Bank of America Senior Vice President, Digital Marketing Senior Vice President, Electronic Communications & Social Media Compliance Vice President

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1 ABN AMRO Chief Compliance Officer Actiance, Inc. General Manager, Social Business AICPA CPA Insider Allen & Overy Partner AllianceBernstein Senior AllianceBernstein Cash Management Services Assistant & Internal Auditor B.C. Ziegler and Company, Business Development Babson Capital Management, AML Compliance & Financial Crimes Prevention Bank Hapoalim Assistant & Senior Auditor (2) Bank of America Senior, Digital Marketing Senior, Electronic Communications & Social Media Compliance Bank of America Merrill Lynch, Wealth Management Division & Associate General Counsel, Global Advisor Communications Senior & Head of Regulatory Affairs, Global Banking and Markets Senior & Registered Principal Manager (2) Barclays Capital

2 , Information Risk Management Bingham McCutchen LLP Partner Bloomberg BNA Journalist Boenning & Scattergood, Marketing Capital One Cascade Financial Management, Inc. Chief Executive Officer Cetera Financial Group, Advisor Marketing Programs Charles Schwab, Strategy Strategy Intern City Securities Corporation, of Marketing & Communications ConvergEx Execution Solutions Credit Suisse, National Sales Deloitte & Touche ERS Senior Manager Deutsche Bank AG Dow Jones Product Manager (2)

3 Duncan-Williams, Inc Social Media Manager E*TRADE Financial Manager, Product Management Edward D. Jones & Co. L.P. Deputy General Counsel, Online Marketing Fidelity Brokerage Services, LLC Compliance & Program Lead Senior Compliance Senior Marketing Compliance Advisor Senior & Deputy General Counsel & Associate General Counsel, Risk Management Financial Social Media Partner President FINRA, Advertising Regulation and Corporate Finance Fitch Ratings The GMS Group, LLC Executive Goldman Sachs Asset Management Associate Harris Financial Managing Partner Hearsay Social Chief Executive Officer, Eastern Region Head of Compliance Senior Solution Consultant

4 Hefren-Tillotson, Inc., Marketing Inside Reference Data ITG Inc. Associate General Counsel & General Counsel InvestmentNews Janney Montgomery Scott LLC &, Client Marketing Strategies Kelley Drye & Warren LLP Partner Legg Mason, Advisor Business Development Linkedin Account Executive (2) Manager, Financial Services Marketing Solutions LPL Financial Services Assistant Executive, Advisor Marketing Senior Macquarie Capital (USA) Inc. Senior, Compliance Merrill Lynch MetLife Senior Counsel Monument Wealth Management Morgan Stanley Executive, Legal and Compliance

5 Social Media Content Manager Morgan Stanley Smith Barney Executive Executive - Digital Strategy, Social Media and Content, New York Region The NASDAQ Stock Market The North Highland Company Consultant Omgeo LLC OnWall Street Magazine Oppenheimer & Co. Inc Executive, National Principal, Compliance Registered Options Securities Futures Pershing, a BNY Mellon company Assistant Prudential Insurance Company of America, Compliance Raymond James, Advisor Services & of Marketing RBC Capital Markets, Technology and Licensing Compliance RBC Wealth Management Manager, Online Solutions & Social Media Registered Rep Robert W. Baird Digital Strategist

6 Royal Bank of Canada Oversight Analyst SAC Capital Advisors, L.P. Associate Compliance Officer Securities and Exchange Commission Assistant, Division of Enforcement Attorney-Advisor Examiner SIFMA Analyst & Associate General Counsel, of Research Member Services Specialist, Exhibit & Sponsorship Sales Socialware Chief Executive Officer Southsest Securities, Inc. Compliance Manager Standards & Poor Capital Sterne Agee Group Chief Executive Officer & Executive, Asset Management Stifel, Nicolaus & Co., Inc. Surveillance Manager TD Ameritrade Holding Corporation Chief Privacy Officer Senior Thomson Reuters Head, Content Strategy and Distribution (3) TIAA-CREF

7 & General Counsel, Corporate TradeStation Group U.S. Bancorp Investments & Head, Supervision U.S. Bank &, Marketing and Communications UBS Financial Services Head, Advisory & Solutions Marketing Head, Field Compliance UBS Wealth Management Marketing Manager USAA Marketing Manager, USAA Investments The Vanguard Group Advertising Compliance Analyst Associate Counsel Manager, Advertising Compliance Social Media Intern Wedbush Securities Marketing Communications, Equity Research & Footwear and Apparel Analyst, Marketing Wells Fargo Digital Strategist, Internet Services & Client Reporting Internet Business Manager Senior (2) Senior & Wealth, Brokerage and Retirement & Marketing Manager Westport Resources Investment Services, Inc. Chief Compliance Officer

8 William Blair & Company Head, Brand Marketing & Communications Partner & General Counsel Wunderlich Securities Marketing and Production Assistant

Actiance, Inc. Regional Sales Manager Social Media & Compliance Specialist. Allen & Overy LLP Associate

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