Sagepoint Financial, Inc. (Phoenix)

Aig Advisor Group Inc.Shareholder1 Sep 200475% - 100%86-0623854Advisor Group Inc.Shareholder1 Sep 200475% - 100%86-0623854Inc. Advisor GroupShareholder1 Sep 200475% - 100%86-0623854Steven Elliot RothsteinDirector, e.v.p.,cfo, treasurer1 Sep 2004Other1292456Susanne Marie DenbyV.p., chief compliance officer1 Sep 2004Other2617514Randy EprightChief operating officer1 Mar 2008Otherxxx-xx-xxxxJeffrey Michael AuldDirector, chief executive officer, president1 Jun 2008Other857528Noah David SorkinExecutive vice president, general counsel and secretary1 Jun 2008Other1832767Ralph Lawrence RothDirector1 Jul 2008Other1432179Jerome John MurphyDirector1 Jul 2008Other2796596James Burke BrownSenior vice president national sales1 Oct 2008Other1664825William Gerard PeetMinicipal prinicipal1 May 2009Other2139630Inger Wilson FieldsVice president, treasurer and finop1 Feb 2010Other1690043Mary Kathryn SimonsonChief compliance officer1 Sep 2010Other1297398Craig Harold DahmenSenior vice president and chief financial officer, assistant treasurer1 Mar 2012Other3245626Joseph Daniel Jr NearyChief compliance officer-ria1 May 2012Other2993505Erica Maja McginnisHead of supervision1 May 2012Other2380497Ken MuraokaHead of compliance1 May 2012Other4271620Matthew Adam SchlueterChiefoperations officer1 May 2012Other2627931Helen Howard PraterDirector, senior vice president, operations1 May 2012Other1354495Erica Maja McginnisChief compliance officer, investment advisory1 Apr 2013Other2380497Sally Hanson BourdamisVice president, brokerage services1 Apr 2013Other1812157William Thomas Jr DevanneyVice president, tax officer1 Apr 2013Other2130088Erica Maja McginnisDirector, chairperson1 Oct 2013Other2380497Kenneth Ray GoodallChief compliance officer, investment advisory1 Oct 2013Other2682569Justin Ives SaccaVice president, chief compliance officer1 May 2014Other4043711Henry Jr. SanchezIa only compliance officer1 May 2014Other4711576Robert John GuldnerChief compliance officer, investment advisory1 Aug 2014Other2283980Matthew Adam SchlueterChief administrative officer, evp1 Nov 2014Other2627931James David BallardDirector1 Nov 2014Other1714327Matthew Adam SchlueterDirector, chief operations officer, evp1 May 2015Other2627931Thomas Blake SidloMinicipal prinicipal1 Jan 2016Other1012276Valerie Gay BrownChairperson1 Aug 2016Other4619265Ahmed Saad HassaneinChief accounting officer, finop1 Aug 2016Other2888045James Dale PriceChairman1 Nov 2016Other1243224David Martin SchmidtTreasurer and financial operations principal, fnop1 Mar 2017Other5675524Cynthia A HamelDirector, chief operations officer, evp1 May 2017Other3014361Cynthia Ann HamelChief operations officer, evp1 May 2017Other3014361Nina Schloesser MckennaExecutive vice president, general counsel, secretary1 Jun 2017Other6302448Steven David SchlegelVice president, chief compliance officer1 Mar 2019Other2210096Matthew Adam SchlueterDirector, evp1 Mar 2019Other2627931

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