Sagepoint Financial, Inc. (Phoenix)

Aig Advisor Group Inc.Shareholder 1 Sep 200475% - 100%86-0623854Advisor Group Inc.Shareholder 1 Sep 200475% - 100%86-0623854Inc. Advisor GroupShareholder 1 Sep 200475% - 100%86-0623854Steven Elliot RothsteinDirector, e.v.p.,cfo, treasurer 1 Sep 2004Other1292456Susanne Marie DenbyV.p., chief compliance officer 1 Sep 2004Other2617514Randy EprightChief operating officer 1 Mar 2008Otherxxx-xx-xxxxJeffrey Michael AuldDirector, chief executive officer, president 1 Jun 2008Other857528Noah David SorkinExecutive vice president, general counsel and secretary 1 Jun 2008Other1832767Ralph Lawrence RothDirector 1 Jul 2008Other1432179Jerome John MurphyDirector 1 Jul 2008Other2796596James Burke BrownSenior vice president national sales 1 Oct 2008Other1664825William Gerard PeetMinicipal prinicipal 1 May 2009Other2139630Inger Wilson FieldsVice president, treasurer and finop 1 Feb 2010Other1690043Mary Kathryn SimonsonChief compliance officer 1 Sep 2010Other1297398Craig Harold DahmenSenior vice president and chief financial officer, assistant treasurer 1 Mar 2012Other3245626Joseph Daniel Jr NearyChief compliance officer-ria 1 May 2012Other2993505Erica Maja McginnisHead of supervision 1 May 2012Other2380497Ken MuraokaHead of compliance 1 May 2012Other4271620Matthew Adam SchlueterChiefoperations officer 1 May 2012Other2627931Helen Howard PraterDirector, senior vice president, operations 1 May 2012Other1354495Erica Maja McginnisChief compliance officer, investment advisory 1 Apr 2013Other2380497Sally Hanson BourdamisVice president, brokerage services 1 Apr 2013Other1812157William Thomas Jr DevanneyVice president, tax officer 1 Apr 2013Other2130088Erica Maja McginnisDirector, chairperson 1 Oct 2013Other2380497Kenneth Ray GoodallChief compliance officer, investment advisory 1 Oct 2013Other2682569Justin Ives SaccaVice president, chief compliance officer 1 May 2014Other4043711Henry Jr. SanchezIa only compliance officer 1 May 2014Other4711576Robert John GuldnerChief compliance officer, investment advisory 1 Aug 2014Other2283980Matthew Adam SchlueterChief administrative officer, evp 1 Nov 2014Other2627931James David BallardDirector 1 Nov 2014Other1714327Matthew Adam SchlueterDirector, chief operations officer, evp 1 May 2015Other2627931Thomas Blake SidloMinicipal prinicipal 1 Jan 2016Other1012276Valerie Gay BrownChairperson 1 Aug 2016Other4619265Ahmed Saad HassaneinChief accounting officer, finop 1 Aug 2016Other2888045James Dale PriceChairman 1 Nov 2016Other1243224David Martin SchmidtTreasurer and financial operations principal, fnop 1 Mar 2017Other5675524Cynthia A HamelDirector, chief operations officer, evp 1 May 2017Other3014361Cynthia Ann HamelChief operations officer, evp 1 May 2017Other3014361Nina Schloesser MckennaExecutive vice president, general counsel, secretary 1 Jun 2017Other6302448Steven David SchlegelVice president, chief compliance officer 1 Mar 2019Other2210096Matthew Adam SchlueterDirector, evp 1 Mar 2019Other2627931