E*TRADE CAPITAL MANAGEMENT, LLC
CRD #42159 SEC #801-58085 ARLINGTON, VA (703) 247-3700
SEC Registered
Total AUM
$7.4B
Discretionary
$7.4B
Employees
0
Clients
0
Accounts
90,806
Firm Details
- Organization Type
- Limited Liability Company
- State of Formation
- Delaware
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- May 19, 2023
- Branch Offices
- 33
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| AGARWAL, NAVEEN | I | PRESIDENT | NA | Control |
| AGARWAL, NAVEEN | I | PRESIDENT | NA | Control |
| AGARWAL, NAVEEN | I | PRESIDENT, MANAGER | NA | Control |
| AGARWAL, NAVEEN | I | PRESIDENT, MANAGER | NA | Control |
| ALPERSTEIN, JODI, LYN | I | VP | NA | Control |
| ASCHOFF, SCOTT HENRY | I | DIRECTOR/CFO/FIN OP | NA | Control |
| ASCHOFF, SCOTT HENRY | I | DIRECTOR/CFO/FIN OP | NA | Control |
| ASCHOFF, SCOTT HENRY | I | DIRECTOR OF OPERATIONS | NA | Control |
| AVELLA, TERENCE | I | VICE PRESIDENT | NA | |
| AVELLA, TERENCE | I | VICE PRESIDENT | NA | |
| AVELLA, TERENCE | I | VICE PRESIDENT | NA | |
| AVELLA, TERENCE | I | VICE PRESIDENT | NA | |
| AVELLA, TERENCE | I | VICE PRESIDENT | NA | |
| AVELLA, TERENCE | I | VICE PRESIDENT | NA | |
| AVELLA, TERENCE | I | VICE PRESIDENT | NA | |
| AVELLA, TERENCE | I | VICE PRESIDENT | NA | |
| AVELLA, TERENCE | I | VICE PRESIDENT | NA | |
| AVELLA, TERENCE | I | VICE PRESIDENT | NA | |
| BOCK, CYNTHIA CRAMER | I | CORPORATE SECRETARY | NA | |
| BOCK, CYNTHIA CRAMER | I | CORPORATE SECRETARY | NA | |
| BOCK, CYNTHIA CRAMER | I | CORPORATE SECRETARY | NA | |
| BOCK, CYNTHIA CRAMER | I | CORPORATE SECRETARY | NA | |
| BOCK, CYNTHIA CRAMER | I | CORPORATE SECRETARY | NA | |
| BRUECKNER, RICHARD FREDRICK | I | DIRECTOR | NA | Control |
| BRUECKNER, RICHARD FREDRICK | I | DIRECTOR | NA | Control |
| BRUECKNER, RICHARD FREDRICK | I | DIRECTOR | NA | Control |
| BRUECKNER, RICHARD FREDRICK | I | DIRECTOR | NA | Control |
| CABALLERO, DILIA, MARIA | I | SECRETARY | NA | |
| CABALLERO, DILIA, MARIA | I | SECRETARY | NA | |
| CABALLERO, DILIA, MARIA | I | SECRETARY | NA | |
| CABALLERO, DILIA, MARIA | I | SECRETARY | NA | |
| CABALLERO, DILIA, MARIA | I | SECRETARY | NA | |
| CABALLERO, DILIA, MARIA | I | SECRETARY | NA | |
| CABALLERO, DILIA, MARIA | I | SECRETARY | NA | |
| CABALLERO, DILIA, MARIA | I | SECRETARY | NA | |
| CABALLERO, DILIA, MARIA | I | SECRETARY | NA | |
| CABALLERO, DILIA, MARIA | I | SECRETARY | NA | |
| CABALLERO, DILIA, MARIA | I | SECRETARY | NA | |
| CABALLERO, DILIA, MARIA | I | SECRETARY | NA | |
| CABALLERO, DILIA, MARIA | I | SECRETARY | NA | |
| CABALLERO, DILIA, MARIA | I | SECRETARY | NA | |
| CABALLERO, DILIA, MARIA | I | SECRETARY | NA | |
| CABALLERO, DILIA, MARIA | I | SECRETARY | NA | |
| CABALLERO, DILIA, MARIA | I | SECRETARY | NA | |
| CABALLERO, DILIA, MARIA | I | SECRETARY | NA | |
| CABALLERO, DILIA, MARIA | I | SECRETARY | NA | |
| CABALLERO, DILIA, MARIA | I | SECRETARY | NA | |
| CABALLERO, DILIA, MARIA | I | SECRETARY | NA | |
| CABALLERO, DILIA, MARIA | I | SECRETARY | NA | |
| CABALLERO, DILIA, MARIA | I | SECRETARY | NA | |
| CABALLERO, DILIA, MARIA | I | SECRETARY | NA | |
| CABALLERO, DILIA, MARIA | I | SECRETARY | NA | |
| CABALLERO, DILIA, MARIA | I | SECRETARY | NA | |
| CABALLERO, DILIA, MARIA | I | SECRETARY | NA | |
| CABALLERO, DILIA, MARIA | I | SECRETARY | NA | |
| CABALLERO, DILIA, MARIA | I | SECRETARY | NA | |
| CABALLERO, DILIA, MARIA | I | SECRETARY | NA | |
| CABALLERO, DILIA, MARIA | I | SECRETARY | NA | |
| CABALLERO, DILIA, MARIA | I | SECRETARY | NA | |
| CABALLERO, DILIA, MARIA | I | SECRETARY | NA | |
| CABALLERO, DILIA, MARIA | I | SECRETARY | NA | |
| CABALLERO, DILIA, MARIA | I | SECRETARY | NA | |
| CABALLERO, DILIA, MARIA | I | SECRETARY | NA | |
| CABALLERO, DILIA, MARIA | I | SECRETARY | NA | |
| CABALLERO, DILIA, MARIA | I | SECRETARY | NA | |
| CHUNG, GILBERT, LEUNG | I | VP | NA | Control |
| CHUNG, GILBERT, LEUNG | I | VP | NA | Control |
| COOPER, BRENDON, PHELPS | I | PROGRAM SUPERVISOR | NA | Control |
| COOPER, BRENDON, PHELPS | I | PROGRAM SUPERVISOR | NA | Control |
| CURCIO, MICHAEL JOHN | I | MANAGER | NA | Control |
| CURCIO, MICHAEL JOHN | I | MANAGER | NA | Control |
| CURCIO, MICHAEL JOHN | I | MANAGER | NA | Control |
| CURCIO, MICHAEL JOHN | I | MANAGER | NA | Control |
| CURCIO, MICHAEL JOHN | I | MANAGER | NA | Control |
| CURCIO, MICHAEL JOHN | I | MANAGER | NA | Control |
| CURCIO, MICHAEL, JOHN | I | PRESIDENT / MANAGER / CEO | NA | Control |
| CURCIO, MICHAEL, JOHN | I | PRESIDENT / MANAGER / CEO | NA | Control |
| CURCIO, MICHAEL, JOHN | I | PRESIDENT / MANAGER / CEO | NA | Control |
| CURCIO, MICHAEL, JOHN | I | PRESIDENT / MANAGER / CEO | NA | Control |
| CURCIO, MICHAEL, JOHN | I | PRESIDENT / MANAGER / CEO | NA | Control |
| CURCIO, MICHAEL, JOHN | I | PRESIDENT / MANAGER / CEO | NA | Control |
| CURCIO, MICHAEL, JOHN | I | PRESIDENT / MANAGER / CEO | NA | Control |
| CURCIO, MICHAEL, JOHN | I | PRESIDENT / MANAGER / CEO | NA | Control |
| CURCIO, MICHAEL, JOHN | I | PRESIDENT / MANAGER / CEO | NA | Control |
| CURCIO, MICHAEL, JOHN | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| CURCIO, MICHAEL, JOHN | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| CURCIO, MICHAEL, JOHN | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| CURCIO, MICHAEL, JOHN | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| CURCIO, MICHAEL, JOHN | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| CURCIO, MICHAEL, JOHN | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| CURCIO, MICHAEL, JOHN | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| CURCIO, MICHAEL, JOHN | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| CURCIO, MICHAEL, JOHN | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| CURCIO, MICHAEL, JOHN | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| CURCIO, MICHAEL, JOHN | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| CURCIO, MICHAEL, JOHN | I | VICE PRESIDENT | NA | Control |
| CURCIO, MICHAEL, JOHN | I | VICE PRESIDENT | NA | Control |
| CURCIO, MICHAEL, JOHN | I | VICE PRESIDENT | NA | Control |
| CURCIO, MICHAEL, JOHN | I | VICE PRESIDENT | NA | Control |
| CURCIO, MICHAEL, JOHN | I | VICE PRESIDENT | NA | Control |
| CURCIO, MICHAEL, JOHN | I | VICE PRESIDENT | NA | Control |
| CURCIO, MICHAEL, JOHN | I | VICE PRESIDENT | NA | Control |
| CURCIO, MICHAEL, JOHN | I | VICE PRESIDENT | NA | Control |
| DARCY, KEVIN BLAKE | I | CEO/MANAGING DIRECTOR | NA | Control |
| DARCY, KEVIN BLAKE | I | CEO/MANAGING DIRECTOR | NA | Control |
| DARCY, KEVIN BLAKE | I | CEO/MANAGING DIRECTOR | NA | Control |
| DARCY, KEVIN BLAKE | I | CEO/MANAGING DIRECTOR | NA | Control |
| DOGGETT, WALTER, BUSH | I | VICE PRESIDENT | NA | |
| DOGGETT, WALTER, BUSH | I | VICE PRESIDENT | NA | |
| DOGGETT, WALTER, BUSH | I | VICE PRESIDENT | NA | |
| DOGGETT, WALTER, BUSH | I | VICE PRESIDENT | NA | |
| DOGGETT, WALTER, BUSH | I | VICE PRESIDENT | NA | |
| DOGGETT, WALTER, BUSH | I | VICE PRESIDENT | NA | |
| DOGGETT, WALTER, BUSH | I | VICE PRESIDENT | NA | |
| DOGGETT, WALTER, BUSH | I | VICE PRESIDENT | NA | |
| DOGGETT, WALTER, BUSH | I | VICE PRESIDENT | NA | |
| DOGGETT, WALTER, BUSH | I | VICE PRESIDENT | NA | |
| DOGGETT, WALTER, BUSH | I | VICE PRESIDENT | NA | |
| DOGGETT, WALTER, BUSH | I | VICE PRESIDENT | NA | |
| DOGGETT, WALTER, BUSH | I | VICE PRESIDENT | NA | |
| DOGGETT, WALTER, BUSH | I | VICE PRESIDENT | NA | |
| DOGGETT, WALTER, BUSH | I | VICE PRESIDENT | NA | |
| DOGGETT, WALTER, BUSH | I | VICE PRESIDENT | NA | |
| DOGGETT, WALTER, BUSH | I | VICE PRESIDENT | NA | |
| DOGGETT, WALTER, BUSH | I | VICE PRESIDENT | NA | |
| DOGGETT, WALTER, BUSH | I | VICE PRESIDENT | NA | |
| DOGGETT, WALTER, BUSH | I | VICE PRESIDENT | NA | |
| DOGGETT, WALTER, BUSH | I | VICE PRESIDENT | NA | |
| DOGGETT, WALTER, BUSH | I | VICE PRESIDENT | NA | |
| DOGGETT, WALTER, BUSH | I | VICE PRESIDENT | NA | |
| DOGGETT, WALTER, BUSH | I | VICE PRESIDENT | NA | |
| DOGGETT, WALTER, BUSH | I | VICE PRESIDENT | NA | |
| DOGGETT, WALTER, BUSH | I | VICE PRESIDENT | NA | |
| DOGGETT, WALTER, BUSH | I | VICE PRESIDENT | NA | |
| DOGGETT, WALTER, BUSH | I | VICE PRESIDENT | NA | |
| DOGGETT, WALTER, BUSH | I | VICE PRESIDENT | NA | |
| DOGGETT, WALTER, BUSH | I | VICE PRESIDENT | NA | |
| DOGGETT, WALTER, BUSH | I | VICE PRESIDENT | NA | |
| DOGGETT, WALTER, BUSH | I | VICE PRESIDENT | NA | |
| DOGGETT, WALTER, BUSH | I | VICE PRESIDENT | NA | |
| DOGGETT, WALTER, BUSH | I | VICE PRESIDENT | NA | |
| DOGGETT, WALTER, BUSH | I | VICE PRESIDENT | NA | |
| FESTA, ANTHONY PAUL | I | DIRECTOR/CCO/CROP/SROP | NA | Control |
| FESTA, ANTHONY PAUL | I | DIRECTOR/CCO/CROP/SROP | NA | Control |
| FESTA, ANTHONY PAUL | I | DIRECTOR/CCO/CROP/SROP | NA | Control |
| FESTA, ANTHONY PAUL | I | DIRECTOR OF COMPLIANCE/CCO/CROP/SROP | NA | Control |
| FESTA, ANTHONY PAUL | I | DIRECTOR OF COMPLIANCE/CCO/CROP/SROP | NA | Control |
| FESTA, ANTHONY PAUL | I | DIRECTOR/CCO/CROP/SROP | NA | Control |
| FESTA, ANTHONY PAUL | I | DIRECTOR OF COMPLIANCE/CCO/CROP/SROP | NA | Control |
| FESTA, ANTHONY PAUL | I | DIRECTOR OF COMPLIANCE/CCO/CROP/SROP | NA | Control |
| FINN, JED | I | CHIEF EXECUTIVE OFFICER / ELECTED MANAGER | NA | Control |
| FINN, JED | I | CHIEF EXECUTIVE OFFICER / ELECTED MANAGER | NA | Control |
| FINN, JED | I | ELECTED MANAGER | NA | Control |
| FINN, JED | I | CHIEF EXECUTIVE OFFICER / ELECTED MANAGER | NA | Control |
| FINN, JED | I | CHIEF EXECUTIVE OFFICER / ELECTED MANAGER | NA | Control |
| FINN, JED | I | CHIEF EXECUTIVE OFFICER / ELECTED MANAGER | NA | Control |
| FINN, JED | I | ELECTED MANAGER | NA | Control |
| FINN, JED | I | CHIEF EXECUTIVE OFFICER / ELECTED MANAGER | NA | Control |
| FINN, JED | I | ELECTED MANAGER | NA | Control |
| FINN, JED | I | ELECTED MANAGER | NA | Control |
| FINN, JED | I | ELECTED MANAGER | NA | Control |
| FINN, JED | I | ELECTED MANAGER | NA | Control |
| FINN, JED | I | ELECTED MANAGER | NA | Control |
| FINN, JED | I | ELECTED MANAGER | NA | Control |
| FINN, JED | I | ELECTED MANAGER | NA | Control |
| FINN, JED | I | ELECTED MANAGER | NA | Control |
| FINN, JED | I | ELECTED MANAGER | NA | Control |
| GODES, ERIC, JAMES | I | EVP | NA | Control |
| GODES, ERIC, JAMES | I | EVP | NA | Control |
| GODES, ERIC, JAMES | I | EVP | NA | Control |
| GODES, ERIC, JAMES | I | EVP | NA | Control |
| GODES, ERIC, JAMES | I | EVP | NA | Control |
| GOTTFRIED, ELIZABETH, ANN | I | MANAGER | NA | Control |
| GOTTFRIED, ELIZABETH, ANN | I | MANAGER | NA | Control |
| GOTTFRIED, ELIZABETH, ANN | I | MANAGER | NA | Control |
| GOTTFRIED, ELIZABETH, ANN | I | MANAGER | NA | Control |
| GOTTFRIED, ELIZABETH, ANN | I | MANAGER | NA | Control |
| HAAS, LENA | I | PRESIDENT/ MANAGER | NA | Control |
| HAAS, LENA | I | DIRECTOR/MANAGER | NA | Control |
| HAAS, LENA | I | PRESIDENT/ CEO / MANAGER | NA | Control |
| HAAS, LENA | I | DIRECTOR/MANAGER | NA | Control |
| HAAS, LENA | I | PRESIDENT/ CEO / MANAGER | NA | Control |
| HAAS, LENA | I | DIRECTOR/MANAGER | NA | Control |
| HAAS, LENA | I | PRESIDENT/ MANAGER | NA | Control |
| HAAS, LENA | I | PRESIDENT/ MANAGER | NA | Control |
| HAAS, LENA | I | DIRECTOR/MANAGER | NA | Control |
| HAAS, LENA | I | PRESIDENT/ MANAGER | NA | Control |
| HAAS, LENA | I | PRESIDENT/ MANAGER | NA | Control |
| HAAS, LENA | I | PRESIDENT/ MANAGER | NA | Control |
| HAAS, LENA | I | PRESIDENT/ MANAGER | NA | Control |
| HAAS, LENA | I | PRESIDENT/ MANAGER | NA | Control |
| HANSEN, TIMOTHY, GERARD | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| HANSEN, TIMOTHY, GERARD | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| HANSEN, TIMOTHY, GERARD | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| HANSEN, TIMOTHY, GERARD | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| HANSEN, TIMOTHY, GERARD | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| HANSEN, TIMOTHY, GERARD | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| HAWN, GATES HELMS | I | DIRECTOR | NA | Control |
| HAWN, GATES HELMS | I | DIRECTOR | NA | Control |
| HAWN, GATES HELMS | I | DIRECTOR | NA | Control |
| HAWN, GATES HELMS | I | DIRECTOR | NA | Control |
| HENNESSY, MICHAEL, S | I | ELECTED MANAGER | NA | Control |
| HENNESSY, MICHAEL, S | I | ELECTED MANAGER | NA | Control |
| HENNESSY, MICHAEL, S | I | ELECTED MANAGER / VICE PRESIDENT | NA | Control |
| HENNESSY, MICHAEL, S | I | ELECTED MANAGER | NA | Control |
| HENNESSY, MICHAEL, S | I | ELECTED MANAGER | NA | Control |
| HENNESSY, MICHAEL, S | I | ELECTED MANAGER / VICE PRESIDENT | NA | Control |
| HENNESSY, MICHAEL, S | I | ELECTED MANAGER / VICE PRESIDENT | NA | Control |
| HENNESSY, MICHAEL, S | I | ELECTED MANAGER | NA | Control |
| HENNESSY, MICHAEL, S | I | ELECTED MANAGER / VICE PRESIDENT | NA | Control |
| HENNESSY, MICHAEL, S | I | ELECTED MANAGER / VICE PRESIDENT | NA | Control |
| HENNESSY, MICHAEL, S | I | ELECTED MANAGER / VICE PRESIDENT | NA | Control |
| HENNESSY, MICHAEL, S | I | ELECTED MANAGER / VICE PRESIDENT | NA | Control |
| HENNESSY, MICHAEL, S | I | ELECTED MANAGER / VICE PRESIDENT | NA | Control |
| HENNESSY, MICHAEL, S | I | ELECTED MANAGER / VICE PRESIDENT | NA | Control |
| HENNESSY, MICHAEL, S | I | ELECTED MANAGER / VICE PRESIDENT | NA | Control |
| HENNESSY, MICHAEL, S | I | ELECTED MANAGER / VICE PRESIDENT | NA | Control |
| HENNESSY, MICHAEL, S | I | ELECTED MANAGER / VICE PRESIDENT | NA | Control |
| HERBERT, DAVID, SPEED | I | VICE PRESIDENT / MANAGER | NA | Control |
| HERBERT, DAVID, SPEED | I | MANAGER | NA | Control |
| HERBERT, DAVID, SPEED | I | VICE PRESIDENT / MANAGER | NA | Control |
| HERBERT, DAVID, SPEED | I | VICE PRESIDENT / MANAGER | NA | Control |
| HERBERT, DAVID, SPEED | I | CHIEF EXECUTIVE OFFICER / MANAGER | NA | Control |
| HERBERT, DAVID, SPEED | I | CHIEF EXECUTIVE OFFICER / MANAGER | NA | Control |
| HERBERT, DAVID, SPEED | I | CHIEF EXECUTIVE OFFICER / MANAGER | NA | Control |
| HOGAN, MICHAEL JAMES | I | MANAGING DIRECTOR/CLO | NA | Control |
| HOGAN, MICHAEL JAMES | I | MANAGING DIRECTOR/CLO | NA | Control |
| HOGAN, MICHAEL JAMES | I | MANAGING DIRECTOR/CLO | NA | Control |
| HOGAN, MICHAEL JAMES | I | EXECUTIVE MANAGING DIRECTOR/CLO/COO | NA | Control |
| HOGAN, MICHAEL JAMES | I | EXECUTIVE MANAGING DIRECTOR/CLO/COO | NA | Control |
| HOGAN, MICHAEL JAMES | I | MANAGING DIRECTOR/CLO | NA | Control |
| HOGAN, MICHAEL JAMES | I | EXECUTIVE MANAGING DIRECTOR/CLO/COO | NA | Control |
| HOGAN, MICHAEL JAMES | I | EXECUTIVE MANAGING DIRECTOR/CLO | NA | Control |
| HUNEKE, BENJAMIN, CORDT | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| HUNEKE, BENJAMIN, CORDT | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| HUNEKE, BENJAMIN, CORDT | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| HUNEKE, BENJAMIN, CORDT | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| HUNEKE, BENJAMIN, CORDT | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| HUNEKE, BENJAMIN, CORDT | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| HUNEKE, BENJAMIN, CORDT | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| HUNEKE, BENJAMIN, CORDT | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| HUNEKE, BENJAMIN, CORDT | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| HUNEKE, BENJAMIN, CORDT | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| HUNEKE, BENJAMIN, CORDT | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| JANOVER, JAMES, T | I | ELECTED MANAGER | NA | Control |
| JANOVER, JAMES, T | I | ELECTED MANAGER | NA | Control |
| JANOVER, JAMES, T | I | ELECTED MANAGER | NA | Control |
| JANOVER, JAMES, T | I | ELECTED MANAGER | NA | Control |
| JANOVER, JAMES, T | I | ELECTED MANAGER | NA | Control |
| JANOVER, JAMES, T | I | ELECTED MANAGER | NA | Control |
| JANOVER, JAMES, T | I | ELECTED MANAGER | NA | Control |
| JANOVER, JAMES, T | I | ELECTED MANAGER | NA | Control |
| JANOVER, JAMES, T | I | ELECTED MANAGER | NA | Control |
| JANOVER, JAMES, T | I | ELECTED MANAGER | NA | Control |
| JANOVER, JAMES, T | I | ELECTED MANAGER | NA | Control |
| JANOVER, JAMES, T | I | ELECTED MANAGER | NA | Control |
| JANOVER, JAMES, T | I | ELECTED MANAGER | NA | Control |
| JANOVER, JAMES, T | I | ELECTED MANAGER | NA | Control |
| JANOVER, JAMES, T | I | ELECTED MANAGER | NA | Control |
| JANOVER, JAMES, T | I | ELECTED MANAGER | NA | Control |
| JANOVER, JAMES, T | I | ELECTED MANAGER | NA | Control |
| KAMEDA, ROBIN GEN WAI KIRN | I | CHIEF COMPLIANCE OFFICER - IA | NA | |
| KAMEDA, ROBIN GEN WAI KIRN | I | CHIEF COMPLIANCE OFFICER - IA | NA | |
| KAMEDA, ROBIN GEN WAI KIRN | I | CHIEF COMPLIANCE OFFICER - IA | NA | |
| KAMEDA, ROBIN GEN WAI KIRN | I | CHIEF COMPLIANCE OFFICER - IA | NA | |
| KAMEDA, ROBIN, GEN WAI KIRN | I | CHIEF COMPLIANCE OFFICER | NA | |
| KAMEDA, ROBIN, GEN WAI KIRN | I | CHIEF COMPLIANCE OFFICER | NA | |
| KAMEDA, ROBIN, GEN WAI KIRN | I | CHIEF COMPLIANCE OFFICER | NA | |
| KAMEDA, ROBIN, GEN WAI KIRN | I | CHIEF COMPLIANCE OFFICER | NA | |
| KEANE, ROBERT, JOHN | I | CHIEF OPERATIONS OFFICER | NA | |
| KEANE, ROBERT, JOHN | I | CHIEF OPERATIONS OFFICER | NA | |
| KEANE, ROBERT, JOHN | I | CHIEF OPERATIONS OFFICER | NA | |
| KEANE, ROBERT, JOHN | I | CHIEF OPERATIONS OFFICER | NA | |
| KEANE, ROBERT, JOHN | I | CHIEF OPERATIONS OFFICER | NA | |
| KEANE, ROBERT, JOHN | I | CHIEF OPERATIONS OFFICER | NA | |
| LARKIN, CHRISTOPHER, GRAHAM | I | ELECTED MANAGER | NA | Control |
| LARKIN, CHRISTOPHER, GRAHAM | I | ELECTED MANAGER | NA | Control |
| LILIEN, ROBERT JARRETT | I | CEO, MANAGER | NA | Control |
| LILIEN, ROBERT JARRETT | I | CEO, MANAGER | NA | Control |
| LILIEN, ROBERT JARRETT | I | CEO, MANAGER | NA | Control |
| LILIEN, ROBERT JARRETT | I | CHIEF EXECUTIVE OFFICER/PRESIDENT | NA | Control |
| LILIEN, ROBERT JARRETT | I | CEO, MANAGER | NA | Control |
| LILIEN, ROBERT, JARRETT | I | MANAGER | NA | Control |
| LILIEN, ROBERT, JARRETT | I | MANAGER | NA | Control |
| LOEWENGART, MICHAEL, SETH | I | CHIEF INVESTMENT OFFICER / MANAGER | NA | Control |
| LOEWENGART, MICHAEL, SETH | I | CHIEF INVESTMENT OFFICER / ELECTED MANAGER | NA | Control |
| LOEWENGART, MICHAEL, SETH | I | CHIEF INVESTMENT OFFICER / MANAGER | NA | Control |
| LOEWENGART, MICHAEL, SETH | I | CHIEF INVESTMENT OFFICER / ELECTED MANAGER | NA | Control |
| LOEWENGART, MICHAEL, SETH | I | CHIEF INVESTMENT OFFICER / MANAGER | NA | Control |
| LOEWENGART, MICHAEL, SETH | I | CHIEF INVESTMENT OFFICER / ELECTED MANAGER | NA | Control |
| LOEWENGART, MICHAEL, SETH | I | CHIEF INVESTMENT OFFICER / MANAGER | NA | Control |
| LOEWENGART, MICHAEL, SETH | I | CHIEF INVESTMENT OFFICER / ELECTED MANAGER | NA | Control |
| LOEWENGART, MICHAEL, SETH | I | CHIEF INVESTMENT OFFICER / ELECTED MANAGER | NA | Control |
| LOEWENGART, MICHAEL, SETH | I | CHIEF INVESTMENT OFFICER / ELECTED MANAGER | NA | Control |
| LOEWENGART, MICHAEL, SETH | I | CHIEF INVESTMENT OFFICER / ELECTED MANAGER | NA | Control |
| LOEWENGART, MICHAEL, SETH | I | CHIEF INVESTMENT OFFICER / ELECTED MANAGER | NA | Control |
| LOEWENGART, MICHAEL, SETH | I | CHIEF INVESTMENT OFFICER / ELECTED MANAGER | NA | Control |
| LOEWENGART, MICHAEL, SETH | I | CHIEF INVESTMENT OFFICER / ELECTED MANAGER | NA | Control |
| LOEWENGART, MICHAEL, SETH | I | CHIEF INVESTMENT OFFICER / ELECTED MANAGER | NA | Control |
| LOEWENGART, MICHAEL, SETH | I | CHIEF INVESTMENT OFFICER / ELECTED MANAGER | NA | Control |
| LOEWENGART, MICHAEL, SETH | I | CHIEF INVESTMENT OFFICER / ELECTED MANAGER | NA | Control |
| LOEWENGART, MICHAEL, SETH | I | CHIEF INVESTMENT OFFICER / ELECTED MANAGER | NA | Control |
| LOEWENGART, MICHAEL, SETH | I | CHIEF INVESTMENT OFFICER / ELECTED MANAGER | NA | Control |
| Lall, Indira | I | ASSISTANT SECRETARY | NA | |
| Lall, Indira | I | ASSISTANT SECRETARY | NA | |
| MCELYNN, ANTHONY, LAWRENCE | I | CHIEF COMPLIANCE OFFICER | NA | |
| MCELYNN, ANTHONY, LAWRENCE | I | CHIEF COMPLIANCE OFFICER | NA | |
| MCELYNN, ANTHONY, LAWRENCE | I | CHIEF COMPLIANCE OFFICER | NA | |
| MCELYNN, ANTHONY, LAWRENCE | I | CHIEF COMPLIANCE OFFICER | NA | |
| MCELYNN, ANTHONY, LAWRENCE | I | CHIEF COMPLIANCE OFFICER | NA | |
| MCELYNN, ANTHONY, LAWRENCE | I | CHIEF COMPLIANCE OFFICER | NA | |
| MCELYNN, ANTHONY, LAWRENCE | I | CHIEF COMPLIANCE OFFICER | NA | |
| MCELYNN, ANTHONY, LAWRENCE | I | CHIEF COMPLIANCE OFFICER | NA | |
| MCELYNN, ANTHONY, LAWRENCE | I | CHIEF COMPLIANCE OFFICER | NA | |
| MCELYNN, ANTHONY, LAWRENCE | I | CHIEF COMPLIANCE OFFICER | NA | |
| MCELYNN, ANTHONY, LAWRENCE | I | CHIEF COMPLIANCE OFFICER | NA | |
| MCELYNN, ANTHONY, LAWRENCE | I | CHIEF COMPLIANCE OFFICER | NA | |
| MCELYNN, ANTHONY, LAWRENCE | I | CHIEF COMPLIANCE OFFICER | NA | |
| MCELYNN, ANTHONY, LAWRENCE | I | CHIEF COMPLIANCE OFFICER | NA | |
| MCELYNN, ANTHONY, LAWRENCE | I | CHIEF COMPLIANCE OFFICER | NA | |
| MESSINA, RICHARD, MATTHEW | I | VICE PRESIDENT / CHIEF OPERATIONS OFFICER / MANAGER | NA | Control |
| MESSINA, RICHARD, MATTHEW | I | VP/ CHIEF OPERATIONS OFFICER / MANAGER | NA | Control |
| MESSINA, RICHARD, MATTHEW | I | VP/CHIEF OPERATIONS OFFICER | NA | Control |
| MESSINA, RICHARD, MATTHEW | I | VP/ CHIEF OPERATIONS OFFICER / MANAGER | NA | Control |
| MESSINA, RICHARD, MATTHEW | I | VP/CHIEF OPERATIONS OFFICER | NA | Control |
| MESSINA, RICHARD, MATTHEW | I | VICE PRESIDENT / CHIEF OPERATIONS OFFICER / MANAGER | NA | Control |
| MESSINA, RICHARD, MATTHEW | I | VICE PRESIDENT / CHIEF OPERATIONS OFFICER / MANAGER | NA | Control |
| MESSINA, RICHARD, MATTHEW | I | VICE PRESIDENT / CHIEF OPERATIONS OFFICER / MANAGER | NA | Control |
| MESSINA, RICHARD, MATTHEW | I | VICE PRESIDENT / CHIEF OPERATIONS OFFICER / MANAGER | NA | Control |
| MESSINA, RICHARD, MATTHEW | I | VICE PRESIDENT / CHIEF OPERATIONS OFFICER / MANAGER | NA | Control |
| MESSINA, RICHARD, MATTHEW | I | VICE PRESIDENT / CHIEF OPERATIONS OFFICER / MANAGER | NA | Control |
| MESSINA, RICHARD, MATTHEW | I | VICE PRESIDENT / CHIEF OPERATIONS OFFICER / ELECTED MANAGER | NA | Control |
| MESSINA, RICHARD, MATTHEW | I | VICE PRESIDENT / CHIEF OPERATIONS OFFICER / MANAGER | NA | Control |
| MESSINA, RICHARD, MATTHEW | I | VICE PRESIDENT / CHIEF OPERATIONS OFFICER / ELECTED MANAGER | NA | Control |
| MESSINA, RICHARD, MATTHEW | I | VICE PRESIDENT / CHIEF OPERATIONS OFFICER / MANAGER | NA | Control |
| MESSINA, RICHARD, MATTHEW | I | VICE PRESIDENT / CHIEF OPERATIONS OFFICER / ELECTED MANAGER | NA | Control |
| MESSINA, RICHARD, MATTHEW | I | VICE PRESIDENT / CHIEF OPERATIONS OFFICER / MANAGER | NA | Control |
| MESSINA, RICHARD, MATTHEW | I | VICE PRESIDENT / CHIEF OPERATIONS OFFICER / ELECTED MANAGER | NA | Control |
| MESSINA, RICHARD, MATTHEW | I | VICE PRESIDENT / CHIEF OPERATIONS OFFICER / ELECTED MANAGER | NA | Control |
| MESSINA, RICHARD, MATTHEW | I | VICE PRESIDENT / CHIEF OPERATIONS OFFICER / ELECTED MANAGER | NA | Control |
| MESSINA, RICHARD, MATTHEW | I | VICE PRESIDENT / CHIEF OPERATIONS OFFICER / ELECTED MANAGER | NA | Control |
| MESSINA, RICHARD, MATTHEW | I | VICE PRESIDENT / CHIEF OPERATIONS OFFICER / ELECTED MANAGER | NA | Control |
| MESSINA, RICHARD, MATTHEW | I | VICE PRESIDENT / CHIEF OPERATIONS OFFICER / ELECTED MANAGER | NA | Control |
| MESSINA, RICHARD, MATTHEW | I | VICE PRESIDENT / CHIEF OPERATIONS OFFICER / ELECTED MANAGER | NA | Control |
| MESSINA, RICHARD, MATTHEW | I | VICE PRESIDENT / CHIEF OPERATIONS OFFICER / ELECTED MANAGER | NA | Control |
| MESSINA, RICHARD, MATTHEW | I | VICE PRESIDENT / CHIEF OPERATIONS OFFICER / ELECTED MANAGER | NA | Control |
| MESSINA, RICHARD, MATTHEW | I | VICE PRESIDENT / CHIEF OPERATIONS OFFICER / ELECTED MANAGER | NA | Control |
| MIONE, BARRY BENNETT | I | MANAGING DIRECTOR/DIRECTOR OF INVESTOR SERVICES | NA | Control |
| MIONE, BARRY BENNETT | I | MANAGING DIRECTOR/DIRECTOR OF INVESTOR SERVICES | NA | Control |
| MIONE, BARRY BENNETT | I | MANAGING DIRECTOR/DIRECTOR OF INVESTOR SERVICES | NA | Control |
| MIONE, BARRY BENNETT | I | MANAGING DIRECTOR/DIRECTOR OF INVESTOR SERVICES | NA | Control |
| MIONE, BARRY BENNETT | I | MANAGING DIRECTOR/DIRECTOR OF INVESTOR SERVICES | NA | Control |
| MULRON, SHANE OSHEA SCOTTY | I | CHIEF FINANCIAL OFFICER/FINOP | NA | Control |
| MULRON, SHANE, OSHEA SCOTTY | I | CFO | NA | Control |
| MULRON, SHANE, OSHEA SCOTTY | I | CFO | NA | Control |
| MULRON, SHANE, OSHEA SCOTTY | I | CFO | NA | Control |
| MULRON, SHANE, OSHEA SCOTTY | I | CFO | NA | Control |
| MULRON, SHANE, OSHEA SCOTTY | I | CFO, MANAGER | NA | Control |
| MULRON, SHANE, OSHEA SCOTTY | I | CFO, MANAGER | NA | Control |
| MULRON, SHANE, OSHEA SCOTTY | I | CFO | NA | Control |
| MULRON, SHANE, OSHEA SCOTTY | I | CFO | NA | Control |
| MULRON, SHANE, OSHEA SCOTTY | I | CFO | NA | Control |
| MULRON, SHANE, OSHEA SCOTTY | I | CFO | NA | Control |
| MULRON, SHANE, OSHEA SCOTTY | I | CFO | NA | Control |
| MULRON, SHANE, OSHEA SCOTTY | I | CFO | NA | Control |
| MURPHY, MICHAEL, JOSEPH | I | EVP& MANAGER | NA | Control |
| MURPHY, MICHAEL, JOSEPH | I | EVP& MANAGER | NA | Control |
| MURPHY, MICHAEL, JOSEPH | I | EVP& MANAGER | NA | Control |
| MURPHY, MICHAEL, JOSEPH | I | EVP& MANAGER | NA | Control |
| MURPHY, MICHAEL, JOSEPH | I | EVP& MANAGER | NA | Control |
| MURPHY, MICHAEL, JOSEPH | I | EVP & MANAGER | NA | Control |
| MURPHY, MICHAEL, JOSEPH | I | EVP& MANAGER | NA | Control |
| MURPHY, MICHAEL, JOSEPH | I | CHIEF EXECUTIVE OFFICER / ELECTED MANAGER | NA | Control |
| MURPHY, MICHAEL, JOSEPH | I | CHIEF EXECUTIVE OFFICER / ELECTED MANAGER | NA | Control |
| MURPHY, MICHAEL, JOSEPH | I | CHIEF EXECUTIVE OFFICER / ELECTED MANAGER | NA | Control |
| MURPHY, MICHAEL, JOSEPH | I | CHIEF EXECUTIVE OFFICER / ELECTED MANAGER | NA | Control |
| MURPHY, MICHAEL, JOSEPH | I | CHIEF EXECUTIVE OFFICER / ELECTED MANAGER | NA | Control |
| MURPHY, MICHAEL, JOSEPH | I | CHIEF EXECUTIVE OFFICER / ELECTED MANAGER | NA | Control |
| MURPHY, MICHAEL, JOSEPH | I | CHIEF EXECUTIVE OFFICER / ELECTED MANAGER | NA | Control |
| MURPHY, MICHAEL, JOSEPH | I | CHIEF EXECUTIVE OFFICER / ELECTED MANAGER | NA | Control |
| MURPHY, MICHAEL, JOSPEH | I | EVP | NA | Control |
| MURPHY, MICHAEL, JOSPEH | I | EVP | NA | Control |
| MURPHY, MICHAEL, JOSPEH | I | SVP | NA | Control |
| MURPHY, MICHAEL, JOSPEH | I | SVP | NA | Control |
| NALBONE, CHARLES ANTHONY | I | VICE PRESIDENT - COMPLIANCE | NA | |
| NANDRA, NAVTEJ, SINGH | I | CHIEF EXECUTIVE OFFICER / MANAGER | NA | Control |
| NANDRA, NAVTEJ, SINGH | I | CHIEF EXECUTIVE OFFICER / MANAGER | NA | Control |
| NANDRA, NAVTEJ, SINGH | I | CHIEF EXECUTIVE OFFICER / MANAGER | NA | Control |
| OUELLETTE, GILLES G | I | CHAIRMAN | NA | Control |
| OUELLETTE, GILLES G | I | CHAIRMAN | NA | Control |
| OUELLETTE, GILLES G | I | CHAIRMAN | NA | Control |
| PECHTER, RICHARD SCOTT | I | CHAIRMAN/DIRECTOR | NA | Control |
| PECHTER, RICHARD SCOTT | I | CHAIRMAN/DIRECTOR | NA | Control |
| PECHTER, RICHARD SCOTT | I | CHAIRMAN/DIRECTOR | NA | Control |
| PECHTER, RICHARD SCOTT | I | CHAIRMAN/DIRECTOR | NA | Control |
| PIERMARINI, CHARLES N. | I | PRESIDENT/CEO | NA | Control |
| REBOREDO, HUMBERTO, MIGUEL | I | VICE PRESIDENT | NA | |
| REBOREDO, HUMBERTO, MIGUEL | I | VICE PRESIDENT | NA | |
| REBOREDO, HUMBERTO, MIGUEL | I | VICE PRESIDENT | NA | |
| REBOREDO, HUMBERTO, MIGUEL | I | VICE PRESIDENT | NA | |
| REBOREDO, HUMBERTO, MIGUEL | I | VICE PRESIDENT | NA | |
| REBOREDO, HUMBERTO, MIGUEL | I | VICE PRESIDENT | NA | |
| REBOREDO, HUMBERTO, MIGUEL | I | VICE PRESIDENT | NA | |
| REBOREDO, HUMBERTO, MIGUEL | I | VICE PRESIDENT | NA | |
| REBOREDO, HUMBERTO, MIGUEL | I | VICE PRESIDENT | NA | |
| REBOREDO, HUMBERTO, MIGUEL | I | VICE PRESIDENT | NA | |
| RENKEN, PAUL, RANDALL | I | EVP | NA | Control |
| RENKEN, PAUL, RANDALL | I | EVP | NA | Control |
| RENKEN, PAUL, RANDALL | I | EVP | NA | Control |
| RENKEN, PAUL, RANDALL | I | EVP | NA | Control |
| RENKEN, PAUL, RANDALL | I | EVP | NA | Control |
| RENKEN, PAUL, RANDALL | I | EVP | NA | Control |
| RENKEN, PAUL, RANDALL | I | EVP | NA | Control |
| RENKEN, PAUL, RANDALL | I | EVP | NA | Control |
| RENKEN, PAUL, RANDALL | I | EVP | NA | Control |
| REYES, CHRISTOPHER VALENTIN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| REYES, CHRISTOPHER VALENTIN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| REYES, CHRISTOPHER VALENTIN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| REYES, CHRISTOPHER VALENTIN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| RORER, LIAT | I | EVP | NA | Control |
| RORER, LIAT | I | VP | NA | Control |
| RORER, LIAT | I | VP | NA | Control |
| RORER, LIAT | I | SVP | NA | Control |
| RORER, LIAT | I | SVP | NA | Control |
| SCHWENGER, BRUCE STEPHEN | I | PRESIDENT/CEO | NA | Control |
| SCHWENGER, BRUCE STEPHEN | I | PRESIDENT/CEO | NA | Control |
| SHER, LORI, SUE | I | ASSISTANT SECRETARY | NA | |
| SHER, LORI, SUE | I | ASSISTANT SECRETARY | NA | |
| SHER, LORI, SUE | I | ASSISTANT SECRETARY | NA | |
| SHER, LORI, SUE | I | ASSISTANT SECRETARY | NA | |
| SHER, LORI, SUE | I | ASSISTANT SECRETARY | NA | |
| SHER, LORI, SUE | I | ASSISTANT SECRETARY | NA | |
| SHER, LORI, SUE | I | ASSISTANT SECRETARY | NA | |
| SHER, LORI, SUE | I | ASSISTANT SECRETARY | NA | |
| SHER, LORI, SUE | I | ASSISTANT SECRETARY | NA | |
| SHER, LORI, SUE | I | ASSISTANT SECRETARY | NA | |
| SHER, LORI, SUE | I | ASSISTANT SECRETARY | NA | |
| SHER, LORI, SUE | I | ASSISTANT SECRETARY | NA | |
| SHER, LORI, SUE | I | ASSISTANT SECRETARY | NA | |
| SHER, LORI, SUE | I | ASSISTANT SECRETARY | NA | |
| SHER, LORI, SUE | I | ASSISTANT SECRETARY | NA | |
| SHER, LORI, SUE | I | ASSISTANT SECRETARY | NA | |
| SHER, LORI, SUE | I | ASSISTANT SECRETARY | NA | |
| SHER, LORI, SUE | I | ASSISTANT SECRETARY | NA | |
| SHER, LORI, SUE | I | ASSISTANT SECRETARY | NA | |
| SHER, LORI, SUE | I | ASSISTANT SECRETARY | NA | |
| SHER, LORI, SUE | I | ASSISTANT SECRETARY | NA | |
| SHER, LORI, SUE | I | ASSISTANT SECRETARY | NA | |
| SHER, LORI, SUE | I | ASSISTANT SECRETARY | NA | |
| SHER, LORI, SUE | I | ASSISTANT SECRETARY | NA | |
| SHER, LORI, SUE | I | ASSISTANT SECRETARY | NA | |
| SHER, LORI, SUE | I | ASSISTANT SECRETARY | NA | |
| SHER, LORI, SUE | I | ASSISTANT SECRETARY | NA | |
| SIMONICH, BRENT, BLAIN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| SIMONICH, BRENT, BLAIN | I | CFO | NA | Control |
| SIMONICH, BRENT, BLAIN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| SIMONICH, BRENT, BLAIN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| SIMONICH, BRENT, BLAIN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| SIMONICH, BRENT, BLAIN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| SIMONICH, BRENT, BLAIN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| SIMONICH, BRENT, BLAIN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| SIMONICH, BRENT, BLAIN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| SIMONICH, BRENT, BLAIN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| SIMONICH, BRENT, BLAIN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| SIMONICH, BRENT, BLAIN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| SIMONICH, BRENT, BLAIN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| SIMONICH, BRENT, BLAIN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| SIMONICH, BRENT, BLAIN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| SIMONICH, BRENT, BLAIN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| SIMONICH, BRENT, BLAIN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| SIMONICH, BRENT, BLAIN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| SIMONICH, BRENT, BLAIN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| SIMONICH, BRENT, BLAIN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| SIMONICH, BRENT, BLAIN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| SIMONICH, BRENT, BLAIN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| SIMONICH, BRENT, BLAIN | I | CHIEF FINANCIAL OFFICER | NA | Control |
| SMITH, DAVID, EDWARD | I | VICE PRESIDENT / CHIEF OPERATIONS OFFICER | NA | Control |
| SMITH, DAVID, EDWARD | I | VICE PRESIDENT / CHIEF OPERATIONS OFFICER | NA | Control |
| SMYTH, MICHAEL J | I | CFO/FIN OP | NA | Control |
| SMYTH, MICHAEL J | I | CFO/FIN OP | NA | Control |
| SMYTH, MICHAEL J | I | CFO/FIN OP | NA | Control |
| SUMNER, KRISTAN, LEE | I | CHIEF COMPLIANCE OFFICER | NA | |
| SUMNER, KRISTAN, LEE | I | CHIEF COMPLIANCE OFFICER | NA | |
| SUMNER, KRISTAN, LEE | I | CHIEF COMPLIANCE OFFICER | NA | |
| SUMNER, KRISTAN, LEE | I | CHIEF COMPLIANCE OFFICER | NA | |
| SUMNER, KRISTAN, LEE | I | CHIEF COMPLIANCE OFFICER | NA | |
| SUMNER, KRISTAN, LEE | I | CHIEF COMPLIANCE OFFICER | NA | |
| SUMNER, KRISTAN, LEE | I | CHIEF COMPLIANCE OFFICER | NA | |
| SUMNER, KRISTAN, LEE | I | CHIEF COMPLIANCE OFFICER | NA | |
| SUMNER, KRISTAN, LEE | I | CHIEF COMPLIANCE OFFICER | NA | |
| SUMNER, KRISTAN, LEE | I | CHIEF COMPLIANCE OFFICER | NA | |
| SUMNER, KRISTAN, LEE | I | CHIEF COMPLIANCE OFFICER | NA | |
| SUMNER, KRISTAN, LEE | I | CHIEF COMPLIANCE OFFICER | NA | |
| SUMNER, KRISTAN, LEE | I | CHIEF COMPLIANCE OFFICER | NA | |
| SUMNER, KRISTAN, LEE | I | CHIEF COMPLIANCE OFFICER | NA | |
| SUMNER, KRISTAN, LEE | I | CHIEF COMPLIANCE OFFICER | NA | |
| SUMNER, KRISTAN, LEE | I | CHIEF COMPLIANCE OFFICER | NA | |
| SUMNER, KRISTAN, LEE | I | CHIEF COMPLIANCE OFFICER | NA | |
| SUMNER, KRISTAN, LEE | I | CHIEF COMPLIANCE OFFICER | NA | |
| SUMNER, KRISTAN, LEE | I | CHIEF COMPLIANCE OFFICER | NA | |
| SUMNER, KRISTAN, LEE | I | CHIEF COMPLIANCE OFFICER | NA | |
| SUMNER, KRISTAN, LEE | I | CHIEF COMPLIANCE OFFICER | NA | |
| SUMNER, KRISTAN, LEE | I | CHIEF COMPLIANCE OFFICER | NA | |
| SUMNER, KRISTAN, LEE | I | CHIEF COMPLIANCE OFFICER | NA | |
| SUMNER, KRISTAN, LEE | I | CHIEF COMPLIANCE OFFICER | NA | |
| SUMNER, KRISTAN, LEE | I | CHIEF COMPLIANCE OFFICER | NA | |
| SUMNER, KRISTAN, LEE | I | CHIEF COMPLIANCE OFFICER | NA | |
| SUMNER, KRISTAN, LEE | I | CHIEF COMPLIANCE OFFICER | NA | |
| TONGUE, GLENN HAPGOOD | I | MANAGING DIRECTOR/PRESIDENT | NA | Control |
| TONGUE, GLENN HAPGOOD | I | MANAGING DIRECTOR/PRESIDENT | NA | Control |
| TONGUE, GLENN HAPGOOD | I | MANAGING DIRECTOR/PRESIDENT | NA | Control |
| TONGUE, GLENN HAPGOOD | I | MANAGING DIRECTOR/PRESIDENT | NA | Control |
| TRAUTVETTER, RODNEY EUGENE | I | EXECUTIVE MANAGING DIRECTOR OF SALES AND SERVICE | NA | Control |
| TRAUTVETTER, RODNEY EUGENE | I | EXECUTIVE MANAGING DIRECTOR OF SALES AND SERVICE | NA | Control |
| TRAUTVETTER, RODNEY EUGENE | I | EXECUTIVE MANAGING DIRECTOR/COO | NA | Control |
| TRIOLO, JOHN, GERARD | I | VICE PRESIDENT | NA | |
| TRIOLO, JOHN, GERARD | I | VICE PRESIDENT | NA | |
| TRIOLO, JOHN, GERARD | I | VICE PRESIDENT | NA | |
| TRIOLO, JOHN, GERARD | I | VICE PRESIDENT | NA | |
| TRIOLO, JOHN, GERARD | I | VICE PRESIDENT | NA | |
| TRIOLO, JOHN, GERARD | I | VICE PRESIDENT | NA | |
| TRIOLO, JOHN, GERARD | I | VICE PRESIDENT | NA | |
| TRIOLO, JOHN, GERARD | I | VICE PRESIDENT | NA | |
| TRIOLO, JOHN, GERARD | I | VICE PRESIDENT | NA | |
| TRIOLO, JOHN, GERARD | I | VICE PRESIDENT | NA | |
| TRUANT, BRENDA | I | EXECUTIVE OFFICER | NA | Control |
| TURNER, CHAD, EDWARD | I | ELECTED MANAGER / VICE PRESIDENT | NA | Control |
| TURNER, CHAD, EDWARD | I | ELECTED MANAGER / VICE PRESIDENT | NA | Control |
| TURNER, CHAD, EDWARD | I | ELECTED MANAGER / VICE PRESIDENT | NA | Control |
| TURNER, CHAD, EDWARD | I | ELECTED MANAGER / VICE PRESIDENT | NA | Control |
| TURNER, CHAD, EDWARD | I | ELECTED MANAGER / VICE PRESIDENT | NA | Control |
| TURNER, CHAD, EDWARD | I | ELECTED MANAGER / VICE PRESIDENT | NA | Control |
| TURNER, CHAD, EDWARD | I | ELECTED MANAGER / VICE PRESIDENT | NA | Control |
| TURNER, CHAD, EDWARD | I | ELECTED MANAGER / VICE PRESIDENT | NA | Control |
| TURNER, CHAD, EDWARD | I | ELECTED MANAGER / VICE PRESIDENT | NA | Control |
| TURNER, CHAD, EDWARD | I | ELECTED MANAGER / VICE PRESIDENT | NA | Control |
| TURNER, CHAD, EDWARD | I | ELECTED MANAGER / VICE PRESIDENT | NA | Control |
| TURNER, CHAD, EDWARD | I | ELECTED MANAGER / VICE PRESIDENT | NA | Control |
| VERNAMONTI, KAREN L | I | MANAGING DIRECTOR/CFO/FINOP | NA | Control |
| VERNAMONTI, KAREN L | I | MANAGING DIRECTOR/CFO/FINOP | NA | Control |
| VIENICK, PAUL, ANDREW | I | MANAGER | NA | Control |
| VIENICK, PAUL, ANDREW | I | MANAGER | NA | Control |
| VISENTINI, SEBASTIANO | I | VICE PRESIDENT | NA | |
| VISENTINI, SEBASTIANO | I | VICE PRESIDENT | NA | |
| VISENTINI, SEBASTIANO | I | VICE PRESIDENT | NA | |
| VISENTINI, SEBASTIANO | I | VICE PRESIDENT | NA | |
| VISENTINI, SEBASTIANO | I | VICE PRESIDENT | NA | |
| VISENTINI, SEBASTIANO | I | VICE PRESIDENT | NA | |
| VISENTINI, SEBASTIANO | I | VICE PRESIDENT | NA | |
| VISENTINI, SEBASTIANO | I | VICE PRESIDENT | NA | |
| VISENTINI, SEBASTIANO | I | VICE PRESIDENT | NA | |
| VISENTINI, SEBASTIANO | I | VICE PRESIDENT | NA | |
| VORA, RAJESHRI | I | VP | NA | Control |
| VORA, RAJESHRI | I | VP | NA | Control |
| WASIK, MARYANN | I | MANAGING DIRECTOR/DIRECTOR OF PRODUCT DEVELOPMENT | NA | Control |
| WASIK, MARYANN | I | MANAGING DIRECTOR/DIRECTOR OF PRODUCT DEVELOPMENT | NA | Control |
| WASIK, MARYANN | I | MANAGING DIRECTOR/DIRECTOR OF PRODUCT DEVELOPMENT | NA | Control |
| WEBB, DENNIS, EDWARD | I | IC CHAIR | NA | Control |
| WILLIAMS, TIMOTHY, MICHAEL | I | CHIEF COMPLIANCE OFFICER | NA | |
| WILLIAMS, TIMOTHY, MICHAEL | I | CHIEF COMPLIANCE OFFICER | NA | |
| WILLIAMS, TIMOTHY, MICHAEL | I | CHIEF COMPLIANCE OFFICER | NA | |
| WILSON, MICHAEL JAMES | I | CHIEF COMPLIANCE OFFICER - INTERNATIONAL | NA | |
| WILSON, MICHAEL JAMES | I | CHIEF COMPLIANCE OFFICER - INTERNATIONAL | NA | |
| WILSON, MICHAEL JAMES | I | CHIEF COMPLIANCE OFFICER - INTERNATIONAL | NA | |
| WILSON, MICHAEL JAMES | I | CHIEF COMPLIANCE OFFICER - INTERNATIONAL | NA | |
| WYCKOFF, DIRK, WILLIAM | I | CHIEF FINANCIAL OFFICER | NA | Control |
| WYCKOFF, DIRK, WILLIAM | I | CHIEF FINANCIAL OFFICER | NA | Control |
| WYCKOFF, DIRK, WILLIAM | I | CHIEF FINANCIAL OFFICER | NA | Control |
| WYCKOFF, DIRK, WILLIAM | I | CHIEF FINANCIAL OFFICER | NA | Control |
| WYCKOFF, DIRK, WILLIAM | I | CHIEF FINANCIAL OFFICER | NA | Control |
| WYCKOFF, DIRK, WILLIAM | I | CHIEF FINANCIAL OFFICER | NA | Control |
| WYCKOFF, DIRK, WILLIAM | I | CHIEF FINANCIAL OFFICER | NA | Control |
| BANKMONT FINANCIAL CORP. | DE | OWNER | E | Control |
| CSFBDIRECT HOLDINGS INC. | DE | SOLE SHAREHOLDER | E | Control |
| CSFBDIRECT HOLDINGS INC. | DE | SOLE SHAREHOLDER | E | Control |
| CSFBDIRECT HOLDINGS INC. | DE | SOLE SHAREHOLDER | E | Control |
| CSFBDIRECT HOLDINGS INC. | DE | SOLE SHAREHOLDER | E | Control |
| E*TRADE BROKERAGE HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| E*TRADE BROKERAGE HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| E*TRADE BROKERAGE HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| E*TRADE BROKERAGE HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| E*TRADE BROKERAGE HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| E*TRADE BROKERAGE HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| E*TRADE FINANCIAL ADVISORY SERVICES, INC | DE | OWNER | E | Control |
| E*TRADE FINANCIAL ADVISORY SERVICES, INC | DE | OWNER | E | Control |
| E*TRADE FINANCIAL ADVISORY SERVICES, INC | DE | OWNER | E | Control |
| E*TRADE FINANCIAL ADVISORY SERVICES, INC | DE | OWNER | E | Control |
| E*TRADE FINANCIAL ADVISORY SERVICES, INC | DE | OWNER | E | Control |
| E*TRADE FINANCIAL CORPORATION | DE | SHAREHOLDER | E | Control |
| ETCM HOLDINGS, INC. | DE | OWNER | E | Control |
| ETCM HOLDINGS, INC. | DE | OWNER | E | Control |
| ETCM HOLDINGS, INC. | DE | OWNER | E | Control |
| ETCM HOLDINGS, INC. | DE | OWNER | E | Control |
| ETCM HOLDINGS, INC. | DE | OWNER | E | Control |
| ETCM HOLDINGS, INC. | DE | OWNER | E | Control |
| ETCM HOLDINGS, INC. | DE | OWNER | E | Control |
| ETCM HOLDINGS, INC. | DE | OWNER | E | Control |
| ETCM HOLDINGS, INC. | DE | OWNER | E | Control |
| ETCM HOLDINGS, INC. | DE | OWNER | E | Control |
| ETCM HOLDINGS, LLC | DE | OWNER | E | Control |
| ETCM HOLDINGS, LLC | DE | OWNER | E | Control |
| ETCM HOLDINGS, LLC | DE | OWNER | E | Control |
| ETCM HOLDINGS, LLC | DE | SOLE OWNER | E | Control |
| ETCM HOLDINGS, LLC | DE | OWNER | E | Control |
| ETCM HOLDINGS, LLC | DE | SOLE OWNER | E | Control |
| ETCM HOLDINGS, LLC | DE | OWNER | E | Control |
| ETCM HOLDINGS, LLC | DE | SOLE OWNER | E | Control |
| ETCM HOLDINGS, LLC | DE | OWNER | E | Control |
| ETCM HOLDINGS, LLC | DE | SOLE OWNER | E | Control |
| ETCM HOLDINGS, LLC | DE | SOLE OWNER | E | Control |
| ETCM HOLDINGS, LLC | DE | SOLE OWNER | E | Control |
| ETCM HOLDINGS, LLC | DE | SOLE OWNER | E | Control |
| ETCM HOLDINGS, LLC | DE | SOLE OWNER | E | Control |
| ETCM HOLDINGS, LLC | DE | SOLE OWNER | E | Control |
| ETCM HOLDINGS, LLC | DE | SOLE OWNER | E | Control |
| ETCM HOLDINGS, LLC | DE | SOLE OWNER | E | Control |
| ETCM HOLDINGS, LLC | DE | SOLE OWNER | E | Control |
| ETCM HOLDINGS, LLC | DE | SOLE OWNER | E | Control |
| ETCM HOLDINGS, LLC | DE | SOLE OWNER | E | Control |
| ETCM HOLDINGS, LLC | DE | SOLE OWNER | E | Control |
| ETCM HOLDINGS, LLC | DE | SOLE OWNER | E | Control |
| ETCM HOLDINGS, LLC | DE | SOLE OWNER | E | Control |
| ETCM HOLDINGS, LLC | DE | SOLE OWNER | E | Control |
| ETCM HOLDINGS, LLC | DE | SOLE OWNER | E | Control |
| ETCM HOLDINGS, LLC | DE | SOLE OWNER | E | Control |
| ETCM HOLDINGS, LLC | DE | SOLE OWNER | E | Control |
| ETCM HOLDINGS, LLC | DE | SOLE OWNER | E | Control |
| ETCM HOLDINGS, LLC | DE | SOLE OWNER | E | Control |
| ETCM HOLDINGS, LLC | DE | SOLE OWNER | E | Control |
| ETCM HOLDINGS, LLC | DE | SOLE OWNER | E | Control |
| ETCM HOLDINGS, LLC | DE | SOLE OWNER | E | Control |
| ETCM HOLDINGS, LLC | DE | SOLE OWNER | E | Control |
| ETCM HOLDINGS, LLC | DE | SOLE OWNER | E | Control |
| ETCM HOLDINGS, LLC | DE | SOLE OWNER | E | Control |
| ETCM HOLDINGS, LLC | DE | SOLE OWNER | E | Control |
| ETCM HOLDINGS, LLC | DE | SOLE OWNER | E | Control |
| ETCM HOLDINGS, LLC | DE | SOLE OWNER | E | Control |
| HARRIS FINANCIAL CORP. | DE | OWNER | E | Control |
| HARRIS FINANCIAL CORP. | DE | OWNER | E | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| BANK OF MONTREAL | FE | HARRIS FINANCIAL CORP. | E | Control |
| BANK OF MONTREAL | FE | HARRIS FINANCIAL CORP. | E | Control |
| BANK OF MONTREAL | FE | BANKMONT FINANCIAL CORP. | E | Control |
| CREDIT SUISSE FIRST BOSTON (USA), INC | DE | DLJSC | E | Control |
| CREDIT SUISSE FIRST BOSTON (USA), INC | DE | DLJSC | E | Control |
| CREDIT SUISSE FIRST BOSTON (USA), INC | DE | DLJSC | E | Control |
| CREDIT SUISSE FIRST BOSTON (USA), INC | DE | DLJSC | E | Control |
| CREDIT SUISSE FIRST BOSTON, INC. | DE | CREDIT SUISSE FIRST BOSTON (USA), INC | E | Control |
| CREDIT SUISSE FIRST BOSTON, INC. | DE | CREDIT SUISSE FIRST BOSTON (USA), INC | E | Control |
| CREDIT SUISSE FIRST BOSTON, INC. | DE | CREDIT SUISSE FIRST BOSTON (USA), INC | E | Control |
| CREDIT SUISSE FIRST BOSTON, INC. | DE | CREDIT SUISSE FIRST BOSTON (USA), INC | E | Control |
| CREDIT SUISSE GROUP | FE | CREDIT SUISSE FIRST BOSTON | E | Control |
| CREDIT SUISSE GROUP | FE | CREDIT SUISSE FIRST BOSTON | E | Control |
| CREDIT SUISSE GROUP | FE | CREDIT SUISSE FIRST BOSTON | E | Control |
| CREDIT SUISSE GROUP | FE | CREDIT SUISSE FIRST BOSTON | E | Control |
| DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION | DE | CSFBDIRECT HOLDINGS INC | E | Control |
| DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION | DE | CSFBDIRECT HOLDINGS INC | E | Control |
| DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION | DE | CSFBDIRECT HOLDINGS INC | E | Control |
| DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION | DE | CSFBDIRECT HOLDINGS INC | E | Control |
| E*TRADE FINANCIAL CORPORATION | DE | E*TRADE BROKERAGE HOLDINGS | E | Control |
| E*TRADE FINANCIAL CORPORATION | DE | E*TRADE BROKERAGE HOLDINGS | E | Control |
| E*TRADE FINANCIAL CORPORATION | DE | E*TRADE FINANCIAL ADVISORY SERVICES, INC. | E | Control |
| E*TRADE FINANCIAL CORPORATION | DE | E*TRADE FINANCIAL ADVISORY SERVICES, INC. | E | Control |
| E*TRADE FINANCIAL CORPORATION | DE | E*TRADE FINANCIAL ADVISORY SERVICES, INC. | E | Control |
| E*TRADE FINANCIAL CORPORATION | DE | E*TRADE BROKERAGE HOLDINGS | E | Control |
| E*TRADE FINANCIAL CORPORATION | DE | E*TRADE BROKERAGE HOLDINGS | E | Control |
| E*TRADE FINANCIAL CORPORATION | DE | E*TRADE FINANCIAL ADVISORY SERVICES, INC. | E | Control |
| E*TRADE FINANCIAL CORPORATION | DE | E*TRADE BROKERAGE HOLDINGS | E | Control |
| E*TRADE FINANCIAL CORPORATION | DE | E*TRADE BROKERAGE HOLDINGS | E | Control |
| E*TRADE FINANCIAL CORPORATION | DE | E*TRADE FINANCIAL ADVISORY SERVICES, INC. | E | Control |
| E*TRADE FINANCIAL CORPORATION | DE | ETCM HOLDINGS, INC. | E | Control |
| E*TRADE FINANCIAL CORPORATION | DE | ETCM HOLDINGS, INC. | E | Control |
| E*TRADE FINANCIAL CORPORATION | DE | ETCM HOLDINGS, INC. | E | Control |
| E*TRADE FINANCIAL CORPORATION | DE | ETCM HOLDINGS, INC. | E | Control |
| E*TRADE FINANCIAL CORPORATION | DE | ETCM HOLDINGS, INC. | E | Control |
| E*TRADE FINANCIAL CORPORATION | DE | ETCM HOLDINGS, INC. | E | Control |
| E*TRADE FINANCIAL CORPORATION | DE | ETCM HOLDINGS, INC. | E | Control |
| E*TRADE FINANCIAL CORPORATION | DE | ETCM HOLDINGS, INC. | E | Control |
| E*TRADE FINANCIAL CORPORATION | DE | ETCM HOLDINGS, INC. | E | Control |
| E*TRADE FINANCIAL CORPORATION | DE | ETCM HOLDINGS, INC. | E | Control |
| E*TRADE FINANCIAL CORPORATION | DE | ETCM HOLDINGS, LLC | E | Control |
| E*TRADE FINANCIAL CORPORATION | DE | ETCM HOLDINGS, LLC | E | Control |
| E*TRADE FINANCIAL CORPORATION | DE | ETCM HOLDINGS, LLC | E | Control |
| E*TRADE FINANCIAL CORPORATION | DE | ETCM HOLDINGS, LLC | E | Control |
| E*TRADE FINANCIAL CORPORATION | DE | ETCM HOLDINGS, LLC | E | Control |
| E*TRADE FINANCIAL CORPORATION | DE | ETCM HOLDINGS, LLC | E | Control |
| E*TRADE FINANCIAL CORPORATION | DE | ETCM HOLDINGS, LLC | E | Control |
| E*TRADE FINANCIAL CORPORATION | DE | ETCM HOLDINGS, LLC | E | Control |
| E*TRADE FINANCIAL CORPORATION | DE | ETCM HOLDINGS, LLC | E | Control |
| E*TRADE FINANCIAL CORPORATION | DE | ETCM HOLDINGS, LLC | E | Control |
| E*TRADE FINANCIAL CORPORATION | DE | ETCM HOLDINGS, LLC | E | Control |
| E*TRADE FINANCIAL CORPORATION | DE | ETCM HOLDINGS, LLC | E | Control |
| E*TRADE FINANCIAL CORPORATION | DE | ETCM HOLDINGS, LLC | E | Control |
| E*TRADE FINANCIAL CORPORATION | DE | ETCM HOLDINGS, LLC | E | Control |
| E*TRADE FINANCIAL CORPORATION | DE | ETCM HOLDINGS, LLC | E | Control |
| E*TRADE FINANCIAL CORPORATION | DE | ETCM HOLDINGS, LLC | E | Control |
| E*TRADE FINANCIAL CORPORATION | DE | ETCM HOLDINGS, LLC | E | Control |
| E*TRADE FINANCIAL CORPORATION | DE | ETCM HOLDINGS, LLC | E | Control |
| E*TRADE FINANCIAL CORPORATION | DE | ETCM HOLDINGS, LLC | E | Control |
| E*TRADE FINANCIAL CORPORATION | DE | ETCM HOLDINGS, LLC | E | Control |
| E*TRADE FINANCIAL CORPORATION | DE | ETCM HOLDINGS, LLC | E | Control |
| E*TRADE FINANCIAL HOLDINGS, LLC | DE | ETCM HOLDINGS, LLC | E | Control |
| E*TRADE FINANCIAL HOLDINGS, LLC | DE | ETCM HOLDINGS, LLC | E | Control |
| E*TRADE FINANCIAL HOLDINGS, LLC | DE | ETCM HOLDINGS, LLC | E | Control |
| E*TRADE FINANCIAL HOLDINGS, LLC | DE | ETCM HOLDINGS, LLC | E | Control |
| E*TRADE FINANCIAL HOLDINGS, LLC | DE | ETCM HOLDINGS, LLC | E | Control |
| E*TRADE FINANCIAL HOLDINGS, LLC | DE | ETCM HOLDINGS, LLC | E | Control |
| E*TRADE FINANCIAL HOLDINGS, LLC | DE | ETCM HOLDINGS, LLC | E | Control |
| E*TRADE FINANCIAL LLC | DE | ETCM HOLDINGS, LLC | E | Control |
| E*TRADE FINANCIAL LLC | DE | ETCM HOLDINGS, LLC | E | Control |
| MORGAN STANLEY | DE | E*TRADE FINANCIAL LLC | E | Control |
| MORGAN STANLEY | DE | E*TRADE FINANCIAL LLC | E | Control |
| MORGAN STANLEY | DE | MORGAN STANLEY CAPITAL MANAGEMENT, LLC | E | Control |
| MORGAN STANLEY | DE | MORGAN STANLEY CAPITAL MANAGEMENT, LLC | E | Control |
| MORGAN STANLEY | DE | MORGAN STANLEY CAPITAL MANAGEMENT, LLC | E | Control |
| MORGAN STANLEY | DE | MORGAN STANLEY CAPITAL MANAGEMENT, LLC | E | Control |
| MORGAN STANLEY | DE | MORGAN STANLEY CAPITAL MANAGEMENT, LLC | E | Control |
| MORGAN STANLEY | DE | MORGAN STANLEY CAPITAL MANAGEMENT, LLC | E | Control |
| MORGAN STANLEY | DE | MORGAN STANLEY CAPITAL MANAGEMENT, LLC | E | Control |
| MORGAN STANLEY | DE | MORGAN STANLEY CAPITAL MANAGEMENT, LLC | E | Control |
| MORGAN STANLEY | DE | MORGAN STANLEY CAPITAL MANAGEMENT, LLC | E | Control |
| MORGAN STANLEY | DE | MORGAN STANLEY CAPITAL MANAGEMENT, LLC | E | Control |
| MORGAN STANLEY | DE | MORGAN STANLEY CAPITAL MANAGEMENT, LLC | E | Control |
| MORGAN STANLEY | DE | MORGAN STANLEY CAPITAL MANAGEMENT, LLC | E | Control |
| MORGAN STANLEY | DE | MORGAN STANLEY CAPITAL MANAGEMENT, LLC | E | Control |
| MORGAN STANLEY | DE | MORGAN STANLEY CAPITAL MANAGEMENT, LLC | E | Control |
| MORGAN STANLEY | DE | MORGAN STANLEY CAPITAL MANAGEMENT, LLC | E | Control |
| MORGAN STANLEY CAPITAL MANAGEMENT, LLC | DE | MORGAN STANLEY DOMESTIC HOLDINGS, INC. | E | Control |
| MORGAN STANLEY CAPITAL MANAGEMENT, LLC | DE | MORGAN STANLEY DOMESTIC HOLDINGS, INC. | E | Control |
| MORGAN STANLEY CAPITAL MANAGEMENT, LLC | DE | MORGAN STANLEY DOMESTIC HOLDINGS, INC. | E | Control |
| MORGAN STANLEY CAPITAL MANAGEMENT, LLC | DE | MORGAN STANLEY DOMESTIC HOLDINGS, INC. | E | Control |
| MORGAN STANLEY CAPITAL MANAGEMENT, LLC | DE | MORGAN STANLEY DOMESTIC HOLDINGS, INC. | E | Control |
| MORGAN STANLEY CAPITAL MANAGEMENT, LLC | DE | MORGAN STANLEY DOMESTIC HOLDINGS, INC. | E | Control |
| MORGAN STANLEY CAPITAL MANAGEMENT, LLC | DE | MORGAN STANLEY DOMESTIC HOLDINGS, INC. | E | Control |
| MORGAN STANLEY CAPITAL MANAGEMENT, LLC | DE | MORGAN STANLEY DOMESTIC HOLDINGS, INC. | E | Control |
| MORGAN STANLEY CAPITAL MANAGEMENT, LLC | DE | MORGAN STANLEY DOMESTIC HOLDINGS, INC. | E | Control |
| MORGAN STANLEY CAPITAL MANAGEMENT, LLC | DE | MORGAN STANLEY DOMESTIC HOLDINGS, INC. | E | Control |
| MORGAN STANLEY CAPITAL MANAGEMENT, LLC | DE | MORGAN STANLEY DOMESTIC HOLDINGS, INC. | E | Control |
| MORGAN STANLEY CAPITAL MANAGEMENT, LLC | DE | MORGAN STANLEY DOMESTIC HOLDINGS, INC. | E | Control |
| MORGAN STANLEY CAPITAL MANAGEMENT, LLC | DE | MORGAN STANLEY DOMESTIC HOLDINGS, INC. | E | Control |
| MORGAN STANLEY CAPITAL MANAGEMENT, LLC | DE | MORGAN STANLEY DOMESTIC HOLDINGS, LLC | E | Control |
| MORGAN STANLEY CAPITAL MANAGEMENT, LLC | DE | MORGAN STANLEY DOMESTIC HOLDINGS, INC. | E | Control |
| MORGAN STANLEY DOMESTIC HOLDINGS, INC. | DE | E*TRADE FINANCIAL HOLDINGS, LLC | E | Control |
| MORGAN STANLEY DOMESTIC HOLDINGS, INC. | DE | E*TRADE FINANCIAL HOLDINGS, LLC | E | Control |
| MORGAN STANLEY DOMESTIC HOLDINGS, INC. | DE | E*TRADE FINANCIAL HOLDINGS, LLC | E | Control |
| MORGAN STANLEY DOMESTIC HOLDINGS, INC. | DE | E*TRADE FINANCIAL HOLDINGS, LLC | E | Control |
| MORGAN STANLEY DOMESTIC HOLDINGS, INC. | DE | E*TRADE FINANCIAL HOLDINGS, LLC | E | Control |
| MORGAN STANLEY DOMESTIC HOLDINGS, INC. | DE | E*TRADE FINANCIAL HOLDINGS, LLC | E | Control |
| MORGAN STANLEY DOMESTIC HOLDINGS, INC. | DE | ETCM HOLDINGS, LLC | E | Control |
| MORGAN STANLEY DOMESTIC HOLDINGS, INC. | DE | ETCM HOLDINGS, LLC | E | Control |
| MORGAN STANLEY DOMESTIC HOLDINGS, INC. | DE | ETCM HOLDINGS, LLC | E | Control |
| MORGAN STANLEY DOMESTIC HOLDINGS, INC. | DE | E*TRADE FINANCIAL HOLDINGS, LLC | E | Control |
| MORGAN STANLEY DOMESTIC HOLDINGS, INC. | DE | ETCM HOLDINGS, LLC | E | Control |
| MORGAN STANLEY DOMESTIC HOLDINGS, INC. | DE | ETCM HOLDINGS, LLC | E | Control |
| MORGAN STANLEY DOMESTIC HOLDINGS, INC. | DE | ETCM HOLDINGS, LLC | E | Control |
| MORGAN STANLEY DOMESTIC HOLDINGS, INC. | DE | ETCM HOLDINGS, LLC | E | Control |
| MORGAN STANLEY DOMESTIC HOLDINGS, LLC | DE | ETCM HOLDINGS, LLC | E | Control |
| CREDIT SUISSE FIRST BOSTON | FE | CREDIT SUISSE FIRST BOSTON, INC. | D | Control |
| CREDIT SUISSE FIRST BOSTON | FE | CREDIT SUISSE FIRST BOSTON, INC. | D | Control |
| CREDIT SUISSE FIRST BOSTON | FE | CREDIT SUISSE FIRST BOSTON, INC. | D | Control |
| CREDIT SUISSE FIRST BOSTON | FE | CREDIT SUISSE FIRST BOSTON, INC. | D | Control |
| CREDIT SUISSE GROUP | FE | CREDIT SUISSE FIRST BOSTON INC. | C | Control |
| CREDIT SUISSE GROUP | FE | CREDIT SUISSE FIRST BOSTON INC. | C | Control |
| CREDIT SUISSE GROUP | FE | CREDIT SUISSE FIRST BOSTON INC. | C | Control |
| CREDIT SUISSE GROUP | FE | CREDIT SUISSE FIRST BOSTON INC. | C | Control |
Registrations
Federal
IA
May 19, 2023 REGISTERED
Notice Filings (52)
AK AL AR AZ CA CO CT DC DE FL GA HI IA ID IL IN KS KY LA MA MD ME MI MN MO MS MT NC ND NE NH NJ NM NV NY OH OK OR PA PR RI SC SD TN TX UT VA VI VT WA WI WV
Address
671 N. GLEBE ROAD13TH FLOOR
ARLINGTON, VA 22203
United States
Phone: (703) 247-3700