M HOLDINGS SECURITIES, INC.
CRD #43285 SEC #801-57304 PORTLAND, OR 800-656-6960
SEC Registered Broker-Dealer Disclosures
Total AUM
$4.1B
Discretionary
$2.6B
Employees
1,442
Clients
51
Accounts
8,234
This firm has regulatory disclosures on file.
View disclosures
Firm Details
- Organization Type
- Corporation
- State of Formation
- Oregon
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Dec 17, 2025
- Branch Offices
- 105
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| ALABI, HOPE NOELLE | I | VICE PRESIDENT - PRINCIPAL OPERATIONS OFFICER | NA | Control |
| ALABI, HOPE NOELLE | I | VICE PRESIDENT - PRINCIPAL OPERATIONS OFFICER | NA | Control |
| ALABI, HOPE NOELLE | I | VICE PRESIDENT - PRINCIPAL OPERATIONS OFFICER | NA | Control |
| ALABI, HOPE NOELLE | I | VICE PRESIDENT - PRINCIPAL OPERATIONS OFFICER | NA | Control |
| ALABI, HOPE NOELLE | I | VICE PRESIDENT - PRINCIPAL OPERATIONS OFFICER | NA | Control |
| ANDERSON, KATHERINE JOYCE | I | SECRETARY | NA | |
| ANDERSON, KATHERINE JOYCE | I | SECRETARY | NA | |
| ANDERSON, KATHERINE JOYCE | I | SECRETARY | NA | |
| ANDRE, LESLIE ELAINE | I | VICE PRESIDENT,COMPLIANCE, MSRB PRINCIPAL | NA | Control |
| ANDRE, LESLIE ELAINE | I | VICE PRESIDENT,COMPLIANCE, MSRB PRINCIPAL | NA | Control |
| ANDRE, LESLIE ELAINE | I | VICE PRESIDENT,COMPLIANCE, MSRB PRINCIPAL | NA | Control |
| ANDRE, LESLIE ELAINE | I | VICE PRESIDENT,COMPLIANCE, MSRB PRINCIPAL | NA | Control |
| ANDRE, LESLIE ELAINE | I | VICE PRESIDENT,COMPLIANCE, MSRB PRINCIPAL | NA | Control |
| ANDRE, LESLIE ELAINE | I | VICE PRESIDENT,COMPLIANCE, MSRB PRINCIPAL | NA | Control |
| ANDRE, LESLIE ELAINE | I | VICE PRESIDENT,COMPLIANCE, MSRB PRINCIPAL | NA | Control |
| ANDRE, LESLIE ELAINE | I | VICE PRESIDENT,COMPLIANCE, MSRB PRINCIPAL | NA | Control |
| ANDRE, LESLIE ELAINE | I | VICE PRESIDENT,COMPLIANCE, MSRB PRINCIPAL | NA | Control |
| ANDRE, LESLIE ELAINE | I | VICE PRESIDENT,COMPLIANCE, MSRB PRINCIPAL | NA | Control |
| ANDRE, LESLIE ELAINE | I | VICE PRESIDENT,COMPLIANCE, MSRB PRINCIPAL | NA | Control |
| ANDRES, SARA JANE | I | VP COMPLIANCE, RISK, SUPERVISION & REGULATORY AFFAIRS, CCO | NA | Control |
| ANDRES, SARA JANE | I | VP COMPLIANCE, RISK, SUPERVISION & REGULATORY AFFAIRS, CCO | NA | Control |
| ANDRES, SARA JANE | I | VP COMPLIANCE, RISK, SUPERVISION & REGULATORY AFFAIRS | NA | Control |
| ANDRES, SARA JANE | I | VP COMPLIANCE, RISK, SUPERVISION & REGULATORY AFFAIRS, CCO | NA | Control |
| BECKLEY, DEAN JAMES | I | CHIEF INFORMATION SECURITY OFFICER | NA | |
| BECKLEY, DEAN JAMES | I | CHIEF INFORMATION SECURITY OFFICER | NA | |
| BECKLEY, DEAN JAMES | I | CHIEF INFORMATION SECURITY OFFICER | NA | |
| BECKLEY, DEAN JAMES | I | CHIEF INFORMATION SECURITY OFFICER | NA | |
| BECKLEY, DEAN JAMES | I | CHIEF INFORMATION SECURITY OFFICER | NA | |
| BECKLEY, DEAN JAMES | I | CHIEF INFORMATION SECURITY OFFICER | NA | |
| BECKLEY, DEAN JAMES | I | CHIEF INFORMATION SECURITY OFFICER | NA | |
| BECKLEY, DEAN JAMES | I | CHIEF INFORMATION SECURITY OFFICER | NA | |
| BECKLEY, DEAN JAMES | I | CHIEF INFORMATION SECURITY OFFICER | NA | |
| BEDRITIS, ROBERT EDGAR | I | CHAIRMAN | NA | Control |
| BEDRITIS, ROBERT EDGAR | I | CHAIRMAN | NA | Control |
| BRAMER, BENJAMIN EDWARD | I | CHIEF COMPLIANCE OFFICER RIA | NA | |
| BRAMER, BENJAMIN EDWARD | I | CHIEF COMPLIANCE OFFICER RIA | NA | |
| BRAMER, BENJAMIN EDWARD | I | CHIEF COMPLIANCE OFFICER RIA | NA | |
| BRAMER, BENJAMIN EDWARD | I | CHIEF COMPLIANCE OFFICER RIA | NA | |
| BRAMER, BENJAMIN EDWARD | I | CHIEF COMPLIANCE OFFICER RIA | NA | |
| BRISTOW, BRIAN BRUCE | I | VP SUPVERVISION | NA | Control |
| BRISTOW, BRIAN BRUCE | I | VP SUPVERVISION | NA | Control |
| BRISTOW, BRIAN BRUCE | I | VP SUPVERVISION | NA | Control |
| BRISTOW, BRIAN BRUCE | I | VP SUPVERVISION | NA | Control |
| BRISTOW, BRIAN BRUCE | I | VP SUPVERVISION | NA | Control |
| BRISTOW, BRIAN BRUCE | I | VP SUPVERVISION | NA | Control |
| BRISTOW, BRIAN BRUCE | I | VP SUPVERVISION | NA | Control |
| BRISTOW, BRIAN BRUCE | I | VP SUPVERVISION | NA | Control |
| BRISTOW, BRIAN BRUCE | I | VP SUPVERVISION | NA | Control |
| BRISTOW, BRIAN BRUCE | I | VP SUPVERVISION | NA | Control |
| BRISTOW, BRIAN BRUCE | I | VP SUPVERVISION | NA | Control |
| BRISTOW, BRIAN BRUCE | I | VP SUPVERVISION | NA | Control |
| BRISTOW, BRIAN BRUCE | I | VP SUPVERVISION | NA | Control |
| BRISTOW, BRIAN BRUCE | I | VP SUPVERVISION | NA | Control |
| BRISTOW, BRIAN BRUCE | I | VP SUPVERVISION | NA | Control |
| BRISTOW, BRIAN BRUCE | I | VP, BUSINESS DEVELOPMENT | NA | Control |
| BRISTOW, BRIAN BRUCE | I | VP, BUSINESS DEVELOPMENT | NA | Control |
| BRISTOW, BRIAN BRUCE | I | VP, BUSINESS DEVELOPMENT | NA | Control |
| BRISTOW, BRIAN BRUCE | I | VP, BUSINESS DEVELOPMENT | NA | Control |
| BRISTOW, BRIAN BRUCE | I | VP, BUSINESS DEVELOPMENT | NA | Control |
| BRISTOW, BRIAN BRUCE | I | VP, BUSINESS DEVELOPMENT | NA | Control |
| BRISTOW, BRIAN BRUCE | I | VP, BUSINESS DEVELOPMENT | NA | Control |
| BRISTOW, BRIAN BRUCE | I | VP, BUSINESS DEVELOPMENT | NA | Control |
| BRISTOW, BRIAN BRUCE | I | VP, BUSINESS DEVELOPMENT | NA | Control |
| BRISTOW, BRIAN BRUCE | I | VP, BUSINESS DEVELOPMENT | NA | Control |
| BRISTOW, BRIAN BRUCE | I | VP SUPVERVISION | NA | Control |
| BRISTOW, BRIAN BRUCE | I | VP SUPVERVISION | NA | Control |
| BRISTOW, BRIAN BRUCE | I | VP, BUSINESS DEVELOPMENT | NA | Control |
| BRISTOW, BRIAN BRUCE | I | VP, BUSINESS DEVELOPMENT | NA | Control |
| BRISTOW, BRIAN BRUCE | I | VP, BUSINESS DEVELOPMENT | NA | Control |
| BRISTOW, BRIAN BRUCE | I | VP, BUSINESS DEVELOPMENT | NA | Control |
| BRISTOW, BRIAN BRUCE | I | VP, BUSINESS DEVELOPMENT | NA | Control |
| BRISTOW, BRIAN BRUCE | I | VP, BUSINESS DEVELOPMENT | NA | Control |
| BRISTOW, BRIAN BRUCE | I | VP, BUSINESS DEVELOPMENT | NA | Control |
| BRISTOW, BRIAN BRUCE | I | VP, BUSINESS DEVELOPMENT | NA | Control |
| BRISTOW, BRIAN BRUCE | I | VP, BUSINESS DEVELOPMENT | NA | Control |
| BRISTOW, BRIAN BRUCE | I | VP SUPVERVISION | NA | Control |
| BRISTOW, BRIAN BRUCE | I | VP SUPVERVISION | NA | Control |
| BRISTOW, BRIAN BRUCE | I | VP, BUSINESS DEVELOPMENT | NA | Control |
| BRISTOW, BRIAN BRUCE | I | VP, BUSINESS DEVELOPMENT | NA | Control |
| BYRNE, DANIEL FRANCIS | I | DIRECTOR | NA | Control |
| BYRNE, DANIEL FRANCIS | I | DIRECTOR | NA | Control |
| BYRNE, DANIEL FRANCIS | I | DIRECTOR | NA | Control |
| BYRNE, DANIEL FRANCIS | I | DIRECTOR | NA | Control |
| BYRNE, DANIEL FRANCIS | I | DIRECTOR | NA | Control |
| BYRNE, DANIEL FRANCIS | I | DIRECTOR | NA | Control |
| BYRNE, DANIEL FRANCIS | I | DIRECTOR | NA | Control |
| BYRNE, DANIEL FRANCIS | I | DIRECTOR | NA | Control |
| BYRNE, DANIEL FRANCIS | I | DIRECTOR | NA | Control |
| BYRNE, DANIEL FRANCIS | I | DIRECTOR | NA | Control |
| BYRNE, DANIEL FRANCIS | I | DIRECTOR | NA | Control |
| BYRNE, DANIEL FRANCIS | I | DIRECTOR | NA | Control |
| BYRNE, DANIEL FRANCIS | I | DIRECTOR | NA | Control |
| BYRNE, DANIEL FRANCIS | I | DIRECTOR | NA | Control |
| BYRNE, DANIEL FRANCIS | I | DIRECTOR | NA | Control |
| BYRNE, DANIEL FRANCIS | I | DIRECTOR | NA | Control |
| BYRNE, DANIEL FRANCIS | I | DIRECTOR | NA | Control |
| BYRNE, DANIEL FRANCIS | I | DIRECTOR | NA | Control |
| BYRNE, DANIEL FRANCIS | I | DIRECTOR | NA | Control |
| BYRNE, DANIEL FRANCIS | I | DIRECTOR | NA | Control |
| BYRNE, DANIEL FRANCIS | I | DIRECTOR | NA | Control |
| BYRNE, DANIEL FRANCIS | I | DIRECTOR | NA | Control |
| BYRNE, DANIEL FRANCIS | I | DIRECTOR | NA | Control |
| BYRNE, DANIEL FRANCIS | I | DIRECTOR | NA | Control |
| BYRNE, DANIEL FRANCIS | I | DIRECTOR | NA | Control |
| BYRNE, DANIEL FRANCIS | I | DIRECTOR | NA | Control |
| BYRNE, DANIEL FRANCIS | I | DIRECTOR | NA | Control |
| BYRNE, DANIEL FRANCIS | I | DIRECTOR | NA | Control |
| BYRNE, DANIEL FRANCIS | I | DIRECTOR | NA | Control |
| BYRNE, DANIEL FRANCIS | I | DIRECTOR | NA | Control |
| BYRNE, DANIEL FRANCIS | I | DIRECTOR | NA | Control |
| BYRNE, DANIEL FRANCIS | I | DIRECTOR | NA | Control |
| BYRNE, DANIEL FRANCIS | I | DIRECTOR | NA | Control |
| BYRNE, DANIEL FRANCIS | I | DIRECTOR | NA | Control |
| BYRNE, DANIEL FRANCIS | I | DIRECTOR | NA | Control |
| BYRNE, DANIEL FRANCIS | I | DIRECTOR | NA | Control |
| BYRNE, DANIEL FRANCIS | I | DIRECTOR | NA | Control |
| BYRNE, DANIEL FRANCIS | I | DIRECTOR | NA | Control |
| BYRNE, DANIEL FRANCIS | I | DIRECTOR | NA | Control |
| BYRNE, DANIEL FRANCIS | I | DIRECTOR | NA | Control |
| BYRNE, DANIEL FRANCIS | I | DIRECTOR | NA | Control |
| BYRNE, DANIEL FRANCIS | I | DIRECTOR | NA | Control |
| BYRNE, DANIEL FRANCIS | I | DIRECTOR | NA | Control |
| BYRNE, DANIEL FRANCIS | I | DIRECTOR | NA | Control |
| BYRNE, DANIEL FRANCIS | I | DIRECTOR | NA | Control |
| BYRNE, DANIEL FRANCIS | I | DIRECTOR | NA | Control |
| BYRNE, DANIEL FRANCIS | I | DIRECTOR | NA | Control |
| BYRNE, DANIEL FRANCIS | I | DIRECTOR | NA | Control |
| BYRNE, DANIEL FRANCIS | I | DIRECTOR | NA | Control |
| BYRNE, DANIEL FRANCIS | I | DIRECTOR | NA | Control |
| BYRNE, DANIEL FRANCIS | I | DIRECTOR | NA | Control |
| BYRNE, DANIEL FRANCIS | I | DIRECTOR | NA | Control |
| BYRNE, DANIEL FRANCIS | I | DIRECTOR | NA | Control |
| BYRNE, DANIEL FRANCIS | I | DIRECTOR | NA | Control |
| BYRNE, DANIEL FRANCIS | I | DIRECTOR | NA | Control |
| BYRNE, DANIEL FRANCIS | I | DIRECTOR | NA | Control |
| BYRNE, DANIEL FRANCIS | I | DIRECTOR | NA | Control |
| BYRNE, DANIEL FRANCIS | I | DIRECTOR | NA | Control |
| BYRNE, DANIEL FRANCIS | I | DIRECTOR | NA | Control |
| BYRNE, DANIEL FRANCIS | I | DIRECTOR | NA | Control |
| BYRNE, DANIEL FRANCIS | I | DIRECTOR | NA | Control |
| BYRNE, DANIEL FRANCIS | I | DIRECTOR | NA | Control |
| BYRNE, DANIEL FRANCIS | I | DIRECTOR | NA | Control |
| BYRNE, DANIEL FRANCIS | I | DIRECTOR | NA | Control |
| BYRNE, DANIEL FRANCIS | I | DIRECTOR | NA | Control |
| CHANG, STEVEN BYUNGKWAN | I | MSRB PRINCIPAL | NA | |
| CHANG, STEVEN BYUNGKWAN | I | MSRB PRINCIPAL | NA | |
| CHANG, STEVEN BYUNGKWAN | I | MSRB PRINCIPAL | NA | |
| CHANG, STEVEN BYUNGKWAN | I | MSRB PRINCIPAL | NA | |
| CHANG, STEVEN BYUNGKWAN | I | MSRB PRINCIPAL | NA | |
| CHANG, STEVEN BYUNGKWAN | I | MSRB PRINCIPAL | NA | |
| CHANG, STEVEN BYUNGKWAN | I | MSRB PRINCIPAL | NA | |
| CHANG, STEVEN BYUNGKWAN | I | MSRB PRINCIPAL | NA | |
| CHANG, STEVEN BYUNGKWAN | I | MSRB PRINCIPAL | NA | |
| CHANG, STEVEN BYUNGKWAN | I | MSRB PRINCIPAL | NA | |
| CHANG, STEVEN BYUNGKWAN | I | MSRB PRINCIPAL | NA | |
| CHANG, STEVEN BYUNGKWAN | I | MSRB PRINCIPAL | NA | |
| CHANG, STEVEN BYUNGKWAN | I | MSRB PRINCIPAL | NA | |
| CHANG, STEVEN BYUNGKWAN | I | MSRB PRINCIPAL | NA | |
| CHANG, STEVEN BYUNGKWAN | I | MSRB PRINCIPAL | NA | |
| CHANG, STEVEN BYUNGKWAN | I | MSRB PRINCIPAL | NA | |
| CHANG, STEVEN BYUNGKWAN | I | MSRB PRINCIPAL | NA | |
| CHANG, STEVEN BYUNGKWAN | I | MSRB PRINCIPAL | NA | |
| CHANG, STEVEN BYUNGKWAN | I | MSRB PRINCIPAL | NA | |
| CHANG, STEVEN BYUNGKWAN | I | MSRB PRINCIPAL | NA | |
| CHANG, STEVEN BYUNGKWAN | I | MSRB PRINCIPAL | NA | |
| CHANG, STEVEN BYUNGKWAN | I | MSRB PRINCIPAL | NA | |
| CHANG, STEVEN BYUNGKWAN | I | MSRB PRINCIPAL | NA | |
| CHANG, STEVEN BYUNGKWAN | I | MSRB PRINCIPAL | NA | |
| DAY, FRANK EDMUND | I | CHIEF COMPLIANCE OFFICER RIA | NA | |
| DAY, FRANK EDMUND | I | CHIEF COMPLIANCE OFFICER RIA | NA | |
| DAY, FRANK EDMUND | I | CHIEF COMPLIANCE OFFICER RIA | NA | |
| DAY, FRANK EDMUND | I | CHIEF COMPLIANCE OFFICER RIA | NA | |
| DAY, FRANK EDMUND | I | CHIEF COMPLIANCE OFFICER RIA | NA | |
| DAY, FRANK EDMUND | I | CHIEF COMPLIANCE OFFICER RIA | NA | |
| DAY, FRANK EDMUND | I | CHIEF COMPLIANCE OFFICER RIA | NA | |
| DAY, FRANK EDMUND | I | CHIEF COMPLIANCE OFFICER RIA | NA | |
| DAY, FRANK EDMUND | I | CHIEF COMPLIANCE OFFICER RIA | NA | |
| DAY, FRANK EDMUND | I | CHIEF COMPLIANCE OFFICER RIA | NA | |
| DAY, FRANK EDMUND | I | CHIEF COMPLIANCE OFFICER RIA | NA | |
| DAY, FRANK EDMUND | I | COMPLIANCE OFFICER ADVISORY SERVICES | NA | |
| DAY, FRANK EDMUND | I | COMPLIANCE OFFICER ADVISORY SERVICES | NA | |
| DAY, FRANK EDMUND | I | CHIEF COMPLIANCE OFFICER RIA | NA | |
| DAY, FRANK EDMUND | I | COMPLIANCE OFFICER ADVISORY SERVICES | NA | |
| DAY, FRANK EDMUND | I | COMPLIANCE OFFICER ADVISORY SERVICES | NA | |
| DAY, FRANK EDMUND | I | COMPLIANCE OFFICER ADVISORY SERVICES | NA | |
| DAY, FRANK EDMUND | I | CHIEF COMPLIANCE OFFICER RIA | NA | |
| DAY, FRANK EDMUND | I | CHIEF COMPLIANCE OFFICER RIA | NA | |
| DAY, FRANK EDMUND | I | CHIEF COMPLIANCE OFFICER RIA | NA | |
| DAY, FRANK EDMUND | I | CHIEF COMPLIANCE OFFICER RIA | NA | |
| DAY, FRANK EDMUND | I | CHIEF COMPLIANCE OFFICER RIA | NA | |
| DAY, FRANK EDMUND | I | COMPLIANCE OFFICER ADVISORY SERVICES | NA | |
| DAY, FRANK EDMUND | I | COMPLIANCE OFFICER ADVISORY SERVICES | NA | |
| DAY, FRANK EDMUND | I | COMPLIANCE OFFICER ADVISORY SERVICES | NA | |
| DAY, FRANK EDMUND | I | COMPLIANCE OFFICER ADVISORY SERVICES | NA | |
| DAY, FRANK EDMUND | I | COMPLIANCE OFFICER ADVISORY SERVICES | NA | |
| DAY, FRANK EDMUND | I | COMPLIANCE OFFICER ADVISORY SERVICES | NA | |
| DAY, FRANK EDMUND | I | CHIEF COMPLIANCE OFFICER RIA | NA | |
| DAY, FRANK EDMUND | I | CHIEF COMPLIANCE OFFICER RIA | NA | |
| DAY, FRANK EDMUND | I | CHIEF COMPLIANCE OFFICER RIA, ROSFP | NA | |
| DAY, FRANK EDMUND | I | CHIEF COMPLIANCE OFFICER RIA, ROSFP | NA | |
| DAY, FRANK EDMUND | I | CHIEF COMPLIANCE OFFICER RIA, ROSFP | NA | |
| DAY, FRANK EDMUND | I | CHIEF COMPLIANCE OFFICER RIA, ROSFP | NA | |
| DAY, FRANK EDMUND | I | CHIEF COMPLIANCE OFFICER RIA | NA | |
| DAY, FRANK EDMUND | I | CHIEF COMPLIANCE OFFICER RIA, ROSFP | NA | |
| DAY, FRANK EDMUND | I | CHIEF COMPLIANCE OFFICER RIA, ROSFP | NA | |
| DAY, FRANK EDMUND | I | CHIEF COMPLIANCE OFFICER RIA, ROSFP | NA | |
| DAY, FRANK EDMUND | I | CHIEF COMPLIANCE OFFICER RIA, ROSFP | NA | |
| DAY, FRANK EDMUND | I | CHIEF COMPLIANCE OFFICER RIA, ROSFP | NA | |
| DAY, FRANK EDMUND | I | CHIEF COMPLIANCE OFFICER RIA | NA | |
| DAY, FRANK EDMUND | I | CHIEF COMPLIANCE OFFICER RIA | NA | |
| DAY, FRANK EDMUND | I | CHIEF COMPLIANCE OFFICER RIA, ROSFP | NA | |
| DAY, FRANK EDMUND | I | CHIEF COMPLIANCE OFFICER RIA, ROPFP | NA | |
| DAY, FRANK EDMUND | I | CHIEF COMPLIANCE OFFICER RIA, ROSFP | NA | |
| DAY, FRANK EDMUND | I | CHIEF COMPLIANCE OFFICER RIA, ROSFP | NA | |
| DAY, FRANK EDMUND | I | CHIEF COMPLIANCE OFFICER RIA, ROSFP | NA | |
| DAY, FRANK EDMUND | I | CHIEF COMPLIANCE OFFICER RIA, ROSFP | NA | |
| DAY, FRANK EDMUND | I | CHIEF COMPLIANCE OFFICER RIA, ROSFP | NA | |
| DAY, FRANK EDMUND | I | CHIEF COMPLIANCE OFFICER RIA, ROSFP | NA | |
| DAY, FRANK EDMUND | I | CHIEF COMPLIANCE OFFICER RIA, ROSFP | NA | |
| DAY, FRANK EDMUND | I | CHIEF COMPLIANCE OFFICER RIA | NA | |
| DAY, FRANK EDMUND | I | CHIEF COMPLIANCE OFFICER RIA | NA | |
| DAY, FRANK EDMUND | I | CHIEF COMPLIANCE OFFICER RIA, ROSFP | NA | |
| DAY, FRANK EDMUND | I | CHIEF COMPLIANCE OFFICER RIA, ROSFP | NA | |
| DAY, FRANK EDMUND | I | CHIEF COMPLIANCE OFFICER RIA, ROSFP | NA | |
| DAY, FRANK EDMUND | I | CHIEF COMPLIANCE OFFICER RIA, ROSFP | NA | |
| DAY, FRANK EDMUND | I | CHIEF COMPLIANCE OFFICER RIA, ROSFP | NA | |
| DAY, FRANK EDMUND | I | CHIEF COMPLIANCE OFFICER, ROSFP | NA | |
| DOMENIGHINI, DANIEL SCOTT | I | VP TECHNOLOGY | NA | Control |
| DOMENIGHINI, DANIEL SCOTT | I | VP TECHNOLOGY | NA | Control |
| DOMENIGHINI, DANIEL SCOTT | I | VP TECHNOLOGY | NA | Control |
| DOMENIGHINI, DANIEL SCOTT | I | VP TECHNOLOGY | NA | Control |
| DOMENIGHINI, DANIEL SCOTT | I | VP TECHNOLOGY | NA | Control |
| DOMENIGHINI, DANIEL SCOTT | I | VP TECHNOLOGY | NA | Control |
| DOMENIGHINI, DANIEL SCOTT | I | VP TECHNOLOGY | NA | Control |
| DOMENIGHINI, DANIEL SCOTT | I | VP TECHNOLOGY | NA | Control |
| DOMENIGHINI, DANIEL SCOTT | I | VP TECHNOLOGY | NA | Control |
| DOMENIGHINI, DANIEL SCOTT | I | VP TECHNOLOGY | NA | Control |
| DOMENIGHINI, DANIEL SCOTT | I | VP TECHNOLOGY | NA | Control |
| DOMENIGHINI, DANIEL SCOTT | I | VP TECHNOLOGY | NA | Control |
| DOMENIGHINI, DANIEL SCOTT | I | VP TECHNOLOGY | NA | Control |
| DOMENIGHINI, DANIEL SCOTT | I | VP TECHNOLOGY | NA | Control |
| DOMENIGHINI, DANIEL SCOTT | I | VP TECHNOLOGY | NA | Control |
| DOMENIGHINI, DANIEL SCOTT | I | VP TECHNOLOGY AND BUSINESS ANALYTICS | NA | Control |
| DOMENIGHINI, DANIEL SCOTT | I | VP TECHNOLOGY AND BUSINESS ANALYTICS | NA | Control |
| DOMENIGHINI, DANIEL SCOTT | I | VP TECHNOLOGY AND BUSINESS ANALYTICS | NA | Control |
| DOMENIGHINI, DANIEL SCOTT | I | VP TECHNOLOGY AND BUSINESS ANALYTICS | NA | Control |
| DOMENIGHINI, DANIEL SCOTT | I | VP TECHNOLOGY AND BUSINESS ANALYTICS | NA | Control |
| DOMENIGHINI, DANIEL SCOTT | I | VP TECHNOLOGY AND BUSINESS ANALYTICS | NA | Control |
| DOMENIGHINI, DANIEL SCOTT | I | VP TECHNOLOGY AND BUSINESS ANALYTICS | NA | Control |
| DOMENIGHINI, DANIEL SCOTT | I | VP TECHNOLOGY AND BUSINESS ANALYTICS | NA | Control |
| DOMENIGHINI, DANIEL SCOTT | I | VP TECHNOLOGY AND BUSINESS ANALYTICS | NA | Control |
| DOMENIGHINI, DANIEL SCOTT | I | VP TECHNOLOGY AND BUSINESS ANALYTICS | NA | Control |
| DOMENIGHINI, DANIEL SCOTT | I | VP TECHNOLOGY AND BUSINESS ANALYTICS | NA | Control |
| DOMENIGHINI, DANIEL SCOTT | I | VP TECHNOLOGY | NA | Control |
| DOMENIGHINI, DANIEL SCOTT | I | VP TECHNOLOGY | NA | Control |
| DOMENIGHINI, DANIEL SCOTT | I | VP TECHNOLOGY AND BUSINESS ANALYTICS | NA | Control |
| DOMENIGHINI, DANIEL SCOTT | I | VP TECHNOLOGY AND BUSINESS ANALYTICS | NA | Control |
| DOMENIGHINI, DANIEL SCOTT | I | VP TECHNOLOGY AND BUSINESS ANALYTICS | NA | Control |
| DOMENIGHINI, DANIEL SCOTT | I | VP TECHNOLOGY AND BUSINESS ANALYTICS | NA | Control |
| DOMENIGHINI, DANIEL SCOTT | I | VP TECHNOLOGY AND BUSINESS ANALYTICS | NA | Control |
| DOMENIGHINI, DANIEL SCOTT | I | VP TECHNOLOGY AND BUSINESS ANALYTICS | NA | Control |
| DOMENIGHINI, DANIEL SCOTT | I | VP TECHNOLOGY AND BUSINESS ANALYTICS | NA | Control |
| DOMENIGHINI, DANIEL SCOTT | I | VP TECHNOLOGY AND BUSINESS ANALYTICS | NA | Control |
| DOMENIGHINI, DANIEL SCOTT | I | VP TECHNOLOGY AND BUSINESS ANALYTICS | NA | Control |
| DOMENIGHINI, DANIEL SCOTT | I | VP TECHNOLOGY | NA | Control |
| DOMENIGHINI, DANIEL SCOTT | I | VP TECHNOLOGY | NA | Control |
| DOMENIGHINI, DANIEL SCOTT | I | VP TECHNOLOGY AND BUSINESS ANALYTICS | NA | Control |
| DOMENIGHINI, DANIEL SCOTT | I | VP TECHNOLOGY AND BUSINESS ANALYTICS | NA | Control |
| DOMENIGHINI, DANIEL SCOTT | I | VP TECHNOLOGY AND BUSINESS ANALYTICS | NA | Control |
| DOMENIGHINI, DANIEL SCOTT | I | VP TECHNOLOGY AND BUSINESS ANALYTICS | NA | Control |
| DONAHE, HEIDI PEDERSON | I | PRESIDENT | NA | Control |
| DONAHE, HEIDI PEDERSON | I | PRESIDENT | NA | Control |
| DONAHE, HEIDI PEDERSON | I | PRESIDENT | NA | Control |
| DONAHE, HEIDI PEDERSON | I | PRESIDENT | NA | Control |
| DONAHE, HEIDI PEDERSON | I | PRESIDENT | NA | Control |
| DONAHE, HEIDI PEDERSON | I | PRESIDENT | NA | Control |
| DONAHE, HEIDI PEDERSON | I | PRESIDENT | NA | Control |
| DONAHE, HEIDI PEDERSON | I | PRESIDENT | NA | Control |
| DONAHE, HEIDI PEDERSON | I | PRESIDENT | NA | Control |
| DOUGHERTY, CASEY WILLIAM | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| DOUGHERTY, CASEY WILLIAM | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| DOUGHERTY, CASEY WILLIAM | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| DOUGHERTY, CASEY WILLIAM | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| DOUGHERTY, CASEY WILLIAM | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| DOUGHERTY, CASEY WILLIAM | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| EHINGER, KENNETH RAY | I | PRESIDENT/CEO | NA | Control |
| EHINGER, KENNETH RAY | I | PRESIDENT/CEO | NA | Control |
| EHINGER, KENNETH RAY | I | PRESIDENT/CEO | NA | Control |
| EHINGER, KENNETH RAY | I | PRESIDENT/CEO | NA | Control |
| EHINGER, KENNETH RAY | I | PRESIDENT/CEO | NA | Control |
| EHINGER, KENNETH RAY | I | PRESIDENT/CEO | NA | Control |
| EHINGER, KENNETH RAY | I | PRESIDENT/CEO | NA | Control |
| EHINGER, KENNETH RAY | I | PRESIDENT/CEO | NA | Control |
| EHINGER, KENNETH RAY | I | PRESIDENT/CEO | NA | Control |
| EHINGER, KENNETH RAY | I | PRESIDENT/CEO | NA | Control |
| EHINGER, KENNETH RAY | I | PRESIDENT/CEO | NA | Control |
| EHINGER, KENNETH RAY | I | PRESIDENT/CEO | NA | Control |
| EHINGER, KENNETH RAY | I | PRESIDENT/CEO | NA | Control |
| EHINGER, KENNETH RAY | I | PRESIDENT/CEO | NA | Control |
| EHINGER, KENNETH RAY | I | PRESIDENT/CEO | NA | Control |
| EHINGER, KENNETH RAY | I | PRESIDENT/CEO | NA | Control |
| EHINGER, KENNETH RAY | I | PRESIDENT/CEO | NA | Control |
| EHINGER, KENNETH RAY | I | PRESIDENT/CEO | NA | Control |
| EHINGER, KENNETH RAY | I | PRESIDENT/CEO | NA | Control |
| EHINGER, KENNETH RAY | I | PRESIDENT/CEO | NA | Control |
| EHINGER, KENNETH RAY | I | PRESIDENT/CEO | NA | Control |
| EHINGER, KENNETH RAY | I | PRESIDENT/CEO | NA | Control |
| EHINGER, KENNETH RAY | I | PRESIDENT/CEO | NA | Control |
| EHINGER, KENNETH RAY | I | PRESIDENT/CEO | NA | Control |
| EHINGER, KENNETH RAY | I | PRESIDENT/CEO | NA | Control |
| EHINGER, KENNETH RAY | I | PRESIDENT/CEO | NA | Control |
| EHINGER, KENNETH RAY | I | PRESIDENT/CEO | NA | Control |
| EHINGER, KENNETH RAY | I | PRESIDENT/CEO/DIRECTOR | NA | Control |
| EHINGER, KENNETH RAY | I | PRESIDENT/CEO/DIRECTOR | NA | Control |
| EHINGER, KENNETH RAY | I | PRESIDENT/CEO | NA | Control |
| EHINGER, KENNETH RAY | I | PRESIDENT/CEO | NA | Control |
| EHINGER, KENNETH RAY | I | PRESIDENT/CEO | NA | Control |
| EHINGER, KENNETH RAY | I | PRESIDENT/CEO | NA | Control |
| EHINGER, KENNETH RAY | I | PRESIDENT/CEO/DIRECTOR | NA | Control |
| EHINGER, KENNETH RAY | I | PRESIDENT/CEO/DIRECTOR | NA | Control |
| EHINGER, KENNETH RAY | I | PRESIDENT/CEO/DIRECTOR | NA | Control |
| EHINGER, KENNETH RAY | I | PRESIDENT/CEO/DIRECTOR | NA | Control |
| EHINGER, KENNETH RAY | I | PRESIDENT/CEO | NA | Control |
| EHINGER, KENNETH RAY | I | PRESIDENT/CEO/DIRECTOR | NA | Control |
| EHINGER, KENNETH RAY | I | PRESIDENT/CEO | NA | Control |
| EHINGER, KENNETH RAY | I | PRESIDENT/CEO | NA | Control |
| EHINGER, KENNETH RAY | I | PRESIDENT/CEO | NA | Control |
| EHINGER, KENNETH RAY | I | PRESIDENT/CEO | NA | Control |
| EHINGER, KENNETH RAY | I | PRESIDENT/CEO | NA | Control |
| EHINGER, KENNETH RAY | I | PRESIDENT/CEO/DIRECTOR | NA | Control |
| EHINGER, KENNETH RAY | I | PRESIDENT/CEO/DIRECTOR | NA | Control |
| EHRET, JILL ELLEN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| EHRET, JILL ELLEN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| ELMORE, CONNIE KATHLEEN | I | DIRECTOR | NA | Control |
| ELMORE, CONNIE KATHLEEN | I | DIRECTOR | NA | Control |
| ELMORE, CONNIE KATHLEEN | I | DIRECTOR | NA | Control |
| ELMORE, CONNIE KATHLEEN | I | DIRECTOR | NA | Control |
| ELMORE, CONNIE KATHLEEN | I | DIRECTOR | NA | Control |
| ELMORE, CONNIE KATHLEEN | I | DIRECTOR | NA | Control |
| ELMORE, CONNIE KATHLEEN | I | DIRECTOR | NA | Control |
| ELMORE, CONNIE KATHLEEN | I | DIRECTOR | NA | Control |
| ELMORE, CONNIE KATHLEEN | I | DIRECTOR | NA | Control |
| ELMORE, CONNIE KATHLEEN | I | DIRECTOR | NA | Control |
| ELMORE, CONNIE KATHLEEN | I | DIRECTOR | NA | Control |
| FLEISHER, CARRIE LEE | I | DIRECTOR OF OPERATIONS, ROP, CROP, DIRECTOR OF SUPERVISION | NA | |
| FLEISHER, CARRIE LEE | I | DIRECTOR OF OPERATIONS, ROP, CROP, DIRECTOR OF SUPERVISION | NA | |
| FLEISHER, CARRIE LEE | I | VICE PRESIDENT, SROP, CHIEF COMPLIANCE OFFICER B/D, DIRECTOR OF SUPERVISION | NA | |
| FLEISHER, CARRIE LEE | I | VICE PRESIDENT, SROP, CHIEF COMPLIANCE OFFICER B/D, DIRECTOR OF SUPERVISION | NA | |
| FLEISHER, CARRIE LEE | I | VICE PRESIDENT, ROSFP, AML & CHIEF COMPLIANCE OFFICER B/D, DIRECTOR OF SUPERVISION,COO. | NA | Control |
| FLEISHER, CARRIE LEE | I | VICE PRESIDENT, ROSFP, AML & CHIEF COMPLIANCE OFFICER B/D, COO. | NA | Control |
| FLEISHER, CARRIE LEE | I | VICE PRESIDENT, ROSFP, AML & CHIEF COMPLIANCE OFFICER B/D, COO. | NA | Control |
| FLEISHER, CARRIE LEE | I | VICE PRESIDENT, ROSFP, AML & CHIEF COMPLIANCE OFFICER B/D, COO. | NA | Control |
| FLEISHER, CARRIE LEE | I | VICE PRESIDENT, ROSFP, AML & CHIEF COMPLIANCE OFFICER B/D, COO. | NA | Control |
| FLEISHER, CARRIE LEE | I | VICE PRESIDENT, ROSFP, AML & CHIEF COMPLIANCE OFFICER B/D, COO. | NA | Control |
| FLEISHER, CARRIE LEE | I | VICE PRESIDENT, ROSFP, AML & CHIEF COMPLIANCE OFFICER B/D, COO. | NA | Control |
| FLEISHER, CARRIE LEE | I | VICE PRESIDENT, ROSFP, AML & CHIEF COMPLIANCE OFFICER B/D, COO. | NA | Control |
| FLEISHER, CARRIE LEE | I | VICE PRESIDENT, ROSFP, AML & CHIEF COMPLIANCE OFFICER B/D, COO. | NA | Control |
| FLEISHER, CARRIE LEE | I | VICE PRESIDENT, ROSFP, AML & CHIEF COMPLIANCE OFFICER B/D, COO. | NA | Control |
| FLEISHER, CARRIE LEE | I | VICE PRESIDENT, ROSFP, AML & CHIEF COMPLIANCE OFFICER B/D, COO. | NA | Control |
| FLEISHER, CARRIE LEE | I | VICE PRESIDENT, ROSFP, AML & CHIEF COMPLIANCE OFFICER B/D, COO. | NA | Control |
| FLEISHER, CARRIE LEE | I | MANAGER, ACCOUNT SERVICES & LICENSING/REGISTRATION/CROP/SROP | NA | |
| FLEISHER, CARRIE LEE | I | VICE PRESIDENT, ROSFP, AML & CHIEF COMPLIANCE OFFICER B/D, COO. | NA | Control |
| FLEISHER, CARRIE LEE | I | VICE PRESIDENT, ROSFP, AML & CHIEF COMPLIANCE OFFICER B/D, COO. | NA | Control |
| FLEISHER, CARRIE LEE | I | VICE PRESIDENT, SROP, CHIEF COMPLIANCE OFFICER B/D, DIRECTOR OF SUPERVISION | NA | |
| FLEISHER, CARRIE LEE | I | VICE PRESIDENT, SROP, CHIEF COMPLIANCE OFFICER B/D, DIRECTOR OF SUPERVISION | NA | |
| FLEISHER, CARRIE LEE | I | VICE PRESIDENT, ROSFP, AML & CHIEF COMPLIANCE OFFICER B/D, COO. | NA | Control |
| FLEISHER, CARRIE LEE | I | VICE PRESIDENT, ROSFP, AML & CHIEF COMPLIANCE OFFICER B/D, DIRECTOR OF SUPERVISION | NA | |
| FLEISHER, CARRIE LEE | I | VICE PRESIDENT, SROP, CHIEF COMPLIANCE OFFICER B/D, DIRECTOR OF SUPERVISION | NA | |
| FLEISHER, CARRIE LEE | I | VICE PRESIDENT, ROSFP, AML & CHIEF COMPLIANCE OFFICER B/D, COO. | NA | Control |
| FLEISHER, CARRIE LEE | I | MANAGER, ACCOUNT SERVICES & LICENSING/REGISTRATION/CROP/SROP | NA | |
| FLEISHER, CARRIE LEE | I | VICE PRESIDENT, ROSFP, AML & CHIEF COMPLIANCE OFFICER B/D, DIRECTOR OF SUPERVISION,COO. | NA | Control |
| FLEISHER, CARRIE LEE | I | VP, CHIEF RISK AND COMPLIANCE OFFICER | NA | Control |
| FLEISHER, CARRIE LEE | I | VP, CHIEF RISK AND COMPLIANCE OFFICER, AML CO | NA | Control |
| FLEISHER, CARRIE LEE | I | VP, CHIEF RISK AND COMPLIANCE OFFICER, AML CO | NA | Control |
| FLEISHER, CARRIE LEE | I | VP, CHIEF RISK AND COMPLIANCE OFFICER, AML CO | NA | Control |
| FLEISHER, CARRIE LEE | I | VP, CHIEF RISK AND COMPLIANCE OFFICER, AML CO | NA | Control |
| FLEISHER, CARRIE LEE | I | VP, CHIEF RISK AND COMPLIANCE OFFICER | NA | Control |
| FLEISHER, CARRIE LEE | I | VP, CHIEF RISK AND COMPLIANCE OFFICER, AML CO | NA | Control |
| FLEISHER, CARRIE LEE | I | VP, CHIEF RISK AND COMPLIANCE OFFICER, AML CO | NA | Control |
| FLEISHER, CARRIE LEE | I | VP, CHIEF RISK AND COMPLIANCE OFFICER, AML CO | NA | Control |
| FLEISHER, CARRIE LEE | I | VP, CHIEF RISK AND COMPLIANCE OFFICER, AML CO | NA | Control |
| FLEISHER, CARRIE LEE | I | VP, CHIEF RISK AND COMPLIANCE OFFICER, AML CO | NA | Control |
| FLEISHER, CARRIE LEE | I | VICE PRESIDENT, ROSFP, AML & CHIEF COMPLIANCE OFFICER B/D, COO. | NA | Control |
| FLEISHER, CARRIE LEE | I | VICE PRESIDENT, ROSFP, AML & CHIEF COMPLIANCE OFFICER B/D, COO. | NA | Control |
| FLEISHER, CARRIE LEE | I | VP, CHIEF RISK AND COMPLIANCE OFFICER, AML CO | NA | Control |
| FLEISHER, CARRIE LEE | I | VP, CHIEF RISK AND COMPLIANCE OFFICER, AML CO | NA | Control |
| FLEISHER, CARRIE LEE | I | VP, CHIEF RISK AND COMPLIANCE OFFICER, AML CO | NA | Control |
| FLEISHER, CARRIE LEE | I | VP, CHIEF RISK AND COMPLIANCE OFFICER, AML CO | NA | Control |
| FLEISHER, CARRIE LEE | I | VP, CHIEF RISK AND COMPLIANCE OFFICER, AML CO | NA | Control |
| FLEISHER, CARRIE LEE | I | VP, CHIEF RISK AND COMPLIANCE OFFICER, AML CO | NA | Control |
| FLEISHER, CARRIE LEE | I | VP, CHIEF RISK AND COMPLIANCE OFFICER, AML CO | NA | Control |
| FLEISHER, CARRIE LEE | I | VP, CHIEF RISK AND COMPLIANCE OFFICER, AML CO | NA | Control |
| FLEISHER, CARRIE LEE | I | VP, CHIEF RISK AND COMPLIANCE OFFICER, AML CO | NA | Control |
| FLEISHER, CARRIE LEE | I | VICE PRESIDENT, ROSFP, AML & CHIEF COMPLIANCE OFFICER B/D, COO. | NA | Control |
| FLEISHER, CARRIE LEE | I | VICE PRESIDENT, ROSFP, AML & CHIEF COMPLIANCE OFFICER B/D, COO. | NA | Control |
| FLEISHER, CARRIE LEE | I | VP, CHIEF RISK AND COMPLIANCE OFFICER, AML CO | NA | Control |
| FLEISHER, CARRIE LEE | I | VP, CHIEF RISK AND COMPLIANCE OFFICER, AML CO | NA | Control |
| FLEISHER, CARRIE LEE | I | VP, CHIEF RISK AND COMPLIANCE OFFICER, AML CO | NA | Control |
| FLEISHER, CARRIE LEE | I | VP, CHIEF RISK AND COMPLIANCE OFFICER, AML CO | NA | Control |
| GRAVES, ANDREW PAUL | I | DIRECTOR | NA | Control |
| GRAVES, ANDREW PAUL | I | DIRECTOR | NA | Control |
| GRAVES, ANDREW PAUL | I | DIRECTOR | NA | Control |
| GRAVES, ANDREW PAUL | I | DIRECTOR | NA | Control |
| GRAVES, ANDREW PAUL | I | DIRECTOR | NA | Control |
| GRAVES, ANDREW PAUL | I | DIRECTOR | NA | Control |
| GRAVES, ANDREW PAUL | I | DIRECTOR | NA | Control |
| GRAVES, ANDREW PAUL | I | DIRECTOR | NA | Control |
| GRAVES, ANDREW PAUL | I | DIRECTOR | NA | Control |
| GRAVES, ANDREW PAUL | I | DIRECTOR | NA | Control |
| HANEY-JACKSON, LAURA ELIZABETH | I | VICE PRESIDENT - PRINCIPAL OPERATIONS OFFICER | NA | |
| HANEY-JACKSON, LAURA ELIZABETH | I | VICE PRESIDENT - PRINCIPAL OPERATIONS OFFICER | NA | |
| HANEY-JACKSON, LAURA ELIZABETH | I | VICE PRESIDENT - PRINCIPAL OPERATIONS OFFICER | NA | |
| HANEY-JACKSON, LAURA ELIZABETH | I | VICE PRESIDENT - PRINCIPAL OPERATIONS OFFICER | NA | |
| HANEY-JACKSON, LAURA ELIZABETH | I | VICE PRESIDENT - PRINCIPAL OPERATIONS OFFICER | NA | |
| HANEY-JACKSON, LAURA ELIZABETH | I | VICE PRESIDENT - PRINCIPAL OPERATIONS OFFICER | NA | |
| HANEY-JACKSON, LAURA ELIZABETH | I | VICE PRESIDENT - PRINCIPAL OPERATIONS OFFICER | NA | |
| HANEY-JACKSON, LAURA ELIZABETH | I | VICE PRESIDENT - PRINCIPAL OPERATIONS OFFICER | NA | |
| HILLIKER, JAMES RICHARD | I | VICE PRESIDENT OPERATIONS, SROP | NA | Control |
| HILLIKER, JAMES RICHARD | I | VICE PRESIDENT OPERATIONS, SROP | NA | Control |
| HILLIKER, JAMES RICHARD | I | VICE PRESIDENT OPERATIONS | NA | Control |
| HILLIKER, JAMES RICHARD | I | VICE PRESIDENT OPERATIONS, ROP/CROP | NA | Control |
| HILLIKER, JAMES RICHARD | I | VICE PRESIDENT, OPERATIONS,CROP/SROP, FINOP | NA | Control |
| HILLIKER, JAMES RICHARD | I | VICE PRESIDENT, OPERATIONS,CROP/SROP, FINOP | NA | Control |
| HILLIKER, JAMES RICHARD | I | VICE PRESIDENT, OPERATIONS,CROP/SROP | NA | Control |
| HILLIKER, JAMES RICHARD | I | VICE PRESIDENT, OPERATIONS,CROP/SROP | NA | Control |
| HILLIKER, JAMES RICHARD | I | VICE PRESIDENT, OPERATIONS | NA | Control |
| HILLIKER, JAMES RICHARD | I | VICE PRESIDENT OPERATIONS | NA | Control |
| HILLIKER, JAMES RICHARD | I | VICE PRESIDENT OPERATIONS | NA | Control |
| HILLIKER, JAMES RICHARD | I | VICE PRESIDENT OPERATIONS | NA | Control |
| HILLIKER, JAMES RICHARD | I | VICE PRESIDENT OPERATIONS | NA | Control |
| HILLIKER, JAMES RICHARD | I | VICE PRESIDENT, OPERATIONS,CROP/SROP | NA | Control |
| HILLIKER, JAMES RICHARD | I | VICE PRESIDENT, OPERATIONS | NA | Control |
| HILLIKER, JAMES RICHARD | I | VICE PRESIDENT, OPERATIONS,CROP/SROP | NA | Control |
| HILLIKER, JAMES RICHARD | I | VICE PRESIDENT, OPERATIONS,CROP/SROP | NA | Control |
| HILLIKER, JAMES RICHARD | I | VICE PRESIDENT, OPERATIONS,CROP/SROP | NA | Control |
| HILLIKER, JAMES RICHARD | I | VICE PRESIDENT, OPERATIONS,CROP/SROP | NA | Control |
| HOEY, LAURA MARY | I | AML COMPLIANCE OFFICER | NA | |
| HOEY, LAURA MARY | I | AML COMPLIANCE OFFICER | NA | |
| HOEY, LAURA MARY | I | AML COMPLIANCE OFFICER | NA | |
| HOEY, LAURA MARY | I | AML COMPLIANCE OFFICER | NA | |
| HOEY, LAURA MARY | I | AML COMPLIANCE OFFICER | NA | |
| HOEY, LAURA MARY | I | AML COMPLIANCE OFFICER | NA | |
| HOEY, LAURA MARY | I | AML COMPLIANCE OFFICER | NA | |
| HOUTMAN, JILL CRESTINGER | I | VP, OPERATIONS | NA | Control |
| HOUTMAN, JILL CRESTINGER | I | VP, OPERATIONS | NA | Control |
| HOUTMAN, JILL CRESTINGER | I | VP, OPERATIONS | NA | Control |
| HOUTMAN, JILL CRESTINGER | I | VP, OPERATIONS | NA | Control |
| HOUTMAN, JILL CRESTINGER | I | VP, OPERATIONS | NA | Control |
| HOUTMAN, JILL CRESTINGER | I | VP, OPERATIONS | NA | Control |
| HOUTMAN, JILL CRESTINGER | I | VP, OPERATIONS | NA | Control |
| HOUTMAN, JILL CRESTINGER | I | VP, OPERATIONS | NA | Control |
| HOUTMAN, JILL CRESTINGER | I | VP, OPERATIONS | NA | Control |
| HOUTMAN, JILL CRESTINGER | I | VP, OPERATIONS | NA | Control |
| HOUTMAN, JILL CRESTINGER | I | VP, OPERATIONS | NA | Control |
| HOUTMAN, JILL CRESTINGER | I | FINANCIAL SERVICES AND PRODUCTS OFFICER | NA | Control |
| HOUTMAN, JILL CRESTINGER | I | FINANCIAL SERVICES AND PRODUCTS OFFICER | NA | Control |
| HOUTMAN, JILL CRESTINGER | I | VP, OPERATIONS | NA | Control |
| HOUTMAN, JILL CRESTINGER | I | VP, OPERATIONS | NA | Control |
| HOUTMAN, JILL CRESTINGER | I | VP, OPERATIONS | NA | Control |
| HOUTMAN, JILL CRESTINGER | I | VP, OPERATIONS | NA | Control |
| HOUTMAN, JILL CRESTINGER | I | VP, OPERATIONS | NA | Control |
| HOUTMAN, JILL CRESTINGER | I | VP, OPERATIONS | NA | Control |
| HOUTMAN, JILL CRESTINGER | I | VP, OPERATIONS | NA | Control |
| HOUTMAN, JILL CRESTINGER | I | VP, OPERATIONS | NA | Control |
| HOUTMAN, JILL CRESTINGER | I | VP, OPERATIONS | NA | Control |
| HOUTMAN, JILL CRESTINGER | I | FINANCIAL SERVICES AND PRODUCTS OFFICER | NA | Control |
| HOUTMAN, JILL CRESTINGER | I | FINANCIAL SERVICES AND PRODUCTS OFFICER | NA | Control |
| HOUTMAN, JILL CRESTINGER | I | VP, OPERATIONS | NA | Control |
| HOUTMAN, JILL CRESTINGER | I | VP, OPERATIONS | NA | Control |
| HOUTMAN, JILL CRESTINGER | I | VP, OPERATIONS | NA | Control |
| HOUTMAN, JILL CRESTINGER | I | VP, OPERATIONS | NA | Control |
| JACOBSEN, BRYAN K | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| JACOBSEN, BRYAN K | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| JONSKE, FRED HENRY | I | CHAIR | NA | Control |
| JONSKE, FRED HENRY | I | CHAIR | NA | Control |
| JONSKE, FRED HENRY | I | CHAIR | NA | Control |
| JONSKE, FRED HENRY | I | CHAIR | NA | Control |
| JONSKE, FRED HENRY | I | CHAIR | NA | Control |
| JONSKE, FRED HENRY | I | CHAIR | NA | Control |
| JONSKE, FRED HENRY | I | CHAIR | NA | Control |
| JONSKE, FRED HENRY | I | CHAIR | NA | Control |
| JONSKE, FRED HENRY | I | CHAIR | NA | Control |
| JONSKE, FRED HENRY | I | CHAIR | NA | Control |
| JONSKE, FRED HENRY | I | CHAIR | NA | Control |
| JONSKE, FRED HENRY | I | CHAIR | NA | Control |
| JONSKE, FRED HENRY | I | CHAIR | NA | Control |
| JONSKE, FRED HENRY | I | CHAIR | NA | Control |
| JONSKE, FRED HENRY | I | CHAIR | NA | Control |
| JONSKE, FRED HENRY | I | CHAIR | NA | Control |
| JONSKE, FRED HENRY | I | CHAIR | NA | Control |
| JONSKE, FRED HENRY | I | CHAIR | NA | Control |
| JONSKE, FRED HENRY | I | CHAIR | NA | Control |
| JONSKE, FRED HENRY | I | CHAIR | NA | Control |
| JONSKE, FRED HENRY | I | CHAIR | NA | Control |
| JONSKE, FRED HENRY | I | CHAIR | NA | Control |
| JONSKE, FRED HENRY | I | CHAIR | NA | Control |
| JONSKE, FRED HENRY | I | CHAIR | NA | Control |
| JONSKE, FRED HENRY | I | CHAIR | NA | Control |
| JONSKE, FRED HENRY | I | CHAIR | NA | Control |
| JONSKE, FRED HENRY | I | CHAIR | NA | Control |
| JONSKE, FRED HENRY | I | CHAIR | NA | Control |
| JONSKE, FRED HENRY | I | CHAIR | NA | Control |
| JONSKE, FRED HENRY | I | CHAIR | NA | Control |
| JONSKE, FRED HENRY | I | CHAIR | NA | Control |
| JONSKE, FRED HENRY | I | CHAIR | NA | Control |
| JONSKE, FRED HENRY | I | CHAIR | NA | Control |
| JONSKE, FRED HENRY | I | CHAIR | NA | Control |
| JONSKE, FRED HENRY | I | CHAIR | NA | Control |
| JONSKE, FRED HENRY | I | CHAIR | NA | Control |
| JONSKE, FRED HENRY | I | CHAIR | NA | Control |
| JONSKE, FRED HENRY | I | CHAIR | NA | Control |
| JONSKE, FRED HENRY | I | CHAIR | NA | Control |
| JONSKE, FRED HENRY | I | CHAIR | NA | Control |
| JONSKE, FRED HENRY | I | CHAIR | NA | Control |
| JONSKE, FRED HENRY | I | CHAIR | NA | Control |
| JONSKE, FRED HENRY | I | CHAIR | NA | Control |
| JONSKE, FRED HENRY | I | CHAIR | NA | Control |
| JONSKE, FRED HENRY | I | CHAIR | NA | Control |
| JONSKE, FRED HENRY | I | CHAIR | NA | Control |
| KELLER, MICHAEL TERRANCE | I | PRESIDENT/DIRECTOR | NA | Control |
| KELLER, MICHAEL TERRANCE | I | PRESIDENT/DIRECTOR | NA | Control |
| KELLER, MICHAEL TERRANCE | I | PRESIDENT/DIRECTOR | NA | Control |
| KITTREDGE, DAVID MICHAEL | I | DIRECTOR | NA | |
| KITTREDGE, DAVID MICHAEL | I | PRESIDENT AND CHIEF EXECUTIVE OFFICER | NA | Control |
| KITTREDGE, DAVID MICHAEL | I | DIRECTOR | NA | |
| KRAMER, ANDREW JOHN | I | DIRECTOR | NA | |
| KRAMER, ANDREW JOHN | I | DIRECTOR | NA | |
| KRAMER, ANDREW JOHN | I | DIRECTOR | NA | |
| KUKAR, KEVIN BRUCE | I | TREASURER | NA | |
| KUKAR, KEVIN BRUCE | I | TREASURER | NA | |
| KUKAR, KEVIN BRUCE | I | TREASURER | NA | |
| KUKAR, KEVIN BRUCE | I | TREASURER | NA | |
| KUKAR, KEVIN BRUCE | I | TREASURER | NA | |
| KUKAR, KEVIN BRUCE | I | TREASURER | NA | |
| KUKAR, KEVIN BRUCE | I | TREASURER | NA | |
| KUKAR, KEVIN BRUCE | I | TREASURER | NA | |
| KUKAR, KEVIN BRUCE | I | TREASURER | NA | |
| KUKAR, KEVIN BRUCE | I | TREASURER | NA | |
| KUKAR, KEVIN BRUCE | I | TREASURER | NA | |
| KUKAR, KEVIN BRUCE | I | TREASURER | NA | |
| KUKAR, KEVIN BRUCE | I | TREASURER | NA | |
| KUKAR, KEVIN BRUCE | I | TREASURER | NA | |
| KUKAR, KEVIN BRUCE | I | TREASURER | NA | |
| KUKAR, KEVIN BRUCE | I | TREASURER | NA | |
| KUKAR, KEVIN BRUCE | I | TREASURER | NA | |
| KUKAR, KEVIN BRUCE | I | TREASURER | NA | |
| KUKAR, KEVIN BRUCE | I | TREASURER | NA | |
| KUKAR, KEVIN BRUCE | I | TREASURER | NA | |
| KUKAR, KEVIN BRUCE | I | TREASURER | NA | |
| KUKAR, KEVIN BRUCE | I | TREASURER | NA | |
| KUKAR, KEVIN BRUCE | I | TREASURER | NA | Control |
| KUKAR, KEVIN BRUCE | I | TREASURER | NA | Control |
| KUKAR, KEVIN BRUCE | I | TREASURER | NA | Control |
| KUKAR, KEVIN BRUCE | I | TREASURER | NA | Control |
| KUKAR, KEVIN BRUCE | I | TREASURER | NA | Control |
| KUKAR, KEVIN BRUCE | I | TREASURER | NA | Control |
| KUKAR, KEVIN BRUCE | I | TREASURER | NA | Control |
| KUKAR, KEVIN BRUCE | I | TREASURER | NA | Control |
| KUKAR, KEVIN BRUCE | I | TREASURER | NA | Control |
| KUKAR, KEVIN BRUCE | I | TREASURER | NA | Control |
| KUKAR, KEVIN BRUCE | I | TREASURER | NA | Control |
| KUKAR, KEVIN BRUCE | I | TREASURER | NA | Control |
| KUKAR, KEVIN BRUCE | I | TREASURER | NA | Control |
| KUKAR, KEVIN BRUCE | I | TREASURER | NA | Control |
| KUKAR, KEVIN BRUCE | I | TREASURER | NA | Control |
| KUKAR, KEVIN BRUCE | I | TREASURER | NA | Control |
| KUKAR, KEVIN BRUCE | I | TREASURER | NA | Control |
| KUKAR, KEVIN BRUCE | I | TREASURER | NA | Control |
| KUKAR, KEVIN BRUCE | I | TREASURER | NA | Control |
| KUKAR, KEVIN BRUCE | I | TREASURER | NA | Control |
| KUKAR, KEVIN BRUCE | I | TREASURER | NA | Control |
| KUKAR, KEVIN BRUCE | I | TREASURER | NA | Control |
| KUKAR, KEVIN BRUCE | I | TREASURER | NA | Control |
| KUKAR, KEVIN BRUCE | I | TREASURER | NA | Control |
| KUKAR, KEVIN BRUCE | I | TREASURER | NA | Control |
| KUKAR, KEVIN BRUCE | I | TREASURER | NA | Control |
| KUKAR, KEVIN BRUCE | I | TREASURER | NA | Control |
| KUKAR, KEVIN BRUCE | I | TREASURER | NA | Control |
| KUKAR, KEVIN BRUCE | I | TREASURER | NA | Control |
| KUKAR, KEVIN BRUCE | I | TREASURER | NA | Control |
| KUKAR, KEVIN BRUCE | I | TREASURER | NA | Control |
| KUKAR, KEVIN BRUCE | I | TREASURER | NA | Control |
| KUKAR, KEVIN BRUCE | I | TREASURER | NA | Control |
| KUKAR, KEVIN BRUCE | I | TREASURER | NA | Control |
| KUKAR, KEVIN BRUCE | I | TREASURER | NA | Control |
| KUKAR, KEVIN BRUCE | I | TREASURER | NA | Control |
| KUKAR, KEVIN BRUCE | I | TREASURER | NA | Control |
| KUKAR, KEVIN BRUCE | I | TREASURER | NA | Control |
| KUKAR, KEVIN BRUCE | I | TREASURER | NA | Control |
| KUKAR, KEVIN BRUCE | I | TREASURER | NA | Control |
| KUKAR, KEVIN BRUCE | I | TREASURER | NA | Control |
| KUKAR, KEVIN BRUCE | I | TREASURER | NA | Control |
| KUKAR, KEVIN BRUCE | I | TREASURER | NA | Control |
| KUKAR, KEVIN BRUCE | I | TREASURER | NA | Control |
| KUKAR, KEVIN BRUCE | I | TREASURER | NA | Control |
| KUKAR, KEVIN BRUCE | I | TREASURER | NA | Control |
| KUKAR, KEVIN BRUCE | I | TREASURER | NA | Control |
| KUKAR, KEVIN BRUCE | I | TREASURER | NA | Control |
| KUKAR, KEVIN BRUCE | I | TREASURER | NA | Control |
| KUKAR, KEVIN BRUCE | I | TREASURER | NA | Control |
| KUKAR, KEVIN BRUCE | I | TREASURER | NA | Control |
| KUKAR, KEVIN BRUCE | I | TREASURER | NA | Control |
| KUKAR, KEVIN BRUCE | I | TREASURER | NA | Control |
| KUKAR, KEVIN BRUCE | I | TREASURER | NA | Control |
| KUKAR, KEVIN BRUCE | I | TREASURER | NA | Control |
| LEGACY, ELIZABETH ANNE | I | DIRECTOR | NA | |
| LEGACY, ELIZABETH ANNE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| LEGACY, ELIZABETH ANNE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| LUDWIG, STEVEN CHARLES | I | CHIEF COMPLIANCE OFFICER | NA | |
| LUDWIG, STEVEN CHARLES | I | CHIEF COMPLIANCE OFFICER | NA | |
| LUDWIG, STEVEN CHARLES | I | CHIEF COMPLIANCE OFFICER | NA | |
| LUDWIG, STEVEN CHARLES | I | CHIEF COMPLIANCE OFFICER | NA | |
| LUDWIG, STEVEN CHARLES | I | CHIEF COMPLIANCE OFFICER | NA | |
| LUDWIG, STEVEN CHARLES | I | CHIEF COMPLIANCE OFFICER | NA | |
| LUDWIG, STEVEN CHARLES | I | CHIEF COMPLIANCE OFFICER | NA | |
| LUDWIG, STEVEN CHARLES | I | CHIEF COMPLIANCE OFFICER | NA | |
| LUDWIG, STEVEN CHARLES | I | CHIEF COMPLIANCE OFFICER | NA | |
| LUNDIN, STEPHEN ALEXANDER | I | DIRECTOR | NA | |
| LUNDIN, STEPHEN ALEXANDER | I | DIRECTOR | NA | |
| LUNDIN, STEPHEN ALEXANDER | I | DIRECTOR | NA | |
| LUNDIN, STEPHEN ALEXANDER | I | DIRECTOR | NA | |
| LUNDIN, STEPHEN ALEXANDER | I | DIRECTOR | NA | |
| LUNDIN, STEPHEN ALEXANDER | I | DIRECTOR | NA | |
| LYTLE, JASON GODFREY | I | MSRB PRINCIPAL, ROP, CROP | NA | |
| LYTLE, JASON GODFREY | I | MSRB PRINCIPAL, ROP, CROP | NA | |
| LYTLE, JASON GODFREY | I | MSRB PRINCIPAL, ROP, CROP | NA | |
| LYTLE, JASON GODFREY | I | ROP, CROP | NA | |
| MCCLUNG, PAUL COHN | I | MSRB PRINCIPAL | NA | |
| MCCLUNG, PAUL COHN | I | MSRB PRINCIPAL | NA | |
| MCNAMARA-FENESY, BRIDGET MARY | I | CHIEF RISK AND COMPLIANCE OFFICER | NA | Control |
| MCNAMARA-FENESY, BRIDGET MARY | I | PRESIDENT AND CHIEF EXECUTIVE OFFICER | NA | Control |
| MCNAMARA-FENESY, BRIDGET MARY | I | PRESIDENT AND CHIEF EXECUTIVE OFFICER | NA | Control |
| MCNAMARA-FENESY, BRIDGET MARY | I | VICE PRESIDENT, REGULATORY & GOVERNANCE AFFAIRS | NA | Control |
| MCNAMARA-FENESY, BRIDGET MARY | I | PRESIDENT AND CHIEF EXECUTIVE OFFICER | NA | Control |
| MCNAMARA-FENESY, BRIDGET MARY | I | PRESIDENT AND CHIEF EXECUTIVE OFFICER | NA | Control |
| MCNAMARA-FENESY, BRIDGET MARY | I | PRESIDENT AND CHIEF EXECUTIVE OFFICER | NA | Control |
| MCNAMARA-FENESY, BRIDGET MARY | I | PRESIDENT AND CHIEF EXECUTIVE OFFICER | NA | Control |
| MCNAMARA-FENESY, BRIDGET MARY | I | PRESIDENT AND CHIEF EXECUTIVE OFFICER | NA | Control |
| MCNAMARA-FENESY, BRIDGET MARY | I | PRESIDENT AND CHIEF EXECUTIVE OFFICER | NA | Control |
| MCNAMARA-FENESY, BRIDGET MARY | I | PRESIDENT AND CHIEF EXECUTIVE OFFICER | NA | Control |
| MCNAMARA-FENESY, BRIDGET MARY | I | PRESIDENT AND CHIEF EXECUTIVE OFFICER | NA | Control |
| MCNAMARA-FENESY, BRIDGET MARY | I | PRESIDENT AND CHIEF EXECUTIVE OFFICER | NA | Control |
| MCNAMARA-FENESY, BRIDGET MARY | I | PRESIDENT AND CHIEF EXECUTIVE OFFICER | NA | Control |
| MCNAMARA-FENESY, BRIDGET MARY | I | PRESIDENT AND CHIEF EXECUTIVE OFFICER | NA | Control |
| MCNAMARA-FENESY, BRIDGET MARY | I | PRESIDENT AND CHIEF EXECUTIVE OFFICER | NA | Control |
| MCNAMARA-FENESY, BRIDGET MARY | I | PRESIDENT AND CHIEF EXECUTIVE OFFICER | NA | Control |
| MILLER, LAURA EILEEN | I | VICE PRESIDENT, MEMBER FIRM SERVICES, FINANCIAL PRINCIPAL | NA | Control |
| MILLER, LAURA EILEEN | I | VICE PRESIDENT, MEMBER FIRM SERVICES, FINANCIAL PRINCIPAL | NA | Control |
| MILLER, LAURA EILEEN | I | VICE PRESIDENT, MEMBER FIRM SERVICES, FINANCIAL PRINCIPAL | NA | Control |
| MILLER, LAURA EILEEN | I | VICE PRESIDENT, MEMBER FIRM SERVICES, FINANCIAL PRINCIPAL | NA | Control |
| MILLER, LAURA EILEEN | I | VICE PRESIDENT, MEMBER FIRM SERVICES, FINANCIAL PRINCIPAL | NA | Control |
| MORRISON, CONNIE KATHLEEN | I | DIRECTOR | NA | Control |
| MORRISON, CONNIE KATHLEEN | I | DIRECTOR | NA | Control |
| MORRISON, CONNIE KATHLEEN | I | DIRECTOR | NA | Control |
| MORRISON, CONNIE KATHLEEN | I | DIRECTOR | NA | Control |
| MORRISON, CONNIE KATHLEEN | I | DIRECTOR | NA | Control |
| MORRISON, CONNIE KATHLEEN | I | DIRECTOR | NA | Control |
| MORRISON, CONNIE KATHLEEN | I | DIRECTOR | NA | Control |
| MORRISON, CONNIE KATHLEEN | I | DIRECTOR | NA | Control |
| MORRISON, CONNIE KATHLEEN | I | DIRECTOR | NA | Control |
| MORRISON, CONNIE KATHLEEN | I | DIRECTOR | NA | Control |
| MORRISON, CONNIE KATHLEEN | I | DIRECTOR | NA | Control |
| MORRISON, CONNIE KATHLEEN | I | DIRECTOR | NA | Control |
| MORRISON, CONNIE KATHLEEN | I | DIRECTOR | NA | Control |
| MORRISON, CONNIE KATHLEEN | I | DIRECTOR | NA | Control |
| MORRISON, CONNIE KATHLEEN | I | DIRECTOR | NA | Control |
| MORRISON, CONNIE KATHLEEN | I | DIRECTOR | NA | Control |
| MORRISON, CONNIE KATHLEEN | I | DIRECTOR | NA | Control |
| MORRISON, CONNIE KATHLEEN | I | DIRECTOR | NA | Control |
| MORRISON, CONNIE KATHLEEN | I | DIRECTOR | NA | Control |
| MORRISON, CONNIE KATHLEEN | I | DIRECTOR | NA | Control |
| MORRISON, CONNIE KATHLEEN | I | DIRECTOR | NA | Control |
| MORRISON, CONNIE KATHLEEN | I | DIRECTOR | NA | Control |
| MORRISON, CONNIE KATHLEEN | I | DIRECTOR | NA | Control |
| MORRISON, CONNIE KATHLEEN | I | DIRECTOR | NA | Control |
| MORRISON, CONNIE KATHLEEN | I | DIRECTOR | NA | Control |
| MORRISON, CONNIE KATHLEEN | I | DIRECTOR | NA | Control |
| MORRISON, CONNIE KATHLEEN | I | DIRECTOR | NA | Control |
| MORRISON, CONNIE KATHLEEN | I | DIRECTOR | NA | Control |
| MORRISON, CONNIE KATHLEEN | I | DIRECTOR | NA | Control |
| MORRISON, CONNIE KATHLEEN | I | DIRECTOR | NA | Control |
| MORRISON, CONNIE KATHLEEN | I | DIRECTOR | NA | Control |
| MORRISON, CONNIE KATHLEEN | I | DIRECTOR | NA | Control |
| MORRISON, CONNIE KATHLEEN | I | DIRECTOR | NA | Control |
| MORRISON, CONNIE KATHLEEN | I | DIRECTOR | NA | Control |
| MORRISON, CONNIE KATHLEEN | I | DIRECTOR | NA | Control |
| MORRISON, CONNIE KATHLEEN | I | DIRECTOR | NA | Control |
| MORRISON, CONNIE KATHLEEN | I | DIRECTOR | NA | Control |
| MORRISON, CONNIE KATHLEEN | I | DIRECTOR | NA | Control |
| MORRISON, CONNIE KATHLEEN | I | DIRECTOR | NA | Control |
| MORRISON, CONNIE KATHLEEN | I | DIRECTOR | NA | Control |
| MORRISON, CONNIE KATHLEEN | I | DIRECTOR | NA | Control |
| MORRISON, CONNIE KATHLEEN | I | DIRECTOR | NA | Control |
| MORRISON, CONNIE KATHLEEN | I | DIRECTOR | NA | Control |
| MORRISON, CONNIE KATHLEEN | I | DIRECTOR | NA | Control |
| NACCACHIAN, KRIKOR | I | COMPLIANCE OFFICER/ROP | NA | |
| NACCACHIAN, KRIKOR | I | COMPLIANCE OFFICER/ROP | NA | |
| O'CONNOR, RANDALL MARK | I | CEO, DIRECTOR | NA | Control |
| O'CONNOR, RANDALL MARK | I | CEO, DIRECTOR | NA | Control |
| O'CONNOR, RANDALL MARK | I | CEO, DIRECTOR | NA | Control |
| O'CONNOR, RANDALL MARK | I | PRESIDENT/CEO, DIRECTOR | NA | Control |
| O'CONNOR, RANDALL MARK | I | DIRECTOR | NA | Control |
| O'CONNOR, RANDALL MARK | I | CEO | NA | Control |
| O'CONNOR, RANDALL MARK | I | CEO | NA | Control |
| O'CONNOR, RANDALL MARK | I | CEO | NA | Control |
| O'CONNOR, RANDALL MARK | I | CEO, DIRECTOR | NA | Control |
| O'CONNOR, RANDALL MARK | I | PRESIDENT/CEO, DIRECTOR | NA | Control |
| O'CONNOR, RANDALL MARK | I | PRESIDENT/CEO, DIRECTOR | NA | Control |
| O'CONNOR, RANDALL MARK | I | DIRECTOR | NA | Control |
| O'CONNOR, RANDALL MARK | I | CEO | NA | Control |
| O'CONNOR, RANDALL MARK | I | PRESIDENT & DIRECTOR | NA | Control |
| O'CONNOR, RANDALL MARK | I | PRESIDENT & DIRECTOR | NA | Control |
| O'CONNOR, RANDALL MARK | I | PRESIDENT & DIRECTOR | NA | Control |
| O'CONNOR, RANDALL MARK | I | CHAIRMAN OF THE BOARD & DIRECTOR | NA | Control |
| O'CONNOR, RANDALL MARK | I | PRESIDENT, CEO | NA | Control |
| O'CONNOR, RANDALL MARK | I | DIRECTOR | NA | Control |
| O'CONNOR, RANDALL MARK | I | DIRECTOR | NA | Control |
| O'CONNOR, RANDALL MARK | I | DIRECTOR | NA | Control |
| O'CONNOR, RANDALL MARK | I | DIRECTOR | NA | Control |
| O'CONNOR, RANDALL MARK | I | DIRECTOR | NA | Control |
| O'CONNOR, RANDALL MARK | I | DIRECTOR | NA | Control |
| O'CONNOR, RANDALL MARK | I | DIRECTOR | NA | Control |
| O'CONNOR, RANDALL MARK | I | DIRECTOR | NA | Control |
| O'CONNOR, RANDALL MARK | I | DIRECTOR | NA | Control |
| O'CONNOR, RANDALL MARK | I | DIRECTOR | NA | Control |
| PELOS, CONSTANTINE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| PELOS, CONSTANTINE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| PELOS, CONSTANTINE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| PELOS, CONSTANTINE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| PELOS, CONSTANTINE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| PIMENTA, VALERIE RACHELLE BOLCH | I | VP, COO | NA | Control |
| PIMENTA, VALERIE RACHELLE BOLCH | I | VP, COO | NA | Control |
| PIMENTA, VALERIE RACHELLE BOLCH | I | VP, COO | NA | Control |
| PIMENTA, VALERIE RACHELLE BOLCH | I | VP, COO | NA | Control |
| PIMENTA, VALERIE RACHELLE BOLCH | I | VP, COO | NA | Control |
| PIMENTA, VALERIE RACHELLE BOLCH | I | VP, COO | NA | Control |
| PIMENTA, VALERIE RACHELLE BOLCH | I | VP, COO | NA | Control |
| PIMENTA, VALERIE RACHELLE BOLCH | I | VP, COO | NA | Control |
| PIMENTA, VALERIE RACHELLE BOLCH | I | VP, COO | NA | Control |
| PIMENTA, VALERIE RACHELLE BOLCH | I | VP, COO | NA | Control |
| PIMENTA, VALERIE RACHELLE BOLCH | I | VP, COO | NA | Control |
| PIMENTA, VALERIE RACHELLE BOLCH | I | VP, COO | NA | Control |
| PIMENTA, VALERIE RACHELLE BOLCH | I | VP, COO | NA | Control |
| PIMENTA, VALERIE RACHELLE BOLCH | I | VP, COO | NA | Control |
| PIMENTA, VALERIE RACHELLE BOLCH | I | VP, COO | NA | Control |
| PIMENTA, VALERIE RACHELLE BOLCH | I | VP, COO | NA | Control |
| ROGERS, MARIA RENEE | I | FINANCIAL PRINCIPAL | NA | |
| ROGERS, MARIA RENEE | I | FINANCIAL PRINCIPAL | NA | |
| ROGERS, MARIA RENEE | I | FINANCIAL PRINCIPAL | NA | |
| ROGERS, MARIA RENEE | I | FINANCIAL PRINCIPAL | NA | |
| ROGERS, MARIA RENEE | I | FINANCIAL PRINCIPAL | NA | |
| ROGERS, MARIA RENEE | I | FINANCIAL PRINCIPAL | NA | |
| ROGERS, MARIA RENEE | I | FINANCIAL PRINCIPAL | NA | |
| ROGERS, MARIA RENEE | I | FINANCIAL PRINCIPAL | NA | |
| ROGERS, MARIA RENEE | I | FINANCIAL PRINCIPAL | NA | |
| ROGERS, MARIA RENEE | I | FINANCIAL PRINCIPAL | NA | |
| ROGERS, MARIA RENEE | I | FINANCIAL PRINCIPAL | NA | |
| ROGERS, MARIA RENEE | I | FINANCIAL PRINCIPAL | NA | |
| ROGERS, MARIA RENEE | I | FINANCIAL PRINCIPAL | NA | |
| ROGERS, MARIA RENEE | I | FINANCIAL PRINCIPAL | NA | |
| ROGERS, MARIA RENEE | I | FINANCIAL PRINCIPAL | NA | |
| ROGERS, MARIA RENEE | I | FINANCIAL PRINCIPAL | NA | |
| ROGERS, MARIA RENEE | I | FINANCIAL PRINCIPAL | NA | |
| ROGERS, MARIA RENEE | I | FINANCIAL PRINCIPAL | NA | |
| ROGERS, MARIA RENEE | I | FINANCIAL PRINCIPAL | NA | |
| ROGERS, MARIA RENEE | I | FINANCIAL PRINCIPAL | NA | Control |
| ROGERS, MARIA RENEE | I | FINANCIAL PRINCIPAL | NA | Control |
| ROGERS, MARIA RENEE | I | FINANCIAL PRINCIPAL | NA | Control |
| ROGERS, MARIA RENEE | I | FINANCIAL PRINCIPAL | NA | Control |
| ROGERS, MARIA RENEE | I | FINANCIAL PRINCIPAL | NA | |
| ROGERS, MARIA RENEE | I | FINANCIAL PRINCIPAL | NA | |
| ROGERS, MARIA RENEE | I | FINANCIAL PRINCIPAL | NA | |
| ROGERS, MARIA RENEE | I | FINANCIAL PRINCIPAL | NA | |
| ROGERS, MARIA RENEE | I | FINANCIAL PRINCIPAL | NA | |
| ROGERS, MARIA RENEE | I | FINANCIAL PRINCIPAL | NA | |
| ROGERS, MARIA RENEE | I | FINANCIAL PRINCIPAL | NA | |
| ROGERS, MARIA RENEE | I | FINANCIAL PRINCIPAL | NA | |
| ROGERS, MARIA RENEE | I | FINANCIAL PRINCIPAL | NA | |
| ROGERS, MARIA RENEE | I | FINANCIAL PRINCIPAL | NA | |
| ROGERS, MARIA RENEE | I | FINANCIAL PRINCIPAL | NA | |
| ROGERS, MARIA RENEE | I | FINANCIAL PRINCIPAL | NA | |
| ROGERS, MARIA RENEE | I | FINANCIAL PRINCIPAL | NA | |
| ROGERS, MARIA RENEE | I | FINANCIAL PRINCIPAL | NA | |
| ROGERS, MARIA RENEE | I | FINANCIAL PRINCIPAL | NA | |
| ROGERS, MARIA RENEE | I | FINANCIAL PRINCIPAL | NA | |
| ROGERS, MARIA RENEE | I | FINANCIAL PRINCIPAL | NA | |
| ROGERS, MARIA RENEE | I | FINANCIAL PRINCIPAL | NA | |
| ROGERS, MARIA RENEE | I | FINANCIAL PRINCIPAL | NA | |
| ROGERS, MARIA RENEE | I | FINANCIAL PRINCIPAL | NA | |
| ROGERS, MARIA RENEE | I | FINANCIAL PRINCIPAL | NA | |
| ROGERS, MARIA RENEE | I | FINANCIAL PRINCIPAL | NA | |
| ROGERS, MARIA RENEE | I | FINANCIAL PRINCIPAL | NA | |
| ROGERS, MARIA RENEE | I | FINANCIAL PRINCIPAL | NA | |
| ROGERS, MARIA RENEE | I | FINANCIAL PRINCIPAL | NA | |
| ROGERS, MARIA RENEE | I | FINANCIAL PRINCIPAL | NA | |
| ROGERS, MARIA RENEE | I | FINANCIAL PRINCIPAL | NA | |
| ROGERS, MARIA RENEE | I | FINANCIAL PRINCIPAL | NA | |
| ROGERS, MARIA RENEE | I | FINANCIAL PRINCIPAL | NA | |
| ROGERS, MARIA RENEE | I | FINANCIAL PRINCIPAL | NA | |
| ROGERS, MARIA RENEE | I | FINANCIAL PRINCIPAL | NA | |
| ROGERS, MARIA RENEE | I | FINANCIAL PRINCIPAL | NA | |
| ROGERS, MARIA RENEE | I | FINANCIAL PRINCIPAL | NA | |
| ROGERS, MARIA RENEE | I | FINANCIAL PRINCIPAL | NA | |
| ROGERS, MARIA RENEE | I | FINANCIAL PRINCIPAL | NA | |
| ROGERS, MARIA RENEE | I | FINANCIAL PRINCIPAL | NA | |
| ROGERS, MARIA RENEE | I | FINANCIAL PRINCIPAL | NA | |
| ROGERS, MARIA RENEE | I | FINANCIAL PRINCIPAL | NA | |
| ROGERS, MARIA RENEE | I | FINANCIAL PRINCIPAL | NA | |
| ROGERS, MARIA RENEE | I | FINANCIAL PRINCIPAL | NA | |
| ROGERS, MARIA RENEE | I | FINANCIAL PRINCIPAL | NA | |
| ROGERS, MARIA RENEE | I | FINANCIAL PRINCIPAL | NA | |
| ROGERS, MARIA RENEE | I | FINANCIAL PRINCIPAL | NA | |
| ROGERS, MARIA RENEE | I | FINANCIAL PRINCIPAL | NA | |
| ROGERS, MARIA RENEE | I | FINANCIAL PRINCIPAL | NA | |
| ROGERS, MARIA RENEE | I | FINANCIAL PRINCIPAL | NA | |
| ROGERS, MARIA RENEE | I | FINANCIAL PRINCIPAL | NA | |
| ROGERS, MARIA RENEE | I | PRINCIPAL FINANCIAL OFFICER | NA | |
| ROGERS, MARIA RENEE | I | PRINCIPAL FINANCIAL OFFICER | NA | |
| ROGERS, MARIA RENEE | I | PRINCIPAL FINANCIAL OFFICER | NA | |
| ROGERS, MARIA RENEE | I | PRINCIPAL FINANCIAL OFFICER | NA | |
| ROGERS, MARIA RENEE | I | PRINCIPAL FINANCIAL OFFICER | NA | |
| ROGERS, MARIA RENEE | I | PRINCIPAL FINANCIAL OFFICER | NA | |
| ROGERS, MARIA RENEE | I | PRINCIPAL FINANCIAL OFFICER | NA | |
| ROGERS, MARIA RENEE | I | PRINCIPAL FINANCIAL OFFICER | NA | |
| ROGERS, MARIA RENEE | I | PRINCIPAL FINANCIAL OFFICER | NA | |
| ROGERS, MARIA RENEE | I | PRINCIPAL FINANCIAL OFFICER | NA | |
| ROGERS, MARIA RENEE | I | PRINCIPAL FINANCIAL OFFICER | NA | |
| ROGERS, MARIA RENEE | I | PRINCIPAL FINANCIAL OFFICER | NA | |
| ROGERS, MARIA RENEE | I | PRINCIPAL FINANCIAL OFFICER | NA | |
| SCHOONMAKER, MICHAEL SKI | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| SCHOONMAKER, MICHAEL SKI | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| SCHOONMAKER, MICHAEL SKI | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| SCHOONMAKER, MICHAEL SKI | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| SCHOONMAKER, MICHAEL SKI | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| SCHOONMAKER, MICHAEL SKI | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| SCHOONMAKER, MICHAEL SKI | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| SCHOONMAKER, MICHAEL SKI | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| SCHOONMAKER, MICHAEL SKI | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| SCHOONMAKER, MICHAEL SKI | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| SCHOONMAKER, MICHAEL SKI | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| SCHOONMAKER, MICHAEL SKI | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| SCHOONMAKER, MICHAEL SKI | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| SCHUTT, DAVID WALTER | I | SECRETARY AND TREASURER | NA | Control |
| SCHUTT, DAVID WALTER | I | SECRETARY AND TREASURER | NA | Control |
| SCHUTT, DAVID WALTER | I | SECRETARY AND TREASURER | NA | Control |
| SCHUTT, DAVID WALTER | I | SECRETARY | NA | Control |
| SCHUTT, DAVID WALTER | I | SECRETARY | NA | Control |
| SCHUTT, DAVID WALTER | I | SECRETARY | NA | Control |
| SCHUTT, DAVID WALTER | I | SECRETARY | NA | Control |
| SCHUTT, DAVID WALTER | I | SECRETARY | NA | Control |
| SCHUTT, DAVID WALTER | I | SECRETARY | NA | Control |
| SCHUTT, DAVID WALTER | I | SECRETARY | NA | Control |
| SCHUTT, DAVID WALTER | I | SECRETARY | NA | Control |
| SCHUTT, DAVID WALTER | I | SECRETARY | NA | Control |
| SCHUTT, DAVID WALTER | I | SECRETARY | NA | Control |
| SCHUTT, DAVID WALTER | I | SECRETARY | NA | Control |
| SCHUTT, DAVID WALTER | I | SECRETARY | NA | Control |
| SCHUTT, DAVID WALTER | I | SECRETARY AND TREASURER | NA | Control |
| SCHUTT, DAVID WALTER | I | SECRETARY AND TREASURER | NA | Control |
| SCHUTT, DAVID WALTER | I | SECRETARY | NA | Control |
| SCHUTT, DAVID WALTER | I | FINANCIAL PRINCIPAL ,SECRETARY AND TREASURER,FINANCIAL PRINCIPAL | NA | Control |
| SCHUTT, DAVID WALTER | I | FINANCIAL PRINCIPAL ,SECRETARY AND TREASURER,FINANCIAL PRINCIPAL | NA | Control |
| SCHUTT, DAVID WALTER | I | SECRETARY AND TREASURER,FINANCIAL PRINCIPAL | NA | Control |
| SCHUTT, DAVID WALTER | I | SECRETARY | NA | Control |
| SCHUTT, DAVID WALTER | I | SECRETARY | NA | Control |
| SCHUTT, DAVID WALTER | I | SECRETARY | NA | Control |
| SCHUTT, DAVID WALTER | I | SECRETARY | NA | Control |
| SCHUTT, DAVID WALTER | I | SECRETARY | NA | Control |
| SCHUTT, DAVID WALTER | I | SECRETARY | NA | Control |
| SCHUTT, DAVID WALTER | I | SECRETARY | NA | Control |
| SCHUTT, DAVID WALTER | I | SECRETARY | NA | Control |
| SCHUTT, DAVID WALTER | I | SECRETARY AND TREASURER | NA | Control |
| SCHUTT, DAVID WALTER | I | SECRETARY AND TREASURER,FINANCIAL PRINCIPAL | NA | Control |
| SCHUTT, DAVID WALTER | I | SECRETARY AND TREASURER | NA | Control |
| SCHUTT, DAVID WALTER | I | SECRETARY AND TREASURER | NA | Control |
| SCHUTT, DAVID WALTER | I | SECRETARY AND TREASURER | NA | Control |
| SCHUTT, DAVID WALTER | I | SECRETARY AND TREASURER | NA | Control |
| SCHUTT, DAVID WALTER | I | SECRETARY | NA | Control |
| SCHUTT, DAVID WALTER | I | SECRETARY | NA | |
| SCHUTT, DAVID WALTER | I | SECRETARY | NA | |
| SCHUTT, DAVID WALTER | I | SECRETARY | NA | |
| SCHUTT, DAVID WALTER | I | SECRETARY | NA | |
| SCHUTT, DAVID WALTER | I | SECRETARY | NA | |
| SCHUTT, DAVID WALTER | I | SECRETARY | NA | |
| SCHUTT, DAVID WALTER | I | SECRETARY | NA | |
| SCHUTT, DAVID WALTER | I | SECRETARY | NA | |
| SCHUTT, DAVID WALTER | I | SECRETARY | NA | |
| SCHUTT, DAVID WALTER | I | SECRETARY | NA | |
| SCHUTT, DAVID WALTER | I | SECRETARY | NA | |
| SCHUTT, DAVID WALTER | I | SECRETARY | NA | |
| SCHUTT, DAVID WALTER | I | SECRETARY | NA | |
| SCHUTT, DAVID WALTER | I | SECRETARY | NA | |
| SCHUTT, DAVID WALTER | I | SECRETARY | NA | |
| SCHUTT, DAVID WALTER | I | SECRETARY | NA | |
| SCHUTT, DAVID WALTER | I | SECRETARY | NA | |
| SCHUTT, DAVID WALTER | I | SECRETARY | NA | |
| SCHUTT, DAVID WALTER | I | SECRETARY | NA | |
| SCHUTT, DAVID WALTER | I | SECRETARY | NA | |
| SCHUTT, DAVID WALTER | I | SECRETARY | NA | |
| SCHUTT, DAVID WALTER | I | SECRETARY | NA | |
| SCHUTT, DAVID WALTER | I | SECRETARY | NA | |
| SCHUTT, DAVID WALTER | I | SECRETARY | NA | |
| SCHUTT, DAVID WALTER | I | SECRETARY | NA | |
| SCHUTT, DAVID WALTER | I | SECRETARY | NA | |
| SCHUTT, DAVID WALTER | I | SECRETARY | NA | |
| SCHUTT, DAVID WALTER | I | SECRETARY | NA | |
| SCHUTT, DAVID WALTER | I | SECRETARY | NA | |
| SCHUTT, DAVID WALTER | I | SECRETARY | NA | |
| SCHUTT, DAVID WALTER | I | SECRETARY | NA | |
| SCHUTT, DAVID WALTER | I | SECRETARY | NA | |
| SCHUTT, DAVID WALTER | I | SECRETARY | NA | |
| SCHUTT, DAVID WALTER | I | SECRETARY | NA | |
| SCHUTT, DAVID WALTER | I | SECRETARY | NA | |
| SCHUTT, DAVID WALTER | I | SECRETARY | NA | |
| SCHUTT, DAVID WALTER | I | SECRETARY | NA | |
| SCHUTT, DAVID WALTER | I | SECRETARY | NA | |
| SCHUTT, DAVID WALTER | I | SECRETARY | NA | |
| SCHUTT, DAVID WALTER | I | SECRETARY | NA | |
| SCHUTT, DAVID WALTER | I | SECRETARY | NA | |
| SCHUTT, DAVID WALTER | I | SECRETARY | NA | |
| SCHUTT, DAVID WALTER | I | SECRETARY | NA | |
| STEPHENS, KENNETH DALE | I | PRESIDENT, CEO, DIRECTOR | NA | Control |
| STRUTHERS, JEFF P | I | VICE PRESIDENT | NA | |
| STRUTHERS, JEFF P | I | VICE PRESIDENT | NA | |
| STRUTHERS, JEFF P | I | VICE PRESIDENT | NA | |
| THOMPSON, WESTLEY VANDER | I | DIRECTOR | NA | Control |
| THOMPSON, WESTLEY VANDER | I | DIRECTOR | NA | Control |
| THOMPSON, WESTLEY VANDER | I | DIRECTOR | NA | Control |
| THOMPSON, WESTLEY VANDER | I | DIRECTOR | NA | Control |
| THOMPSON, WESTLEY VANDER | I | DIRECTOR | NA | Control |
| THOMPSON, WESTLEY VANDER | I | DIRECTOR | NA | Control |
| THOMPSON, WESTLEY VANDER | I | DIRECTOR | NA | Control |
| THOMPSON, WESTLEY VANDER | I | DIRECTOR | NA | Control |
| THOMPSON, WESTLEY VANDER | I | DIRECTOR | NA | Control |
| TUCKER, JENNIFER MARIE | I | MSRB PRINCIPAL | NA | |
| TUCKER, JENNIFER MARIE | I | MSRB PRINCIPAL | NA | |
| TUCKER, JENNIFER MARIE | I | MSRB PRINCIPAL | NA | |
| TUCKER, JENNIFER MARIE | I | MSRB PRINCIPAL | NA | |
| TUCKER, JENNIFER MARIE | I | MSRB PRINCIPAL | NA | |
| TUCKER, JENNIFER MARIE | I | MSRB PRINCIPAL | NA | |
| TUCKER, JENNIFER MARIE | I | MSRB PRINCIPAL | NA | |
| TUCKER, JENNIFER MARIE | I | MSRB PRINCIPAL | NA | |
| TUCKER, JENNIFER MARIE | I | MSRB PRINCIPAL | NA | |
| TUCKER, JENNIFER MARIE | I | MSRB PRINCIPAL | NA | |
| TUCKER, JENNIFER MARIE | I | MSRB PRINCIPAL | NA | |
| TUCKER, JENNIFER MARIE | I | MSRB PRINCIPAL | NA | |
| TUCKER, JENNIFER MARIE | I | MSRB PRINCIPAL | NA | |
| TUCKER, JENNIFER MARIE | I | MSRB PRINCIPAL | NA | |
| TUCKER, JENNIFER MARIE | I | MSRB PRINCIPAL | NA | |
| TUCKER, JENNIFER MARIE | I | MSRB PRINCIPAL | NA | |
| TUCKER, JENNIFER MARIE | I | MSRB PRINCIPAL | NA | |
| TUCKER, JENNIFER MARIE | I | MSRB PRINCIPAL | NA | |
| TUCKER, JENNIFER MARIE | I | MSRB PRINCIPAL | NA | |
| TUCKER, JENNIFER MARIE | I | MSRB PRINCIPAL | NA | |
| TUCKER, JENNIFER MARIE | I | MSRB PRINCIPAL | NA | |
| TUCKER, JENNIFER MARIE | I | MSRB PRINCIPAL | NA | |
| TUCKER, JENNIFER MARIE | I | MSRB PRINCIPAL | NA | |
| TUCKER, JENNIFER MARIE | I | MSRB PRINCIPAL | NA | |
| TUCKER, JENNIFER MARIE | I | MSRB PRINCIPAL | NA | |
| TUCKER, JENNIFER MARIE | I | MSRB PRINCIPAL | NA | |
| WATROS, ROBERT DAVID | I | V.P. | NA | Control |
| WATROS, ROBERT DAVID | I | V.P. | NA | Control |
| WATROS, ROBERT DAVID | I | V.P. | NA | Control |
| WATROS, ROBERT DAVID | I | V.P. | NA | Control |
| WATROS, ROBERT DAVID | I | V.P. | NA | Control |
| WATROS, ROBERT DAVID | I | V.P. | NA | Control |
| WATROS, ROBERT DAVID | I | V.P. | NA | Control |
| WATROS, ROBERT DAVID | I | V.P. | NA | Control |
| WATROS, ROBERT DAVID | I | V.P. | NA | Control |
| WATROS, ROBERT DAVID | I | V.P. | NA | Control |
| WATROS, ROBERT DAVID | I | V.P. | NA | Control |
| WATROS, ROBERT DAVID | I | V.P. | NA | Control |
| WATROS, ROBERT DAVID | I | V.P. | NA | Control |
| WATROS, ROBERT DAVID | I | V.P. | NA | Control |
| WATROS, ROBERT DAVID | I | V.P. | NA | Control |
| WATROS, ROBERT DAVID | I | V.P. | NA | |
| WATROS, ROBERT DAVID | I | V.P. | NA | |
| WATROS, ROBERT DAVID | I | V.P. | NA | |
| WATROS, ROBERT DAVID | I | V.P. | NA | |
| WATROS, ROBERT DAVID | I | V.P. | NA | |
| WATROS, ROBERT DAVID | I | V.P. | NA | |
| WATROS, ROBERT DAVID | I | V.P. | NA | |
| WATROS, ROBERT DAVID | I | V.P. | NA | |
| WATROS, ROBERT DAVID | I | V.P. | NA | |
| WATROS, ROBERT DAVID | I | V.P. | NA | |
| WATROS, ROBERT DAVID | I | V.P. | NA | |
| WATROS, ROBERT DAVID | I | V.P. | NA | |
| WATROS, ROBERT DAVID | I | V.P. | NA | |
| WATROS, ROBERT DAVID | I | V.P. | NA | |
| WATROS, ROBERT DAVID | I | V.P. | NA | |
| WATROS, ROBERT DAVID | I | V.P. | NA | |
| WATROS, ROBERT DAVID | I | V.P. | NA | |
| WATROS, ROBERT DAVID | I | V.P. | NA | |
| WATROS, ROBERT DAVID | I | V.P. | NA | |
| WATROS, ROBERT DAVID | I | V.P. | NA | |
| WATROS, ROBERT DAVID | I | V.P. | NA | |
| WATROS, ROBERT DAVID | I | V.P. | NA | |
| WATROS, ROBERT DAVID | I | V.P. | NA | |
| WATROS, ROBERT DAVID | I | V.P. | NA | |
| WATROS, ROBERT DAVID | I | V.P. | NA | |
| WATROS, ROBERT DAVID | I | V.P. | NA | |
| WATROS, ROBERT DAVID | I | V.P. | NA | |
| WATROS, ROBERT DAVID | I | V.P. | NA | |
| WATROS, ROBERT DAVID | I | V.P. | NA | |
| YOUHN, STEPHEN MICHAEL | I | CHIEF COMPLIANCE OFFICER - RIA/BD | NA | Control |
| YOUHN, STEPHEN MICHAEL | I | CHIEF COMPLIANCE OFFICER - RIA/BD | NA | Control |
| M FINANCIAL HOLDINGS INCORPORATED | DE | EQUITY OWNER | E | Control |
| M FINANCIAL HOLDINGS INCORPORATED | DE | EQUITY OWNER | E | Control |
| M FINANCIAL HOLDINGS INCORPORATED | DE | EQUITY OWNER | E | Control |
| M FINANCIAL HOLDINGS INCORPORATED | DE | EQUITY OWNER | E | Control |
| M FINANCIAL HOLDINGS INCORPORATED | DE | EQUITY OWNER | E | Control |
| M FINANCIAL HOLDINGS INCORPORATED | DE | EQUITY OWNER | E | Control |
| M FINANCIAL HOLDINGS INCORPORATED | DE | EQUITY OWNER | E | Control |
| M FINANCIAL HOLDINGS INCORPORATED | DE | EQUITY OWNER | E | Control |
| M FINANCIAL HOLDINGS INCORPORATED | DE | EQUITY OWNER | E | Control |
| M FINANCIAL HOLDINGS INCORPORATED | DE | EQUITY OWNER | E | Control |
| M FINANCIAL HOLDINGS INCORPORATED | DE | EQUITY OWNER | E | Control |
| M FINANCIAL HOLDINGS INCORPORATED | DE | EQUITY OWNER | E | Control |
| M FINANCIAL HOLDINGS INCORPORATED | DE | EQUITY OWNER | E | Control |
| M FINANCIAL HOLDINGS INCORPORATED | DE | EQUITY OWNER | E | Control |
| M FINANCIAL HOLDINGS INCORPORATED | DE | EQUITY OWNER | E | Control |
| M FINANCIAL HOLDINGS INCORPORATED | DE | EQUITY OWNER | E | Control |
| M FINANCIAL HOLDINGS INCORPORATED | DE | EQUITY OWNER | E | Control |
| M FINANCIAL HOLDINGS INCORPORATED | DE | EQUITY OWNER | E | Control |
| M FINANCIAL HOLDINGS INCORPORATED | DE | EQUITY OWNER | E | Control |
| M FINANCIAL HOLDINGS INCORPORATED | DE | EQUITY OWNER | E | Control |
| M FINANCIAL HOLDINGS INCORPORATED | DE | EQUITY OWNER | E | Control |
| M FINANCIAL HOLDINGS INCORPORATED | DE | EQUITY OWNER | E | Control |
| M FINANCIAL HOLDINGS INCORPORATED | DE | EQUITY OWNER | E | Control |
| M FINANCIAL HOLDINGS INCORPORATED | DE | EQUITY OWNER | E | Control |
| M FINANCIAL HOLDINGS INCORPORATED | DE | EQUITY OWNER | E | Control |
| M FINANCIAL HOLDINGS INCORPORATED | DE | EQUITY OWNER | E | Control |
| M FINANCIAL HOLDINGS INCORPORATED | DE | EQUITY OWNER | E | Control |
| M FINANCIAL HOLDINGS INCORPORATED | DE | EQUITY OWNER | E | Control |
| M FINANCIAL HOLDINGS INCORPORATED | DE | EQUITY OWNER | E | Control |
| M FINANCIAL HOLDINGS INCORPORATED | DE | EQUITY OWNER | E | Control |
| M FINANCIAL HOLDINGS INCORPORATED | DE | EQUITY OWNER | E | Control |
| M FINANCIAL HOLDINGS INCORPORATED | DE | EQUITY OWNER | E | Control |
| M FINANCIAL HOLDINGS INCORPORATED | DE | EQUITY OWNER | E | Control |
| M FINANCIAL HOLDINGS INCORPORATED | DE | EQUITY OWNER | E | Control |
| M FINANCIAL HOLDINGS INCORPORATED | DE | EQUITY OWNER | E | Control |
| M FINANCIAL HOLDINGS INCORPORATED | DE | EQUITY OWNER | E | Control |
| M FINANCIAL HOLDINGS INCORPORATED | DE | EQUITY OWNER | E | Control |
| M FINANCIAL HOLDINGS INCORPORATED | DE | EQUITY OWNER | E | Control |
| M FINANCIAL HOLDINGS INCORPORATED | DE | EQUITY OWNER | E | Control |
| M FINANCIAL HOLDINGS INCORPORATED | DE | EQUITY OWNER | E | Control |
| M FINANCIAL HOLDINGS INCORPORATED | DE | EQUITY OWNER | E | Control |
| M FINANCIAL HOLDINGS INCORPORATED | DE | EQUITY OWNER | E | Control |
| M FINANCIAL HOLDINGS INCORPORATED | DE | EQUITY OWNER | E | Control |
| M FINANCIAL HOLDINGS INCORPORATED | DE | EQUITY OWNER | E | Control |
| M FINANCIAL HOLDINGS INCORPORATED | DE | EQUITY OWNER | E | Control |
| M FINANCIAL HOLDINGS INCORPORATED | DE | EQUITY OWNER | E | Control |
| M FINANCIAL HOLDINGS INCORPORATED | DE | EQUITY OWNER | E | Control |
| M FINANCIAL HOLDINGS INCORPORATED | DE | EQUITY OWNER | E | Control |
| M FINANCIAL HOLDINGS INCORPORATED | DE | EQUITY OWNER | E | Control |
| M FINANCIAL HOLDINGS INCORPORATED | DE | EQUITY OWNER | E | Control |
| M FINANCIAL HOLDINGS INCORPORATED | DE | EQUITY OWNER | E | Control |
| M FINANCIAL HOLDINGS INCORPORATED | DE | EQUITY OWNER | E | Control |
| M FINANCIAL HOLDINGS INCORPORATED | DE | EQUITY OWNER | E | Control |
| M FINANCIAL HOLDINGS INCORPORATED | DE | EQUITY OWNER | E | Control |
| M FINANCIAL HOLDINGS INCORPORATED | DE | EQUITY OWNER | E | Control |
| M FINANCIAL HOLDINGS INCORPORATED | DE | EQUITY OWNER | E | Control |
| M FINANCIAL HOLDINGS INCORPORATED | DE | EQUITY OWNER | E | Control |
| M FINANCIAL HOLDINGS INCORPORATED | DE | EQUITY OWNER | E | Control |
| M FINANCIAL HOLDINGS INCORPORATED | DE | EQUITY OWNER | E | Control |
| M FINANCIAL HOLDINGS INCORPORATED | DE | EQUITY OWNER | E | Control |
| M FINANCIAL HOLDINGS INCORPORATED | DE | EQUITY OWNER | E | Control |
| M FINANCIAL HOLDINGS INCORPORATED | DE | EQUITY OWNER | E | Control |
| M FINANCIAL HOLDINGS INCORPORATED | DE | EQUITY OWNER | E | Control |
| M FINANCIAL HOLDINGS INCORPORATED | DE | EQUITY OWNER | E | Control |
| M FINANCIAL HOLDINGS INCORPORATED | DE | EQUITY OWNER | E | Control |
| M FINANCIAL HOLDINGS INCORPORATED | DE | EQUITY OWNER | E | Control |
| M FINANCIAL HOLDINGS INCORPORATED | DE | EQUITY OWNER | E | Control |
| M FINANCIAL HOLDINGS INCORPORATED | DE | EQUITY OWNER | E | Control |
| M FINANCIAL HOLDINGS INCORPORATED | DE | EQUITY OWNER | E | Control |
| M FINANCIAL HOLDINGS INCORPORATED | DE | EQUITY OWNER | E | Control |
| M FINANCIAL HOLDINGS INCORPORATED | DE | EQUITY OWNER | E | Control |
| M FINANCIAL HOLDINGS INCORPORATED | DE | EQUITY OWNER | E | Control |
| M FINANCIAL HOLDINGS INCORPORATED | DE | EQUITY OWNER | E | Control |
| M FINANCIAL HOLDINGS INCORPORATED | DE | EQUITY OWNER | E | Control |
| M FINANCIAL HOLDINGS INCORPORATED | DE | EQUITY OWNER | E | Control |
| M FINANCIAL HOLDINGS INCORPORATED | DE | EQUITY OWNER | E | Control |
| M FINANCIAL HOLDINGS INCORPORATED | DE | EQUITY OWNER | E | Control |
| M FINANCIAL HOLDINGS INCORPORATED | DE | EQUITY OWNER | E | Control |
| M FINANCIAL HOLDINGS INCORPORATED | DE | EQUITY OWNER | E | Control |
| M FINANCIAL HOLDINGS INCORPORATED | DE | EQUITY OWNER | E | Control |
| M FINANCIAL HOLDINGS INCORPORATED | DE | EQUITY OWNER | E | Control |
| M FINANCIAL HOLDINGS INCORPORATED | DE | EQUITY OWNER | E | Control |
| M FINANCIAL HOLDINGS INCORPORATED | DE | EQUITY OWNER | E | Control |
| M FINANCIAL HOLDINGS INCORPORATED | DE | EQUITY OWNER | E | Control |
| M FINANCIAL HOLDINGS INCORPORATED | DE | EQUITY OWNER | E | Control |
| M FINANCIAL HOLDINGS INCORPORATED | DE | EQUITY OWNER | E | Control |
| M FINANCIAL HOLDINGS INCORPORATED | DE | EQUITY OWNER | E | Control |
| M FINANCIAL HOLDINGS INCORPORATED | DE | EQUITY OWNER | E | Control |
| M FINANCIAL HOLDINGS INCORPORATED | DE | EQUITY OWNER | E | Control |
| M FINANCIAL HOLDINGS INCORPORATED | DE | EQUITY OWNER | E | Control |
| M FINANCIAL HOLDINGS INCORPORATED | DE | EQUITY OWNER | E | Control |
| M FINANCIAL HOLDINGS INCORPORATED | DE | EQUITY OWNER | E | Control |
| M FINANCIAL HOLDINGS INCORPORATED | DE | EQUITY OWNER | E | Control |
| M FINANCIAL HOLDINGS INCORPORATED | DE | EQUITY OWNER | E | Control |
| M FINANCIAL HOLDINGS INCORPORATED | DE | EQUITY OWNER | E | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| MULLIN, PETER WILLIAM | I | M FINANCIAL HOLDINGS, INC. | C | Control |
| MULLIN, PETER WILLIAM | I | M FINANCIAL HOLDINGS, INC. | C | Control |
| MULLIN, PETER WILLIAM | I | M FINANCIAL HOLDINGS, INC. | C | Control |
| MULLIN, PETER WILLIAM | I | M FINANCIAL HOLDINGS, INC. | C | Control |
| MULLIN, PETER WILLIAM | I | M FINANCIAL HOLDINGS, INC. | C | Control |
| MULLIN, PETER WILLIAM | I | M FINANCIAL HOLDINGS, INC. | C | Control |
| MULLIN, PETER WILLIAM | I | M FINANCIAL HOLDINGS, INC. | C | Control |
| MULLIN, PETER WILLIAM | I | M FINANCIAL HOLDINGS, INC. | C | Control |
| MULLIN, PETER WILLIAM | I | M FINANCIAL HOLDINGS, INC. | C | Control |
| MULLIN, PETER WILLIAM | I | M FINANCIAL HOLDINGS, INC. | C | Control |
| MULLIN, PETER WILLIAM | I | M FINANCIAL HOLDINGS, INC. | C | Control |
| MULLIN, PETER WILLIAM | I | M FINANCIAL HOLDINGS, INC. | C | Control |
| MULLIN, PETER WILLIAM | I | M FINANCIAL HOLDINGS, INC. | C | Control |
| MULLIN, PETER WILLIAM | I | M FINANCIAL HOLDINGS, INC. | C | Control |
| MULLIN, PETER WILLIAM | I | M FINANCIAL HOLDINGS, INC. | C | Control |
| MULLIN, PETER WILLIAM | I | M. FINANCIAL HOLDINGS, INC. | C | Control |
| MULLIN, PETER WILLIAM | I | M. FINANCIAL HOLDINGS, INC. | C | Control |
| MULLIN, PETER WILLIAM | I | M FINANCIAL HOLDINGS, INC. | C | Control |
| MULLIN, PETER WILLIAM | I | M. FINANCIAL HOLDINGS, INC. | C | Control |
| MULLIN, PETER WILLIAM | I | M. FINANCIAL HOLDINGS, INC. | C | Control |
| MULLIN, PETER WILLIAM | I | M. FINANCIAL HOLDINGS, INC. | C | Control |
| MULLIN, PETER WILLIAM | I | M FINANCIAL HOLDINGS, INC. | C | Control |
| MULLIN, PETER WILLIAM | I | M FINANCIAL HOLDINGS, INC. | C | Control |
| MULLIN, PETER WILLIAM | I | M FINANCIAL HOLDINGS, INC. | C | Control |
| MULLIN, PETER WILLIAM | I | M FINANCIAL HOLDINGS, INC. | C | Control |
| MULLIN, PETER WILLIAM | I | M FINANCIAL HOLDINGS, INC. | C | Control |
| MULLIN, PETER WILLIAM | I | M FINANCIAL HOLDINGS, INC. | C | Control |
| MULLIN, PETER WILLIAM | I | M FINANCIAL HOLDINGS, INC. | C | Control |
| MULLIN, PETER WILLIAM | I | M FINANCIAL HOLDINGS, INC. | C | Control |
| MULLIN, PETER WILLIAM | I | M. FINANCIAL HOLDINGS, INC. | C | Control |
| MULLIN, PETER WILLIAM | I | M. FINANCIAL HOLDINGS, INC. | C | Control |
| MULLIN, PETER WILLIAM | I | M. FINANCIAL HOLDINGS, INC. | C | Control |
| MULLIN, PETER WILLIAM | I | M. FINANCIAL HOLDINGS, INC. | C | Control |
| MULLIN, PETER WILLIAM | I | M. FINANCIAL HOLDINGS, INC. | C | Control |
| MULLIN, PETER WILLIAM | I | M. FINANCIAL HOLDINGS, INC. | C | Control |
| MULLIN, PETER WILLIAM | I | M FINANCIAL HOLDINGS, INC. | C | Control |
Registrations
Federal
IA
Dec 17, 2025 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
1125 N.W. COUCH STREETSUITE 900
PORTLAND, OR 97209
United States
Phone: 800-656-6960