OR, CHIEF COMPLIANCE OFFICER, CO-GENERAL COUNSEL SENIOR MANAGING DIRECTOR AND 05/2013 05/2013 NA NA Y N N 5730383 1078210 Date Title or Ownership Control PR CRD No. If None: S.S. No. Status Acquired Code Person and Date of Birth, IRS Tax MM/YYYY No. or Employer ID No. CONFIDENTIAL - PURSUANT TO FED. R. CR