PAULSON INVESTMENT COMPANY, LLC
CRD #5670 SEC #801-107194 CHICAGO, IL 3129408320
SEC Registered Broker-Dealer Private Funds Disclosures
Total AUM
$15.4M
Discretionary
$15.4M
Employees
50
Clients
0
Accounts
7
This firm has regulatory disclosures on file.
View disclosures
Firm Details
- Organization Type
- Limited Liability Company
- State of Formation
- Oregon
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Jun 2, 2017
- Branch Offices
- --
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| BALES, NICHOLAS MICHAEL | I | VICE PRESIDENT SYNDICATE | NA | |
| BALES, NICHOLAS MICHAEL | I | VICE PRESIDENT SYNDICATE | NA | |
| BALES, NICHOLAS MICHAEL | I | VICE PRESIDENT SYNDICATE | NA | |
| BALES, NICHOLAS MICHAEL | I | VICE PRESIDENT SYNDICATE | NA | |
| CHRISTAKOS, BASIL | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| CHRISTAKOS, BASIL | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| CHRISTAKOS, BASIL | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| CHRISTAKOS, BASIL | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| CHRISTAKOS, BASIL | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| CHRISTAKOS, BASIL | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| CHRISTAKOS, BASIL | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| CHRISTAKOS, BASIL | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| CHRISTAKOS, BASIL | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| CHRISTAKOS, BASIL | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| CHRISTAKOS, BASIL | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| CHRISTAKOS, BASIL | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| CHRISTAKOS, BASIL | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| CHRISTAKOS, BASIL | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| CHRISTAKOS, BASIL | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| CHRISTAKOS, BASIL | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| CHRISTAKOS, BASIL | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| CHRISTAKOS, BASIL | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| CHRISTAKOS, BASIL | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| CHRISTAKOS, BASIL | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| CHRISTAKOS, BASIL | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| CHRISTAKOS, BASIL | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| CHRISTAKOS, BASIL | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| CHRISTAKOS, BASIL | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| CHRISTAKOS, BASIL | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| CHRISTAKOS, BASIL | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| CROWE, BYRON KEITH | I | CEO | NA | Control |
| CROWE, BYRON KEITH | I | CEO | NA | Control |
| CROWE, BYRON KEITH | I | CEO | NA | Control |
| CROWE, BYRON KEITH | I | CEO | NA | Control |
| CROWE, BYRON KEITH | I | CEO | NA | Control |
| CROWE, BYRON KEITH | I | CEO | NA | Control |
| CROWE, BYRON KEITH | I | CEO | NA | Control |
| CROWE, BYRON KEITH | I | CEO | NA | Control |
| CROWE, BYRON KEITH | I | CEO | NA | Control |
| CROWE, BYRON KEITH | I | CEO | NA | Control |
| CROWE, BYRON KEITH | I | CEO | NA | Control |
| CROWE, BYRON KEITH | I | CEO | NA | Control |
| CROWE, BYRON KEITH | I | CEO | NA | Control |
| CROWE, BYRON KEITH | I | CEO | NA | Control |
| CROWE, BYRON KEITH | I | CEO | NA | Control |
| CROWE, BYRON KEITH | I | CEO | NA | Control |
| CROWE, BYRON KEITH | I | CEO | NA | Control |
| CROWE, BYRON KEITH | I | CEO | NA | Control |
| CROWE, BYRON KEITH | I | CEO | NA | Control |
| CROWE, BYRON KEITH | I | CEO | NA | Control |
| CROWE, BYRON KEITH | I | CEO | NA | Control |
| CROWE, BYRON KEITH | I | CEO | NA | Control |
| CROWE, BYRON KEITH | I | CEO | NA | Control |
| CROWE, BYRON KEITH | I | CEO | NA | Control |
| CROWE, BYRON KEITH | I | CEO | NA | Control |
| CROWE, BYRON KEITH | I | CEO | NA | Control |
| DAVIS, KELLIE MARIE | I | DIRECTOR | NA | Control |
| DAVIS, KELLIE MARIE | I | DIRECTOR | NA | Control |
| DAVIS, KELLIE MARIE | I | DIRECTOR | NA | Control |
| DAVIS, KELLIE MARIE | I | DIRECTOR | NA | Control |
| DAVIS, KELLIE MARIE | I | DIRECTOR | NA | Control |
| DAVIS, KELLIE MARIE | I | DIRECTOR | NA | Control |
| DAVIS, KELLIE MARIE | I | DIRECTOR | NA | Control |
| DAVIS, TRENT DONALD | I | PRESIDENT; CHIEF EXECUTIVE OFFICER; DIRECTOR; SYNDICATE MANAGER | NA | Control |
| DAVIS, TRENT DONALD | I | PRESIDENT; CHIEF EXECUTIVE OFFICER; DIRECTOR; SYNDICATE MANAGER | NA | Control |
| DAVIS, TRENT DONALD | I | PRESIDENT; CHIEF EXECUTIVE OFFICER; DIRECTOR; SYNDICATE MANAGER | NA | Control |
| DAVIS, TRENT DONALD | I | PRESIDENT; CHIEF EXECUTIVE OFFICER; DIRECTOR; SYNDICATE MANAGER | NA | Control |
| DAVIS, TRENT DONALD | I | PRESIDENT; CHIEF EXECUTIVE OFFICER; DIRECTOR; SYNDICATE MANAGER | NA | Control |
| DAVIS, TRENT DONALD | I | PRESIDENT; CHIEF EXECUTIVE OFFICER; DIRECTOR; SYNDICATE MANAGER | NA | Control |
| DAVIS, TRENT DONALD | I | PRESIDENT; CHIEF EXECUTIVE OFFICER; DIRECTOR; SYNDICATE MANAGER | NA | Control |
| DAVIS, TRENT DONALD | I | CEO/ CCO | NA | Control |
| ERICSON, NILS ALEXANDER | I | CHIEF COMPLIANCE OFFICER, COMPLIANCE AND SR. REGISTERED OPTIONS PRINCIPAL | NA | Control |
| ERICSON, NILS ALEXANDER | I | CHIEF COMPLIANCE OFFICER, COMPLIANCE AND SR. REGISTERED OPTIONS PRINCIPAL | NA | Control |
| ERICSON, NILS ALEXANDER | I | CHIEF COMPLIANCE OFFICER, COMPLIANCE AND SR. REGISTERED OPTIONS PRINCIPAL | NA | Control |
| ERICSON, NILS ALEXANDER | I | CHIEF COMPLIANCE OFFICER, COMPLIANCE AND SR. REGISTERED OPTIONS PRINCIPAL | NA | Control |
| FINCKLE, MARK STUART | I | HEAD OF INVESTMENT BANKING | NA | Control |
| FINCKLE, MARK STUART | I | HEAD OF INVESTMENT BANKING | NA | Control |
| FINCKLE, MARK STUART | I | HEAD OF INVESTMENT BANKING | NA | Control |
| FINCKLE, MARK STUART | I | HEAD OF INVESTMENT BANKING | NA | Control |
| FINCKLE, MARK STUART | I | HEAD OF INVESTMENT BANKING | NA | Control |
| FINCKLE, MARK STUART | I | HEAD OF INVESTMENT BANKING | NA | Control |
| FINCKLE, MARK STUART | I | HEAD OF INVESTMENT BANKING | NA | Control |
| FINCKLE, MARK STUART | I | HEAD OF INVESTMENT BANKING | NA | Control |
| FINCKLE, MARK STUART | I | HEAD OF INVESTMENT BANKING | NA | Control |
| FINCKLE, MARK STUART | I | HEAD OF INVESTMENT BANKING | NA | Control |
| FINCKLE, MARK STUART | I | HEAD OF INVESTMENT BANKING | NA | Control |
| FINCKLE, MARK STUART | I | HEAD OF INVESTMENT BANKING | NA | Control |
| FINCKLE, MARK STUART | I | HEAD OF INVESTMENT BANKING | NA | Control |
| FINCKLE, MARK STUART | I | HEAD OF INVESTMENT BANKING | NA | Control |
| FINCKLE, MARK STUART | I | HEAD OF INVESTMENT BANKING | NA | Control |
| FINCKLE, MARK STUART | I | HEAD OF INVESTMENT BANKING | NA | Control |
| FINCKLE, MARK STUART | I | HEAD OF INVESTMENT BANKING | NA | Control |
| FINCKLE, MARK STUART | I | HEAD OF INVESTMENT BANKING | NA | Control |
| FINCKLE, MARK STUART | I | HEAD OF INVESTMENT BANKING | NA | Control |
| GOFF, STARLA JEAN | I | STRATEGIC ADVISOR TO THE CEO AND CHAIRMAN/LEGAL | NA | Control |
| GOFF, STARLA JEAN | I | STRATEGIC ADVISOR TO THE CEO AND CHAIRMAN/LEGAL | NA | Control |
| GOFF, STARLA JEAN | I | STRATEGIC ADVISOR TO THE CEO AND CHAIRMAN/LEGAL | NA | Control |
| GOFF, STARLA JEAN | I | STRATEGIC ADVISOR TO THE CEO AND CHAIRMAN/LEGAL | NA | Control |
| GOFF, STARLA JEAN | I | STRATEGIC ADVISOR TO THE CEO AND CHAIRMAN/LEGAL | NA | Control |
| GOFF, STARLA JEAN | I | STRATEGIC ADVISOR TO THE CEO AND CHAIRMAN/LEGAL | NA | Control |
| GOFF, STARLA JEAN | I | STRATEGIC ADVISOR TO THE CEO AND CHAIRMAN/LEGAL | NA | Control |
| GOFF, STARLA JEAN | I | STRATEGIC ADVISOR TO THE CEO AND CHAIRMAN/LEGAL | NA | Control |
| GOFF, STARLA JEAN | I | STRATEGIC ADVISOR TO THE CEO AND CHAIRMAN/LEGAL | NA | Control |
| GOFF, STARLA JEAN | I | STRATEGIC ADVISOR TO THE CEO AND CHAIRMAN/LEGAL | NA | Control |
| GOFF, STARLA JEAN | I | STRATEGIC ADVISOR TO THE CEO AND CHAIRMAN/LEGAL | NA | Control |
| GOFF, STARLA JEAN | I | STRATEGIC ADVISOR TO THE CEO AND CHAIRMAN/LEGAL | NA | Control |
| GOFF, STARLA JEAN | I | STRATEGIC ADVISOR TO THE CEO AND CHAIRMAN/LEGAL | NA | Control |
| GOFF, STARLA JEAN | I | STRATEGIC ADVISOR TO THE CEO AND CHAIRMAN/LEGAL | NA | Control |
| GOFF, STARLA JEAN | I | STRATEGIC ADVISOR TO THE CEO AND CHAIRMAN/LEGAL | NA | Control |
| GOFF, STARLA JEAN | I | STRATEGIC ADVISOR TO THE CEO AND CHAIRMAN/LEGAL | NA | Control |
| GOFF, STARLA JEAN | I | STRATEGIC ADVISOR TO THE CEO AND CHAIRMAN/LEGAL | NA | Control |
| GOFF, STARLA JEAN | I | STRATEGIC ADVISOR TO THE CEO AND CHAIRMAN/LEGAL | NA | Control |
| GOFF, STARLA JEAN | I | STRATEGIC ADVISOR TO THE CEO AND CHAIRMAN/LEGAL | NA | Control |
| HENNING, LARRY JAMES | I | VICE PRESIDENT, COMPLIANCE | NA | |
| JAMES, BARBARA JO | I | ASSISTANT VICE PRESIDENT INVESTMENT BANKING | NA | |
| JAMES, BARBARA JO | I | ASSISTANT VICE PRESIDENT INVESTMENT BANKING | NA | |
| JAMES, BARBARA JO | I | ASSISTANT VICE PRESIDENT INVESTMENT BANKING | NA | |
| JAMES, BARBARA JO | I | ASSISTANT VICE PRESIDENT INVESTMENT BANKING | NA | |
| JAMES, BARBARA JO | I | ASSISTANT VICE PRESIDENT INVESTMENT BANKING | NA | |
| JAMESON, ISAAC WILLIAM | I | VICE PRESIDENT; CHIEF COMPLIANCE OFFICER | NA | Control |
| JAMESON, ISAAC WILLIAM | I | SENIOR VP; CHIEF COMPLIANCE OFFICER; COMPLIANCE AND SR REGISTERED OPTIONS PRINCIPAL (CROP) (SROP); DIRECTOR | NA | Control |
| JOHANNES, KAREN LYN | I | CHIEF FINANCIAL OFFICER; DIRECTOR | NA | Control |
| JOHANNES, KAREN LYN | I | CHIEF FINANCIAL OFFICER; DIRECTOR | NA | Control |
| JOHANNES, KAREN LYN | I | CHIEF FINANCIAL OFFICER; DIRECTOR | NA | Control |
| KHODAPARAST, AHMAD | I | VICE PRESIDENT, COMPLIANCE; COMPLIANCE REGISTERED OPTIONS PRINCIPAL (CROP) | NA | |
| MAXFIELD, MARGARET LORRAINE | I | SENIOR VICE PRESIDENT CORPORATE FINANCE | NA | Control |
| MAXFIELD, MARGARET LORRAINE | I | SENIOR VICE PRESIDENT CORPORATE FINANCE | NA | Control |
| MAXFIELD, MARGARET LORRAINE | I | SENIOR VICE PRESIDENT CORPORATE FINANCE | NA | Control |
| MAXFIELD, MARGARET LORRAINE | I | SENIOR VICE PRESIDENT CORPORATE FINANCE | NA | Control |
| MAXFIELD, MARGARET LORRAINE | I | SENIOR VICE PRESIDENT CORPORATE FINANCE | NA | Control |
| MAXFIELD, MARGARET LORRAINE | I | SENIOR VICE PRESIDENT CORPORATE FINANCE | NA | Control |
| MAXFIELD, MARGARET LORRAINE | I | SENIOR VICE PRESIDENT CORPORATE FINANCE | NA | Control |
| MAXFIELD, MARGARET LORRAINE | I | SENIOR VICE PRESIDENT CORPORATE FINANCE | NA | Control |
| MAXFIELD, MARGARET LORRAINE | I | SENIOR VICE PRESIDENT CORPORATE FINANCE | NA | Control |
| MAXFIELD, MARGARET LORRAINE | I | SENIOR VICE PRESIDENT CORPORATE FINANCE | NA | Control |
| MAXFIELD, MARGARET LORRAINE | I | SENIOR VICE PRESIDENT CORPORATE FINANCE | NA | Control |
| MAXFIELD, MARGARET LORRAINE | I | SENIOR VICE PRESIDENT CORPORATE FINANCE | NA | Control |
| MAXFIELD, MARGARET LORRAINE | I | SENIOR VICE PRESIDENT CORPORATE FINANCE | NA | Control |
| MAXFIELD, MARGARET LORRAINE | I | SENIOR VICE PRESIDENT CORPORATE FINANCE | NA | Control |
| MAXFIELD, MARGARET LORRAINE | I | SENIOR VICE PRESIDENT CORPORATE FINANCE | NA | Control |
| MAXFIELD, MARGARET LORRAINE | I | SENIOR VICE PRESIDENT CORPORATE FINANCE | NA | Control |
| MAXFIELD, MARGARET LORRAINE | I | SENIOR VICE PRESIDENT CORPORATE FINANCE | NA | Control |
| MAXFIELD, MARGARET LORRAINE | I | SENIOR VICE PRESIDENT CORPORATE FINANCE | NA | Control |
| MAXFIELD, MARGARET LORRAINE | I | SENIOR VICE PRESIDENT CORPORATE FINANCE | NA | Control |
| MAXFIELD, MARGARET LORRAINE | I | SENIOR VICE PRESIDENT CORPORATE FINANCE | NA | Control |
| MAXFIELD, MARGARET LORRAINE | I | SENIOR VICE PRESIDENT CORPORATE FINANCE | NA | Control |
| MAXFIELD, MARGARET LORRAINE | I | SENIOR VICE PRESIDENT CORPORATE FINANCE | NA | Control |
| MAXFIELD, MARGARET LORRAINE | I | SENIOR VICE PRESIDENT CORPORATE FINANCE | NA | Control |
| MAXFIELD, MARGARET LORRAINE | I | SENIOR VICE PRESIDENT CORPORATE FINANCE | NA | Control |
| MAXFIELD, MARGARET LORRAINE | I | SENIOR VICE PRESIDENT CORPORATE FINANCE | NA | Control |
| MAXFIELD, MARGARET LORRAINE | I | SENIOR VICE PRESIDENT CORPORATE FINANCE | NA | Control |
| MAXFIELD, MARGARET LORRAINE | I | SENIOR VICE PRESIDENT CORPORATE FINANCE | NA | Control |
| MAXFIELD, MARGARET LORRAINE | I | SENIOR VICE PRESIDENT CORPORATE FINANCE | NA | Control |
| MAXFIELD, MARGARET LORRAINE | I | SENIOR VICE PRESIDENT CORPORATE FINANCE | NA | Control |
| MAXFIELD, MARGARET LORRAINE | I | SENIOR VICE PRESIDENT CORPORATE FINANCE | NA | Control |
| MAXFIELD, MARGARET LORRAINE | I | SENIOR VICE PRESIDENT CORPORATE FINANCE | NA | Control |
| MAXFIELD, MARGARET LORRAINE | I | SENIOR VICE PRESIDENT CORPORATE FINANCE | NA | Control |
| MAXFIELD, MARGARET LORRAINE | I | SENIOR VICE PRESIDENT CORPORATE FINANCE | NA | Control |
| MAXFIELD, MICHAEL GRAY | I | VICE PRESIDENT CORPORATE FINANCE | NA | |
| MAXFIELD, MICHAEL GRAY | I | VICE PRESIDENT CORPORATE FINANCE | NA | |
| MAXFIELD, MICHAEL GRAY | I | VICE PRESIDENT CORPORATE FINANCE | NA | |
| MCCHESNEY, SHAWN PAUL | I | VICE PRESIDENT; DIRECTOR OF TRADING | NA | Control |
| MCCHESNEY, SHAWN PAUL | I | VICE PRESIDENT; DIRECTOR OF TRADING | NA | Control |
| MCCHESNEY, SHAWN PAUL | I | VICE PRESIDENT; DIRECTOR OF TRADING | NA | Control |
| MCCHESNEY, SHAWN PAUL | I | VICE PRESIDENT; DIRECTOR OF TRADING | NA | Control |
| MCCHESNEY, SHAWN PAUL | I | VICE PRESIDENT; DIRECTOR OF TRADING | NA | Control |
| MCCHESNEY, SHAWN PAUL | I | VICE PRESIDENT; DIRECTOR OF TRADING | NA | Control |
| MCCHESNEY, SHAWN PAUL | I | VICE PRESIDENT; DIRECTOR OF TRADING | NA | Control |
| MCCHESNEY, SHAWN PAUL | I | VICE PRESIDENT; DIRECTOR OF TRADING | NA | Control |
| MCCHESNEY, SHAWN PAUL | I | VICE PRESIDENT; DIRECTOR OF TRADING | NA | Control |
| MCINNIS, JANICE IRENE | I | VICE PRESIDENT INFORMATION TECHNOLOGY | NA | Control |
| MCINNIS, JANICE IRENE | I | VICE PRESIDENT INFORMATION TECHNOLOGY | NA | Control |
| MCINNIS, JANICE IRENE | I | VICE PRESIDENT INFORMATION TECHNOLOGY | NA | Control |
| MCINNIS, JANICE IRENE | I | VICE PRESIDENT INFORMATION TECHNOLOGY | NA | Control |
| PAULSON, CHARLES LEON | I | VICE PRESIDENT PROPRIETARY TRADING; DIRECTOR | NA | Control |
| PAULSON, CHARLES LEON | I | VICE PRESIDENT PROPRIETARY TRADING; DIRECTOR | NA | Control |
| PAULSON, CHARLES LEON | I | VICE PRESIDENT PROPRIETARY TRADING; DIRECTOR | NA | Control |
| PAULSON, CHARLES LEON | I | VICE PRESIDENT PROPRIETARY TRADING; DIRECTOR | NA | Control |
| PAULSON, CHARLES LEON | I | VICE PRESIDENT PROPRIETARY TRADING; DIRECTOR | NA | Control |
| PAULSON, CHARLES LEON | I | VICE PRESIDENT PROPRIETARY TRADING; DIRECTOR | NA | Control |
| PAULSON, CHARLES LEON | I | VICE PRESIDENT PROPRIETARY TRADING; DIRECTOR | NA | Control |
| PAULSON, CHESTER LEON FREDERICK | I | CHAIRMAN, BOARD OF DIRECTORS; DIRECTOR OF CORPORATE FINANCE | NA | Control |
| PAULSON, CHESTER LEON FREDERICK | I | CHAIRMAN, BOARD OF DIRECTORS; DIRECTOR OF CORPORATE FINANCE | NA | Control |
| PAULSON, CHESTER LEON FREDERICK | I | CHAIRMAN, BOARD OF DIRECTORS; DIRECTOR OF CORPORATE FINANCE | NA | Control |
| PAULSON, CHESTER LEON FREDERICK | I | CHAIRMAN, BOARD OF DIRECTORS; DIRECTOR OF CORPORATE FINANCE | NA | Control |
| PAULSON, CHESTER LEON FREDERICK | I | CHAIRMAN, BOARD OF DIRECTORS; DIRECTOR OF CORPORATE FINANCE | NA | Control |
| PAULSON, CHESTER LEON FREDERICK | I | CHAIRMAN, BOARD OF DIRECTORS; DIRECTOR OF CORPORATE FINANCE | NA | Control |
| PAULSON, CHESTER LEON FREDERICK | I | CHAIRMAN, BOARD OF DIRECTORS; DIRECTOR OF CORPORATE FINANCE | NA | Control |
| PAULSON, ERICK JACK CRAWFORD | I | DIRECTOR | NA | Control |
| PAULSON, ERICK JACK CRAWFORD | I | DIRECTOR | NA | Control |
| PAULSON, ERICK JACK CRAWFORD | I | DIRECTOR | NA | Control |
| PAULSON, ERICK JACK CRAWFORD | I | VICE CHAIRMAN | NA | Control |
| PAULSON, ERICK JACK CRAWFORD | I | VICE CHAIRMAN | NA | Control |
| PAULSON, ERICK JACK CRAWFORD | I | DIRECTOR | NA | Control |
| PAULSON, ERICK JACK CRAWFORD | I | DIRECTOR | NA | Control |
| PAULSON, JACQUELINE MARIE | I | SECRETARY/TREASURER; DIRECTOR | NA | Control |
| PAULSON, JACQUELINE MARIE | I | SECRETARY/TREASURER; DIRECTOR | NA | Control |
| PAULSON, JACQUELINE MARIE | I | SECRETARY/TREASURER; DIRECTOR | NA | Control |
| PAULSON, JACQUELINE MARIE | I | SECRETARY/TREASURER; DIRECTOR | NA | Control |
| PAULSON, JACQUELINE MARIE | I | SECRETARY/TREASURER; DIRECTOR | NA | Control |
| PAULSON, JACQUELINE MARIE | I | SECRETARY/TREASURER; DIRECTOR | NA | Control |
| PAULSON, JACQUELINE MARIE | I | SECRETARY/TREASURER; DIRECTOR | NA | Control |
| PAULSON, JOHN PATRICK | I | VICE PRESIDENT CORPORATE FINANCE | NA | |
| PAULSON, JOHN PATRICK | I | VICE PRESIDENT CORPORATE FINANCE | NA | |
| PAULSON, JOHN PATRICK | I | VICE PRESIDENT CORPORATE FINANCE | NA | |
| RICE, CAROL ANN | I | SR. VICE PRESIDENT, ACCOUNTING | NA | Control |
| RICE, CAROL ANN | I | SR. VICE PRESIDENT, ACCOUNTING | NA | Control |
| RICE, CAROL ANN | I | SR. VICE PRESIDENT, ACCOUNTING | NA | Control |
| RICE, CAROL ANN | I | SR. VICE PRESIDENT, ACCOUNTING | NA | Control |
| RICE, CAROL ANN | I | SR. VICE PRESIDENT, ACCOUNTING | NA | Control |
| RICE, CAROL ANN | I | SR. VICE PRESIDENT, ACCOUNTING | NA | Control |
| RICE, CAROL ANN | I | SR. VICE PRESIDENT, ACCOUNTING | NA | Control |
| RICE, CAROL ANN | I | SR. VICE PRESIDENT, ACCOUNTING | NA | Control |
| RICE, CAROL ANN | I | SR. VICE PRESIDENT, ACCOUNTING | NA | Control |
| RICE, CAROL ANN | I | SR. VICE PRESIDENT, ACCOUNTING | NA | Control |
| RICE, CAROL ANN | I | SR. VICE PRESIDENT, ACCOUNTING | NA | Control |
| RICE, CAROL ANN | I | SR. VICE PRESIDENT, ACCOUNTING | NA | Control |
| RICE, CAROL ANN | I | SR. VICE PRESIDENT, ACCOUNTING | NA | Control |
| RICE, CAROL ANN | I | SR. VICE PRESIDENT, ACCOUNTING | NA | Control |
| SCHLUNTZ, BECKY KAY | I | VICE PRESIDENT SYNDICATE ADMINISTRATION | NA | |
| SCHLUNTZ, BECKY KAY | I | VICE PRESIDENT SYNDICATE ADMINISTRATION | NA | |
| SCHLUNTZ, BECKY KAY | I | VICE PRESIDENT SYNDICATE ADMINISTRATION | NA | |
| SCHLUNTZ, BECKY KAY | I | VICE PRESIDENT SYNDICATE ADMINISTRATION | NA | |
| SCHLUNTZ, BECKY KAY | I | VICE PRESIDENT SYNDICATE ADMINISTRATION | NA | |
| SCHREIBER, CHRISTOPHER CHARLES | I | SENIOR VICE PRESIDENT; NATIONAL SALES MANAGER; DIRECTOR | NA | Control |
| SCHREIBER, CHRISTOPHER CHARLES | I | SENIOR VICE PRESIDENT; NATIONAL SALES MANAGER; DIRECTOR | NA | Control |
| SCHREIBER, CHRISTOPHER CHARLES | I | SENIOR VICE PRESIDENT; NATIONAL SALES MANAGER; DIRECTOR | NA | Control |
| SCHREIBER, CHRISTOPHER CHARLES | I | SENIOR VICE PRESIDENT; NATIONAL SALES MANAGER; DIRECTOR | NA | Control |
| SCHREIBER, CHRISTOPHER CHARLES | I | SENIOR VICE PRESIDENT; NATIONAL SALES MANAGER; DIRECTOR | NA | Control |
| SHELL, NANCY JEAN | I | VICE PRESIDENT, FIXED INCOME TRADING | NA | |
| SHELL, NANCY JEAN | I | VICE PRESIDENT, FIXED INCOME TRADING | NA | |
| SHELL, NANCY JEAN | I | VICE PRESIDENT, FIXED INCOME TRADING | NA | |
| SHELL, NANCY JEAN | I | VICE PRESIDENT, FIXED INCOME TRADING | NA | |
| SHELL, NANCY JEAN | I | VICE PRESIDENT, FIXED INCOME TRADING | NA | |
| SHELL, NANCY JEAN | I | VICE PRESIDENT, FIXED INCOME TRADING | NA | |
| SMITH, MURRAY GEORGE | I | CHIEF FINANCIAL OFFICER; DIRECTOR | NA | Control |
| SMITH, MURRAY GEORGE | I | CHIEF FINANCIAL OFFICER; DIRECTOR | NA | Control |
| SMITH, MURRAY GEORGE | I | CHIEF FINANCIAL OFFICER; DIRECTOR | NA | Control |
| SMITH, MURRAY GEORGE | I | CHIEF FINANCIAL OFFICER; DIRECTOR | NA | Control |
| STRIPLIN, HARRY LYNN | I | SENIOR VICE PRESIDENT; CHIEF OPERATING OFFICER; SR. REGISTERED OPTIONS PRINCIPAL (SROP); DIRECTOR | NA | Control |
| WINKS, MALCOLM ALEXANDER | I | CFO/FINOP | NA | Control |
| WINKS, MALCOLM ALEXANDER | I | CFO/FINOP | NA | Control |
| WINKS, MALCOLM ALEXANDER | I | CFO/FINOP | NA | Control |
| WINKS, MALCOLM ALEXANDER | I | CFO/FINOP | NA | Control |
| WINKS, MALCOLM ALEXANDER | I | CFO/FINOP | NA | Control |
| WINKS, MALCOLM ALEXANDER | I | CFO/FINOP | NA | Control |
| WINKS, MALCOLM ALEXANDER | I | CFO/FINOP | NA | Control |
| WINKS, MALCOLM ALEXANDER | I | CFO/FINOP | NA | Control |
| WINKS, MALCOLM ALEXANDER | I | CFO/FINOP | NA | Control |
| WINKS, MALCOLM ALEXANDER | I | CFO/FINOP | NA | Control |
| WINKS, MALCOLM ALEXANDER | I | CFO/FINOP | NA | Control |
| WINKS, MALCOLM ALEXANDER | I | CFO/FINOP | NA | Control |
| WINKS, MALCOLM ALEXANDER | I | CFO/FINOP | NA | Control |
| WINKS, MALCOLM ALEXANDER | I | CFO/FINOP | NA | Control |
| WINKS, MALCOLM ALEXANDER | I | CFO/FINOP | NA | Control |
| WINKS, MALCOLM ALEXANDER | I | CFO/FINOP | NA | Control |
| WINKS, MALCOLM ALEXANDER | I | CFO/FINOP | NA | Control |
| WINKS, MALCOLM ALEXANDER | I | CFO/FINOP | NA | Control |
| WINKS, MALCOLM ALEXANDER | I | CFO/FINOP | NA | Control |
| WINKS, MALCOLM ALEXANDER | I | CFO/FINOP | NA | Control |
| WINKS, MALCOLM ALEXANDER | I | CFO/FINOP | NA | Control |
| WINKS, MALCOLM ALEXANDER | I | CFO/FINOP | NA | Control |
| WINKS, MALCOLM ALEXANDER | I | CFO/FINOP | NA | Control |
| WINKS, MALCOLM ALEXANDER | I | CFO/FINOP | NA | Control |
| WINKS, MALCOLM ALEXANDER | I | CFO/FINOP | NA | Control |
| WINKS, MALCOLM ALEXANDER | I | CFO/FINOP | NA | Control |
| PAULSON CAPITAL CORP. | DE | HOLDING COMPANY | E | Control |
| PAULSON CAPITAL CORP. | DE | HOLDING COMPANY | E | Control |
| PAULSON CAPITAL CORP. | DE | HOLDING COMPANY | E | Control |
| PAULSON CAPITAL CORP. | DE | HOLDING COMPANY | E | Control |
| PAULSON CAPITAL CORP. | DE | HOLDING COMPANY | E | Control |
| PAULSON CAPITAL CORP. | DE | HOLDING COMPANY | E | Control |
| PAULSON CAPITAL CORP. | DE | HOLDING COMPANY | E | Control |
| RIVER INTEGRITY INVESTORS, LLC | DE | INVESTOR | C | Control |
| RIVER INTEGRITY INVESTORS, LLC | DE | INVESTOR | C | Control |
| RIVER INTEGRITY INVESTORS, LLC | DE | INVESTOR | C | Control |
| RIVER INTEGRITY INVESTORS, LLC | DE | INVESTOR | C | Control |
| RIVER INTEGRITY INVESTORS, LLC | DE | INVESTOR | C | Control |
| RIVER INTEGRITY INVESTORS, LLC | DE | INVESTOR | C | Control |
| RIVER INTEGRITY INVESTORS, LLC | DE | INVESTOR | C | Control |
| RIVER INTEGRITY INVESTORS, LLC | DE | INVESTOR | C | Control |
| RIVER INTEGRITY INVESTORS, LLC | DE | INVESTOR | C | Control |
| RIVER INTEGRITY INVESTORS, LLC | DE | INVESTOR | C | Control |
| RIVER INTEGRITY INVESTORS, LLC | DE | INVESTOR | C | Control |
| RIVER INTEGRITY INVESTORS, LLC | DE | INVESTOR | C | Control |
| RIVER INTEGRITY INVESTORS, LLC | DE | INVESTOR | C | Control |
| RIVER INTEGRITY INVESTORS, LLC | DE | INVESTOR | C | Control |
| RIVER INTEGRITY INVESTORS, LLC | DE | INVESTOR | C | Control |
| RIVER INTEGRITY INVESTORS, LLC | DE | INVESTOR | C | Control |
| RIVER INTEGRITY INVESTORS, LLC | DE | INVESTOR | C | Control |
| RIVER INTEGRITY INVESTORS, LLC | DE | INVESTOR | C | Control |
| RIVER INTEGRITY INVESTORS, LLC | DE | INVESTOR | C | Control |
| RIVER INTEGRITY INVESTORS, LLC | DE | INVESTOR | C | Control |
| RIVER INTEGRITY INVESTORS, LLC | DE | INVESTOR | C | Control |
| RIVER INTEGRITY INVESTORS, LLC | DE | INVESTOR | C | Control |
| RIVER INTEGRITY INVESTORS, LLC | DE | INVESTOR | C | Control |
| RIVER INTEGRITY INVESTORS, LLC | DE | INVESTOR | C | Control |
| RIVER INTEGRITY INVESTORS, LLC | DE | INVESTOR | C | Control |
| RIVER INTEGRITY INVESTORS, LLC | DE | INVESTOR | C | Control |
| CLARK, CHRISTOPHER STEVEN | I | CHAIRMAN, ELECTED MANAGER | B | Control |
| CLARK, CHRISTOPHER STEVEN | I | CHAIRMAN, ELECTED MANAGER | B | Control |
| CLARK, CHRISTOPHER STEVEN | I | CHAIRMAN, ELECTED MANAGER | B | Control |
| CLARK, CHRISTOPHER STEVEN | I | CHAIRMAN, ELECTED MANAGER | B | Control |
| CLARK, CHRISTOPHER STEVEN | I | CHAIRMAN, ELECTED MANAGER | B | Control |
| CLARK, CHRISTOPHER STEVEN | I | CHAIRMAN, ELECTED MANAGER | B | Control |
| CLARK, CHRISTOPHER STEVEN | I | CHAIRMAN, ELECTED MANAGER | B | Control |
| CLARK, CHRISTOPHER STEVEN | I | CHAIRMAN, ELECTED MANAGER | B | Control |
| CLARK, CHRISTOPHER STEVEN | I | CHAIRMAN, ELECTED MANAGER | B | Control |
| CLARK, CHRISTOPHER STEVEN | I | CHAIRMAN, ELECTED MANAGER | B | Control |
| CLARK, CHRISTOPHER STEVEN | I | CHAIRMAN, ELECTED MANAGER | B | Control |
| CLARK, CHRISTOPHER STEVEN | I | CHAIRMAN, ELECTED MANAGER | B | Control |
| CLARK, CHRISTOPHER STEVEN | I | CHAIRMAN, ELECTED MANAGER | B | Control |
| CLARK, CHRISTOPHER STEVEN | I | CHAIRMAN, ELECTED MANAGER | B | Control |
| CLARK, CHRISTOPHER STEVEN | I | CHAIRMAN, ELECTED MANAGER | B | Control |
| CLARK, CHRISTOPHER STEVEN | I | CHAIRMAN, ELECTED MANAGER | B | Control |
| CLARK, CHRISTOPHER STEVEN | I | CHAIRMAN, ELECTED MANAGER | B | Control |
| CLARK, CHRISTOPHER STEVEN | I | CHAIRMAN, ELECTED MANAGER | B | Control |
| CLARK, CHRISTOPHER STEVEN | I | CHAIRMAN, ELECTED MANAGER | B | Control |
| CLARK, CHRISTOPHER STEVEN | I | CHAIRMAN, ELECTED MANAGER | B | Control |
| CLARK, CHRISTOPHER STEVEN | I | CHAIRMAN, ELECTED MANAGER | B | Control |
| CLARK, CHRISTOPHER STEVEN | I | CHAIRMAN, ELECTED MANAGER | B | Control |
| CLARK, CHRISTOPHER STEVEN | I | CHAIRMAN, ELECTED MANAGER | B | Control |
| CLARK, CHRISTOPHER STEVEN | I | CHAIRMAN, ELECTED MANAGER | B | Control |
| CLARK, STEVEN CHRISTOPHER | I | CHAIRMAN | B | Control |
| CLARK, STEVEN CHRISTOPHER | I | CHAIRMAN | B | Control |
| PARIGIAN, THOMAS STEWART | I | ELECTED MANAGER | B | Control |
| PARIGIAN, THOMAS STEWART | I | MANAGING PARTNER | B | Control |
| PARIGIAN, THOMAS STEWART | I | ELECTED MANAGER | B | Control |
| PARIGIAN, THOMAS STEWART | I | MANAGING PARTNER | B | Control |
| PARIGIAN, THOMAS STEWART | I | ELECTED MANAGER | B | Control |
| PARIGIAN, THOMAS STEWART | I | ELECTED MANAGER | B | Control |
| PARIGIAN, THOMAS STEWART | I | ELECTED MANAGER | B | Control |
| PARIGIAN, THOMAS STEWART | I | ELECTED MANAGER | B | Control |
| PARIGIAN, THOMAS STEWART | I | ELECTED MANAGER | B | Control |
| PARIGIAN, THOMAS STEWART | I | ELECTED MANAGER | B | Control |
| PARIGIAN, THOMAS STEWART | I | ELECTED MANAGER | B | Control |
| PARIGIAN, THOMAS STEWART | I | ELECTED MANAGER | B | Control |
| PARIGIAN, THOMAS STEWART | I | ELECTED MANAGER | B | Control |
| PARIGIAN, THOMAS STEWART | I | ELECTED MANAGER | B | Control |
| PARIGIAN, THOMAS STEWART | I | ELECTED MANAGER | B | Control |
| PARIGIAN, THOMAS STEWART | I | ELECTED MANAGER | B | Control |
| PARIGIAN, THOMAS STEWART | I | ELECTED MANAGER | B | Control |
| PARIGIAN, THOMAS STEWART | I | ELECTED MANAGER | B | Control |
| PARIGIAN, THOMAS STEWART | I | ELECTED MANAGER | B | Control |
| PARIGIAN, THOMAS STEWART | I | ELECTED MANAGER | B | Control |
| PARIGIAN, THOMAS STEWART | I | ELECTED MANAGER | B | Control |
| PARIGIAN, THOMAS STEWART | I | ELECTED MANAGER | B | Control |
| PARIGIAN, THOMAS STEWART | I | ELECTED MANAGER | B | Control |
| PARIGIAN, THOMAS STEWART | I | ELECTED MANAGER | B | Control |
| PARIGIAN, THOMAS STEWART | I | ELECTED MANAGER | B | Control |
| PARIGIAN, THOMAS STEWART | I | ELECTED MANAGER | B | Control |
| SETTEDUCATI, ROBERT JOSEPH | I | ELECTED MANAGER | B | Control |
| SETTEDUCATI, ROBERT JOSEPH | I | MANAGING PARTNER | B | Control |
| SETTEDUCATI, ROBERT JOSEPH | I | ELECTED MANAGER | B | Control |
| SETTEDUCATI, ROBERT JOSEPH | I | MANAGING PARTNER | B | Control |
| SETTEDUCATI, ROBERT JOSEPH | I | ELECTED MANAGER | B | Control |
| SETTEDUCATI, ROBERT JOSEPH | I | ELECTED MANAGER | B | Control |
| SETTEDUCATI, ROBERT JOSEPH | I | ELECTED MANAGER | B | Control |
| SETTEDUCATI, ROBERT JOSEPH | I | ELECTED MANAGER | B | Control |
| SETTEDUCATI, ROBERT JOSEPH | I | ELECTED MANAGER | B | Control |
| SETTEDUCATI, ROBERT JOSEPH | I | ELECTED MANAGER | B | Control |
| SETTEDUCATI, ROBERT JOSEPH | I | ELECTED MANAGER | B | Control |
| SETTEDUCATI, ROBERT JOSEPH | I | ELECTED MANAGER | B | Control |
| SETTEDUCATI, ROBERT JOSEPH | I | ELECTED MANAGER | B | Control |
| SETTEDUCATI, ROBERT JOSEPH | I | ELECTED MANAGER | B | Control |
| SETTEDUCATI, ROBERT JOSEPH | I | ELECTED MANAGER | B | Control |
| SETTEDUCATI, ROBERT JOSEPH | I | ELECTED MANAGER | B | Control |
| SETTEDUCATI, ROBERT JOSEPH | I | ELECTED MANAGER | B | Control |
| SETTEDUCATI, ROBERT JOSEPH | I | ELECTED MANAGER | B | Control |
| SETTEDUCATI, ROBERT JOSEPH | I | ELECTED MANAGER | B | Control |
| SETTEDUCATI, ROBERT JOSEPH | I | ELECTED MANAGER | B | Control |
| SETTEDUCATI, ROBERT JOSEPH | I | ELECTED MANAGER | B | Control |
| SETTEDUCATI, ROBERT JOSEPH | I | ELECTED MANAGER | B | Control |
| SETTEDUCATI, ROBERT JOSEPH | I | ELECTED MANAGER | B | Control |
| SETTEDUCATI, ROBERT JOSEPH | I | ELECTED MANAGER | B | Control |
| SETTEDUCATI, ROBERT JOSEPH | I | ELECTED MANAGER | B | Control |
| SETTEDUCATI, ROBERT JOSEPH | I | ELECTED MANAGER | B | Control |
| DTA INVESTMENTS LLC | DE | INVESTOR | A | |
| DTA INVESTMENTS LLC | DE | INVESTOR | A | |
| DTA INVESTMENTS LLC | DE | INVESTOR | A | |
| DTA INVESTMENTS LLC | DE | INVESTOR | A | |
| DTA INVESTMENTS LLC | DE | INVESTOR | A | |
| DTA INVESTMENTS LLC | DE | INVESTOR | A | |
| DTA INVESTMENTS LLC | DE | INVESTOR | A | |
| DTA INVESTMENTS LLC | DE | INVESTOR | A | |
| DTA INVESTMENTS LLC | DE | INVESTOR | A | |
| DTA INVESTMENTS LLC | DE | INVESTOR | A | |
| DTA INVESTMENTS LLC | DE | INVESTOR | A | |
| DTA INVESTMENTS LLC | DE | INVESTOR | A | |
| DTA INVESTMENTS LLC | DE | INVESTOR | A | |
| DTA INVESTMENTS LLC | DE | INVESTOR | A | |
| DTA INVESTMENTS LLC | DE | INVESTOR | A | |
| DTA INVESTMENTS LLC | DE | INVESTOR | A | |
| DTA INVESTMENTS LLC | DE | INVESTOR | A | |
| DTA INVESTMENTS LLC | DE | INVESTOR | A | |
| DTA INVESTMENTS LLC | DE | INVESTOR | A | |
| DTA INVESTMENTS LLC | DE | INVESTOR | A | |
| DTA INVESTMENTS LLC | DE | INVESTOR | A | |
| DTA INVESTMENTS LLC | DE | INVESTOR | A | |
| DTA INVESTMENTS LLC | DE | INVESTOR | A | |
| DTA INVESTMENTS LLC | DE | INVESTOR | A | |
| DTA INVESTMENTS LLC | DE | INVESTOR | A | |
| DTA INVESTMENTS LLC | DE | INVESTOR | A |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| YOUNG, GUY HANSEN | I | RIVER INTEGRITY INVESTORS LLC | E | Control |
| YOUNG, GUY HANSEN | I | RIVER INTEGRITY INVESTORS LLC | E | Control |
| YOUNG, GUY HANSEN | I | RIVER INTEGRITY INVESTORS LLC | E | Control |
| YOUNG, GUY HANSEN | I | RIVER INTEGRITY INVESTORS LLC | E | Control |
| YOUNG, GUY HANSEN | I | RIVER INTEGRITY INVESTORS LLC | E | Control |
| YOUNG, GUY HANSEN | I | RIVER INTEGRITY INVESTORS LLC | E | Control |
| YOUNG, GUY HANSEN | I | RIVER INTEGRITY INVESTORS LLC | E | Control |
| YOUNG, GUY HANSEN | I | RIVER INTEGRITY INVESTORS LLC | E | Control |
| YOUNG, GUY HANSEN | I | RIVER INTEGRITY INVESTORS LLC | E | Control |
| YOUNG, GUY HANSEN | I | RIVER INTEGRITY INVESTORS LLC | E | Control |
| YOUNG, GUY HANSEN | I | RIVER INTEGRITY INVESTORS LLC | E | Control |
| YOUNG, GUY HANSEN | I | RIVER INTEGRITY INVESTORS LLC | E | Control |
| YOUNG, GUY HANSEN | I | RIVER INTEGRITY INVESTORS LLC | E | Control |
| YOUNG, GUY HANSEN | I | RIVER INTEGRITY INVESTORS LLC | E | Control |
| YOUNG, GUY HANSEN | I | RIVER INTEGRITY INVESTORS LLC | E | Control |
| YOUNG, GUY HANSEN | I | RIVER INTEGRITY INVESTORS LLC | E | Control |
| YOUNG, GUY HANSEN | I | RIVER INTEGRITY INVESTORS LLC | E | Control |
| YOUNG, GUY HANSEN | I | RIVER INTEGRITY INVESTORS LLC | E | Control |
| YOUNG, GUY HANSEN | I | RIVER INTEGRITY INVESTORS LLC | E | Control |
| YOUNG, GUY HANSEN | I | RIVER INTEGRITY INVESTORS LLC | E | Control |
| YOUNG, GUY HANSEN | I | RIVER INTEGRITY INVESTORS LLC | E | Control |
| YOUNG, GUY HANSEN | I | RIVER INTEGRITY INVESTORS LLC | E | Control |
| YOUNG, GUY HANSEN | I | RIVER INTEGRITY INVESTORS LLC | E | Control |
| YOUNG, GUY HANSEN | I | RIVER INTEGRITY INVESTORS LLC | E | Control |
| YOUNG, GUY HANSEN | I | RIVER INTEGRITY INVESTORS LLC | E | Control |
| YOUNG, GUY HANSEN | I | RIVER INTEGRITY INVESTORS LLC | E | Control |
| CARMONA, ADOLFO MATHIAS | I | DTA INVESTMENTS LLC | C | Control |
| CARMONA, ADOLFO MATHIAS | I | DTA INVESTMENTS LLC | C | Control |
| CARMONA, ADOLFO MATHIAS | I | DTA INVESTMENTS LLC | C | Control |
| CARMONA, ADOLFO MATHIAS | I | DTA INVESTMENTS LLC | C | Control |
| CARMONA, ADOLFO MATHIAS | I | DTA INVESTMENTS LLC | C | Control |
| CARMONA, ADOLFO MATHIAS | I | DTA INVESTMENTS LLC | C | Control |
| CARMONA, ADOLFO MATHIAS | I | DTA INVESTMENTS LLC | C | Control |
| CARMONA, ADOLFO MATHIAS | I | DTA INVESTMENTS LLC | C | Control |
| CARMONA, ADOLFO MATHIAS | I | DTA INVESTMENTS LLC | C | Control |
| CARMONA, ADOLFO MATHIAS | I | DTA INVESTMENTS LLC | C | Control |
| CARMONA, ADOLFO MATHIAS | I | DTA INVESTMENTS LLC | C | Control |
| CARMONA, ADOLFO MATHIAS | I | DTA INVESTMENTS LLC | C | Control |
| CARMONA, ADOLFO MATHIAS | I | DTA INVESTMENTS LLC | C | Control |
| CARMONA, ADOLFO MATHIAS | I | DTA INVESTMENTS LLC | C | Control |
| CARMONA, ADOLFO MATHIAS | I | DTA INVESTMENTS LLC | C | Control |
| CARMONA, ADOLFO MATHIAS | I | DTA INVESTMENTS LLC | C | Control |
| CARMONA, ADOLFO MATHIAS | I | DTA INVESTMENTS LLC | C | Control |
| CARMONA, ADOLFO MATHIAS | I | DTA INVESTMENTS LLC | C | Control |
| CARMONA, ADOLFO MATHIAS | I | DTA INVESTMENTS LLC | C | Control |
| CARMONA, ADOLFO MATHIAS | I | DTA INVESTMENTS LLC | C | Control |
| CARMONA, ADOLFO MATHIAS | I | DTA INVESTMENTS LLC | C | Control |
| CARMONA, ADOLFO MATHIAS | I | DTA INVESTMENTS LLC | C | Control |
| CARMONA, DONNA HARDACRE | I | DTA INVESTMENTS LLC | C | Control |
| CARMONA, DONNA HARDACRE | I | DTA INVESTMENTS LLC | C | Control |
| CARMONA, DONNA HARDACRE | I | DTA INVESTMENTS LLC | C | Control |
| CARMONA, DONNA HARDACRE | I | DTA INVESTMENTS LLC | C | Control |
| CARMONA, DONNA HARDACRE | I | DTA INVESTMENTS LLC | C | Control |
| CARMONA, DONNA HARDACRE | I | DTA INVESTMENTS LLC | C | Control |
| CARMONA, DONNA HARDACRE | I | DTA INVESTMENTS LLC | C | Control |
| CARMONA, DONNA HARDACRE | I | DTA INVESTMENTS LLC | C | Control |
| CARMONA, DONNA HARDACRE | I | DTA INVESTMENTS LLC | C | Control |
| CARMONA, DONNA HARDACRE | I | DTA INVESTMENTS LLC | C | Control |
| CARMONA, DONNA HARDACRE | I | DTA INVESTMENTS LLC | C | Control |
| CARMONA, DONNA HARDACRE | I | DTA INVESTMENTS LLC | C | Control |
| CARMONA, DONNA HARDACRE | I | DTA INVESTMENTS LLC | C | Control |
| CARMONA, DONNA HARDACRE | I | DTA INVESTMENTS LLC | C | Control |
| CARMONA, DONNA HARDACRE | I | DTA INVESTMENTS LLC | C | Control |
| CARMONA, DONNA HARDACRE | I | DTA INVESTMENTS LLC | C | Control |
| CARMONA, DONNA HARDACRE | I | DTA INVESTMENTS LLC | C | Control |
| CARMONA, DONNA HARDACRE | I | DTA INVESTMENTS LLC | C | Control |
| CARMONA, DONNA HARDACRE | I | DTA INVESTMENTS LLC | C | Control |
| CARMONA, DONNA HARDACRE | I | DTA INVESTMENTS LLC | C | Control |
| CARMONA, DONNA HARDACRE | I | DTA INVESTMENTS LLC | C | Control |
| CARMONA, DONNA HARDACRE | I | DTA INVESTMENTS LLC | C | Control |
| PAULSON, CHESTER LEON FREDERICK | I | PAULSON CAPITAL CORP. | C | Control |
| PAULSON, CHESTER LEON FREDERICK | I | PAULSON CAPITAL CORP. | C | Control |
| PAULSON, CHESTER LEON FREDERICK | I | PAULSON CAPITAL CORP. | C | Control |
| PAULSON, CHESTER LEON FREDERICK | I | PAULSON CAPITAL CORP. | C | Control |
| PAULSON, CHESTER LEON FREDERICK | I | PAULSON CAPITAL CORP. | C | Control |
| PAULSON, CHESTER LEON FREDERICK | I | PAULSON CAPITAL CORP. | C | Control |
| PAULSON, CHESTER LEON FREDERICK | I | PAULSON CAPITAL CORP. | C | Control |
| PAULSON, JACQUELINE MARIE | I | PAULSON CAPITAL CORP. | C | Control |
| PAULSON, JACQUELINE MARIE | I | PAULSON CAPITAL CORP. | C | Control |
| PAULSON, JACQUELINE MARIE | I | PAULSON CAPITAL CORP. | C | Control |
| PAULSON, JACQUELINE MARIE | I | PAULSON CAPITAL CORP. | C | Control |
| PAULSON, JACQUELINE MARIE | I | PAULSON CAPITAL CORP. | C | Control |
| PAULSON, JACQUELINE MARIE | I | PAULSON CAPITAL CORP. | C | Control |
| PAULSON, JACQUELINE MARIE | I | PAULSON CAPITAL CORP. | C | Control |
| RAGAN, DALE GEORGE | I | DTA INVESTMENTS LLC | C | Control |
| RAGAN, DALE GEORGE | I | DTA INVESTMENTS LLC | C | Control |
| RAGAN, DALE GEORGE | I | DTA INVESTMENTS LLC | C | Control |
| RAGAN, DALE GEORGE | I | DTA INVESTMENTS LLC | C | Control |
| RAGAN, DALE GEORGE | I | DTA INVESTMENTS LLC | C | Control |
| RAGAN, DALE GEORGE | I | DTA INVESTMENTS LLC | C | Control |
| RAGAN, DALE GEORGE | I | DTA INVESTMENTS LLC | C | Control |
| RAGAN, DALE GEORGE | I | DTA INVESTMENTS LLC | C | Control |
| RAGAN, DALE GEORGE | I | DTA INVESTMENTS LLC | C | Control |
| RAGAN, DALE GEORGE | I | DTA INVESTMENTS LLC | C | Control |
| RAGAN, DALE GEORGE | I | DTA INVESTMENTS LLC | C | Control |
| RAGAN, DALE GEORGE | I | DTA INVESTMENTS LLC | C | Control |
| RAGAN, DALE GEORGE | I | DTA INVESTMENTS LLC | C | Control |
| RAGAN, DALE GEORGE | I | DTA INVESTMENTS LLC | C | Control |
| RAGAN, DALE GEORGE | I | DTA INVESTMENTS LLC | C | Control |
| RAGAN, DALE GEORGE | I | DTA INVESTMENTS LLC | C | Control |
| RAGAN, DALE GEORGE | I | DTA INVESTMENTS LLC | C | Control |
| RAGAN, DALE GEORGE | I | DTA INVESTMENTS LLC | C | Control |
| RAGAN, DALE GEORGE | I | DTA INVESTMENTS LLC | C | Control |
| RAGAN, DALE GEORGE | I | DTA INVESTMENTS LLC | C | Control |
| RAGAN, DALE GEORGE | I | DTA INVESTMENTS LLC | C | Control |
| RAGAN, DALE GEORGE | I | DTA INVESTMENTS LLC | C | Control |
| RAGAN, TANYA ANN | I | DTA INVESTMENTS LLC | C | Control |
| RAGAN, TANYA ANN | I | DTA INVESTMENTS LLC | C | Control |
| RAGAN, TANYA ANN | I | DTA INVESTMENTS LLC | C | Control |
| RAGAN, TANYA ANN | I | DTA INVESTMENTS LLC | C | Control |
| RAGAN, TANYA ANN | I | DTA INVESTMENTS LLC | C | Control |
| RAGAN, TANYA ANN | I | DTA INVESTMENTS LLC | C | Control |
| RAGAN, TANYA ANN | I | DTA INVESTMENTS LLC | C | Control |
| RAGAN, TANYA ANN | I | DTA INVESTMENTS LLC | C | Control |
| RAGAN, TANYA ANN | I | DTA INVESTMENTS LLC | C | Control |
| RAGAN, TANYA ANN | I | DTA INVESTMENTS LLC | C | Control |
| RAGAN, TANYA ANN | I | DTA INVESTMENTS LLC | C | Control |
| RAGAN, TANYA ANN | I | DTA INVESTMENTS LLC | C | Control |
| RAGAN, TANYA ANN | I | DTA INVESTMENTS LLC | C | Control |
| RAGAN, TANYA ANN | I | DTA INVESTMENTS LLC | C | Control |
| RAGAN, TANYA ANN | I | DTA INVESTMENTS LLC | C | Control |
| RAGAN, TANYA ANN | I | DTA INVESTMENTS LLC | C | Control |
| RAGAN, TANYA ANN | I | DTA INVESTMENTS LLC | C | Control |
| RAGAN, TANYA ANN | I | DTA INVESTMENTS LLC | C | Control |
| RAGAN, TANYA ANN | I | DTA INVESTMENTS LLC | C | Control |
| RAGAN, TANYA ANN | I | DTA INVESTMENTS LLC | C | Control |
| RAGAN, TANYA ANN | I | DTA INVESTMENTS LLC | C | Control |
| RAGAN, TANYA ANN | I | DTA INVESTMENTS LLC | C | Control |
| RIVER INTEGRITY INVESTORS, LLC | DE | PAULSON CAPITAL HOLDING COMPANY, LLC | C | |
| RIVER INTEGRITY INVESTORS, LLC | DE | PAULSON CAPITAL HOLDING COMPANY, LLC | C | |
| RIVER INTEGRITY INVESTORS, LLC | DE | PAULSON CAPITAL HOLDING COMPANY, LLC | C | |
| RIVER INTEGRITY INVESTORS, LLC | DE | PAULSON CAPITAL HOLDING COMPANY, LLC | C |
Registrations
Federal
IA
Jun 2, 2017 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
566 WEST ADAMS STSUITE 750
CHICAGO, IL 60661
United States
Phone: 3129408320