOTT ERIC | I | DIRECTOR - TRADING & OPERATIONS | NA | |
| POLTER, SCOTT ERIC | I | DIRECTOR - TRADING & OPERATIONS | NA | |
| POLTER, SCOTT ERIC | I | DIRECTOR - TRADING & OPERATIONS | NA | |
| PRATT, JONATHAN JOSEPH SR | I | VICE PRESIDENT-SALES | NA | Control |
| PRATT, JONATHAN JOSEPH SR | I | VICE PRESIDENT-SALES | NA | Control |
| RAMEY, TERRY ALAN | I | DIRECTOR | NA | Control |
| RAMEY, TERRY ALAN | I | DIRECTOR | NA | Control |
| RAMEY, TERRY ALAN | I | DIRECTOR | NA | Control |
| RAMEY, TERRY ALAN | I | DIRECTOR | NA | Control |
| RAMEY, TERRY ALAN | I | DIRECTOR | NA | Control |
| RAMEY, TERRY ALAN | I | DIRECTOR | NA | Control |
| RAMEY, TERRY ALAN | I | DIRECTOR | NA | Control |
| RASZEJA, DAVID MICHAEL | I | DIRECTOR | NA | Control |
| RASZEJA, DAVID MICHAEL | I | DIRECTOR | NA | Control |
| RASZEJA, DAVID MICHAEL | I | DIRECTOR | NA | Control |
| RASZEJA, DAVID MICHAEL | I | DIRECTOR | NA | Control |
| RASZEJA, DAVID MICHAEL | I | DIRECTOR | NA | Control |
| RASZEJA, DAVID MICHAEL | I | DIRECTOR | NA | Control |
| RASZEJA, DAVID MICHAEL | I | DIRECTOR | NA | Control |
| RASZEJA, DAVID MICHAEL | I | DIRECTOR | NA | Control |
| RASZEJA, DAVID MICHAEL | I | DIRECTOR | NA | Control |
| RASZEJA, DAVID MICHAEL | I | DIRECTOR | NA | Control |
| RASZEJA, DAVID MICHAEL | I | DIRECTOR | NA | |
| RASZEJA, DAVID MICHAEL | I | DIRECTOR | NA | |
| RASZEJA, DAVID MICHAEL | I | DIRECTOR | NA | Control |
| RASZEJA, DAVID MICHAEL | I | DIRECTOR | NA | Control |
| RASZEJA, DAVID MICHAEL | I | DIRECTOR | NA | |
| RASZEJA, DAVID MICHAEL | I | DIRECTOR | NA | Control |
| RASZEJA, DAVID MICHAEL | I | DIRECTOR | NA | |
| RASZEJA, DAVID MICHAEL | I | DIRECTOR | NA | |
| REIDY, JOHN PATRICK | I | VICE PRESIDENT - SALES | NA | |
| REIDY, JOHN PATRICK | I | VICE PRESIDENT - SALES | NA | |
| REIDY, JOHN PATRICK | I | VICE PRESIDENT - SALES | NA | |
| REIDY, JOHN PATRICK | I | VICE PRESIDENT - SALES | NA | |
| REIDY, JOHN PATRICK | I | VICE PRESIDENT - SALES | NA | |
| REIDY, JOHN PATRICK | I | VICE PRESIDENT - SALES SUPERVISION | NA | |
| REYNOLDS, KEVIN TERENCE | I | DIRECTOR | NA | Control |
| REYNOLDS, KEVIN TERENCE | I | DIRECTOR | NA | Control |
| REYNOLDS, KEVIN TERENCE | I | DIRECTOR | NA | Control |
| REYNOLDS, KEVIN TERENCE | I | DIRECTOR | NA | Control |
| REYNOLDS, KEVIN TERENCE | I | DIRECTOR | NA | Control |
| REYNOLDS, KEVIN TERENCE | I | DIRECTOR | NA | Control |
| REYNOLDS, KEVIN TERENCE | I | DIRECTOR | NA | Control |
| REYNOLDS, KEVIN TERENCE | I | DIRECTOR | NA | Control |
| REYNOLDS, KEVIN TERENCE | I | DIRECTOR | NA | Control |
| REYNOLDS, KEVIN TERENCE | I | DIRECTOR | NA | Control |
| REYNOLDS, KEVIN TERENCE | I | DIRECTOR | NA | Control |
| RITZKO, LAURA MARIE | I | SECRETARY | NA | |
| RITZKO, LAURA MARIE | I | SECRETARY | NA | |
| RITZKO, LAURA MARIE | I | SECRETARY | NA | |
| RITZKO, LAURA MARIE | I | SECRETARY | NA | Control |
| RITZKO, LAURA MARIE | I | SECRETARY | NA | |
| RITZKO, LAURA MARIE | I | SECRETARY | NA | |
| RITZKO, LAURA MARIE | I | SECRETARY | NA | |
| RITZKO, LAURA MARIE | I | SECRETARY | NA | |
| RITZKO, LAURA MARIE | I | SECRETARY | NA | |
| RITZKO, LAURA MARIE | I | SECRETARY | NA | |
| RITZKO, LAURA MARIE | I | SECRETARY | NA | Control |
| RITZKO, LAURA MARIE | I | SECRETARY | NA | Control |
| RITZKO, LAURA MARIE | I | SECRETARY | NA | Control |
| RITZKO, LAURA MARIE | I | SECRETARY | NA | Control |
| ROBINSON, VICTORIA MARIE | I | CHIEF COMPLIANCE OFFICER | NA | |
| ROBINSON, VICTORIA MARIE | I | CHIEF COMPLIANCE OFFICER | NA | |
| ROBINSON, VICTORIA MARIE | I | CHIEF COMPLIANCE OFFICER | NA | |
| ROBINSON, VICTORIA MARIE | I | CHIEF COMPLIANCE OFFICER | NA | |
| ROBINSON, VICTORIA MARIE | I | CHIEF COMPLIANCE OFFICER | NA | |
| ROBINSON, VICTORIA MARIE | I | CHIEF COMPLIANCE OFFICER | NA | |
| ROBINSON, VICTORIA MARIE | I | CHIEF COMPLIANCE OFFICER | NA | |
| ROBINSON, VICTORIA MARIE | I | CHIEF COMPLIANCE OFFICER | NA | |
| ROBINSON, VICTORIA MARIE | I | CHIEF COMPLIANCE OFFICER | NA | |
| ROBINSON, VICTORIA MARIE | I | CHIEF COMPLIANCE OFFICER, MANAGER | NA | |
| ROBINSON, VICTORIA MARIE | I | CHIEF COMPLIANCE OFFICER | NA | |
| ROBINSON, VICTORIA MARIE | I | CHIEF COMPLIANCE OFFICER | NA | |
| ROBINSON, VICTORIA MARIE | I | CHIEF COMPLIANCE OFFICER | NA | |
| ROBINSON, VICTORIA MARIE | I | CHIEF COMPLIANCE OFFICER, MANAGER | NA | |
| ROBINSON, VICTORIA MARIE | I | CHIEF COMPLIANCE OFFICER, MANAGER | NA | |
| ROBINSON, VICTORIA MARIE | I | CHIEF COMPLIANCE OFFICER, MANAGER | NA | |
| ROBINSON, VICTORIA MARIE | I | CHIEF COMPLIANCE OFFICER, MANAGER | NA | |
| ROBINSON, VICTORIA MARIE | I | CHIEF COMPLIANCE OFFICER, MANAGER | NA | |
| ROBINSON, VICTORIA MARIE | I | CHIEF COMPLIANCE OFFICER, MANAGER | NA | |
| ROBINSON, VICTORIA MARIE | I | CHIEF COMPLIANCE OFFICER, MANAGER | NA | |
| ROBINSON, VICTORIA MARIE | I | CHIEF COMPLIANCE OFFICER, MANAGER | NA | |
| ROBINSON, VICTORIA MARIE | I | CHIEF COMPLIANCE OFFICER, MANAGER | NA | |
| ROBINSON, VICTORIA MARIE | I | CHIEF COMPLIANCE OFFICER, MANAGER | NA | |
| ROBINSON, VICTORIA MARIE | I | CHIEF COMPLIANCE OFFICER, MANAGER | NA | |
| ROBINSON, VICTORIA MARIE | I | CHIEF COMPLIANCE OFFICER, MANAGER | NA | |
| ROBINSON, VICTORIA MARIE | I | CHIEF COMPLIANCE OFFICER, MANAGER | NA | |
| RUSH, NANCY | I | ASSISTANT VICE PRESIDENT - BENEFITS & RISK MANAGEMENT | NA | |
| RUSH, NANCY | I | ASSISTANT VICE PRESIDENT - BENEFITS & RISK MANAGEMENT | NA | |
| RUSH, NANCY | I | ASSISTANT VICE PRESIDENT - BENEFITS & RISK MANAGEMENT | NA | |
| RUSH, NANCY | I | ASSISTANT VICE PRESIDENT - BENEFITS & RISK MANAGEMENT | NA | |
| RUSH, NANCY | I | ASSISTANT VICE PRESIDENT - BENEFITS & RISK MANAGEMENT | NA | |
| RUSH, NANCY | I | ASSISTANT VICE PRESIDENT - BENEFITS & RISK MANAGEMENT | NA | |
| RUSH, NANCY | I | ASSISTANT VICE PRESIDENT - BENEFITS & RISK MANAGEMENT | NA | |
| RUSH, NANCY | I | ASSISTANT VICE PRESIDENT - BENEFITS & RISK MANAGEMENT | NA | |
| RUSH, NANCY | I | ASSISTANT VICE PRESIDENT - BENEFITS & RISK MANAGEMENT | NA | |
| RUSH, NANCY SPIVEY | I | VICE PRESIDENT - BENEFITS & RISK MANAGEMENT | NA | |
| RUSH, NANCY SPIVEY | I | VICE PRESIDENT - BENEFITS & RISK MANAGEMENT | NA | |
| RUSH, NANCY SPIVEY | I | VICE PRESIDENT - BENEFITS & RISK MANAGEMENT | NA | |
| RUSH, NANCY SPIVEY | I | VICE PRESIDENT - BENEFITS & RISK MANAGEMENT | NA | |
| RUSH, NANCY SPIVEY | I | ASSISTANT VICE PRESIDENT - BENEFITS & RISK MANAGEMENT | NA | |
| RUSH, NANCY SPIVEY | I | VICE PRESIDENT - BENEFITS & RISK MANAGEMENT | NA | |
| RUSH, NANCY SPIVEY | I | VICE PRESIDENT - BENEFITS & RISK MANAGEMENT | NA | |
| RUSH, NANCY SPIVEY | I | ASSISTANT VICE PRESIDENT - BENEFITS & RISK MANAGEMENT | NA | |
| RUSH, NANCY SPIVEY | I | ASSISTANT VICE PRESIDENT - BENEFITS & RISK MANAGEMENT | NA | |
| RUSH, NANCY SPIVEY | I | ASSISTANT VICE PRESIDENT - BENEFITS & RISK MANAGEMENT | NA | |
| RUSH, NANCY SPIVEY | I | VICE PRESIDENT - BENEFITS & RISK MANAGEMENT | NA | |
| RUSH, NANCY SPIVEY | I | VICE PRESIDENT - BENEFITS & RISK MANAGEMENT | NA | |
| RUSH, NANCY SPIVEY | I | VICE PRESIDENT - BENEFITS & RISK MANAGEMENT | NA | |
| RUSH, NANCY SPIVEY | I | VICE PRESIDENT - BENEFITS & RISK MANAGEMENT | NA | |
| RUSH, NANCY SPIVEY | I | VICE PRESIDENT - BENEFITS & RISK MANAGEMENT | NA | |
| RUSH, NANCY SPIVEY | I | VICE PRESIDENT - BENEFITS & RISK MANAGEMENT | NA | |
| RUSH, NANCY SPIVEY | I | ASSISTANT VICE PRESIDENT - BENEFITS & RISK MANAGEMENT | NA | |
| RUSH, NANCY SPIVEY | I | VICE PRESIDENT - BENEFITS & RISK MANAGEMENT | NA | |
| RUTITSKIY, DMITRIY | I | FINOP | NA | |
| RUTITSKIY, DMITRIY | I | FINOP | NA | |
| RUTITSKIY, DMITRIY NMN | I | FINOP | NA | |
| RUTITSKIY, DMITRIY NMN | I | FINOP | NA | |
| RUTITSKIY, DMITRIY NMN | I | FINOP | NA | |
| RUTITSKIY, DMITRIY NMN | I | FINOP | NA | |
| RUTITSKIY, DMITRIY NMN | I | FINOP | NA | |
| SCHILT, JOHN ALFRED JR | I | MANAGING DIRECTOR, MARKETING AND FIELD SUPPORT | NA | |
| SCHILT, JOHN ALFRED JR | I | MANAGING DIRECTOR, MARKETING AND FIELD SUPPORT | NA | |
| SCHILT, JOHN ALFRED JR | I | MANAGING DIRECTOR, MARKETING AND FIELD SUPPORT | NA | |
| SCHILT, JOHN ALFRED JR | I | MANAGING DIRECTOR, MARKETING AND FIELD SUPPORT | NA | |
| SCHOLZ, ROBERT JAMES | I | ASSISTANT TREASURER | NA | |
| SCHOLZ, ROBERT JAMES | I | ASSISTANT TREASURER | NA | |
| SCHOLZ, ROBERT JAMES | I | ASSISTANT TREASURER | NA | |
| SCHOLZ, ROBERT JAMES | I | ASSISTANT TREASURER | NA | |
| SCHOLZ, ROBERT JAMES | I | ASSISTANT TREASURER | NA | |
| SCHOLZ, ROBERT JAMES | I | ASSISTANT TREASURER | NA | |
| SCHOLZ, ROBERT JAMES | I | ASSISTANT TREASURER | NA | |
| SCHOLZ, ROBERT JAMES | I | ASSISTANT TREASURER | NA | |
| SCHOLZ, ROBERT JAMES | I | ASSISTANT TREASURER | NA | |
| SHEPPARD, ALAN, C | I | AUDITOR | NA | |
| SHEPPARD, ALAN, C | I | AUDITOR | NA | |
| SHEPPARD, ALAN, C | I | AUDITOR | NA | |
| SHEPPARD, ALAN, C | I | AUDITOR | NA | |
| SHEPPARD, ALAN, C | I | AUDITOR | NA | |
| SHEPPARD, ALAN, C | I | AUDITOR | NA | |
| SHEPPARD, ALAN, C | I | AUDITOR | NA | |
| SHEPPARD, ALAN, C | I | AUDITOR | NA | |
| SHEPPARD, ALAN, C | I | AUDITOR | NA | |
| SIMON, LINDA DAHMS | I | SR. VICE PRESIDENT TRADING & OPERATIONS | NA | |
| SIMON, LINDA DAHMS | I | SR. VICE PRESIDENT TRADING & OPERATIONS | NA | |
| SIMON, LINDA DAHMS | I | SR. VICE PRESIDENT TRADING & OPERATIONS | NA | |
| SIMON, LINDA DAHMS | I | SR. VICE PRESIDENT TRADING & OPERATIONS | NA | |
| SIMON, SCOTT LAURENCE | I | DIRECTOR, OPERATIONAL CONTROL | NA | |
| SIMON, SCOTT LAURENCE | I | DIRECTOR, OPERATIONAL CONTROL | NA | |
| SIMON, SCOTT LAURENCE | I | DIRECTOR, OPERATIONAL CONTROL | NA | |
| SIMON, SCOTT LAURENCE | I | DIRECTOR, OPERATIONAL CONTROL | NA | |
| SIMON, SCOTT LAURENCE | I | DIRECTOR, OPERATIONAL CONTROL | NA | |
| SIMON, SCOTT LAURENCE | I | DIRECTOR, OPERATIONAL CONTROL | NA | |
| SIMONS, THOMAS ROLAND | I | SENIOR REGISTERED OPTIONS PRINCIPAL | NA | |
| SIMONS, THOMAS ROLAND | I | SENIOR REGISTERED OPTIONS PRINCIPAL | NA | |
| SIMONS, THOMAS ROLAND | I | SENIOR REGISTERED OPTIONS PRINCIPAL | NA | |
| SIMONS, THOMAS ROLAND | I | SENIOR REGISTERED OPTIONS PRINCIPAL | NA | |
| SIMONS, THOMAS ROLAND | I | SENIOR REGISTERED OPTIONS PRINCIPAL | NA | |
| SIMONS, THOMAS ROLAND | I | REGISTERED OPTIONS AND SECURITIES FUTURES PRINCIPAL | NA | |
| SIMONS, THOMAS ROLAND | I | REGISTERED OPTIONS AND SECURITIES FUTURES PRINCIPAL | NA | |
| SIMONS, THOMAS ROLAND | I | SENIOR REGISTERED OPTIONS PRINCIPAL | NA | |
| SIMONS, THOMAS ROLAND | I | SENIOR REGISTERED OPTIONS PRINCIPAL | NA | |
| SIMONS, THOMAS ROLAND | I | SENIOR REGISTERED OPTIONS PRINCIPAL | NA | |
| SIMONS, THOMAS ROLAND | I | REGISTERED OPTIONS AND SECURITIES FUTURES PRINCIPAL | NA | |
| SIMONS, THOMAS ROLAND | I | REGISTERED OPTIONS AND SECURITIES FUTURES PRINCIPAL | NA | |
| SIMONS, THOMAS ROLAND | I | REGISTERED OPTIONS AND SECURITIES FUTURES PRINCIPAL | NA | |
| SIMONS, THOMAS ROLAND | I | SENIOR REGISTERED OPTIONS PRINCIPAL | NA | |
| SIMONS, THOMAS ROLAND | I | SENIOR REGISTERED OPTIONS PRINCIPAL | NA | |
| SIMONS, THOMAS ROLAND | I | REGISTERED OPTIONS AND SECURITIES FUTURES PRINCIPAL | NA | |
| SIMONS, THOMAS ROLAND | I | SENIOR REGISTERED OPTIONS PRINCIPAL | NA | |
| SIMONS, THOMAS ROLAND | I | SENIOR REGISTERED OPTIONS PRINCIPAL | NA | |
| SWARR, JESSICA | I | ASSISTANT VICE PRESIDENT, CORPORATE TAX | NA | |
| SWARR, JESSICA | I | ASSISTANT VICE PRESIDENT, CORPORATE TAX | NA | |
| SWARR, JESSICA | I | ASSISTANT VICE PRESIDENT, CORPORATE TAX | NA | |
| SWARR, JESSICA | I | ASSISTANT VICE PRESIDENT, CORPORATE TAX | NA | |
| SWARR, JESSICA | I | ASSISTANT VICE PRESIDENT, CORPORATE TAX | NA | |
| SWARR, JESSICA FAITH | I | ASSISTANT VICE PRESIDENT, CORPORATE TAX | NA | |
| SWARR, JESSICA FAITH | I | ASSISTANT VICE PRESIDENT, CORPORATE TAX | NA | |
| SWARR, JESSICA FAITH | I | ASSISTANT VICE PRESIDENT, CORPORATE TAX | NA | |
| SWARR, JESSICA FAITH | I | ASSISTANT VICE PRESIDENT, CORPORATE TAX | NA | |
| TIERNEY, MATTHEW OWEN | I | TREASURER & CONTROLLER | NA | |
| TIERNEY, MATTHEW OWEN | I | TREASURER & CONTROLLER | NA | |
| TIERNEY, MATTHEW OWEN | I | TREASURER & CONTROLLER | NA | |
| TIERNEY, MATTHEW OWEN | I | TREASURER & CONTROLLER | NA | |
| TORAN, DANIEL JAMES | I | CHAIRMAN OF THE BOARD & DIRECTOR | NA | Control |
| TORAN, DANIEL JAMES | I | CHAIRMAN OF THE BOARD & DIRECTOR | NA | Control |
| TORAN, DANIEL JAMES | I | CHAIRMAN OF THE BOARD & DIRECTOR | NA | Control |
| TORAN, DANIEL JAMES | I | CHAIRMAN OF THE BOARD & DIRECTOR | NA | Control |
| TORAN, DANIEL JAMES | I | CHAIRMAN OF THE BOARD & DIRECTOR | NA | Control |
| TORAN, DANIEL JAMES | I | CHAIRMAN OF THE BOARD & DIRECTOR | NA | Control |
| TORAN, DANIEL JAMES | I | CHAIRMAN OF THE BOARD & DIRECTOR | NA | Control |
| TORAN, DANIEL JAMES | I | CHAIRMAN OF THE BOARD & DIRECTOR | NA | Control |
| TORAN, DANIEL JAMES | I | CHAIRMAN OF THE BORAD & DIRECTOR | NA | Control |
| TORAN, DANIEL JAMES | I | CHAIRMAN OF THE BORAD & DIRECTOR | NA | Control |
| TORAN, DANIEL JAMES | I | CHAIRMAN OF THE BORAD & DIRECTOR | NA | Control |
| TORAN, DANIEL JAMES | I | CHAIRMAN OF THE BOARD & DIRECTOR | NA | Control |
| TORAN, DANIEL JAMES | I | CHAIRMAN OF THE BOARD & DIRECTOR | NA | Control |
| TORAN, DANIEL JAMES | I | CHAIRMAN & DIRECTOR | NA | Control |
| TORAN, DANIEL JAMES | I | CHAIRMAN OF THE BORAD & DIRECTOR | NA | Control |
| TORAN, DANIEL JAMES | I | CHAIRMAN OF THE BORAD & DIRECTOR | NA | Control |
| TORAN, DANIEL JAMES | I | CHAIRMAN OF THE BOARD & DIRECTOR | NA | Control |
| TORAN, DANIEL JAMES | I | CHAIRMAN OF THE BORAD & DIRECTOR | NA | Control |
| TORAN, DANIEL JAMES | I | CHAIRMAN OF THE BORAD & DIRECTOR | NA | Control |
| TORAN, DANIEL JAMES | I | CHAIRMAN OF THE BORAD & DIRECTOR | NA | Control |
| TORAN, DANIEL JAMES | I | CHAIRMAN OF THE BORAD & DIRECTOR | NA | Control |
| TORAN, DANIEL JAMES | I | CHAIRMAN OF THE BORAD & DIRECTOR | NA | Control |
| TORAN, DANIEL JAMES | I | CHAIRMAN OF THE BORAD & DIRECTOR | NA | Control |
| TORAN, DANIEL JAMES | I | CHAIRMAN OF THE BORAD & DIRECTOR | NA | Control |
| TORAN, DANIEL JAMES | I | CHAIRMAN OF THE BORAD & DIRECTOR | NA | Control |
| TRUDEAU, RONALD JAMES JR | I | DIRECTOR , COMMISSIONS | NA | |
| TRUDEAU, RONALD JAMES JR | I | DIRECTOR , COMMISSIONS | NA | |
| TRUDEAU, RONALD JAMES JR | I | DIRECTOR , COMMISSIONS | NA | |
| TRUDEAU, RONALD JAMES JR | I | DIRECTOR , COMMISSIONS | NA | |
| TRUDEAU, RONALD JAMES JR | I | DIRECTOR , COMMISSIONS | NA | |
| TRUDEAU, RONALD JAMES JR | I | DIRECTOR , COMMISSIONS | NA | |
| TRUDEAU, RONALD JAMES JR | I | DIRECTOR , COMMISSIONS | NA | |
| TRUDEAU, RONALD JAMES JR | I | DIRECTOR , COMMISSIONS | NA | |
| TRUDEAU, RONALD JAMES JR | I | DIRECTOR , COMMISSIONS | NA | |
| TRUDEAU, RONALD JAMES JR | I | DIRECTOR , COMMISSIONS | NA | |
| TRUDEAU, RONALD JAMES JR | I | DIRECTOR , COMMISSIONS | NA | |
| TRUDEAU, RONALD JAMES JR | I | DIRECTOR , COMMISSIONS | NA | |
| TRUDEAU, RONALD JAMES JR | I | DIRECTOR , COMMISSIONS | NA | |
| TRUDEAU, RONALD JAMES JR | I | DIRECTOR , COMMISSIONS | NA | |
| TRUDEAU, RONALD JAMES JR | I | DIRECTOR , COMMISSIONS | NA | |
| TRUDEAU, RONALD JAMES JR | I | DIRECTOR , COMMISSIONS | NA | |
| TRUDEAU, RONALD JAMES JR | I | DIRECTOR , COMMISSIONS | NA | |
| TRUDEAU, RONALD JAMES JR | I | DIRECTOR , COMMISSIONS | NA | |
| VOGT, PETER JOHN | I | DIRECTOR | NA | Control |
| VOGT, PETER JOHN | I | DIRECTOR | NA | Control |
| VOGT, PETER JOHN | I | DIRECTOR | NA | Control |
| VOGT, PETER JOHN | I | DIRECTOR | NA | Control |
| VOGT, PETER JOHN | I | DIRECTOR | NA | Control |
| VOGT, PETER JOHN | I | DIRECTOR | NA | Control |
| VOGT, PETER JOHN | I | DIRECTOR | NA | Control |
| VOGT, PETER JOHN | I | DIRECTOR | NA | Control |
| VOGT, PETER JOHN | I | DIRECTOR | NA | Control |
| VOGT, PETER JOHN | I | DIRECTOR | NA | Control |
| VOGT, PETER JOHN | I | DIRECTOR | NA | Control |
| VOGT, PETER JOHN | I | DIRECTOR | NA | Control |
| VOGT, PETER JOHN | I | DIRECTOR | NA | Control |
| VOGT, PETER JOHN | I | DIRECTOR | NA | Control |
| VOGT, PETER JOHN | I | DIRECTOR | NA | Control |
| VOGT, PETER JOHN | I | DIRECTOR | NA | Control |
| WILLIAMS, MICHAEL W | I | DIRECTOR - DISTRIBUTION OPERATIONS | NA | |
| WILLIAMS, MICHAEL W | I | ASSISTANT VICE PRESIDENT-INDEPENDENCE FINANCIAL NETWORK | NA | |
| WILLIAMS, MICHAEL W | I | DIRECTOR - DISTRIBUTION OPERATIONS | NA | |
| WILLIAMS, MICHAEL W | I | ASSISTANT VICE PRESIDENT-INDEPENDENCE FINANCIAL NETWORK | NA | |
| WILLIAMS, MICHAEL W | I | DIRECTOR - DISTRIBUTION OPERATIONS | NA | |
| WILLIAMS, MICHAEL W | I | ASSISTANT VICE PRESIDENT, BUSINESS DEVELOPMENT | NA | |
| WILLIAMS, MICHAEL W | I | ASSISTANT VICE PRESIDENT, BUSINESS DEVELOPMENT | NA | |
| WILLIAMS, MICHAEL W | I | ASSISTANT VICE PRESIDENT, BUSINESS DEVELOPMENT | NA | |
| WILLIAMS, MICHAEL W | I | ASSISTANT VICE PRESIDENT, BUSINESS DEVELOPMENT | NA | |
| WILLIAMS, MICHAEL W | I | ASSISTANT VICE PRESIDENT, BUSINESS DEVELOPMENT | NA | |
| WILLIAMS, MICHAEL W | I | ASSISTANT VICE PRESIDENT, BUSINESS DEVELOPMENT | NA | |
| WILLIAMS, MICHAEL W | I | ASSISTANT VICE PRESIDENT, BUSINESS DEVELOPMENT | NA | |
| WILLIAMS, MICHAEL W | I | ASSISTANT VICE PRESIDENT, BUSINESS DEVELOPMENT | NA | |
| WILLIAMS, MICHAEL W | I | ASSISTANT VICE PRESIDENT, BUSINESS DEVELOPMENT | NA | |
| WUTT, MARK ROBERT | I | DIRECTOR | NA | Control |
| WUTT, MARK ROBERT | I | DIRECTOR | NA | Control |
| WUTT, MARK ROBERT | I | DIRECTOR | NA | Control |
| WYANT, JUSTIN | I | MANAGER | NA | |
| WYANT, JUSTIN | I | MANAGER | NA | |
| WYANT, JUSTIN | I | MANAGER | NA | |
| ZERWECK, JAMES WAGNER | I | ASSISTANT VICE PRESIDENT SALES AND MARKETING | NA | |
| ZERWECK, JAMES WAGNER | I | ASSISTANT VICE PRESIDENT SALES AND MARKETING | NA | |
| ZERWECK, JAMES WAGNER | I | ASSISTANT VICE PRESIDENT SALES AND MARKETING | NA | |
| ZERWECK, JAMES WAGNER | I | ASSISTANT VICE PRESIDENT SALES AND MARKETING | NA | |
| ZERWECK, JAMES WAGNER | I | ASSISTANT VICE PRESIDENT SALES AND MARKETING | NA | |
| ZERWECK, JAMES WAGNER | I | ASSISTANT VICE PRESIDENT SALES AND MARKETING | NA | |
| ZERWECK, JAMES WAGNER | I | ASSISTANT VICE PRESIDENT SALES AND MARKETING | NA | |
| ZERWECK, JAMES WAGNER | I | ASSISTANT VICE PRESIDENT SALES AND MARKETING | NA | |
| ZERWECK, JAMES WAGNER | I | ASSISTANT VICE PRESIDENT SALES AND MARKETING | NA | |
| ZERWECK, JAMES WAGNER | I | ASSISTANT VICE PRESIDENT SALES AND MARKETING | NA | |
| ZIMMERER, TRACY ANN | I | MANAGING DIRECTOR, OPERATIONS | NA | |
| ZIMMERER, TRACY ANN | I | MANAGING DIRECTOR, OPERATIONS | NA | |
| ZIMMERER, TRACY ANN | I | MANAGING DIRECTOR, OPERATIONS | NA | |
| ZIMMERER, TRACY ANN | I | MANAGING DIRECTOR, OPERATIONS | NA | |
| ZIMMERER, TRACY ANN | I | MANAGING DIRECTOR, OPERATIONS | NA | |
| ZIMMERER, TRACY ANN | I | MANAGING DIRECTOR, OPERATIONS; TREASURER | NA | |
| ZIMMERER, TRACY ANN | I | MANAGING DIRECTOR, OPERATIONS; TREASURER | NA | |
| ZIMMERER, TRACY ANN | I | MANAGING DIRECTOR, OPERATIONS | NA | |
| ZIMMERER, TRACY ANN | I | MANAGING DIRECTOR, OPERATIONS | NA | |
| ZIMMERER, TRACY ANN | I | MANAGING DIRECTOR, OPERATIONS | NA | |
| ZIMMERER, TRACY ANN | I | MANAGING DIRECTOR, OPERATIONS | NA | |
| ZIMMERER, TRACY ANN | I | MANAGING DIRECTOR, OPERATIONS; TREASURER | NA | |
| ZIMMERER, TRACY ANN | I | MANAGING DIRECTOR, OPERATIONS; TREASURER | NA | |
| 1847 FINANCIAL LLC | DE | SHAREHOLDER | E | Control |
| 1847 FINANCIAL LLC | DE | SHAREHOLDER | E | Control |
| 1847 FINANCIAL LLC | DE | SHAREHOLDER | E | Control |
| INDEPENDENCE SQUARE PROPERTIES, LLC | DE | SHAREHOLDER | E | Control |
| INDEPENDENCE SQUARE PROPERTIES, LLC | DE | SHAREHOLDER | E | Control |
| INDEPENDENCE SQUARE PROPERTIES, LLC | DE | SHAREHOLDER | E | Control |
| INDEPENDENCE SQUARE PROPERTIES, LLC | DE | SHAREHOLDER | E | Control |
| INDEPENDENCE SQUARE PROPERTIES, LLC | DE | SHAREHOLDER | E | Control |
| INDEPENDENCE SQUARE PROPERTIES, LLC | DE | SHAREHOLDER | E | Control |
| INDEPENDENCE SQUARE PROPERTIES, LLC | DE | SHAREHOLDER | E | Control |
| INDEPENDENCE SQUARE PROPERTIES, LLC | DE | SHAREHOLDER | E | Control |
| INDEPENDENCE SQUARE PROPERTIES, LLC | DE | SHAREHOLDER | E | Control |
| INDEPENDENCE SQUARE PROPERTIES, LLC | DE | SHAREHOLDER | E | Control |
| INDEPENDENCE SQUARE PROPERTIES, LLC | DE | SHAREHOLDER | E | Control |
| INDEPENDENCE SQUARE PROPERTIES, LLC | DE | SHAREHOLDER | E | Control |
| INDEPENDENCE SQUARE PROPERTIES, LLC | DE | SHAREHOLDER | E | Control |
| INDEPENDENCE SQUARE PROPERTIES, LLC | DE | SHAREHOLDER | E | Control |
| INDEPENDENCE SQUARE PROPERTIES, LLC | DE | SHAREHOLDER | E | Control |
| THE PENN MUTUAL LIFE INSURANCE COMPANY | DE | SHAREHOLDER | E | Control |
| THE PENN MUTUAL LIFE INSURANCE COMPANY | DE | SHAREHOLDER | E | Control |
| THE PENN MUTUAL LIFE INSURANCE COMPANY | DE | SHAREHOLDER | E | Control |
| THE PENN MUTUAL LIFE INSURANCE COMPANY | DE | SHAREHOLDER | E | Control |
| THE PENN MUTUAL LIFE INSURANCE COMPANY | DE | SHAREHOLDER | E | Control |
| THE PENN MUTUAL LIFE INSURANCE COMPANY | DE | SHAREHOLDER | E | Control |
| THE PENN MUTUAL LIFE INSURANCE COMPANY | DE | SHAREHOLDER | E | Control |
| THE PENN MUTUAL LIFE INSURANCE COMPANY | DE | SHAREHOLDER | E | Control |
| THE PENN MUTUAL LIFE INSURANCE COMPANY | DE | SHAREHOLDER | E | Control |
| THE PENN MUTUAL LIFE INSURANCE COMPANY | DE | SHAREHOLDER | E | Control |
| THE PENN MUTUAL LIFE INSURANCE COMPANY | DE | SHAREHOLDER | E | Control |
| THE PENN MUTUAL LIFE INSURANCE COMPANY | DE | SHAREHOLDER | E | Control |
| THE PENN MUTUAL LIFE INSURANCE COMPANY | DE | SHAREHOLDER | E | Control |
| THE PENN MUTUAL LIFE INSURANCE COMPANY | DE | SHAREHOLDER | E | Control |
| THE PENN MUTUAL LIFE INSURANCE COMPANY | DE | SHAREHOLDER | E | Control |
| THE PENN MUTUAL LIFE INSURANCE COMPANY | DE | SHAREHOLDER | E | Control |
| THE PENN MUTUAL LIFE INSURANCE COMPANY | DE | SHAREHOLDER | E | Control |
| THE PENN MUTUAL LIFE INSURANCE COMPANY | DE | SHAREHOLDER | E | Control |
| THE PENN MUTUAL LIFE INSURANCE COMPANY | DE | SHAREHOLDER | E | Control |
| THE PENN MUTUAL LIFE INSURANCE COMPANY | DE | SHAREHOLDER | E | Control |
| THE PENN MUTUAL LIFE INSURANCE COMPANY | DE | SHAREHOLDER | E | Control |
| THE PENN MUTUAL LIFE INSURANCE COMPANY | DE | SHAREHOLDER | E | Control |
| THE PENN MUTUAL LIFE INSURANCE COMPANY | DE | SHAREHOLDER | E | Control |
| THE PENN MUTUAL LIFE INSURANCE COMPANY | DE | SHAREHOLDER | E | Control |
| THE PENN MUTUAL LIFE INSURANCE COMPANY | DE | SHAREHOLDER | E | Control |
| THE PENN MUTUAL LIFE INSURANCE COMPANY | DE | SHAREHOLDER | E | Control |
| THE PENN MUTUAL LIFE INSURANCE COMPANY | DE | SHAREHOLDER | E | Control |
| THE PENN MUTUAL LIFE INSURANCE COMPANY | DE | SHAREHOLDER | E | Control |
| THE PENN MUTUAL LIFE INSURANCE COMPANY | DE | SHAREHOLDER | E | Control |
| THE PENN MUTUAL LIFE INSURANCE COMPANY | DE | SHAREHOLDER | E | Control |
| THE PENN MUTUAL LIFE INSURANCE COMPANY | DE | SHAREHOLDER | E | Control |
| THE PENN MUTUAL LIFE INSURANCE COMPANY | DE | SHAREHOLDER | E | Control |
| THE PENN MUTUAL LIFE INSURANCE COMPANY | DE | SHAREHOLDER | E | Control |
| THE PENN MUTUAL LIFE INSURANCE COMPANY | DE | SHAREHOLDER | E | Control |
| THE PENN MUTUAL LIFE INSURANCE COMPANY | DE | SHAREHOLDER | E | Control |
| THE PENN MUTUAL LIFE INSURANCE COMPANY | DE | SHAREHOLDER | E | Control |
| THE PENN MUTUAL LIFE INSURANCE COMPANY | DE | SHAREHOLDER | E | Control |
| THE PENN MUTUAL LIFE INSURANCE COMPANY | DE | SHAREHOLDER | E | Control |
| THE PENN MUTUAL LIFE INSURANCE COMPANY | DE | SHAREHOLDER | E | Control |
| THE PENN MUTUAL LIFE INSURANCE COMPANY | DE | SHAREHOLDER | E | Control |
| THE PENN MUTUAL LIFE INSURANCE COMPANY | DE | SHAREHOLDER | E | Control |
| THE PENN MUTUAL LIFE INSURANCE COMPANY | DE | SHAREHOLDER | E | Control |
| THE PENN MUTUAL LIFE INSURANCE COMPANY | DE | SHAREHOLDER | E | Control |
| THE PENN MUTUAL LIFE INSURANCE COMPANY | DE | SHAREHOLDER | E | Control |
| THE PENN MUTUAL LIFE INSURANCE COMPANY | DE | SHAREHOLDER | E | Control |
| THE PENN MUTUAL LIFE INSURANCE COMPANY | DE | SHAREHOLDER | E | Control |
| THE PENN MUTUAL LIFE INSURANCE COMPANY | DE | SHAREHOLDER | E | Control |
| THE PENN MUTUAL LIFE INSURANCE COMPANY | DE | SHAREHOLDER | E | Control |
| THE PENN MUTUAL LIFE INSURANCE COMPANY | DE | SHAREHOLDER | E | Control |
| THE PENN MUTUAL LIFE INSURANCE COMPANY | DE | SHAREHOLDER | E | Control |
| THE PENN MUTUAL LIFE INSURANCE COMPANY | DE | SHAREHOLDER | E | Control |
| THE PENN MUTUAL LIFE INSURANCE COMPANY | DE | SHAREHOLDER | E | Control |
| THE PENN MUTUAL LIFE INSURANCE COMPANY | DE | SHAREHOLDER | E | Control |
| THE PENN MUTUAL LIFE INSURANCE COMPANY | DE | SHAREHOLDER | E | Control |
| THE PENN MUTUAL LIFE INSURANCE COMPANY | DE | SHAREHOLDER | E | Control |
| THE PENN MUTUAL LIFE INSURANCE COMPANY | DE | SHAREHOLDER | E | Control |
| THE PENN MUTUAL LIFE INSURANCE COMPANY | DE | SHAREHOLDER | E | Control |
| THE PENN MUTUAL LIFE INSURANCE COMPANY | DE | SHAREHOLDER | E | Control |
| THE PENN MUTUAL LIFE INSURANCE COMPANY | DE | SHAREHOLDER | E | Control |
| THE PENN MUTUAL LIFE INSURANCE COMPANY | DE | SHAREHOLDER | E | Control |
| THE PENN MUTUAL LIFE INSURANCE COMPANY | DE | SHAREHOLDER | E | Control |
| THE PENN MUTUAL LIFE INSURANCE COMPANY | DE | SHAREHOLDER | E | Control |
| THE PENN MUTUAL LIFE INSURANCE COMPANY | DE | SHAREHOLDER | E | Control |
| THE PENN MUTUAL LIFE INSURANCE COMPANY | DE | SHAREHOLDER | E | Control |
| THE PENN MUTUAL LIFE INSURANCE COMPANY | DE | SHAREHOLDER | E | Control |
| THE PENN MUTUAL LIFE INSURANCE COMPANY | DE | SHAREHOLDER | E | Control |
| THE PENN MUTUAL LIFE INSURANCE COMPANY | DE | SHAREHOLDER | E | Control |
| THE PENN MUTUAL LIFE INSURANCE COMPANY | DE | SHAREHOLDER | E | Control |
| THE PENN MUTUAL LIFE INSURANCE COMPANY | DE | SHAREHOLDER | E | Control |
| THE PENN MUTUAL LIFE INSURANCE COMPANY | DE | SHAREHOLDER | E | Control |
| THE PENN MUTUAL LIFE INSURANCE COMPANY | DE | SHAREHOLDER | E | Control |
| THE PENN MUTUAL LIFE INSURANCE COMPANY | DE | SHAREHOLDER | E | Control |
| THE PENN MUTUAL LIFE INSURANCE COMPANY | DE | SHAREHOLDER | E | Control |
| THE PENN MUTUAL LIFE INSURANCE COMPANY | DE | SHAREHOLDER | E | Control |
| THE PENN MUTUAL LIFE INSURANCE COMPANY | DE | SHAREHOLDER | E | Control |
| THE PENN MUTUAL LIFE INSURANCE COMPANY | DE | SHAREHOLDER | E | Control |
| THE PENN MUTUAL LIFE INSURANCE COMPANY | DE | SHAREHOLDER | E | Control |
| THE PENN MUTUAL LIFE INSURANCE COMPANY | DE | SHAREHOLDER | E | Control |
| THE PENN MUTUAL LIFE INSURANCE COMPANY | DE | SHAREHOLDER | E | Control |
| THE PENN MUTUAL LIFE INSURANCE COMPANY | DE | SHAREHOLDER | E | Control |
| THE PENN MUTUAL LIFE INSURANCE COMPANY | DE | SHAREHOLDER | E | Control |
| THE PENN MUTUAL LIFE INSURANCE COMPANY | DE | SHAREHOLDER | E | Control |
| THE PENN MUTUAL LIFE INSURANCE COMPANY | DE | SHAREHOLDER | E | Control |
| THE PENN MUTUAL LIFE INSURANCE COMPANY | DE | SHAREHOLDER | E | Control |
| THE PENN MUTUAL LIFE INSURANCE COMPANY | DE | SHAREHOLDER | E | Control |
| THE PENN MUTUAL LIFE INSURANCE COMPANY | DE | SHAREHOLDER | E | Control |
| THE PENN MUTUAL LIFE INSURANCE COMPANY | DE | SHAREHOLDER | E | Control |
| THE PENN MUTUAL LIFE INSURANCE COMPANY | DE | SHAREHOLDER | E | Control |
| GRUCCIO, WILLIAM DAVID | I | VICE PRESIDENT, CAREER AGENCY SYSTEM | B | |
| GRUCCIO, WILLIAM DAVID | I | VICE PRESIDENT, CAREER AGENCY SYSTEM | B | |
| GRUCCIO, WILLIAM DAVID | I | VICE PRESIDENT, CAREER AGENCY SYSTEM | B | |
| GRUCCIO, WILLIAM DAVID | I | VICE PRESIDENT, CAREER AGENCY SYSTEM | B | |
| GRUCCIO, WILLIAM DAVID | I | VICE PRESIDENT, CAREER AGENCY SYSTEM | B | |
| GRUCCIO, WILLIAM DAVID | I | VICE PRESIDENT, CAREER AGENCY SYSTEM | B | |
| GRUCCIO, WILLIAM DAVID | I | VICE PRESIDENT, CAREER AGENCY SYSTEM | B | |
| GRUCCIO, WILLIAM DAVID | I | VICE PRESIDENT, CAREER AGENCY SYSTEM | B | |
| GRUCCIO, WILLIAM DAVID | I | VICE PRESIDENT, CAREER AGENCY SYSTEM | B | |
| GRUCCIO, WILLIAM DAVID | I | VICE PRESIDENT, CAREER AGENCY SYSTEM | B | |
| GRUCCIO, WILLIAM DAVID | I | VICE PRESIDENT, CAREER AGENCY SYSTEM | B | |
| GRUCCIO, WILLIAM DAVID | I | VICE PRESIDENT, CAREER AGENCY SYSTEM | B | |
| GRUCCIO, WILLIAM DAVID | I | VICE PRESIDENT, CAREER AGENCY SYSTEM | B |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| THE PENN MUTUAL LIFE INSURANCE COMPANY | DE | INDEPENDENCE SQUARE PROPERTIES, LLC | E | Control |
| THE PENN MUTUAL LIFE INSURANCE COMPANY | DE | INDEPENDENCE SQUARE PROPERTIES, LLC | E | Control |
| THE PENN MUTUAL LIFE INSURANCE COMPANY | DE | INDEPENDENCE SQUARE PROPERTIES, LLC | E | Control |
| THE PENN MUTUAL LIFE INSURANCE COMPANY | DE | INDEPENDENCE SQUARE PROPERTIES, LLC | E | Control |
| THE PENN MUTUAL LIFE INSURANCE COMPANY | DE | INDEPENDENCE SQUARE PROPERTIES, LLC | E | Control |
| THE PENN MUTUAL LIFE INSURANCE COMPANY | DE | INDEPENDENCE SQUARE PROPERTIES, LLC | E | Control |
| THE PENN MUTUAL LIFE INSURANCE COMPANY | DE | INDEPENDENCE SQUARE PROPERTIES, LLC | E | Control |
| THE PENN MUTUAL LIFE INSURANCE COMPANY | DE | INDEPENDENCE SQUARE PROPERTIES, LLC | E | Control |
| THE PENN MUTUAL LIFE INSURANCE COMPANY | DE | INDEPENDENCE SQUARE PROPERTIES, LLC | E | Control |
| THE PENN MUTUAL LIFE INSURANCE COMPANY | DE | INDEPENDENCE SQUARE PROPERTIES, LLC | E | Control |
| THE PENN MUTUAL LIFE INSURANCE COMPANY | DE | INDEPENDENCE SQUARE PROPERTIES, LLC | E | Control |
| THE PENN MUTUAL LIFE INSURANCE COMPANY | DE | INDEPENDENCE SQUARE PROPERTIES, LLC | E | Control |
| THE PENN MUTUAL LIFE INSURANCE COMPANY | DE | INDEPENDENCE SQUARE PROPERTIES, LLC | E | Control |
| THE PENN MUTUAL LIFE INSURANCE COMPANY | DE | INDEPENDENCE SQUARE PROPERTIES, LLC | E | Control |
| THE PENN MUTUAL LIFE INSURANCE COMPANY | DE | INDEPENDENCE SQUARE PROPERTIES, LLC | E | Control |
Registrations
Federal
IA
Aug 11, 2025 REGISTERED
Notice Filings (50)
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Address
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United States
Phone: 215-957-7300