TD AMERITRADE, INC.
CRD #7870 SEC #801-60469 OMAHA, NE (800) 669-3900
SEC Registered Broker-Dealer Disclosures
Total AUM
--
Discretionary
--
Employees
5,840
Clients
--
Accounts
--
This firm has regulatory disclosures on file.
View disclosures
Firm Details
- Organization Type
- Corporation
- State of Formation
- New York
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Sep 20, 2022
- Branch Offices
- 389
- LEI
- CWQYQU0TV2NLMLZKNB44
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| ANDRES, SARA JANE | I | CHIEF COMPLIANCE OFFICER - BD | NA | Control |
| ANDRES, SARA JANE | I | CHIEF COMPLIANCE OFFICER - BD | NA | Control |
| ANDRES, SARA JANE | I | CHIEF COMPLIANCE OFFICER - BD | NA | Control |
| ANDRES, SARA JANE | I | CHIEF COMPLIANCE OFFICER - BD | NA | Control |
| ANDRES, SARA JANE | I | CHIEF COMPLIANCE OFFICER - BD | NA | Control |
| ANDRES, SARA JANE | I | CHIEF COMPLIANCE OFFICER - BD | NA | Control |
| ANDRES, SARA JANE | I | CHIEF COMPLIANCE OFFICER - BD | NA | Control |
| ANDRES, SARA JANE | I | CHIEF COMPLIANCE OFFICER - BD | NA | Control |
| ANDRES, SARA JANE | I | CHIEF COMPLIANCE OFFICER - BD | NA | Control |
| ANDRES, SARA JANE | I | CHIEF COMPLIANCE OFFICER - BD | NA | Control |
| ANDRES, SARA JANE | I | CHIEF COMPLIANCE OFFICER - BD | NA | Control |
| ANDRES, SARA JANE | I | CHIEF COMPLIANCE OFFICER - BD | NA | Control |
| ANDRES, SARA JANE | I | CHIEF COMPLIANCE OFFICER - BD | NA | Control |
| ANDRES, SARA JANE | I | CHIEF COMPLIANCE OFFICER - BD | NA | Control |
| ANDRES, SARA JANE | I | CHIEF COMPLIANCE OFFICER - BD | NA | Control |
| ANDRES, SARA JANE | I | CHIEF COMPLIANCE OFFICER - BD | NA | Control |
| ANDRES, SARA JANE | I | CHIEF COMPLIANCE OFFICER - BD | NA | Control |
| ARMELLINO, JOSEPH | I | SVP | NA | |
| ARMELLINO, JOSEPH | I | SVP | NA | |
| ARMELLINO, JOSEPH | I | SVP | NA | |
| ARMELLINO, JOSEPH | I | SVP | NA | |
| ARMELLINO, JOSEPH | I | SVP | NA | |
| ARMELLINO, JOSEPH | I | SVP | NA | |
| ARMELLINO, JOSEPH | I | SVP | NA | |
| ARMELLINO, JOSEPH | I | SVP | NA | |
| ARMSTRONG, THOMAS CHRISTIAN | I | PRESIDENT, CEO, CHAIRMAN | NA | Control |
| ARMSTRONG, THOMAS CHRISTIAN | I | PRESIDENT, CEO, CHAIRMAN | NA | Control |
| ARMSTRONG, THOMAS CHRISTIAN | I | PRESIDENT, DIRECTOR | NA | Control |
| ARMSTRONG, THOMAS CHRISTIAN | I | PRESIDENT, DIRECTOR | NA | Control |
| ARMSTRONG, THOMAS CHRISTIAN | I | PRESIDENT, DIRECTOR | NA | Control |
| ARMSTRONG, THOMAS CHRISTIAN | I | PRESIDENT, DIRECTOR | NA | Control |
| ARMSTRONG, THOMAS CHRISTIAN | I | PRESIDENT, DIRECTOR | NA | Control |
| ARMSTRONG, THOMAS CHRISTIAN | I | PRESIDENT, DIRECTOR | NA | Control |
| ARMSTRONG, THOMAS CHRISTIAN | I | PRESIDENT, CEO, CHAIRMAN | NA | Control |
| ARMSTRONG, THOMAS CHRISTIAN | I | PRESIDENT, CEO, CHAIRMAN | NA | Control |
| BAAS, BRYAN TODD | I | CHIEF COMPLAINCE OFFICER - RIA | NA | Control |
| BAAS, BRYAN TODD | I | CHIEF COMPLIANCE OFFICER - BD | NA | Control |
| BAAS, BRYAN TODD | I | CHIEF COMPLAINCE OFFICER - RIA | NA | Control |
| BAAS, BRYAN TODD | I | CHIEF COMPLIANCE OFFICER - BD | NA | Control |
| BAAS, BRYAN TODD | I | CHIEF COMPLAINCE OFFICER - RIA | NA | Control |
| BAAS, BRYAN TODD | I | CHIEF COMPLIANCE OFFICER - BD | NA | Control |
| BAAS, BRYAN TODD | I | CHIEF COMPLAINCE OFFICER - RIA | NA | Control |
| BAAS, BRYAN TODD | I | CHIEF COMPLIANCE OFFICER - BD | NA | Control |
| BAAS, BRYAN TODD | I | CHIEF COMPLAINCE OFFICER - RIA | NA | Control |
| BAAS, BRYAN TODD | I | CHIEF COMPLAINCE OFFICER - RIA | NA | Control |
| BAAS, BRYAN TODD | I | CHIEF COMPLIANCE OFFICER - BD | NA | Control |
| BAAS, BRYAN TODD | I | CHIEF COMPLAINCE OFFICER - RIA | NA | Control |
| BAAS, BRYAN TODD | I | CHIEF COMPLIANCE OFFICER - BD | NA | Control |
| BAAS, BRYAN TODD | I | CHIEF COMPLAINCE OFFICER - RIA | NA | Control |
| BAAS, BRYAN TODD | I | CHIEF COMPLIANCE OFFICER - BD | NA | Control |
| BAAS, BRYAN TODD | I | CHIEF COMPLAINCE OFFICER - RIA | NA | Control |
| BAAS, BRYAN TODD | I | CHIEF COMPLIANCE OFFICER - BD | NA | Control |
| BAAS, BRYAN TODD | I | CHIEF COMPLAINCE OFFICER - RIA | NA | Control |
| BAAS, BRYAN TODD | I | CHIEF COMPLIANCE OFFICER - BD | NA | Control |
| BAAS, BRYAN TODD | I | CHIEF COMPLAINCE OFFICER - RIA | NA | Control |
| BAAS, BRYAN TODD | I | CHIEF COMPLIANCE OFFICER - BD | NA | Control |
| BAAS, BRYAN TODD | I | CHIEF COMPLAINCE OFFICER - RIA | NA | Control |
| BAAS, BRYAN TODD | I | CHIEF COMPLIANCE OFFICER - BD | NA | Control |
| BAAS, BRYAN TODD | I | CHIEF COMPLAINCE OFFICER - RIA | NA | Control |
| BAAS, BRYAN TODD | I | CHIEF COMPLIANCE OFFICER - BD | NA | Control |
| BAAS, BRYAN TODD | I | CHIEF COMPLAINCE OFFICER - RIA | NA | Control |
| BAAS, BRYAN TODD | I | CHIEF COMPLIANCE OFFICER - BD | NA | Control |
| BAAS, BRYAN TODD | I | CHIEF COMPLAINCE OFFICER - RIA | NA | Control |
| BAAS, BRYAN TODD | I | CHIEF COMPLIANCE OFFICER - BD | NA | Control |
| BAAS, BRYAN TODD | I | CHIEF COMPLAINCE OFFICER - RIA | NA | Control |
| BAAS, BRYAN TODD | I | CHIEF COMPLIANCE OFFICER - BD | NA | Control |
| BARRA, JOSEPH NICHOLAS | I | PRESIDENT, DIRECTOR | NA | Control |
| BARRA, JOSEPH NICHOLAS | I | PRESIDENT, DIRECTOR | NA | Control |
| BARRA, JOSEPH NICHOLAS | I | PRESIDENT, DIRECTOR | NA | Control |
| BARRA, JOSEPH NICHOLAS | I | PRESIDENT, DIRECTOR | NA | Control |
| BARRA, JOSEPH NICHOLAS | I | PRESIDENT, DIRECTOR | NA | Control |
| BARRA, JOSEPH NICHOLAS | I | PRESIDENT, DIRECTOR | NA | Control |
| BERTUCELLI, JOHN ANDREW | I | CROP | NA | |
| BERTUCELLI, JOHN ANDREW | I | CROP | NA | |
| BERTUCELLI, JOHN ANDREW | I | CROP | NA | |
| BERTUCELLI, JOHN ANDREW | I | CROP | NA | |
| BERTUCELLI, JOHN ANDREW | I | CROP | NA | |
| BERTUCELLI, JOHN ANDREW | I | CROP | NA | |
| BERTUCELLI, JOHN ANDREW | I | CROP | NA | |
| BERTUCELLI, JOHN ANDREW | I | CROP | NA | |
| BERTUCELLI, JOHN ANDREW | I | CROP | NA | |
| BERTUCELLI, JOHN ANDREW | I | CROP | NA | |
| BOUDROT, SUSAN M | I | CHIEF COMPLIANCE OFFICER - RIA | NA | Control |
| BOUDROT, SUSAN M | I | CHIEF COMPLIANCE OFFICER - RIA | NA | Control |
| BOUDROT, SUSAN M | I | CHIEF COMPLIANCE OFFICER - RIA | NA | Control |
| BOUDROT, SUSAN M | I | CHIEF COMPLIANCE OFFICER - RIA | NA | Control |
| BOUDROT, SUSAN M | I | CHIEF COMPLIANCE OFFICER - RIA | NA | Control |
| BOUDROT, SUSAN MARIE | I | CHIEF COMPLIANCE OFFICER - BD | NA | Control |
| BOUDROT, SUSAN MARIE | I | CHIEF COMPLIANCE OFFICER - BD | NA | Control |
| BOUDROT, SUSAN MARIE | I | CHIEF COMPLIANCE OFFICER - BD | NA | Control |
| BOUDROT, SUSAN MARIE | I | CHIEF COMPLIANCE OFFICER - BD | NA | Control |
| BOUDROT, SUSAN MARIE | I | CHIEF COMPLIANCE OFFICER - BD | NA | Control |
| BOUDROT, SUSAN MARIE | I | CHIEF COMPLIANCE OFFICER - BD | NA | Control |
| BOUDROT, SUSAN MARIE | I | CHIEF COMPLIANCE OFFICER - BD | NA | Control |
| BOUDROT, SUSAN MARIE | I | CHIEF COMPLIANCE OFFICER - BD | NA | Control |
| BOUDROT, SUSAN MARIE | I | CHIEF COMPLIANCE OFFICER - BD | NA | Control |
| BOUDROT, SUSAN MARIE | I | CHIEF COMPLIANCE OFFICER - BD | NA | Control |
| BOUDROT, SUSAN MARIE | I | CHIEF COMPLIANCE OFFICER - BD | NA | Control |
| BOUDROT, SUSAN MARIE | I | CHIEF COMPLIANCE OFFICER - BD | NA | Control |
| BOUDROT, SUSAN MARIE | I | CHIEF COMPLIANCE OFFICER - BD | NA | Control |
| BOUDROT, SUSAN MARIE | I | CHIEF COMPLIANCE OFFICER - BD | NA | Control |
| BOUDROT, SUSAN MARIE | I | CHIEF COMPLIANCE OFFICER - BD | NA | Control |
| BOUDROT, SUSAN MARIE | I | CHIEF COMPLIANCE OFFICER - BD | NA | Control |
| BOUDROT, SUSAN MARIE | I | CHIEF COMPLIANCE OFFICER - BD | NA | Control |
| BOUDROT, SUSAN MARIE | I | CHIEF COMPLIANCE OFFICER - BD | NA | Control |
| BOUDROT, SUSAN MARIE | I | CHIEF COMPLIANCE OFFICER - BD | NA | Control |
| BOUDROT, SUSAN MARIE | I | CHIEF COMPLIANCE OFFICER - BD | NA | Control |
| BOUDROT, SUSAN MARIE | I | CHIEF COMPLIANCE OFFICER - BD | NA | Control |
| BOUDROT, SUSAN MARIE | I | CHIEF COMPLIANCE OFFICER - BD | NA | Control |
| BOUDROT, SUSAN MARIE | I | CHIEF COMPLIANCE OFFICER - BD | NA | Control |
| BOUDROT, SUSAN MARIE | I | CHIEF COMPLIANCE OFFICER - BD | NA | Control |
| BOUDROT, SUSAN MARIE | I | CHIEF COMPLIANCE OFFICER - BD | NA | Control |
| BOUDROT, SUSAN MARIE | I | CHIEF COMPLIANCE OFFICER - BD | NA | Control |
| BOUDROT, SUSAN MARIE | I | CHIEF COMPLIANCE OFFICER - BD | NA | Control |
| BOYLE, STEPHEN JOHN | I | CHIEF FINANCIAL OFFICER/FINOP/DIRECTOR | NA | Control |
| BOYLE, STEPHEN JOHN | I | CHIEF FINANCIAL OFFICER/FINOP/DIRECTOR | NA | Control |
| BOYLE, STEPHEN JOHN | I | CHIEF FINANCIAL OFFICER/FINOP/DIRECTOR | NA | Control |
| BOYLE, STEPHEN JOHN | I | CHIEF FINANCIAL OFFICER/FINOP/DIRECTOR | NA | Control |
| BOYLE, STEPHEN JOHN | I | CHIEF FINANCIAL OFFICER/FINOP/DIRECTOR | NA | Control |
| BOYLE, STEPHEN JOHN | I | CHIEF FINANCIAL OFFICER/FINOP/DIRECTOR | NA | Control |
| BOYLE, STEPHEN JOHN | I | CHIEF FINANCIAL OFFICER/FINOP/DIRECTOR | NA | Control |
| BOYLE, STEPHEN JOHN | I | CHIEF FINANCIAL OFFICER/FINOP/DIRECTOR | NA | Control |
| BOYLE, STEPHEN JOHN | I | CHIEF FINANCIAL OFFICER/FINOP/DIRECTOR | NA | Control |
| BOYLE, STEPHEN JOHN | I | CHIEF FINANCIAL OFFICER/FINOP/DIRECTOR | NA | Control |
| BOYLE, STEPHEN JOHN | I | CHIEF FINANCIAL OFFICER/FINOP/DIRECTOR | NA | Control |
| BOYLE, STEPHEN JOHN | I | CHIEF FINANCIAL OFFICER/FINOP/DIRECTOR | NA | Control |
| BOYLE, STEPHEN JOHN | I | CHIEF FINANCIAL OFFICER/FINOP/DIRECTOR | NA | Control |
| BOYLE, STEPHEN JOHN | I | CHIEF FINANCIAL OFFICER/FINOP/DIRECTOR | NA | Control |
| BOYLE, STEPHEN JOHN | I | CHIEF FINANCIAL OFFICER/FINOP/DIRECTOR | NA | Control |
| BOYLE, STEPHEN JOHN | I | CHIEF FINANCIAL OFFICER/FINOP/DIRECTOR | NA | Control |
| BOYLE, STEPHEN JOHN | I | CHIEF FINANCIAL OFFICER/FINOP/DIRECTOR | NA | Control |
| BOYLE, STEPHEN JOHN | I | CHIEF FINANCIAL OFFICER/FINOP/DIRECTOR | NA | Control |
| BOYLE, STEPHEN JOHN | I | CHIEF FINANCIAL OFFICER/FINOP/DIRECTOR | NA | Control |
| BOYLE, STEPHEN JOHN | I | CHIEF FINANCIAL OFFICER/FINOP/DIRECTOR | NA | Control |
| BOYLE, STEPHEN JOHN | I | CHIEF FINANCIAL OFFICER/FINOP/DIRECTOR | NA | Control |
| BOYLE, STEPHEN JOHN | I | CHIEF FINANCIAL OFFICER/FINOP/DIRECTOR | NA | Control |
| BOYLE, STEPHEN JOHN | I | CHIEF FINANCIAL OFFICER/FINOP/DIRECTOR | NA | Control |
| BOYLE, STEPHEN JOHN | I | CHIEF FINANCIAL OFFICER/FINOP/DIRECTOR | NA | Control |
| BOYLE, STEPHEN JOHN | I | CHIEF FINANCIAL OFFICER/FINOP/DIRECTOR | NA | Control |
| BOYLE, STEPHEN JOHN | I | CHIEF FINANCIAL OFFICER/FINOP/DIRECTOR | NA | Control |
| BOYLE, STEPHEN JOHN | I | CHIEF FINANCIAL OFFICER/FINOP/DIRECTOR | NA | Control |
| BOYLE, STEPHEN JOHN | I | CHIEF FINANCIAL OFFICER/FINOP/DIRECTOR | NA | Control |
| BRADLEY, JOHN THOMAS JR | I | EVP SALES | NA | Control |
| BRADLEY, JOHN THOMAS JR | I | EVP INSTITUTIONAL SERVICES,DIRECTOR | NA | Control |
| BRADLEY, JOHN THOMAS JR | I | EVP INSTITUTIONAL SERVICES,DIRECTOR | NA | Control |
| BRADLEY, JOHN THOMAS JR | I | EVP INSTITUTIONAL SERVICES,DIRECTOR | NA | Control |
| BRADLEY, JOHN THOMAS JR | I | EVP INSTITUTIONAL SERVICES,DIRECTOR | NA | Control |
| BRADLEY, JOHN THOMAS JR | I | EVP INSTITUTIONAL SERVICES,DIRECTOR | NA | Control |
| BRADLEY, JOHN THOMAS JR | I | EVP INSTITUTIONAL SERVICES,DIRECTOR | NA | Control |
| BRADLEY, JOHN THOMAS JR | I | EVP INSTITUTIONAL SERVICES,DIRECTOR | NA | Control |
| BRADLEY, JOHN THOMAS JR | I | EVP INSTITUTIONAL SERVICES,DIRECTOR | NA | Control |
| BRADLEY, JOHN THOMAS JR | I | EVP INSTITUTIONAL SERVICES,DIRECTOR | NA | Control |
| BRADLEY, JOHN THOMAS JR | I | EVP INSTITUTIONAL SERVICES,DIRECTOR | NA | Control |
| BRADLEY, JOHN THOMAS JR | I | EVP SALES | NA | Control |
| BRADLEY, JOHN THOMAS JR | I | EVP INSTITUTIONAL SERVICES,DIRECTOR | NA | Control |
| BRADLEY, JOHN THOMAS JR | I | EVP INSTITUTIONAL SERVICES,DIRECTOR | NA | Control |
| BRADLEY, JOHN THOMAS JR | I | EVP SALES | NA | |
| BRADLEY, JOHN THOMAS JR | I | EVP SALES | NA | |
| BRADLEY, JOHN THOMAS JR | I | EVP INSTITUTIONAL SERVICES,DIRECTOR | NA | Control |
| BRADLEY, JOHN THOMAS JR | I | EVP INSTITUTIONAL SERVICES | NA | Control |
| BRADLEY, JOHN THOMAS JR | I | EVP INSTITUTIONAL SERVICES | NA | Control |
| BRADLEY, JOHN THOMAS JR | I | EVP INSTITUTIONAL SERVICES | NA | Control |
| BRADLEY, JOHN THOMAS JR | I | EVP INSTITUTIONAL SERVICES | NA | Control |
| BRADLEY, JOHN THOMAS JR | I | EVP INSTITUTIONAL SERVICES | NA | Control |
| BRADLEY, JOHN THOMAS JR | I | EVP INSTITUTIONAL SERVICES | NA | Control |
| BRADLEY, JOHN THOMAS JR | I | EVP INSTITUTIONAL SERVICES,DIRECTOR | NA | Control |
| BRADLEY, JOHN THOMAS JR | I | EVP SALES | NA | Control |
| BRADLEY, JOHN THOMAS JR | I | EVP SALES | NA | Control |
| BRADLEY, JOHN THOMAS JR | I | EVP INSTITUTIONAL SERVICES,DIRECTOR | NA | Control |
| BRADLEY, JOHN THOMAS JR | I | EVP SALES | NA | |
| BRADLEY, JOHN THOMAS JR | I | EVP SALES | NA | |
| BRADLEY, JOHN THOMAS JR | I | EVP SALES | NA | |
| BRADLEY, JOHN THOMAS JR | I | EVP SALES | NA | |
| BRADLEY, JOHN THOMAS JR | I | EVP SALES | NA | |
| BRADLEY, JOHN THOMAS JR | I | EVP INSTITUTIONAL SERVICES,DIRECTOR | NA | Control |
| BRADLEY, JOHN THOMAS JR | I | EVP INSTITUTIONAL SERVICES,DIRECTOR | NA | Control |
| BRADLEY, JOHN THOMAS JR | I | EVP INSTITUTIONAL SERVICES,DIRECTOR | NA | Control |
| BRADLEY, JOHN THOMAS JR | I | EVP INSTITUTIONAL SERVICES,DIRECTOR | NA | Control |
| BRADLEY, JOHN THOMAS JR | I | EVP SALES | NA | |
| BRADLEY, JOHN THOMAS JR | I | EVP INSTITUTIONAL SERVICES,DIRECTOR | NA | Control |
| BRADLEY, JOHN THOMAS JR | I | EVP INSTITUTIONAL SERVICES,DIRECTOR | NA | Control |
| BRADLEY, JOHN THOMAS JR | I | EVP INSTITUTIONAL SERVICES,DIRECTOR | NA | Control |
| BRADLEY, JOHN THOMAS JR | I | EVP INSTITUTIONAL SERVICES,DIRECTOR | NA | Control |
| BRADLEY, JOHN THOMAS JR | I | EVP INSTITUTIONAL SERVICES,DIRECTOR | NA | Control |
| BRADLEY, JOHN THOMAS JR | I | EVP INSTITUTIONAL SERVICES,DIRECTOR | NA | Control |
| BRADLEY, JOHN THOMAS JR | I | PRESIDENT, DIRECTOR | NA | Control |
| BRADLEY, JOHN THOMAS JR | I | PRESIDENT, DIRECTOR | NA | Control |
| BRADLEY, JOHN THOMAS JR | I | PRESIDENT, DIRECTOR | NA | Control |
| BRADLEY, JOHN THOMAS JR | I | PRESIDENT, DIRECTOR | NA | Control |
| BRADLEY, JOHN THOMAS JR | I | PRESIDENT, DIRECTOR | NA | Control |
| BRADLEY, JOHN THOMAS JR | I | PRESIDENT, DIRECTOR | NA | Control |
| BRADLEY, JOHN THOMAS JR | I | PRESIDENT, DIRECTOR | NA | Control |
| BRADLEY, JOHN THOMAS JR | I | PRESIDENT, DIRECTOR | NA | Control |
| BRADLEY, JOHN THOMAS JR | I | EVP INSTITUTIONAL SERVICES,DIRECTOR | NA | Control |
| BRADLEY, JOHN THOMAS JR | I | PRESIDENT, DIRECTOR | NA | Control |
| BRADLEY, JOHN THOMAS JR | I | PRESIDENT, DIRECTOR | NA | Control |
| BRADLEY, JOHN THOMAS JR | I | PRESIDENT, DIRECTOR | NA | Control |
| BRADLEY, JOHN THOMAS JR | I | PRESIDENT, DIRECTOR | NA | Control |
| BRADLEY, JOHN THOMAS JR | I | PRESIDENT, DIRECTOR | NA | Control |
| BRADLEY, JOHN THOMAS JR | I | PRESIDENT, DIRECTOR | NA | Control |
| BRADLEY, JOHN THOMAS JR | I | PRESIDENT, DIRECTOR | NA | Control |
| BRADLEY, JOHN THOMAS JR | I | PRESIDENT, DIRECTOR | NA | Control |
| BRADLEY, JOHN THOMAS JR | I | PRESIDENT, DIRECTOR | NA | Control |
| BRADLEY, JOHN THOMAS JR | I | PRESIDENT, DIRECTOR | NA | Control |
| BRADLEY, JOHN THOMAS JR | I | PRESIDENT, DIRECTOR | NA | Control |
| BRADLEY, JOHN THOMAS JR | I | PRESIDENT, DIRECTOR | NA | Control |
| BRADLEY, JOHN THOMAS JR | I | PRESIDENT, DIRECTOR | NA | Control |
| BRADLEY, JOHN THOMAS JR | I | PRESIDENT, DIRECTOR | NA | Control |
| BRADLEY, JOHN THOMAS JR | I | PRESIDENT, DIRECTOR | NA | Control |
| BRADLEY, JOHN THOMAS JR | I | PRESIDENT, DIRECTOR | NA | Control |
| BRADLEY, JOHN THOMAS JR | I | PRESIDENT, DIRECTOR | NA | Control |
| BRADLEY, JOHN THOMAS JR | I | PRESIDENT, DIRECTOR | NA | Control |
| BRADLEY, JOHN THOMAS JR | I | PRESIDENT, DIRECTOR | NA | Control |
| BRADLEY, JOHN THOMAS JR | I | PRESIDENT, DIRECTOR | NA | Control |
| BRADLEY, JOHN THOMAS JR | I | PRESIDENT, DIRECTOR | NA | Control |
| BRADLEY, JOHN THOMAS JR | I | PRESIDENT, DIRECTOR | NA | Control |
| BRADLEY, JOHN THOMAS JR | I | PRESIDENT, DIRECTOR | NA | Control |
| BUNCH, JOHN BRADLEY | I | PRESIDENT, DIRECTOR | NA | Control |
| BUNCH, JOHN BRADLEY | I | PRESIDENT, DIRECTOR | NA | Control |
| BUNCH, JOHN BRADLEY | I | PRESIDENT, DIRECTOR | NA | Control |
| BUNCH, JOHN BRADLEY | I | PRESIDENT, DIRECTOR | NA | Control |
| BUNCH, JOHN BRADLEY | I | PRESIDENT, DIRECTOR | NA | Control |
| BUNCH, JOHN BRADLEY | I | PRESIDENT, DIRECTOR | NA | Control |
| BUNCH, JOHN BRADLEY | I | PRESIDENT, DIRECTOR | NA | Control |
| BUNCH, JOHN BRADLEY | I | PRESIDENT, DIRECTOR | NA | Control |
| BUNCH, JOHN BRADLEY | I | PRESIDENT, DIRECTOR | NA | Control |
| BUNCH, JOHN BRADLEY | I | PRESIDENT, DIRECTOR | NA | Control |
| BUNCH, JOHN BRADLEY | I | PRESIDENT, DIRECTOR | NA | Control |
| BUNCH, JOHN BRADLEY | I | PRESIDENT, DIRECTOR | NA | Control |
| BUNCH, JOHN BRADLEY | I | PRESIDENT, DIRECTOR | NA | Control |
| BUNCH, JOHN BRADLEY | I | EVP, BRANCH DISTRIBUTION - BD | NA | Control |
| BUNCH, JOHN BRADLEY | I | EVP, BRANCH DISTRIBUTION - BD | NA | Control |
| BUNCH, JOHN BRADLEY | I | EVP, BRANCH DISTRIBUTION - BD | NA | Control |
| BUNCH, JOHN BRADLEY | I | EVP, BRANCH DISTRIBUTION - BD | NA | Control |
| BUNCH, JOHN BRADLEY | I | EVP, BRANCH DISTRIBUTION - BD | NA | Control |
| BUNCH, JOHN BRADLEY | I | EVP, BRANCH DISTRIBUTION - BD | NA | Control |
| BUNCH, JOHN BRADLEY | I | PRESIDENT, DIRECTOR | NA | Control |
| BUNCH, JOHN BRADLEY | I | PRESIDENT, DIRECTOR | NA | Control |
| BUNCH, JOHN BRADLEY | I | PRESIDENT, DIRECTOR | NA | Control |
| BUNCH, JOHN BRADLEY | I | PRESIDENT, DIRECTOR | NA | Control |
| BUNCH, JOHN BRADLEY | I | PRESIDENT, DIRECTOR | NA | Control |
| BUNCH, JOHN BRADLEY | I | PRESIDENT, DIRECTOR | NA | Control |
| BUNCH, JOHN BRADLEY | I | PRESIDENT, DIRECTOR | NA | Control |
| BUNCH, JOHN BRADLEY | I | PRESIDENT, DIRECTOR | NA | Control |
| BUNCH, JOHN BRADLEY | I | PRESIDENT, DIRECTOR | NA | Control |
| BUNCH, JOHN BRADLEY | I | PRESIDENT, DIRECTOR | NA | Control |
| BUNCH, JOHN BRADLEY | I | PRESIDENT, DIRECTOR | NA | Control |
| BUNCH, JOHN BRADLEY | I | PRESIDENT, DIRECTOR | NA | Control |
| BUNCH, JOHN BRADLEY | I | PRESIDENT, DIRECTOR | NA | Control |
| BUTCH, THOMAS W | I | PRESIDENT | NA | Control |
| BUTCH, THOMAS W | I | PRESIDENT | NA | Control |
| BUTCH, THOMAS W | I | PRESIDENT | NA | Control |
| BUTCH, THOMAS W | I | PRESIDENT | NA | Control |
| BUTCH, THOMAS W | I | PRESIDENT | NA | Control |
| BUTCH, THOMAS W | I | PRESIDENT | NA | Control |
| BUTCH, THOMAS W | I | PRESIDENT | NA | Control |
| BUTCH, THOMAS W | I | PRESIDENT | NA | Control |
| BUTCH, THOMAS W | I | PRESIDENT | NA | Control |
| BUTCH, THOMAS W | I | PRESIDENT | NA | Control |
| BUTCH, THOMAS W | I | PRESIDENT | NA | Control |
| BUTCH, THOMAS W | I | PRESIDENT | NA | Control |
| BUTCH, THOMAS W | I | PRESIDENT | NA | Control |
| CAHN, DOUGLAS MARSHALL | I | CROP | NA | |
| CAMPANELLA, JANIS | I | GENERAL COUNSEL | NA | Control |
| CASEY, KEVIN DANIEL | I | MUNICIPAL SECURITIES PRINCIPAL | NA | |
| CASEY, KEVIN DANIEL | I | MUNICIPAL SECURITIES PRINCIPAL | NA | |
| CASEY, KEVIN DANIEL | I | MUNICIPAL SECURITIES PRINCIPAL | NA | |
| CASEY, KEVIN DANIEL | I | MUNICIPAL SECURITIES PRINCIPAL | NA | |
| CASEY, KEVIN DANIEL | I | MUNICIPAL SECURITIES PRINCIPAL | NA | |
| CASEY, KEVIN DANIEL | I | MUNICIPAL SECURITIES PRINCIPAL | NA | |
| CASEY, KEVIN DANIEL | I | MUNICIPAL SECURITIES PRINCIPAL | NA | |
| CASEY, KEVIN DANIEL | I | MUNICIPAL SECURITIES PRINCIPAL | NA | |
| CASEY, KEVIN DANIEL | I | MUNICIPAL SECURITIES PRINCIPAL | NA | |
| CASEY, KEVIN DANIEL | I | MUNICIPAL SECURITIES PRINCIPAL | NA | |
| CASSIDY, KAREN A. | I | TREASURER | NA | Control |
| CASSIDY, KAREN ANN | I | TREASURER | NA | Control |
| CASSIDY, KAREN ANN | I | TREASURER | NA | Control |
| CASSIDY, KAREN ANN | I | TREASURER | NA | Control |
| CASSIDY, KAREN ANN | I | TREASURER | NA | Control |
| CASSIDY, KAREN ANN | I | TREASURER | NA | Control |
| CASSIDY, KAREN ANN | I | TREASURER | NA | Control |
| CASSIDY, KAREN ANN | I | TREASURER | NA | Control |
| CASSIDY, KAREN ANN | I | TREASURER | NA | Control |
| CHOCHON, MICHAEL DOUGLAS | I | TREASURER | NA | Control |
| CHOCHON, MICHAEL DOUGLAS | I | TREASURER | NA | Control |
| CHOCHON, MICHAEL DOUGLAS | I | TREASURER | NA | Control |
| CHOCHON, MICHAEL DOUGLAS | I | TREASURER | NA | Control |
| CHOCHON, MICHAEL DOUGLAS | I | TREASURER | NA | Control |
| CHOCHON, MICHAEL DOUGLAS | I | TREASURER | NA | Control |
| CHOCHON, MICHAEL DOUGLAS | I | TREASURER | NA | Control |
| CHOCHON, MICHAEL DOUGLAS | I | TREASURER | NA | Control |
| CHOCHON, MICHAEL DOUGLAS | I | TREASURER | NA | Control |
| CURCIO, MICHAEL JOHN | I | EVP SALES, DIRECTOR | NA | Control |
| DAVIDSON, FELIX BEARD | I | VP, MANAGING DIRECTOR, OPERATIONS - BD | NA | Control |
| DAVIDSON, FELIX BEARD | I | VP, MANAGING DIRECTOR, CALL CENTER OPERATIONS - BD | NA | Control |
| DAVIDSON, FELIX BEARD | I | VP, MANAGING DIRECTOR, OPERATIONS - BD | NA | Control |
| DAVIDSON, FELIX BEARD | I | VP, MANAGING DIRECTOR, OPERATIONS - BD | NA | Control |
| DAVIDSON, FELIX BEARD | I | VP, MANAGING DIRECTOR, OPERATIONS - BD | NA | Control |
| DAVIDSON, FELIX BEARD | I | VP, MANAGING DIRECTOR, OPERATIONS - BD | NA | Control |
| DAVIDSON, FELIX BEARD | I | VP, MANAGING DIRECTOR, OPERATIONS - BD | NA | Control |
| DAVIDSON, FELIX BEARD | I | VP, MANAGING DIRECTOR, OPERATIONS - BD | NA | Control |
| DAVIDSON, FELIX BEARD | I | VP, MANAGING DIRECTOR, OPERATIONS - BD | NA | Control |
| DAVIDSON, FELIX BEARD | I | VP, MANAGING DIRECTOR, OPERATIONS - BD | NA | Control |
| DAVIDSON, FELIX BEARD | I | VP, MANAGING DIRECTOR, OPERATIONS - BD | NA | Control |
| DAVIDSON, FELIX BEARD | I | VP, MANAGING DIRECTOR, OPERATIONS - BD | NA | Control |
| DAVIDSON, FELIX BEARD | I | VP, MANAGING DIRECTOR, OPERATIONS - BD | NA | Control |
| DAVIDSON, FELIX BEARD | I | VP, SROP/CROP, MANAGING DIRECTOR, CALL CENTER OPERATIONS - BD | NA | Control |
| DAVIDSON, FELIX BEARD | I | VP, SROP/CROP, MANAGING DIRECTOR, CALL CENTER OPERATIONS - BD | NA | Control |
| DAVIDSON, FELIX BEARD | I | VP, SROP/CROP, MANAGING DIRECTOR, CALL CENTER OPERATIONS - BD | NA | Control |
| DAVIDSON, FELIX BEARD | I | VP, SROP/CROP, MANAGING DIRECTOR, CALL CENTER OPERATIONS - BD | NA | Control |
| DAVIDSON, FELIX BEARD | I | VP, SROP/CROP, MANAGING DIRECTOR, CALL CENTER OPERATIONS - BD | NA | Control |
| DAVIDSON, FELIX BEARD | I | VP, SROP/CROP, MANAGING DIRECTOR, CALL CENTER OPERATIONS - BD | NA | Control |
| DAVIDSON, FELIX BEARD | I | VP, MANAGING DIRECTOR, OPERATIONS - BD | NA | Control |
| DAVIDSON, FELIX BEARD | I | VP, MANAGING DIRECTOR, OPERATIONS - BD | NA | Control |
| DAVIDSON, FELIX BEARD | I | VP, MANAGING DIRECTOR, OPERATIONS - BD | NA | Control |
| DAVIDSON, FELIX BEARD | I | VP, MANAGING DIRECTOR, OPERATIONS - BD | NA | Control |
| DAVIDSON, FELIX BEARD | I | VP, MANAGING DIRECTOR, OPERATIONS - BD | NA | Control |
| DAVIDSON, FELIX BEARD | I | VP, MANAGING DIRECTOR, OPERATIONS - BD | NA | Control |
| DAVIDSON, FELIX BEARD | I | VP, MANAGING DIRECTOR, OPERATIONS - BD | NA | Control |
| DAVIDSON, FELIX BEARD | I | VP, MANAGING DIRECTOR, OPERATIONS - BD | NA | Control |
| DAVIDSON, FELIX BEARD | I | VP, MANAGING DIRECTOR, OPERATIONS - BD | NA | Control |
| DAVIDSON, FELIX BEARD | I | VP, MANAGING DIRECTOR, OPERATIONS - BD | NA | Control |
| DAVIDSON, FELIX BEARD | I | VP, MANAGING DIRECTOR, OPERATIONS - BD | NA | Control |
| DAVIDSON, FELIX BEARD | I | VP, MANAGING DIRECTOR, OPERATIONS - BD | NA | Control |
| DAVIDSON, FELIX BEARD | I | VP, MANAGING DIRECTOR, OPERATIONS - BD | NA | Control |
| DAVIDSON, FELIX BEARD | I | VP, MANAGING DIRECTOR, OPERATIONS - BD | NA | Control |
| DAVIDSON, FELIX BEARD | I | VP, MANAGING DIRECTOR, OPERATIONS - BD | NA | Control |
| DAVIDSON, FELIX BEARD | I | VP, MANAGING DIRECTOR, OPERATIONS - BD | NA | Control |
| DAVIDSON, FELIX BEARD | I | VP, MANAGING DIRECTOR, OPERATIONS - BD | NA | Control |
| DAVIDSON, FELIX BEARD | I | VP, MANAGING DIRECTOR, OPERATIONS - BD | NA | Control |
| DAVIDSON, FELIX BEARD | I | VP, MANAGING DIRECTOR, OPERATIONS - BD | NA | Control |
| DAVIDSON, FELIX BEARD | I | VP, MANAGING DIRECTOR, OPERATIONS - BD | NA | Control |
| DAVIDSON, FELIX BEARD | I | VP, MANAGING DIRECTOR, OPERATIONS - BD | NA | Control |
| DAVIDSON, FELIX BEARD | I | VP, MANAGING DIRECTOR, OPERATIONS - BD | NA | Control |
| DAVIDSON, FELIX BEARD | I | VP, MANAGING DIRECTOR, OPERATIONS - BD | NA | Control |
| DAVIDSON, FELIX BEARD | I | VP, MANAGING DIRECTOR, OPERATIONS - BD | NA | Control |
| DAVIDSON, FELIX BEARD | I | VP, MANAGING DIRECTOR, OPERATIONS - BD | NA | Control |
| DAVIDSON, FELIX BEARD | I | VP, MANAGING DIRECTOR, OPERATIONS - BD | NA | Control |
| DAVIDSON, FELIX BEARD | I | VP, MANAGING DIRECTOR, OPERATIONS - BD | NA | Control |
| DESILVA, PETER JAMES | I | PRESIDENT, DIRECTOR | NA | Control |
| DESILVA, PETER JAMES | I | PRESIDENT, DIRECTOR | NA | Control |
| DESILVA, PETER JAMES | I | PRESIDENT, DIRECTOR | NA | Control |
| DESILVA, PETER JAMES | I | PRESIDENT, DIRECTOR | NA | Control |
| DESILVA, PETER JAMES | I | PRESIDENT, DIRECTOR | NA | Control |
| DESILVA, PETER JAMES | I | PRESIDENT, DIRECTOR | NA | Control |
| DESILVA, PETER JAMES | I | PRESIDENT, DIRECTOR | NA | Control |
| DESILVA, PETER JAMES | I | PRESIDENT, DIRECTOR | NA | Control |
| DESILVA, PETER JAMES | I | PRESIDENT, DIRECTOR | NA | Control |
| DESILVA, PETER JAMES | I | PRESIDENT, DIRECTOR | NA | Control |
| DESILVA, PETER JAMES | I | PRESIDENT, DIRECTOR | NA | Control |
| DESILVA, PETER JAMES | I | PRESIDENT, DIRECTOR | NA | Control |
| DESILVA, PETER JAMES | I | PRESIDENT, DIRECTOR | NA | Control |
| DESILVA, PETER JAMES | I | PRESIDENT, DIRECTOR | NA | Control |
| DESILVA, PETER JAMES | I | PRESIDENT, DIRECTOR | NA | Control |
| DESILVA, PETER JAMES | I | PRESIDENT, DIRECTOR | NA | Control |
| DESILVA, PETER JAMES | I | PRESIDENT, DIRECTOR | NA | Control |
| DESILVA, PETER JAMES | I | PRESIDENT, DIRECTOR | NA | Control |
| DESILVA, PETER JAMES | I | PRESIDENT, DIRECTOR | NA | Control |
| DEWALD, TERRANCE SHAWN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| DEWALD, TERRANCE SHAWN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| DEWALD, TERRANCE SHAWN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| ENGEL, BRYCE BRADLEY | I | DIRECTOR/CHIEF BROKERAGE OPERATIONS OFFICER - BD | NA | Control |
| ENGEL, BRYCE BRADLEY | I | DIRECTOR/CHIEF BROKERAGE OPERATIONS OFFICER - BD | NA | Control |
| ENGEL, BRYCE BRADLEY | I | DIRECTOR/CHIEF BROKERAGE OPERATIONS OFFICER - BD | NA | Control |
| ENGEL, BRYCE BRADLEY | I | DIRECTOR/CHIEF BROKERAGE OPERATIONS OFFICER - BD | NA | Control |
| ENGEL, BRYCE BRADLEY | I | DIRECTOR/CHIEF BROKERAGE OPERATIONS OFFICER - BD | NA | Control |
| ENGEL, BRYCE BRADLEY | I | DIRECTOR/CHIEF BROKERAGE OPERATIONS OFFICER - BD | NA | Control |
| EVANGELIOU, KIRIAKOS ANDREAS | I | CHIEF COMPLIANCE OFFICER - BD | NA | Control |
| EVANGELIOU, KIRIAKOS ANDREAS | I | CHIEF COMPLIANCE OFFICER - BD | NA | Control |
| EVANGELIOU, KIRIAKOS ANDREAS | I | CHIEF COMPLIANCE OFFICER - BD | NA | Control |
| EVANGELIOU, KIRIAKOS ANDREAS | I | CHIEF COMPLIANCE OFFICER - BD | NA | Control |
| EVANGELIOU, KIRIAKOS ANDREAS | I | CHIEF COMPLIANCE OFFICER - BD | NA | Control |
| EVANGELIOU, KIRIAKOS ANDREAS | I | CHIEF COMPLIANCE OFFICER - BD | NA | Control |
| EVANGELIOU, KIRIAKOS ANDREAS | I | CHIEF COMPLIANCE OFFICER - BD | NA | Control |
| EVANGELIOU, KIRIAKOS ANDREAS | I | CHIEF COMPLIANCE OFFICER - BD | NA | Control |
| EVANGELIOU, KIRIAKOS ANDREAS | I | CHIEF COMPLIANCE OFFICER - BD | NA | Control |
| EVANGELIOU, KIRIAKOS ANDREAS | I | CHIEF COMPLIANCE OFFICER - BD | NA | Control |
| EVANGELIOU, KIRIAKOS ANDREAS | I | CHIEF COMPLIANCE OFFICER - BD | NA | Control |
| EVANGELIOU, KIRIAKOS ANDREAS | I | CHIEF COMPLIANCE OFFICER - BD | NA | Control |
| EVANGELIOU, KIRIAKOS ANDREAS | I | CHIEF COMPLIANCE OFFICER - BD | NA | Control |
| EVANGELIOU, KIRIAKOS ANDREAS | I | CHIEF COMPLIANCE OFFICER - BD | NA | Control |
| EVANGELIOU, KIRIAKOS ANDREAS | I | CHIEF COMPLIANCE OFFICER - BD | NA | Control |
| EVANGELIOU, KIRIAKOS ANDREAS | I | CHIEF COMPLIANCE OFFICER - BD | NA | Control |
| EVANGELIOU, KIRIAKOS ANDREAS | I | CHIEF COMPLIANCE OFFICER - BD | NA | Control |
| EVANGELIOU, KIRIAKOS ANDREAS | I | CHIEF COMPLIANCE OFFICER - BD | NA | Control |
| EVANGELIOU, KIRIAKOS ANDREAS | I | CHIEF COMPLIANCE OFFICER - BD | NA | Control |
| EVANGELIOU, KIRIAKOS ANDREAS | I | CHIEF COMPLIANCE OFFICER - BD | NA | Control |
| EWASKO, JASON MICHAEL | I | CHIEF COMPLIANCE OFFICER - RIA | NA | Control |
| EWASKO, JASON MICHAEL | I | CHIEF COMPLIANCE OFFICER - RIA | NA | Control |
| EWASKO, JASON MICHAEL | I | CHIEF COMPLIANCE OFFICER - RIA | NA | Control |
| EWASKO, JASON MICHAEL | I | CHIEF COMPLIANCE OFFICER - RIA | NA | Control |
| EWASKO, JASON MICHAEL | I | CHIEF COMPLIANCE OFFICER - RIA | NA | Control |
| EWASKO, JASON MICHAEL | I | CHIEF COMPLIANCE OFFICER - RIA | NA | Control |
| EWASKO, JASON MICHAEL | I | CHIEF COMPLIANCE OFFICER - RIA | NA | Control |
| EWASKO, JASON MICHAEL | I | CHIEF COMPLIANCE OFFICER - RIA | NA | Control |
| EWASKO, JASON MICHAEL | I | CHIEF COMPLIANCE OFFICER - RIA | NA | Control |
| EWASKO, JASON MICHAEL | I | CHIEF COMPLIANCE OFFICER - RIA | NA | Control |
| EWASKO, JASON MICHAEL | I | CHIEF COMPLIANCE OFFICER - RIA | NA | Control |
| EWASKO, JASON MICHAEL | I | CHIEF COMPLIANCE OFFICER - RIA | NA | Control |
| EWASKO, JASON MICHAEL | I | CHIEF COMPLIANCE OFFICER - RIA | NA | Control |
| EWASKO, JASON MICHAEL | I | CHIEF COMPLIANCE OFFICER - RIA | NA | Control |
| EWASKO, JASON MICHAEL | I | CHIEF COMPLIANCE OFFICER - RIA | NA | Control |
| FINN, KEVIN FRANCIS JR | I | SVP | NA | |
| FINN, KEVIN FRANCIS JR | I | SVP | NA | |
| FINN, KEVIN FRANCIS JR | I | SVP | NA | |
| FINN, KEVIN FRANCIS JR | I | SVP | NA | |
| FINN, KEVIN FRANCIS JR | I | SVP | NA | |
| FINN, KEVIN FRANCIS JR | I | SVP | NA | |
| FINN, KEVIN FRANCIS JR | I | SVP | NA | |
| FINN, KEVIN FRANCIS JR | I | SVP | NA | |
| FINN, KEVIN FRANCIS JR | I | SVP | NA | |
| FINN, KEVIN FRANCIS JR | I | SVP | NA | |
| FINN, KEVIN FRANCIS JR | I | SVP | NA | |
| FINN, KEVIN FRANCIS JR | I | SVP | NA | |
| FUESEL, GREGG JOSEPH | I | CHIEF FINANCIAL OFFICER/FINOP | NA | Control |
| FUESEL, GREGG JOSEPH | I | CHIEF FINANCIAL OFFICER/FINOP | NA | Control |
| FUESEL, GREGG JOSEPH | I | CHIEF FINANCIAL OFFICER/FINOP | NA | Control |
| FUESEL, GREGG JOSEPH | I | CHIEF FINANCIAL OFFICER/FINOP | NA | Control |
| FUESEL, GREGG JOSEPH | I | CHIEF FINANCIAL OFFICER/FINOP | NA | Control |
| FUESEL, GREGG JOSEPH | I | CHIEF FINANCIAL OFFICER/FINOP | NA | Control |
| FUESEL, GREGG JOSEPH | I | CHIEF FINANCIAL OFFICER/FINOP | NA | Control |
| FUESEL, GREGG JOSEPH | I | CHIEF FINANCIAL OFFICER/FINOP | NA | Control |
| FUESEL, GREGG JOSEPH | I | CHIEF FINANCIAL OFFICER/FINOP | NA | Control |
| FUESEL, GREGG JOSEPH | I | CHIEF FINANCIAL OFFICER/FINOP | NA | Control |
| FUESEL, GREGG JOSEPH | I | CHIEF FINANCIAL OFFICER/FINOP | NA | Control |
| GARRITY, LAURINE MARIE | I | CHIEF MARKETING OFFICER, SVP | NA | Control |
| GARRITY, LAURINE MARIE | I | CHIEF MARKETING OFFICER, SVP | NA | Control |
| GARRITY, LAURINE MARIE | I | CHIEF MARKETING OFFICER, SVP | NA | Control |
| GARRITY, LAURINE MARIE | I | CHIEF MARKETING OFFICER | NA | Control |
| GARRITY, LAURINE MARIE | I | CHIEF MARKETING OFFICER | NA | Control |
| GARRITY, LAURINE MARIE | I | CHIEF MARKETING OFFICER | NA | Control |
| GARRITY, LAURINE MARIE | I | CHIEF MARKETING OFFICER | NA | Control |
| GARRITY, LAURINE MARIE | I | CHIEF MARKETING OFFICER | NA | Control |
| GARRITY, LAURINE MARIE | I | CHIEF MARKETING OFFICER | NA | Control |
| GARRITY, LAURINE MARIE | I | CHIEF MARKETING OFFICER, SVP | NA | Control |
| GARRITY, LAURINE MARIE | I | CHIEF MARKETING OFFICER, SVP | NA | Control |
| GARRITY, LAURINE MARIE | I | CHIEF MARKETING OFFICER, SVP | NA | Control |
| GARRITY, LAURINE MARIE | I | CHIEF MARKETING OFFICER, SVP | NA | Control |
| GARRITY, LAURINE MARIE | I | CHIEF MARKETING OFFICER, SVP | NA | Control |
| GARRITY, LAURINE MARIE | I | CHIEF MARKETING OFFICER, SVP | NA | Control |
| GARRITY, LAURINE MARIE | I | CHIEF MARKETING OFFICER, SVP | NA | Control |
| GARRITY, LAURINE MARIE | I | CHIEF MARKETING OFFICER, SVP | NA | Control |
| GARRITY, LAURINE MARIE | I | CHIEF MARKETING OFFICER, SVP | NA | Control |
| GARRITY, LAURINE MARIE | I | CHIEF MARKETING OFFICER, SVP | NA | Control |
| GARRITY, LAURINE MARIE | I | CHIEF MARKETING OFFICER, SVP | NA | Control |
| GARRITY, LAURINE MARIE | I | CHIEF MARKETING OFFICER, SVP | NA | Control |
| GASPICH, MARK SR | I | CROP | NA | |
| GERBER, WILLIAM JOSEPH | I | CHIEF FINANCIAL OFFICER/FINOP/DIRECTOR | NA | Control |
| GERBER, WILLIAM JOSEPH | I | CHIEF FINANCIAL OFFICER/FINOP/DIRECTOR | NA | Control |
| GERBER, WILLIAM JOSEPH | I | CHIEF FINANCIAL OFFICER/FINOP/DIRECTOR | NA | Control |
| GERBER, WILLIAM JOSEPH | I | CHIEF FINANCIAL OFFICER/FINOP/DIRECTOR | NA | Control |
| GERBER, WILLIAM JOSEPH | I | CHIEF FINANCIAL OFFICER/FINOP/DIRECTOR | NA | Control |
| GERBER, WILLIAM JOSEPH | I | CHIEF FINANCIAL OFFICER/FINOP/DIRECTOR | NA | Control |
| GERBER, WILLIAM JOSEPH | I | CHIEF FINANCIAL OFFICER/FINOP/DIRECTOR | NA | Control |
| GERBER, WILLIAM JOSEPH | I | CHIEF FINANCIAL OFFICER/FINOP/DIRECTOR | NA | Control |
| GERBER, WILLIAM JOSEPH | I | CHIEF FINANCIAL OFFICER/FINOP/DIRECTOR | NA | Control |
| GERBER, WILLIAM JOSEPH | I | CHIEF FINANCIAL OFFICER/FINOP/DIRECTOR | NA | Control |
| GERBER, WILLIAM JOSEPH | I | CHIEF FINANCIAL OFFICER/FINOP/DIRECTOR | NA | Control |
| GERBER, WILLIAM JOSEPH | I | CHIEF FINANCIAL OFFICER/FINOP/DIRECTOR | NA | Control |
| GERBER, WILLIAM JOSEPH | I | CHIEF FINANCIAL OFFICER/FINOP/DIRECTOR | NA | Control |
| GERBER, WILLIAM JOSEPH | I | CHIEF FINANCIAL OFFICER/FINOP | NA | Control |
| GERBER, WILLIAM JOSEPH | I | CHIEF FINANCIAL OFFICER/FINOP/DIRECTOR | NA | Control |
| GERBER, WILLIAM JOSEPH | I | CHIEF FINANCIAL OFFICER/FINOP/DIRECTOR | NA | Control |
| GERBER, WILLIAM JOSEPH | I | CHIEF FINANCIAL OFFICER/FINOP/DIRECTOR | NA | Control |
| GERBER, WILLIAM JOSEPH | I | CHIEF FINANCIAL OFFICER/FINOP/DIRECTOR | NA | Control |
| GERBER, WILLIAM JOSEPH | I | CHIEF FINANCIAL OFFICER/FINOP/DIRECTOR | NA | Control |
| GERBER, WILLIAM JOSEPH | I | CHIEF FINANCIAL OFFICER/FINOP/DIRECTOR | NA | Control |
| GERBER, WILLIAM JOSEPH | I | CHIEF FINANCIAL OFFICER/FINOP/DIRECTOR | NA | Control |
| GERBER, WILLIAM JOSEPH | I | CHIEF FINANCIAL OFFICER/FINOP/DIRECTOR | NA | Control |
| GERBER, WILLIAM JOSEPH | I | CHIEF FINANCIAL OFFICER/FINOP/DIRECTOR | NA | Control |
| GERBER, WILLIAM JOSEPH | I | CHIEF FINANCIAL OFFICER/FINOP/DIRECTOR | NA | Control |
| GERBER, WILLIAM JOSEPH | I | CHIEF FINANCIAL OFFICER/FINOP/DIRECTOR | NA | Control |
| GERBER, WILLIAM JOSEPH | I | CHIEF FINANCIAL OFFICER/FINOP/DIRECTOR | NA | Control |
| GERBER, WILLIAM JOSEPH | I | CHIEF FINANCIAL OFFICER/FINOP/DIRECTOR | NA | Control |
| GERBER, WILLIAM JOSEPH | I | CHIEF FINANCIAL OFFICER/FINOP/DIRECTOR | NA | Control |
| GERBER, WILLIAM JOSEPH | I | CHIEF FINANCIAL OFFICER/FINOP/DIRECTOR | NA | Control |
| GERBER, WILLIAM JOSEPH | I | CHIEF FINANCIAL OFFICER/FINOP/DIRECTOR | NA | Control |
| GERBER, WILLIAM JOSEPH | I | CHIEF FINANCIAL OFFICER/FINOP/DIRECTOR | NA | Control |
| GERBER, WILLIAM JOSEPH | I | CHIEF FINANCIAL OFFICER/FINOP/DIRECTOR | NA | Control |
| GERBER, WILLIAM JOSEPH | I | CHIEF FINANCIAL OFFICER/FINOP/DIRECTOR | NA | Control |
| GERBER, WILLIAM JOSEPH | I | CHIEF FINANCIAL OFFICER/FINOP/DIRECTOR | NA | Control |
| GERBER, WILLIAM JOSEPH | I | CHIEF FINANCIAL OFFICER/FINOP/DIRECTOR | NA | Control |
| GERBER, WILLIAM JOSEPH | I | CHIEF FINANCIAL OFFICER/FINOP/DIRECTOR | NA | Control |
| GERBER, WILLIAM JOSEPH | I | CHIEF FINANCIAL OFFICER/FINOP/DIRECTOR | NA | Control |
| GERBER, WILLIAM JOSEPH | I | CHIEF FINANCIAL OFFICER/FINOP/DIRECTOR | NA | Control |
| GERBER, WILLIAM JOSEPH | I | CHIEF FINANCIAL OFFICER/FINOP/DIRECTOR | NA | Control |
| GERBER, WILLIAM JOSEPH | I | CHIEF FINANCIAL OFFICER/FINOP/DIRECTOR | NA | Control |
| GERBER, WILLIAM JOSEPH | I | CHIEF FINANCIAL OFFICER/FINOP/DIRECTOR | NA | Control |
| GERBER, WILLIAM JOSEPH | I | CHIEF FINANCIAL OFFICER/FINOP/DIRECTOR | NA | Control |
| GERBER, WILLIAM JOSEPH | I | CHIEF FINANCIAL OFFICER/FINOP/DIRECTOR | NA | Control |
| GERBER, WILLIAM JOSEPH | I | CHIEF FINANCIAL OFFICER/FINOP/DIRECTOR | NA | Control |
| GERBER, WILLIAM JOSEPH | I | CHIEF FINANCIAL OFFICER/FINOP/DIRECTOR | NA | Control |
| GERBER, WILLIAM JOSEPH | I | CHIEF FINANCIAL OFFICER/FINOP/DIRECTOR | NA | Control |
| GERBER, WILLIAM JOSEPH | I | CHIEF FINANCIAL OFFICER/FINOP/DIRECTOR | NA | Control |
| GERBER, WILLIAM JOSEPH | I | CHIEF FINANCIAL OFFICER/FINOP/DIRECTOR | NA | Control |
| GERBER, WILLIAM JOSEPH | I | CHIEF FINANCIAL OFFICER/FINOP/DIRECTOR | NA | Control |
| GRADY, ANN M | I | CHIEF COMPLIANCE OFFICER - RIA | NA | Control |
| GRADY, ANN M | I | CHIEF COMPLIANCE OFFICER - RIA | NA | Control |
| GRADY, JAMES FRANCIS | I | MUNICIPAL SECURITIES PRINCIPAL | NA | |
| GRADY, JAMES FRANCIS | I | MUNICIPAL SECURITIES PRINCIPAL | NA | |
| GRECH, JAMES STEPHEN | I | SVP- TECHNOLOGY SERVICES GROUP | NA | |
| GUANERI, PAUL GERARD | I | CFO | NA | |
| GUANERI, PAUL GERARD | I | CFO | NA | |
| GUANERI, PAUL GERARD | I | CFO | NA | |
| GUANERI, PAUL GERARD | I | CFO | NA | |
| GUZMAN, RALPH EMILIO | I | SVP | NA | |
| GUZMAN, RALPH EMILIO | I | SVP | NA | |
| GUZMAN, RALPH EMILIO | I | SVP | NA | |
| GUZMAN, RALPH EMILIO | I | SVP | NA | |
| GUZMAN, RALPH EMILIO | I | SVP | NA | |
| GUZMAN, RALPH EMILIO | I | SVP | NA | |
| GUZMAN, RALPH EMILIO | I | SVP | NA | |
| GUZMAN, RALPH EMILIO | I | SVP | NA | |
| GUZMAN, RALPH EMILIO | I | SVP | NA | |
| GUZMAN, RALPH EMILIO | I | SVP | NA | |
| GUZMAN, RALPH EMILIO | I | SVP | NA | |
| GUZMAN, RALPH EMILIO | I | SVP | NA | |
| HENOCH, LISA JEAN | I | CHIEF COMPLIANCE OFFICER - BD | NA | Control |
| HENOCH, LISA JEAN | I | CHIEF COMPLIANCE OFFICER - BD | NA | Control |
| HENOCH, LISA JEAN | I | CHIEF COMPLIANCE OFFICER - BD | NA | Control |
| HENOCH, LISA JEAN | I | CHIEF COMPLIANCE OFFICER - BD | NA | Control |
| HENOCH, LISA JEAN | I | CHIEF COMPLIANCE OFFICER - BD | NA | Control |
| HENOCH, LISA JEAN | I | CHIEF COMPLIANCE OFFICER - BD | NA | Control |
| HENOCH, LISA JEAN | I | CHIEF COMPLIANCE OFFICER - BD | NA | Control |
| HERREL, CHRISTOPHER FREDRIC | I | SVP | NA | |
| HERREL, CHRISTOPHER FREDRIC | I | SVP | NA | |
| HERREL, CHRISTOPHER FREDRIC | I | SVP | NA | |
| HERREL, CHRISTOPHER FREDRIC | I | SVP | NA | |
| HERREL, CHRISTOPHER FREDRIC | I | SVP | NA | |
| HERTE, BRIAN GERARD | I | SVP | NA | |
| HERTE, BRIAN GERARD | I | SROP, SVP | NA | |
| HERTE, BRIAN GERARD | I | SVP | NA | |
| HERTE, BRIAN GERARD | I | SROP, SVP | NA | |
| HERTE, BRIAN GERARD | I | SVP | NA | |
| HERTE, BRIAN GERARD | I | SVP | NA | |
| HERTE, BRIAN GERARD | I | SVP | NA | |
| HERTE, BRIAN GERARD | I | SROP, SVP | NA | |
| HERTE, BRIAN GERARD | I | SVP | NA | |
| HERTE, BRIAN GERARD | I | SROP, SVP | NA | |
| HERTE, BRIAN GERARD | I | SVP | NA | |
| HERTE, BRIAN GERARD | I | SVP | NA | |
| HERTE, BRIAN GERARD | I | SVP | NA | |
| HERTE, BRIAN GERARD | I | SVP | NA | |
| HERTE, BRIAN GERARD | I | SVP | NA | |
| HERTE, BRIAN GERARD | I | SVP | NA | |
| HIRJI, ASIF | I | DIRECTOR | NA | Control |
| IRACI, JOSEPH A | I | CHIEF RISK OFFICER | NA | Control |
| IRACI, JOSEPH A | I | CHIEF RISK OFFICER | NA | Control |
| IRACI, JOSEPH A | I | CHIEF RISK OFFICER | NA | Control |
| IRACI, JOSEPH A | I | CHIEF RISK OFFICER | NA | Control |
| IRACI, JOSEPH A | I | CHIEF RISK OFFICER | NA | Control |
| IRACI, JOSEPH A | I | CHIEF RISK OFFICER | NA | Control |
| IRACI, JOSEPH A | I | CHIEF RISK OFFICER | NA | Control |
| IRACI, JOSEPH A | I | CHIEF RISK OFFICER | NA | Control |
| IRACI, JOSEPH A | I | CHIEF RISK OFFICER | NA | Control |
| IRACI, JOSEPH A | I | CHIEF RISK OFFICER | NA | Control |
| KIMM, DAVID ROBERT | I | CHIEF RISK OFFICER | NA | Control |
| KIMM, DAVID ROBERT | I | CHIEF RISK OFFICER | NA | Control |
| KIMM, DAVID ROBERT | I | CHIEF RISK OFFICER | NA | Control |
| KIMM, DAVID ROBERT | I | CHIEF RISK OFFICER | NA | Control |
| KIMM, DAVID ROBERT | I | CHIEF RISK OFFICER | NA | Control |
| KIMM, DAVID ROBERT | I | CHIEF RISK OFFICER | NA | Control |
| KIMM, DAVID ROBERT | I | CHIEF RISK OFFICER | NA | Control |
| KIMM, DAVID ROBERT | I | CHIEF RISK OFFICER | NA | Control |
| KIMM, DAVID ROBERT | I | CHIEF RISK OFFICER | NA | Control |
| KIMM, DAVID ROBERT | I | CHIEF RISK OFFICER | NA | Control |
| KIMM, DAVID ROBERT | I | CHIEF RISK OFFICER | NA | Control |
| KIMM, DAVID ROBERT | I | CHIEF RISK OFFICER | NA | Control |
| KIMM, DAVID ROBERT | I | CHIEF RISK OFFICER | NA | Control |
| KIMM, DAVID ROBERT | I | CHIEF RISK OFFICER | NA | Control |
| KIMM, DAVID ROBERT | I | CHIEF RISK OFFICER | NA | Control |
| KIMM, DAVID ROBERT | I | CHIEF RISK OFFICER | NA | Control |
| KIMM, DAVID ROBERT | I | CHIEF RISK OFFICER | NA | Control |
| KIMM, DAVID ROBERT | I | CHIEF RISK OFFICER | NA | Control |
| KIMM, DAVID ROBERT | I | CHIEF RISK OFFICER | NA | Control |
| KIMM, DAVID ROBERT | I | CHIEF RISK OFFICER | NA | Control |
| KIMM, DAVID ROBERT | I | CHIEF RISK OFFICER | NA | Control |
| KIMM, DAVID ROBERT | I | CHIEF RISK OFFICER | NA | Control |
| KIMM, DAVID ROBERT | I | CHIEF RISK OFFICER | NA | Control |
| KIMM, DAVID ROBERT | I | CHIEF RISK OFFICER | NA | Control |
| KIMM, DAVID ROBERT | I | CHIEF RISK OFFICER | NA | Control |
| KIMM, DAVID ROBERT | I | CHIEF RISK OFFICER | NA | Control |
| KIMM, DAVID ROBERT | I | CHIEF RISK OFFICER | NA | Control |
| KIMM, DAVID ROBERT | I | CHIEF RISK OFFICER | NA | Control |
| KIMM, DAVID ROBERT | I | CHIEF RISK OFFICER | NA | Control |
| KIMM, DAVID ROBERT | I | CHIEF RISK OFFICER | NA | Control |
| KIMM, DAVID ROBERT | I | CHIEF RISK OFFICER | NA | Control |
| KIMM, DAVID ROBERT | I | CHIEF RISK OFFICER | NA | Control |
| KIMM, DAVID ROBERT | I | CHIEF RISK OFFICER | NA | Control |
| KIMM, DAVID ROBERT | I | CHIEF RISK OFFICER | NA | Control |
| KIMM, DAVID ROBERT | I | CHIEF RISK OFFICER | NA | Control |
| KIMM, DAVID ROBERT | I | CHIEF RISK OFFICER | NA | Control |
| KIMM, DAVID ROBERT | I | CHIEF RISK OFFICER | NA | Control |
| KIMM, DAVID ROBERT | I | CHIEF RISK OFFICER | NA | Control |
| KIMM, DAVID ROBERT | I | CHIEF RISK OFFICER | NA | Control |
| KIMM, DAVID ROBERT | I | CHIEF RISK OFFICER | NA | Control |
| KIMM, DAVID ROBERT | I | CHIEF RISK OFFICER | NA | Control |
| KIMM, DAVID ROBERT | I | CHIEF RISK OFFICER | NA | Control |
| KIMM, DAVID ROBERT | I | CHIEF RISK OFFICER | NA | Control |
| KIMM, DAVID ROBERT | I | CHIEF RISK OFFICER | NA | Control |
| KIMM, DAVID ROBERT | I | CHIEF RISK OFFICER | NA | Control |
| KIMM, DAVID ROBERT | I | CHIEF RISK OFFICER | NA | Control |
| KIMM, DAVID ROBERT | I | CHIEF RISK OFFICER | NA | Control |
| KIMM, DAVID ROBERT | I | CHIEF RISK OFFICER | NA | Control |
| KIMM, DAVID ROBERT | I | CHIEF RISK OFFICER | NA | Control |
| KIMM, DAVID ROBERT | I | CHIEF RISK OFFICER | NA | Control |
| KIMM, DAVID ROBERT | I | CHIEF RISK OFFICER | NA | Control |
| KIMM, DAVID ROBERT | I | CHIEF RISK OFFICER | NA | Control |
| KIMM, DAVID ROBERT | I | CHIEF RISK OFFICER | NA | Control |
| KIMM, DAVID ROBERT | I | CHIEF RISK OFFICER | NA | Control |
| KIMM, DAVID ROBERT | I | CHIEF RISK OFFICER | NA | Control |
| KIMM, DAVID ROBERT | I | CHIEF RISK OFFICER | NA | Control |
| KIMM, DAVID ROBERT | I | CHIEF RISK OFFICER | NA | Control |
| KIMM, DAVID ROBERT | I | CHIEF RISK OFFICER | NA | Control |
| KIMM, DAVID ROBERT | I | CHIEF RISK OFFICER | NA | Control |
| KIMM, DAVID ROBERT | I | CHIEF RISK OFFICER | NA | Control |
| KIMM, DAVID ROBERT | I | CHIEF RISK OFFICER | NA | Control |
| KIMM, DAVID ROBERT | I | CHIEF RISK OFFICER | NA | Control |
| KLENA, MICHAEL SIMION | I | SVP | NA | |
| KONOP, LYNN MARIE | I | CHIEF COMPLIANCE OFFFICER - BD | NA | Control |
| KONOP, LYNN MARIE | I | CHIEF COMPLIANCE OFFICER - RIA | NA | Control |
| KONOP, LYNN MARIE | I | CHIEF COMPLIANCE OFFFICER - BD | NA | Control |
| KONOP, LYNN MARIE | I | CHIEF COMPLIANCE OFFICER - RIA | NA | Control |
| KONOP, LYNN MARIE | I | CHIEF COMPLIANCE OFFFICER - BD | NA | Control |
| KONOP, LYNN MARIE | I | CHIEF COMPLIANCE OFFICER - RIA | NA | Control |
| KONOP, LYNN MARIE | I | CHIEF COMPLIANCE OFFFICER - BD | NA | Control |
| KONOP, LYNN MARIE | I | CHIEF COMPLIANCE OFFICER - RIA | NA | Control |
| KONOP, LYNN MARIE | I | CHIEF COMPLIANCE OFFFICER - BD | NA | Control |
| KONOP, LYNN MARIE | I | CHIEF COMPLIANCE OFFICER - RIA | NA | Control |
| KONOP, LYNN MARIE | I | CHIEF COMPLIANCE OFFFICER - BD | NA | Control |
| KONOP, LYNN MARIE | I | CHIEF COMPLIANCE OFFICER - RIA | NA | Control |
| KONOP, LYNN MARIE | I | CHIEF COMPLIANCE OFFFICER - BD | NA | Control |
| KONOP, LYNN MARIE | I | CHIEF COMPLIANCE OFFICER - RIA | NA | Control |
| KONOP, LYNN MARIE | I | CHIEF COMPLIANCE OFFFICER - BD | NA | Control |
| KONOP, LYNN MARIE | I | CHIEF COMPLIANCE OFFICER - RIA | NA | Control |
| KONOP, LYNN MARIE | I | CHIEF COMPLIANCE OFFFICER - BD | NA | Control |
| KONOP, LYNN MARIE | I | CHIEF COMPLIANCE OFFICER - RIA | NA | Control |
| KONOP, LYNN MARIE | I | CHIEF COMPLIANCE OFFFICER - BD | NA | Control |
| KONOP, LYNN MARIE | I | CHIEF COMPLIANCE OFFICER - RIA | NA | Control |
| LANG, JEFFREY ANDREW | I | CHIEF COMPLIANCE OFFICER - RIA | NA | |
| LANG, JEFFREY ANDREW | I | CHIEF COMPLIANCE OFFICER - RIA | NA | |
| LAU, PATRICIA PO CHUI | I | CFO | NA | |
| LAU, PATRICIA PO CHUI | I | CFO | NA | |
| LAU, PATRICIA PO CHUI | I | CFO | NA | |
| MACDONALD, JOHN RANALD | I | DIRECTOR | NA | Control |
| MACDONALD, JOHN RANALD | I | DIRECTOR | NA | Control |
| MANJI, MOHAMED R | I | SVP INTERNAL AUDIT | NA | |
| MCDONALD, STEPHEN DOUGLAS | I | DIRECTOR | NA | Control |
| METZGER, BARRY SCOTT | I | PRESIDENT | NA | Control |
| METZGER, BARRY SCOTT | I | PRESIDENT | NA | Control |
| METZGER, BARRY SCOTT | I | PRESIDENT | NA | Control |
| METZGER, BARRY SCOTT | I | PRESIDENT | NA | Control |
| MILLER, RANDALL MARK | I | EVP MARKETING | NA | |
| MURPHY, MICHAEL JOSPEH JR | I | SVP | NA | |
| NALLY, THOMAS ANDREW JR | I | EVP, INSTITUTIONAL SERVICES, DIRECTOR | NA | Control |
| NALLY, THOMAS ANDREW JR | I | EVP, INSTITUTIONAL SERVICES, DIRECTOR | NA | Control |
| NALLY, THOMAS ANDREW JR | I | EVP, INSTITUTIONAL SERVICES, DIRECTOR | NA | Control |
| NALLY, THOMAS ANDREW JR | I | EVP, INSTITUTIONAL SERVICES, DIRECTOR | NA | Control |
| NALLY, THOMAS ANDREW JR | I | EVP, INSTITUTIONAL SERVICES, DIRECTOR | NA | Control |
| NALLY, THOMAS ANDREW JR | I | EVP, INSTITUTIONAL SERVICES, DIRECTOR | NA | Control |
| NALLY, THOMAS ANDREW JR | I | EVP, INSTITUTIONAL SERVICES, DIRECTOR | NA | Control |
| NALLY, THOMAS ANDREW JR | I | EVP, INSTITUTIONAL SERVICES, DIRECTOR | NA | Control |
| NALLY, THOMAS ANDREW JR | I | EVP, INSTITUTIONAL SERVICES, DIRECTOR | NA | Control |
| NALLY, THOMAS ANDREW JR | I | EVP, INSTITUTIONAL SERVICES, DIRECTOR | NA | Control |
| NALLY, THOMAS ANDREW JR | I | EVP, INSTITUTIONAL SERVICES, DIRECTOR | NA | Control |
| NALLY, THOMAS ANDREW JR | I | EVP, INSTITUTIONAL SERVICES, DIRECTOR | NA | Control |
| NALLY, THOMAS ANDREW JR | I | EVP, INSTITUTIONAL SERVICES, DIRECTOR | NA | Control |
| NALLY, THOMAS ANDREW JR | I | EVP, INSTITUTIONAL SERVICES, DIRECTOR | NA | Control |
| NALLY, THOMAS ANDREW JR | I | EVP, INSTITUTIONAL SERVICES, DIRECTOR | NA | Control |
| NALLY, THOMAS ANDREW JR | I | EVP, INSTITUTIONAL SERVICES, DIRECTOR | NA | Control |
| NALLY, THOMAS ANDREW JR | I | EVP, INSTITUTIONAL SERVICES, DIRECTOR | NA | Control |
| NALLY, THOMAS ANDREW JR | I | EVP, INSTITUTIONAL SERVICES, DIRECTOR | NA | Control |
| NALLY, THOMAS ANDREW JR | I | EVP, INSTITUTIONAL SERVICES, DIRECTOR | NA | Control |
| NALLY, THOMAS ANDREW JR | I | EVP, INSTITUTIONAL SERVICES, DIRECTOR | NA | Control |
| NALLY, THOMAS ANDREW JR | I | EVP, INSTITUTIONAL SERVICES, DIRECTOR | NA | Control |
| NALLY, THOMAS ANDREW JR | I | EVP, INSTITUTIONAL SERVICES, DIRECTOR | NA | Control |
| NALLY, THOMAS ANDREW JR | I | EVP, INSTITUTIONAL SERVICES, DIRECTOR | NA | Control |
| NALLY, THOMAS ANDREW JR | I | EVP, INSTITUTIONAL SERVICES, DIRECTOR | NA | Control |
| NALLY, THOMAS ANDREW JR | I | EVP, INSTITUTIONAL SERVICES, DIRECTOR | NA | Control |
| NALLY, THOMAS ANDREW JR | I | EVP, INSTITUTIONAL SERVICES, DIRECTOR | NA | Control |
| NALLY, THOMAS ANDREW JR | I | EVP, INSTITUTIONAL SERVICES, DIRECTOR | NA | Control |
| NALLY, THOMAS ANDREW JR | I | EVP, INSTITUTIONAL SERVICES, DIRECTOR | NA | Control |
| NALLY, THOMAS ANDREW JR | I | EVP, INSTITUTIONAL SERVICES, DIRECTOR | NA | Control |
| NALLY, THOMAS ANDREW JR | I | EVP, INSTITUTIONAL SERVICES, DIRECTOR | NA | Control |
| NALLY, THOMAS ANDREW JR | I | EVP, INSTITUTIONAL SERVICES, DIRECTOR | NA | Control |
| NALLY, THOMAS ANDREW JR | I | EVP, INSTITUTIONAL SERVICES, DIRECTOR | NA | Control |
| NALLY, THOMAS ANDREW JR | I | EVP, INSTITUTIONAL SERVICES, DIRECTOR | NA | Control |
| NALLY, THOMAS ANDREW JR | I | EVP, INSTITUTIONAL SERVICES, DIRECTOR | NA | Control |
| NALLY, THOMAS ANDREW JR | I | EVP, INSTITUTIONAL SERVICES, DIRECTOR | NA | Control |
| NALLY, THOMAS ANDREW JR | I | EVP, INSTITUTIONAL SERVICES, DIRECTOR | NA | Control |
| NALLY, THOMAS ANDREW JR | I | EVP, INSTITUTIONAL SERVICES, DIRECTOR | NA | Control |
| NALLY, THOMAS ANDREW JR | I | EVP, INSTITUTIONAL SERVICES, DIRECTOR | NA | Control |
| NALLY, THOMAS ANDREW JR | I | EVP, INSTITUTIONAL SERVICES, DIRECTOR | NA | Control |
| NALLY, THOMAS ANDREW JR | I | EVP, INSTITUTIONAL SERVICES, DIRECTOR | NA | Control |
| NALLY, THOMAS ANDREW JR | I | EVP, INSTITUTIONAL SERVICES, DIRECTOR | NA | Control |
| NALLY, THOMAS ANDREW JR | I | EVP, INSTITUTIONAL SERVICES, DIRECTOR | NA | Control |
| NALLY, THOMAS ANDREW JR | I | EVP, INSTITUTIONAL SERVICES, DIRECTOR | NA | Control |
| NALLY, THOMAS ANDREW JR | I | EVP, INSTITUTIONAL SERVICES, DIRECTOR | NA | Control |
| NALLY, THOMAS ANDREW JR | I | EVP, INSTITUTIONAL SERVICES, DIRECTOR | NA | Control |
| NALLY, THOMAS ANDREW JR | I | EVP, INSTITUTIONAL SERVICES, DIRECTOR | NA | Control |
| NALLY, THOMAS ANDREW JR | I | EVP, INSTITUTIONAL SERVICES, DIRECTOR | NA | Control |
| NALLY, THOMAS ANDREW JR | I | EVP, INSTITUTIONAL SERVICES, DIRECTOR | NA | Control |
| NALLY, THOMAS ANDREW JR | I | EVP, INSTITUTIONAL SERVICES, DIRECTOR | NA | Control |
| NALLY, THOMAS ANDREW JR | I | EVP, INSTITUTIONAL SERVICES, DIRECTOR | NA | Control |
| NEIMAN, RICHARD HOWARD | I | DIRECTOR, GENERAL COUNSEL | NA | Control |
| NEIMAN, RICHARD HOWARD | I | DIRECTOR, GENERAL COUNSEL | NA | Control |
| NEIMAN, RICHARD HOWARD | I | DIRECTOR, GENERAL COUNSEL | NA | Control |
| NEIMAN, RICHARD HOWARD | I | DIRECTOR, GENERAL COUNSEL | NA | Control |
| NEIMAN, RICHARD HOWARD | I | DIRECTOR, GENERAL COUNSEL | NA | Control |
| NEIMAN, RICHARD HOWARD | I | DIRECTOR, GENERAL COUNSEL | NA | Control |
| NEIMAN, RICHARD HOWARD | I | DIRECTOR, GENERAL COUNSEL | NA | Control |
| NEIMAN, RICHARD HOWARD | I | DIRECTOR, GENERAL COUNSEL | NA | Control |
| NEIMAN, RICHARD HOWARD | I | DIRECTOR, GENERAL COUNSEL | NA | Control |
| NEIMAN, RICHARD HOWARD | I | DIRECTOR, GENERAL COUNSEL | NA | Control |
| NEIMAN, RICHARD HOWARD | I | DIRECTOR, GENERAL COUNSEL | NA | Control |
| PETERSON, JON C | I | CHIEF FINANCIAL OFFICER/FINOP/DIRECTOR | NA | Control |
| PETERSON, JON C | I | CHIEF FINANCIAL OFFICER/FINOP/DIRECTOR | NA | Control |
| PETERSON, JON C | I | CHIEF FINANCIAL OFFICER/FINOP/DIRECTOR | NA | Control |
| PETERSON, JON C | I | CHIEF FINANCIAL OFFICER/FINOP/DIRECTOR | NA | Control |
| PETERSON, JON C | I | CHIEF FINANCIAL OFFICER/FINOP/DIRECTOR | NA | Control |
| PETERSON, JON C | I | CHIEF FINANCIAL OFFICER/FINOP/DIRECTOR | NA | Control |
| PETERSON, JON C | I | CHIEF FINANCIAL OFFICER/FINOP/DIRECTOR | NA | Control |
| PETERSON, JON C | I | CHIEF FINANCIAL OFFICER/FINOP/DIRECTOR | NA | Control |
| PETERSON, JON C | I | CHIEF FINANCIAL OFFICER/FINOP/DIRECTOR | NA | Control |
| PETERSON, JON C | I | CHIEF FINANCIAL OFFICER/FINOP/DIRECTOR | NA | Control |
| PETERSON, JON C | I | CHIEF FINANCIAL OFFICER/FINOP/DIRECTOR | NA | Control |
| PETRILLI, FRANK JOSEPH | I | DIRECTOR, CHAIRMAN | NA | Control |
| PETRILLI, FRANK JOSEPH | I | DIRECTOR, CHAIRMAN | NA | Control |
| PETRILLI, FRANK JOSEPH | I | DIRECTOR, CHAIRMAN | NA | Control |
| PETRILLI, FRANK JOSEPH | I | DIRECTOR, CHAIRMAN | NA | Control |
| PETRILLI, FRANK JOSEPH | I | DIRECTOR, CHAIRMAN | NA | Control |
| PINNINGTON, TIMOTHY PETER | I | PRESIDENT, CEO, CHAIRMAN | NA | Control |
| PINNINGTON, TIMOTHY PETER | I | PRESIDENT, CEO, CHAIRMAN | NA | Control |
| PINNINGTON, TIMOTHY PETER | I | PRESIDENT, CEO, CHAIRMAN | NA | Control |
| POWELL, JAMES ANTHONY | I | TREASURER | NA | Control |
| POWELL, JAMES ANTHONY | I | TREASURER | NA | Control |
| POWELL, JAMES ANTHONY | I | TREASURER | NA | Control |
| POWELL, JAMES ANTHONY | I | TREASURER | NA | Control |
| POWELL, JAMES ANTHONY | I | TREASURER | NA | Control |
| POWELL, JAMES ANTHONY | I | TREASURER | NA | Control |
| POWELL, JAMES ANTHONY | I | TREASURER | NA | Control |
| POWELL, JAMES ANTHONY | I | TREASURER | NA | Control |
| POWELL, JAMES ANTHONY | I | TREASURER | NA | Control |
| POWELL, JAMES ANTHONY | I | TREASURER | NA | Control |
| POWELL, JAMES ANTHONY | I | TREASURER | NA | Control |
| POWELL, JAMES ANTHONY | I | TREASURER | NA | Control |
| POWELL, JAMES ANTHONY | I | TREASURER | NA | Control |
| POWELL, JAMES ANTHONY | I | TREASURER | NA | Control |
| POWELL, JAMES ANTHONY | I | TREASURER | NA | Control |
| POWELL, JAMES ANTHONY | I | TREASURER | NA | Control |
| QUERCIA, THOMAS FRANCIS | I | SROP, SVP | NA | |
| QUERCIA, THOMAS FRANCIS | I | SROP, SVP | NA | |
| QUERCIA, THOMAS FRANCIS | I | SROP, SVP | NA | |
| QUERCIA, THOMAS FRANCIS | I | SROP, SVP | NA | |
| QUERCIA, THOMAS FRANCIS | I | SROP, SVP | NA | |
| QUERCIA, THOMAS FRANCIS | I | SROP, SVP | NA | |
| QUERCIA, THOMAS FRANCIS | I | SROP, SVP | NA | |
| QUERCIA, THOMAS FRANCIS | I | SROP, SVP | NA | |
| QUIRK, STEVE MARK | I | SVP, TRADER GROUP | NA | Control |
| QUIRK, STEVE MARK | I | SVP, TRADER GROUP | NA | Control |
| QUIRK, STEVE MARK | I | SVP, TRADER GROUP | NA | Control |
| QUIRK, STEVE MARK | I | SVP, TRADER GROUP | NA | Control |
| QUIRK, STEVE MARK | I | SVP, TRADER GROUP | NA | Control |
| QUIRK, STEVE MARK | I | SVP, TRADER GROUP | NA | Control |
| QUIRK, STEVE MARK | I | SVP, TRADER GROUP | NA | Control |
| QUIRK, STEVE MARK | I | SVP, TRADER GROUP | NA | Control |
| QUIRK, STEVE MARK | I | SVP, TRADER GROUP | NA | Control |
| QUIRK, STEVE MARK | I | SVP, TRADER GROUP | NA | Control |
| QUIRK, STEVE MARK | I | SVP, TRADER GROUP | NA | Control |
| QUIRK, STEVE MARK | I | SVP, TRADER GROUP | NA | Control |
| QUIRK, STEVE MARK | I | SVP, TRADER GROUP | NA | Control |
| QUIRK, STEVE MARK | I | SVP, TRADER GROUP | NA | Control |
| QUIRK, STEVE MARK | I | SVP, TRADER GROUP | NA | Control |
| QUIRK, STEVE MARK | I | SVP, TRADER GROUP | NA | Control |
| QUIRK, STEVE MARK | I | SVP, TRADER GROUP | NA | Control |
| QUIRK, STEVE MARK | I | SVP, TRADER GROUP | NA | Control |
| QUIRK, STEVE MARK | I | SVP, TRADER GROUP | NA | Control |
| QUIRK, STEVE MARK | I | SVP, TRADER GROUP | NA | Control |
| QUIRK, STEVE MARK | I | SVP, TRADER GROUP | NA | Control |
| QUIRK, STEVE MARK | I | SVP, TRADER GROUP | NA | Control |
| QUIRK, STEVE MARK | I | SVP, TRADER GROUP | NA | Control |
| QUIRK, STEVE MARK | I | SVP, TRADER GROUP | NA | Control |
| QUIRK, STEVE MARK | I | SVP, TRADER GROUP | NA | Control |
| QUIRK, STEVE MARK | I | SVP, TRADER GROUP | NA | Control |
| QUIRK, STEVE MARK | I | SVP, TRADER GROUP | NA | Control |
| QUIRK, STEVE MARK | I | SVP, TRADER GROUP | NA | Control |
| QUIRK, STEVE MARK | I | SVP, TRADER GROUP | NA | Control |
| QUIRK, STEVE MARK | I | SVP, TRADER GROUP | NA | Control |
| QUIRK, STEVE MARK | I | SVP, TRADER GROUP | NA | Control |
| QUIRK, STEVE MARK | I | SVP, TRADER GROUP | NA | Control |
| QUIRK, STEVE MARK | I | SVP, TRADER GROUP | NA | Control |
| QUIRK, STEVE MARK | I | SVP, TRADER GROUP | NA | Control |
| QUIRK, STEVE MARK | I | SVP, TRADER GROUP | NA | Control |
| QUIRK, STEVE MARK | I | SVP, TRADER GROUP | NA | Control |
| QUIRK, STEVE MARK | I | SVP, TRADER GROUP | NA | Control |
| QUIRK, STEVE MARK | I | SVP, TRADER GROUP | NA | Control |
| QUIRK, STEVE MARK | I | SVP, TRADER GROUP | NA | Control |
| QUIRK, STEVE MARK | I | SVP, TRADER GROUP | NA | Control |
| QUIRK, STEVE MARK | I | SVP, TRADER GROUP | NA | Control |
| QUIRK, STEVE MARK | I | SVP, TRADER GROUP | NA | Control |
| QUIRK, STEVE MARK | I | SVP, TRADER GROUP | NA | Control |
| QUIRK, STEVE MARK | I | SVP, TRADER GROUP | NA | Control |
| QUIRK, STEVE MARK | I | SVP, TRADER GROUP | NA | Control |
| QUIRK, STEVE MARK | I | SVP, TRADER GROUP | NA | Control |
| QUIRK, STEVE MARK | I | SVP, TRADER GROUP | NA | Control |
| QUIRK, STEVE MARK | I | SVP, TRADER GROUP | NA | Control |
| QUIRK, STEVE MARK | I | SVP, TRADER GROUP | NA | Control |
| QUIRK, STEVE MARK | I | SVP, TRADER GROUP | NA | Control |
| QUIRK, STEVE MARK | I | SVP, TRADER GROUP | NA | Control |
| QUIRK, STEVE MARK | I | SVP, TRADER GROUP | NA | Control |
| QUIRK, STEVE MARK | I | SVP, TRADER GROUP | NA | Control |
| QUIRK, STEVE MARK | I | SVP, TRADER GROUP | NA | Control |
| QUIRK, STEVE MARK | I | SVP, TRADER GROUP | NA | Control |
| QUIRK, STEVE MARK | I | SVP, TRADER GROUP | NA | Control |
| QUIRK, STEVE MARK | I | SVP, TRADER GROUP | NA | Control |
| QUIRK, STEVE MARK | I | SVP, TRADER GROUP | NA | Control |
| QUIRK, STEVE MARK | I | SVP, TRADER GROUP | NA | Control |
| RICKETTS, JUDITH KOHOSKIE | I | VP, MANAGING DIRECTOR, OPERATIONS-BD | NA | Control |
| RICKETTS, JUDITH KOHOSKIE | I | VP, MANAGING DIRECTOR, OPERATIONS-BD | NA | Control |
| RICKETTS, JUDITH KOHOSKIE | I | VP, MANAGING DIRECTOR, OPERATIONS-BD | NA | Control |
| RICKETTS, JUDITH KOHOSKIE | I | VP, MANAGING DIRECTOR, OPERATIONS-BD | NA | Control |
| RICKETTS, JUDITH KOHOSKIE | I | VP, MANAGING DIRECTOR, OPERATIONS-BD | NA | Control |
| RICKETTS, JUDITH KOHOSKIE | I | VP, MANAGING DIRECTOR, OPERATIONS-BD | NA | Control |
| RICKETTS, JUDITH KOHOSKIE | I | VP, MANAGING DIRECTOR, OPERATIONS-BD | NA | Control |
| RICKETTS, JUDITH KOHOSKIE | I | VP, MANAGING DIRECTOR, OPERATIONS-BD | NA | Control |
| RICKETTS, JUDITH KOHOSKIE | I | VP, MANAGING DIRECTOR, OPERATIONS-BD | NA | Control |
| RICKETTS, JUDITH KOHOSKIE | I | VP, MANAGING DIRECTOR, OPERATIONS-BD | NA | Control |
| RICKETTS, JUDITH KOHOSKIE | I | VP, MANAGING DIRECTOR, OPERATIONS-BD | NA | Control |
| RICKETTS, JUDITH KOHOSKIE | I | VP, MANAGING DIRECTOR, OPERATIONS-BD | NA | Control |
| RICKETTS, JUDITH KOHOSKIE | I | VP, MANAGING DIRECTOR, OPERATIONS-BD | NA | Control |
| RICKETTS, JUDITH KOHOSKIE | I | VP, MANAGING DIRECTOR, OPERATIONS-BD | NA | Control |
| RICKETTS, JUDITH KOHOSKIE | I | VP, MANAGING DIRECTOR, OPERATIONS-BD | NA | Control |
| RICKETTS, JUDITH KOHOSKIE | I | VP, MANAGING DIRECTOR, OPERATIONS-BD | NA | Control |
| RICKETTS, JUDITH KOHOSKIE | I | VP, MANAGING DIRECTOR, OPERATIONS-BD | NA | Control |
| RICKETTS, JUDITH KOHOSKIE | I | VP, MANAGING DIRECTOR, OPERATIONS-BD | NA | Control |
| RICKETTS, JUDITH KOHOSKIE | I | VP, MANAGING DIRECTOR, OPERATIONS-BD | NA | Control |
| RICKETTS, JUDITH KOHOSKIE | I | VP, MANAGING DIRECTOR, OPERATIONS-BD | NA | Control |
| RZASA, RICHARD JOHN | I | EVP INFORMATION SERVICES | NA | |
| RZASA, RICHARD JOHN | I | EVP INFORMATION SERVICES | NA | |
| RZASA, RICHARD JOHN | I | EVP INFORMATION SERVICES | NA | |
| RZASA, RICHARD JOHN | I | EVP INFORMATION SERVICES | NA | |
| RZASA, RICHARD JOHN | I | EVP INFORMATION SERVICES | NA | |
| RZASA, RICHARD JOHN | I | EVP INFORMATION SERVICES | NA | |
| RZASA, RICHARD JOHN | I | EVP INFORMATION SERVICES | NA | |
| RZASA, RICHARD JOHN | I | EVP INFORMATION SERVICES | NA | |
| RZASA, RICHARD JOHN | I | EVP INFORMATION SERVICES | NA | |
| RZASA, RICHARD JOHN | I | EVP INFORMATION SERVICES | NA | |
| RZASA, RICHARD JOHN | I | EVP INFORMATION SERVICES | NA | |
| SCHWEISS, ALBERT GEORGE | I | SVP, CORPORATE SERVICES | NA | Control |
| SCHWEISS, ALBERT GEORGE | I | SVP, CORPORATE SERVICES | NA | Control |
| SCHWEISS, ALBERT GEORGE | I | SVP, CORPORATE SERVICES | NA | Control |
| SCHWEISS, ALBERT GEORGE | I | SVP, CORPORATE SERVICES | NA | Control |
| SCHWEISS, ALBERT GEORGE | I | SVP, CORPORATE SERVICES | NA | Control |
| SCHWEISS, ALBERT GEORGE | I | SVP, CORPORATE SERVICES | NA | Control |
| SCHWEISS, ALBERT GEORGE | I | SVP, CORPORATE SERVICES | NA | Control |
| SCHWEISS, ALBERT GEORGE | I | SVP, CORPORATE SERVICES | NA | Control |
| SCHWEISS, ALBERT GEORGE | I | SVP, CORPORATE SERVICES | NA | Control |
| SCHWEISS, ALBERT GEORGE | I | SVP, CORPORATE SERVICES | NA | Control |
| SCHWEISS, ALBERT GEORGE | I | SVP, CORPORATE SERVICES | NA | Control |
| SCHWEISS, ALBERT GEORGE | I | SVP, CORPORATE SERVICES | NA | Control |
| SCHWEISS, ALBERT GEORGE | I | SVP, CORPORATE SERVICES | NA | Control |
| SCHWEISS, ALBERT GEORGE | I | SVP, CORPORATE SERVICES | NA | Control |
| SCHWEISS, ALBERT GEORGE | I | SVP, CORPORATE SERVICES | NA | Control |
| SCHWEISS, ALBERT GEORGE | I | SVP, CORPORATE SERVICES | NA | Control |
| SCHWEISS, ALBERT GEORGE | I | SVP, CORPORATE SERVICES | NA | Control |
| SCHWEISS, ALBERT GEORGE | I | SVP, CORPORATE SERVICES | NA | Control |
| SCHWEISS, ALBERT GEORGE | I | SVP, CORPORATE SERVICES | NA | Control |
| SCHWEISS, ALBERT GEORGE | I | SVP, CORPORATE SERVICES | NA | Control |
| SCHWEISS, ALBERT GEORGE | I | SVP, CORPORATE SERVICES | NA | Control |
| SCHWEISS, ALBERT GEORGE | I | SVP, CORPORATE SERVICES | NA | Control |
| SCHWEISS, ALBERT GEORGE | I | SVP, CORPORATE SERVICES | NA | Control |
| SCHWEISS, ALBERT GEORGE | I | SVP, CORPORATE SERVICES | NA | Control |
| SCHWEISS, ALBERT GEORGE | I | SVP, CORPORATE SERVICES | NA | Control |
| SCHWEISS, ALBERT GEORGE | I | SVP, CORPORATE SERVICES | NA | Control |
| SCHWEISS, ALBERT GEORGE | I | SVP, CORPORATE SERVICES | NA | Control |
| SCHWEISS, ALBERT GEORGE | I | SVP, CORPORATE SERVICES | NA | Control |
| SCHWEISS, ALBERT GEORGE | I | SVP, CORPORATE SERVICES | NA | Control |
| SCHWEISS, ALBERT GEORGE | I | SVP, CORPORATE SERVICES | NA | Control |
| SCHWEISS, ALBERT GEORGE | I | SVP, CORPORATE SERVICES | NA | Control |
| SCHWEISS, ALBERT GEORGE | I | SVP, CORPORATE SERVICES | NA | Control |
| SCHWEISS, ALBERT GEORGE | I | SVP, CORPORATE SERVICES | NA | Control |
| SCHWEISS, ALBERT GEORGE | I | SVP, CORPORATE SERVICES | NA | Control |
| SCHWEISS, ALBERT GEORGE | I | SVP, CORPORATE SERVICES | NA | Control |
| SCHWEISS, ALBERT GEORGE | I | SVP, CORPORATE SERVICES | NA | Control |
| SCHWEISS, ALBERT GEORGE | I | SVP, CORPORATE SERVICES | NA | Control |
| SCHWEISS, ALBERT GEORGE | I | SVP, CORPORATE SERVICES | NA | Control |
| SCHWEISS, ALBERT GEORGE | I | SVP, CORPORATE SERVICES | NA | Control |
| SCHWEISS, ALBERT GEORGE | I | SVP, CORPORATE SERVICES | NA | Control |
| SCHWEISS, ALBERT GEORGE | I | SVP, CORPORATE SERVICES | NA | Control |
| SCHWEISS, ALBERT GEORGE | I | SVP, CORPORATE SERVICES | NA | Control |
| SCHWEISS, ALBERT GEORGE | I | SVP, CORPORATE SERVICES | NA | Control |
| SCHWEISS, ALBERT GEORGE | I | SVP, CORPORATE SERVICES | NA | Control |
| SCHWEISS, ALBERT GEORGE | I | SVP, CORPORATE SERVICES | NA | Control |
| SCHWEISS, ALBERT GEORGE | I | SVP, CORPORATE SERVICES | NA | Control |
| SCHWEISS, ALBERT GEORGE | I | SVP, CORPORATE SERVICES | NA | Control |
| SCHWEISS, ALBERT GEORGE | I | SVP, CORPORATE SERVICES | NA | Control |
| SCHWEISS, ALBERT GEORGE | I | SVP, CORPORATE SERVICES | NA | Control |
| SCHWEISS, ALBERT GEORGE | I | SVP, CORPORATE SERVICES | NA | Control |
| SCHWEISS, ALBERT GEORGE | I | SVP, CORPORATE SERVICES | NA | Control |
| SCHWEISS, ALBERT GEORGE | I | SVP, CORPORATE SERVICES | NA | Control |
| SCHWEISS, ALBERT GEORGE | I | SVP, CORPORATE SERVICES | NA | Control |
| SCHWEISS, ALBERT GEORGE | I | SVP, CORPORATE SERVICES | NA | Control |
| SCHWEISS, ALBERT GEORGE | I | SVP, CORPORATE SERVICES | NA | Control |
| SCHWEISS, ALBERT GEORGE | I | SVP, CORPORATE SERVICES | NA | Control |
| SCHWEISS, ALBERT GEORGE | I | SVP, CORPORATE SERVICES | NA | Control |
| SCHWEISS, ALBERT GEORGE | I | SVP, CORPORATE SERVICES | NA | Control |
| SCHWEISS, ALBERT GEORGE | I | SVP, CORPORATE SERVICES | NA | Control |
| SCHWEISS, ALBERT GEORGE | I | SVP, CORPORATE SERVICES | NA | Control |
| SCHWEISS, ALBERT GEORGE | I | SVP, CORPORATE SERVICES | NA | Control |
| SCHWEISS, ALBERT GEORGE | I | SVP, CORPORATE SERVICES | NA | Control |
| SCHWEISS, ALBERT GEORGE | I | SVP, CORPORATE SERVICES | NA | Control |
| SCHWEISS, ALBERT GEORGE | I | SVP, CORPORATE SERVICES | NA | Control |
| SCHWEISS, ALBERT GEORGE | I | SVP, CORPORATE SERVICES | NA | Control |
| SCHWEISS, ALBERT GEORGE | I | SVP, CORPORATE SERVICES | NA | Control |
| SCHWEISS, ALBERT GEORGE | I | SVP, CORPORATE SERVICES | NA | Control |
| SCHWEISS, ALBERT GEORGE | I | SVP, CORPORATE SERVICES | NA | Control |
| SCHWEISS, ALBERT GEORGE | I | SVP, CORPORATE SERVICES | NA | Control |
| SCHWEISS, ALBERT GEORGE | I | SVP, CORPORATE SERVICES | NA | Control |
| SCHWEISS, ALBERT GEORGE | I | SVP, CORPORATE SERVICES | NA | Control |
| SCHWEISS, ALBERT GEORGE | I | SVP, CORPORATE SERVICES | NA | Control |
| SCHWEISS, ALBERT GEORGE | I | SVP, CORPORATE SERVICES | NA | Control |
| SCHWEISS, ALBERT GEORGE | I | SVP, CORPORATE SERVICES | NA | Control |
| SERNETT, GREGORY CHARLES | I | CHIEF COMPLIANCE OFFICER - RIA | NA | Control |
| SERNETT, GREGORY CHARLES | I | CHIEF COMPLIANCE OFFICER - RIA | NA | Control |
| SERNETT, GREGORY CHARLES | I | CHIEF COMPLIANCE OFFICER - RIA | NA | Control |
| SERNETT, GREGORY CHARLES | I | CHIEF COMPLIANCE OFFICER - RIA | NA | Control |
| SERNETT, GREGORY CHARLES | I | CHIEF COMPLIANCE OFFICER - RIA | NA | Control |
| SERNETT, GREGORY CHARLES | I | CHIEF COMPLIANCE OFFICER - RIA | NA | Control |
| SERNETT, GREGORY CHARLES | I | CHIEF COMPLIANCE OFFICER - RIA | NA | Control |
| SERNETT, GREGORY CHARLES | I | CHIEF COMPLIANCE OFFICER - RIA | NA | Control |
| SERNETT, GREGORY CHARLES | I | CHIEF COMPLIANCE OFFICER - RIA | NA | Control |
| SERNETT, GREGORY CHARLES | I | CHIEF COMPLIANCE OFFICER - RIA | NA | Control |
| SERNETT, GREGORY CHARLES | I | CHIEF COMPLIANCE OFFICER - RIA | NA | Control |
| SERNETT, GREGORY CHARLES | I | CHIEF COMPLIANCE OFFICER - RIA | NA | Control |
| SERNETT, GREGORY CHARLES | I | CHIEF COMPLIANCE OFFICER - RIA | NA | Control |
| SERNETT, GREGORY CHARLES | I | CHIEF COMPLIANCE OFFICER - RIA | NA | Control |
| SERNETT, GREGORY CHARLES | I | CHIEF COMPLIANCE OFFICER - RIA | NA | Control |
| SERNETT, GREGORY CHARLES | I | CHIEF COMPLIANCE OFFICER - RIA | NA | Control |
| SERNETT, GREGORY CHARLES | I | CHIEF COMPLIANCE OFFICER - RIA | NA | Control |
| SERNETT, GREGORY CHARLES | I | CHIEF COMPLIANCE OFFICER - RIA | NA | Control |
| SERNETT, GREGORY CHARLES | I | CHIEF COMPLIANCE OFFICER - RIA | NA | Control |
| SERNETT, GREGORY CHARLES | I | CHIEF COMPLIANCE OFFICER - RIA | NA | Control |
| SERNETT, GREGORY CHARLES | I | CHIEF COMPLIANCE OFFICER - RIA | NA | Control |
| SERNETT, GREGORY CHARLES | I | CHIEF COMPLIANCE OFFICER - RIA | NA | Control |
| SERNETT, GREGORY CHARLES | I | CHIEF COMPLIANCE OFFICER - RIA | NA | Control |
| SERNETT, GREGORY CHARLES | I | CHIEF COMPLIANCE OFFICER - RIA | NA | Control |
| SERNETT, GREGORY CHARLES | I | CHIEF COMPLIANCE OFFICER - RIA | NA | Control |
| SERNETT, GREGORY CHARLES | I | CHIEF COMPLIANCE OFFICER - RIA | NA | Control |
| SERNETT, GREGORY CHARLES | I | CHIEF COMPLIANCE OFFICER - RIA | NA | Control |
| SERNETT, GREGORY CHARLES | I | CHIEF COMPLIANCE OFFICER - RIA | NA | Control |
| STARR, JEFFREY HAROLD | I | MANAGING DIRECTOR, OPERATIONS | NA | Control |
| STARR, JEFFREY HAROLD | I | MANAGING DIRECTOR, OPERATIONS | NA | Control |
| STARR, JEFFREY HAROLD | I | MANAGING DIRECTOR, OPERATIONS | NA | Control |
| STARR, JEFFREY HAROLD | I | MANAGING DIRECTOR, OPERATIONS | NA | Control |
| STERNS, BRUCE KEVIN | I | DIRECTOR, CHIEF FINANCIAL OFFICER | NA | Control |
| STERNS, BRUCE KEVIN | I | DIRECTOR, CHIEF FINANCIAL OFFICER | NA | Control |
| STERNS, BRUCE KEVIN | I | DIRECTOR, CHIEF FINANCIAL OFFICER | NA | Control |
| STERNS, BRUCE KEVIN | I | DIRECTOR, CHIEF FINANCIAL OFFICER | NA | Control |
| STERNS, BRUCE KEVIN | I | DIRECTOR, CHIEF FINANCIAL OFFICER | NA | Control |
| SULLIVAN, STACI JANE | I | VP, MANAGING DIRECTOR, OPERATIONS-BD | NA | Control |
| SULLIVAN, STACI JANE | I | VP, MANAGING DIRECTOR, OPERATIONS-BD | NA | Control |
| SULLIVAN, STACI JANE | I | VP, MANAGING DIRECTOR, OPERATIONS-BD | NA | Control |
| SULLIVAN, STACI JANE | I | VP, MANAGING DIRECTOR, OPERATIONS-BD | NA | Control |
| SULLIVAN, STACI JANE | I | VP, MANAGING DIRECTOR, OPERATIONS-BD | NA | Control |
| SULLIVAN, STACI JANE | I | VP, MANAGING DIRECTOR, OPERATIONS-BD | NA | Control |
| SULLIVAN, STACI JANE | I | VP, MANAGING DIRECTOR, OPERATIONS-BD | NA | Control |
| SULLIVAN, STACI JANE | I | VP, MANAGING DIRECTOR, OPERATIONS-BD | NA | Control |
| SULLIVAN, STACI JANE | I | VP, MANAGING DIRECTOR, OPERATIONS-BD | NA | Control |
| SULLIVAN, STACI JANE | I | VP, MANAGING DIRECTOR, OPERATIONS-BD | NA | Control |
| SULLIVAN, STACI JANE | I | VP, MANAGING DIRECTOR, OPERATIONS-BD | NA | Control |
| SULLIVAN, STACI JANE | I | VP, MANAGING DIRECTOR, OPERATIONS-BD | NA | Control |
| SULLIVAN, STACI JANE | I | VP, MANAGING DIRECTOR, OPERATIONS-BD | NA | Control |
| SULLIVAN, STACI JANE | I | VP, MANAGING DIRECTOR, OPERATIONS-BD | NA | Control |
| SULLIVAN, STACI JANE | I | VP, MANAGING DIRECTOR, OPERATIONS-BD | NA | Control |
| SULLIVAN, STACI JANE | I | VP, MANAGING DIRECTOR, OPERATIONS-BD | NA | Control |
| SULLIVAN, STACI JANE | I | VP, MANAGING DIRECTOR, OPERATIONS-BD | NA | Control |
| SULLIVAN, STACI JANE | I | VP, MANAGING DIRECTOR, OPERATIONS-BD | NA | Control |
| SULLIVAN, STACI JANE | I | VP, MANAGING DIRECTOR, OPERATIONS-BD | NA | Control |
| SULLIVAN, STACI JANE | I | VP, MANAGING DIRECTOR, OPERATIONS-BD | NA | Control |
| SULLIVAN, STACI JANE | I | VP, MANAGING DIRECTOR, OPERATIONS-BD | NA | Control |
| SULLIVAN, STACI JANE | I | VP, MANAGING DIRECTOR, OPERATIONS-BD | NA | Control |
| SULLIVAN, STACI JANE | I | VP, MANAGING DIRECTOR, OPERATIONS-BD | NA | Control |
| SULLIVAN, STACI JANE | I | VP, MANAGING DIRECTOR, OPERATIONS-BD | NA | Control |
| SULLIVAN, STACI JANE | I | VP, MANAGING DIRECTOR, OPERATIONS-BD | NA | Control |
| SULLIVAN, STACI JANE | I | VP, MANAGING DIRECTOR, OPERATIONS-BD | NA | Control |
| SULLIVAN, STACI JANE | I | VP, MANAGING DIRECTOR, OPERATIONS-BD | NA | Control |
| SULLIVAN, STACI JANE | I | VP, MANAGING DIRECTOR, OPERATIONS-BD | NA | Control |
| SULLIVAN, STACI JANE | I | VP, MANAGING DIRECTOR, OPERATIONS-BD | NA | Control |
| TEXTOR, THOMAS J | I | CHIEF COMPLIANCE OFFICER | NA | |
| TEXTOR, THOMAS JOSEPH | I | CHIEF COMPLIANCE OFFICER - BD | NA | |
| TEXTOR, THOMAS JOSEPH | I | CHIEF COMPLIANCE OFFICER - BD | NA | |
| TEXTOR, THOMAS JOSEPH | I | CHIEF COMPLIANCE OFFICER - BD | NA | |
| TEXTOR, THOMAS JOSEPH | I | CHIEF COMPLIANCE OFFICER - BD | NA | |
| TEXTOR, THOMAS JOSEPH | I | CHIEF COMPLIANCE OFFICER - BD | NA | |
| TEXTOR, THOMAS JOSEPH | I | CHIEF COMPLIANCE OFFICER - BD | NA | |
| TEXTOR, THOMAS JOSEPH | I | CHIEF COMPLIANCE OFFICER - BD | NA | |
| TEXTOR, THOMAS JOSEPH | I | CHIEF COMPLIANCE OFFICER - BD | NA | |
| TEXTOR, THOMAS JOSEPH | I | CHIEF COMPLIANCE OFFICER - BD | NA | |
| TEXTOR, THOMAS JOSEPH | I | CHIEF COMPLIANCE OFFICER - BD | NA | |
| TEXTOR, THOMAS JOSEPH | I | CHIEF COMPLIANCE OFFICER - BD | NA | |
| VERGA, ANTHONY MATTHEW | I | CHIEF COMPLIANCE OFFICER - RIA | NA | |
| VERGA, ANTHONY MATTHEW | I | CHIEF COMPLIANCE OFFICER - RIA | NA | |
| VERGA, ANTHONY MATTHEW | I | CHIEF COMPLIANCE OFFICER - RIA | NA | |
| VERGA, ANTHONY MATTHEW | I | CHIEF COMPLIANCE OFFICER - RIA | NA | |
| VERGA, ANTHONY MATTHEW | I | CHIEF COMPLIANCE OFFICER - RIA | NA | |
| VERGA, ANTHONY MATTHEW | I | CHIEF COMPLIANCE OFFICER - RIA | NA | |
| VERGA, ANTHONY MATTHEW | I | CHIEF COMPLIANCE OFFICER - RIA | NA | |
| VERGA, ANTHONY MATTHEW | I | CHIEF COMPLIANCE OFFICER - RIA | NA | |
| VILLA, MATTHEW STEVEN | I | CHIEF COMPLIANCE OFFICER - RIA | NA | |
| VITALE, JOSEPH VINCENT | I | CHIEF COMPLIANCE OFFICER - RIA | NA | Control |
| VITALE, JOSEPH VINCENT | I | CHIEF COMPLIANCE OFFICER - RIA | NA | Control |
| VITALE, JOSEPH VINCENT | I | CHIEF COMPLIANCE OFFICER - RIA | NA | Control |
| VITALE, JOSEPH VINCENT | I | CHIEF COMPLIANCE OFFICER - RIA | NA | Control |
| VITALE, JOSEPH VINCENT | I | CHIEF COMPLIANCE OFFICER - RIA | NA | Control |
| VITALE, JOSEPH VINCENT | I | CHIEF COMPLIANCE OFFICER - RIA | NA | Control |
| VITALE, JOSEPH VINCENT | I | CHIEF COMPLIANCE OFFICER - RIA | NA | Control |
| VITALE, JOSEPH VINCENT | I | CHIEF COMPLIANCE OFFICER - RIA | NA | Control |
| VITALE, JOSEPH VINCENT | I | CHIEF COMPLIANCE OFFICER - RIA | NA | Control |
| VITALE, JOSEPH VINCENT | I | CHIEF COMPLIANCE OFFICER - RIA | NA | Control |
| VITALE, JOSEPH VINCENT | I | CHIEF COMPLIANCE OFFICER - RIA | NA | Control |
| VITALE, JOSEPH VINCENT | I | CHIEF COMPLIANCE OFFICER - RIA | NA | Control |
| VITALE, JOSEPH VINCENT | I | CHIEF COMPLIANCE OFFICER - RIA | NA | Control |
| VITALE, JOSEPH VINCENT | I | CHIEF COMPLIANCE OFFICER - RIA | NA | Control |
| VITALE, JOSEPH VINCENT | I | CHIEF COMPLIANCE OFFICER - RIA | NA | Control |
| VITALE, JOSEPH VINCENT | I | CHIEF COMPLIANCE OFFICER - RIA | NA | Control |
| VITALE, JOSEPH VINCENT | I | CHIEF COMPLIANCE OFFICER - RIA | NA | Control |
| VITALE, JOSEPH VINCENT | I | CHIEF COMPLIANCE OFFICER - RIA | NA | Control |
| VITALE, JOSEPH VINCENT | I | CHIEF COMPLIANCE OFFICER - RIA | NA | Control |
| VITALE, JOSEPH VINCENT | I | CHIEF COMPLIANCE OFFICER - RIA | NA | Control |
| YATES, WILLIAM THOMAS | I | TREASURER | NA | Control |
| YATES, WILLIAM THOMAS | I | TREASURER | NA | Control |
| YATES, WILLIAM THOMAS | I | TREASURER | NA | Control |
| YATES, WILLIAM THOMAS | I | TREASURER | NA | Control |
| YATES, WILLIAM THOMAS | I | TREASURER | NA | Control |
| YATES, WILLIAM THOMAS | I | TREASURER | NA | Control |
| YATES, WILLIAM THOMAS | I | TREASURER | NA | Control |
| YATES, WILLIAM THOMAS | I | TREASURER | NA | Control |
| YATES, WILLIAM THOMAS | I | TREASURER | NA | Control |
| YATES, WILLIAM THOMAS | I | TREASURER | NA | Control |
| YATES, WILLIAM THOMAS | I | TREASURER | NA | Control |
| YATES, WILLIAM THOMAS | I | TREASURER | NA | Control |
| YATES, WILLIAM THOMAS | I | TREASURER | NA | Control |
| YATES, WILLIAM THOMAS | I | TREASURER | NA | Control |
| YATES, WILLIAM THOMAS | I | TREASURER | NA | Control |
| YATES, WILLIAM THOMAS | I | TREASURER | NA | Control |
| YATES, WILLIAM THOMAS | I | TREASURER | NA | Control |
| YATES, WILLIAM THOMAS | I | TREASURER | NA | Control |
| YATES, WILLIAM THOMAS | I | TREASURER | NA | Control |
| YATES, WILLIAM THOMAS | I | TREASURER | NA | Control |
| YATES, WILLIAM THOMAS | I | TREASURER | NA | Control |
| YATES, WILLIAM THOMAS | I | TREASURER | NA | Control |
| YATES, WILLIAM THOMAS | I | TREASURER | NA | Control |
| YATES, WILLIAM THOMAS | I | TREASURER | NA | Control |
| YATES, WILLIAM THOMAS | I | TREASURER | NA | Control |
| YATES, WILLIAM THOMAS | I | TREASURER | NA | Control |
| YATES, WILLIAM THOMAS | I | TREASURER | NA | Control |
| YATES, WILLIAM THOMAS | I | TREASURER | NA | Control |
| YATES, WILLIAM THOMAS | I | TREASURER | NA | Control |
| YATES, WILLIAM THOMAS | I | TREASURER | NA | Control |
| YATES, WILLIAM THOMAS | I | TREASURER | NA | Control |
| YATES, WILLIAM THOMAS | I | TREASURER | NA | Control |
| YATES, WILLIAM THOMAS | I | TREASURER | NA | Control |
| YATES, WILLIAM THOMAS | I | TREASURER | NA | Control |
| YATES, WILLIAM THOMAS | I | TREASURER | NA | Control |
| YATES, WILLIAM THOMAS | I | TREASURER | NA | Control |
| YATES, WILLIAM THOMAS | I | TREASURER | NA | Control |
| YATES, WILLIAM THOMAS | I | TREASURER | NA | Control |
| YATES, WILLIAM THOMAS | I | TREASURER | NA | Control |
| YATES, WILLIAM THOMAS | I | TREASURER | NA | Control |
| YATES, WILLIAM THOMAS | I | TREASURER | NA | Control |
| YATES, WILLIAM THOMAS | I | TREASURER | NA | Control |
| YATES, WILLIAM THOMAS | I | TREASURER | NA | Control |
| YATES, WILLIAM THOMAS | I | TREASURER | NA | Control |
| YATES, WILLIAM THOMAS | I | TREASURER | NA | Control |
| YATES, WILLIAM THOMAS | I | TREASURER | NA | Control |
| YATES, WILLIAM THOMAS | I | TREASURER | NA | Control |
| YATES, WILLIAM THOMAS | I | TREASURER | NA | Control |
| YATES, WILLIAM THOMAS | I | TREASURER | NA | Control |
| YATES, WILLIAM THOMAS | I | TREASURER | NA | Control |
| YATES, WILLIAM THOMAS | I | TREASURER | NA | Control |
| YATES, WILLIAM THOMAS | I | TREASURER | NA | Control |
| YATES, WILLIAM THOMAS | I | TREASURER | NA | Control |
| YATES, WILLIAM THOMAS | I | TREASURER | NA | Control |
| TD AMERITRADE ONLINE HOLDINGS CORP. | DE | OWNER | E | Control |
| TD AMERITRADE ONLINE HOLDINGS CORP. | DE | OWNER | E | Control |
| TD AMERITRADE ONLINE HOLDINGS CORP. | DE | OWNER | E | Control |
| TD AMERITRADE ONLINE HOLDINGS CORP. | DE | OWNER | E | Control |
| TD AMERITRADE ONLINE HOLDINGS CORP. | DE | OWNER | E | Control |
| TD AMERITRADE ONLINE HOLDINGS CORP. | DE | OWNER | E | Control |
| TD AMERITRADE ONLINE HOLDINGS CORP. | DE | OWNER | E | Control |
| TD AMERITRADE ONLINE HOLDINGS CORP. | DE | OWNER | E | Control |
| TD AMERITRADE ONLINE HOLDINGS CORP. | DE | OWNER | E | Control |
| TD AMERITRADE ONLINE HOLDINGS CORP. | DE | OWNER | E | Control |
| TD AMERITRADE ONLINE HOLDINGS CORP. | DE | OWNER | E | Control |
| TD AMERITRADE ONLINE HOLDINGS CORP. | DE | OWNER | E | Control |
| TD AMERITRADE ONLINE HOLDINGS CORP. | DE | OWNER | E | Control |
| TD AMERITRADE ONLINE HOLDINGS CORP. | DE | OWNER | E | Control |
| TD AMERITRADE ONLINE HOLDINGS CORP. | DE | OWNER | E | Control |
| TD AMERITRADE ONLINE HOLDINGS CORP. | DE | OWNER | E | Control |
| TD AMERITRADE ONLINE HOLDINGS CORP. | DE | OWNER | E | Control |
| TD AMERITRADE ONLINE HOLDINGS CORP. | DE | OWNER | E | Control |
| TD AMERITRADE ONLINE HOLDINGS CORP. | DE | OWNER | E | Control |
| TD AMERITRADE ONLINE HOLDINGS CORP. | DE | OWNER | E | Control |
| TD AMERITRADE ONLINE HOLDINGS CORP. | DE | OWNER | E | Control |
| TD AMERITRADE ONLINE HOLDINGS CORP. | DE | OWNER | E | Control |
| TD AMERITRADE ONLINE HOLDINGS CORP. | DE | OWNER | E | Control |
| TD AMERITRADE ONLINE HOLDINGS CORP. | DE | OWNER | E | Control |
| TD AMERITRADE ONLINE HOLDINGS CORP. | DE | OWNER | E | Control |
| TD AMERITRADE ONLINE HOLDINGS CORP. | DE | OWNER | E | Control |
| TD AMERITRADE ONLINE HOLDINGS CORP. | DE | OWNER | E | Control |
| TD AMERITRADE ONLINE HOLDINGS CORP. | DE | OWNER | E | Control |
| TD AMERITRADE ONLINE HOLDINGS CORP. | DE | OWNER | E | Control |
| TD AMERITRADE ONLINE HOLDINGS CORP. | DE | OWNER | E | Control |
| TD AMERITRADE ONLINE HOLDINGS CORP. | DE | OWNER | E | Control |
| TD AMERITRADE ONLINE HOLDINGS CORP. | DE | OWNER | E | Control |
| TD AMERITRADE ONLINE HOLDINGS CORP. | DE | OWNER | E | Control |
| TD AMERITRADE ONLINE HOLDINGS CORP. | DE | OWNER | E | Control |
| TD AMERITRADE ONLINE HOLDINGS CORP. | DE | OWNER | E | Control |
| TD AMERITRADE ONLINE HOLDINGS CORP. | DE | OWNER | E | Control |
| TD AMERITRADE ONLINE HOLDINGS CORP. | DE | OWNER | E | Control |
| TD AMERITRADE ONLINE HOLDINGS CORP. | DE | OWNER | E | Control |
| TD AMERITRADE ONLINE HOLDINGS CORP. | DE | OWNER | E | Control |
| TD AMERITRADE ONLINE HOLDINGS CORP. | DE | OWNER | E | Control |
| TD AMERITRADE ONLINE HOLDINGS CORP. | DE | OWNER | E | Control |
| TD AMERITRADE ONLINE HOLDINGS CORP. | DE | OWNER | E | Control |
| TD AMERITRADE ONLINE HOLDINGS CORP. | DE | OWNER | E | Control |
| TD AMERITRADE ONLINE HOLDINGS CORP. | DE | OWNER | E | Control |
| TD AMERITRADE ONLINE HOLDINGS CORP. | DE | OWNER | E | Control |
| TD AMERITRADE ONLINE HOLDINGS CORP. | DE | OWNER | E | Control |
| TD AMERITRADE ONLINE HOLDINGS CORP. | DE | OWNER | E | Control |
| TD AMERITRADE ONLINE HOLDINGS CORP. | DE | OWNER | E | Control |
| TD AMERITRADE ONLINE HOLDINGS CORP. | DE | OWNER | E | Control |
| TD AMERITRADE ONLINE HOLDINGS CORP. | DE | OWNER | E | Control |
| TD AMERITRADE ONLINE HOLDINGS CORP. | DE | OWNER | E | Control |
| TD AMERITRADE ONLINE HOLDINGS CORP. | DE | OWNER | E | Control |
| TD AMERITRADE ONLINE HOLDINGS CORP. | DE | OWNER | E | Control |
| TD AMERITRADE ONLINE HOLDINGS CORP. | DE | OWNER | E | Control |
| TD AMERITRADE ONLINE HOLDINGS CORP. | DE | OWNER | E | Control |
| TD AMERITRADE ONLINE HOLDINGS CORP. | DE | OWNER | E | Control |
| TD AMERITRADE ONLINE HOLDINGS CORP. | DE | OWNER | E | Control |
| TD AMERITRADE ONLINE HOLDINGS CORP. | DE | OWNER | E | Control |
| TD AMERITRADE ONLINE HOLDINGS CORP. | DE | OWNER | E | Control |
| TD AMERITRADE ONLINE HOLDINGS CORP. | DE | OWNER | E | Control |
| TD AMERITRADE ONLINE HOLDINGS CORP. | DE | OWNER | E | Control |
| TD AMERITRADE ONLINE HOLDINGS CORP. | DE | OWNER | E | Control |
| TD AMERITRADE ONLINE HOLDINGS CORP. | DE | OWNER | E | Control |
| TD AMERITRADE ONLINE HOLDINGS CORP. | DE | OWNER | E | Control |
| TD AMERITRADE ONLINE HOLDINGS CORP. | DE | OWNER | E | Control |
| TD AMERITRADE ONLINE HOLDINGS CORP. | DE | OWNER | E | Control |
| TD AMERITRADE ONLINE HOLDINGS CORP. | DE | OWNER | E | Control |
| TD AMERITRADE ONLINE HOLDINGS CORP. | DE | OWNER | E | Control |
| TD AMERITRADE ONLINE HOLDINGS CORP. | DE | OWNER | E | Control |
| TD AMERITRADE ONLINE HOLDINGS CORP. | DE | OWNER | E | Control |
| TD AMERITRADE ONLINE HOLDINGS CORP. | DE | OWNER | E | Control |
| TD AMERITRADE ONLINE HOLDINGS CORP. | DE | OWNER | E | Control |
| TD AMERITRADE ONLINE HOLDINGS CORP. | DE | OWNER | E | Control |
| TD AMERITRADE ONLINE HOLDINGS CORP. | DE | OWNER | E | Control |
| TD AMERITRADE ONLINE HOLDINGS CORP. | DE | OWNER | E | Control |
| TD AMERITRADE ONLINE HOLDINGS CORP. | DE | OWNER | E | Control |
| TD AMERITRADE ONLINE HOLDINGS CORP. | DE | OWNER | E | Control |
| TD AMERITRADE ONLINE HOLDINGS CORP. | DE | OWNER | E | Control |
| TD AMERITRADE ONLINE HOLDINGS CORP. | DE | OWNER | E | Control |
| TD AMERITRADE ONLINE HOLDINGS CORP. | DE | OWNER | E | Control |
| TD AMERITRADE ONLINE HOLDINGS CORP. | DE | OWNER | E | Control |
| TD AMERITRADE ONLINE HOLDINGS CORP. | DE | OWNER | E | Control |
| TD AMERITRADE ONLINE HOLDINGS CORP. | DE | OWNER | E | Control |
| TD AMERITRADE ONLINE HOLDINGS CORP. | DE | OWNER | E | Control |
| TD AMERITRADE ONLINE HOLDINGS CORP. | DE | OWNER | E | Control |
| TD AMERITRADE ONLINE HOLDINGS CORP. | DE | OWNER | E | Control |
| TD AMERITRADE ONLINE HOLDINGS CORP. | DE | OWNER | E | Control |
| TD AMERITRADE ONLINE HOLDINGS CORP. | DE | OWNER | E | Control |
| TD AMERITRADE ONLINE HOLDINGS CORP. | DE | OWNER | E | Control |
| TD AMERITRADE ONLINE HOLDINGS CORP. | DE | OWNER | E | Control |
| TD AMERITRADE ONLINE HOLDINGS CORP. | DE | OWNER | E | Control |
| TD AMERITRADE ONLINE HOLDINGS CORP. | DE | OWNER | E | Control |
| TD AMERITRADE ONLINE HOLDINGS CORP. | DE | OWNER | E | Control |
| TD AMERITRADE ONLINE HOLDINGS CORP. | DE | OWNER | E | Control |
| TD AMERITRADE ONLINE HOLDINGS CORP. | DE | OWNER | E | Control |
| TD AMERITRADE ONLINE HOLDINGS CORP. | DE | OWNER | E | Control |
| TD AMERITRADE ONLINE HOLDINGS CORP. | DE | OWNER | E | Control |
| TD AMERITRADE ONLINE HOLDINGS CORP. | DE | OWNER | E | Control |
| TD AMERITRADE ONLINE HOLDINGS CORP. | DE | OWNER | E | Control |
| TD WATERHOUSE GROUP, INC. | DE | SHAREHOLDER | E | Control |
| TD WATERHOUSE GROUP, INC. | DE | SHAREHOLDER | E | Control |
| TD WATERHOUSE GROUP, INC. | DE | SHAREHOLDER | E | Control |
| TD WATERHOUSE GROUP, INC. | DE | SHAREHOLDER | E | Control |
| TD WATERHOUSE GROUP, INC. | DE | SHAREHOLDER | E | Control |
| TD WATERHOUSE GROUP, INC. | DE | SHAREHOLDER | E | Control |
| TD WATERHOUSE GROUP, INC. | DE | SHAREHOLDER | E | Control |
| TD WATERHOUSE GROUP, INC. | DE | SHAREHOLDER | E | Control |
| TD WATERHOUSE GROUP, INC. | DE | SHAREHOLDER | E | Control |
| TD WATERHOUSE GROUP, INC. | DE | SHAREHOLDER | E | Control |
| TD WATERHOUSE GROUP, INC. | DE | SHAREHOLDER | E | Control |
| TD WATERHOUSE GROUP, INC. | DE | SHAREHOLDER | E | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| TD AMERITRADE HOLDING CORPORATION | DE | TD WATERHOUSE GROUP, INC. | E | Control |
| TD AMERITRADE HOLDING CORPORATION | DE | TD AMERITRADE ONLINE HOLDINGS CORP | E | Control |
| TD AMERITRADE HOLDING CORPORATION | DE | TD AMERITRADE ONLINE HOLDINGS CORP | E | Control |
| TD AMERITRADE HOLDING CORPORATION | DE | TD AMERITRADE ONLINE HOLDINGS CORP | E | Control |
| TD AMERITRADE HOLDING CORPORATION | DE | TD AMERITRADE ONLINE HOLDINGS CORP | E | Control |
| TD AMERITRADE HOLDING CORPORATION | DE | TD AMERITRADE ONLINE HOLDINGS CORP | E | Control |
| TD AMERITRADE HOLDING CORPORATION | DE | TD AMERITRADE ONLINE HOLDINGS CORP | E | Control |
| TD AMERITRADE HOLDING CORPORATION | DE | TD AMERITRADE ONLINE HOLDINGS CORP | E | Control |
| TD AMERITRADE HOLDING CORPORATION | DE | TD AMERITRADE ONLINE HOLDINGS CORP | E | Control |
| TD AMERITRADE HOLDING CORPORATION | DE | TD AMERITRADE ONLINE HOLDINGS CORP | E | Control |
| TD AMERITRADE HOLDING CORPORATION | DE | TD AMERITRADE ONLINE HOLDINGS CORP | E | Control |
| TD AMERITRADE HOLDING CORPORATION | DE | TD WATERHOUSE GROUP, INC. | E | Control |
| TD AMERITRADE HOLDING CORPORATION | DE | TD AMERITRADE ONLINE HOLDINGS CORP | E | Control |
| TD AMERITRADE HOLDING CORPORATION | DE | TD AMERITRADE ONLINE HOLDINGS CORP | E | Control |
| TD AMERITRADE HOLDING CORPORATION | DE | TD AMERITRADE ONLINE HOLDINGS CORP | E | Control |
| TD AMERITRADE HOLDING CORPORATION | DE | TD AMERITRADE ONLINE HOLDINGS CORP | E | Control |
| TD AMERITRADE HOLDING CORPORATION | DE | TD AMERITRADE ONLINE HOLDINGS CORP | E | Control |
| TD AMERITRADE HOLDING CORPORATION | DE | TD AMERITRADE ONLINE HOLDINGS CORP | E | Control |
| TD AMERITRADE HOLDING CORPORATION | DE | TD AMERITRADE ONLINE HOLDINGS CORP | E | Control |
| TD AMERITRADE HOLDING CORPORATION | DE | TD AMERITRADE ONLINE HOLDINGS CORP | E | Control |
| TD AMERITRADE HOLDING CORPORATION | DE | TD AMERITRADE ONLINE HOLDINGS CORP | E | Control |
| TD AMERITRADE HOLDING CORPORATION | DE | TD AMERITRADE ONLINE HOLDINGS CORP | E | Control |
| TD AMERITRADE HOLDING CORPORATION | DE | TD AMERITRADE ONLINE HOLDINGS CORP | E | Control |
| TD AMERITRADE HOLDING CORPORATION | DE | TD AMERITRADE ONLINE HOLDINGS CORP | E | Control |
| TD AMERITRADE HOLDING CORPORATION | DE | TD AMERITRADE ONLINE HOLDINGS CORP | E | Control |
| TD AMERITRADE HOLDING CORPORATION | DE | TD AMERITRADE ONLINE HOLDINGS CORP | E | Control |
| TD AMERITRADE HOLDING CORPORATION | DE | TD AMERITRADE ONLINE HOLDINGS CORP | E | Control |
| TD AMERITRADE HOLDING CORPORATION | DE | TD AMERITRADE ONLINE HOLDINGS CORP | E | Control |
| TD AMERITRADE HOLDING CORPORATION | DE | TD AMERITRADE ONLINE HOLDINGS CORP | E | Control |
| TD AMERITRADE HOLDING CORPORATION | DE | TD AMERITRADE ONLINE HOLDINGS CORP | E | Control |
| TD AMERITRADE HOLDING CORPORATION | DE | TD AMERITRADE ONLINE HOLDINGS CORP | E | Control |
| TD AMERITRADE HOLDING CORPORATION | DE | TD AMERITRADE ONLINE HOLDINGS CORP | E | Control |
| TD AMERITRADE HOLDING CORPORATION | DE | TD AMERITRADE ONLINE HOLDINGS CORP | E | Control |
| TD AMERITRADE HOLDING CORPORATION | DE | TD AMERITRADE ONLINE HOLDINGS CORP | E | Control |
| TD AMERITRADE HOLDING CORPORATION | DE | TD AMERITRADE ONLINE HOLDINGS CORP | E | Control |
| TD AMERITRADE HOLDING CORPORATION | DE | TD AMERITRADE ONLINE HOLDINGS CORP | E | Control |
| TD AMERITRADE HOLDING CORPORATION | DE | TD AMERITRADE ONLINE HOLDINGS CORP | E | Control |
| TD AMERITRADE HOLDING CORPORATION | DE | TD AMERITRADE ONLINE HOLDINGS CORP | E | Control |
| TD AMERITRADE HOLDING CORPORATION | DE | TD AMERITRADE ONLINE HOLDINGS CORP | E | Control |
| TD AMERITRADE HOLDING CORPORATION | DE | TD AMERITRADE ONLINE HOLDINGS CORP | E | Control |
| TD AMERITRADE HOLDING CORPORATION | DE | TD AMERITRADE ONLINE HOLDINGS CORP | E | Control |
| TD AMERITRADE HOLDING CORPORATION | DE | TD AMERITRADE ONLINE HOLDINGS CORP | E | Control |
| TD AMERITRADE HOLDING CORPORATION | DE | TD AMERITRADE ONLINE HOLDINGS CORP | E | Control |
| TD AMERITRADE HOLDING CORPORATION | DE | TD AMERITRADE ONLINE HOLDINGS CORP | E | Control |
| TD AMERITRADE HOLDING CORPORATION | DE | TD AMERITRADE ONLINE HOLDINGS CORP | E | Control |
| TD AMERITRADE HOLDING CORPORATION | DE | TD AMERITRADE ONLINE HOLDINGS CORP | E | Control |
| TD AMERITRADE HOLDING CORPORATION | DE | TD AMERITRADE ONLINE HOLDINGS CORP | E | Control |
| TD AMERITRADE HOLDING CORPORATION | DE | TD AMERITRADE ONLINE HOLDINGS CORP | E | Control |
| TD AMERITRADE HOLDING CORPORATION | DE | TD AMERITRADE ONLINE HOLDINGS CORP | E | Control |
| TD AMERITRADE HOLDING CORPORATION | DE | TD AMERITRADE ONLINE HOLDINGS CORP | E | Control |
| TD AMERITRADE HOLDING CORPORATION | DE | TD AMERITRADE ONLINE HOLDINGS CORP | E | Control |
| TD AMERITRADE HOLDING CORPORATION | DE | TD AMERITRADE ONLINE HOLDINGS CORP | E | Control |
| TD AMERITRADE HOLDING CORPORATION | DE | TD AMERITRADE ONLINE HOLDINGS CORP | E | Control |
| TD AMERITRADE HOLDING CORPORATION | DE | TD AMERITRADE ONLINE HOLDINGS CORP | E | Control |
| TD AMERITRADE HOLDING CORPORATION | DE | TD AMERITRADE ONLINE HOLDINGS CORP | E | Control |
| TD AMERITRADE HOLDING CORPORATION | DE | TD AMERITRADE ONLINE HOLDINGS CORP | E | Control |
| TD AMERITRADE HOLDING CORPORATION | DE | TD AMERITRADE ONLINE HOLDINGS CORP | E | Control |
| TD AMERITRADE HOLDING CORPORATION | DE | TD AMERITRADE ONLINE HOLDINGS CORP | E | Control |
| TD AMERITRADE HOLDING CORPORATION | DE | TD AMERITRADE ONLINE HOLDINGS CORP | E | Control |
| TD AMERITRADE HOLDING CORPORATION | DE | TD AMERITRADE ONLINE HOLDINGS CORP | E | Control |
| TD AMERITRADE HOLDING CORPORATION | DE | TD AMERITRADE ONLINE HOLDINGS CORP | E | Control |
| TD AMERITRADE HOLDING CORPORATION | DE | TD AMERITRADE ONLINE HOLDINGS CORP | E | Control |
| TD AMERITRADE HOLDING CORPORATION | DE | TD AMERITRADE ONLINE HOLDINGS CORP | E | Control |
| TD AMERITRADE HOLDING CORPORATION | DE | TD AMERITRADE ONLINE HOLDINGS CORP | E | Control |
| TD AMERITRADE HOLDING CORPORATION | DE | TD AMERITRADE ONLINE HOLDINGS CORP | E | Control |
| TD AMERITRADE HOLDING CORPORATION | DE | TD AMERITRADE ONLINE HOLDINGS CORP | E | Control |
| TD AMERITRADE HOLDING CORPORATION | DE | TD AMERITRADE ONLINE HOLDINGS CORP | E | Control |
| TD AMERITRADE HOLDING CORPORATION | DE | TD AMERITRADE ONLINE HOLDINGS CORP | E | Control |
| TD AMERITRADE HOLDING CORPORATION | DE | TD AMERITRADE ONLINE HOLDINGS CORP | E | Control |
| TD AMERITRADE HOLDING CORPORATION | DE | TD AMERITRADE ONLINE HOLDINGS CORP | E | Control |
| TD AMERITRADE HOLDING CORPORATION | DE | TD AMERITRADE ONLINE HOLDINGS CORP | E | Control |
| TD AMERITRADE HOLDING CORPORATION | DE | TD AMERITRADE ONLINE HOLDINGS CORP | E | Control |
| TD AMERITRADE HOLDING CORPORATION | DE | TD AMERITRADE ONLINE HOLDINGS CORP | E | Control |
| TD AMERITRADE HOLDING CORPORATION | DE | TD AMERITRADE ONLINE HOLDINGS CORP | E | Control |
| TD AMERITRADE HOLDING CORPORATION | DE | TD AMERITRADE ONLINE HOLDINGS CORP | E | Control |
| TD AMERITRADE HOLDING CORPORATION | DE | TD AMERITRADE ONLINE HOLDINGS CORP | E | Control |
| TD AMERITRADE HOLDING CORPORATION | DE | TD AMERITRADE ONLINE HOLDINGS CORP | E | Control |
| TD AMERITRADE HOLDING CORPORATION | DE | TD AMERITRADE ONLINE HOLDINGS CORP | E | Control |
| TD AMERITRADE HOLDING CORPORATION | DE | TD AMERITRADE ONLINE HOLDINGS CORP | E | Control |
| TD AMERITRADE HOLDING CORPORATION | DE | TD AMERITRADE ONLINE HOLDINGS CORP | E | Control |
| TD AMERITRADE HOLDING CORPORATION | DE | TD AMERITRADE ONLINE HOLDINGS CORP | E | Control |
| TD AMERITRADE HOLDING CORPORATION | DE | TD AMERITRADE ONLINE HOLDINGS CORP | E | Control |
| TD AMERITRADE HOLDING CORPORATION | DE | TD AMERITRADE ONLINE HOLDINGS CORP | E | Control |
| TD AMERITRADE HOLDING CORPORATION | DE | TD AMERITRADE ONLINE HOLDINGS CORP | E | Control |
| TD AMERITRADE HOLDING CORPORATION | DE | TD AMERITRADE ONLINE HOLDINGS CORP | E | Control |
| TD AMERITRADE HOLDING CORPORATION | DE | TD AMERITRADE ONLINE HOLDINGS CORP | E | Control |
| TD AMERITRADE HOLDING CORPORATION | DE | TD AMERITRADE ONLINE HOLDINGS CORP | E | Control |
| TD AMERITRADE HOLDING CORPORATION | DE | TD AMERITRADE ONLINE HOLDINGS CORP | E | Control |
| TD AMERITRADE HOLDING CORPORATION | DE | TD AMERITRADE ONLINE HOLDINGS CORP | E | Control |
| TD AMERITRADE HOLDING CORPORATION | DE | TD AMERITRADE ONLINE HOLDINGS CORP | E | Control |
| TD AMERITRADE HOLDING CORPORATION | DE | TD AMERITRADE ONLINE HOLDINGS CORP | E | Control |
| TD AMERITRADE HOLDING CORPORATION | DE | TD AMERITRADE ONLINE HOLDINGS CORP | E | Control |
| TD AMERITRADE HOLDING CORPORATION | DE | TD AMERITRADE ONLINE HOLDINGS CORP | E | Control |
| TD AMERITRADE HOLDING CORPORATION | DE | TD AMERITRADE ONLINE HOLDINGS CORP | E | Control |
| TD AMERITRADE HOLDING CORPORATION | DE | TD AMERITRADE ONLINE HOLDINGS CORP | E | Control |
| TD AMERITRADE HOLDING CORPORATION | DE | TD AMERITRADE ONLINE HOLDINGS CORP | E | Control |
| TD AMERITRADE HOLDING CORPORATION | DE | TD AMERITRADE ONLINE HOLDINGS CORP | E | Control |
| TD AMERITRADE HOLDING CORPORATION | DE | TD AMERITRADE ONLINE HOLDINGS CORP | E | Control |
| TD AMERITRADE HOLDING CORPORATION | DE | TD AMERITRADE ONLINE HOLDINGS CORP | E | Control |
| TD AMERITRADE HOLDING CORPORATION | DE | TD AMERITRADE ONLINE HOLDINGS CORP | E | Control |
| TD AMERITRADE HOLDING CORPORATION | DE | TD AMERITRADE ONLINE HOLDINGS CORP | E | Control |
| TD WATERHOUSE HOLDINGS, INC. | DE | TD WATERHOUSE GROUP, INC. | E | Control |
| THE CHARLES SCHWAB CORPORATION | DE | TD AMERITRADE HOLDING CORPORATION | E | Control |
| THE CHARLES SCHWAB CORPORATION | DE | TD AMERITRADE HOLDING CORPORATION | E | Control |
| THE CHARLES SCHWAB CORPORATION | DE | TD AMERITRADE HOLDING CORPORATION | E | Control |
| THE CHARLES SCHWAB CORPORATION | DE | TD AMERITRADE HOLDING CORPORATION | E | Control |
| THE CHARLES SCHWAB CORPORATION | DE | TD AMERITRADE HOLDING CORPORATION | E | Control |
| THE CHARLES SCHWAB CORPORATION | DE | TD AMERITRADE HOLDING CORPORATION | E | Control |
| THE CHARLES SCHWAB CORPORATION | DE | TD AMERITRADE HOLDING CORPORATION | E | Control |
| THE CHARLES SCHWAB CORPORATION | DE | TD AMERITRADE HOLDING CORPORATION | E | Control |
| THE CHARLES SCHWAB CORPORATION | DE | TD AMERITRADE HOLDING CORPORATION | E | Control |
| THE CHARLES SCHWAB CORPORATION | DE | TD AMERITRADE HOLDING CORPORATION | E | Control |
| THE CHARLES SCHWAB CORPORATION | DE | TD AMERITRADE HOLDING CORPORATION | E | Control |
| THE CHARLES SCHWAB CORPORATION | DE | TD AMERITRADE HOLDING CORPORATION | E | Control |
| THE CHARLES SCHWAB CORPORATION | DE | TD AMERITRADE HOLDING CORPORATION | E | Control |
| THE CHARLES SCHWAB CORPORATION | DE | TD AMERITRADE HOLDING CORPORATION | E | Control |
| THE CHARLES SCHWAB CORPORATION | DE | TD AMERITRADE HOLDING CORPORATION | E | Control |
| THE CHARLES SCHWAB CORPORATION | DE | TD AMERITRADE HOLDING CORPORATION | E | Control |
| THE CHARLES SCHWAB CORPORATION | DE | TD AMERITRADE HOLDING CORPORATION | E | Control |
| THE TORONTO-DOMINION BANK | FE | TD WATERHOUSE HOLDINGS, INC. | E | Control |
| THE TORONTO-DOMINION BANK | FE | TD WATERHOUSE GROUP, INC. | E | Control |
| THE TORONTO-DOMINION BANK | FE | TD WATERHOUSE GROUP, INC. | E | Control |
| THE TORONTO-DOMINION BANK | FE | TD WATERHOUSE GROUP, INC. | E | Control |
| THE TORONTO-DOMINION BANK | FE | TD WATERHOUSE GROUP, INC. | E | Control |
| THE TORONTO-DOMINION BANK | FE | TD WATERHOUSE GROUP, INC. | E | Control |
| THE TORONTO-DOMINION BANK | FE | TD WATERHOUSE GROUP, INC. | E | Control |
| THE TORONTO-DOMINION BANK | FE | TD WATERHOUSE GROUP, INC. | E | Control |
| THE TORONTO-DOMINION BANK | FE | TD WATERHOUSE GROUP, INC. | E | Control |
| THE TORONTO-DOMINION BANK | FE | TD WATERHOUSE GROUP, INC. | E | Control |
Registrations
Federal
IA
Sep 20, 2022 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
200 SOUTH 108TH AVENUEOMAHA, NE 68154
United States
Phone: (800) 669-3900