BRECEK & YOUNG ADVISORS, INC.
CRD #40395 SEC #801-51940 FOLSOM, CA 866-822-9880
SEC Registered
Total AUM
$179.7M
Discretionary
$179.7M
Employees
11
Clients
0
Accounts
1,060
Firm Details
- Organization Type
- Corporation
- State of Formation
- California
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- May 1, 2012
- Branch Offices
- --
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| BACHMAN, BRADLEY ALAN | I | MUNI, OP | NA | |
| BACHMAN, BRADLEY ALAN | I | MUNI, OP | NA | |
| BACHMAN, BRADLEY ALAN | I | MUNI, OP | NA | |
| BACHMAN, BRADLEY ALAN | I | MUNI, OP | NA | |
| BACHMAN, BRADLEY ALAN | I | MUNI, OP | NA | |
| BACHMAN, BRADLEY ALAN | I | MUNI, OP | NA | |
| BACHMAN, BRADLEY ALAN | I | MUNI, OP | NA | |
| BACHMAN, BRADLEY ALAN | I | MUNI, OP | NA | |
| BACHMAN, BRADLEY ALAN | I | MUNI, OP | NA | |
| BACHMAN, BRADLEY ALAN | I | MUNI, OP | NA | |
| BACHMAN, BRADLEY ALAN | I | MUNI, OP | NA | |
| BACHMAN, BRADLEY ALAN | I | MUNI, OP | NA | |
| BACHMAN, BRADLEY ALAN | I | MUNI, OP | NA | |
| BANNISTER, RODNEY LOUIS | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| BANNISTER, RODNEY LOUIS | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| BANNISTER, RODNEY LOUIS | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| BLANCATO, PHILIP, SALVATORE | I | DIRECTOR | NA | Control |
| BLANCATO, PHILIP, SALVATORE | I | DIRECTOR | NA | Control |
| BLANCATO, PHILIP, SALVATORE | I | DIRECTOR | NA | Control |
| BLANCATO, PHILIP, SALVATORE | I | DIRECTOR | NA | Control |
| BLANCATO, PHILIP, SALVATORE | I | DIRECTOR | NA | Control |
| BLANCATO, PHILIP, SALVATORE | I | DIRECTOR | NA | Control |
| BLANCATO, PHILIP, SALVATORE | I | DIRECTOR | NA | Control |
| BLANCATO, PHILIP, SALVATORE | I | DIRECTOR | NA | Control |
| BORUP, PHILLIP PETER | I | FINANCIAL & OPERATIONS PRINCIPAL, CFO | NA | Control |
| BORUP, PHILLIP PETER | I | FINANCIAL & OPERATIONS PRINCIPAL, CFO | NA | Control |
| BORUP, PHILLIP PETER | I | FINANCIAL & OPERATIONS PRINCIPAL, CFO | NA | Control |
| BORUP, PHILLIP PETER | I | FINANCIAL & OPERATIONS PRINCIPAL, CFO | NA | Control |
| BRECEK, ROLAND | I | PRESIDENT, DIRECTOR | NA | Control |
| BRECEK, ROLAND | I | PRESIDENT, DIRECTOR | NA | Control |
| BRECEK, ROLAND | I | PRESIDENT, CEO, DIRECTOR, CHAIRMAN OF BOARD | NA | Control |
| BRECEK, ROLAND | I | PRESIDENT, CEO | NA | Control |
| BRECEK, ROLAND | I | PRESIDENT, DIRECTOR | NA | Control |
| BRECEK, ROLAND | I | PRESIDENT, DIRECTOR | NA | Control |
| BRECEK, ROLAND | I | PRESIDENT, DIRECTOR | NA | Control |
| BRECEK, ROLAND | I | PRESIDENT, DIRECTOR | NA | Control |
| BRECEK, ROLAND | I | PRESIDENT, DIRECTOR | NA | Control |
| BRECEK, ROLAND | I | PRESIDENT, CEO, DIRECTOR, CHAIRMAN OF BOARD | NA | Control |
| BRECEK, ROLAND | I | PRESIDENT, CEO, DIRECTOR, CHAIRMAN OF BOARD | NA | Control |
| BRECEK, ROLAND | I | PRESIDENT, DIRECTOR | NA | Control |
| BRECEK, ROLAND | I | PRESIDENT, CEO, DIRECTOR, CHAIRMAN OF BOARD | NA | Control |
| BRECEK, ROLAND | I | PRESIDENT, CEO, DIRECTOR, CHAIRMAN OF BOARD | NA | Control |
| BRECEK, ROLAND | I | PRESIDENT, CEO, DIRECTOR, CHAIRMAN OF BOARD | NA | Control |
| BRECEK, ROXANNE CRYSTAL LOUISE | I | DIRECTOR OF SALES AND MARKETING | NA | Control |
| BRECEK, ROXANNE CRYSTAL LOUISE | I | DIRECTOR OF SALES AND MARKETING | NA | Control |
| BRECEK, ROXANNE CRYSTAL LOUISE | I | DIRECTOR OF SALES AND MARKETING | NA | Control |
| BRECEK, ROXANNE CRYSTAL LOUISE | I | DIRECTOR OF SALES AND MARKETING | NA | Control |
| BRECEK, ROXANNE CRYSTAL LOUISE | I | DIRECTOR OF SALES AND MARKETING | NA | Control |
| BRECEK, ROXANNE CRYSTAL LOUISE | I | DIRECTOR OF SALES AND MARKETING | NA | Control |
| BRECEK, ROXANNE CRYSTAL LOUISE | I | DIRECTOR OF SALES AND MARKETING | NA | Control |
| BRECEK, ROXANNE CRYSTAL LOUISE | I | DIRECTOR OF SALES AND MARKETING | NA | Control |
| BROWNFIELD, TAMARA LYNN | I | FINANCIAL OPERATIONS PRINCIPAL | NA | |
| BROWNFIELD, TAMARA LYNN | I | FINANCIAL OPERATIONS PRINCIPAL | NA | |
| BROWNFIELD, TAMARA LYNN | I | FINANCIAL OPERATIONS PRINCIPAL | NA | |
| BROWNFIELD, TAMARA LYNN | I | FINANCIAL OPERATIONS PRINCIPAL | NA | |
| BUNKER, AMY KNIGHT | I | DIRECTOR | NA | |
| BUNKER, AMY KNIGHT | I | DIRECTOR | NA | Control |
| BUNKER, AMY KNIGHT | I | DIRECTOR | NA | Control |
| CORONADO, ANGELA LYNN | I | VICE PRESIDENT, BUSINESS SERVICES. SROP | NA | Control |
| DELANEY, THOMAS RICHARD II | I | COO, SROP, CCO FOR RIA | NA | Control |
| DELANEY, THOMAS RICHARD II | I | COO, SROP, CCO FOR RIA | NA | Control |
| DELANEY, THOMAS RICHARD II | I | CHIEF COMPLIANCE OFFICER, CROP, CBO | NA | Control |
| DELANEY, THOMAS RICHARD II | I | CHIEF COMPLIANCE OFFICER, MSRB PRINCIPAL, CROP, CBO | NA | Control |
| DELANEY, THOMAS RICHARD II | I | CHIEF COMPLIANCE OFFICER, CROP, CBO | NA | Control |
| DELANEY, THOMAS RICHARD II | I | CHIEF COMPLIANCE OFFICER, CROP, CBO | NA | Control |
| DELANEY, THOMAS RICHARD II | I | CHIEF COMPLIANCE OFFICER, MSRB PRINCIPAL, CROP | NA | Control |
| DELANEY, THOMAS RICHARD II | I | CHIEF COMPLIANCE OFFICER, CROP, CBO | NA | Control |
| DELANEY, THOMAS RICHARD II | I | CHIEF COMPLIANCE OFFICER, CROP, CBO | NA | Control |
| DELANEY, THOMAS RICHARD II | I | CHIEF COMPLIANCE OFFICER, CROP, CBO | NA | Control |
| DELANEY, THOMAS RICHARD II | I | CHIEF COMPLIANCE OFFICER, CROP, CBO | NA | Control |
| DELANEY, THOMAS RICHARD II | I | CHIEF COMPLIANCE OFFICER, MSRB PRINCIPAL, CROP | NA | Control |
| DEMMA, MARK JOSEPH | I | VICE PRESIDENT | NA | Control |
| DEMMA, MARK JOSEPH | I | VICE PRESIDENT | NA | Control |
| DEMMA, MARK JOSEPH | I | VICE PRESIDENT | NA | Control |
| DEWALD, TERRANCE SHAWN | I | SENIOR VP, GENERAL COUNSEL, SECRETARY | NA | Control |
| DEWALD, TERRANCE SHAWN | I | SENIOR VP, GENERAL COUNSEL, SECRETARY | NA | Control |
| DEWALD, TERRANCE SHAWN | I | SENIOR VP, GENERAL COUNSEL, SECRETARY | NA | Control |
| DEWALD, TERRANCE SHAWN | I | SENIOR VP, GENERAL COUNSEL, SECRETARY | NA | Control |
| DEWALD, TERRANCE SHAWN | I | SENIOR VP, GENERAL COUNSEL, SECRETARY | NA | Control |
| DEWALD, TERRANCE SHAWN | I | SENIOR VP, GENERAL COUNSEL, SECRETARY | NA | Control |
| DEWALD, TERRANCE SHAWN | I | SENIOR VP, GENERAL COUNSEL, SECRETARY | NA | Control |
| DEWALD, TERRANCE SHAWN | I | SENIOR VP, GENERAL COUNSEL, SECRETARY | NA | Control |
| DEWALD, TERRANCE SHAWN | I | SENIOR VP, GENERAL COUNSEL, SECRETARY | NA | Control |
| DEWALD, TERRANCE SHAWN | I | SENIOR VP, GENERAL COUNSEL, SECRETARY | NA | Control |
| DEWALD, TERRANCE SHAWN | I | SENIOR VP, GENERAL COUNSEL, SECRETARY | NA | Control |
| DEWALD, TERRANCE SHAWN | I | SENIOR VP, GENERAL COUNSEL, SECRETARY | NA | Control |
| DEWALD, TERRANCE SHAWN | I | SENIOR VP, GENERAL COUNSEL, SECRETARY | NA | Control |
| DEWALD, TERRANCE SHAWN | I | SENIOR VP, GENERAL COUNSEL, SECRETARY | NA | Control |
| DEWALD, TERRANCE SHAWN | I | SENIOR VP, GENERAL COUNSEL, SECRETARY | NA | Control |
| DEWALD, TERRANCE SHAWN | I | SENIOR VP, GENERAL COUNSEL, SECRETARY | NA | Control |
| DEWALD, TERRANCE SHAWN | I | SENIOR VP, GENERAL COUNSEL, SECRETARY | NA | Control |
| DEWALD, TERRANCE SHAWN | I | SENIOR VP, GENERAL COUNSEL, SECRETARY | NA | Control |
| DEWALD, TERRANCE SHAWN | I | SENIOR VP, GENERAL COUNSEL, SECRETARY | NA | Control |
| DEWALD, TERRANCE SHAWN | I | SENIOR VP, GENERAL COUNSEL, SECRETARY | NA | Control |
| DEWALD, TERRANCE SHAWN | I | SENIOR VP, GENERAL COUNSEL, SECRETARY | NA | Control |
| DEWALD, TERRANCE, SHAWN | I | SENIOR VP, GENERAL COUNSEL, INTERIM RISK OFFICER & SECRETARY | NA | Control |
| DEWALD, TERRANCE, SHAWN | I | SENIOR VP, GENERAL COUNSEL, INTERIM RISK OFFICER & SECRETARY | NA | Control |
| DEWALD, TERRANCE, SHAWN | I | SENIOR VP, GENERAL COUNSEL, INTERIM RISK OFFICER & SECRETARY | NA | Control |
| DEWALD, TERRANCE, SHAWN | I | SENIOR VP, GENERAL COUNSEL, INTERIM RISK OFFICER & SECRETARY | NA | Control |
| FARMER, LEIA ELIZABETH | I | CHIEF COMPLIANCE OFFICER, CROP | NA | |
| FARMER, LEIA ELIZABETH | I | CHIEF COMPLIANCE OFFICER, CROP | NA | |
| FARMER, LEIA ELIZABETH | I | CHIEF COMPLIANCE OFFICER, CROP | NA | Control |
| FARMER, LEIA ELIZABETH | I | CHIEF COMPLIANCE OFFICER, CROP | NA | Control |
| FARMER, LEIA ELIZABETH | I | CHIEF COMPLIANCE OFFICER, CROP | NA | Control |
| FARMER, LEIA ELIZABETH | I | CHIEF COMPLIANCE OFFICER, CROP | NA | Control |
| FARMER, LEIA ELIZABETH | I | CHIEF COMPLIANCE OFFICER, CROP | NA | Control |
| FARMER, LEIA ELIZABETH | I | CHIEF COMPLIANCE OFFICER, CROP | NA | Control |
| GIOVANNIELLO, JOSEPH | I | DIRECTOR | NA | Control |
| GIOVANNIELLO, JOSEPH | I | DIRECTOR | NA | Control |
| GIOVANNIELLO, JOSEPH | I | DIRECTOR | NA | Control |
| GIOVANNIELLO, JOSEPH | I | DIRECTOR | NA | Control |
| GIOVANNIELLO, JOSEPH | I | DIRECTOR | NA | Control |
| GIOVANNIELLO, JOSEPH | I | DIRECTOR | NA | Control |
| GIOVANNIELLO, JOSEPH | I | DIRECTOR | NA | Control |
| GIOVANNIELLO, JOSEPH | I | DIRECTOR | NA | Control |
| GREER, ROBERT ANTHONY | I | VICE PRESIDENT | NA | Control |
| HEENEY, JAMES MICHEAL | I | SENIOR VP, SALES SUPERVISION AND OPERATIONS | NA | Control |
| HEENEY, JAMES MICHEAL | I | SENIOR VP, SALES SUPERVISION AND OPERATIONS | NA | Control |
| HEENEY, JAMES MICHEAL | I | SENIOR VP, SALES SUPERVISION AND OPERATIONS | NA | Control |
| HEENEY, JAMES MICHEAL | I | SENIOR VP, SALES SUPERVISION AND OPERATIONS | NA | Control |
| HEENEY, JAMES MICHEAL | I | SENIOR VP, SALES SUPERVISION AND OPERATIONS | NA | Control |
| HEENEY, JAMES MICHEAL | I | SENIOR VP, SALES SUPERVISION AND OPERATIONS | NA | Control |
| HEENEY, JAMES MICHEAL | I | SENIOR VP, SALES SUPERVISION AND OPERATIONS | NA | Control |
| HEENEY, JAMES MICHEAL | I | SENIOR VP, SALES SUPERVISION AND OPERATIONS | NA | Control |
| HEENEY, JAMES MICHEAL | I | SENIOR VP, SALES SUPERVISION AND OPERATIONS | NA | Control |
| HEENEY, JAMES MICHEAL | I | SENIOR VP, SALES SUPERVISION AND OPERATIONS | NA | Control |
| HEENEY, JAMES MICHEAL | I | SENIOR VP, SALES SUPERVISION AND OPERATIONS | NA | Control |
| HEENEY, JAMES MICHEAL | I | SENIOR VP, SALES SUPERVISION AND OPERATIONS | NA | Control |
| HEENEY, JAMES MICHEAL | I | SENIOR VP, SALES SUPERVISION AND OPERATIONS | NA | Control |
| HEENEY, JAMES MICHEAL | I | SENIOR VP, SALES SUPERVISION AND OPERATIONS | NA | Control |
| HEENEY, JAMES MICHEAL | I | SENIOR VP, SALES SUPERVISION AND OPERATIONS | NA | Control |
| HEENEY, JAMES MICHEAL | I | SENIOR VP, SALES SUPERVISION AND OPERATIONS | NA | Control |
| HEENEY, JAMES MICHEAL | I | SENIOR VP, SALES SUPERVISION AND OPERATIONS | NA | Control |
| HEENEY, JAMES MICHEAL | I | SENIOR VP, SALES SUPERVISION AND OPERATIONS | NA | Control |
| HEENEY, JAMES MICHEAL | I | SENIOR VP, SALES SUPERVISION AND OPERATIONS | NA | Control |
| HEENEY, JAMES MICHEAL | I | SENIOR VP, SALES SUPERVISION AND OPERATIONS | NA | Control |
| HEENEY, JAMES MICHEAL | I | SENIOR VP, SALES SUPERVISION AND OPERATIONS | NA | Control |
| HEENEY, JAMES MICHEAL | I | SENIOR VP, SALES SUPERVISION AND OPERATIONS | NA | Control |
| HULETT, KIRK, JESSE | I | DIRECTOR | NA | Control |
| HULETT, KIRK, JESSE | I | DIRECTOR | NA | Control |
| HULETT, KIRK, JESSE | I | DIRECTOR | NA | Control |
| HULETT, KIRK, JESSE | I | DIRECTOR | NA | Control |
| HULETT, KIRK, JESSE | I | DIRECTOR | NA | Control |
| HULETT, KIRK, JESSE | I | DIRECTOR | NA | Control |
| HULETT, KIRK, JESSE | I | DIRECTOR | NA | Control |
| HULETT, KIRK, JESSE | I | DIRECTOR | NA | Control |
| KAEHR, THOMAS RICHARD | I | CFO FINOPS | NA | Control |
| KAEHR, THOMAS RICHARD | I | CFO FINOPS | NA | Control |
| KAEHR, THOMAS RICHARD | I | CFO | NA | |
| KAEHR, THOMAS RICHARD | I | CFO & DIRECTOR | NA | Control |
| KAEHR, THOMAS RICHARD | I | CFO & DIRECTOR | NA | Control |
| KAEHR, THOMAS RICHARD | I | CFO & DIRECTOR | NA | Control |
| KAEHR, THOMAS RICHARD | I | CFO FINOPS | NA | Control |
| KAEHR, THOMAS RICHARD | I | CFO FINOPS | NA | Control |
| KAEHR, THOMAS RICHARD | I | CFO | NA | |
| KAEHR, THOMAS RICHARD | I | CFO | NA | |
| KAEHR, THOMAS RICHARD | I | CFO, FINOP & DIRECTOR | NA | Control |
| KAEHR, THOMAS RICHARD | I | CFO | NA | |
| KAUFMAN, BRETT, H | I | DIRECTOR | NA | Control |
| KAUFMAN, BRETT, H | I | DIRECTOR | NA | Control |
| KAUFMAN, BRETT, H | I | DIRECTOR | NA | Control |
| KAUFMAN, BRETT, H | I | DIRECTOR | NA | Control |
| KAUFMAN, BRETT, H | I | DIRECTOR | NA | Control |
| KAUFMAN, BRETT, H | I | DIRECTOR | NA | Control |
| KAUFMAN, BRETT, H | I | DIRECTOR | NA | Control |
| KAUFMAN, BRETT, H | I | DIRECTOR | NA | Control |
| KELLY, KYLE BRADLEY | I | VICE PRESIDENT BROKER DEALER OPERATIONS, SROP | NA | Control |
| KELLY, KYLE BRADLEY | I | VICE PRESIDENT BROKER DEALER OPERATIONS, SROP | NA | Control |
| KELLY, KYLE BRADLEY | I | VICE PRESIDENT BROKER DEALER OPERATIONS, SROP | NA | Control |
| KELLY, KYLE BRADLEY | I | VICE PRESIDENT BROKER DEALER OPERATIONS, SROP | NA | Control |
| KELLY, KYLE BRADLEY | I | VICE PRESIDENT BROKER DEALER OPERATIONS, SROP | NA | Control |
| KELLY, KYLE BRADLEY | I | VICE PRESIDENT BROKER DEALER OPERATIONS, SROP | NA | Control |
| KING, DENNIS, MICHAEL | I | DIRECTOR, SR. VP | NA | Control |
| KING, DENNIS, MICHAEL | I | DIRECTOR, SR. VP | NA | Control |
| KING, DENNIS, MICHAEL | I | DIRECTOR, SR. VP | NA | Control |
| KING, DENNIS, MICHAEL | I | DIRECTOR, SR. VP | NA | Control |
| KING, DENNIS, MICHAEL | I | DIRECTOR, SR. VP | NA | Control |
| KING, DENNIS, MICHAEL | I | DIRECTOR, SR. VP | NA | Control |
| KING, DENNIS, MICHAEL | I | DIRECTOR, SR. VP | NA | Control |
| KING, DENNIS, MICHAEL | I | DIRECTOR, SR. VP | NA | Control |
| KING, DENNIS, MICHAEL | I | SR. VP, BUSINESS DEVELOPMENT | NA | Control |
| KING, DENNIS, MICHAEL | I | SR. VP, BUSINESS DEVELOPMENT | NA | Control |
| KING, DENNIS, MICHAEL | I | SR. VP, BUSINESS DEVELOPMENT | NA | Control |
| KING, DENNIS, MICHAEL | I | SR. VP, BUSINESS DEVELOPMENT | NA | Control |
| KING, DENNIS, MICHAEL | I | SR. VP, BUSINESS DEVELOPMENT | NA | Control |
| KING, DENNIS, MICHAEL | I | SR. VP, BUSINESS DEVELOPMENT | NA | Control |
| KING, DENNIS, MICHAEL | I | SR. VP, BUSINESS DEVELOPMENT | NA | Control |
| KING, DENNIS, MICHAEL | I | SR. VP, BUSINESS DEVELOPMENT | NA | Control |
| LEE, AMY JO | I | DIRECTOR | NA | Control |
| LEE, AMY JO | I | DIRECTOR | NA | Control |
| LEE, AMY JO | I | DIRECTOR | NA | Control |
| LEE, AMY JO | I | DIRECTOR | NA | Control |
| LEE, AMY JO | I | DIRECTOR | NA | Control |
| LEE, AMY JO | I | DIRECTOR | NA | Control |
| LEE, AMY JO | I | DIRECTOR | NA | Control |
| LEE, AMY JO | I | DIRECTOR | NA | Control |
| LEE, AMY JO | I | DIRECTOR | NA | Control |
| LEE, AMY JO | I | DIRECTOR | NA | Control |
| LEE, AMY JO | I | DIRECTOR | NA | Control |
| LEE, AMY JO | I | DIRECTOR | NA | Control |
| LEE, AMY JO | I | DIRECTOR | NA | Control |
| LEE, AMY JO | I | DIRECTOR | NA | Control |
| LEE, AMY JO | I | DIRECTOR | NA | Control |
| MAGLAQUE, CHARLES, NEAL | I | DIRECTOR | NA | Control |
| MALAMED, ADAM, SCOTT | I | DIRECTOR | NA | Control |
| MALAMED, ADAM, SCOTT | I | DIRECTOR | NA | Control |
| MALAMED, ADAM, SCOTT | I | DIRECTOR | NA | Control |
| MALAMED, ADAM, SCOTT | I | DIRECTOR | NA | Control |
| MALAMED, ADAM, SCOTT | I | DIRECTOR | NA | Control |
| MALAMED, ADAM, SCOTT | I | DIRECTOR | NA | Control |
| MALAMED, ADAM, SCOTT | I | DIRECTOR | NA | Control |
| MALAMED, ADAM, SCOTT | I | DIRECTOR | NA | Control |
| MARTIN, DALE WILLIAM JR | I | DIRECTOR | NA | Control |
| MARTIN, DALE WILLIAM JR | I | DIRECTOR | NA | Control |
| MARTIN, DALE WILLIAM JR | I | DIRECTOR | NA | Control |
| MARTIN, DALE WILLIAM JR | I | DIRECTOR | NA | Control |
| MARTIN, DALE WILLIAM JR | I | DIRECTOR | NA | Control |
| MARTIN, DALE WILLIAM JR | I | DIRECTOR | NA | Control |
| MARTIN, DALE WILLIAM JR | I | DIRECTOR | NA | Control |
| MARTIN, DALE WILLIAM JR | I | DIRECTOR | NA | Control |
| MARTIN, DALE WILLIAM JR | I | DIRECTOR | NA | Control |
| MARTIN, DALE WILLIAM JR | I | DIRECTOR | NA | Control |
| MARTIN, DALE WILLIAM JR | I | DIRECTOR | NA | Control |
| MARTIN, DALE WILLIAM JR | I | DIRECTOR | NA | Control |
| MARTIN, DALE WILLIAM JR | I | DIRECTOR | NA | Control |
| MARTIN, DALE WILLIAM JR | I | DIRECTOR | NA | Control |
| MARTIN, DALE WILLIAM JR | I | DIRECTOR | NA | Control |
| MARTINEZ, RICHARD J | I | FINOP | NA | Control |
| MARTINEZ, RICHARD J | I | FINOP | NA | Control |
| MARTINEZ, RICHARD J | I | FINOP | NA | Control |
| MCWHORTER, STEVEN FORD | I | CEO, DIRECTOR | NA | Control |
| MCWHORTER, STEVEN FORD | I | CEO, DIRECTOR | NA | Control |
| MCWHORTER, STEVEN FORD | I | CEO, DIRECTOR | NA | Control |
| MCWHORTER, STEVEN FORD | I | DIRECTOR | NA | Control |
| MCWHORTER, STEVEN FORD | I | DIRECTOR | NA | Control |
| MCWHORTER, STEVEN FORD | I | CEO, DIRECTOR | NA | Control |
| MCWHORTER, STEVEN FORD | I | CEO, DIRECTOR | NA | Control |
| MCWHORTER, STEVEN FORD | I | CEO, DIRECTOR | NA | Control |
| MCWHORTER, STEVEN FORD | I | CEO, DIRECTOR | NA | Control |
| MCWHORTER, STEVEN FORD | I | CEO, DIRECTOR | NA | Control |
| MILLER, KEVIN JOSEPH | I | VP, CHIEF COMPLIANCE OFFICER, AML OFFICER, IDENTITY THEFT PREVENTION OFFICER | NA | Control |
| MILLER, KEVIN JOSEPH | I | CHIEF COMPLIANCE OFFICER, VP, DEP GEN COUNSEL, PRIVACY, AML, IDENTITY THEFT PROTECTION POLICY, & RISK OFFICER | NA | Control |
| MILLER, KEVIN JOSEPH | I | VP, CHIEF COMPLIANCE OFFICER, AML OFFICER, IDENTITY THEFT PREVENTION OFFICER | NA | Control |
| MILLER, KEVIN JOSEPH | I | CHIEF COMPLIANCE OFFICER, VP, DEP GEN COUNSEL, PRIVACY, AML, IDENTITY THEFT PROTECTION POLICY, & RISK OFFICER | NA | Control |
| MILLER, KEVIN JOSEPH | I | VP, CHIEF COMPLIANCE OFFICER, AML OFFICER, IDENTITY THEFT PREVENTION OFFICER | NA | Control |
| MILLER, KEVIN JOSEPH | I | VP, CHIEF COMPLIANCE OFFICER, AML OFFICER, IDENTITY THEFT PREVENTION OFFICER | NA | Control |
| MILLER, KEVIN JOSEPH | I | CHIEF COMPLIANCE OFFICER, VP, DEP GEN COUNSEL, PRIVACY, AML, IDENTITY THEFT PROTECTION POLICY, & RISK OFFICER | NA | Control |
| MILLER, KEVIN JOSEPH | I | CHIEF COMPLIANCE OFFICER, VP, DEP GEN COUNSEL, PRIVACY, AML, IDENTITY THEFT PROTECTION POLICY, & RISK OFFICER | NA | Control |
| MILLER, KEVIN JOSEPH | I | CHIEF COMPLIANCE OFFICER, VP, DEP GEN COUNSEL, PRIVACY, AML, IDENTITY THEFT PROTECTION POLICY, & RISK OFFICER | NA | Control |
| MILLER, KEVIN JOSEPH | I | CHIEF COMPLIANCE OFFICER, VP, DEP GEN COUNSEL, PRIVACY, AML, IDENTITY THEFT PROTECTION POLICY, & RISK OFFICER | NA | Control |
| MILLER, KEVIN JOSEPH | I | CHIEF COMPLIANCE OFFICER, VP, DEP GEN COUNSEL, PRIVACY, AML, IDENTITY THEFT PROTECTION POLICY, & RISK OFFICER | NA | Control |
| MILLER, KEVIN JOSEPH | I | CHIEF COMPLIANCE OFFICER, VP, DEP GEN COUNSEL, PRIVACY, AML, IDENTITY THEFT PROTECTION POLICY, & RISK OFFICER | NA | Control |
| MILLER, KEVIN JOSEPH | I | CHIEF COMPLIANCE OFFICER, VP, DEP GEN COUNSEL, PRIVACY, AML, IDENTITY THEFT PROTECTION POLICY, & RISK OFFICER | NA | Control |
| MILLER, KEVIN JOSEPH | I | CHIEF COMPLIANCE OFFICER, VP, DEP GEN COUNSEL, PRIVACY, AML, IDENTITY THEFT PROTECTION POLICY, & RISK OFFICER | NA | Control |
| MILLER, KEVIN JOSEPH | I | CHIEF COMPLIANCE OFFICER, VP, DEP GEN COUNSEL, PRIVACY, AML, IDENTITY THEFT PROTECTION POLICY, & RISK OFFICER | NA | Control |
| MILLER, KEVIN JOSEPH | I | CHIEF COMPLIANCE OFFICER, VP, DEP GEN COUNSEL, PRIVACY, AML, IDENTITY THEFT PROTECTION POLICY, & RISK OFFICER | NA | Control |
| MILLER, KEVIN JOSEPH | I | CHIEF COMPLIANCE OFFICER, VP, DEP GEN COUNSEL, PRIVACY, AML, IDENTITY THEFT PROTECTION POLICY, & RISK OFFICER | NA | Control |
| MILLER, KEVIN JOSEPH | I | CHIEF COMPLIANCE OFFICER, VP, DEP GEN COUNSEL, PRIVACY, AML, IDENTITY THEFT PROTECTION POLICY, & RISK OFFICER | NA | Control |
| MILLER, KEVIN JOSEPH | I | CHIEF COMPLIANCE OFFICER, VP, DEP GEN COUNSEL, PRIVACY, AML, IDENTITY THEFT PROTECTION POLICY, & RISK OFFICER | NA | Control |
| MILLER, KEVIN JOSEPH | I | CHIEF COMPLIANCE OFFICER, VP, DEP GEN COUNSEL, PRIVACY, AML, IDENTITY THEFT PROTECTION POLICY, & RISK OFFICER | NA | Control |
| MILLER, KEVIN JOSEPH | I | CHIEF COMPLIANCE OFFICER, VP, DEP GEN COUNSEL, PRIVACY, AML, IDENTITY THEFT PROTECTION POLICY, & RISK OFFICER | NA | Control |
| MILLER, KEVIN, JOSEPH | I | SENIOR VP, CHIEF COMPLIANCE OFFICER AND GENERAL COUNSEL (AML OFFICER, ITPP OFFICER, PRIVACY OFFICER), CORPORATE SECRETARY | NA | Control |
| MILLER, KEVIN, JOSEPH | I | SENIOR VP, CHIEF COMPLIANCE OFFICER AND GENERAL COUNSEL (AML OFFICER, ITPP OFFICER, PRIVACY OFFICER), CORPORATE SECRETARY | NA | Control |
| MILLER, KEVIN, JOSEPH | I | VP, CHIEF COMPLIANCE OFFICER AND DEPUTY GENERAL COUNSEL (AML OFFICER, ITPP OFFICER, PRIVACY OFFICER) | NA | Control |
| MILLER, KEVIN, JOSEPH | I | VP, CHIEF COMPLIANCE OFFICER AND DEPUTY GENERAL COUNSEL (AML OFFICER, ITPP OFFICER, PRIVACY OFFICER) | NA | Control |
| MILLER, KEVIN, JOSEPH | I | VP, CHIEF COMPLIANCE OFFICER AND DEPUTY GENERAL COUNSEL (AML OFFICER, ITPP OFFICER, PRIVACY OFFICER) | NA | Control |
| MILLER, KEVIN, JOSEPH | I | VP, CHIEF COMPLIANCE OFFICER AND DEPUTY GENERAL COUNSEL (AML OFFICER, ITPP OFFICER, PRIVACY OFFICER) | NA | Control |
| MILLER, KEVIN, JOSEPH | I | SENIOR VP, CHIEF COMPLIANCE OFFICER AND GENERAL COUNSEL (AML OFFICER, ITPP OFFICER, PRIVACY OFFICER), CORPORATE SECRETARY | NA | Control |
| MILLER, KEVIN, JOSEPH | I | SENIOR VP, CHIEF COMPLIANCE OFFICER AND GENERAL COUNSEL (AML OFFICER, ITPP OFFICER, PRIVACY OFFICER), CORPORATE SECRETARY | NA | Control |
| NAGENGAST, JAMES DELWYN | I | DIRECTOR | NA | Control |
| NAGENGAST, JAMES DELWYN | I | DIRECTOR | NA | Control |
| NAGENGAST, JAMES DELWYN | I | DIRECTOR | NA | Control |
| NAGENGAST, JAMES DELWYN | I | DIRECTOR | NA | Control |
| NAGENGAST, JAMES DELWYN | I | DIRECTOR | NA | Control |
| NAGENGAST, JAMES DELWYN | I | DIRECTOR | NA | Control |
| NAGENGAST, JAMES DELWYN | I | DIRECTOR | NA | Control |
| NAGENGAST, JAMES DELWYN | I | DIRECTOR | NA | Control |
| NAGENGAST, JAMES DELWYN | I | DIRECTOR | NA | Control |
| NAGENGAST, JAMES DELWYN | I | DIRECTOR | NA | Control |
| NAGENGAST, JAMES, DELWYN | I | CEO, DIRECTOR | NA | Control |
| NAGENGAST, JAMES, DELWYN | I | CEO, DIRECTOR | NA | Control |
| NAGENGAST, JAMES, DELWYN | I | CEO, DIRECTOR | NA | Control |
| NAGENGAST, JAMES, DELWYN | I | CEO, DIRECTOR | NA | Control |
| NAGENGAST, JAMES, DELWYN | I | CEO, DIRECTOR | NA | Control |
| NAGENGAST, JAMES, DELWYN | I | CEO, DIRECTOR | NA | Control |
| NAGENGAST, JAMES, DELWYN | I | CEO, DIRECTOR | NA | Control |
| NAGENGAST, JAMES, DELWYN | I | CEO, DIRECTOR | NA | Control |
| NAGENGAST, JAMES, DELWYN | I | CEO, DIRECTOR | NA | Control |
| NAGENGAST, JAMES, DELWYN | I | CEO, DIRECTOR | NA | Control |
| NAGENGAST, JAMES, DELWYN | I | CEO, DIRECTOR | NA | Control |
| NAGENGAST, JAMES, DELWYN | I | CEO, DIRECTOR | NA | Control |
| NAGENGAST, JAMES, DELWYN | I | CEO, DIRECTOR | NA | Control |
| NAGENGAST, JAMES, DELWYN | I | CEO, DIRECTOR | NA | Control |
| NAGENGAST, JAMES, DELWYN | I | CEO, DIRECTOR | NA | Control |
| NAGENGAST, JAMES, DELWYN | I | CEO, DIRECTOR | NA | Control |
| NAGENGAST, JAMES, DELWYN | I | CEO, DIRECTOR | NA | Control |
| NAGENGAST, JAMES, DELWYN | I | CEO, DIRECTOR | NA | Control |
| NAGENGAST, JAMES, DELWYN | I | CEO, DIRECTOR | NA | Control |
| ODLUM, MICHAEL GREGORY | I | DIRECTOR | NA | Control |
| ODLUM, MICHAEL GREGORY | I | DIRECTOR | NA | Control |
| ODLUM, MICHAEL GREGORY | I | DIRECTOR | NA | Control |
| ODLUM, MICHAEL GREGORY | I | DIRECTOR | NA | Control |
| ODLUM, MICHAEL GREGORY | I | DIRECTOR | NA | Control |
| ODLUM, MICHAEL GREGORY | I | DIRECTOR | NA | Control |
| ODLUM, MICHAEL GREGORY | I | DIRECTOR | NA | Control |
| ODLUM, MICHAEL GREGORY | I | DIRECTOR | NA | Control |
| ODLUM, MICHAEL GREGORY | I | DIRECTOR | NA | Control |
| ODLUM, MICHAEL GREGORY | I | DIRECTOR | NA | Control |
| ODLUM, MICHAEL GREGORY | I | DIRECTOR | NA | Control |
| PACLIK, BARBARA SUSAN | I | DIRECTOR OF ADVISORY SERVICES | NA | |
| PACLIK, BARBARA SUSAN | I | DIRECTOR OF ADVISORY SERVICES | NA | |
| PACLIK, BARBARA SUSAN | I | DIRECTOR OF ADVISORY SERVICES | NA | |
| PACLIK, BARBARA SUSAN | I | VP, ADVISORY SERVICES | NA | Control |
| PACLIK, BARBARA SUSAN | I | DIRECTOR OF ADVISORY SERVICES | NA | |
| PACLIK, BARBARA SUSAN | I | DIRECTOR OF ADVISORY SERVICES | NA | |
| PACLIK, BARBARA SUSAN | I | VP, ADVISORY SERVICES | NA | Control |
| PARSONS, GAYLE ELIZABETH | I | VP, FINOP | NA | Control |
| PARSONS, GAYLE ELIZABETH | I | VP, TREASURER, FINOP | NA | Control |
| PARSONS, GAYLE ELIZABETH | I | VP, FINOP | NA | Control |
| PARSONS, GAYLE ELIZABETH | I | VP, TREASURER, FINOP | NA | Control |
| PARSONS, GAYLE ELIZABETH | I | VP, FINOP | NA | Control |
| PARSONS, GAYLE ELIZABETH | I | VP, FINOP | NA | Control |
| PARSONS, GAYLE ELIZABETH | I | VP, TREASURER, FINOP | NA | Control |
| PARSONS, GAYLE ELIZABETH | I | VP, TREASURER, FINOP | NA | Control |
| PARSONS, GAYLE ELIZABETH | I | VP, TREASURER, FINOP | NA | Control |
| PARSONS, GAYLE ELIZABETH | I | VP, TREASURER, FINOP | NA | Control |
| PARSONS, GAYLE ELIZABETH | I | VP, TREASURER, FINOP | NA | Control |
| PARSONS, GAYLE ELIZABETH | I | VP, TREASURER, FINOP | NA | Control |
| PARSONS, GAYLE ELIZABETH | I | VP, TREASURER, FINOP | NA | Control |
| PARSONS, GAYLE ELIZABETH | I | VP, TREASURER, FINOP | NA | Control |
| PARSONS, GAYLE ELIZABETH | I | VP, TREASURER, FINOP | NA | Control |
| PARSONS, GAYLE ELIZABETH | I | VP, TREASURER, FINOP | NA | Control |
| PARSONS, GAYLE ELIZABETH | I | VP, TREASURER, FINOP | NA | Control |
| PARSONS, GAYLE ELIZABETH | I | VP, TREASURER, FINOP | NA | Control |
| PARSONS, GAYLE ELIZABETH | I | VP, TREASURER, FINOP | NA | Control |
| PARSONS, GAYLE ELIZABETH | I | VP, TREASURER, FINOP | NA | Control |
| PARSONS, GAYLE ELIZABETH | I | VP, TREASURER, FINOP | NA | Control |
| PARSONS, GAYLE, ELIZABETH | I | VICE PRESIDENT, TREASURER & ACCOUNTING | NA | Control |
| PARSONS, GAYLE, ELIZABETH | I | VICE PRESIDENT, TREASURER & ACCOUNTING | NA | Control |
| PARSONS, GAYLE, ELIZABETH | I | VICE PRESIDENT, TREASURER & ACCOUNTING | NA | Control |
| PARSONS, GAYLE, ELIZABETH | I | VICE PRESIDENT, TREASURER & ACCOUNTING | NA | Control |
| PARSONS, GAYLE, ELIZABETH | I | VICE PRESIDENT, TREASURER & ACCOUNTING | NA | Control |
| PARSONS, GAYLE, ELIZABETH | I | VICE PRESIDENT, TREASURER & ACCOUNTING | NA | Control |
| PARSONS, GAYLE, ELIZABETH | I | VICE PRESIDENT, TREASURER & ACCOUNTING | NA | Control |
| PARSONS, GAYLE, ELIZABETH | I | VICE PRESIDENT, TREASURER & ACCOUNTING | NA | Control |
| PECK, KATRINA LARISA | I | DIRECTOR BROKER-DEALER, SROP | NA | |
| PECK, KATRINA LARISA | I | DIRECTOR BROKER-DEALER, SROP | NA | |
| PECK, KATRINA LARISA | I | DIRECTOR BROKER-DEALER, SROP | NA | |
| PECK, KATRINA LARISA | I | DIRECTOR BROKER-DEALER AND ADVISORY SERVICES, SROP, MUNI OP | NA | |
| PECK, KATRINA LARISA | I | DIRECTOR BROKER-DEALER AND ADVISORY SERVICES, SROP, MUNI OP | NA | |
| PECK, KATRINA LARISA | I | DIRECTOR BROKER-DEALER, SROP | NA | |
| PECK, KATRINA LARISA | I | DIRECTOR BROKER-DEALER, SROP | NA | |
| RANNEY, CHRISTOPHER JOHN | I | CEO, CHAIRMAN OF THE BOARD, DIRECTOR, BYA CORPORATE SECRETARY | NA | Control |
| RANNEY, CHRISTOPHER JOHN | I | CEO, CHAIRMAN OF THE BOARD, DIRECTOR, BYA CORPORATE SECRETARY | NA | Control |
| RANNEY, CHRISTOPHER JOHN | I | PRESIDENT, DIRECTOR | NA | Control |
| RANNEY, CHRISTOPHER JOHN | I | PRESIDENT, DIRECTOR | NA | Control |
| RANNEY, CHRISTOPHER JOHN | I | PRESIDENT, DIRECTOR | NA | Control |
| RANNEY, CHRISTOPHER JOHN | I | EXEC. VICE PRESIDENT, DIRECTOR, BYA CORPORATE SECRETARY | NA | Control |
| RANNEY, CHRISTOPHER JOHN | I | CEO, PRESIDENT, DIRECTOR | NA | Control |
| RANNEY, CHRISTOPHER JOHN | I | CEO, PRESIDENT, DIRECTOR | NA | Control |
| RANNEY, CHRISTOPHER JOHN | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| RANNEY, CHRISTOPHER JOHN | I | PRESIDENT, DIRECTOR | NA | Control |
| RANNEY, CHRISTOPHER JOHN | I | PRESIDENT, DIRECTOR | NA | Control |
| RANNEY, CHRISTOPHER JOHN | I | PRESIDENT, DIRECTOR | NA | Control |
| RANNEY, CHRISTOPHER JOHN | I | CEO, CHAIRMAN OF THE BOARD, DIRECTOR, BYA CORPORATE SECRETARY | NA | Control |
| RANNEY, CHRISTOPHER JOHN | I | CEO, CHAIRMAN OF THE BOARD, DIRECTOR, BYA CORPORATE SECRETARY | NA | Control |
| RANNEY, CHRISTOPHER JOHN | I | CEO, CHAIRMAN OF THE BOARD, DIRECTOR, BYA CORPORATE SECRETARY | NA | Control |
| RANNEY, CHRISTOPHER JOHN | I | CEO, CHAIRMAN OF THE BOARD, DIRECTOR, BYA CORPORATE SECRETARY | NA | Control |
| RANNEY, CHRISTOPHER JOHN | I | CEO, CHAIRMAN OF THE BOARD, DIRECTOR, BYA CORPORATE SECRETARY | NA | Control |
| RANNEY, CHRISTOPHER JOHN | I | EXEC. VICE PRESIDENT, DIRECTOR, BYA CORPORATE SECRETARY | NA | Control |
| RANNEY, CHRISTOPHER JOHN | I | EXEC. VICE PRESIDENT, DIRECTOR, BYA CORPORATE SECRETARY | NA | Control |
| RANNEY, CHRISTOPHER JOHN | I | PRESIDENT, DIRECTOR | NA | Control |
| RANNEY, CHRISTOPHER JOHN | I | PRESIDENT, DIRECTOR | NA | Control |
| RANNEY, CHRISTOPHER JOHN | I | CEO, CHAIRMAN OF THE BOARD, DIRECTOR, BYA CORPORATE SECRETARY | NA | Control |
| RANNEY, CHRISTOPHER JOHN | I | EXEC. VICE PRESIDENT, DIRECTOR, BYA CORPORATE SECRETARY | NA | Control |
| RANNEY, CHRISTOPHER JOHN | I | EXEC. VICE PRESIDENT, DIRECTOR, BYA CORPORATE SECRETARY | NA | Control |
| RANNEY, CHRISTOPHER JOHN | I | EXEC. VICE PRESIDENT, DIRECTOR, BYA CORPORATE SECRETARY | NA | Control |
| RANNEY, CHRISTOPHER JOHN | I | PRESIDENT, DIRECTOR | NA | Control |
| RANNEY, CHRISTOPHER JOHN | I | PRESIDENT, DIRECTOR | NA | Control |
| RANNEY, CHRISTOPHER JOHN | I | PRESIDENT, DIRECTOR | NA | Control |
| SPITZ, ANGELA LYNN | I | VICE PRESIDENT, BUSINESS SERVICES. SROP | NA | Control |
| SPITZ, ANGELA LYNN | I | VICE PRESIDENT, BUSINESS SERVICES. SROP | NA | Control |
| SWANK, THOMAS ANTHONY | I | DIRECTOR | NA | |
| TERRY TUTTLE | I | DIRECTOR | NA | |
| WERTHEIM, PAMELA JANINE | I | DIRECTOR | NA | Control |
| WERTHEIM, PAMELA JANINE | I | DIRECTOR | NA | Control |
| WERTHEIM, PAMELA JANINE | I | DIRECTOR | NA | Control |
| WERTHEIM, PAMELA JANINE | I | DIRECTOR | NA | Control |
| WERTHEIM, PAMELA JANINE | I | DIRECTOR | NA | Control |
| WERTHEIM, PAMELA JANINE | I | DIRECTOR | NA | Control |
| WERTHEIM, PAMELA JANINE | I | DIRECTOR | NA | Control |
| WERTHEIM, PAMELA JANINE | I | DIRECTOR | NA | Control |
| WERTHEIM, PAMELA JANINE | I | DIRECTOR | NA | Control |
| WERTHEIM, PAMELA JANINE | I | DIRECTOR | NA | Control |
| WERTHEIM, PAMELA JANINE | I | DIRECTOR | NA | Control |
| WERTHEIM, PAMELA JANINE | I | DIRECTOR | NA | Control |
| WERTHEIM, PAMELA JANINE | I | DIRECTOR | NA | Control |
| WERTHEIM, PAMELA JANINE | I | DIRECTOR | NA | Control |
| WERTHEIM, PAMELA JANINE | I | DIRECTOR | NA | Control |
| WERTHEIM, PAMELA JANINE | I | DIRECTOR | NA | Control |
| WERTHEIM, PAMELA JANINE | I | DIRECTOR | NA | Control |
| WERTHEIM, PAMELA JANINE | I | DIRECTOR | NA | Control |
| WERTHEIM, PAMELA JANINE | I | DIRECTOR | NA | Control |
| WERTHEIM, PAMELA JANINE | I | DIRECTOR | NA | Control |
| WERTHEIM, PAMELA JANINE | I | DIRECTOR | NA | Control |
| WERTHEIM, PAMELA JANINE | I | DIRECTOR | NA | Control |
| WERTHEIM, PAMELA JANINE | I | DIRECTOR | NA | Control |
| WERTHEIM, PAMELA JANINE | I | DIRECTOR | NA | Control |
| WERTHEIM, PAMELA JANINE | I | DIRECTOR | NA | Control |
| WERTHEIM, PAMELA JANINE | I | DIRECTOR | NA | Control |
| WERTHEIM, PAMELA JANINE | I | DIRECTOR | NA | Control |
| WERTHEIM, PAMELA JANINE | I | DIRECTOR | NA | Control |
| WERTHEIM, PAMELA JANINE | I | DIRECTOR | NA | Control |
| WILLIAMS, JAMES HOUSTON II | I | FINANCIAL & OPERATIONS PRINCIPAL | NA | Control |
| WILLIAMS, JAMES HOUSTON II | I | FINANCIAL & OPERATIONS PRINCIPAL | NA | Control |
| WILLIAMS, JAMES HOUSTON II | I | FINANCIAL & OPERATIONS PRINCIPAL | NA | Control |
| WINDORSKI, KELLY, JOSEPH | I | CFO, DIRECTOR | NA | Control |
| YOUNG, HAROLD FREDRICK II | I | DIRECTOR | NA | Control |
| YOUNG, HAROLD FREDRICK II | I | DIRECTOR | NA | Control |
| YOUNG, HAROLD FREDRICK II | I | DIRECTOR | NA | Control |
| YOUNG, HAROLD FREDRICK II | I | CFO | NA | Control |
| YOUNG, HAROLD FREDRICK II | I | DIRECTOR | NA | Control |
| YOUNG, HAROLD FREDRICK II | I | DIRECTOR | NA | Control |
| YOUNG, HAROLD FREDRICK II | I | DIRECTOR | NA | Control |
| YOUNG, HAROLD FREDRICK II | I | DIRECTOR | NA | Control |
| YOUNG, HAROLD FREDRICK II | I | DIRECTOR | NA | Control |
| YOUNG, HAROLD FREDRICK II | I | DIRECTOR | NA | Control |
| YOUNG, HAROLD FREDRICK II | I | DIRECTOR | NA | Control |
| YOUNG, HAROLD FREDRICK II | I | DIRECTOR | NA | Control |
| YOUNG, HAROLD FREDRICK II | I | CFO, DIRECTOR | NA | Control |
| YOUNG, HAROLD FREDRICK II | I | DIRECTOR | NA | Control |
| YOUNG, HAROLD FREDRICK II | I | CFO, DIRECTOR | NA | Control |
| YOUNG, JOHN VALLANCE III | I | CHIEF OF COMPLIANCE/OPERATIONS, MSRB PRINCIPAL | NA | Control |
| SECURITIES AMERICA FINANCIAL CORPORATION | DE | HOLDING COMPANY | E | Control |
| SECURITIES AMERICA FINANCIAL CORPORATION | DE | HOLDING COMPANY | E | Control |
| SECURITIES AMERICA FINANCIAL CORPORATION | DE | HOLDING COMPANY | E | Control |
| SECURITIES AMERICA FINANCIAL CORPORATION | DE | HOLDING COMPANY | E | Control |
| SECURITIES AMERICA FINANCIAL CORPORATION | DE | HOLDING COMPANY | E | Control |
| SECURITIES AMERICA FINANCIAL CORPORATION | DE | HOLDING COMPANY | E | Control |
| SECURITIES AMERICA FINANCIAL CORPORATION | DE | HOLDING COMPANY | E | Control |
| SECURITIES AMERICA FINANCIAL CORPORATION | DE | HOLDING COMPANY | E | Control |
| SECURITIES AMERICA FINANCIAL CORPORATION | DE | HOLDING COMPANY | E | Control |
| SECURITIES AMERICA FINANCIAL CORPORATION | DE | HOLDING COMPANY | E | Control |
| SECURITIES AMERICA FINANCIAL CORPORATION | DE | HOLDING COMPANY | E | Control |
| SECURITIES AMERICA FINANCIAL CORPORATION | DE | HOLDING COMPANY | E | Control |
| SECURITIES AMERICA FINANCIAL CORPORATION | DE | HOLDING COMPANY | E | Control |
| SECURITIES AMERICA FINANCIAL CORPORATION | DE | HOLDING COMPANY | E | Control |
| SECURITIES AMERICA FINANCIAL CORPORATION | DE | HOLDING COMPANY | E | Control |
| SECURITIES AMERICA FINANCIAL CORPORATION | DE | HOLDING COMPANY | E | Control |
| SECURITIES AMERICA FINANCIAL CORPORATION | DE | HOLDING COMPANY | E | Control |
| SECURITIES AMERICA FINANCIAL CORPORATION | DE | HOLDING COMPANY | E | Control |
| SECURITIES AMERICA FINANCIAL CORPORATION | DE | HOLDING COMPANY | E | Control |
| SECURITIES AMERICA FINANCIAL CORPORATION | DE | HOLDING COMPANY | E | Control |
| SECURITIES AMERICA FINANCIAL CORPORATION | DE | HOLDING COMPANY | E | Control |
| SECURITIES AMERICA FINANCIAL CORPORATION | DE | HOLDING COMPANY | E | Control |
| SECURITIES AMERICA FINANCIAL CORPORATION | DE | HOLDING COMPANY | E | Control |
| SECURITIES AMERICA FINANCIAL CORPORATION | DE | HOLDING COMPANY | E | Control |
| SECURITIES AMERICA FINANCIAL CORPORATION | DE | HOLDING COMPANY | E | Control |
| SECURITIES AMERICA FINANCIAL CORPORATION | DE | HOLDING COMPANY | E | Control |
| SECURITIES AMERICA FINANCIAL CORPORATION | DE | HOLDING COMPANY | E | Control |
| SECURITIES AMERICA FINANCIAL CORPORATION | DE | HOLDING COMPANY | E | Control |
| SECURITIES AMERICA FINANCIAL CORPORATION | DE | HOLDING COMPANY | E | Control |
| SECURITY BENEFIT CORPORATION | DE | SHAREHOLDER | E | Control |
| SECURITY BENEFIT CORPORATION | DE | SHAREHOLDER | E | Control |
| SECURITY BENEFIT CORPORATION | DE | SHAREHOLDER | E | Control |
| SECURITY BENEFIT CORPORATION | DE | SHAREHOLDER | E | Control |
| SECURITY BENEFIT CORPORATION | DE | SHAREHOLDER | E | Control |
| SECURITY BENEFIT CORPORATION | DE | SHAREHOLDER | E | Control |
| SECURITY BENEFIT CORPORATION | DE | SHAREHOLDER | E | Control |
| SECURITY BENEFIT CORPORATION | DE | SHAREHOLDER | E | Control |
| SECURITY BENEFIT CORPORATION | DE | SHAREHOLDER | E | Control |
| SECURITY BENEFIT CORPORATION | DE | SHAREHOLDER | E | Control |
| SECURITY BENEFIT CORPORATION | DE | SHAREHOLDER | E | Control |
| SECURITY BENEFIT CORPORATION | DE | SHAREHOLDER | E | Control |
| BRECEK & YOUNG FINANCIAL SERVICES GROUP, INC. | DE | SHAREHOLDER | D | Control |
| BRECEK & YOUNG FINANCIAL SERVICES GROUP, INC. | DE | SHAREHOLDER | D | Control |
| BRECEK & YOUNG FINANCIAL SERVICES GROUP, INC. | DE | SHAREHOLDER | D | Control |
| SECURITY BENEFIT CORP. | DE | MANAGING MEMBER | D | Control |
| SECURITY BENEFIT CORP. | DE | SHAREHOLDER | D | Control |
| SECURITY BENEFIT CORPORATION | DE | SHAREHOLDER | D | Control |
| BRECEK, ROLAND | I | PRESIDENT, CEO, DIRECTOR, CHAIRMAN OF BOARD | C | Control |
| BRECEK, ROLAND | I | PRESIDENT, CEO, DIRECTOR, CHAIRMAN OF BOARD | C | Control |
| BRECEK, ROLAND | I | PRESIDENT, CEO, DIRECTOR, CHAIRMAN OF BOARD | C | Control |
| BRECEK, ROLAND | I | PRESIDENT, CEO, DIRECTOR, CHAIRMAN OF BOARD | C | Control |
| YOUNG, HAROLD FREDRICK II | I | DIRECTOR | B | Control |
| YOUNG, HAROLD FREDRICK II | I | DIRECTOR | B | Control |
| YOUNG, HAROLD FREDRICK II | I | DIRECTOR | B | Control |
| YOUNG, HAROLD FREDRICK II | I | DIRECTOR | B | Control |
| RANNEY, CHRISTOPHER JOHN | I | EXEC. VICE PRESIDENT, DIRECTOR, BYA CORPORATE SECRETARY | A | Control |
| RANNEY, CHRISTOPHER JOHN | I | EXEC. VICE PRESIDENT, DIRECTOR, BYA CORPORATE SECRETARY | A | Control |
| RANNEY, CHRISTOPHER JOHN | I | EXEC. VICE PRESIDENT, DIRECTOR, BYA CORPORATE SECRETARY | A | Control |
| RANNEY, CHRISTOPHER JOHN | I | EXEC. VICE PRESIDENT, DIRECTOR, BYA CORPORATE SECRETARY | A | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| AMERIPRISE FINANCIAL SERVICES, INC. | DE | SECURITIES AMERICA FINANCIAL CORPORATION | E | Control |
| AMERIPRISE FINANCIAL SERVICES, INC. | DE | SECURITIES AMERICA FINANCIAL CORPORATION | E | Control |
| AMERIPRISE FINANCIAL SERVICES, INC. | DE | SECURITIES AMERICA FINANCIAL CORPORATION | E | Control |
| AMERIPRISE FINANCIAL SERVICES, INC. | DE | SECURITIES AMERICA FINANCIAL CORPORATION | E | Control |
| AMERIPRISE FINANCIAL SERVICES, INC. | DE | SECURITIES AMERICA FINANCIAL CORPORATION | E | Control |
| AMERIPRISE FINANCIAL SERVICES, INC. | DE | SECURITIES AMERICA FINANCIAL CORPORATION | E | Control |
| AMERIPRISE FINANCIAL SERVICES, INC. | DE | SECURITIES AMERICA FINANCIAL CORPORATION | E | Control |
| AMERIPRISE FINANCIAL SERVICES, INC. | DE | SECURITIES AMERICA FINANCIAL CORPORATION | E | Control |
| AMERIPRISE FINANCIAL SERVICES, INC. | DE | SECURITIES AMERICA FINANCIAL CORPORATION | E | Control |
| AMERIPRISE FINANCIAL SERVICES, INC. | DE | SECURITIES AMERICA FINANCIAL CORPORATION | E | Control |
| AMERIPRISE FINANCIAL SERVICES, INC. | DE | SECURITIES AMERICA FINANCIAL CORPORATION | E | Control |
| AMERIPRISE FINANCIAL SERVICES, INC. | DE | SECURITIES AMERICA FINANCIAL CORPORATION | E | Control |
| AMERIPRISE FINANCIAL SERVICES, INC. | DE | SECURITIES AMERICA FINANCIAL CORPORATION | E | Control |
| AMERIPRISE FINANCIAL SERVICES, INC. | DE | SECURITIES AMERICA FINANCIAL CORPORATION | E | Control |
| AMERIPRISE FINANCIAL SERVICES, INC. | DE | SECURITIES AMERICA FINANCIAL CORPORATION | E | Control |
| AMERIPRISE FINANCIAL SERVICES, INC. | DE | SECURITIES AMERICA FINANCIAL CORPORATION | E | Control |
| AMERIPRISE FINANCIAL SERVICES, INC. | DE | SECURITIES AMERICA FINANCIAL CORPORATION | E | Control |
| AMERIPRISE FINANCIAL SERVICES, INC. | DE | SECURITIES AMERICA FINANCIAL CORPORATION | E | Control |
| AMERIPRISE FINANCIAL SERVICES, INC. | DE | SECURITIES AMERICA FINANCIAL CORPORATION | E | Control |
| AMERIPRISE FINANCIAL SERVICES, INC. | DE | SECURITIES AMERICA FINANCIAL CORPORATION | E | Control |
| AMERIPRISE FINANCIAL SERVICES, INC. | DE | SECURITIES AMERICA FINANCIAL CORPORATION | E | Control |
| LADENBURG THALMANN FINANCIAL SERVICES, INC. | DE | SECURITIES AMERICA FINANCIAL CORPORATION | E | Control |
| LADENBURG THALMANN FINANCIAL SERVICES, INC. | DE | SECURITIES AMERICA FINANCIAL CORPORATION | E | Control |
| LADENBURG THALMANN FINANCIAL SERVICES, INC. | DE | SECURITIES AMERICA FINANCIAL CORPORATION | E | Control |
| LADENBURG THALMANN FINANCIAL SERVICES, INC. | DE | SECURITIES AMERICA FINANCIAL CORPORATION | E | Control |
| LADENBURG THALMANN FINANCIAL SERVICES, INC. | DE | SECURITIES AMERICA FINANCIAL CORPORATION | E | Control |
| LADENBURG THALMANN FINANCIAL SERVICES, INC. | DE | SECURITIES AMERICA FINANCIAL CORPORATION | E | Control |
| LADENBURG THALMANN FINANCIAL SERVICES, INC. | DE | SECURITIES AMERICA FINANCIAL CORPORATION | E | Control |
| LADENBURG THALMANN FINANCIAL SERVICES, INC. | DE | SECURITIES AMERICA FINANCIAL CORPORATION | E | Control |
| SECURITY BENEFIT MUTUAL HOLDING COMPANY | DE | SECURITY BENEFIT CORPORATION | E | Control |
| SECURITY BENEFIT MUTUAL HOLDING COMPANY | DE | SECURITY BENEFIT CORPORATION | E | Control |
| SECURITY BENEFIT MUTUAL HOLDING COMPANY | DE | SECURITY BENEFIT CORPORATION | E | Control |
| SECURITY BENEFIT MUTUAL HOLDING COMPANY | DE | SECURITY BENEFIT CORPORATION | E | Control |
| SECURITY BENEFIT MUTUAL HOLDING COMPANY | DE | SECURITY BENEFIT CORPORATION | E | Control |
| SECURITY BENEFIT MUTUAL HOLDING COMPANY | DE | SECURITY BENEFIT CORPORATION | E | Control |
| SECURITY BENEFIT MUTUAL HOLDING COMPANY | DE | SECURITY BENEFIT CORPORATION | E | Control |
| SECURITY BENEFIT MUTUAL HOLDING COMPANY | DE | SECURITY BENEFIT CORPORATION | E | Control |
| SECURITY BENEFIT MUTUAL HOLDING COMPANY | DE | SECURITY BENEFIT CORPORATION | E | Control |
| SECURITY BENEFIT MUTUAL HOLDING COMPANY | DE | SECURITY BENEFIT CORPORATION | E | Control |
| SECURITY BENEFIT MUTUAL HOLDING COMPANY | DE | SECURITY BENEFIT CORPORATION | E | Control |
| SECURITY BENEFIT MUTUAL HOLDING COMPANY | DE | SECURITY BENEFIT CORP. | E | Control |
| SECURITY BENEFIT MUTUAL HOLDING COMPANY | DE | SECURITY BENEFIT CORPORATION | E | Control |
| SECURITY BENEFIT MUTUAL HOLDING COMPANY | DE | SECURITY BENEFIT CORPORATION | E | Control |
Registrations
Federal
IA
May 1, 2012 REGISTERED
Notice Filings (50)
AK AL AR AZ CA CO CT DC DE FL GA HI IA ID IL IN KS KY LA MA MD ME MI MN MO MS MT NC ND NE NH NJ NM NV NY OH OK OR PA RI SC SD TN TX UT VA VT WA WI WV
Address
1110 IRON POINT RD STE 100FOLSOM, CA 95630
United States
Phone: 866-822-9880