TOWER SQUARE SECURITIES, INC.
CRD #833 SEC #801-50585 NEW YORK, NY 212-578-0594
SEC Registered Broker-Dealer
Total AUM
$299.2M
Discretionary
$50.2M
Employees
1,117
Clients
0
Accounts
2,129
Firm Details
- Organization Type
- Corporation
- State of Formation
- Connecticut
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Mar 28, 2013
- Branch Offices
- --
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| ABBEY, STEPHEN EDWARD | I | VP AND CHIEF COMPLIANCE OFFICER | NA | Control |
| ABBEY, STEPHEN EDWARD | I | VP AND CHIEF COMPLIANCE OFFICER | NA | Control |
| ABBEY, STEPHEN EDWARD | I | VP AND CHIEF COMPLIANCE OFFICER | NA | Control |
| ABBEY, STEPHEN EDWARD | I | VP AND CHIEF COMPLIANCE OFFICER | NA | Control |
| ABBEY, STEPHEN EDWARD | I | VP AND CHIEF COMPLIANCE OFFICER | NA | Control |
| ABBEY, STEPHEN EDWARD | I | VP AND CHIEF COMPLIANCE OFFICER | NA | Control |
| ABBEY, STEPHEN EDWARD | I | VP AND CHIEF COMPLIANCE OFFICER | NA | Control |
| ABBEY, STEPHEN EDWARD | I | VP AND HOME OFFICE SUPERVISOR | NA | Control |
| ABBEY, STEPHEN EDWARD | I | VP AND CHIEF COMPLIANCE OFFICER | NA | Control |
| ABBEY, STEPHEN EDWARD | I | VP AND CHIEF COMPLIANCE OFFICER | NA | Control |
| ABBEY, STEPHEN EDWARD | I | VP AND HOME OFFICE SUPERVISOR | NA | Control |
| ABBEY, STEPHEN EDWARD | I | VP AND HOME OFFICE SUPERVISOR | NA | Control |
| ABBEY, STEPHEN EDWARD | I | VP AND HOME OFFICE SUPERVISOR | NA | Control |
| ABBEY, STEPHEN EDWARD | I | VP AND HOME OFFICE SUPERVISOR | NA | Control |
| ABBEY, STEPHEN EDWARD | I | VP AND CHIEF COMPLIANCE OFFICER | NA | Control |
| ABBEY, STEPHEN EDWARD | I | VP AND CHIEF COMPLIANCE OFFICER | NA | Control |
| ABBEY, STEPHEN EDWARD | I | VP AND HOME OFFICE SUPERVISOR | NA | Control |
| ADDAZIO, JUDITH ANNE | I | ASSISTANT TREASURER | NA | |
| ADDAZIO, JUDITH ANNE | I | ASSISTANT TREASURER | NA | |
| ADDAZIO, JUDITH ANNE | I | ASSISTANT TREASURER | NA | |
| ADDAZIO, JUDITH ANNE | I | ASSISTANT TREASURER | NA | |
| ADDAZIO, JUDITH ANNE | I | ASSISTANT TREASURER | NA | |
| ADDAZIO, JUDITH ANNE | I | ASSISTANT TREASURER | NA | |
| ADDAZIO, JUDITH ANNE | I | ASSISTANT TREASURER | NA | |
| AQUINO, VIRGELAN ERNESTO | I | CHIEF COMPLIANCE OFFICER, BROKER DEALER | NA | Control |
| AQUINO, VIRGELAN ERNESTO | I | CHIEF COMPLIANCE OFFICER, BROKER DEALER | NA | Control |
| AQUINO, VIRGELAN ERNESTO | I | CHIEF COMPLIANCE OFFICER, BROKER DEALER | NA | Control |
| AQUINO, VIRGELAN ERNESTO | I | CHIEF COMPLIANCE OFFICER, BROKER DEALER | NA | Control |
| AQUINO, VIRGELAN ERNESTO | I | CHIEF COMPLIANCE OFFICER, BROKER DEALER | NA | Control |
| AQUINO, VIRGELAN ERNESTO | I | CHIEF COMPLIANCE OFFICER, BROKER DEALER | NA | Control |
| AQUINO, VIRGELAN ERNESTO | I | CHIEF COMPLIANCE OFFICER, BROKER DEALER | NA | Control |
| AQUINO, VIRGELAN ERNESTO | I | CHIEF COMPLIANCE OFFICER, BROKER DEALER | NA | Control |
| AQUINO, VIRGELAN ERNESTO | I | CHIEF COMPLIANCE OFFICER, BROKER DEALER | NA | Control |
| AQUINO, VIRGELAN ERNESTO | I | CHIEF COMPLIANCE OFFICER, BROKER DEALER | NA | Control |
| AQUINO, VIRGELAN ERNESTO | I | CHIEF COMPLIANCE OFFICER, BROKER DEALER | NA | Control |
| AQUINO, VIRGELAN ERNESTO | I | CHIEF COMPLIANCE OFFICER, BROKER DEALER | NA | Control |
| AQUINO, VIRGELAN ERNESTO | I | CHIEF COMPLIANCE OFFICER, BROKER DEALER | NA | Control |
| AQUINO, VIRGELAN ERNESTO | I | CHIEF COMPLIANCE OFFICER, BROKER DEALER | NA | Control |
| AQUINO, VIRGELAN ERNESTO | I | CHIEF COMPLIANCE OFFICER, BROKER DEALER | NA | Control |
| AQUINO, VIRGELAN ERNESTO | I | CHIEF COMPLIANCE OFFICER, BROKER DEALER | NA | Control |
| AQUINO, VIRGELAN ERNESTO | I | CHIEF COMPLIANCE OFFICER, BROKER DEALER | NA | Control |
| AQUINO, VIRGELAN ERNESTO | I | CHIEF COMPLIANCE OFFICER, BROKER DEALER | NA | Control |
| AQUINO, VIRGELAN ERNESTO | I | CHIEF COMPLIANCE OFFICER, BROKER DEALER | NA | Control |
| AQUINO, VIRGELAN ERNESTO | I | CHIEF COMPLIANCE OFFICER, BROKER DEALER | NA | Control |
| AQUINO, VIRGELAN ERNESTO | I | CHIEF COMPLIANCE OFFICER, BROKER DEALER | NA | Control |
| AQUINO, VIRGELAN ERNESTO | I | CHIEF COMPLIANCE OFFICER, BROKER DEALER | NA | Control |
| AQUINO, VIRGELAN ERNESTO | I | CHIEF COMPLIANCE OFFICER, BROKER DEALER | NA | Control |
| ASTERIADES, WILLIAM ANGELO | I | TREASURER AND CHIEF FINANCIAL OFFICER | NA | |
| ASTERIADES, WILLIAM ANGELO | I | TREASURER AND CHIEF FINANCIAL OFFICER | NA | |
| ASTERIADES, WILLIAM ANGELO | I | TREASURER AND CHIEF FINANCIAL OFFICER | NA | |
| ASTERIADES, WILLIAM ANGELO | I | TREASURER AND CHIEF FINANCIAL OFFICER | NA | |
| ASTERIADES, WILLIAM ANGELO | I | TREASURER AND CHIEF FINANCIAL OFFICER | NA | |
| ASTERIADES, WILLIAM ANGELO | I | TREASURER AND CHIEF FINANCIAL OFFICER | NA | |
| ASTERIADES, WILLIAM ANGELO | I | TREASURER AND CHIEF FINANCIAL OFFICER | NA | |
| ASTERIADES, WILLIAM ANGELO | I | TREASURER AND CHIEF FINANCIAL OFFICER | NA | |
| ASTERIADES, WILLIAM ANGELO | I | TREASURER AND CHIEF FINANCIAL OFFICER | NA | |
| BEERS, LEWIS FRANKLIN III | I | ASSISTANT SECRETARY | NA | |
| BEERS, LEWIS FRANKLIN III | I | ASSISTANT SECRETARY | NA | |
| BEERS, LEWIS FRANKLIN III | I | ASSISTANT SECRETARY | NA | |
| BEERS, LEWIS FRANKLIN III | I | ASSISTANT SECRETARY | NA | |
| BEERS, LEWIS FRANKLIN III | I | ASSISTANT SECRETARY | NA | |
| BEERS, LEWIS FRANKLIN III | I | ASSISTANT SECRETARY | NA | |
| BEERS, LEWIS FRANKLIN III | I | ASSISTANT SECRETARY | NA | |
| BEGUN, ROBERT | I | CHIEF OPERATIONS OFFICER | NA | Control |
| BEGUN, ROBERT | I | CHIEF OPERATIONS OFFICER | NA | Control |
| BEGUN, ROBERT | I | CHIEF OPERATIONS OFFICER | NA | Control |
| BEGUN, ROBERT | I | CHIEF OPERATIONS OFFICER | NA | Control |
| BEGUN, ROBERT | I | CHIEF OPERATIONS OFFICER | NA | Control |
| BEGUN, ROBERT | I | CHIEF OPERATIONS OFFICER | NA | Control |
| BEGUN, ROBERT | I | CHIEF OPERATIONS OFFICER | NA | Control |
| BEGUN, ROBERT | I | CHIEF OPERATIONS OFFICER | NA | Control |
| BEGUN, ROBERT | I | CHIEF OPERATIONS OFFICER | NA | Control |
| BEGUN, ROBERT | I | CHIEF OPERATIONS OFFICER | NA | Control |
| BEGUN, ROBERT | I | CHIEF OPERATIONS OFFICER | NA | Control |
| BEGUN, ROBERT | I | CHIEF OPERATIONS OFFICER | NA | Control |
| BEGUN, ROBERT | I | CHIEF OPERATIONS OFFICER | NA | Control |
| BEGUN, ROBERT | I | CHIEF OPERATIONS OFFICER | NA | Control |
| BEGUN, ROBERT | I | CHIEF OPERATIONS OFFICER | NA | Control |
| BEGUN, ROBERT | I | CHIEF OPERATIONS OFFICER | NA | Control |
| BEGUN, ROBERT | I | CHIEF OPERATIONS OFFICER | NA | Control |
| BEGUN, ROBERT | I | CHIEF OPERATIONS OFFICER | NA | Control |
| BEGUN, ROBERT | I | CHIEF OPERATIONS OFFICER | NA | Control |
| BEGUN, ROBERT | I | CHIEF OPERATIONS OFFICER | NA | Control |
| BEGUN, ROBERT | I | CHIEF OPERATIONS OFFICER | NA | Control |
| BEGUN, ROBERT | I | CHIEF OPERATIONS OFFICER | NA | Control |
| BEGUN, ROBERT | I | CHIEF OPERATIONS OFFICER | NA | Control |
| BEGUN, ROBERT | I | CHIEF OPERATIONS OFFICER | NA | Control |
| BEGUN, ROBERT | I | CHIEF OPERATIONS OFFICER | NA | Control |
| BEGUN, ROBERT | I | CHIEF OPERATIONS OFFICER | NA | Control |
| BRETT, JOHN JOSEPH | I | CHAIRMAN OF THE BOARD | NA | Control |
| BRETT, JOHN JOSEPH | I | CHAIRMAN OF THE BOARD | NA | Control |
| BRETT, JOHN JOSEPH | I | CHAIRMAN OF THE BOARD | NA | Control |
| BRETT, JOHN JOSEPH | I | CHAIRMAN OF THE BOARD | NA | Control |
| BRETT, JOHN JOSEPH | I | CHAIRMAN OF THE BOARD | NA | Control |
| BRETT, JOHN JOSEPH | I | CHAIRMAN OF THE BOARD | NA | Control |
| BRETT, JOHN JOSEPH | I | CHAIRMAN OF THE BOARD | NA | Control |
| BRETT, JOHN JOSEPH | I | CHAIRMAN OF THE BOARD | NA | Control |
| BRETT, JOHN JOSEPH | I | CHAIRMAN OF THE BOARD | NA | Control |
| BRETT, JOHN JOSEPH | I | CHAIRMAN OF THE BOARD | NA | Control |
| BRETT, JOHN JOSEPH | I | CHAIRMAN OF THE BOARD | NA | Control |
| BRETT, JOHN JOSEPH | I | CHAIRMAN OF THE BOARD | NA | Control |
| BRETT, JOHN JOSEPH | I | CHAIRMAN OF THE BOARD | NA | Control |
| BRETT, JOHN JOSEPH | I | CHAIRMAN OF THE BOARD | NA | Control |
| BUSH, RICHARD NORMAN | I | VICE PRESIDENT-TAXES | NA | |
| BUSH, RICHARD NORMAN | I | VICE PRESIDENT-TAXES | NA | |
| BUSH, RICHARD NORMAN | I | VICE PRESIDENT-TAXES | NA | |
| BUSH, RICHARD NORMAN | I | VICE PRESIDENT-TAXES | NA | |
| BUSH, RICHARD NORMAN | I | VICE PRESIDENT-TAXES | NA | |
| BUSH, RICHARD NORMAN | I | VICE PRESIDENT-TAXES | NA | |
| BUSH, RICHARD NORMAN | I | VICE PRESIDENT-TAXES | NA | |
| CARR, GWENN LOUISE | I | SECRETARY | NA | |
| CARR, GWENN LOUISE | I | SECRETARY | NA | |
| CARR, GWENN LOUISE | I | SECRETARY | NA | |
| CARR, GWENN LOUISE | I | SECRETARY | NA | |
| CARR, GWENN LOUISE | I | SECRETARY | NA | |
| CARR, GWENN LOUISE | I | SECRETARY | NA | |
| CARR, GWENN LOUISE | I | SECRETARY | NA | |
| CARR, GWENN LOUISE | I | SECRETARY | NA | |
| CARR, GWENN LOUISE | I | SECRETARY | NA | |
| CARR, GWENN LOUISE | I | SECRETARY | NA | |
| CARR, GWENN LOUISE | I | SECRETARY | NA | |
| CARRIER, ANDRE THEODORE | I | SENIOR REGISTERED OPTIONS PRINCIPAL AND COMPLIANCE REGISTERED OPTIONS PRINCIPAL | NA | Control |
| CARRIER, ANDRE THEODORE | I | SENIOR REGISTERED OPTIONS PRINCIPAL AND COMPLIANCE REGISTERED OPTIONS PRINCIPAL | NA | Control |
| CARRIER, ANDRE THEODORE | I | SENIOR REGISTERED OPTIONS PRINCIPAL AND COMPLIANCE REGISTERED OPTIONS PRINCIPAL | NA | Control |
| CARRIER, ANDRE THEODORE | I | SENIOR REGISTERED OPTIONS PRINCIPAL AND COMPLIANCE REGISTERED OPTIONS PRINCIPAL | NA | Control |
| CARRIER, ANDRE THEODORE | I | SENIOR REGISTERED OPTIONS PRINCIPAL AND COMPLIANCE REGISTERED OPTIONS PRINCIPAL | NA | Control |
| CARRIER, ANDRE THEODORE | I | SENIOR REGISTERED OPTIONS PRINCIPAL AND COMPLIANCE REGISTERED OPTIONS PRINCIPAL | NA | Control |
| CARRIER, ANDRE THEODORE | I | SENIOR REGISTERED OPTIONS PRINCIPAL AND COMPLIANCE REGISTERED OPTIONS PRINCIPAL | NA | Control |
| CARRIER, ANDRE THEODORE | I | SENIOR REGISTERED OPTIONS PRINCIPAL AND COMPLIANCE REGISTERED OPTIONS PRINCIPAL | NA | Control |
| CARRIER, ANDRE THEODORE | I | SENIOR REGISTERED OPTIONS PRINCIPAL AND COMPLIANCE REGISTERED OPTIONS PRINCIPAL | NA | Control |
| CARRIER, ANDRE THEODORE | I | CHIEF OPERATIONS OFFICER | NA | Control |
| CARRIER, ANDRE THEODORE | I | CHIEF OPERATIONS OFFICER | NA | Control |
| CARRIER, ANDRE THEODORE | I | CHIEF OPERATIONS OFFICER | NA | Control |
| CARRIER, ANDRE THEODORE | I | CHIEF OPERATIONS OFFICER | NA | Control |
| CASSIDY, EDWARD WILLIAM JR | I | PRESIDENT, CEO AND MEMBER OF THE BOARD OF DIRECTORS | NA | Control |
| CASSIDY, EDWARD WILLIAM JR | I | PRESIDENT, CEO AND MEMBER OF THE BOARD OF DIRECTORS | NA | Control |
| CASSIDY, EDWARD WILLIAM JR | I | PRESIDENT, CEO AND MEMBER OF THE BOARD OF DIRECTORS | NA | Control |
| CASSIDY, EDWARD WILLIAM JR | I | PRESIDENT, CEO AND MEMBER OF THE BOARD OF DIRECTORS | NA | Control |
| CASSIDY, EDWARD WILLIAM JR | I | PRESIDENT, CEO AND MEMBER OF THE BOARD OF DIRECTORS | NA | Control |
| CASSIDY, EDWARD WILLIAM JR | I | PRESIDENT, CEO AND MEMBER OF THE BOARD OF DIRECTORS | NA | Control |
| CASSIDY, EDWARD WILLIAM JR | I | PRESIDENT, CEO AND MEMBER OF THE BOARD OF DIRECTORS | NA | Control |
| CASSIDY, EDWARD WILLIAM JR | I | CHAIRMAN OF THE BOARD, CEO & MEMBER OF THE BOARD OF DIRECTORS | NA | Control |
| CASSIDY, EDWARD WILLIAM JR | I | PRESIDENT, CEO AND MEMBER OF THE BOARD OF DIRECTORS | NA | Control |
| CASSIDY, EDWARD WILLIAM JR | I | PRESIDENT, CEO AND MEMBER OF THE BOARD OF DIRECTORS | NA | Control |
| CASSIDY, EDWARD WILLIAM JR | I | CHAIRMAN OF THE BOARD, CEO & MEMBER OF THE BOARD OF DIRECTORS | NA | Control |
| CASSIDY, EDWARD WILLIAM JR | I | CHAIRMAN OF THE BOARD, CEO & MEMBER OF THE BOARD OF DIRECTORS | NA | Control |
| CASSIDY, EDWARD WILLIAM JR | I | CHAIRMAN OF THE BOARD, CEO & MEMBER OF THE BOARD OF DIRECTORS | NA | Control |
| CASSIDY, EDWARD WILLIAM JR | I | CHAIRMAN OF THE BOARD, CEO & MEMBER OF THE BOARD OF DIRECTORS | NA | Control |
| CASSIDY, EDWARD WILLIAM JR | I | PRESIDENT, CEO AND MEMBER OF THE BOARD OF DIRECTORS | NA | Control |
| CASSIDY, EDWARD WILLIAM JR | I | CHAIRMAN OF THE BOARD, CEO & MEMBER OF THE BOARD OF DIRECTORS | NA | Control |
| CASSIDY, EDWARD WILLIAM JR | I | CHAIRMAN OF THE BOARD, CEO & MEMBER OF THE BOARD OF DIRECTORS | NA | Control |
| CELLUPICA, PAUL GERARD | I | CHIEF LEGAL OFFICER | NA | |
| CELLUPICA, PAUL GERARD | I | CHIEF LEGAL OFFICER | NA | |
| CELLUPICA, PAUL GERARD | I | CHIEF LEGAL OFFICER | NA | |
| CELLUPICA, PAUL GERARD | I | CHIEF LEGAL OFFICER | NA | |
| CELLUPICA, PAUL GERARD | I | CHIEF LEGAL OFFICER | NA | |
| CELLUPICA, PAUL GERARD | I | CHIEF LEGAL OFFICER | NA | |
| CELLUPICA, PAUL GERARD | I | CHIEF LEGAL OFFICER | NA | |
| CELLUPICA, PAUL GERARD | I | CHIEF LEGAL OFFICER | NA | |
| CELLUPICA, PAUL GERARD | I | CHIEF LEGAL OFFICER | NA | |
| COHN, MARC ALLAN | I | CHIEF COMPLIANCE OFFICER, INVESTMENT ADVISER | NA | Control |
| COHN, MARC ALLAN | I | CHIEF COMPLIANCE OFFICER, INVESTMENT ADVISER | NA | Control |
| COHN, MARC ALLAN | I | CHIEF COMPLIANCE OFFICER, INVESTMENT ADVISER | NA | Control |
| COHN, MARC ALLAN | I | CHIEF COMPLIANCE OFFICER, INVESTMENT ADVISER | NA | Control |
| COHN, MARC ALLAN | I | CHIEF COMPLIANCE OFFICER, INVESTMENT ADVISER | NA | Control |
| COHN, MARC ALLAN | I | CHIEF COMPLIANCE OFFICER, INVESTMENT ADVISER | NA | Control |
| COHN, MARC ALLAN | I | CHIEF COMPLIANCE OFFICER, INVESTMENT ADVISER | NA | Control |
| COHN, MARC ALLAN | I | CHIEF COMPLIANCE OFFICER, INVESTMENT ADVISER | NA | Control |
| COHN, MARC ALLAN | I | CHIEF COMPLIANCE OFFICER, INVESTMENT ADVISER | NA | Control |
| COHN, MARC ALLAN | I | CHIEF COMPLIANCE OFFICER, INVESTMENT ADVISER | NA | Control |
| COHN, MARC ALLAN | I | CHIEF COMPLIANCE OFFICER, INVESTMENT ADVISER | NA | Control |
| COHN, MARC ALLAN | I | CHIEF COMPLIANCE OFFICER, INVESTMENT ADVISER | NA | Control |
| COHN, MARC ALLAN | I | CHIEF COMPLIANCE OFFICER, INVESTMENT ADVISER | NA | Control |
| COHN, MARC ALLAN | I | CHIEF COMPLIANCE OFFICER, INVESTMENT ADVISER | NA | Control |
| COHN, MARC ALLAN | I | CHIEF COMPLIANCE OFFICER, INVESTMENT ADVISER | NA | Control |
| COHN, MARC ALLAN | I | CHIEF COMPLIANCE OFFICER, INVESTMENT ADVISER | NA | Control |
| COHN, MARC ALLAN | I | CHIEF COMPLIANCE OFFICER, INVESTMENT ADVISER | NA | Control |
| COHN, MARC ALLAN | I | CHIEF COMPLIANCE OFFICER, INVESTMENT ADVISER | NA | Control |
| COHN, MARC ALLAN | I | CHIEF COMPLIANCE OFFICER, INVESTMENT ADVISER | NA | Control |
| COHN, MARC ALLAN | I | CHIEF COMPLIANCE OFFICER, INVESTMENT ADVISER | NA | Control |
| COHN, MARC ALLAN | I | CHIEF COMPLIANCE OFFICER, INVESTMENT ADVISER | NA | Control |
| COHN, MARC ALLAN | I | CHIEF COMPLIANCE OFFICER, INVESTMENT ADVISER | NA | Control |
| COHN, MARC ALLAN | I | CHIEF COMPLIANCE OFFICER, INVESTMENT ADVISER | NA | Control |
| COHN, MARC ALLAN | I | CHIEF COMPLIANCE OFFICER, INVESTMENT ADVISER | NA | Control |
| COHN, MARC ALLAN | I | CHIEF COMPLIANCE OFFICER, INVESTMENT ADVISER | NA | Control |
| COHN, MARC ALLAN | I | CHIEF COMPLIANCE OFFICER, INVESTMENT ADVISER | NA | Control |
| COHN, MARC ALLAN | I | CHIEF COMPLIANCE OFFICER, INVESTMENT ADVISER | NA | Control |
| COHN, MARC ALLAN | I | CHIEF COMPLIANCE OFFICER, INVESTMENT ADVISER | NA | Control |
| COHN, MARC ALLAN | I | CHIEF COMPLIANCE OFFICER, INVESTMENT ADVISER | NA | Control |
| COHN, MARC ALLAN | I | CHIEF COMPLIANCE OFFICER, INVESTMENT ADVISER | NA | Control |
| DWYER, JAMES | I | VICE PRESIDENT, LICENSING AND REGISTRATION | NA | Control |
| DWYER, JAMES | I | VICE PRESIDENT, LICENSING AND REGISTRATION | NA | Control |
| DWYER, JAMES | I | VICE PRESIDENT, LICENSING AND REGISTRATION | NA | Control |
| DWYER, JAMES | I | VICE PRESIDENT, LICENSING AND REGISTRATION | NA | Control |
| DWYER, JAMES | I | VICE PRESIDENT, LICENSING AND REGISTRATION | NA | Control |
| DWYER, JAMES | I | VICE PRESIDENT, LICENSING AND REGISTRATION | NA | Control |
| DWYER, JAMES | I | VICE PRESIDENT, LICENSING AND REGISTRATION | NA | Control |
| DWYER, JAMES | I | VICE PRESIDENT, LICENSING AND REGISTRATION | NA | Control |
| DWYER, JAMES | I | VICE PRESIDENT, LICENSING AND REGISTRATION | NA | Control |
| DWYER, JAMES | I | VICE PRESIDENT, LICENSING AND REGISTRATION | NA | Control |
| DWYER, JAMES | I | VICE PRESIDENT, LICENSING AND REGISTRATION | NA | Control |
| DWYER, JAMES | I | VICE PRESIDENT, LICENSING AND REGISTRATION | NA | Control |
| DWYER, JAMES | I | VICE PRESIDENT, LICENSING AND REGISTRATION | NA | Control |
| DWYER, JAMES | I | VICE PRESIDENT, LICENSING AND REGISTRATION | NA | Control |
| DWYER, JAMES | I | VICE PRESIDENT, LICENSING AND REGISTRATION | NA | Control |
| DWYER, JAMES | I | VICE PRESIDENT, LICENSING AND REGISTRATION | NA | Control |
| DWYER, JAMES | I | VICE PRESIDENT, LICENSING AND REGISTRATION | NA | Control |
| DWYER, JAMES | I | VICE PRESIDENT, LICENSING AND REGISTRATION | NA | Control |
| DWYER, JAMES | I | VICE PRESIDENT, LICENSING AND REGISTRATION | NA | Control |
| DWYER, JAMES | I | VICE PRESIDENT, LICENSING AND REGISTRATION | NA | Control |
| DWYER, JAMES | I | VICE PRESIDENT, LICENSING AND REGISTRATION | NA | Control |
| FARRELL, MICHAEL KEVIN | I | MEMBER OF THE BOARD AND DIRECTOR | NA | Control |
| FARRELL, MICHAEL KEVIN | I | MEMBER OF THE BOARD AND DIRECTOR | NA | Control |
| FARRELL, MICHAEL KEVIN | I | MEMBER OF THE BOARD AND DIRECTOR | NA | Control |
| FARRELL, MICHAEL KEVIN | I | MEMBER OF THE BOARD AND DIRECTOR | NA | Control |
| FARRELL, MICHAEL KEVIN | I | MEMBER OF THE BOARD AND DIRECTOR | NA | Control |
| FARRELL, MICHAEL KEVIN | I | MEMBER OF THE BOARD AND DIRECTOR | NA | Control |
| FARRELL, MICHAEL KEVIN | I | MEMBER OF THE BOARD AND DIRECTOR | NA | Control |
| FARRELL, MICHAEL KEVIN | I | MEMBER OF THE BOARD AND DIRECTOR | NA | Control |
| FARRELL, MICHAEL KEVIN | I | MEMBER OF THE BOARD AND DIRECTOR | NA | Control |
| FEID, GEORGE RANDYLL | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| FEID, GEORGE RANDYLL | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| FEID, GEORGE RANDYLL | I | PRESIDENT AND MEMBER OF THE BOARD OF DIRECTORS | NA | Control |
| FORGET, ELIZABETH MARY | I | DIRECTOR | NA | Control |
| FORGET, ELIZABETH MARY | I | DIRECTOR | NA | Control |
| FORGET, ELIZABETH MARY | I | DIRECTOR | NA | Control |
| FORGET, ELIZABETH MARY | I | DIRECTOR | NA | Control |
| FORGET, ELIZABETH MARY | I | DIRECTOR | NA | Control |
| FORGET, ELIZABETH MARY | I | DIRECTOR | NA | Control |
| FORGET, ELIZABETH MARY | I | DIRECTOR | NA | Control |
| GOULART, STEVEN JEFFREY | I | TREASURER | NA | Control |
| GOULART, STEVEN JEFFREY | I | TREASURER | NA | Control |
| GOULART, STEVEN JEFFREY | I | TREASURER | NA | Control |
| GOULART, STEVEN JEFFREY | I | TREASURER | NA | Control |
| GOULART, STEVEN JEFFREY | I | TREASURER | NA | Control |
| GOULART, STEVEN JEFFREY | I | TREASURER | NA | Control |
| GOULART, STEVEN JEFFREY | I | TREASURER | NA | Control |
| GOULART, STEVEN JEFFREY | I | TREASURER | NA | Control |
| GOULART, STEVEN JEFFREY | I | TREASURER | NA | Control |
| GOULART, STEVEN JEFFREY | I | TREASURER | NA | Control |
| GOULART, STEVEN JEFFREY | I | TREASURER | NA | Control |
| GOULART, STEVEN JEFFREY | I | TREASURER | NA | Control |
| HALPERIN, JEFFREY PAUL | I | ANTI-MONEY LAUNDERING OFFICER | NA | Control |
| HALPERIN, JEFFREY PAUL | I | ANTI-MONEY LAUNDERING OFFICER | NA | Control |
| HALPERIN, JEFFREY PAUL | I | ANTI-MONEY LAUNDERING OFFICER | NA | Control |
| HALPERIN, JEFFREY PAUL | I | ANTI-MONEY LAUNDERING OFFICER | NA | Control |
| HALPERIN, JEFFREY PAUL | I | ANTI-MONEY LAUNDERING OFFICER | NA | Control |
| HALPERIN, JEFFREY PAUL | I | ANTI-MONEY LAUNDERING OFFICER | NA | Control |
| HALPERIN, JEFFREY PAUL | I | ANTI-MONEY LAUNDERING OFFICER | NA | Control |
| HALPERIN, JEFFREY PAUL | I | ANTI-MONEY LAUNDERING OFFICER | NA | Control |
| HALPERIN, JEFFREY PAUL | I | ANTI-MONEY LAUNDERING OFFICER | NA | Control |
| HALPERIN, JEFFREY PAUL | I | ANTI-MONEY LAUNDERING OFFICER | NA | Control |
| HALPERIN, JEFFREY PAUL | I | ANTI-MONEY LAUNDERING OFFICER | NA | Control |
| HALPERIN, JEFFREY PAUL | I | ANTI-MONEY LAUNDERING OFFICER | NA | Control |
| HALPERIN, JEFFREY PAUL | I | ANTI-MONEY LAUNDERING OFFICER | NA | Control |
| HALPERIN, JEFFREY PAUL | I | ANTI-MONEY LAUNDERING OFFICER | NA | Control |
| HALPERIN, JEFFREY PAUL | I | ANTI-MONEY LAUNDERING OFFICER | NA | Control |
| HALPERIN, JEFFREY PAUL | I | ANTI-MONEY LAUNDERING OFFICER | NA | Control |
| HALPERIN, JEFFREY PAUL | I | ANTI-MONEY LAUNDERING OFFICER | NA | Control |
| HALPERIN, JEFFREY PAUL | I | ANTI-MONEY LAUNDERING OFFICER | NA | Control |
| HALPERIN, JEFFREY PAUL | I | ANTI-MONEY LAUNDERING OFFICER | NA | Control |
| HALPERIN, JEFFREY PAUL | I | ANTI-MONEY LAUNDERING OFFICER | NA | Control |
| HALPERIN, JEFFREY PAUL | I | ANTI-MONEY LAUNDERING OFFICER | NA | Control |
| HALPERIN, JEFFREY PAUL | I | ANTI-MONEY LAUNDERING OFFICER | NA | Control |
| HALPERIN, JEFFREY PAUL | I | ANTI-MONEY LAUNDERING OFFICER | NA | Control |
| HALPERIN, JEFFREY PAUL | I | ANTI-MONEY LAUNDERING OFFICER | NA | Control |
| HALPERIN, JEFFREY PAUL | I | ANTI-MONEY LAUNDERING OFFICER | NA | Control |
| HALPERIN, JEFFREY PAUL | I | ANTI-MONEY LAUNDERING OFFICER | NA | Control |
| HALPERIN, JEFFREY PAUL | I | ANTI-MONEY LAUNDERING OFFICER | NA | Control |
| HALPERIN, JEFFREY PAUL | I | ANTI-MONEY LAUNDERING OFFICER | NA | Control |
| HALPERIN, JEFFREY PAUL | I | ANTI-MONEY LAUNDERING OFFICER | NA | Control |
| HALPERIN, JEFFREY PAUL | I | ANTI-MONEY LAUNDERING OFFICER | NA | Control |
| HUBLER, CYNTHIA PERDUE | I | DIRECTOR | NA | |
| HUBLER, CYNTHIA PERDUE | I | DIRECTOR | NA | |
| HUBLER, CYNTHIA PERDUE | I | DIRECTOR | NA | |
| HUBLER, CYNTHIA PERDUE | I | DIRECTOR | NA | |
| HUBLER, CYNTHIA PERDUE | I | DIRECTOR | NA | |
| HUBLER, CYNTHIA PERDUE | I | DIRECTOR | NA | |
| HUBLER, CYNTHIA PERDUE | I | DIRECTOR | NA | |
| HURLEY, GIFFORD JOHN | I | PRESIDENT AND MEMBER OF THE BOARD OF DIRECTORS | NA | Control |
| HURLEY, GIFFORD JOHN | I | PRESIDENT AND MEMBER OF THE BOARD OF DIRECTORS | NA | Control |
| HURLEY, GIFFORD JOHN | I | PRESIDENT AND MEMBER OF THE BOARD OF DIRECTORS | NA | Control |
| HURLEY, GIFFORD JOHN | I | PRESIDENT AND MEMBER OF THE BOARD OF DIRECTORS | NA | Control |
| HURLEY, GIFFORD JOHN | I | PRESIDENT AND MEMBER OF THE BOARD OF DIRECTORS | NA | Control |
| HURLEY, GIFFORD JOHN | I | PRESIDENT AND MEMBER OF THE BOARD OF DIRECTORS | NA | Control |
| ISMAIL, RASHID | I | PRESIDENT AND CHAIRMAN | NA | Control |
| JOHNSON, RUSSELL HENRY | I | MEMBER OF THE BOARD OF DIRECTORS | NA | Control |
| KERR, EDWIN LEE | I | GENERAL COUNSEL AND ASSISTANT SECRETARY | NA | Control |
| KERR, EDWIN LEE | I | GENERAL COUNSEL AND ASSISTANT SECRETARY | NA | Control |
| KERR, EDWIN LEE | I | GENERAL COUNSEL AND ASSISTANT SECRETARY | NA | Control |
| KERR, EDWIN LEE | I | GENERAL COUNSEL AND ASSISTANT SECRETARY | NA | Control |
| KERR, EDWIN LEE | I | GENERAL COUNSEL AND ASSISTANT SECRETARY | NA | Control |
| KOKULIS, GEORGE CHARLES | I | MEMBER OF THE BOARD OF DIRECTORS | NA | Control |
| KOKULIS, GEORGE CHARLES | I | MEMBER OF THE BOARD OF DIRECTORS | NA | Control |
| KOKULIS, GEORGE CHARLES | I | MEMBER OF THE BOARD OF DIRECTORS | NA | Control |
| KOKULIS, GEORGE CHARLES | I | MEMBER OF THE BOARD OF DIRECTORS | NA | Control |
| KOKULIS, GEORGE CHARLES | I | MEMBER OF THE BOARD OF DIRECTORS | NA | Control |
| KOKULIS, GEORGE CHARLES | I | MEMBER OF THE BOARD OF DIRECTORS | NA | Control |
| KOKULIS, GEORGE CHARLES | I | MEMBER OF THE BOARD OF DIRECTORS | NA | Control |
| KOKULIS, GEORGE CHARLES | I | MEMBER OF THE BOARD OF DIRECTORS | NA | Control |
| KOKULIS, GEORGE CHARLES | I | MEMBER OF THE BOARD OF DIRECTORS | NA | Control |
| KOKULIS, GEORGE CHARLES | I | MEMBER OF THE BOARD OF DIRECTORS | NA | Control |
| KOKULIS, GEORGE CHARLES | I | MEMBER OF THE BOARD OF DIRECTORS | NA | Control |
| KOKULIS, GEORGE CHARLES | I | MEMBER OF THE BOARD OF DIRECTORS | NA | Control |
| KOKULIS, GEORGE CHARLES | I | MEMBER OF THE BOARD OF DIRECTORS | NA | Control |
| KOKULIS, GEORGE CHARLES | I | MEMBER OF THE BOARD OF DIRECTORS | NA | Control |
| KOKULIS, GEORGE CHARLES | I | MEMBER OF THE BOARD OF DIRECTORS | NA | Control |
| KOKULIS, GEORGE CHARLES | I | MEMBER OF THE BOARD OF DIRECTORS | NA | Control |
| KOKULIS, GEORGE CHARLES | I | MEMBER OF THE BOARD OF DIRECTORS | NA | Control |
| LACEK, MICHAEL J | I | CHIEF LEGAL OFFICER | NA | Control |
| LACEK, MICHAEL J | I | CHIEF LEGAL OFFICER | NA | Control |
| LACEK, MICHAEL J | I | CHIEF LEGAL OFFICER | NA | Control |
| LACEK, MICHAEL J | I | CHIEF LEGAL OFFICER | NA | Control |
| LACEK, MICHAEL J | I | CHIEF LEGAL OFFICER | NA | Control |
| LACEK, MICHAEL J | I | CHIEF LEGAL OFFICER | NA | Control |
| LACEK, MICHAEL J | I | CHIEF LEGAL OFFICER | NA | Control |
| LACEK, MICHAEL J | I | CHIEF LEGAL OFFICER | NA | Control |
| LACEK, MICHAEL J | I | CHIEF LEGAL OFFICER | NA | Control |
| LACEK, MICHAEL J | I | CHIEF LEGAL OFFICER | NA | Control |
| LACEK, MICHAEL J | I | CHIEF LEGAL OFFICER | NA | Control |
| LACEK, MICHAEL J | I | CHIEF LEGAL OFFICER | NA | Control |
| LACEK, MICHAEL J | I | CHIEF LEGAL OFFICER | NA | Control |
| LACEK, MICHAEL J | I | CHIEF LEGAL OFFICER | NA | Control |
| LACEK, MICHAEL J | I | CHIEF LEGAL OFFICER | NA | Control |
| LACEK, MICHAEL J | I | CHIEF LEGAL OFFICER | NA | Control |
| LACEK, MICHAEL J | I | CHIEF LEGAL OFFICER | NA | Control |
| LACEK, MICHAEL J | I | CHIEF LEGAL OFFICER | NA | Control |
| LACEK, MICHAEL J | I | CHIEF LEGAL OFFICER | NA | Control |
| LACEK, MICHAEL J | I | CHIEF LEGAL OFFICER | NA | Control |
| LACEK, MICHAEL J | I | CHIEF LEGAL OFFICER | NA | Control |
| LAMMEY, GLENN DAVID | I | MEMBER OF THE BOARD OF DIRECTORS | NA | |
| LAMMEY, GLENN DAVID | I | MEMBER OF THE BOARD OF DIRECTORS | NA | |
| LAMMEY, GLENN DAVID | I | MEMBER OF THE BOARD OF DIRECTORS | NA | |
| LAMMEY, GLENN DAVID | I | MEMBER OF THE BOARD OF DIRECTORS | NA | |
| LAMMEY, GLENN DAVID | I | MEMBER OF THE BOARD OF DIRECTORS | NA | |
| LAMMEY, GLENN DAVID | I | MEMBER OF THE BOARD OF DIRECTORS | NA | |
| LAMMEY, GLENN DAVID | I | MEMBER OF THE BOARD OF DIRECTORS | NA | |
| LAMMEY, GLENN DAVID | I | MEMBER OF THE BOARD OF DIRECTORS | NA | |
| LAMMEY, GLENN DAVID | I | MEMBER OF THE BOARD OF DIRECTORS | NA | |
| LAMMEY, GLENN DAVID | I | MEMBER OF THE BOARD OF DIRECTORS | NA | |
| LAMMEY, GLENN DAVID | I | MEMBER OF THE BOARD OF DIRECTORS | NA | |
| LAMMEY, GLENN DAVID | I | MEMBER OF THE BOARD OF DIRECTORS | NA | |
| LAMMEY, GLENN DAVID | I | MEMBER OF THE BOARD OF DIRECTORS | NA | |
| LAMMEY, GLENN DAVID | I | MEMBER OF THE BOARD OF DIRECTORS | NA | |
| LAMMEY, GLENN DAVID | I | MEMBER OF THE BOARD OF DIRECTORS | NA | |
| LAMMEY, GLENN DAVID | I | MEMBER OF THE BOARD OF DIRECTORS | NA | |
| LAMMEY, GLENN DAVID | I | MEMBER OF THE BOARD OF DIRECTORS | NA | |
| LAROSE, MARK ANTHONY | I | VICE PRESIDENT | NA | |
| LAROSE, MARK ANTHONY | I | VICE PRESIDENT | NA | |
| LAROSE, MARK ANTHONY | I | VICE PRESIDENT | NA | |
| LAROSE, MARK ANTHONY | I | VICE PRESIDENT | NA | |
| LAROSE, MARK ANTHONY | I | VICE PRESIDENT | NA | |
| LAROSE, MARK ANTHONY | I | VICE PRESIDENT | NA | |
| LAROSE, MARK ANTHONY | I | VICE PRESIDENT | NA | |
| LAROSE, MARK ANTHONY | I | VICE PRESIDENT AND CHIEF TECHNOLOGY OFFICER | NA | Control |
| LAROSE, MARK ANTHONY | I | VICE PRESIDENT | NA | |
| LAROSE, MARK ANTHONY | I | VICE PRESIDENT | NA | Control |
| LAROSE, MARK ANTHONY | I | VICE PRESIDENT AND CHIEF TECHNOLOGY OFFICER | NA | Control |
| LAROSE, MARK ANTHONY | I | VICE PRESIDENT AND CHIEF TECHNOLOGY OFFICER | NA | Control |
| LAROSE, MARK ANTHONY | I | VICE PRESIDENT AND CHIEF TECHNOLOGY OFFICER | NA | Control |
| LAROSE, MARK ANTHONY | I | VICE PRESIDENT AND CHIEF TECHNOLOGY OFFICER | NA | Control |
| LAROSE, MARK ANTHONY | I | VICE PRESIDENT | NA | |
| LAROSE, MARK ANTHONY | I | VICE PRESIDENT AND CHIEF OPERATING OFFICER | NA | Control |
| LAROSE, MARK ANTHONY | I | VICE PRESIDENT AND CHIEF OPERATING OFFICER | NA | Control |
| LAVERTY, JOHN MCALLISTER | I | TREASURER AND CHIEF FINANCIAL OFFICER | NA | Control |
| LAVERTY, JOHN MCALLISTER | I | TREASURER AND CHIEF FINANCIAL OFFICER | NA | Control |
| LAVERTY, JOHN MCALLISTER | I | TREASURER AND CHIEF FINANCIAL OFFICER | NA | Control |
| LAVERTY, JOHN MCALLISTER | I | TREASURER AND CHIEF FINANCIAL OFFICER | NA | Control |
| LAVERTY, JOHN MCALLISTER | I | TREASURER AND CHIEF FINANCIAL OFFICER | NA | Control |
| LAVERTY, JOHN MCALLISTER | I | TREASURER AND CHIEF FINANCIAL OFFICER | NA | Control |
| LAVERTY, JOHN MCALLISTER | I | TREASURER AND CHIEF FINANCIAL OFFICER | NA | Control |
| LAVERTY, JOHN MCALLISTER | I | TREASURER AND CHIEF FINANCIAL OFFICER | NA | Control |
| LENNOX, LAURIE | I | CHIEF COMPLIANCE OFFICER, BROKER DEALER | NA | Control |
| LENNOX, LAURIE | I | CHIEF COMPLIANCE OFFICER, BROKER DEALER | NA | Control |
| LENNOX, LAURIE | I | CHIEF COMPLIANCE OFFICER, BROKER DEALER | NA | Control |
| LENNOX, LAURIE | I | CHIEF COMPLIANCE OFFICER, BROKER DEALER | NA | Control |
| LENNOX, LAURIE | I | CHIEF COMPLIANCE OFFICER, BROKER DEALER | NA | Control |
| LENNOX, LAURIE | I | CHIEF COMPLIANCE OFFICER, BROKER DEALER | NA | Control |
| LENNOX, LAURIE | I | CHIEF COMPLIANCE OFFICER, BROKER DEALER | NA | Control |
| LOWE, MOIRA CRONAN | I | VP AND CHIEF COMPLIANCE OFFICER | NA | Control |
| LOWE, MOIRA CRONAN | I | VP AND CHIEF COMPLIANCE OFFICER | NA | Control |
| LOWE, MOIRA CRONAN | I | VP AND CHIEF COMPLIANCE OFFICER | NA | Control |
| LOWE, MOIRA CRONAN | I | VP AND CHIEF COMPLIANCE OFFICER | NA | Control |
| LOWE, MOIRA CRONAN | I | VP AND CHIEF COMPLIANCE OFFICER | NA | Control |
| LOWE, MOIRA CRONAN | I | VP AND CHIEF COMPLIANCE OFFICER | NA | Control |
| MACDONALD, CYNTHIA PACE | I | VICE PRESIDENT, GENERAL COUNSEL AND SECRETARY | NA | |
| MACDONALD, CYNTHIA PACE | I | VICE PRESIDENT, GENERAL COUNSEL AND SECRETARY | NA | |
| MACDONALD, CYNTHIA PACE | I | VICE PRESIDENT, GENERAL COUNSEL AND SECRETARY | NA | |
| MACDONALD, CYNTHIA PACE | I | VICE PRESIDENT, GENERAL COUNSEL AND SECRETARY | NA | |
| MACDONALD, CYNTHIA PACE | I | VICE PRESIDENT, GENERAL COUNSEL AND SECRETARY | NA | |
| MACDONALD, CYNTHIA PACE | I | VICE PRESIDENT, GENERAL COUNSEL AND SECRETARY | NA | |
| MACDONALD, CYNTHIA PACE | I | VICE PRESIDENT, GENERAL COUNSEL AND SECRETARY | NA | |
| MACDONALD, CYNTHIA PACE | I | VICE PRESIDENT, GENERAL COUNSEL AND SECRETARY | NA | |
| MACDONALD, CYNTHIA PACE | I | VICE PRESIDENT, GENERAL COUNSEL AND SECRETARY | NA | |
| MARKHAM, CRAIG WILLIAM | I | PRESIDENT AND DIRECTOR | NA | Control |
| MARKHAM, CRAIG WILLIAM | I | PRESIDENT AND DIRECTOR | NA | Control |
| MARKHAM, CRAIG WILLIAM | I | PRESIDENT AND DIRECTOR | NA | Control |
| MARKHAM, CRAIG WILLIAM | I | PRESIDENT AND DIRECTOR | NA | Control |
| MARKHAM, CRAIG WILLIAM | I | PRESIDENT AND DIRECTOR | NA | Control |
| MARKHAM, CRAIG WILLIAM | I | PRESIDENT AND DIRECTOR | NA | Control |
| MARKHAM, CRAIG WILLIAM | I | PRESIDENT AND DIRECTOR | NA | Control |
| MARKHAM, CRAIG WILLIAM | I | PRESIDENT AND DIRECTOR | NA | Control |
| MARKHAM, CRAIG WILLIAM | I | PRESIDENT AND DIRECTOR | NA | Control |
| MARKHAM, CRAIG WILLIAM | I | PRESIDENT AND DIRECTOR | NA | Control |
| MARKHAM, CRAIG WILLIAM | I | PRESIDENT AND DIRECTOR | NA | Control |
| MARKHAM, CRAIG WILLIAM | I | PRESIDENT AND DIRECTOR | NA | Control |
| MARKHAM, CRAIG WILLIAM | I | PRESIDENT AND DIRECTOR | NA | Control |
| MARKHAM, CRAIG WILLIAM | I | PRESIDENT AND DIRECTOR | NA | Control |
| MARKHAM, CRAIG WILLIAM | I | PRESIDENT AND DIRECTOR | NA | Control |
| MARKHAM, CRAIG WILLIAM | I | PRESIDENT AND DIRECTOR | NA | Control |
| MARKHAM, CRAIG WILLIAM | I | PRESIDENT AND DIRECTOR | NA | Control |
| MARKHAM, CRAIG WILLIAM | I | PRESIDENT AND DIRECTOR | NA | Control |
| MARKHAM, CRAIG WILLIAM | I | PRESIDENT AND DIRECTOR | NA | Control |
| MARKHAM, CRAIG WILLIAM | I | PRESIDENT AND DIRECTOR | NA | Control |
| MARKHAM, CRAIG WILLIAM | I | PRESIDENT AND DIRECTOR | NA | Control |
| MARKHAM, CRAIG WILLIAM | I | PRESIDENT AND DIRECTOR | NA | Control |
| MARKHAM, CRAIG WILLIAM | I | PRESIDENT AND DIRECTOR | NA | Control |
| MARKHAM, CRAIG WILLIAM | I | PRESIDENT AND DIRECTOR | NA | Control |
| MARKHAM, CRAIG WILLIAM | I | PRESIDENT AND DIRECTOR | NA | Control |
| MARKHAM, CRAIG WILLIAM | I | PRESIDENT AND DIRECTOR | NA | Control |
| MARKHAM, CRAIG WILLIAM | I | PRESIDENT AND DIRECTOR | NA | Control |
| MARKHAM, CRAIG WILLIAM | I | PRESIDENT AND DIRECTOR | NA | Control |
| MARKHAM, CRAIG WILLIAM | I | PRESIDENT AND DIRECTOR | NA | Control |
| MARKHAM, CRAIG WILLIAM | I | PRESIDENT AND DIRECTOR | NA | Control |
| MARKOULAKIS, GEORGE EMMANUEL | I | VICE PRESIDENT - OPERATIONS | NA | Control |
| MARKOULAKIS, GEORGE EMMANUEL | I | VICE PRESIDENT - OPERATIONS | NA | Control |
| MARKOULAKIS, GEORGE EMMANUEL | I | VICE PRESIDENT - OPERATIONS | NA | Control |
| MARKOULAKIS, GEORGE EMMANUEL | I | VICE PRESIDENT - OPERATIONS | NA | Control |
| MARKOULAKIS, GEORGE EMMANUEL | I | VICE PRESIDENT - OPERATIONS | NA | Control |
| MARKOULAKIS, GEORGE EMMANUEL | I | VICE PRESIDENT - OPERATIONS | NA | Control |
| MARKOULAKIS, GEORGE EMMANUEL | I | VICE PRESIDENT - OPERATIONS | NA | Control |
| MARKOULAKIS, GEORGE EMMANUEL | I | VICE PRESIDENT - OPERATIONS AND TRADING | NA | Control |
| MARKOULAKIS, GEORGE EMMANUEL | I | VICE PRESIDENT - OPERATIONS | NA | Control |
| MARKOULAKIS, GEORGE EMMANUEL | I | VICE PRESIDENT - OPERATIONS | NA | Control |
| MARKOULAKIS, GEORGE EMMANUEL | I | VICE PRESIDENT - OPERATIONS AND TRADING | NA | Control |
| MARKOULAKIS, GEORGE EMMANUEL | I | VICE PRESIDENT - OPERATIONS AND TRADING | NA | Control |
| MARKOULAKIS, GEORGE EMMANUEL | I | VICE PRESIDENT - OPERATIONS AND TRADING | NA | Control |
| MARKOULAKIS, GEORGE EMMANUEL | I | VICE PRESIDENT - OPERATIONS AND TRADING | NA | Control |
| MARKOULAKIS, GEORGE EMMANUEL | I | VICE PRESIDENT - OPERATIONS | NA | Control |
| MARKOULAKIS, GEORGE EMMANUEL | I | VICE PRESIDENT - OPERATIONS AND TRADING | NA | Control |
| MARKOULAKIS, GEORGE EMMANUEL | I | VICE PRESIDENT - OPERATIONS AND TRADING | NA | Control |
| MARTINEZ, JOHN GREGORY | I | VICE PRESIDENT AND FINANCIAL AND OPERATIONS PRINCIPAL | NA | Control |
| MARTINEZ, JOHN GREGORY | I | VICE PRESIDENT AND FINANCIAL AND OPERATIONS PRINCIPAL | NA | Control |
| MARTINEZ, JOHN GREGORY | I | VICE PRESIDENT AND FINANCIAL AND OPERATIONS PRINCIPAL | NA | Control |
| MARTINEZ, JOHN GREGORY | I | VICE PRESIDENT AND FINANCIAL AND OPERATIONS PRINCIPAL | NA | Control |
| MARTINEZ, JOHN GREGORY | I | VICE PRESIDENT AND FINANCIAL AND OPERATIONS PRINCIPAL | NA | Control |
| MARTINEZ, JOHN GREGORY | I | VICE PRESIDENT AND FINANCIAL AND OPERATIONS PRINCIPAL | NA | Control |
| MARTINEZ, JOHN GREGORY | I | VICE PRESIDENT AND FINANCIAL AND OPERATIONS PRINCIPAL | NA | Control |
| MARTINEZ, JOHN GREGORY | I | VICE PRESIDENT AND FINANCIAL AND OPERATIONS PRINCIPAL | NA | Control |
| MARTINEZ, JOHN GREGORY | I | VICE PRESIDENT AND FINANCIAL AND OPERATIONS PRINCIPAL | NA | Control |
| MARTINEZ, JOHN GREGORY | I | VICE PRESIDENT AND FINANCIAL AND OPERATIONS PRINCIPAL | NA | Control |
| MARTINEZ, JOHN GREGORY | I | CHIEF FINANCIAL OFFICER | NA | Control |
| MARTINEZ, JOHN GREGORY | I | CHIEF FINANCIAL OFFICER | NA | Control |
| MARTINEZ, JOHN GREGORY | I | VICE PRESIDENT AND FINANCIAL AND OPERATIONS PRINCIPAL | NA | Control |
| MARTINEZ, JOHN GREGORY | I | VICE PRESIDENT AND FINANCIAL AND OPERATIONS PRINCIPAL | NA | Control |
| MARTINEZ, JOHN GREGORY | I | CHIEF FINANCIAL OFFICER | NA | Control |
| MARTINEZ, JOHN GREGORY | I | VICE PRESIDENT AND FINANCIAL AND OPERATIONS PRINCIPAL | NA | Control |
| MARTINEZ, JOHN GREGORY | I | VICE PRESIDENT AND FINANCIAL AND OPERATIONS PRINCIPAL | NA | Control |
| MARTINEZ, JOHN GREGORY | I | VICE PRESIDENT AND FINANCIAL AND OPERATIONS PRINCIPAL | NA | Control |
| MARTINEZ, JOHN GREGORY | I | VICE PRESIDENT AND FINANCIAL AND OPERATIONS PRINCIPAL | NA | Control |
| MARTINEZ, JOHN GREGORY | I | VICE PRESIDENT AND FINANCIAL AND OPERATIONS PRINCIPAL | NA | Control |
| MARTINEZ, JOHN GREGORY | I | VICE PRESIDENT AND FINANCIAL AND OPERATIONS PRINCIPAL | NA | Control |
| MARTINEZ, JOHN GREGORY | I | VICE PRESIDENT AND FINANCIAL AND OPERATIONS PRINCIPAL | NA | Control |
| MARTINEZ, JOHN GREGORY | I | VICE PRESIDENT AND FINANCIAL AND OPERATIONS PRINCIPAL | NA | Control |
| MARTINEZ, JOHN GREGORY | I | VICE PRESIDENT AND FINANCIAL AND OPERATIONS PRINCIPAL | NA | Control |
| MAY, WARREN HAMILTON | I | CHAIRMAN OF THE BOARD | NA | Control |
| MAY, WARREN HAMILTON | I | CHAIRMAN OF THE BOARD | NA | Control |
| MAY, WARREN HAMILTON | I | CHAIRMAN OF THE BOARD | NA | Control |
| MAY, WARREN HAMILTON | I | CHAIRMAN OF THE BOARD | NA | Control |
| MAY, WARREN HAMILTON | I | CHAIRMAN OF THE BOARD | NA | Control |
| MAY, WARREN HAMILTON | I | CHAIRMAN OF THE BOARD | NA | Control |
| MAY, WARREN HAMILTON | I | CHAIRMAN OF THE BOARD | NA | Control |
| MAY, WARREN HAMILTON | I | CHAIRMAN OF THE BOARD | NA | Control |
| MAY, WARREN HAMILTON | I | CHAIRMAN OF THE BOARD | NA | Control |
| MAY, WARREN HAMILTON | I | CHAIRMAN OF THE BOARD | NA | Control |
| MONBARON, ALAN FRANCIS | I | DIRECTOR | NA | |
| MONBARON, ALAN FRANCIS | I | DIRECTOR | NA | |
| MONBARON, ALAN FRANCIS | I | DIRECTOR | NA | |
| MONBARON, ALAN FRANCIS | I | DIRECTOR | NA | |
| MONBARON, ALAN FRANCIS | I | DIRECTOR | NA | |
| MONBARON, ALAN FRANCIS | I | DIRECTOR | NA | |
| MONBARON, ALAN FRANCIS | I | DIRECTOR | NA | |
| PETERSEN, ROBERT HENRY | I | CHIEF FINANCIAL OFFICER | NA | Control |
| PETERSEN, ROBERT HENRY | I | CHIEF FINANCIAL OFFICER | NA | Control |
| PETERSEN, ROBERT HENRY | I | CHIEF FINANCIAL OFFICER | NA | Control |
| PETERSEN, ROBERT HENRY | I | CHIEF FINANCIAL OFFICER | NA | Control |
| PETERSEN, ROBERT HENRY | I | CHIEF FINANCIAL OFFICER | NA | Control |
| PETERSEN, ROBERT HENRY | I | CHIEF FINANCIAL OFFICER | NA | Control |
| RUSSO, JOANNE KATHERINE | I | SENIOR VICE PRESIDENT-CHIEF MARKETING OFFICER | NA | |
| RUSSO, JOANNE KATHERINE | I | SENIOR VICE PRESIDENT-CHIEF MARKETING OFFICER | NA | |
| RUSSO, JOANNE KATHERINE | I | SENIOR VICE PRESIDENT-CHIEF MARKETING OFFICER | NA | |
| RUSSO, JOANNE KATHERINE | I | SENIOR VICE PRESIDENT-CHIEF MARKETING OFFICER | NA | |
| RUSSO, JOANNE KATHERINE | I | SENIOR VICE PRESIDENT-CHIEF MARKETING OFFICER | NA | |
| RUSSO, JOANNE KATHERINE | I | SENIOR VICE PRESIDENT-CHIEF MARKETING OFFICER | NA | |
| RUSSO, JOANNE KATHERINE | I | SENIOR VICE PRESIDENT-CHIEF MARKETING OFFICER | NA | |
| RUSSO, JOANNE KATHERINE | I | SENIOR VICE PRESIDENT AND CHIEF OPERATIONS OFFICER | NA | Control |
| RUSSO, JOANNE KATHERINE | I | SENIOR VICE PRESIDENT-CHIEF MARKETING OFFICER | NA | |
| RUSSO, JOANNE KATHERINE | I | SENIOR VICE PRESIDENT-CHIEF MARKETING OFFICER | NA | Control |
| RUSSO, JOANNE KATHERINE | I | SENIOR VICE PRESIDENT AND CHIEF OPERATIONS OFFICER | NA | Control |
| RUSSO, JOANNE KATHERINE | I | SENIOR VICE PRESIDENT AND CHIEF OPERATIONS OFFICER | NA | Control |
| RUSSO, JOANNE KATHERINE | I | SENIOR VICE PRESIDENT AND CHIEF OPERATIONS OFFICER | NA | Control |
| RUSSO, JOANNE KATHERINE | I | SENIOR VICE PRESIDENT AND CHIEF OPERATIONS OFFICER | NA | Control |
| RUSSO, JOANNE KATHERINE | I | SENIOR VICE PRESIDENT-CHIEF MARKETING OFFICER | NA | |
| RUSSO, JOANNE KATHERINE | I | SENIOR VICE PRESIDENT- ADMINISTRATION | NA | Control |
| RUSSO, JOANNE KATHERINE | I | SENIOR VICE PRESIDENT- ADMINISTRATION | NA | Control |
| SIINO, KATHERINE MARY | I | DIRECTOR - INTERNAL REVIEW | NA | |
| SIINO, KATHERINE MARY | I | DIRECTOR - INTERNAL REVIEW | NA | |
| SIINO, KATHERINE MARY | I | DIRECTOR - INTERNAL REVIEW | NA | |
| SIINO, KATHERINE MARY | I | DIRECTOR - INTERNAL REVIEW | NA | |
| SIINO, KATHERINE MARY | I | DIRECTOR - INTERNAL REVIEW | NA | |
| STEIGERWALT, ERIC | I | TREASURER | NA | Control |
| STEIGERWALT, ERIC | I | TREASURER | NA | Control |
| STEIGERWALT, ERIC | I | TREASURER | NA | Control |
| STEIGERWALT, ERIC | I | TREASURER | NA | Control |
| THOMPSON, TODD LOCKE | I | DIRECTOR, POLICIES AND PROCEDURES | NA | |
| THOMPSON, TODD LOCKE | I | DIRECTOR, POLICIES AND PROCEDURES | NA | |
| TOOLEY, THOMAS PAUL | I | VICE PRESIDENT | NA | |
| TOOLEY, THOMAS PAUL | I | VICE PRESIDENT | NA | |
| TOOLEY, THOMAS PAUL | I | VICE PRESIDENT | NA | |
| TOOLEY, THOMAS PAUL | I | VICE PRESIDENT | NA | |
| TOOLEY, THOMAS PAUL | I | VICE PRESIDENT | NA | |
| TOOLEY, THOMAS PAUL | I | VICE PRESIDENT | NA | |
| TOOLEY, THOMAS PAUL | I | VICE PRESIDENT | NA | |
| TOOLEY, THOMAS PAUL | I | VICE PRESIDENT | NA | |
| TOOLEY, THOMAS PAUL | I | VICE PRESIDENT | NA | |
| TOOLEY, THOMAS PAUL | I | VICE PRESIDENT | NA | |
| TOOLEY, THOMAS PAUL | I | VICE PRESIDENT | NA | |
| TOOLEY, THOMAS PAUL | I | VICE PRESIDENT | NA | |
| TOOLEY, THOMAS PAUL | I | VICE PRESIDENT | NA | |
| TOOLEY, THOMAS PAUL | I | VICE PRESIDENT | NA | |
| TOOLEY, THOMAS PAUL | I | VICE PRESIDENT | NA | |
| TOOLEY, THOMAS PAUL | I | VICE PRESIDENT | NA | |
| TOOLEY, THOMAS PAUL | I | VICE PRESIDENT | NA | |
| TOPPETA, WILLIAM JOHN | I | MEMBER OF THE BOARD AND DIRECTOR | NA | Control |
| TOPPETA, WILLIAM JOHN | I | MEMBER OF THE BOARD AND DIRECTOR | NA | Control |
| TOPPETA, WILLIAM JOHN | I | MEMBER OF THE BOARD AND DIRECTOR | NA | Control |
| TOPPETA, WILLIAM JOHN | I | MEMBER OF THE BOARD AND DIRECTOR | NA | Control |
| TOPPETA, WILLIAM JOHN | I | MEMBER OF THE BOARD AND DIRECTOR | NA | Control |
| TOPPETA, WILLIAM JOHN | I | MEMBER OF THE BOARD AND DIRECTOR | NA | Control |
| TOPPETA, WILLIAM JOHN | I | MEMBER OF THE BOARD AND DIRECTOR | NA | Control |
| TOPPETA, WILLIAM JOHN | I | MEMBER OF THE BOARD AND DIRECTOR | NA | Control |
| TOPPETA, WILLIAM JOHN | I | MEMBER OF THE BOARD AND DIRECTOR | NA | Control |
| TOPPETA, WILLIAM JOHN | I | MEMBER OF THE BOARD AND DIRECTOR | NA | Control |
| TOPPETA, WILLIAM JOHN | I | MEMBER OF THE BOARD AND DIRECTOR | NA | Control |
| TOPPETA, WILLIAM JOHN | I | MEMBER OF THE BOARD AND DIRECTOR | NA | Control |
| TOPPETA, WILLIAM JOHN | I | MEMBER OF THE BOARD AND DIRECTOR | NA | Control |
| TOPPETA, WILLIAM JOHN | I | MEMBER OF THE BOARD AND DIRECTOR | NA | Control |
| TOPPETA, WILLIAM JOHN | I | MEMBER OF THE BOARD AND DIRECTOR | NA | Control |
| TOPPETA, WILLIAM JOHN | I | MEMBER OF THE BOARD AND DIRECTOR | NA | Control |
| TOPPETA, WILLIAM JOHN | I | MEMBER OF THE BOARD AND DIRECTOR | NA | Control |
| TOPPETA, WILLIAM JOHN | I | MEMBER OF THE BOARD AND DIRECTOR | NA | Control |
| TOPPETA, WILLIAM JOHN | I | MEMBER OF THE BOARD AND DIRECTOR | NA | Control |
| TOPPETA, WILLIAM JOHN | I | MEMBER OF THE BOARD AND DIRECTOR | NA | Control |
| TOPPETA, WILLIAM JOHN | I | MEMBER OF THE BOARD AND DIRECTOR | NA | Control |
| TOPPETA, WILLIAM JOHN | I | MEMBER OF THE BOARD AND DIRECTOR | NA | Control |
| TOPPETA, WILLIAM JOHN | I | MEMBER OF THE BOARD AND DIRECTOR | NA | Control |
| TORRES, ISAAC | I | SECRETARY | NA | Control |
| TORRES, ISAAC | I | SECRETARY | NA | Control |
| TORRES, ISAAC | I | SECRETARY | NA | Control |
| TORRES, ISAAC | I | SECRETARY | NA | Control |
| TORRES, ISAAC | I | SECRETARY | NA | Control |
| TORRES, ISAAC | I | SECRETARY | NA | Control |
| TORRES, ISAAC | I | SECRETARY | NA | Control |
| TORRES, ISAAC | I | SECRETARY | NA | Control |
| TORRES, ISAAC | I | SECRETARY | NA | Control |
| TORRES, ISAAC | I | SECRETARY | NA | Control |
| TORRES, ISAAC | I | SECRETARY | NA | Control |
| TORRES, ISAAC | I | SECRETARY | NA | Control |
| TORRES, ISAAC | I | SECRETARY | NA | Control |
| TORRES, ISAAC | I | SECRETARY | NA | Control |
| TORRES, ISAAC | I | SECRETARY | NA | Control |
| TORRES, ISAAC | I | SECRETARY | NA | Control |
| TORRES, ISAAC | I | SECRETARY | NA | Control |
| TORRES, ISAAC | I | SECRETARY | NA | Control |
| WELIKSON, JEFFREY A | I | SECRETARY | NA | Control |
| WILLIAMS, JOHN JOSEPH JR | I | ASSISTANT SECRETARY, ASSISTANT COMPLIANCE OFFICER | NA | |
| WILLIAMS, JOHN JOSEPH JR | I | ASSISTANT SECRETARY, ASSISTANT COMPLIANCE OFFICER | NA | |
| WILLIAMS, JOHN JOSEPH JR | I | ASSISTANT SECRETARY, ASSISTANT COMPLIANCE OFFICER | NA | |
| WILLIAMS, JOHN JOSEPH JR | I | ASSISTANT SECRETARY, ASSISTANT COMPLIANCE OFFICER | NA | |
| WILLIAMS, JOHN JOSEPH JR | I | ASSISTANT SECRETARY, ASSISTANT COMPLIANCE OFFICER | NA | |
| WILLIAMS, JOHN JOSEPH JR | I | ASSISTANT SECRETARY, ASSISTANT COMPLIANCE OFFICER | NA | |
| WILLIAMS, JOHN JOSEPH JR | I | ASSISTANT SECRETARY, ASSISTANT COMPLIANCE OFFICER | NA | |
| WILLIAMS, JOHN JOSEPH JR | I | ASSISTANT SECRETARY, ASSISTANT COMPLIANCE OFFICER | NA | |
| WILLIAMS, JOHN JOSEPH JR | I | ASSISTANT SECRETARY, ASSISTANT COMPLIANCE OFFICER | NA | |
| WILLIAMS, JOHN JOSEPH JR | I | ASSISTANT SECRETARY, ASSISTANT COMPLIANCE OFFICER | NA | |
| WILLIAMS, JOHN JOSEPH JR | I | ASSISTANT SECRETARY, ASSISTANT COMPLIANCE OFFICER | NA | |
| WILLIAMS, JOHN JOSEPH JR | I | ASSISTANT SECRETARY, ASSISTANT COMPLIANCE OFFICER | NA | |
| WILLIAMS, JOHN JOSEPH JR | I | ASSISTANT SECRETARY, ASSISTANT COMPLIANCE OFFICER | NA | |
| WILLIAMS, JOHN JOSEPH JR | I | ASSISTANT SECRETARY, ASSISTANT COMPLIANCE OFFICER | NA | |
| WILLIAMS, JOHN JOSEPH JR | I | ASSISTANT SECRETARY, ASSISTANT COMPLIANCE OFFICER | NA | |
| WILLIAMS, JOHN JOSEPH JR | I | ASSISTANT SECRETARY, ASSISTANT COMPLIANCE OFFICER | NA | |
| WILLIAMS, JOHN JOSEPH JR | I | ASSISTANT SECRETARY, ASSISTANT COMPLIANCE OFFICER | NA | |
| WILLIAMSON, ANTHONY JAMES | I | TREASURER | NA | |
| WILLIAMSON, ANTHONY JAMES | I | TREASURER | NA | |
| WILLIAMSON, ANTHONY JAMES | I | TREASURER | NA | |
| WILLIAMSON, ANTHONY JAMES | I | TREASURER | NA | |
| WILLIAMSON, ANTHONY JAMES | I | TREASURER | NA | |
| WILLIAMSON, ANTHONY JAMES | I | TREASURER | NA | |
| WILLIAMSON, ANTHONY JAMES | I | TREASURER | NA | |
| WRIGHT, ERNEST JAMES | I | ASSISTANT SECRETARY | NA | |
| WRIGHT, ERNEST JAMES | I | ASSISTANT SECRETARY | NA | |
| WRIGHT, ERNEST JAMES | I | ASSISTANT SECRETARY | NA | |
| WRIGHT, ERNEST JAMES | I | ASSISTANT SECRETARY | NA | |
| WRIGHT, ERNEST JAMES | I | ASSISTANT SECRETARY | NA | |
| WRIGHT, ERNEST JAMES | I | ASSISTANT SECRETARY | NA | |
| WRIGHT, ERNEST JAMES | I | ASSISTANT SECRETARY | NA | |
| WRIGHT, ERNEST JAMES | I | CORPORATE SECRETARY | NA | Control |
| WRIGHT, ERNEST JAMES | I | ASSISTANT SECRETARY | NA | |
| WRIGHT, ERNEST JAMES | I | CORPORATE SECRETARY | NA | Control |
| WRIGHT, ERNEST JAMES | I | CORPORATE SECRETARY | NA | Control |
| WRIGHT, ERNEST JAMES | I | CORPORATE SECRETARY | NA | Control |
| WRIGHT, ERNEST JAMES | I | CORPORATE SECRETARY | NA | Control |
| WRIGHT, ERNEST JAMES | I | CORPORATE SECRETARY | NA | Control |
| WRIGHT, ERNEST JAMES | I | ASSISTANT SECRETARY | NA | |
| WRIGHT, ERNEST JAMES | I | CORPORATE SECRETARY | NA | Control |
| WRIGHT, ERNEST JAMES | I | CORPORATE SECRETARY | NA | Control |
| PLAZA LLC | DE | DIRECT OWNER | E | Control |
| PLAZA LLC | DE | DIRECT OWNER | E | Control |
| PLAZA LLC | DE | DIRECT OWNER | E | Control |
| PLAZA LLC | DE | DIRECT OWNER | E | Control |
| PLAZA LLC | DE | DIRECT OWNER | E | Control |
| PLAZA LLC | DE | SHAREHOLDER | E | Control |
| PLAZA LLC | DE | SHAREHOLDER | E | Control |
| PLAZA LLC | DE | SHAREHOLDER | E | Control |
| PLAZA LLC | DE | SHAREHOLDER | E | Control |
| PLAZA LLC | DE | SHAREHOLDER | E | Control |
| PLAZA LLC | DE | SHAREHOLDER | E | Control |
| PLAZA LLC | DE | SHAREHOLDER | E | Control |
| PLAZA LLC | DE | DIRECT OWNER | E | Control |
| PLAZA LLC | DE | DIRECT OWNER | E | Control |
| PLAZA LLC | DE | DIRECT OWNER | E | Control |
| PLAZA LLC | DE | DIRECT OWNER | E | Control |
| PLAZA LLC | DE | DIRECT OWNER | E | Control |
| PLAZA LLC | DE | DIRECT OWNER | E | Control |
| PLAZA LLC | DE | DIRECT OWNER | E | Control |
| PLAZA LLC | DE | SHAREHOLDER | E | Control |
| PLAZA LLC | DE | DIRECT OWNER | E | Control |
| PLAZA LLC | DE | DIRECT OWNER | E | Control |
| PLAZA LLC | DE | DIRECT OWNER | E | Control |
| PLAZA LLC | DE | DIRECT OWNER | E | Control |
| PLAZA LLC | DE | DIRECT OWNER | E | Control |
| PLAZA LLC | DE | DIRECT OWNER | E | Control |
| PLAZA LLC | DE | SHAREHOLDER | E | Control |
| PLAZA LLC | DE | DIRECT OWNER | E | Control |
| PLAZA LLC | DE | DIRECT OWNER | E | Control |
| PLAZA LLC | DE | SHAREHOLDER | E | Control |
| PLAZA LLC | DE | DIRECT OWNER | E | Control |
| PLAZA LLC | DE | SHAREHOLDER | E | Control |
| PLAZA LLC | DE | SHAREHOLDER | E | Control |
| PLAZA LLC | DE | SHAREHOLDER | E | Control |
| PLAZA LLC | DE | SHAREHOLDER | E | Control |
| PLAZA LLC | DE | SHAREHOLDER | E | Control |
| PLAZA LLC | DE | DIRECT OWNER | E | Control |
| PLAZA LLC | DE | SHAREHOLDER | E | Control |
| PLAZA LLC | DE | SHAREHOLDER | E | Control |
| PLAZA LLC | DE | DIRECT OWNER | E | Control |
| PLAZA LLC | DE | DIRECT OWNER | E | Control |
| PLAZA LLC | DE | DIRECT OWNER | E | Control |
| PLAZA LLC | DE | DIRECT OWNER | E | Control |
| PLAZA LLC | DE | DIRECT OWNER | E | Control |
| PLAZA LLC | DE | DIRECT OWNER | E | Control |
| PLAZA LLC | DE | DIRECT OWNER | E | Control |
| PLAZA LLC | DE | DIRECT OWNER | E | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| ASSOCIATED MADISON COMPANIES, INC. | DE | PFS SERVICES, INC. | E | Control |
| ASSOCIATED MADISON COMPANIES, INC. | DE | PFS SERVICES, INC. | E | Control |
| ASSOCIATED MADISON COMPANIES, INC. | DE | PFS SERVICES, INC. | E | Control |
| ASSOCIATED MADISON COMPANIES, INC. | DE | PFS SERVICES, INC. | E | Control |
| ASSOCIATED MADISON COMPANIES, INC. | DE | PFS SERVICES, INC. | E | Control |
| ASSOCIATED MADISON COMPANIES, INC. | DE | PFS SERVICES, INC. | E | Control |
| ASSOCIATED MADISON COMPANIES, INC. | DE | PFS SERVICES, INC. | E | Control |
| ASSOCIATED MADISON COMPANIES, INC. | DE | PFS SERVICES, INC. | E | Control |
| ASSOCIATED MADISON COMPANIES, INC. | DE | PFS SERVICES, INC. | E | Control |
| ASSOCIATED MADISON COMPANIES, INC. | DE | PFS SERVICES, INC. | E | Control |
| ASSOCIATED MADISON COMPANIES, INC. | DE | PFS SERVICES, INC. | E | Control |
| ASSOCIATED MADISON COMPANIES, INC. | DE | PFS SERVICES, INC. | E | Control |
| ASSOCIATED MADISON COMPANIES, INC. | DE | PFS SERVICES, INC. | E | Control |
| ASSOCIATED MADISON COMPANIES, INC. | DE | PFS SERVICES, INC. | E | Control |
| ASSOCIATED MADISON COMPANIES, INC. | DE | PFS SERVICES, INC. | E | Control |
| ASSOCIATED MADISON COMPANIES, INC. | DE | PFS SERVICES, INC. | E | Control |
| ASSOCIATED MADISON COMPANIES, INC. | DE | PFS SERVICES, INC. | E | Control |
| CITIGROUP INC. | DE | ASSOCIATED MADISON COMPANIES, INC. | E | Control |
| CITIGROUP INC. | DE | ASSOCIATED MADISON COMPANIES, INC. | E | Control |
| CITIGROUP INC. | DE | ASSOCIATED MADISON COMPANIES, INC. | E | Control |
| CITIGROUP INC. | DE | ASSOCIATED MADISON COMPANIES, INC. | E | Control |
| CITIGROUP INC. | DE | ASSOCIATED MADISON COMPANIES, INC. | E | Control |
| CITIGROUP INC. | DE | ASSOCIATED MADISON COMPANIES, INC. | E | Control |
| CITIGROUP INC. | DE | ASSOCIATED MADISON COMPANIES, INC. | E | Control |
| CITIGROUP INC. | DE | ASSOCIATED MADISON COMPANIES, INC. | E | Control |
| CITIGROUP INC. | DE | ASSOCIATED MADISON COMPANIES, INC. | E | Control |
| CITIGROUP INC. | DE | ASSOCIATED MADISON COMPANIES, INC. | E | Control |
| CITIGROUP INC. | DE | ASSOCIATED MADISON COMPANIES, INC. | E | Control |
| CITIGROUP INC. | DE | ASSOCIATED MADISON COMPANIES, INC. | E | Control |
| CITIGROUP INC. | DE | ASSOCIATED MADISON COMPANIES, INC. | E | Control |
| CITIGROUP INC. | DE | ASSOCIATED MADISON COMPANIES, INC. | E | Control |
| CITIGROUP INC. | DE | ASSOCIATED MADISON COMPANIES, INC. | E | Control |
| CITIGROUP INC. | DE | ASSOCIATED MADISON COMPANIES, INC. | E | Control |
| CITIGROUP INC. | DE | ASSOCIATED MADISON COMPANIES, INC. | E | Control |
| METLIFE INSURANCE COMPANY OF CONNECTICUT (FORMERLY TRAVELERS INSURANCE COMPANY) | DE | PLAZA LLC | E | Control |
| METLIFE INSURANCE COMPANY OF CONNECTICUT (FORMERLY TRAVELERS INSURANCE COMPANY) | DE | PLAZA LLC | E | Control |
| METLIFE INSURANCE COMPANY OF CONNECTICUT (FORMERLY TRAVELERS INSURANCE COMPANY) | DE | PLAZA LLC | E | Control |
| METLIFE INSURANCE COMPANY OF CONNECTICUT (FORMERLY TRAVELERS INSURANCE COMPANY) | DE | PLAZA LLC | E | Control |
| METLIFE INSURANCE COMPANY OF CONNECTICUT (FORMERLY TRAVELERS INSURANCE COMPANY) | DE | PLAZA LLC | E | Control |
| METLIFE INSURANCE COMPANY OF CONNECTICUT (FORMERLY TRAVELERS INSURANCE COMPANY) | DE | PLAZA LLC | E | Control |
| METLIFE INSURANCE COMPANY OF CONNECTICUT (FORMERLY TRAVELERS INSURANCE COMPANY) | DE | PLAZA LLC | E | Control |
| METLIFE INSURANCE COMPANY OF CONNECTICUT (FORMERLY TRAVELERS INSURANCE COMPANY) | DE | PLAZA LLC | E | Control |
| METLIFE INSURANCE COMPANY OF CONNECTICUT (FORMERLY TRAVELERS INSURANCE COMPANY) | DE | PLAZA LLC | E | Control |
| METLIFE INSURANCE COMPANY OF CONNECTICUT (FORMERLY TRAVELERS INSURANCE COMPANY) | DE | PLAZA LLC | E | Control |
| METLIFE INSURANCE COMPANY OF CONNECTICUT (FORMERLY TRAVELERS INSURANCE COMPANY) | DE | PLAZA LLC | E | Control |
| METLIFE INSURANCE COMPANY OF CONNECTICUT (FORMERLY TRAVELERS INSURANCE COMPANY) | DE | PLAZA LLC | E | Control |
| METLIFE INSURANCE COMPANY OF CONNECTICUT (FORMERLY TRAVELERS INSURANCE COMPANY) | DE | PLAZA LLC | E | Control |
| METLIFE INSURANCE COMPANY OF CONNECTICUT (FORMERLY TRAVELERS INSURANCE COMPANY) | DE | PLAZA LLC | E | Control |
| METLIFE INSURANCE COMPANY OF CONNECTICUT (FORMERLY TRAVELERS INSURANCE COMPANY) | DE | PLAZA LLC | E | Control |
| METLIFE INSURANCE COMPANY OF CONNECTICUT (FORMERLY TRAVELERS INSURANCE COMPANY) | DE | PLAZA LLC | E | Control |
| METLIFE INSURANCE COMPANY OF CONNECTICUT (FORMERLY TRAVELERS INSURANCE COMPANY) | DE | PLAZA LLC | E | Control |
| METLIFE INSURANCE COMPANY OF CONNECTICUT (FORMERLY TRAVELERS INSURANCE COMPANY) | DE | PLAZA LLC | E | Control |
| METLIFE INSURANCE COMPANY OF CONNECTICUT (FORMERLY TRAVELERS INSURANCE COMPANY) | DE | PLAZA LLC | E | Control |
| METLIFE, INC. | DE | THE TRAVELERS INSURANCE COMPANY | E | Control |
| METLIFE, INC. | DE | THE TRAVELERS INSURANCE COMPANY | E | Control |
| METLIFE, INC. | DE | METLIFE INSURANCE COMPANY OF CONNECTICUT (FORMERLY TRAVELERS INSURANCE COMPANY) | E | Control |
| METLIFE, INC. | DE | THE TRAVELERS INSURANCE COMPANY | E | Control |
| METLIFE, INC. | DE | THE TRAVELERS INSURANCE COMPANY | E | Control |
| METLIFE, INC. | DE | METLIFE INSURANCE COMPANY OF CONNECTICUT (FORMERLY TRAVELERS INSURANCE COMPANY) | E | Control |
| METLIFE, INC. | DE | METLIFE INSURANCE COMPANY OF CONNECTICUT (FORMERLY TRAVELERS INSURANCE COMPANY) | E | Control |
| METLIFE, INC. | DE | METLIFE INSURANCE COMPANY OF CONNECTICUT (FORMERLY TRAVELERS INSURANCE COMPANY) | E | Control |
| METLIFE, INC. | DE | METLIFE INSURANCE COMPANY OF CONNECTICUT (FORMERLY TRAVELERS INSURANCE COMPANY) | E | Control |
| METLIFE, INC. | DE | METLIFE INSURANCE COMPANY OF CONNECTICUT (FORMERLY TRAVELERS INSURANCE COMPANY) | E | Control |
| METLIFE, INC. | DE | METLIFE INSURANCE COMPANY OF CONNECTICUT (FORMERLY TRAVELERS INSURANCE COMPANY) | E | Control |
| METLIFE, INC. | DE | METLIFE INSURANCE COMPANY OF CONNECTICUT (FORMERLY TRAVELERS INSURANCE COMPANY) | E | Control |
| METLIFE, INC. | DE | THE TRAVELERS INSURANCE COMPANY | E | Control |
| METLIFE, INC. | DE | THE TRAVELERS INSURANCE COMPANY | E | Control |
| METLIFE, INC. | DE | THE TRAVELERS INSURANCE COMPANY | E | Control |
| METLIFE, INC. | DE | THE TRAVELERS INSURANCE COMPANY | E | Control |
| METLIFE, INC. | DE | THE TRAVELERS INSURANCE COMPANY | E | Control |
| METLIFE, INC. | DE | THE TRAVELERS INSURANCE COMPANY | E | Control |
| METLIFE, INC. | DE | METLIFE INSURANCE COMPANY OF CONNECTICUT (FORMERLY TRAVELERS INSURANCE COMPANY) | E | Control |
| METLIFE, INC. | DE | METLIFE INSURANCE COMPANY OF CONNECTICUT (FORMERLY TRAVELERS INSURANCE COMPANY) | E | Control |
| METLIFE, INC. | DE | THE TRAVELERS INSURANCE COMPANY | E | Control |
| METLIFE, INC. | DE | METLIFE INSURANCE COMPANY OF CONNECTICUT (FORMERLY TRAVELERS INSURANCE COMPANY) | E | Control |
| METLIFE, INC. | DE | METLIFE INSURANCE COMPANY OF CONNECTICUT (FORMERLY TRAVELERS INSURANCE COMPANY) | E | Control |
| METLIFE, INC. | DE | METLIFE INSURANCE COMPANY OF CONNECTICUT (FORMERLY TRAVELERS INSURANCE COMPANY) | E | Control |
| METLIFE, INC. | DE | METLIFE INSURANCE COMPANY OF CONNECTICUT (FORMERLY TRAVELERS INSURANCE COMPANY) | E | Control |
| METLIFE, INC. | DE | METLIFE INSURANCE COMPANY OF CONNECTICUT (FORMERLY TRAVELERS INSURANCE COMPANY) | E | Control |
| METLIFE, INC. | DE | METLIFE INSURANCE COMPANY OF CONNECTICUT (FORMERLY TRAVELERS INSURANCE COMPANY) | E | Control |
| METLIFE, INC. | DE | METLIFE INSURANCE COMPANY OF CONNECTICUT (FORMERLY TRAVELERS INSURANCE COMPANY) | E | Control |
| METLIFE, INC. | DE | METLIFE INSURANCE COMPANY OF CONNECTICUT (FORMERLY TRAVELERS INSURANCE COMPANY) | E | Control |
| METLIFE, INC. | DE | METLIFE INSURANCE COMPANY OF CONNECTICUT (FORMERLY TRAVELERS INSURANCE COMPANY) | E | Control |
| PFS SERVICES, INC. | DE | TRAVELERS INSURANCE GROUP, INC. | E | Control |
| PFS SERVICES, INC. | DE | TRAVELERS INSURANCE GROUP, INC. | E | Control |
| PFS SERVICES, INC. | DE | TRAVELERS INSURANCE GROUP, INC. | E | Control |
| PFS SERVICES, INC. | DE | TRAVELERS INSURANCE GROUP, INC. | E | Control |
| PFS SERVICES, INC. | DE | TRAVELERS INSURANCE GROUP, INC. | E | Control |
| PFS SERVICES, INC. | DE | TRAVELERS INSURANCE GROUP, INC. | E | Control |
| PFS SERVICES, INC. | DE | TRAVELERS INSURANCE GROUP, INC. | E | Control |
| PFS SERVICES, INC. | DE | TRAVELERS INSURANCE GROUP, INC. | E | Control |
| PFS SERVICES, INC. | DE | TRAVELERS INSURANCE GROUP, INC. | E | Control |
| PFS SERVICES, INC. | DE | TRAVELERS INSURANCE GROUP, INC. | E | Control |
| PFS SERVICES, INC. | DE | TRAVELERS INSURANCE GROUP, INC. | E | Control |
| PFS SERVICES, INC. | DE | TRAVELERS INSURANCE GROUP, INC. | E | Control |
| PFS SERVICES, INC. | DE | TRAVELERS INSURANCE GROUP, INC. | E | Control |
| PFS SERVICES, INC. | DE | TRAVELERS INSURANCE GROUP, INC. | E | Control |
| PFS SERVICES, INC. | DE | TRAVELERS INSURANCE GROUP, INC. | E | Control |
| PFS SERVICES, INC. | DE | TRAVELERS INSURANCE GROUP, INC. | E | Control |
| PFS SERVICES, INC. | DE | TRAVELERS INSURANCE GROUP, INC. | E | Control |
| THE TRAVELERS INSURANCE COMPANY | DE | PLAZA LLC | E | Control |
| THE TRAVELERS INSURANCE COMPANY | DE | PLAZA LLC | E | Control |
| THE TRAVELERS INSURANCE COMPANY | DE | PLAZA LLC | E | Control |
| THE TRAVELERS INSURANCE COMPANY | DE | PLAZA LLC | E | Control |
| THE TRAVELERS INSURANCE COMPANY | DE | PLAZA LLC | E | Control |
| THE TRAVELERS INSURANCE COMPANY | DE | PLAZA LLC | E | Control |
| THE TRAVELERS INSURANCE COMPANY | DE | PLAZA LLC | E | Control |
| THE TRAVELERS INSURANCE COMPANY | DE | PLAZA LLC | E | Control |
| THE TRAVELERS INSURANCE COMPANY | DE | PLAZA LLC | E | Control |
| THE TRAVELERS INSURANCE COMPANY | DE | PLAZA LLC | E | Control |
| THE TRAVELERS INSURANCE COMPANY | DE | PLAZA LLC | E | Control |
| THE TRAVELERS INSURANCE COMPANY | DE | PLAZA LLC | E | Control |
| THE TRAVELERS INSURANCE COMPANY | DE | PLAZA LLC | E | Control |
| THE TRAVELERS INSURANCE COMPANY | DE | PLAZA LLC | E | Control |
| THE TRAVELERS INSURANCE COMPANY | DE | PLAZA LLC | E | Control |
| THE TRAVELERS INSURANCE COMPANY | DE | PLAZA LLC | E | Control |
| THE TRAVELERS INSURANCE COMPANY | DE | PLAZA LLC | E | Control |
| THE TRAVELERS INSURANCE COMPANY | DE | PLAZA LLC | E | Control |
| THE TRAVELERS INSURANCE COMPANY | DE | PLAZA LLC | E | Control |
| THE TRAVELERS INSURANCE COMPANY | DE | PLAZA LLC | E | Control |
| THE TRAVELERS INSURANCE COMPANY | DE | PLAZA LLC | E | Control |
| THE TRAVELERS INSURANCE COMPANY | DE | PLAZA LLC | E | Control |
| THE TRAVELERS INSURANCE COMPANY | DE | PLAZA LLC | E | Control |
| THE TRAVELERS INSURANCE COMPANY | DE | PLAZA LLC | E | Control |
| THE TRAVELERS INSURANCE COMPANY | DE | PLAZA LLC | E | Control |
| THE TRAVELERS INSURANCE COMPANY | DE | PLAZA LLC | E | Control |
| THE TRAVELERS INSURANCE COMPANY | DE | PLAZA LLC | E | Control |
| THE TRAVELERS INSURANCE COMPANY | DE | PLAZA LLC | E | Control |
| THE TRAVELERS INSURANCE GROUP, INC. | DE | THE TRAVELERS INSURANCE COMPANY | E | Control |
| THE TRAVELERS INSURANCE GROUP, INC. | DE | THE TRAVELERS INSURANCE COMPANY | E | Control |
| THE TRAVELERS INSURANCE GROUP, INC. | DE | THE TRAVELERS INSURANCE COMPANY | E | Control |
| THE TRAVELERS INSURANCE GROUP, INC. | DE | THE TRAVELERS INSURANCE COMPANY | E | Control |
| THE TRAVELERS INSURANCE GROUP, INC. | DE | THE TRAVELERS INSURANCE COMPANY | E | Control |
| THE TRAVELERS INSURANCE GROUP, INC. | DE | THE TRAVELERS INSURANCE COMPANY | E | Control |
| THE TRAVELERS INSURANCE GROUP, INC. | DE | THE TRAVELERS INSURANCE COMPANY | E | Control |
| THE TRAVELERS INSURANCE GROUP, INC. | DE | THE TRAVELERS INSURANCE COMPANY | E | Control |
| THE TRAVELERS INSURANCE GROUP, INC. | DE | THE TRAVELERS INSURANCE COMPANY | E | Control |
| THE TRAVELERS INSURANCE GROUP, INC. | DE | THE TRAVELERS INSURANCE COMPANY | E | Control |
| THE TRAVELERS INSURANCE GROUP, INC. | DE | THE TRAVELERS INSURANCE COMPANY | E | Control |
| THE TRAVELERS INSURANCE GROUP, INC. | DE | THE TRAVELERS INSURANCE COMPANY | E | Control |
| THE TRAVELERS INSURANCE GROUP, INC. | DE | THE TRAVELERS INSURANCE COMPANY | E | Control |
| THE TRAVELERS INSURANCE GROUP, INC. | DE | THE TRAVELERS INSURANCE COMPANY | E | Control |
| THE TRAVELERS INSURANCE GROUP, INC. | DE | THE TRAVELERS INSURANCE COMPANY | E | Control |
| THE TRAVELERS INSURANCE GROUP, INC. | DE | THE TRAVELERS INSURANCE COMPANY | E | Control |
| THE TRAVELERS INSURANCE GROUP, INC. | DE | THE TRAVELERS INSURANCE COMPANY | E | Control |
Registrations
Federal
IA
Mar 28, 2013 REGISTERED
Notice Filings (48)
AK AL AR CA CO CT DC DE FL GA HI IA ID IL IN KS KY LA MD ME MI MN MO MS MT NC ND NE NH NJ NM NV NY OH OK PA PR RI SC SD TN TX UT VA VT WA WI WV
Address
1095 AVENUE OF THE AMERICASNEW YORK, NY 10036
United States
Phone: 212-578-0594