NSCP.ORG

Michael Primo

Holly Orefice 3/4/22 Holly Orefice 3/4/22

Michael Primo

Senior Product Counsel

Edelman Financial Engines

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Kelly Zigaitis

Holly Orefice 3/3/22 Holly Orefice 3/3/22

Kelly Zigaitis

Head of Compliance, Emerging Businesses

Block

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Jennifer Szaro

Holly Orefice 3/2/22 Holly Orefice 3/2/22

Jennifer Szaro

Chief Compliance Officer

XML Securities, LLC

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Daniel Wright

Holly Orefice 2/10/22 Holly Orefice 2/10/22

Daniel Wright

Senior Vice President, Chief Compliance Officer, Head of Broker Dealer Compliance

AllianceBernstein

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Kurt Wachholz

Holly Orefice 12/8/21 Holly Orefice 12/8/21

Kurt Wachholz

Managing Director

Bates Group

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Philip Wellman

Holly Orefice 11/10/21 Holly Orefice 11/10/21

Philip Wellman

Head of Mutual Fund and RIA Compliance

MassMutual

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Marla Wooton

Holly Orefice 9/7/21 Holly Orefice 9/7/21

Marla Wooton

Chief Compliance Officer

Miracle Mile Advisors

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Jeff Ziesman

Holly Orefice 8/12/21 Holly Orefice 8/12/21

Jeff Ziesman

Partner

Norton Rose Fulbright

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John Van Der Wal

Holly Orefice 8/12/21 Holly Orefice 8/12/21

John Van Der Wal

Senior Director – Compliance Advisory

COMPLY

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Jill Varner

Holly Orefice 7/1/21 Holly Orefice 7/1/21

Jill Varner

Chief Compliance Officer

Versus Capital

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Igor Rozenblit

Holly Orefice 6/11/21 Holly Orefice 6/11/21

Igor Rozenblit

Partner

Iron Road Partners, LLC

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Craig Watanabe

Holly Orefice 6/2/21 Holly Orefice 6/2/21

Craig Watanabe

Director IA Compliance

DFPG Investments

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Connor Thomas

Holly Orefice 4/10/21 Holly Orefice 4/10/21

Connor Thomas

VP Business Development

CapitalRock

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Cathy Vasilev

Holly Orefice 8/5/20 Holly Orefice 8/5/20

Cathy Vasilev

Chief Operating Officer

Red Oak Compliance Solutions, LLC

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