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

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1 Actiance, Inc. Regional Sales Manager Social Media & Compliance Specialist Allen & Overy LLP Associate Ameriprise Financial & Chief Counsel & Group Counsel, Interactive Marketing Bank of America Assistant Senior, Social Media Compliance Bank of America Merrill Lynch, Central Business Review Unit, Wealth Management Division Managing, Global Advisor Communications Senior, Registered Principal Manager Barclays Capital Inc. Barclays Wealth Bloomberg L.P. Business Manager, Bloomberg Vault Global Marketing, Bloomberg Vault Bloomberg News Reporter BMO Nesbitt Burns, Marketing & Client Strategy Boenning & Scattergood, Inc., Marketing Broadridge Financial Solutions, Inc. Senior

2 CBS MoneyWatch.com Editor-at-Large City Securities Corporation, of Marketing & Communications Compliance Insights Copy Editor, Writer Managing Editor / Founder Cowen Group, Inc. Credit Suisse (2), National Sales Managing (2) D.A. Davidson & Co. Senior, Corporate Marketing Davis Polk & Wardwell LLP Associate (2) Dow Jones Marketing Communications Manager National Sales Reporter (2) Edward Jones Compliance Department Leader, Online Marketing Engage121 Account ETRADE FINANCIAL Audit Eurex/Deutsche Boerse Marketing

3 Federated Investors Manager, E-Marketing Fidelity Institutional Wealth Services Fidelity Investments Compliance Manager, Media Relations Senior, Records and Information Management (2) Financial Social Media, Marketing & Client Operations Gibbons P.C. Counsel Global Relay, Sales Goldman, Sachs & Co. Managing & Associate General Cousnel Guardian Life Insurance Company of America Senior Marketing Review Compliance Analyst Hearsay Social Compliance Officer, Sales Hefren-Tillotson, Inc., Marketing HiThink Financial Services Chief Technology Officer Houlihan Lokey Chief Marketing Officer Corporate Finance ICMA-RC, Marketing Operations

4 The Investment Center, Inc. J.J.B. Hilliard, W.L. Lyons, LLC Executive &, Private Client Group Janney Montgomery Scott Senior &, Marketing and Corporate Communications JP Morgan Chase Information Risk Manager JPMorgan Asset Management Assistant Lebert Co. Compliance Professional Legg Mason, Advisor Business Development, Strategic Initiatives Liquidnet Holdings Media Relations & Communications LPL Financial Services Managing & Co-Founder Senior, Advisor Marketing Macquarie Capital (USA) Inc. Senior, Compliance MarketAxess Corporation Corporate Attorney Marketing & Communications Paralegal MassMutual Financial Group Assistant & Counsel Merrill Lynch Assistant

5 Merrill Lynch Wealth Management Mesirow Financial Marketing and Event Manager MetLife Securities, Inc. Assistant Regional Sales Supervision Manager Senior Auditor Morgan Lewis Attorney Morgan Stanley Smith Barney Head of Social Media Managing, of Company Compliance Managing, New York Region Senior, Wealth Manager (3), Risk Management Morrison & Foerster Associate National Financial, a Fidelity Investments Company, Relationship Management Nomura Institute of Capital Markets Research The North Highland Company Principal Consultant Northwestern Mutual Investment Services, LLC Assistant, Electronic Communications & Records Compliance NYSE Euronext Editorial Managing Oppenheimer & Co. Inc.

6 Regulatory Supervisor Trader Pershing, a BNY Mellon company Assistant Group Head, Corporate Communications and Planning Prospera Financial Services, Inc. Protiviti Managing Prudential Financial Associate Manager, Sales Compliance Raymond James & Associates, Inc., Advisor Services & of Marketing RBC Capital Markets Associate Senior Manager RBC Wealth Management Senior Consultant, Online Solutions - Marketing Registered Rep Reporter Robert W. Baird & Co. Senior Field Marketing Specialist S&P Indices Associate, Marketing Marketing & Communications Securities and Exchange Commission Attorney Advisor Seeking Alpha, Business Development

7 Siegel+Gale, Business Development SIFMA Executive (2) Managing (3) Managing & Counsel Policy Analyst Smarsh, Inc. Account Executive Socialware Sales (2) Starcom World Wide &, Marketing Stifel, Nicolaus & Co., Inc. Surveillance Manager Stockr, Inc. Co-Founder & Chief Executive Officer TD Ameritrade Holding Corporation Deputy General Counsel Thomson Reuters Head of Content Strategy and Distribution Reporter (3) TIAA-CREF Managing & General Counsel Trade PMR Chief Executive Officer UBS FICC Compliance Officer Strategic Analyst, Advisory Marketing UBS Wealth Management

8 United Realty Partners, Digital Marketing USAA Social Media Counsel Wedbush Securities, Marketing Wells Fargo Advisors, Brand & Advertising First Managing & Chief Operating Officer & Westport Resources Manager, Client Relations William Blair & Company Head of Brand Marketing & Communications Ziegler Wealth Management

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

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