MORGAN KEEGAN & COMPANY, INC.
CRD #4161 SEC #801-19665 MEMPHIS, TN (901) 524-4100
SEC Registered Broker-Dealer Disclosures
Total AUM
$9.7B
Discretionary
$4.8B
Employees
--
Clients
--
Accounts
37,832
This firm has regulatory disclosures on file.
View disclosures
Firm Details
- Organization Type
- Limited Liability Company
- State of Formation
- Tennessee
- Fiscal Year End
- SEPTEMBER
- Registration Date
- --
- Latest Filing
- Oct 11, 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 |
|---|---|---|---|---|
| BAIRD, ROBERT ATKINSON | I | MANAGING DIRECTOR | NA | Control |
| BAIRD, ROBERT ATKINSON | I | MANAGING DIRECTOR | NA | Control |
| BAIRD, ROBERT ATKINSON | I | MANAGING DIRECTOR | NA | Control |
| BAIRD, ROBERT ATKINSON | I | MANAGING DIRECTOR | NA | Control |
| BAIRD, ROBERT ATKINSON | I | MANAGING DIRECTOR | NA | Control |
| BAIRD, ROBERT ATKINSON | I | MANAGING DIRECTOR | NA | Control |
| BAIRD, ROBERT ATKINSON | I | MANAGING DIRECTOR | NA | Control |
| BAIRD, ROBERT ATKINSON | I | MANAGING DIRECTOR | NA | Control |
| BAIRD, ROBERT ATKINSON | I | MANAGING DIRECTOR | NA | Control |
| BAIRD, ROBERT ATKINSON | I | MANAGING DIRECTOR | NA | Control |
| BAIRD, ROBERT ATKINSON | I | MANAGING DIRECTOR | NA | Control |
| BAIRD, ROBERT ATKINSON | I | MANAGING DIRECTOR | NA | Control |
| BAIRD, ROBERT ATKINSON | I | MANAGING DIRECTOR | NA | Control |
| BAIRD, ROBERT ATKINSON | I | MANAGING DIRECTOR | NA | Control |
| BAIRD, ROBERT ATKINSON | I | MANAGING DIRECTOR | NA | Control |
| BAIRD, ROBERT ATKINSON | I | MANAGING DIRECTOR | NA | Control |
| BAIRD, ROBERT ATKINSON | I | MANAGING DIRECTOR | NA | Control |
| BAIRD, ROBERT ATKINSON | I | MANAGING DIRECTOR | NA | Control |
| BAIRD, ROBERT ATKINSON | I | MANAGING DIRECTOR | NA | Control |
| BAIRD, ROBERT ATKINSON | I | MANAGING DIRECTOR | NA | Control |
| BAIRD, ROBERT ATKINSON | I | MANAGING DIRECTOR | NA | Control |
| BAIRD, ROBERT ATKINSON IV | I | PRESIDENT - INVESTMENT BANKING | NA | Control |
| BAIRD, ROBERT ATKINSON IV | I | PRESIDENT - FIXED INCOME CAPITAL MARKETS DIVISION | NA | Control |
| BAIRD, ROBERT ATKINSON IV | I | PRESIDENT - FIXED INCOME CAPITAL MARKETS DIVISION | NA | Control |
| BAIRD, ROBERT ATKINSON IV | I | PRESIDENT - FIXED INCOME CAPITAL MARKETS DIVISION | NA | Control |
| BAIRD, ROBERT ATKINSON IV | I | PRESIDENT - FIXED INCOME CAPITAL MARKETS DIVISION | NA | Control |
| BAIRD, ROBERT ATKINSON IV | I | PRESIDENT - INVESTMENT BANKING | NA | Control |
| BAIRD, ROBERT ATKINSON IV | I | PRESIDENT - INVESTMENT BANKING | NA | Control |
| BAIRD, ROBERT ATKINSON IV | I | PRESIDENT - FIXED INCOME CAPITAL MARKETS DIVISION | NA | Control |
| BAIRD, ROBERT ATKINSON IV | I | PRESIDENT - FIXED INCOME CAPITAL MARKETS DIVISION | NA | Control |
| BAIRD, ROBERT ATKINSON IV | I | PRESIDENT - FIXED INCOME CAPITAL MARKETS DIVISION | NA | Control |
| BAIRD, ROBERT ATKINSON IV | I | PRESIDENT - FIXED INCOME CAPITAL MARKETS DIVISION | NA | Control |
| BAIRD, ROBERT ATKINSON IV | I | PRESIDENT - INVESTMENT BANKING | NA | Control |
| BAIRD, ROBERT ATKINSON IV | I | PRESIDENT - INVESTMENT BANKING | NA | Control |
| BAIRD, ROBERT ATKINSON IV | I | PRESIDENT - INVESTMENT BANKING | NA | Control |
| BAIRD, ROBERT ATKINSON IV | I | PRESIDENT - INVESTMENT BANKING | NA | Control |
| BAIRD, ROBERT ATKINSON IV | I | PRESIDENT - INVESTMENT BANKING | NA | Control |
| BAIRD, ROBERT ATKINSON IV | I | PRESIDENT - INVESTMENT BANKING | NA | Control |
| BAIRD, ROBERT ATKINSON IV | I | PRESIDENT - INVESTMENT BANKING | NA | Control |
| BAIRD, ROBERT ATKINSON IV | I | PRESIDENT - INVESTMENT BANKING | NA | Control |
| BAIRD, ROBERT ATKINSON IV | I | PRESIDENT - INVESTMENT BANKING | NA | Control |
| BAIRD, ROBERT ATKINSON IV | I | PRESIDENT - INVESTMENT BANKING | NA | Control |
| BAIRD, ROBERT ATKINSON IV | I | PRESIDENT - INVESTMENT BANKING | NA | Control |
| BAIRD, ROBERT ATKINSON IV | I | PRESIDENT - INVESTMENT BANKING | NA | Control |
| BAIRD, ROBERT ATKINSON IV | I | PRESIDENT - INVESTMENT BANKING | NA | Control |
| BAIRD, ROBERT ATKINSON IV | I | PRESIDENT - INVESTMENT BANKING | NA | Control |
| BAIRD, ROBERT ATKINSON IV | I | PRESIDENT - INVESTMENT BANKING | NA | Control |
| BAIRD, ROBERT ATKINSON IV | I | PRESIDENT - INVESTMENT BANKING | NA | Control |
| BAIRD, ROBERT ATKINSON IV | I | PRESIDENT - INVESTMENT BANKING | NA | Control |
| BAIRD, ROBERT ATKINSON IV | I | PRESIDENT - INVESTMENT BANKING | NA | Control |
| BAIRD, ROBERT ATKINSON IV | I | PRESIDENT - INVESTMENT BANKING | NA | Control |
| BARKLEY, JOSEPH CLARENCE | I | CHIEF OPERATIONS OFFICER | NA | |
| BARKLEY, JOSEPH CLARENCE | I | OPERATIONS MANAGER - MANAGING DIRECTOR | NA | |
| BARKLEY, JOSEPH CLARENCE | I | OPERATIONS MANAGER - MANAGING DIRECTOR | NA | |
| BARKLEY, JOSEPH CLARENCE | I | OPERATIONS MANAGER - MANAGING DIRECTOR | NA | |
| BARKLEY, JOSEPH CLARENCE | I | OPERATIONS MANAGER - MANAGING DIRECTOR | NA | |
| BARKLEY, JOSEPH CLARENCE | I | OPERATIONS MANAGER - MANAGING DIRECTOR | NA | |
| BARKLEY, JOSEPH CLARENCE | I | OPERATIONS MANAGER - MANAGING DIRECTOR | NA | |
| BARKLEY, JOSEPH CLARENCE | I | OPERATIONS MANAGER - MANAGING DIRECTOR | NA | |
| BARKLEY, JOSEPH CLARENCE | I | CHIEF OPERATIONS OFFICER | NA | |
| BARKLEY, JOSEPH CLARENCE | I | OPERATIONS MANAGER - MANAGING DIRECTOR | NA | |
| BARKLEY, JOSEPH CLARENCE | I | CHIEF OPERATIONS OFFICER | NA | |
| BARKLEY, JOSEPH CLARENCE | I | OPERATIONS MANAGER - MANAGING DIRECTOR | NA | |
| BARKLEY, JOSEPH CLARENCE | I | OPERATIONS MANAGER - MANAGING DIRECTOR | NA | |
| BARKLEY, JOSEPH CLARENCE | I | OPERATIONS MANAGER - MANAGING DIRECTOR | NA | |
| BARKLEY, JOSEPH CLARENCE | I | OPERATIONS MANAGER - MANAGING DIRECTOR | NA | |
| BARKLEY, JOSEPH CLARENCE | I | OPERATIONS MANAGER - MANAGING DIRECTOR | NA | |
| BARKLEY, JOSEPH CLARENCE | I | OPERATIONS MANAGER - MANAGING DIRECTOR | NA | |
| BARKLEY, JOSEPH CLARENCE | I | OPERATIONS MANAGER - MANAGING DIRECTOR | NA | |
| BARKLEY, JOSEPH CLARENCE | I | OPERATIONS MANAGER - MANAGING DIRECTOR | NA | |
| BARKLEY, JOSEPH CLARENCE | I | OPERATIONS MANAGER - MANAGING DIRECTOR | NA | |
| BARKLEY, JOSEPH CLARENCE | I | OPERATIONS MANAGER - MANAGING DIRECTOR | NA | |
| BARKLEY, JOSEPH CLARENCE | I | OPERATIONS MANAGER - MANAGING DIRECTOR | NA | |
| BARKLEY, JOSEPH CLARENCE | I | OPERATIONS MANAGER - MANAGING DIRECTOR | NA | |
| BARKLEY, JOSEPH CLARENCE | I | OPERATIONS MANAGER - MANAGING DIRECTOR | NA | |
| BARKLEY, JOSEPH CLARENCE | I | OPERATIONS MANAGER - MANAGING DIRECTOR | NA | |
| BARKLEY, JOSEPH CLARENCE | I | OPERATIONS MANAGER - MANAGING DIRECTOR | NA | |
| BARKLEY, JOSEPH CLARENCE | I | OPERATIONS MANAGER - MANAGING DIRECTOR | NA | |
| BARKLEY, JOSEPH CLARENCE | I | OPERATIONS MANAGER - MANAGING DIRECTOR | NA | |
| BARKLEY, JOSEPH CLARENCE | I | OPERATIONS MANAGER - MANAGING DIRECTOR | NA | |
| BARKLEY, JOSEPH CLARENCE | I | OPERATIONS MANAGER - MANAGING DIRECTOR | NA | |
| BARKLEY, JOSEPH CLARENCE | I | OPERATIONS MANAGER - MANAGING DIRECTOR | NA | |
| BARKLEY, JOSEPH CLARENCE | I | OPERATIONS MANAGER - MANAGING DIRECTOR | NA | |
| BARKLEY, JOSEPH CLARENCE | I | OPERATIONS MANAGER - MANAGING DIRECTOR | NA | |
| BEAUPREZ, JACQUELINE ANN | I | CHIEF COMPLIANCE OFFICER / BROKER DEALER | NA | Control |
| BEAUPREZ, JACQUELINE ANN | I | CHIEF COMPLIANCE OFFICER / BROKER DEALER | NA | Control |
| BEAUPREZ, JACQUELINE ANN | I | CHIEF COMPLIANCE OFFICER / BROKER DEALER | NA | Control |
| BEAUPREZ, JACQUELINE ANN | I | CHIEF COMPLIANCE OFFICER / BROKER DEALER | NA | Control |
| BEAUPREZ, JACQUELINE ANN | I | CHIEF COMPLIANCE OFFICER / BROKER DEALER | NA | Control |
| CARSON, JOHN CONGLETON JR | I | CEO | NA | Control |
| CARSON, JOHN CONGLETON JR | I | CEO | NA | Control |
| CARSON, JOHN CONGLETON JR | I | CEO | NA | Control |
| CARSON, JOHN CONGLETON JR | I | CEO | NA | Control |
| CARSON, JOHN CONGLETON JR | I | CEO | NA | Control |
| CARSON, JOHN CONGLETON JR | I | CEO | NA | Control |
| CARSON, JOHN CONGLETON JR | I | CEO | NA | Control |
| CARSON, JOHN CONGLETON JR | I | CEO | NA | Control |
| CARSON, JOHN CONGLETON JR | I | CEO | NA | Control |
| CARSON, JOHN CONGLETON JR | I | CEO | NA | Control |
| CARSON, JOHN CONGLETON JR | I | CEO | NA | Control |
| CARSON, JOHN CONGLETON JR | I | CEO | NA | Control |
| CARSON, JOHN CONGLETON JR | I | CEO | NA | Control |
| CARSON, JOHN CONGLETON JR | I | CEO | NA | Control |
| CARSON, JOHN CONGLETON JR | I | CEO | NA | Control |
| CARSON, JOHN CONGLETON JR | I | CEO | NA | Control |
| CARSON, JOHN CONGLETON JR | I | CEO | NA | Control |
| CARSON, JOHN CONGLETON JR | I | CEO | NA | Control |
| CARSON, JOHN CONGLETON JR | I | CEO | NA | Control |
| CARSON, JOHN CONGLETON JR | I | CEO | NA | Control |
| CARSON, JOHN CONGLETON JR | I | CEO | NA | Control |
| CARSON, JOHN CONGLETON JR | I | CEO | NA | Control |
| CARSON, JOHN CONGLETON JR | I | CEO | NA | Control |
| CARSON, JOHN CONGLETON JR | I | CEO | NA | Control |
| CARSON, JOHN CONGLETON JR | I | CEO | NA | Control |
| CARSON, JOHN CONGLETON JR | I | CEO | NA | Control |
| CARSON, JOHN CONGLETON JR | I | CEO | NA | Control |
| CARSON, JOHN CONGLETON JR | I | CEO | NA | Control |
| CARSON, JOHN CONGLETON JR | I | CEO | NA | Control |
| CARSON, JOHN CONGLETON JR | I | CEO | NA | Control |
| CARSON, JOHN CONGLETON JR | I | CEO | NA | Control |
| DATTEL, JEROME MARKS | I | MANAGING DIRECTOR | NA | Control |
| DATTEL, JEROME MARKS | I | MANAGING DIRECTOR | NA | Control |
| DATTEL, JEROME MARKS | I | MANAGING DIRECTOR | NA | Control |
| DATTEL, JEROME MARKS | I | MANAGING DIRECTOR | NA | Control |
| DATTEL, JEROME MARKS | I | MANAGING DIRECTOR | NA | Control |
| DATTEL, JEROME MARKS | I | MANAGING DIRECTOR | NA | Control |
| DATTEL, JEROME MARKS | I | MANAGING DIRECTOR | NA | Control |
| DATTEL, JEROME MARKS | I | MANAGING DIRECTOR | NA | Control |
| DATTEL, JEROME MARKS | I | MANAGING DIRECTOR | NA | Control |
| DATTEL, JEROME MARKS | I | MANAGING DIRECTOR | NA | Control |
| DATTEL, JEROME MARKS | I | MANAGING DIRECTOR | NA | Control |
| DATTEL, JEROME MARKS | I | MANAGING DIRECTOR | NA | Control |
| DATTEL, JEROME MARKS | I | MANAGING DIRECTOR | NA | Control |
| DATTEL, JEROME MARKS | I | MANAGING DIRECTOR | NA | Control |
| DATTEL, JEROME MARKS | I | MANAGING DIRECTOR | NA | Control |
| DATTEL, JEROME MARKS | I | MANAGING DIRECTOR | NA | Control |
| DATTEL, JEROME MARKS | I | MANAGING DIRECTOR | NA | Control |
| DATTEL, JEROME MARKS | I | MANAGING DIRECTOR | NA | Control |
| DATTEL, JEROME MARKS | I | MANAGING DIRECTOR | NA | Control |
| DATTEL, JEROME MARKS | I | MANAGING DIRECTOR | NA | Control |
| DATTEL, JEROME MARKS | I | MANAGING DIRECTOR | NA | Control |
| EDWARDS, GEORGE DOUGLAS JR | I | CEO | NA | Control |
| EDWARDS, GEORGE DOUGLAS JR | I | CEO | NA | Control |
| EDWARDS, GEORGE DOUGLAS JR | I | CEO | NA | Control |
| EDWARDS, GEORGE DOUGLAS JR | I | CEO | NA | Control |
| EDWARDS, GEORGE DOUGLAS JR | I | VICE CHAIRMAN | NA | Control |
| EDWARDS, GEORGE DOUGLAS JR | I | CEO | NA | Control |
| EDWARDS, GEORGE DOUGLAS JR | I | CEO | NA | Control |
| EDWARDS, GEORGE DOUGLAS JR | I | CEO | NA | Control |
| EDWARDS, GEORGE DOUGLAS JR | I | VICE CHAIRMAN | NA | Control |
| EDWARDS, GEORGE DOUGLAS JR | I | VICE CHAIRMAN | NA | Control |
| EDWARDS, GEORGE DOUGLAS JR | I | VICE CHAIRMAN | NA | Control |
| EDWARDS, GEORGE DOUGLAS JR | I | VICE CHAIRMAN | NA | Control |
| EDWARDS, GEORGE DOUGLAS JR | I | CEO | NA | Control |
| EDWARDS, GEORGE DOUGLAS JR | I | CEO | NA | Control |
| EDWARDS, GEORGE DOUGLAS JR | I | CEO | NA | Control |
| EDWARDS, GEORGE DOUGLAS JR | I | CEO | NA | Control |
| EDWARDS, GEORGE DOUGLAS JR | I | CEO | NA | Control |
| EDWARDS, GEORGE DOUGLAS JR | I | CEO | NA | Control |
| EDWARDS, GEORGE DOUGLAS JR | I | CEO | NA | Control |
| EDWARDS, GEORGE DOUGLAS JR | I | CEO | NA | Control |
| FERGUSON, RICHARD SIDNEY | I | MANAGING DIRECTOR | NA | Control |
| FERGUSON, RICHARD SIDNEY | I | MANAGING DIRECTOR | NA | Control |
| FERGUSON, RICHARD SIDNEY | I | PRESIDENT - PRIVATE CLIENT GROUP | NA | Control |
| FERGUSON, RICHARD SIDNEY | I | MANAGING DIRECTOR | NA | Control |
| FERGUSON, RICHARD SIDNEY | I | MANAGING DIRECTOR | NA | Control |
| FERGUSON, RICHARD SIDNEY | I | MANAGING DIRECTOR | NA | Control |
| FERGUSON, RICHARD SIDNEY | I | PRESIDENT - PRIVATE CLIENT GROUP | NA | Control |
| FERGUSON, RICHARD SIDNEY | I | PRESIDENT - PRIVATE CLIENT GROUP | NA | Control |
| FERGUSON, RICHARD SIDNEY | I | PRESIDENT - PRIVATE CLIENT GROUP | NA | Control |
| FERGUSON, RICHARD SIDNEY | I | PRESIDENT - PRIVATE CLIENT GROUP | NA | Control |
| FERGUSON, RICHARD SIDNEY | I | PRESIDENT - PRIVATE CLIENT GROUP | NA | Control |
| FERGUSON, RICHARD SIDNEY | I | PRESIDENT - PRIVATE CLIENT GROUP | NA | Control |
| FERGUSON, RICHARD SIDNEY | I | MANAGING DIRECTOR | NA | Control |
| FERGUSON, RICHARD SIDNEY | I | MANAGING DIRECTOR | NA | Control |
| FERGUSON, RICHARD SIDNEY | I | MANAGING DIRECTOR | NA | Control |
| FERGUSON, RICHARD SIDNEY | I | PRESIDENT | NA | Control |
| FERGUSON, RICHARD SIDNEY | I | MANAGING DIRECTOR | NA | Control |
| FERGUSON, RICHARD SIDNEY | I | MANAGING DIRECTOR | NA | Control |
| FERGUSON, RICHARD SIDNEY | I | MANAGING DIRECTOR | NA | Control |
| FERGUSON, RICHARD SIDNEY | I | MANAGING DIRECTOR | NA | Control |
| FERGUSON, RICHARD SIDNEY | I | MANAGING DIRECTOR | NA | Control |
| FERGUSON, RICHARD SIDNEY | I | MANAGING DIRECTOR | NA | Control |
| FERGUSON, RICHARD SIDNEY | I | MANAGING DIRECTOR | NA | Control |
| FERGUSON, RICHARD SIDNEY | I | MANAGING DIRECTOR | NA | Control |
| FERGUSON, RICHARD SIDNEY | I | MANAGING DIRECTOR | NA | Control |
| FERGUSON, RICHARD SIDNEY | I | MANAGING DIRECTOR | NA | Control |
| FERGUSON, RICHARD SIDNEY | I | MANAGING DIRECTOR | NA | Control |
| FERGUSON, RICHARD SIDNEY | I | MANAGING DIRECTOR | NA | Control |
| FERGUSON, RICHARD SIDNEY | I | MANAGING DIRECTOR | NA | Control |
| FERGUSON, RICHARD SIDNEY | I | PRESIDENT - PRIVATE CLIENT GROUP | NA | Control |
| FERGUSON, RICHARD SIDNEY | I | PRESIDENT - PRIVATE CLIENT GROUP | NA | Control |
| FERGUSON, RICHARD SIDNEY | I | PRESIDENT - PRIVATE CLIENT GROUP | NA | Control |
| FERGUSON, RICHARD SIDNEY | I | PRESIDENT - PRIVATE CLIENT GROUP | NA | Control |
| FERGUSON, RICHARD SIDNEY | I | PRESIDENT - PRIVATE CLIENT GROUP | NA | Control |
| FERGUSON, RICHARD SIDNEY | I | PRESIDENT - PRIVATE CLIENT GROUP | NA | Control |
| FERGUSON, RICHARD SIDNEY | I | PRESIDENT - PRIVATE CLIENT GROUP | NA | Control |
| FERGUSON, RICHARD SIDNEY | I | PRESIDENT - PRIVATE CLIENT GROUP | NA | Control |
| FERGUSON, RICHARD SIDNEY | I | PRESIDENT - PRIVATE CLIENT GROUP | NA | Control |
| FERGUSON, RICHARD SIDNEY | I | PRESIDENT - PRIVATE CLIENT GROUP | NA | Control |
| FERGUSON, RICHARD SIDNEY | I | PRESIDENT - PRIVATE CLIENT GROUP | NA | Control |
| FERGUSON, RICHARD SIDNEY | I | PRESIDENT - PRIVATE CLIENT GROUP | NA | Control |
| FERGUSON, RICHARD SIDNEY | I | PRESIDENT - PRIVATE CLIENT GROUP | NA | Control |
| FERGUSON, RICHARD SIDNEY | I | PRESIDENT - PRIVATE CLIENT GROUP | NA | Control |
| FERGUSON, RICHARD SIDNEY | I | PRESIDENT - PRIVATE CLIENT GROUP | NA | Control |
| FERGUSON, RICHARD SIDNEY | I | PRESIDENT - PRIVATE CLIENT GROUP | NA | Control |
| FERGUSON, RICHARD SIDNEY | I | PRESIDENT - PRIVATE CLIENT GROUP | NA | Control |
| FERGUSON, RICHARD SIDNEY | I | PRESIDENT - PRIVATE CLIENT GROUP | NA | Control |
| FERGUSON, RICHARD SIDNEY | I | PRESIDENT - PRIVATE CLIENT GROUP | NA | Control |
| FERGUSON, RICHARD SIDNEY | I | PRESIDENT - PRIVATE CLIENT GROUP | NA | Control |
| FERGUSON, RICHARD SIDNEY | I | PRESIDENT - PRIVATE CLIENT GROUP | NA | Control |
| FERGUSON, RICHARD SIDNEY | I | PRESIDENT - PRIVATE CLIENT GROUP | NA | Control |
| FOWLER, PAUL BRIAN | I | MANAGING DIRECTOR / DIRECTOR, WEALTH MGMT SERVICES | NA | Control |
| FOWLER, PAUL BRIAN | I | MANAGING DIRECTOR / DIRECTOR, WMS AND INVESTMENT ADVISORY SERVICES | NA | Control |
| FOWLER, PAUL BRIAN | I | MANAGING DIRECTOR / DIRECTOR, WEALTH MGMT SERVICES | NA | Control |
| FOWLER, PAUL BRIAN | I | MANAGING DIRECTOR / DIRECTOR, WEALTH MGMT SERVICES | NA | Control |
| FOWLER, PAUL BRIAN | I | MANAGING DIRECTOR / DIRECTOR, WEALTH MGMT SERVICES | NA | Control |
| FOWLER, PAUL BRIAN | I | MANAGING DIRECTOR / DIRECTOR, WEALTH MGMT SERVICES | NA | Control |
| FOWLER, PAUL BRIAN | I | MANAGING DIRECTOR / DIRECTOR, WMS AND INVESTMENT ADVISORY SERVICES | NA | Control |
| FOWLER, PAUL BRIAN | I | MANAGING DIRECTOR / DIRECTOR, WMS AND INVESTMENT ADVISORY SERVICES | NA | Control |
| FOWLER, PAUL BRIAN | I | MANAGING DIRECTOR / DIRECTOR, WEALTH MGMT SERVICES | NA | Control |
| FOWLER, PAUL BRIAN | I | MANAGING DIRECTOR / DIRECTOR, WEALTH MGMT SERVICES | NA | Control |
| FOWLER, PAUL BRIAN | I | MANAGING DIRECTOR / DIRECTOR, WEALTH MGMT SERVICES | NA | Control |
| FOWLER, PAUL BRIAN | I | MANAGING DIRECTOR / DIRECTOR, WEALTH MGMT SERVICES | NA | Control |
| FOWLER, PAUL BRIAN | I | MANAGING DIRECTOR / DIRECTOR, WEALTH MGMT SERVICES | NA | Control |
| FOWLER, PAUL BRIAN | I | MANAGING DIRECTOR / DIRECTOR, WMS AND INVESTMENT ADVISORY SERVICES | NA | Control |
| FOWLER, PAUL BRIAN | I | MANAGING DIRECTOR / DIRECTOR, WMS AND INVESTMENT ADVISORY SERVICES | NA | Control |
| FOWLER, PAUL BRIAN | I | MANAGING DIRECTOR / DIRECTOR, WMS AND INVESTMENT ADVISORY SERVICES | NA | Control |
| FOWLER, PAUL BRIAN | I | MANAGING DIRECTOR / DIRECTOR, WMS AND INVESTMENT ADVISORY SERVICES | NA | Control |
| FOWLER, PAUL BRIAN | I | MANAGING DIRECTOR / DIRECTOR, WMS AND INVESTMENT ADVISORY SERVICES | NA | Control |
| FOWLER, PAUL BRIAN | I | MANAGING DIRECTOR / DIRECTOR, WMS AND INVESTMENT ADVISORY SERVICES | NA | Control |
| FOWLER, PAUL BRIAN | I | MANAGING DIRECTOR / DIRECTOR, WMS AND INVESTMENT ADVISORY SERVICES | NA | Control |
| FOWLER, PAUL BRIAN | I | MANAGING DIRECTOR / DIRECTOR, WMS AND INVESTMENT ADVISORY SERVICES | NA | Control |
| FOWLER, PAUL BRIAN | I | MANAGING DIRECTOR / DIRECTOR, WMS AND INVESTMENT ADVISORY SERVICES | NA | Control |
| FOWLER, PAUL BRIAN | I | MANAGING DIRECTOR / DIRECTOR, WMS AND INVESTMENT ADVISORY SERVICES | NA | Control |
| FOWLER, PAUL BRIAN | I | MANAGING DIRECTOR / DIRECTOR, WMS AND INVESTMENT ADVISORY SERVICES | NA | Control |
| FOWLER, PAUL BRIAN | I | MANAGING DIRECTOR / DIRECTOR, WMS AND INVESTMENT ADVISORY SERVICES | NA | Control |
| FOWLER, PAUL BRIAN | I | MANAGING DIRECTOR / DIRECTOR, WMS AND INVESTMENT ADVISORY SERVICES | NA | Control |
| FOWLER, PAUL BRIAN | I | MANAGING DIRECTOR / DIRECTOR, WMS AND INVESTMENT ADVISORY SERVICES | NA | Control |
| FRANKLIN, GARY MICHAEL | I | SROP | NA | |
| FRANKLIN, GARY MICHAEL | I | SROP | NA | |
| FRANKLIN, GARY MICHAEL | I | SROP | NA | |
| GEARY, WILLIAM ARNOT | I | MANAGING DIRECTOR | NA | Control |
| GEARY, WILLIAM ARNOT | I | MANAGING DIRECTOR | NA | Control |
| GEARY, WILLIAM ARNOT | I | MANAGING DIRECTOR | NA | Control |
| GEARY, WILLIAM ARNOT | I | MANAGING DIRECTOR | NA | Control |
| GEARY, WILLIAM ARNOT | I | MANAGING DIRECTOR | NA | Control |
| GEARY, WILLIAM ARNOT | I | MANAGING DIRECTOR | NA | Control |
| GEARY, WILLIAM ARNOT | I | MANAGING DIRECTOR | NA | Control |
| GEARY, WILLIAM ARNOT | I | MANAGING DIRECTOR | NA | Control |
| GEARY, WILLIAM ARNOT | I | MANAGING DIRECTOR | NA | Control |
| GEARY, WILLIAM ARNOT | I | MANAGING DIRECTOR | NA | Control |
| GEARY, WILLIAM ARNOT | I | MANAGING DIRECTOR | NA | Control |
| GEARY, WILLIAM ARNOT | I | MANAGING DIRECTOR | NA | Control |
| GEARY, WILLIAM ARNOT | I | MANAGING DIRECTOR | NA | Control |
| GEARY, WILLIAM ARNOT | I | MANAGING DIRECTOR | NA | Control |
| GEARY, WILLIAM ARNOT | I | MANAGING DIRECTOR | NA | Control |
| GEARY, WILLIAM ARNOT | I | MANAGING DIRECTOR | NA | Control |
| GEARY, WILLIAM ARNOT | I | MANAGING DIRECTOR | NA | Control |
| GEARY, WILLIAM ARNOT | I | MANAGING DIRECTOR | NA | Control |
| GEARY, WILLIAM ARNOT | I | MANAGING DIRECTOR | NA | Control |
| GEARY, WILLIAM ARNOT | I | MANAGING DIRECTOR | NA | Control |
| GEARY, WILLIAM ARNOT | I | MANAGING DIRECTOR | NA | Control |
| GEARY, WILLIAM ARNOT | I | MANAGING DIRECTOR | NA | Control |
| GEARY, WILLIAM ARNOT | I | MANAGING DIRECTOR | NA | Control |
| GEARY, WILLIAM ARNOT | I | MANAGING DIRECTOR | NA | Control |
| GEARY, WILLIAM ARNOT | I | MANAGING DIRECTOR | NA | Control |
| GEARY, WILLIAM ARNOT | I | MANAGING DIRECTOR | NA | Control |
| GEARY, WILLIAM ARNOT | I | MANAGING DIRECTOR | NA | Control |
| GIDDIS, KEVIN HOWARD | I | PRESIDENT - FIXED INCOME CAPITAL MARKETS | NA | |
| GIDDIS, KEVIN HOWARD | I | PRESIDENT - FIXED INCOME CAPITAL MARKETS | NA | |
| GIDDIS, KEVIN HOWARD | I | PRESIDENT - FIXED INCOME CAPITAL MARKETS | NA | |
| GIDDIS, KEVIN HOWARD | I | PRESIDENT - FIXED INCOME CAPITAL MARKETS | NA | |
| GIDDIS, KEVIN HOWARD | I | PRESIDENT - FIXED INCOME CAPITAL MARKETS | NA | |
| GIDDIS, KEVIN HOWARD | I | PRESIDENT - FIXED INCOME CAPITAL MARKETS | NA | |
| GIDDIS, KEVIN HOWARD | I | PRESIDENT - FIXED INCOME CAPITAL MARKETS | NA | |
| GIDDIS, KEVIN HOWARD | I | PRESIDENT - FIXED INCOME CAPITAL MARKETS | NA | |
| GIDDIS, KEVIN HOWARD | I | PRESIDENT - FIXED INCOME CAPITAL MARKETS | NA | |
| GIDDIS, KEVIN HOWARD | I | PRESIDENT - FIXED INCOME CAPITAL MARKETS | NA | |
| GIDDIS, KEVIN HOWARD | I | PRESIDENT - FIXED INCOME CAPITAL MARKETS | NA | |
| GIDDIS, KEVIN HOWARD | I | PRESIDENT - FIXED INCOME CAPITAL MARKETS | NA | |
| GIDDIS, KEVIN HOWARD | I | PRESIDENT - FIXED INCOME CAPITAL MARKETS | NA | |
| GIDDIS, KEVIN HOWARD | I | PRESIDENT - FIXED INCOME CAPITAL MARKETS | NA | |
| GIDDIS, KEVIN HOWARD | I | PRESIDENT - FIXED INCOME CAPITAL MARKETS | NA | |
| GIDDIS, KEVIN HOWARD | I | PRESIDENT - FIXED INCOME CAPITAL MARKETS | NA | |
| GIDDIS, KEVIN HOWARD | I | PRESIDENT - FIXED INCOME CAPITAL MARKETS | NA | |
| GIDDIS, KEVIN HOWARD | I | PRESIDENT - FIXED INCOME CAPITAL MARKETS | NA | |
| GIDDIS, KEVIN HOWARD | I | PRESIDENT - FIXED INCOME CAPITAL MARKETS | NA | |
| GIDDIS, KEVIN HOWARD | I | PRESIDENT - FIXED INCOME CAPITAL MARKETS | NA | |
| GIDDIS, KEVIN HOWARD | I | PRESIDENT - FIXED INCOME CAPITAL MARKETS | NA | |
| GIDDIS, KEVIN HOWARD | I | PRESIDENT - FIXED INCOME CAPITAL MARKETS | NA | |
| GLENN, ROBERT JAMES | I | EXECUTIVE MANAGING DIRECTOR | NA | Control |
| GLENN, ROBERT JAMES | I | EXECUTIVE MANAGING DIRECTOR | NA | Control |
| GLENN, ROBERT JAMES | I | EXECUTIVE MANAGING DIRECTOR | NA | Control |
| GLENN, ROBERT JAMES | I | EXECUTIVE MANAGING DIRECTOR | NA | Control |
| GLENN, ROBERT JAMES | I | EXECUTIVE MANAGING DIRECTOR | NA | Control |
| GLENN, ROBERT JAMES | I | EXECUTIVE MANAGING DIRECTOR | NA | Control |
| GLENN, ROBERT JAMES | I | EXECUTIVE MANAGING DIRECTOR | NA | Control |
| GLENN, ROBERT JAMES | I | EXECUTIVE MANAGING DIRECTOR | NA | Control |
| GLENN, ROBERT JAMES | I | EXECUTIVE MANAGING DIRECTOR | NA | Control |
| GLENN, ROBERT JAMES | I | EXECUTIVE MANAGING DIRECTOR | NA | Control |
| GLENN, ROBERT JAMES | I | EXECUTIVE MANAGING DIRECTOR | NA | Control |
| GLENN, ROBERT JAMES | I | EXECUTIVE MANAGING DIRECTOR | NA | Control |
| GLENN, ROBERT JAMES | I | EXECUTIVE MANAGING DIRECTOR | NA | Control |
| GLENN, ROBERT JAMES | I | EXECUTIVE MANAGING DIRECTOR | NA | Control |
| GLENN, ROBERT JAMES | I | EXECUTIVE MANAGING DIRECTOR | NA | Control |
| GLENN, ROBERT JAMES | I | EXECUTIVE MANAGING DIRECTOR | NA | Control |
| GLENN, ROBERT JAMES | I | EXECUTIVE MANAGING DIRECTOR | NA | Control |
| GLENN, ROBERT JAMES | I | EXECUTIVE MANAGING DIRECTOR | NA | Control |
| GLENN, ROBERT JAMES | I | EXECUTIVE MANAGING DIRECTOR | NA | Control |
| GLENN, ROBERT JAMES | I | EXECUTIVE MANAGING DIRECTOR | NA | Control |
| GLENN, ROBERT JAMES | I | EXECUTIVE MANAGING DIRECTOR | NA | Control |
| GLENN, ROBERT JAMES | I | EXECUTIVE MANAGING DIRECTOR | NA | Control |
| GLENN, ROBERT JAMES | I | EXECUTIVE MANAGING DIRECTOR | NA | Control |
| GLENN, ROBERT JAMES | I | EXECUTIVE MANAGING DIRECTOR | NA | Control |
| GRAYSON, JOHN HALL JR | I | MANAGING DIRECTOR | NA | Control |
| GRAYSON, JOHN HALL JR | I | MANAGING DIRECTOR | NA | Control |
| GRAYSON, JOHN HALL JR | I | MANAGING DIRECTOR | NA | Control |
| GRAYSON, JOHN HALL JR | I | MANAGING DIRECTOR | NA | Control |
| GRAYSON, JOHN HALL JR | I | MANAGING DIRECTOR | NA | Control |
| GRAYSON, JOHN HALL JR | I | MANAGING DIRECTOR | NA | Control |
| GRAYSON, JOHN HALL JR | I | MANAGING DIRECTOR | NA | Control |
| GRAYSON, JOHN HALL JR | I | MANAGING DIRECTOR | NA | Control |
| GRAYSON, JOHN HALL JR | I | MANAGING DIRECTOR | NA | Control |
| GRAYSON, JOHN HALL JR | I | MANAGING DIRECTOR | NA | Control |
| GRAYSON, JOHN HALL JR | I | MANAGING DIRECTOR | NA | Control |
| GRAYSON, JOHN HALL JR | I | MANAGING DIRECTOR | NA | Control |
| GRAYSON, JOHN HALL JR | I | MANAGING DIRECTOR | NA | Control |
| GRAYSON, JOHN HALL JR | I | MANAGING DIRECTOR | NA | Control |
| GRAYSON, JOHN HALL JR | I | MANAGING DIRECTOR | NA | Control |
| GRAYSON, JOHN HALL JR | I | MANAGING DIRECTOR | NA | Control |
| GRAYSON, JOHN HALL JR | I | MANAGING DIRECTOR | NA | Control |
| GRAYSON, JOHN HALL JR | I | MANAGING DIRECTOR | NA | Control |
| GRAYSON, JOHN HALL JR | I | MANAGING DIRECTOR | NA | Control |
| GRAYSON, JOHN HALL JR | I | MANAGING DIRECTOR | NA | Control |
| GRAYSON, JOHN HALL JR | I | MANAGING DIRECTOR | NA | Control |
| GRAYSON, JOHN HALL JR | I | MANAGING DIRECTOR | NA | Control |
| GRAYSON, JOHN HALL JR | I | MANAGING DIRECTOR | NA | Control |
| GRAYSON, JOHN HALL JR | I | MANAGING DIRECTOR | NA | Control |
| GRAYSON, JOHN HALL JR | I | MANAGING DIRECTOR | NA | Control |
| HAMILTON, JAMES WOODROW JR | I | REGIONAL MANAGER | NA | Control |
| HAMILTON, JAMES WOODROW JR | I | REGIONAL MANAGER | NA | Control |
| HAMILTON, JAMES WOODROW JR | I | REGIONAL MANAGER | NA | Control |
| HAMILTON, JAMES WOODROW JR | I | REGIONAL MANAGER | NA | Control |
| HAMILTON, JAMES WOODROW JR | I | REGIONAL MANAGER | NA | Control |
| HAMILTON, JAMES WOODROW JR | I | REGIONAL MANAGER | NA | Control |
| HAMILTON, JAMES WOODROW JR | I | REGIONAL MANAGER | NA | Control |
| HAMILTON, JAMES WOODROW JR | I | REGIONAL MANAGER | NA | Control |
| HAMILTON, JAMES WOODROW JR | I | REGIONAL MANAGER | NA | Control |
| HAMILTON, JAMES WOODROW JR | I | REGIONAL MANAGER | NA | Control |
| HAMILTON, JAMES WOODROW JR | I | REGIONAL MANAGER | NA | Control |
| HAMILTON, JAMES WOODROW JR | I | REGIONAL MANAGER | NA | Control |
| HAMILTON, JAMES WOODROW JR | I | REGIONAL MANAGER | NA | Control |
| HAMILTON, JAMES WOODROW JR | I | REGIONAL MANAGER | NA | Control |
| HAMILTON, JAMES WOODROW JR | I | REGIONAL MANAGER | NA | Control |
| HAMILTON, JAMES WOODROW JR | I | REGIONAL MANAGER | NA | Control |
| HAMILTON, JAMES WOODROW JR | I | REGIONAL MANAGER | NA | Control |
| HAMILTON, JAMES WOODROW JR | I | REGIONAL MANAGER | NA | Control |
| HAMILTON, JAMES WOODROW JR | I | REGIONAL MANAGER | NA | Control |
| HAMILTON, JAMES WOODROW JR | I | REGIONAL MANAGER | NA | Control |
| HAMILTON, JAMES WOODROW JR | I | REGIONAL MANAGER | NA | Control |
| HAMILTON, JAMES WOODROW JR | I | REGIONAL MANAGER | NA | Control |
| HAMILTON, JAMES WOODROW JR | I | REGIONAL MANAGER | NA | Control |
| HAMILTON, JAMES WOODROW JR | I | REGIONAL MANAGER | NA | Control |
| HENRICKS, THOMAS AUGUSTUS JR | I | CCO | NA | |
| HENRICKS, THOMAS AUGUSTUS JR | I | CCO | NA | |
| HENRICKS, THOMAS AUGUSTUS JR | I | CCO | NA | |
| HUGHES, WILLIAM FRIERSON JR | I | MANAGING DIRECTOR | NA | Control |
| HUGHES, WILLIAM FRIERSON JR | I | MANAGING DIRECTOR | NA | Control |
| HUGHES, WILLIAM FRIERSON JR | I | MANAGING DIRECTOR | NA | Control |
| HUGHES, WILLIAM FRIERSON JR | I | MANAGING DIRECTOR | NA | Control |
| HUGHES, WILLIAM FRIERSON JR | I | MANAGING DIRECTOR | NA | Control |
| HUGHES, WILLIAM FRIERSON JR | I | MANAGING DIRECTOR | NA | Control |
| HUGHES, WILLIAM FRIERSON JR | I | MANAGING DIRECTOR | NA | Control |
| HUGHES, WILLIAM FRIERSON JR | I | MANAGING DIRECTOR | NA | Control |
| HUGHES, WILLIAM FRIERSON JR | I | MANAGING DIRECTOR | NA | Control |
| HUGHES, WILLIAM FRIERSON JR | I | MANAGING DIRECTOR | NA | Control |
| HUGHES, WILLIAM FRIERSON JR | I | MANAGING DIRECTOR | NA | Control |
| HUGHES, WILLIAM FRIERSON JR | I | MANAGING DIRECTOR | NA | Control |
| HUGHES, WILLIAM FRIERSON JR | I | MANAGING DIRECTOR | NA | Control |
| HUGHES, WILLIAM FRIERSON JR | I | MANAGING DIRECTOR | NA | Control |
| HUGHES, WILLIAM FRIERSON JR | I | MANAGING DIRECTOR | NA | Control |
| HUGHES, WILLIAM FRIERSON JR | I | MANAGING DIRECTOR | NA | Control |
| HUGHES, WILLIAM FRIERSON JR | I | MANAGING DIRECTOR | NA | Control |
| HUGHES, WILLIAM FRIERSON JR | I | MANAGING DIRECTOR | NA | Control |
| HUGHES, WILLIAM FRIERSON JR | I | MANAGING DIRECTOR | NA | Control |
| HUGHES, WILLIAM FRIERSON JR | I | MANAGING DIRECTOR | NA | Control |
| HUGHES, WILLIAM FRIERSON JR | I | MANAGING DIRECTOR | NA | Control |
| KASARGOD, RAMKRISHNA PATTENSHETTI | I | SUPERVISORY ANALYST | NA | |
| KASARGOD, RAMKRISHNA PATTENSHETTI | I | SUPERVISORY ANALYST | NA | |
| KASARGOD, RAMKRISHNA PATTENSHETTI | I | SUPERVISORY ANALYST | NA | |
| KASARGOD, RAMKRISHNA PATTENSHETTI | I | SUPERVISORY ANALYST | NA | |
| KASARGOD, RAMKRISHNA PATTENSHETTI | I | SUPERVISORY ANALYST | NA | |
| KASARGOD, RAMKRISHNA PATTENSHETTI | I | SUPERVISORY ANALYST | NA | |
| KASARGOD, RAMKRISHNA PATTENSHETTI | I | SUPERVISORY ANALYST | NA | |
| KASARGOD, RAMKRISHNA PATTENSHETTI | I | SUPERVISORY ANALYST | NA | |
| KASARGOD, RAMKRISHNA PATTENSHETTI | I | SUPERVISORY ANALYST | NA | |
| KASARGOD, RAMKRISHNA PATTENSHETTI | I | SUPERVISORY ANALYST | NA | |
| KASARGOD, RAMKRISHNA PATTENSHETTI | I | SUPERVISORY ANALYST | NA | |
| KASARGOD, RAMKRISHNA PATTENSHETTI | I | SUPERVISORY ANALYST | NA | |
| KASARGOD, RAMKRISHNA PATTENSHETTI | I | SUPERVISORY ANALYST | NA | |
| KRUCZEK, ROBERT PATRICK | I | CHIEF ADMINISTRATIVE OFFICER | NA | Control |
| KRUCZEK, ROBERT PATRICK | I | PRESIDENT/COO | NA | Control |
| KRUCZEK, ROBERT PATRICK | I | PRESIDENT/COO | NA | Control |
| KRUCZEK, ROBERT PATRICK | I | PRESIDENT/COO | NA | Control |
| KRUCZEK, ROBERT PATRICK | I | PRESIDENT/COO | NA | Control |
| KRUCZEK, ROBERT PATRICK | I | PRESIDENT/COO | NA | Control |
| KRUCZEK, ROBERT PATRICK | I | PRESIDENT/COO | NA | Control |
| KRUCZEK, ROBERT PATRICK | I | PRESIDENT/COO | NA | Control |
| KRUCZEK, ROBERT PATRICK | I | CHIEF ADMINISTRATIVE OFFICER | NA | Control |
| KRUCZEK, ROBERT PATRICK | I | PRESIDENT/COO | NA | Control |
| KRUCZEK, ROBERT PATRICK | I | PRESIDENT/COO | NA | Control |
| KRUCZEK, ROBERT PATRICK | I | PRESIDENT/COO | NA | Control |
| KRUCZEK, ROBERT PATRICK | I | PRESIDENT/COO | NA | Control |
| KRUCZEK, ROBERT PATRICK | I | PRESIDENT/COO | NA | Control |
| KRUCZEK, ROBERT PATRICK | I | PRESIDENT/COO | NA | Control |
| KRUCZEK, ROBERT PATRICK | I | PRESIDENT/COO | NA | Control |
| KRUCZEK, ROBERT PATRICK | I | PRESIDENT/COO | NA | Control |
| KRUCZEK, ROBERT PATRICK | I | PRESIDENT/COO | NA | Control |
| KRUCZEK, ROBERT PATRICK | I | PRESIDENT/COO | NA | Control |
| KRUCZEK, ROBERT PATRICK | I | PRESIDENT/COO | NA | Control |
| KRUCZEK, ROBERT PATRICK | I | PRESIDENT/COO | NA | Control |
| KRUCZEK, ROBERT PATRICK | I | PRESIDENT/COO | NA | Control |
| KRUCZEK, ROBERT PATRICK | I | PRESIDENT/COO | NA | Control |
| KRUCZEK, ROBERT PATRICK | I | PRESIDENT/COO | NA | Control |
| KRUCZEK, ROBERT PATRICK | I | PRESIDENT/COO | NA | Control |
| KRUCZEK, ROBERT PATRICK | I | PRESIDENT/COO | NA | Control |
| KRUCZEK, ROBERT PATRICK | I | PRESIDENT/COO | NA | Control |
| KRUCZEK, ROBERT PATRICK | I | PRESIDENT/COO | NA | Control |
| LAWRENCE, STEVE LLOYD | I | NATIONAL SALES MANAGER / MANAGING DIRECTOR | NA | |
| LAWRENCE, STEVE LLOYD | I | NATIONAL SALES MANAGER / MANAGING DIRECTOR | NA | |
| LAWRENCE, STEVE LLOYD | I | NATIONAL SALES MANAGER / MANAGING DIRECTOR | NA | |
| LAWRENCE, STEVE LLOYD | I | NATIONAL SALES MANAGER / MANAGING DIRECTOR | NA | |
| LAWRENCE, STEVE LLOYD | I | NATIONAL SALES MANAGER / MANAGING DIRECTOR | NA | |
| LAWRENCE, STEVE LLOYD | I | NATIONAL SALES MANAGER / MANAGING DIRECTOR | NA | |
| LAWRENCE, STEVE LLOYD | I | NATIONAL SALES MANAGER / MANAGING DIRECTOR | NA | |
| LAWRENCE, STEVE LLOYD | I | NATIONAL SALES MANAGER / MANAGING DIRECTOR | NA | |
| LAWRENCE, STEVE LLOYD | I | NATIONAL SALES MANAGER / MANAGING DIRECTOR | NA | |
| LAWRENCE, STEVE LLOYD | I | NATIONAL SALES MANAGER / MANAGING DIRECTOR | NA | |
| LAWRENCE, STEVE LLOYD | I | NATIONAL SALES MANAGER / MANAGING DIRECTOR | NA | |
| LAWRENCE, STEVE LLOYD | I | NATIONAL SALES MANAGER / MANAGING DIRECTOR | NA | |
| LAWRENCE, STEVE LLOYD | I | NATIONAL SALES MANAGER / MANAGING DIRECTOR | NA | |
| MATECKI, PAUL LOUIS | I | GENERAL COUNSEL | NA | |
| MATECKI, PAUL LOUIS | I | GENERAL COUNSEL | NA | |
| MATECKI, PAUL LOUIS | I | GENERAL COUNSEL | NA | |
| MATECKI, PAUL LOUIS | I | GENERAL COUNSEL | NA | |
| MATECKI, PAUL LOUIS | I | GENERAL COUNSEL | NA | |
| MATECKI, PAUL LOUIS | I | GENERAL COUNSEL | NA | |
| MATECKI, PAUL LOUIS | I | GENERAL COUNSEL | NA | |
| MATECKI, PAUL LOUIS | I | GENERAL COUNSEL | NA | |
| MAXWELL, CHARLES DARRYL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| MAXWELL, CHARLES DARRYL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| MAXWELL, CHARLES DARRYL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| MAXWELL, CHARLES DARRYL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| MAXWELL, CHARLES DARRYL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| MAXWELL, CHARLES DARRYL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| MAXWELL, CHARLES DARRYL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| MAXWELL, CHARLES DARRYL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| MAXWELL, CHARLES DARRYL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| MAXWELL, CHARLES DARRYL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| MAXWELL, CHARLES DARRYL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| MAXWELL, CHARLES DARRYL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| MAXWELL, CHARLES DARRYL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| MAXWELL, CHARLES DARRYL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| MAXWELL, CHARLES DARRYL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| MAXWELL, CHARLES DARRYL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| MAXWELL, CHARLES DARRYL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| MAXWELL, CHARLES DARRYL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| MAXWELL, CHARLES DARRYL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| MAXWELL, CHARLES DARRYL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| MAXWELL, CHARLES DARRYL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| MAXWELL, CHARLES DARRYL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| MAXWELL, CHARLES DARRYL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| MAXWELL, CHARLES DARRYL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| MAXWELL, CHARLES DARRYL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| MAXWELL, CHARLES DARRYL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| MAXWELL, CHARLES DARRYL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| MAXWELL, CHARLES DARRYL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| MAXWELL, CHARLES DARRYL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| MAXWELL, CHARLES DARRYL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| MAXWELL, CHARLES DARRYL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| MAXWELL, CHARLES DARRYL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| MAXWELL, CHARLES DARRYL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| MORGAN, ALLEN BENNERS JR | I | CHAIRMAN | NA | Control |
| MORGAN, ALLEN BENNERS JR | I | CHAIRMAN | NA | Control |
| MORGAN, ALLEN BENNERS JR | I | CHAIRMAN | NA | Control |
| MORGAN, ALLEN BENNERS JR | I | CHAIRMAN | NA | Control |
| MORGAN, ALLEN BENNERS JR | I | CHAIRMAN | NA | Control |
| MORGAN, ALLEN BENNERS JR | I | CHAIRMAN | NA | Control |
| MORGAN, ALLEN BENNERS JR | I | CHAIRMAN | NA | Control |
| MORGAN, ALLEN BENNERS JR | I | CHAIRMAN | NA | Control |
| MORGAN, ALLEN BENNERS JR | I | CHAIRMAN | NA | Control |
| MORGAN, ALLEN BENNERS JR | I | CHAIRMAN | NA | Control |
| MORGAN, ALLEN BENNERS JR | I | CHAIRMAN | NA | Control |
| MORGAN, ALLEN BENNERS JR | I | CHAIRMAN | NA | Control |
| MORGAN, ALLEN BENNERS JR | I | CHAIRMAN | NA | Control |
| MORGAN, ALLEN BENNERS JR | I | CHAIRMAN | NA | Control |
| MORGAN, ALLEN BENNERS JR | I | CHAIRMAN | NA | Control |
| MORRISON, CYNTHIA DENISE | I | CHIEF COMPLIANCE OFFICER / IA AFFILIATE | NA | Control |
| MORRISON, CYNTHIA DENISE | I | CHIEF COMPLIANCE OFFICER / IA AFFILIATE | NA | Control |
| MORRISON, CYNTHIA DENISE | I | CHIEF COMPLIANCE OFFICER / IA AFFILIATE | NA | Control |
| MORRISON, CYNTHIA DENISE | I | CHIEF COMPLIANCE OFFICER / IA AFFILIATE | NA | Control |
| MORRISON, CYNTHIA DENISE | I | CHIEF COMPLIANCE OFFICER / IA AFFILIATE | NA | Control |
| MORRISON, CYNTHIA DENISE | I | CHIEF COMPLIANCE OFFICER / IA AFFILIATE | NA | Control |
| MORRISON, CYNTHIA DENISE | I | CHIEF COMPLIANCE OFFICER / IA AFFILIATE | NA | Control |
| MORRISON, CYNTHIA DENISE | I | CHIEF COMPLIANCE OFFICER / IA AFFILIATE | NA | Control |
| MORRISON, CYNTHIA DENISE | I | CHIEF COMPLIANCE OFFICER / IA AFFILIATE | NA | Control |
| MORRISON, CYNTHIA DENISE | I | CHIEF COMPLIANCE OFFICER / IA AFFILIATE | NA | Control |
| MORRISON, CYNTHIA DENISE | I | CHIEF COMPLIANCE OFFICER / IA AFFILIATE | NA | Control |
| MORRISON, CYNTHIA DENISE | I | CHIEF COMPLIANCE OFFICER / IA AFFILIATE | NA | Control |
| MORRISON, CYNTHIA DENISE | I | CHIEF COMPLIANCE OFFICER / IA AFFILIATE | NA | Control |
| MORRISON, CYNTHIA DENISE | I | CHIEF COMPLIANCE OFFICER / IA AFFILIATE | NA | Control |
| MORRISON, CYNTHIA DENISE | I | CHIEF COMPLIANCE OFFICER / IA AFFILIATE | NA | Control |
| NICKS, BRENT PATRICK | I | CHIEF COMPLIANCE OFFICER / IA AFFILIATE | NA | Control |
| NICKS, BRENT PATRICK | I | CHIEF COMPLIANCE OFFICER / IA AFFILIATE | NA | Control |
| NICKS, BRENT PATRICK | I | CHIEF COMPLIANCE OFFICER / IA AFFILIATE | NA | Control |
| NICKS, BRENT PATRICK | I | CHIEF COMPLIANCE OFFICER / IA AFFILIATE | NA | Control |
| NICKS, BRENT PATRICK | I | CHIEF COMPLIANCE OFFICER / IA AFFILIATE | NA | Control |
| OLSEN, JOHN GERALD | I | CHIEF COMPLIANCE OFFICER / BROKER DEALER | NA | |
| OLSEN, JOHN GERALD | I | CHIEF COMPLIANCE OFFICER | NA | |
| OLSEN, JOHN GERALD | I | CHIEF COMPLIANCE OFFICER | NA | |
| OLSEN, JOHN GERALD | I | CHIEF COMPLIANCE OFFICER | NA | |
| OLSEN, JOHN GERALD | I | CHIEF COMPLIANCE OFFICER | NA | |
| OLSEN, JOHN GERALD | I | CHIEF COMPLIANCE OFFICER / BROKER DEALER | NA | |
| OLSEN, JOHN GERALD | I | CHIEF COMPLIANCE OFFICER / BROKER DEALER | NA | |
| OLSEN, JOHN GERALD | I | CHIEF COMPLIANCE OFFICER | NA | |
| OLSEN, JOHN GERALD | I | CHIEF COMPLIANCE OFFICER | NA | |
| OLSEN, JOHN GERALD | I | CHIEF COMPLIANCE OFFICER | NA | |
| OLSEN, JOHN GERALD | I | CHIEF COMPLIANCE OFFICER | NA | |
| OLSEN, JOHN GERALD | I | CHIEF COMPLIANCE OFFICER / BROKER DEALER | NA | Control |
| OLSEN, JOHN GERALD | I | CHIEF COMPLIANCE OFFICER / BROKER DEALER | NA | |
| OLSEN, JOHN GERALD | I | CHIEF COMPLIANCE OFFICER / BROKER DEALER | NA | |
| OLSEN, JOHN GERALD | I | CHIEF COMPLIANCE OFFICER / BROKER DEALER | NA | Control |
| OLSEN, JOHN GERALD | I | CHIEF COMPLIANCE OFFICER / BROKER DEALER | NA | Control |
| OLSEN, JOHN GERALD | I | CHIEF COMPLIANCE OFFICER / BROKER DEALER | NA | |
| OLSEN, JOHN GERALD | I | CHIEF COMPLIANCE OFFICER / BROKER DEALER | NA | |
| OLSEN, JOHN GERALD | I | CHIEF COMPLIANCE OFFICER / BROKER DEALER | NA | |
| OLSEN, JOHN GERALD | I | CHIEF COMPLIANCE OFFICER / BROKER DEALER | NA | |
| OLSEN, JOHN GERALD | I | CHIEF COMPLIANCE OFFICER / BROKER DEALER | NA | |
| OLSEN, JOHN GERALD | I | CHIEF COMPLIANCE OFFICER / BROKER DEALER | NA | |
| OLSEN, JOHN GERALD | I | CHIEF COMPLIANCE OFFICER / BROKER DEALER | NA | |
| OLSEN, JOHN GERALD | I | CHIEF COMPLIANCE OFFICER / BROKER DEALER | NA | |
| OLSEN, JOHN GERALD | I | CHIEF COMPLIANCE OFFICER / BROKER DEALER | NA | |
| ORR, THOMAS VERNON | I | MANAGING DIRECTOR | NA | Control |
| ORR, THOMAS VERNON | I | MANAGING DIRECTOR | NA | Control |
| ORR, THOMAS VERNON | I | MANAGING DIRECTOR | NA | Control |
| ORR, THOMAS VERNON | I | MANAGING DIRECTOR | NA | Control |
| ORR, THOMAS VERNON | I | MANAGING DIRECTOR | NA | Control |
| ORR, THOMAS VERNON | I | MANAGING DIRECTOR | NA | Control |
| ORR, THOMAS VERNON | I | MANAGING DIRECTOR | NA | Control |
| ORR, THOMAS VERNON | I | MANAGING DIRECTOR | NA | Control |
| ORR, THOMAS VERNON | I | MANAGING DIRECTOR | NA | Control |
| ORR, THOMAS VERNON | I | MANAGING DIRECTOR | NA | Control |
| ORR, THOMAS VERNON | I | MANAGING DIRECTOR | NA | Control |
| ORR, THOMAS VERNON | I | MANAGING DIRECTOR | NA | Control |
| ORR, THOMAS VERNON | I | MANAGING DIRECTOR | NA | Control |
| ORR, THOMAS VERNON | I | MANAGING DIRECTOR | NA | Control |
| ORR, THOMAS VERNON | I | MANAGING DIRECTOR | NA | Control |
| ORR, THOMAS VERNON | I | MANAGING DIRECTOR | NA | Control |
| ORR, THOMAS VERNON | I | MANAGING DIRECTOR | NA | Control |
| ORR, THOMAS VERNON | I | MANAGING DIRECTOR | NA | Control |
| ORR, THOMAS VERNON | I | MANAGING DIRECTOR | NA | Control |
| ORR, THOMAS VERNON | I | MANAGING DIRECTOR | NA | Control |
| ORR, THOMAS VERNON | I | MANAGING DIRECTOR | NA | Control |
| ORR, THOMAS VERNON | I | MANAGING DIRECTOR | NA | Control |
| ORR, THOMAS VERNON | I | MANAGING DIRECTOR | NA | Control |
| ORR, THOMAS VERNON | I | MANAGING DIRECTOR | NA | Control |
| ORR, THOMAS VERNON | I | MANAGING DIRECTOR | NA | Control |
| ORR, THOMAS VERNON | I | MANAGING DIRECTOR | NA | Control |
| ORR, THOMAS VERNON | I | MANAGING DIRECTOR | NA | Control |
| ORR, THOMAS VERNON | I | MANAGING DIRECTOR | NA | Control |
| ORR, THOMAS VERNON | I | MANAGING DIRECTOR | NA | Control |
| ORR, THOMAS VERNON | I | MANAGING DIRECTOR | NA | Control |
| ORR, THOMAS VERNON | I | MANAGING DIRECTOR | NA | Control |
| ORR, THOMAS VERNON | I | MANAGING DIRECTOR | NA | Control |
| ORR, THOMAS VERNON | I | MANAGING DIRECTOR | NA | Control |
| ORR, THOMAS VERNON | I | MANAGING DIRECTOR | NA | Control |
| ORR, THOMAS VERNON | I | MANAGING DIRECTOR | NA | Control |
| ORR, THOMAS VERNON | I | MANAGING DIRECTOR | NA | Control |
| ORR, THOMAS VERNON | I | MANAGING DIRECTOR | NA | Control |
| ORR, THOMAS VERNON | I | MANAGING DIRECTOR | NA | Control |
| ORR, THOMAS VERNON | I | MANAGING DIRECTOR | NA | Control |
| ORR, THOMAS VERNON | I | MANAGING DIRECTOR | NA | Control |
| ORR, THOMAS VERNON | I | MANAGING DIRECTOR | NA | Control |
| ORR, THOMAS VERNON | I | MANAGING DIRECTOR | NA | Control |
| ORR, THOMAS VERNON | I | MANAGING DIRECTOR | NA | Control |
| ORR, THOMAS VERNON | I | MANAGING DIRECTOR | NA | Control |
| ORR, THOMAS VERNON | I | MANAGING DIRECTOR | NA | Control |
| PADDOCK, CLAUDE HERBERT | I | COMPLIANCE REGISTERED OPTIONS PRINCIPAL (CROP) | NA | |
| PARRISH, JAMES ANTHONY | I | MANAGING DIRECTOR | NA | Control |
| PARRISH, JAMES ANTHONY | I | MANAGING DIRECTOR | NA | Control |
| PARRISH, JAMES ANTHONY | I | MANAGING DIRECTOR | NA | Control |
| PARRISH, JAMES ANTHONY | I | MANAGING DIRECTOR | NA | Control |
| PARRISH, JAMES ANTHONY | I | MANAGING DIRECTOR | NA | Control |
| PARRISH, JAMES ANTHONY | I | MANAGING DIRECTOR | NA | Control |
| PARRISH, JAMES ANTHONY | I | MANAGING DIRECTOR | NA | Control |
| PARRISH, JAMES ANTHONY | I | MANAGING DIRECTOR | NA | Control |
| PARRISH, JAMES ANTHONY | I | MANAGING DIRECTOR | NA | Control |
| PARRISH, JAMES ANTHONY | I | MANAGING DIRECTOR | NA | Control |
| PARRISH, JAMES ANTHONY | I | MANAGING DIRECTOR | NA | Control |
| PARRISH, JAMES ANTHONY | I | MANAGING DIRECTOR | NA | Control |
| PARRISH, JAMES ANTHONY | I | MANAGING DIRECTOR | NA | Control |
| PARRISH, JAMES ANTHONY | I | MANAGING DIRECTOR | NA | Control |
| PARRISH, JAMES ANTHONY | I | MANAGING DIRECTOR | NA | Control |
| PARRISH, JAMES ANTHONY | I | MANAGING DIRECTOR | NA | Control |
| PARRISH, JAMES ANTHONY | I | MANAGING DIRECTOR | NA | Control |
| PARRISH, JAMES ANTHONY | I | MANAGING DIRECTOR | NA | Control |
| PARRISH, JAMES ANTHONY | I | MANAGING DIRECTOR | NA | Control |
| PARRISH, JAMES ANTHONY | I | MANAGING DIRECTOR | NA | Control |
| PARRISH, JAMES ANTHONY | I | MANAGING DIRECTOR | NA | Control |
| PERKINS, MINOR WILKERSON | I | MANAGING DIRECTOR | NA | Control |
| PERKINS, MINOR WILKERSON | I | MANAGING DIRECTOR | NA | Control |
| PERKINS, MINOR WILKERSON | I | MANAGING DIRECTOR | NA | Control |
| PERKINS, MINOR WILKERSON | I | MANAGING DIRECTOR | NA | Control |
| PERKINS, MINOR WILKERSON | I | MANAGING DIRECTOR | NA | Control |
| PERKINS, MINOR WILKERSON | I | MANAGING DIRECTOR | NA | Control |
| PERKINS, MINOR WILKERSON | I | MANAGING DIRECTOR | NA | Control |
| PERKINS, MINOR WILKERSON | I | MANAGING DIRECTOR | NA | Control |
| PERKINS, MINOR WILKERSON | I | MANAGING DIRECTOR | NA | Control |
| PERKINS, MINOR WILKERSON | I | MANAGING DIRECTOR | NA | Control |
| PERKINS, MINOR WILKERSON | I | MANAGING DIRECTOR | NA | Control |
| PERKINS, MINOR WILKERSON | I | MANAGING DIRECTOR | NA | Control |
| PERKINS, MINOR WILKERSON | I | MANAGING DIRECTOR | NA | Control |
| PERKINS, MINOR WILKERSON | I | MANAGING DIRECTOR | NA | Control |
| PERKINS, MINOR WILKERSON | I | MANAGING DIRECTOR | NA | Control |
| PERKINS, MINOR WILKERSON | I | MANAGING DIRECTOR | NA | Control |
| PERKINS, MINOR WILKERSON | I | MANAGING DIRECTOR | NA | Control |
| PERKINS, MINOR WILKERSON | I | MANAGING DIRECTOR | NA | Control |
| PERKINS, MINOR WILKERSON | I | MANAGING DIRECTOR | NA | Control |
| PERKINS, MINOR WILKERSON | I | MANAGING DIRECTOR | NA | Control |
| PERKINS, MINOR WILKERSON | I | MANAGING DIRECTOR | NA | Control |
| REESE, SCOTT BRADLEY | I | CHIEF COMPLIANCE OFFICER | NA | |
| REESE, SCOTT BRADLEY | I | CHIEF COMPLIANCE OFFICER | NA | |
| REESE, SCOTT BRADLEY | I | CHIEF COMPLIANCE OFFICER | NA | |
| REESE, SCOTT BRADLEY | I | CHIEF COMPLIANCE OFFICER | NA | |
| REESE, SCOTT BRADLEY | I | CHIEF COMPLIANCE OFFICER | NA | |
| RITT, JAMES TIMOTHY | I | CHIEF COMPLIANCE OFFICER & CHIEF LEGAL OFFICER | NA | |
| RITT, JAMES TIMOTHY | I | CLO & CCO | NA | |
| RITT, JAMES TIMOTHY | I | GENERAL COUNSEL | NA | |
| RITT, JAMES TIMOTHY | I | CLO & CCO | NA | |
| RITT, JAMES TIMOTHY | I | CLO & CCO | NA | |
| RITT, JAMES TIMOTHY | I | CLO | NA | |
| RITT, JAMES TIMOTHY | I | GENERAL COUNSEL | NA | |
| RITT, JAMES TIMOTHY | I | GENERAL COUNSEL | NA | |
| RITT, JAMES TIMOTHY | I | GENERAL COUNSEL | NA | |
| RITT, JAMES TIMOTHY | I | GENERAL COUNSEL | NA | |
| RITT, JAMES TIMOTHY | I | GENERAL COUNSEL | NA | |
| RITT, JAMES TIMOTHY | I | GENERAL COUNSEL | NA | |
| RITT, JAMES TIMOTHY | I | CLO & CCO | NA | |
| RITT, JAMES TIMOTHY | I | CLO & CCO | NA | |
| RITT, JAMES TIMOTHY | I | CHIEF COMPLIANCE OFFICER & CHIEF LEGAL OFFICER | NA | |
| RITT, JAMES TIMOTHY | I | GENERAL COUNSEL | NA | |
| RITT, JAMES TIMOTHY | I | CLO & CCO | NA | |
| RITT, JAMES TIMOTHY | I | CLO & CCO | NA | |
| RITT, JAMES TIMOTHY | I | CLO & CCO | NA | |
| RITT, JAMES TIMOTHY | I | CLO & CCO | NA | |
| RITT, JAMES TIMOTHY | I | CLO & CCO | NA | |
| RITT, JAMES TIMOTHY | I | CLO & CCO | NA | |
| RITT, JAMES TIMOTHY | I | CLO & CCO | NA | |
| RITT, JAMES TIMOTHY | I | CHIEF COMPLIANCE OFFICER & CHIEF LEGAL OFFICER | NA | |
| RITT, JAMES TIMOTHY | I | CLO & CCO | NA | |
| RITT, JAMES TIMOTHY | I | CLO & CCO | NA | |
| RITT, JAMES TIMOTHY | I | CLO & CCO | NA | |
| RITT, JAMES TIMOTHY | I | CLO & CCO | NA | |
| RITT, JAMES TIMOTHY | I | CLO & CCO | NA | |
| RITT, JAMES TIMOTHY | I | GENERAL COUNSEL | NA | |
| RITT, JAMES TIMOTHY | I | GENERAL COUNSEL | NA | |
| RITT, JAMES TIMOTHY | I | GENERAL COUNSEL | NA | |
| RITT, JAMES TIMOTHY | I | GENERAL COUNSEL | NA | |
| RITT, JAMES TIMOTHY | I | GENERAL COUNSEL | NA | |
| RITT, JAMES TIMOTHY | I | GENERAL COUNSEL | NA | |
| RITT, JAMES TIMOTHY | I | GENERAL COUNSEL | NA | |
| RITT, JAMES TIMOTHY | I | GENERAL COUNSEL | NA | |
| RITT, JAMES TIMOTHY | I | GENERAL COUNSEL | NA | |
| ROBINSON, TARETHA ANN | I | CHIEF COMPLIANCE OFFICER / IA AFFILIATE | NA | Control |
| ROBINSON, TARETHA ANN | I | CHIEF COMPLIANCE OFFICER / IA AFFILIATE | NA | Control |
| SCHEIDT, EDWARD ELKAN | I | DIRECTOR OF RESEARCH | NA | |
| SCHEIDT, EDWARD ELKAN | I | DIRECTOR OF RESEARCH | NA | |
| SCHEIDT, EDWARD ELKAN | I | DIRECTOR OF RESEARCH | NA | |
| SCHEIDT, EDWARD ELKAN | I | DIRECTOR OF RESEARCH | NA | |
| SCHEIDT, EDWARD ELKAN | I | DIRECTOR OF RESEARCH | NA | |
| SCHEIDT, EDWARD ELKAN | I | DIRECTOR OF RESEARCH | NA | |
| SCHEIDT, EDWARD ELKAN | I | DIRECTOR OF RESEARCH | NA | |
| SCHEIDT, EDWARD ELKAN | I | DIRECTOR OF RESEARCH | NA | |
| SCHEIDT, EDWARD ELKAN | I | DIRECTOR OF RESEARCH | NA | |
| SCHEIDT, EDWARD ELKAN | I | DIRECTOR OF RESEARCH | NA | |
| SCHEIDT, EDWARD ELKAN | I | DIRECTOR OF RESEARCH | NA | |
| SCHEIDT, EDWARD ELKAN | I | DIRECTOR OF RESEARCH | NA | |
| SCHEIDT, EDWARD ELKAN | I | DIRECTOR OF RESEARCH | NA | |
| SCHEIDT, EDWARD ELKAN | I | DIRECTOR OF RESEARCH | NA | |
| SCHEIDT, EDWARD ELKAN | I | DIRECTOR OF RESEARCH | NA | |
| SCHEIDT, EDWARD ELKAN | I | DIRECTOR OF RESEARCH | NA | |
| SCHEIDT, EDWARD ELKAN | I | DIRECTOR OF RESEARCH | NA | |
| SCHEIDT, EDWARD ELKAN | I | DIRECTOR OF RESEARCH | NA | |
| SCHEIDT, EDWARD ELKAN | I | DIRECTOR OF RESEARCH | NA | |
| SCHEIDT, EDWARD ELKAN | I | DIRECTOR OF RESEARCH | NA | |
| SCHEIDT, EDWARD ELKAN | I | DIRECTOR OF RESEARCH | NA | |
| SCHEIDT, EDWARD ELKAN | I | DIRECTOR OF RESEARCH | NA | |
| SCHEIDT, EDWARD ELKAN | I | DIRECTOR OF RESEARCH | NA | |
| SCHEIDT, EDWARD ELKAN | I | DIRECTOR OF RESEARCH | NA | |
| SCHEIDT, EDWARD ELKAN | I | DIRECTOR OF RESEARCH | NA | |
| SCHEIDT, EDWARD ELKAN | I | DIRECTOR OF RESEARCH | NA | |
| SCHEIDT, EDWARD ELKAN | I | DIRECTOR OF RESEARCH | NA | |
| SMITH, HEATHER DIANE | I | CHIEF COMPLIANCE OFFICER | NA | |
| SMITH, HEATHER DIANE | I | CHIEF COMPLIANCE OFFICER | NA | |
| SMITH, HEATHER DIANE | I | CHIEF COMPLIANCE OFFICER | NA | |
| SMITH, HEATHER DIANE | I | CHIEF COMPLIANCE OFFICER | NA | |
| SMITH, HEATHER DIANE | I | CHIEF COMPLIANCE OFFICER | NA | |
| SMITH, HEATHER DIANE | I | CHIEF COMPLIANCE OFFICER | NA | |
| SMITH, HEATHER DIANE | I | CHIEF COMPLIANCE OFFICER | NA | |
| SMITH, HEATHER DIANE | I | CHIEF COMPLIANCE OFFICER / IA AFFILIATE | NA | Control |
| SMITH, HEATHER DIANE | I | CHIEF COMPLIANCE OFFICER / IA AFFILIATE | NA | Control |
| SMITH, HEATHER DIANE | I | CHIEF COMPLIANCE OFFICER / IA AFFILIATE | NA | Control |
| SMITH, HEATHER DIANE | I | CHIEF COMPLIANCE OFFICER / IA AFFILIATE | NA | Control |
| SMITH, HEATHER DIANE | I | CHIEF COMPLIANCE OFFICER / IA AFFILIATE | NA | Control |
| SMITH, HEATHER DIANE | I | CHIEF COMPLIANCE OFFICER / IA AFFILIATE | NA | Control |
| SMITH, HEATHER DIANE | I | CHIEF COMPLIANCE OFFICER / IA AFFILIATE | NA | Control |
| SMITH, HEATHER DIANE | I | CHIEF COMPLIANCE OFFICER / IA AFFILIATE | NA | Control |
| STOKES, JOHN WHITTEMORE | I | VICE CHAIRMAN | NA | Control |
| STOKES, JOHN WHITTEMORE | I | VICE CHAIRMAN | NA | Control |
| STOKES, JOHN WHITTEMORE | I | VICE CHAIRMAN | NA | Control |
| STOKES, JOHN WHITTEMORE | I | VICE CHAIRMAN | NA | Control |
| STOKES, JOHN WHITTEMORE | I | VICE CHAIRMAN | NA | Control |
| SUTTON, SARAH JEAN | I | COMPLIANCE REGISTERED OPTIONS PRINCIPAL (CROP) | NA | |
| SUTTON, SARAH JEAN | I | COMPLIANCE REGISTERED OPTIONS PRINCIPAL (CROP) | NA | |
| THOMPSON, VAN CHENAULT | I | REGIONAL MANAGER | NA | Control |
| THOMPSON, VAN CHENAULT | I | REGIONAL MANAGER | NA | Control |
| THOMPSON, VAN CHENAULT | I | REGIONAL MANAGER | NA | Control |
| THOMPSON, VAN CHENAULT | I | REGIONAL MANAGER | NA | Control |
| THOMPSON, VAN CHENAULT | I | REGIONAL MANAGER | NA | Control |
| THOMPSON, VAN CHENAULT | I | REGIONAL MANAGER | NA | Control |
| THOMPSON, VAN CHENAULT | I | REGIONAL MANAGER | NA | Control |
| THOMPSON, VAN CHENAULT | I | REGIONAL MANAGER | NA | Control |
| THOMPSON, VAN CHENAULT | I | REGIONAL MANAGER | NA | Control |
| THOMPSON, VAN CHENAULT | I | REGIONAL MANAGER | NA | Control |
| THOMPSON, VAN CHENAULT | I | REGIONAL MANAGER | NA | Control |
| THOMPSON, VAN CHENAULT | I | REGIONAL MANAGER | NA | Control |
| THOMPSON, VAN CHENAULT | I | REGIONAL MANAGER | NA | Control |
| THOMPSON, VAN CHENAULT | I | REGIONAL MANAGER | NA | Control |
| THOMPSON, VAN CHENAULT | I | REGIONAL MANAGER | NA | Control |
| THOMPSON, VAN CHENAULT | I | REGIONAL MANAGER | NA | Control |
| THOMPSON, VAN CHENAULT | I | REGIONAL MANAGER | NA | Control |
| THOMPSON, VAN CHENAULT | I | REGIONAL MANAGER | NA | Control |
| THOMPSON, VAN CHENAULT | I | REGIONAL MANAGER | NA | Control |
| THOMPSON, VAN CHENAULT | I | REGIONAL MANAGER | NA | Control |
| THOMPSON, VAN CHENAULT | I | REGIONAL MANAGER | NA | Control |
| THOMPSON, VAN CHENAULT | I | REGIONAL MANAGER | NA | Control |
| THOMPSON, VAN CHENAULT | I | REGIONAL MANAGER | NA | Control |
| THOMPSON, VAN CHENAULT | I | REGIONAL MANAGER | NA | Control |
| TURNBOUGH, MICHAEL EUGENE | I | REGIONAL MANAGER | NA | Control |
| TURNBOUGH, MICHAEL EUGENE | I | REGIONAL MANAGER | NA | Control |
| TURNBOUGH, MICHAEL EUGENE | I | REGIONAL MANAGER | NA | Control |
| TURNBOUGH, MICHAEL EUGENE | I | REGIONAL MANAGER | NA | Control |
| TURNBOUGH, MICHAEL EUGENE | I | REGIONAL MANAGER | NA | Control |
| TURNBOUGH, MICHAEL EUGENE | I | REGIONAL MANAGER | NA | Control |
| TURNBOUGH, MICHAEL EUGENE | I | REGIONAL MANAGER | NA | Control |
| TURNBOUGH, MICHAEL EUGENE | I | REGIONAL MANAGER | NA | Control |
| TURNBOUGH, MICHAEL EUGENE | I | REGIONAL MANAGER | NA | Control |
| TURNBOUGH, MICHAEL EUGENE | I | REGIONAL MANAGER | NA | Control |
| TURNBOUGH, MICHAEL EUGENE | I | REGIONAL MANAGER | NA | Control |
| TURNBOUGH, MICHAEL EUGENE | I | REGIONAL MANAGER | NA | Control |
| TURNBOUGH, MICHAEL EUGENE | I | REGIONAL MANAGER | NA | Control |
| TURNBOUGH, MICHAEL EUGENE | I | REGIONAL MANAGER | NA | Control |
| TURNBOUGH, MICHAEL EUGENE | I | REGIONAL MANAGER | NA | Control |
| TURNBOUGH, MICHAEL EUGENE | I | REGIONAL MANAGER | NA | Control |
| TURNBOUGH, MICHAEL EUGENE | I | REGIONAL MANAGER | NA | Control |
| TURNBOUGH, MICHAEL EUGENE | I | REGIONAL MANAGER | NA | Control |
| TURNBOUGH, MICHAEL EUGENE | I | REGIONAL MANAGER | NA | Control |
| TURNBOUGH, MICHAEL EUGENE | I | REGIONAL MANAGER | NA | Control |
| TURNBOUGH, MICHAEL EUGENE | I | REGIONAL MANAGER | NA | Control |
| TURNBOUGH, MICHAEL EUGENE | I | REGIONAL MANAGER | NA | Control |
| TURNBOUGH, MICHAEL EUGENE | I | REGIONAL MANAGER | NA | Control |
| TURNBOUGH, MICHAEL EUGENE | I | REGIONAL MANAGER | NA | Control |
| RAYMOND JAMES FINANCIAL, INC. | DE | PARENT | E | Control |
| RAYMOND JAMES FINANCIAL, INC. | DE | PARENT | E | Control |
| RAYMOND JAMES FINANCIAL, INC. | DE | PARENT | E | Control |
| RAYMOND JAMES FINANCIAL, INC. | DE | PARENT | E | Control |
| RAYMOND JAMES FINANCIAL, INC. | DE | PARENT | E | Control |
| RAYMOND JAMES FINANCIAL, INC. | DE | PARENT | E | Control |
| RAYMOND JAMES FINANCIAL, INC. | DE | PARENT | E | Control |
| RAYMOND JAMES FINANCIAL, INC. | DE | PARENT | E | Control |
| RAYMOND JAMES FINANCIAL, INC. | DE | PARENT | E | Control |
| RAYMOND JAMES FINANCIAL, INC. | DE | PARENT | E | Control |
| RAYMOND JAMES FINANCIAL, INC. | DE | PARENT | E | Control |
| RAYMOND JAMES FINANCIAL, INC. | DE | PARENT | E | Control |
| RAYMOND JAMES FINANCIAL, INC. | DE | PARENT | E | Control |
| RAYMOND JAMES FINANCIAL, INC. | DE | PARENT | E | Control |
| RAYMOND JAMES FINANCIAL, INC. | DE | PARENT | E | Control |
| RAYMOND JAMES FINANCIAL, INC. | DE | PARENT | E | Control |
| RAYMOND JAMES FINANCIAL, INC. | DE | PARENT | E | Control |
| RAYMOND JAMES FINANCIAL, INC. | DE | PARENT | E | Control |
| REGIONS FINANCIAL CORPORATION | DE | PARENT | E | Control |
| REGIONS FINANCIAL CORPORATION | DE | PARENT | E | Control |
| REGIONS FINANCIAL CORPORATION | DE | PARENT | E | Control |
| REGIONS FINANCIAL CORPORATION | DE | PARENT | E | Control |
| REGIONS FINANCIAL CORPORATION | DE | PARENT | E | Control |
| REGIONS FINANCIAL CORPORATION | DE | PARENT | E | Control |
| REGIONS FINANCIAL CORPORATION | DE | PARENT | E | Control |
| REGIONS FINANCIAL CORPORATION | DE | PARENT | E | Control |
| REGIONS FINANCIAL CORPORATION | DE | PARENT | E | Control |
| REGIONS FINANCIAL CORPORATION | DE | PARENT | E | Control |
| REGIONS FINANCIAL CORPORATION | DE | PARENT | E | Control |
| REGIONS FINANCIAL CORPORATION | DE | PARENT | E | Control |
| REGIONS FINANCIAL CORPORATION | DE | PARENT | E | Control |
| REGIONS FINANCIAL CORPORATION | DE | PARENT | E | Control |
| REGIONS FINANCIAL CORPORATION | DE | PARENT | E | Control |
| REGIONS FINANCIAL CORPORATION | DE | PARENT | E | Control |
| REGIONS FINANCIAL CORPORATION | DE | PARENT | E | Control |
| REGIONS FINANCIAL CORPORATION | DE | PARENT | E | Control |
| REGIONS FINANCIAL CORPORATION | DE | PARENT | E | Control |
| REGIONS FINANCIAL CORPORATION | DE | PARENT | E | Control |
| REGIONS FINANCIAL CORPORATION | DE | PARENT | E | Control |
| REGIONS FINANCIAL CORPORATION | DE | PARENT | E | Control |
| REGIONS FINANCIAL CORPORATION | DE | PARENT | E | Control |
| REGIONS FINANCIAL CORPORATION | DE | PARENT | E | Control |
| REGIONS FINANCIAL CORPORATION | DE | PARENT | E | Control |
| REGIONS FINANCIAL CORPORATION | DE | PARENT | E | Control |
| REGIONS FINANCIAL CORPORATION | DE | PARENT | E | Control |
| REGIONS FINANCIAL CORPORATION | DE | PARENT | E | Control |
| REGIONS FINANCIAL CORPORATION | DE | PARENT | E | Control |
| REGIONS FINANCIAL CORPORATION | DE | PARENT | E | Control |
| REGIONS FINANCIAL CORPORATION | DE | PARENT | E | Control |
| REGIONS FINANCIAL CORPORATION | DE | PARENT | E | Control |
| REGIONS FINANCIAL CORPORATION | DE | PARENT | E | Control |
| MORGAN, ALLEN BENNERS | I | CEO | B | Control |
| MORGAN, ALLEN BENNERS | I | CEO | B | Control |
| MORGAN, ALLEN BENNERS | I | CEO | B | Control |
| MORGAN, ALLEN BENNERS | I | CEO | B | Control |
| MORGAN, ALLEN BENNERS | I | CEO | B | Control |
| WELLER, JOSEPH CLEMENT | I | VICE CHAIRMAN | A | Control |
| WELLER, JOSEPH CLEMENT | I | CFO | A | Control |
| WELLER, JOSEPH CLEMENT | I | CFO | A | Control |
| WELLER, JOSEPH CLEMENT | I | CFO | A | Control |
| WELLER, JOSEPH CLEMENT | I | CFO | A | Control |
| WELLER, JOSEPH CLEMENT | I | CFO | A | Control |
| WELLER, JOSEPH CLEMENT | I | CFO | A | Control |
| WELLER, JOSEPH CLEMENT | I | VICE CHAIRMAN | A | Control |
| WELLER, JOSEPH CLEMENT | I | CFO | A | Control |
| WELLER, JOSEPH CLEMENT | I | CFO | A | Control |
| WELLER, JOSEPH CLEMENT | I | CFO | A | Control |
| WELLER, JOSEPH CLEMENT | I | CFO | A | Control |
| WELLER, JOSEPH CLEMENT | I | CFO | A | Control |
| WELLER, JOSEPH CLEMENT | I | CFO | A | Control |
| WELLER, JOSEPH CLEMENT | I | CFO | A | Control |
| WELLER, JOSEPH CLEMENT | I | VICE CHAIRMAN | A | Control |
| WELLER, JOSEPH CLEMENT | I | CFO | A | Control |
| WELLER, JOSEPH CLEMENT | I | CFO | A | Control |
| WELLER, JOSEPH CLEMENT | I | CFO | A | Control |
| WELLER, JOSEPH CLEMENT | I | CFO | A | Control |
| WELLER, JOSEPH CLEMENT | I | CFO | A | Control |
Registrations
Federal
IA
Oct 11, 2012 REGISTERED
Notice Filings (47)
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