Sun Royal Holdings CorporationShareholder 1 Jan 199075% - 100%95-4279445Hyman CohenChief executive officer, director 1 Oct 1991Other1102611Arthur Michael Sr TambaroChief operating officer 1 Nov 1991Other1595205Francis Albie Jr HayesExecutive vice president 1 Oct 1992Other1425202Abraham M MinzSenior registered options principal/compliance registered options principal 1 Feb 1995Other1334705Betty Ann SullivanChief financial officer 1 Nov 1997Other3022591Maria Carmen HermidaVice president, associate general counsel, assistant corp. secy. 1 Sep 1998Other3146125Mark David QuinnChief legal officer 1 Dec 1998Other1057361John Daniel McgovernFirst vice president and chief compliance officer 1 Feb 2000Other1529885Mark M GoldbergPresident 1 Jun 2001Other2385234Kevin John HartDirector 1 Jun 2001Other1605701John Stark WhiteSenior vice president 1 May 2002Other1050402Inc. Aig Advisor GroupShareholder 1 Jan 200475% - 100%86-0623864Inc. Advisor GroupShareholder 1 Jan 200475% - 100%86-0623864Steven Elliot RothsteinChief financial officer 1 Mar 2004Other1292456Scott Thomas HernbergSenior vice president 1 May 2004Other2394638Rosemary Elizabeth MageeFirst vice president and chief compliance officer 1 Oct 2004Other1263474Ralph Lawrence RothPresident 1 Jan 2006Other1432179Jason Roberto AlbinoCompliance registered options principal 1 Jul 2006Other2891263Orit Heather SmallSenior registered options principal 1 Jul 2006Other2786459Jerome John MurphyChief compliance officer 1 Sep 2006Other2796596James Philip BodovitzChief compliance officer 1 Feb 2007Other2983570Arthur Michael Sr TambaroPresident 1 Sep 2007Other1595205Noah David SorkinExecutive vice president, general counsel and secretary 1 Jul 2008Other1832767William Gerard PeetMunicipal principal 1 May 2009Other2139630Inger Wilson FieldsVice president, treasurer and finop 1 Feb 2010Other1690043Ralph Lawrence RothDirector 1 Feb 2010Other1432179Jerome John MurphyDirector 1 Feb 2010Other2796596Randy EprightChief operations officer 1 Feb 2010Otherxxx-xx-xxxxJoseph Daniel Jr NearyChief compliance officer 1 Feb 2010Other2993505Craig Harold DahmenSenior vice president and chief financial officer, assistant treasurer 1 Mar 2012Other3245626James Dean SiegelChief compliance officer-bd 1 Apr 2012Other2973132Joseph Daniel Jr NearyChief compliance officer-ria 1 May 2012Other2993505Erica Maja McginnisHead of supervision 1 May 2012Other2380497Ken MuraokaHead of compliance 1 May 2012Other4271620Matthew Adam SchlueterChief operations officer 1 May 2012Other2627931Helen Howard PraterDirector, senior vice president, operations 1 May 2012Other1354495Erica Maja McginnisChief compliance officer, investment advisory 1 Apr 2013Other2380497Jeffrey Andrew PlantyVice president, operations 1 Apr 2013Other1620491Sally Hanson BourdamisVice president, brokerage services 1 Apr 2013Other1812157Mary Kathryn SimonsonVice president and chief compliance officer 1 Apr 2013Other1297398Michael Ronald McreynoldsFirst vice president 1 Apr 2013Other816602Gerald Charles MohrAssistant vice president, commission 1 Apr 2013Other2119802William Thomas Jr DevanneyVice president, tax officer 1 Apr 2013Other2130088Erica Maja McginnisDirector, chairperson 1 Oct 2013Other2380497Kenneth Ray GoodallChief compliance officer, investment advisory 1 Oct 2013Other2682569Dmitry GoldinDirector, chief executive officer, president 1 Jan 2014Other3011313Dmitry Nmn GoldinDirector, chief executive officer, president 1 Jan 2014Other3011313Justin 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 2017Other6302448Matthew Adam SchlueterDirector, evp 1 Mar 2019Other2627931