PROTECTED INVESTORS OF AMERICA
CRD #6082 SEC #801-10299 SAN FRANCISCO, CA 415-398-4363
SEC Registered Broker-Dealer
Total AUM
$607.9M
Discretionary
$303.1M
Employees
68
Clients
251
Accounts
2,142
Firm Details
- Organization Type
- Corporation
- State of Formation
- California
- Fiscal Year End
- JUNE
- Registration Date
- --
- Latest Filing
- Jan 11, 2016
- 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 |
|---|---|---|---|---|
| AGUADA-HALLBERG, CAROL A | I | CHIEF COMPLIANCE OFFICER & FINOP | NA | Control |
| AGUADA-HALLBERG, CAROL A | I | CHIEF COMPLIANCE OFFICER & FINOP | NA | Control |
| AGUADA-HALLBERG, CAROL A | I | CHIEF COMPLIANCE OFFICER & FINOP | NA | Control |
| AGUADA-HALLBERG, CAROL A | I | FINANCIAL & OPERATIONS PRINCIPAL | NA | |
| AGUADA-HALLBERG, CAROL A | I | CHIEF COMPLIANCE OFFICER & FINOP | NA | Control |
| AGUADA-HALLBERG, CAROL A | I | CHIEF COMPLIANCE OFFICER & FINOP | NA | Control |
| AGUADA-HALLBERG, CAROL A | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| AGUADA-HALLBERG, CAROL A | I | CHIEF COMPLIANCE OFFICER & FINOP | NA | Control |
| AGUADA-HALLBERG, CAROL A | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| AGUADA-HALLBERG, CAROL A | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| AGUADA-HALLBERG, CAROL A | I | CHIEF COMPLIANCE OFFICER & FINOP | NA | Control |
| ARMSTEAD, JOHN THOMAS | I | CHAIRMAN, TREASURER | NA | Control |
| ARMSTEAD, JOHN THOMAS | I | CHAIRMAN | NA | Control |
| ARMSTEAD, JOHN THOMAS | I | CHAIRMAN, TREASURER | NA | Control |
| ARMSTEAD, JOHN THOMAS | I | TRUSTEE OF ARMSTEAD FAMILY TRUST UA DTD | NA | |
| ARMSTEAD, JOHN THOMAS | I | TRUSTEE OF ARMSTEAD FAMILY TRUST UA DTD | NA | |
| ARMSTEAD, JOHN THOMAS | I | TRUSTEE OF ARMSTEAD FAMILY TRUST UA DTD | NA | |
| ARMSTEAD, JOHN THOMAS | I | TRUSTEE OF ARMSTEAD FAMILY TRUST UA DTD | NA | |
| BAGG, SHELLEY DIANE | I | DIRECTOR | NA | Control |
| BAGG, SHELLEY DIANE | I | DIRECTOR | NA | Control |
| BAGG, SHELLEY DIANE | I | DIRECTOR | NA | Control |
| BAGG, SHELLEY DIANE | I | DIRECTOR | NA | Control |
| BAGG, SHELLEY DIANE | I | DIRECTOR | NA | Control |
| BAGG, SHELLEY DIANE | I | DIRECTOR | NA | Control |
| BAGG, SHELLEY DIANE | I | DIRECTOR | NA | Control |
| BAGG, SHELLEY DIANE | I | DIRECTOR | NA | Control |
| BAGG, SHELLEY DIANE | I | DIRECTOR | NA | Control |
| BAGG, SHELLEY DIANE | I | DIRECTOR | NA | Control |
| BAGG, SHELLEY DIANE | I | CHAIRMAN | NA | Control |
| BAGG, SHELLEY DIANE | I | CHAIRMAN | NA | Control |
| BAGG, SHELLEY DIANE | I | DIRECTOR | NA | Control |
| BUCHFINCK, RITA KAY | I | PRESIDENT | NA | Control |
| BUCHFINCK, RITA KAY | I | PRESIDENT | NA | Control |
| BUCHFINCK, RITA KAY | I | PRESIDENT | NA | Control |
| BUCHFINCK, RITA KAY | I | PRESIDENT | NA | Control |
| BUCHFINCK, RITA KAY | I | PRESIDENT | NA | Control |
| CALVELLI, MICHAEL J | I | DIRECTOR | NA | |
| CALVELLI, MICHAEL J | I | DIRECTOR | NA | |
| CALVELLI, MICHAEL J | I | DIRECTOR | NA | |
| CALVELLI, MICHAEL J | I | DIRECTOR | NA | |
| CAMPBELL, SUSAN KATHERINE | I | DIRECTOR | NA | Control |
| CAMPBELL, SUSAN KATHERINE | I | DIRECTOR | NA | Control |
| CAMPBELL, SUSAN KATHERINE | I | DIRECTOR | NA | Control |
| CAMPBELL, SUSAN KATHERINE | I | DIRECTOR | NA | Control |
| CAMPBELL, SUSAN KATHERINE | I | DIRECTOR | NA | Control |
| CAMPBELL, SUSAN KATHERINE | I | DIRECTOR | NA | Control |
| CAMPBELL, SUSAN KATHERINE | I | DIRECTOR | NA | Control |
| CAMPBELL, SUSAN KATHERINE | I | DIRECTOR | NA | Control |
| CAO, TAMMY HIEN | I | FINOP | NA | |
| CAO, TAMMY HIEN | I | FINOP | NA | |
| CHRISTIANSEN, VERLAND MAX | I | DIRECTOR | NA | |
| CHRISTIANSEN, VERLAND MAX | I | DIRECTOR | NA | |
| CHRISTIANSEN, VERLAND MAX | I | DIRECTOR | NA | |
| CHRISTIANSEN, VERLAND MAX | I | SECRETARY | NA | |
| CHRISTIANSEN, VERLAND MAX | I | DIRECTOR | NA | |
| CHRISTIANSEN, VERLAND MAX | I | DIRECTOR | NA | |
| CHRISTIANSEN, VERLAND MAX | I | DIRECTOR | NA | |
| CHRISTIANSEN, VERLAND MAX | I | DIRECTOR | NA | |
| CHRISTIANSEN, VERLAND MAX | I | DIRECTOR | NA | |
| CHRISTIANSEN, VERLAND MAX | I | DIRECTOR | NA | |
| CHRISTIANSEN, VERLAND MAX | I | SECRETARY | NA | |
| DREIZLER, ROBERT LAURIE | I | DIRECTOR | NA | Control |
| DREIZLER, ROBERT LAURIE | I | DIRECTOR | NA | Control |
| DREIZLER, ROBERT LAURIE | I | DIRECTOR | NA | Control |
| DREIZLER, ROBERT LAURIE | I | CHAIRMAN | NA | Control |
| DREIZLER, ROBERT LAURIE | I | DIRECTOR | NA | Control |
| DREIZLER, ROBERT LAURIE | I | DIRECTOR | NA | Control |
| DREIZLER, ROBERT LAURIE | I | CHAIRMAN | NA | Control |
| DREIZLER, ROBERT LAURIE | I | CHAIRMAN | NA | Control |
| DREIZLER, ROBERT LAURIE | I | DIRECTOR | NA | Control |
| DREIZLER, ROBERT LAURIE | I | DIRECTOR | NA | Control |
| DREIZLER, ROBERT LAURIE | I | DIRECTOR | NA | Control |
| DREIZLER, ROBERT LAURIE | I | DIRECTOR | NA | Control |
| DREIZLER, ROBERT LAURIE | I | DIRECTOR | NA | Control |
| DREIZLER, ROBERT LAURIE | I | DIRECTOR | NA | Control |
| DREIZLER, ROBERT LAURIE | I | CHAIRMAN | NA | Control |
| DREIZLER, ROBERT LAURIE | I | CHAIRMAN | NA | Control |
| DREIZLER, ROBERT LAURIE | I | CHAIRMAN | NA | Control |
| DREIZLER, ROBERT LAURIE | I | TRUSTEE OF DREIZLER FAMILY TRUST | NA | |
| DREIZLER, ROBERT LAURIE | I | TRUSTEE OF DREIZLER FAMILY TRUST | NA | |
| DREIZLER, ROBERT LAURIE | I | CHAIRMAN | NA | Control |
| DREIZLER, ROBERT LAURIE | I | CHAIRMAN | NA | Control |
| DREIZLER, ROBERT LAURIE | I | TRUSTEE OF DREIZLER FAMILY TRUST | NA | |
| DREIZLER, ROBERT LAURIE | I | TRUSTEE OF DREIZLER FAMILY TRUST | NA | |
| DREIZLER, SONYA BROOKE | I | VICE PRESIDENT, CHIEF OPERATING OFFICER | NA | Control |
| DREIZLER, SONYA BROOKE | I | VICE PRESIDENT | NA | Control |
| DREIZLER, SONYA BROOKE | I | VICE PRESIDENT, CHIEF OPERATING OFFICER | NA | Control |
| DREIZLER, SONYA BROOKE | I | VICE PRESIDENT, CHIEF OPERATING OFFICER | NA | Control |
| DREIZLER, SONYA BROOKE | I | VICE PRESIDENT, CHIEF OPERATING OFFICER | NA | Control |
| DREIZLER, SONYA BROOKE | I | VICE PRESIDENT, CHIEF OPERATING OFFICER | NA | Control |
| DREIZLER, SONYA BROOKE | I | VICE PRESIDENT, CHIEF OPERATING OFFICER | NA | Control |
| DREIZLER, SONYA BROOKE | I | PRESIDENT / CEO | NA | Control |
| DREIZLER, SONYA BROOKE | I | PRESIDENT / CEO | NA | Control |
| DREIZLER, SONYA BROOKE | I | PRESIDENT / CEO | NA | Control |
| DREIZLER, SONYA BROOKE | I | CHIEF OPERATING OFFICER, FINOP | NA | Control |
| DREIZLER, SONYA BROOKE | I | CHIEF OPERATING OFFICER, FINOP | NA | Control |
| DREIZLER, SONYA BROOKE | I | CHIEF OPERATING OFFICER, FINOP | NA | Control |
| DREIZLER, SONYA BROOKE | I | CHIEF OPERATING OFFICER, FINOP | NA | Control |
| DREIZLER, SONYA BROOKE | I | CHIEF OPERATING OFFICER, FINOP | NA | Control |
| DREIZLER, SONYA BROOKE | I | CHIEF OPERATING OFFICER, FINOP | NA | Control |
| DREIZLER, SONYA BROOKE | I | PRESIDENT / CEO | NA | Control |
| DREIZLER, SONYA BROOKE | I | CHIEF OPERATING OFFICER, FINOP | NA | Control |
| DREIZLER, SONYA BROOKE | I | VICE PRESIDENT, CHIEF OPERATING OFFICER | NA | Control |
| DREIZLER, SONYA BROOKE | I | CHIEF OPERATING OFFICER, FINOP | NA | Control |
| DREIZLER, SONYA BROOKE | I | CHIEF OPERATING OFFICER, FINOP | NA | Control |
| DREIZLER, SONYA BROOKE | I | CHIEF OPERATING OFFICER, FINOP | NA | Control |
| DREIZLER, SONYA BROOKE | I | CHIEF OPERATING OFFICER, FINOP | NA | Control |
| DREIZLER, SONYA BROOKE | I | PRESIDENT / CEO | NA | Control |
| DREIZLER, SONYA BROOKE | I | VICE PRESIDENT, CHIEF OPERATING OFFICER | NA | Control |
| DREIZLER, SONYA BROOKE | I | PRESIDENT / CEO / FINOP | NA | Control |
| DREIZLER, SONYA BROOKE | I | PRESIDENT / CEO / FINOP | NA | Control |
| FORD, IRVING MARTYN | I | DIRECTOR/TREASURER/SECRETARY | NA | Control |
| FORD, IRVING MARTYN | I | DIRECTOR/TREASURER/SECRETARY | NA | Control |
| HALLBERG, CAROL ANN | I | VICE PRESIDENT | NA | Control |
| HALLBERG, CAROL ANN | I | VICE PRESIDENT | NA | Control |
| HALLBERG, CAROL ANN | I | VICE PRESIDENT | NA | Control |
| HALLBERG, CAROL ANN | I | VICE PRESIDENT | NA | Control |
| HALLBERG, CAROL ANN | I | VICE PRESIDENT | NA | Control |
| HALLBERG, CAROL ANN | I | VICE PRESIDENT | NA | Control |
| HALLBERG, CAROL ANN | I | VICE PRESIDENT | NA | Control |
| HALLBERG, CAROL ANN | I | VICE PRESIDENT | NA | Control |
| HALLBERG, CAROL ANN | I | VICE PRESIDENT | NA | Control |
| HALLBERG, CAROL ANN | I | VICE PRESIDENT | NA | Control |
| HALLBERG, CAROL ANN | I | VICE PRESIDENT | NA | Control |
| HALLBERG, CAROL ANN | I | VICE PRESIDENT | NA | Control |
| HALLBERG, CAROL ANN | I | VICE PRESIDENT | NA | Control |
| HERSHEY, SALLY ANN | I | DIRECTOR/SECRETARY | NA | Control |
| HERSHEY, SALLY ANN | I | DIRECTOR/SECRETARY | NA | Control |
| HERSHEY, SALLY ANN | I | DIRECTOR/SECRETARY | NA | Control |
| HERSHEY, SALLY ANN | I | DIRECTOR/SECRETARY | NA | Control |
| HERSHEY, SALLY ANN | I | DIRECTOR/SECRETARY | NA | Control |
| HERSHEY, SALLY ANN | I | DIRECTOR/SECRETARY | NA | Control |
| HERSHEY, SALLY ANN | I | DIRECTOR/SECRETARY | NA | Control |
| HERSHEY, SALLY ANN | I | DIRECTOR/SECRETARY | NA | Control |
| HERSHEY, SALLY ANN | I | DIRECTOR/SECRETARY | NA | Control |
| HERSHEY, SALLY ANN | I | DIRECTOR | NA | Control |
| HERSHEY, SALLY ANN | I | DIRECTOR | NA | Control |
| HERSHEY, SALLY ANN | I | DIRECTOR | NA | Control |
| HERSHEY, SALLY ANN | I | DIRECTOR | NA | Control |
| HERSHEY, SALLY ANN | I | DIRECTOR | NA | Control |
| HERSHEY, SALLY ANN | I | DIRECTOR | NA | Control |
| HERSHEY, SALLY ANN | I | DIRECTOR | NA | Control |
| HERSHEY, SALLY ANN | I | DIRECTOR | NA | Control |
| HERSHEY, SALLY ANN | I | DIRECTOR | NA | Control |
| HERSHEY, SALLY ANN | I | DIRECTOR/SECRETARY | NA | Control |
| HERSHEY, SALLY ANN | I | DIRECTOR | NA | Control |
| HERSHEY, SALLY ANN | I | DIRECTOR | NA | Control |
| HERSHEY, SALLY ANN | I | DIRECTOR | NA | Control |
| HERSHEY, SALLY ANN | I | DIRECTOR | NA | Control |
| HERSHEY, SALLY ANN | I | DIRECTOR | NA | Control |
| HERSHEY, SALLY ANN | I | DIRECTOR/SECRETARY | NA | Control |
| HOESSL, DIANE LYNN | I | SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | NA | Control |
| HOESSL, DIANE LYNN | I | SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | NA | Control |
| HOESSL, DIANE LYNN | I | SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | NA | Control |
| HOESSL, DIANE LYNN | I | SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | NA | Control |
| HOESSL, DIANE LYNN | I | SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | NA | Control |
| HOESSL, DIANE LYNN | I | SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | NA | Control |
| HOESSL, DIANE LYNN | I | SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | NA | Control |
| HOESSL, DIANE LYNN | I | SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | NA | Control |
| HOESSL, DIANE LYNN | I | SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | NA | Control |
| HOESSL, DIANE LYNN | I | SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | NA | Control |
| HOESSL, DIANE LYNN | I | SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | NA | Control |
| HOESSL, DIANE LYNN | I | SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | NA | Control |
| HOESSL, DIANE LYNN | I | SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | NA | Control |
| HOESSL, DIANE LYNN | I | SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | NA | Control |
| HOESSL, DIANE LYNN | I | SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | NA | Control |
| JOHNSON, HEIDI ANN | I | CHIEF COMPLIANCE OFFICER | NA | |
| JOHNSON, HEIDI ANN | I | CHIEF COMPLIANCE OFFICER | NA | |
| JOHNSON, HEIDI ANN | I | CHIEF COMPLIANCE OFFICER | NA | |
| JOHNSON, HEIDI ANN | I | CHIEF COMPLIANCE OFFICER | NA | |
| JOHNSON, HEIDI ANN | I | CHIEF COMPLIANCE OFFICER | NA | |
| JOHNSON, HEIDI ANN | I | CHIEF COMPLIANCE OFFICER | NA | |
| JOHNSON, HEIDI ANN | I | CHIEF COMPLIANCE OFFICER | NA | |
| KEELER, GEORGENE TREADWELL | I | DIRECTOR | NA | Control |
| KEELER, GEORGENE TREADWELL | I | DIRECTOR | NA | Control |
| KOBE, DAVID HOWARD | I | DIRECTOR/TREASURER | NA | Control |
| KOBE, DAVID HOWARD | I | DIRECTOR/TREASURER | NA | Control |
| KOBE, DAVID HOWARD | I | TRUSTEE OF KOBE FAMILY TRUST (DATED 11-22-2004) | NA | |
| KOBE, DAVID HOWARD | I | DIRECTOR/TREASURER | NA | Control |
| KOBE, DAVID HOWARD | I | TRUSTEE OF KOBE FAMILY TRUST (DATED 11-22-2004) | NA | |
| KOBE, DAVID HOWARD | I | DIRECTOR/TREASURER | NA | Control |
| KOBE, DAVID HOWARD | I | DIRECTOR/TREASURER | NA | Control |
| KOBE, DAVID HOWARD | I | DIRECTOR/TREASURER | NA | Control |
| KOBE, DAVID HOWARD | I | DIRECTOR/TREASURER | NA | Control |
| KOBE, DAVID HOWARD | I | DIRECTOR/TREASURER | NA | Control |
| KOBE, DAVID HOWARD | I | DIRECTOR/TREASURER | NA | Control |
| KOBE, DAVID HOWARD | I | DIRECTOR/TREASURER | NA | Control |
| KOBE, DAVID HOWARD | I | DIRECTOR/TREASURER | NA | Control |
| KOBE, DAVID HOWARD | I | DIRECTOR/TREASURER | NA | Control |
| KOBE, DAVID HOWARD | I | DIRECTOR/TREASURER | NA | Control |
| KOBE, DAVID HOWARD | I | DIRECTOR/TREASURER | NA | Control |
| KOBE, DAVID HOWARD | I | DIRECTOR/TREASURER | NA | Control |
| KOBE, DAVID HOWARD | I | DIRECTOR/TREASURER | NA | Control |
| KOBE, DAVID HOWARD | I | DIRECTOR/TREASURER | NA | Control |
| KOBE, DAVID HOWARD | I | TRUSTEE OF KOBE FAMILY TRUST (DATED 11-22-2004) | NA | |
| KOBE, DAVID HOWARD | I | DIRECTOR/TREASURER | NA | Control |
| KOBE, DAVID HOWARD | I | TRUSTEE OF KOBE FAMILY TRUST (DATED 11-22-2004) | NA | |
| MILLER, RAMON JOSE | I | DIRECTOR | NA | |
| MILLER, RAMON JOSE | I | DIRECTOR | NA | |
| MILLER, RAMON JOSE | I | DIRECTOR | NA | |
| NASSTROM, SHARON SOLOMON | I | DIRECTOR, TREASURER | NA | Control |
| NASSTROM, SHARON SOLOMON | I | DIRECTOR, TREASURER | NA | Control |
| NASSTROM, SHARON SOLOMON | I | DIRECTOR, TREASURER | NA | Control |
| NASSTROM, SHARON SOLOMON | I | DIRECTOR | NA | Control |
| NASSTROM, SHARON SOLOMON | I | CHAIRMAN | NA | Control |
| NASSTROM, SHARON SOLOMON | I | CHAIRMAN | NA | Control |
| NASSTROM, SHARON SOLOMON | I | DIRECTOR, TREASURER | NA | Control |
| NASSTROM, SHARON SOLOMON | I | DIRECTOR, TREASURER | NA | Control |
| NASSTROM, SHARON SOLOMON | I | DIRECTOR, TREASURER | NA | Control |
| NASSTROM, SHARON SOLOMON | I | DIRECTOR, TREASURER | NA | Control |
| NASSTROM, SHARON SOLOMON | I | DIRECTOR, TREASURER | NA | Control |
| NASSTROM, SHARON SOLOMON | I | CHAIRMAN | NA | Control |
| NASSTROM, SHARON SOLOMON | I | CHAIRMAN | NA | Control |
| NASSTROM, SHARON SOLOMON | I | DIRECTOR | NA | Control |
| NASSTROM, SHARON SOLOMON | I | DIRECTOR/SECRETARY | NA | Control |
| NASSTROM, SHARON SOLOMON | I | DIRECTOR/SECRETARY | NA | Control |
| NASSTROM, SHARON SOLOMON | I | TRUSTEE OF NASSTROM TRUST | NA | |
| NASSTROM, SHARON SOLOMON | I | DIRECTOR/SECRETARY | NA | Control |
| NASSTROM, SHARON SOLOMON | I | TRUSTEE OF NASSTROM TRUST | NA | |
| NASSTROM, SHARON SOLOMON | I | DIRECTOR/SECRETARY | NA | Control |
| NASSTROM, SHARON SOLOMON | I | DIRECTOR/SECRETARY | NA | Control |
| NASSTROM, SHARON SOLOMON | I | DIRECTOR/SECRETARY | NA | Control |
| NASSTROM, SHARON SOLOMON | I | DIRECTOR/SECRETARY | NA | Control |
| NASSTROM, SHARON SOLOMON | I | DIRECTOR/SECRETARY | NA | Control |
| NASSTROM, SHARON SOLOMON | I | DIRECTOR/SECRETARY | NA | Control |
| NASSTROM, SHARON SOLOMON | I | DIRECTOR/SECRETARY | NA | Control |
| NASSTROM, SHARON SOLOMON | I | DIRECTOR/SECRETARY | NA | Control |
| NASSTROM, SHARON SOLOMON | I | DIRECTOR/SECRETARY | NA | Control |
| NASSTROM, SHARON SOLOMON | I | DIRECTOR/SECRETARY | NA | Control |
| NASSTROM, SHARON SOLOMON | I | DIRECTOR/SECRETARY | NA | Control |
| NASSTROM, SHARON SOLOMON | I | DIRECTOR/SECRETARY | NA | Control |
| NASSTROM, SHARON SOLOMON | I | DIRECTOR/SECRETARY | NA | Control |
| NASSTROM, SHARON SOLOMON | I | DIRECTOR/SECRETARY | NA | Control |
| NASSTROM, SHARON SOLOMON | I | TRUSTEE OF NASSTROM TRUST | NA | |
| NASSTROM, SHARON SOLOMON | I | DIRECTOR/SECRETARY | NA | Control |
| NASSTROM, SHARON SOLOMON | I | TRUSTEE OF NASSTROM TRUST | NA | |
| RIO, DONNA MARIE | I | CFO | NA | Control |
| RIO, DONNA MARIE | I | CFO | NA | Control |
| RIO, DONNA MARIE | I | CFO | NA | Control |
| RIO, DONNA MARIE | I | DIRECTOR, CFO | NA | Control |
| RIO, DONNA MARIE | I | CFO | NA | Control |
| RIO, DONNA MARIE | I | CFO | NA | Control |
| RIO, DONNA MARIE | I | CFO | NA | Control |
| RIO, DONNA MARIE | I | CFO | NA | Control |
| RIO, DONNA MARIE | I | CFO | NA | Control |
| RIO, DONNA MARIE | I | DIRECTOR | NA | Control |
| RIO, DONNA MARIE | I | DIRECTOR | NA | Control |
| RIO, DONNA MARIE | I | DIRECTOR, CFO | NA | Control |
| ROBERTSON, NANCY LAURA | I | DIRECTOR | NA | Control |
| ROBERTSON, NANCY LAURA | I | DIRECTOR | NA | Control |
| ROBERTSON, NANCY LAURA | I | DIRECTOR | NA | Control |
| ROBERTSON, NANCY LAURA | I | DIRECTOR | NA | Control |
| ROBERTSON, NANCY LAURA | I | DIRECTOR | NA | Control |
| ROBERTSON, NANCY LAURA | I | DIRECTOR | NA | Control |
| ROBERTSON, NANCY LAURA | I | DIRECTOR/SECRETARY | NA | Control |
| ROBERTSON, NANCY LAURA | I | DIRECTOR | NA | Control |
| ROBERTSON, NANCY LAURA | I | DIRECTOR | NA | Control |
| ROBERTSON, NANCY LAURA | I | DIRECTOR | NA | Control |
| ROBERTSON, NANCY LAURA | I | DIRECTOR | NA | Control |
| ROBERTSON, NANCY LAURA | I | DIRECTOR | NA | Control |
| ROBERTSON, NANCY LAURA | I | DIRECTOR | NA | Control |
| ROBERTSON, NANCY LAURA | I | DIRECTOR | NA | Control |
| ROBERTSON, NANCY LAURA | I | DIRECTOR | NA | Control |
| ROBERTSON, NANCY LAURA | I | DIRECTOR | NA | Control |
| ROBERTSON, NANCY LAURA | I | DIRECTOR | NA | Control |
| ROBERTSON, NANCY LAURA | I | DIRECTOR | NA | Control |
| ROBERTSON, NANCY LAURA | I | DIRECTOR | NA | Control |
| ROBERTSON, NANCY LAURA | I | DIRECTOR | NA | Control |
| ROBERTSON, NANCY LAURA | I | DIRECTOR | NA | Control |
| ROBERTSON, NANCY LAURA | I | DIRECTOR | NA | Control |
| ROBERTSON, NANCY LAURA | I | DIRECTOR | NA | Control |
| ROBERTSON, NANCY LAURA | I | DIRECTOR | NA | Control |
| ROBERTSON, NANCY LAURA | I | DIRECTOR | NA | Control |
| ROBERTSON, NANCY LAURA | I | DIRECTOR | NA | Control |
| RUBEY, CHARLES CHESTERS | I | DIRECTOR/SECRETARY | NA | Control |
| RUBEY, CHARLES CHESTERS | I | DIRECTOR/SECRETARY | NA | Control |
| RUBEY, CHARLES CHESTERS | I | DIRECTOR/SECRETARY | NA | Control |
| RUBEY, CHARLES CHESTERS | I | DIRECTOR/TREASURER | NA | Control |
| RUBEY, CHARLES CHESTERS | I | DIRECTOR/TREASURER | NA | Control |
| RUBEY, CHARLES CHESTERS | I | DIRECTOR/TREASURER | NA | Control |
| RUBEY, CHARLES CHESTERS | I | DIRECTOR/TREASURER | NA | Control |
| RUBEY, CHARLES CHESTERS | I | DIRECTOR/TREASURER | NA | Control |
| RUBEY, CHARLES CHESTERS | I | DIRECTOR/SECRETARY | NA | Control |
| RUBEY, CHARLES CHESTERS | I | DIRECTOR/SECRETARY | NA | Control |
| RUBEY, CHARLES CHESTERS | I | DIRECTOR/SECRETARY | NA | Control |
| RUBEY, CHARLES CHESTERS | I | DIRECTOR/SECRETARY | NA | Control |
| RUBEY, CHARLES CHESTERS | I | DIRECTOR/TREASURER | NA | Control |
| RUBEY, CHARLES CHESTERS | I | DIRECTOR/TREASURER | NA | Control |
| RUBEY, CHARLES CHESTERS | I | DIRECTOR/TREASURER | NA | Control |
| RUBEY, CHARLES CHESTERS | I | DIRECTOR/TREASURER | NA | Control |
| RUBEY, CHARLES CHESTERS | I | DIRECTOR/TREASURER | NA | Control |
| RUBEY, CHARLES CHESTERS | I | DIRECTOR | NA | Control |
| RUBEY, CHARLES CHESTERS | I | DIRECTOR | NA | Control |
| RUBEY, CHARLES CHESTERS | I | DIRECTOR | NA | Control |
| RUBEY, CHARLES CHESTERS | I | DIRECTOR | NA | Control |
| RUBEY, CHARLES CHESTERS | I | DIRECTOR | NA | Control |
| RUBEY, CHARLES CHESTERS | I | DIRECTOR | NA | Control |
| RUBEY, CHARLES CHESTERS | I | DIRECTOR | NA | Control |
| RUBEY, CHARLES CHESTERS | I | DIRECTOR | NA | Control |
| RUBEY, CHARLES CHESTERS | I | DIRECTOR | NA | Control |
| RUBEY, CHARLES CHESTERS | I | DIRECTOR/TREASURER | NA | Control |
| RUBEY, CHARLES CHESTERS | I | DIRECTOR | NA | Control |
| RUBEY, CHARLES CHESTERS | I | DIRECTOR | NA | Control |
| RUBEY, CHARLES CHESTERS | I | DIRECTOR | NA | Control |
| RUBEY, CHARLES CHESTERS | I | DIRECTOR | NA | Control |
| RUBEY, CHARLES CHESTERS | I | DIRECTOR | NA | Control |
| RUBEY, CHARLES CHESTERS | I | DIRECTOR/TREASURER | NA | Control |
| SMITH, ERIC JOHN | I | CHIEF COMPLIANCE OFFICER | NA | |
| SMITH, ERIC JOHN | I | CHIEF COMPLIANCE OFFICER | NA | |
| SMITH, ERIC JOHN | I | CHIEF COMPLIANCE OFFICER | NA | |
| SMITH, ERIC JOHN | I | CHIEF COMPLIANCE OFFICER | NA | |
| SMITH, ERIC JOHN | I | CHIEF COMPLIANCE OFFICER | NA | |
| SMITH, ERIC JOHN | I | CHIEF COMPLIANCE OFFICER | NA | |
| SMITH, ERIC JOHN | I | CHIEF COMPLIANCE OFFICER | NA | |
| SMITH, ERIC JOHN | I | CHIEF COMPLIANCE OFFICER | NA | |
| STECKLOW, LEONARD JEFFREY | I | PRESIDENT/CEO | NA | Control |
| STECKLOW, LEONARD JEFFREY | I | PRESIDENT/CEO | NA | Control |
| STECKLOW, LEONARD JEFFREY | I | PRESIDENT/CEO | NA | Control |
| STECKLOW, LEONARD JEFFREY | I | PRESIDENT/CEO | NA | Control |
| STECKLOW, LEONARD JEFFREY | I | PRESIDENT/CEO | NA | Control |
| STECKLOW, LEONARD JEFFREY | I | PRESIDENT/CEO | NA | Control |
| STECKLOW, LEONARD JEFFREY | I | PRESIDENT/CEO | NA | Control |
| STECKLOW, LEONARD JEFFREY | I | PRESIDENT/CEO | NA | Control |
| STECKLOW, LEONARD JEFFREY | I | PRESIDENT/CEO | NA | Control |
| STECKLOW, LEONARD JEFFREY | I | PRESIDENT/CEO | NA | Control |
| STECKLOW, LEONARD JEFFREY | I | PRESIDENT/CEO | NA | Control |
| STECKLOW, LEONARD JEFFREY | I | PRESIDENT/CEO | NA | Control |
| STECKLOW, LEONARD JEFFREY | I | PRESIDENT/CEO | NA | Control |
| STECKLOW, LEONARD JEFFREY | I | PRESIDENT/CEO | NA | Control |
| STECKLOW, LEONARD JEFFREY | I | PRESIDENT/CEO | NA | Control |
| STECKLOW, LEONARD JEFFREY | I | PRESIDENT/CEO | NA | Control |
| TUEMMLER, LISA DENISE | I | DIRECTOR | NA | |
| TUEMMLER, LISA DENISE | I | DIRECTOR | NA | |
| TUEMMLER, LISA DENISE | I | DIRECTOR | NA | |
| TUEMMLER, LISA DENISE | I | DIRECTOR | NA | |
| ARMSTEAD FAMILY TRUST UA DTD | DE | SHAREHOLDER | B | |
| ARMSTEAD FAMILY TRUST UA DTD | DE | SHAREHOLDER | B | |
| ARMSTEAD FAMILY TRUST UA DTD | DE | SHAREHOLDER | B | |
| ARMSTEAD FAMILY TRUST UA DTD | DE | SHAREHOLDER | B | |
| ARMSTEAD, JOHN THOMAS | I | CHAIRMAN | A | Control |
| ARMSTEAD, JOHN THOMAS | I | CHAIRMAN | A | Control |
| ARMSTEAD, JOHN THOMAS | I | CHAIRMAN | A | Control |
| ARMSTEAD, JOHN THOMAS | I | DIRECTOR | A | Control |
| ARMSTEAD, JOHN THOMAS | I | CFO | A | Control |
| ARMSTEAD, JOHN THOMAS | I | CFO | A | Control |
| ARMSTEAD, JOHN THOMAS | I | DIRECTOR | A | Control |
| ARMSTEAD, JOHN THOMAS | I | DIRECTOR | A | Control |
| ARMSTEAD, JOHN THOMAS | I | CHAIRMAN | A | Control |
| ARMSTEAD, JOHN THOMAS | I | CHAIRMAN | A | Control |
| ARMSTEAD, JOHN THOMAS | I | CHAIRMAN | A | Control |
| ARMSTEAD, JOHN THOMAS | I | CHAIRMAN | A | Control |
| ARMSTEAD, JOHN THOMAS | I | CFO | A | Control |
| ARMSTEAD, JOHN THOMAS | I | CFO | A | Control |
| ARMSTEAD, JOHN THOMAS | I | DIRECTOR | A | Control |
| ARMSTEAD, JOHN THOMAS | I | DIRECTOR | A | Control |
| ARMSTEAD, JOHN THOMAS | I | DIRECTOR | A | Control |
| ARMSTEAD, JOHN THOMAS | I | CHAIRMAN | A | Control |
| ARMSTEAD, JOHN THOMAS | I | CHAIRMAN | A | Control |
| ARMSTEAD, JOHN THOMAS | I | CHAIRMAN | A | Control |
| ARMSTEAD, JOHN THOMAS | I | CHAIRMAN | A | Control |
| ARMSTEAD, JOHN THOMAS | I | CHAIRMAN | A | Control |
| ARMSTEAD, JOHN THOMAS | I | CHAIRMAN | A | Control |
| ARMSTEAD, JOHN THOMAS | I | CHAIRMAN | A | Control |
| ARMSTEAD, JOHN THOMAS | I | CHAIRMAN | A | Control |
| ARMSTEAD, JOHN THOMAS | I | CHAIRMAN | A | Control |
| ARMSTEAD, JOHN THOMAS | I | CHAIRMAN | A | Control |
| ARMSTEAD, JOHN THOMAS | I | CHAIRMAN | A | Control |
| ARMSTEAD, JOHN THOMAS | I | DIRECTOR | A | Control |
| ARMSTEAD, JOHN THOMAS | I | CHAIRMAN | A | Control |
| ARMSTEAD, JOHN THOMAS | I | CHAIRMAN | A | Control |
| ARMSTEAD, JOHN THOMAS | I | CHAIRMAN | A | Control |
| ARMSTEAD, JOHN THOMAS | I | CHAIRMAN | A | Control |
| ARMSTEAD, JOHN THOMAS | I | CHAIRMAN | A | Control |
| ARMSTEAD, JOHN THOMAS | I | DIRECTOR | A | Control |
| ARMSTEAD, JOHN THOMAS | I | CHAIRMAN | A | Control |
| ARMSTEAD, JOHN THOMAS | I | CHAIRMAN | A | Control |
| BAGG, SHELLEY DIANE | I | DIRECTOR | A | Control |
| BAGG, SHELLEY DIANE | I | DIRECTOR | A | Control |
| BAGG, SHELLEY DIANE | I | DIRECTOR | A | Control |
| BUCHFINCK, RITA KAY | I | PRESIDENT | A | Control |
| BUCHFINCK, RITA KAY | I | PRESIDENT | A | Control |
| BUCHFINCK, RITA KAY | I | PRESIDENT | A | Control |
| BUCHFINCK, RITA KAY | I | REGISTERED REPRESENTATIVE | A | Control |
| BUCHFINCK, RITA KAY | I | PRESIDENT | A | Control |
| BUCHFINCK, RITA KAY | I | PRESIDENT, CHIEF COMPLIANCE OFFICER | A | Control |
| BUCHFINCK, RITA KAY | I | REGISTERED REPRESENTATIVE | A | Control |
| BUCHFINCK, RITA KAY | I | REGISTERED REPRESENTATIVE | A | Control |
| BUCHFINCK, RITA KAY | I | PRESIDENT | A | Control |
| BUCHFINCK, RITA KAY | I | PRESIDENT | A | Control |
| BUCHFINCK, RITA KAY | I | PRESIDENT | A | Control |
| BUCHFINCK, RITA KAY | I | PRESIDENT | A | Control |
| BUCHFINCK, RITA KAY | I | PRESIDENT | A | Control |
| BUCHFINCK, RITA KAY | I | PRESIDENT | A | Control |
| BUCHFINCK, RITA KAY | I | PRESIDENT, CHIEF COMPLIANCE OFFICER | A | Control |
| BUCHFINCK, RITA KAY | I | PRESIDENT, CEO | A | Control |
| BUCHFINCK, RITA KAY | I | PRESIDENT, CEO | A | Control |
| BUCHFINCK, RITA KAY | I | SHAREHOLDER | A | |
| BUCHFINCK, RITA KAY | I | SHAREHOLDER | A | |
| BUCHFINCK, RITA KAY | I | REGISTERED REPRESENTATIVE | A | Control |
| BUCHFINCK, RITA KAY | I | REGISTERED REPRESENTATIVE | A | Control |
| BUCHFINCK, RITA KAY | I | REGISTERED REPRESENTATIVE | A | Control |
| BUCHFINCK, RITA KAY | I | REGISTERED REPRESENTATIVE | A | Control |
| BUCHFINCK, RITA KAY | I | REGISTERED REPRESENTATIVE | A | Control |
| BUCHFINCK, RITA KAY | I | SHAREHOLDER | A | |
| BUCHFINCK, RITA KAY | I | SHAREHOLDER | A | |
| CAMPBELL, JANET WINSLOW | I | REGISTERED REP | A | |
| CAMPBELL, JANET WINSLOW | I | REGISTERED REP | A | |
| DREIZLER FAMILY TRUST | DE | SHAREHOLDER | A | |
| DREIZLER FAMILY TRUST | DE | SHAREHOLDER | A | |
| DREIZLER FAMILY TRUST | DE | SHAREHOLDER | A | |
| DREIZLER FAMILY TRUST | DE | SHAREHOLDER | A | |
| FORD, IRVING MARTYN | I | SHAREHOLDER | A | |
| FORD, IRVING MARTYN | I | SHAREHOLDER | A | |
| FORD, IRVING MARTYN | I | SHAREHOLDER | A | |
| FORD, IRVING MARTYN | I | SHAREHOLDER | A | |
| FORD, IRVING MARTYN | I | SHAREHOLDER | A | |
| FORD, IRVING MARTYN | I | SHAREHOLDER | A | |
| FORD, IRVING MARTYN | I | SHAREHOLDER | A | |
| FORD, IRVING MARTYN | I | SHAREHOLDER | A | |
| FORD, IRVING MARTYN | I | SHAREHOLDER | A | |
| FORD, IRVING MARTYN | I | SHAREHOLDER | A | |
| FORD, IRVING MARTYN | I | SHAREHOLDER | A | |
| FORD, IRVING MARTYN | I | SHAREHOLDER | A | |
| FORD, IRVING MARTYN | I | SHAREHOLDER | A | |
| FORD, IRVING MARTYN | I | SHAREHOLDER | A | |
| FORD, IRVING MARTYN | I | SHAREHOLDER | A | |
| FORD, IRVING MARTYN | I | SHAREHOLDER | A | |
| FORD, IRVING MARTYN | I | SHAREHOLDER | A | |
| FORD, IRVING MARTYN | I | SHAREHOLDER | A | |
| FORD, IRVING MARTYN | I | SHAREHOLDER | A | |
| FORD, IRVING MARTYN | I | SHAREHOLDER | A | |
| FORD, IRVING MARTYN | I | SHAREHOLDER | A | |
| FORD, IRVING MARTYN | I | SHAREHOLDER | A | |
| FORD, IRVING MARTYN | I | SHAREHOLDER | A | |
| FORD, IRVING MARTYN | I | SHAREHOLDER | A | |
| FORD, IRVING MARTYN | I | SHAREHOLDER | A | |
| FORD, IRVING MARTYN | I | SHAREHOLDER | A | |
| FORD, IRVING MARTYN | I | SHAREHOLDER | A | |
| FORD, IRVING MARTYN | I | SHAREHOLDER | A | |
| FORD, IRVING MARTYN | I | SHAREHOLDER | A | |
| GREALISH, JAMES VINCENT | I | CHAIRMAN EMERITUS | A | |
| GREALISH, JAMES VINCENT | I | CHAIRMAN EMERITUS | A | |
| GREALISH, JAMES VINCENT | I | CHAIRMAN EMERITUS | A | |
| GREALISH, JAMES VINCENT | I | CHAIRMAN EMERITUS | A | |
| GREALISH, JAMES VINCENT | I | CHAIRMAN EMERITUS | A | |
| GREALISH, JAMES VINCENT | I | CHAIRMAN EMERITUS | A | |
| GREALISH, JAMES VINCENT | I | CHAIRMAN EMERITUS | A | |
| GREALISH, JAMES VINCENT | I | CHAIRMAN EMERITUS | A | |
| GREALISH, JAMES VINCENT | I | CHAIRMAN EMERITUS | A | |
| GREALISH, JAMES VINCENT | I | CHAIRMAN EMERITUS | A | |
| GREALISH, JAMES VINCENT | I | CHAIRMAN EMERITUS | A | |
| GREALISH, JAMES VINCENT | I | CHAIRMAN EMERITUS | A | |
| GREALISH, JAMES VINCENT | I | CHAIRMAN EMERITUS | A | |
| GREALISH, JAMES VINCENT | I | CHAIRMAN EMERITUS | A | |
| GREALISH, JAMES VINCENT | I | CHAIRMAN EMERITUS | A | |
| GREALISH, JAMES VINCENT | I | CHAIRMAN EMERITUS | A | |
| GREALISH, JAMES VINCENT | I | CHAIRMAN EMERITUS | A | |
| GREALISH, JAMES VINCENT | I | CHAIRMAN EMERITUS | A | |
| GREALISH, JAMES VINCENT | I | CHAIRMAN EMERITUS | A | |
| GREALISH, JAMES VINCENT | I | CHAIRMAN EMERITUS | A | |
| GREALISH, JAMES VINCENT | I | CHAIRMAN EMERITUS | A | |
| GREALISH, JAMES VINCENT | I | CHAIRMAN EMERITUS | A | |
| GREALISH, JAMES VINCENT | I | CHAIRMAN EMERITUS | A | |
| GREALISH, JAMES VINCENT | I | CHAIRMAN EMERITUS | A | |
| GREALISH, JAMES VINCENT | I | CHAIRMAN EMERITUS | A | |
| GREALISH, JAMES VINCENT | I | CHAIRMAN EMERITUS | A | |
| GREALISH, JAMES VINCENT | I | CHAIRMAN EMERITUS | A | |
| GREALISH, JAMES VINCENT | I | CHAIRMAN EMERITUS | A | |
| GREALISH, JAMES VINCENT | I | CHAIRMAN EMERITUS | A | |
| GREALISH, JAMES VINCENT | I | CHAIRMAN EMERITUS | A | |
| GREALISH, JAMES VINCENT | I | CHAIRMAN EMERITUS | A | |
| GREALISH, JAMES VINCENT | I | CHAIRMAN EMERITUS | A | |
| GREALISH, JAMES VINCENT | I | CHAIRMAN EMERITUS | A | |
| GREALISH, JAMES VINCENT | I | CHAIRMAN EMERITUS | A | |
| KETRON, RUSSELL WAYNE | I | REGISTERED REP | A | |
| KETRON, RUSSELL WAYNE | I | REGISTERED REP | A | |
| KOBE FAMILY TRUST (DATED 11-22-2004) | DE | SHAREHOLDER | A | |
| KOBE FAMILY TRUST (DATED 11-22-2004) | DE | SHAREHOLDER | A | |
| KOBE FAMILY TRUST (DATED 11-22-2004) | DE | SHAREHOLDER | A | |
| KOBE FAMILY TRUST (DATED 11-22-2004) | DE | SHAREHOLDER | A | |
| NASSTROM TRUST | DE | SHAREHOLDER | A | |
| NASSTROM TRUST | DE | SHAREHOLDER | A | |
| NASSTROM TRUST | DE | SHAREHOLDER | A | |
| NASSTROM TRUST | DE | SHAREHOLDER | A | |
| RUNYEON, JAMES EDGAR | I | REGISTERED REP | A | Control |
| RUNYEON, JAMES EDGAR | I | REGISTERED REP | A | Control |
| RUNYEON, JAMES EDGAR | I | REGISTERED REP | A | Control |
| RUNYEON, JAMES EDGAR | I | REGISTERED REP | A | Control |
| RUNYEON, JAMES EDGAR | I | REGISTERED REP | A | Control |
| RUNYEON, JAMES EDGAR | I | REGISTERED REP | A | Control |
| RUNYEON, JAMES EDGAR | I | REGISTERED REP | A | Control |
| RUNYEON, JAMES EDGAR | I | REGISTERED REP | A | Control |
| RUNYEON, JAMES EDGAR | I | REGISTERED REP | A | Control |
| RUNYEON, JAMES EDGAR | I | REGISTERED REP | A | Control |
| RUNYEON, JAMES EDGAR | I | DIRECTOR | A | Control |
| RUNYEON, JAMES EDGAR | I | DIRECTOR | A | Control |
| RUNYEON, JAMES EDGAR | I | REGISTERED REP | A | Control |
| WITHEE, JUDY LEE | I | REGISTERED REP | A | |
| WITHEE, JUDY LEE | I | REGISTERED REP | A |
Registrations
Federal
IA
Jan 11, 2016 REGISTERED
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Address
235 MONTGOMERY STREETSUITE 1050
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United States
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