• For the last 2-3 years, LatAm teams have not had appropriately licensed supervisors from a broker dealer perspective Confidential EFTA01394822 Miami Business Row Labels =I Miami 14 J - r Latam 51 Josie Alonso 7 Pascal Landrove 18 Reynaldo Figueredo 25 Sergio Stiglich 1 Americas USO 89 Carol

tified in 2018 For the last 2-3 years, LatAm teams have not had appropriately licensed supervisors from a broker dealer perspective EFTA01399271 Miami Business 6 EFTA01399272 * Refer to Excel file for details: 1 Temporary Exception Overdue (shown in red) 3 Temporary Exceptions Future Due (in yellow) —