| Title | Company |
|---|---|
| Mutual Fund Customer Service Representative, Capital Markets Compliance Officer | Legg Mason , Inc. |
| Vice President and the Private Client Services Compliance Officer | Jefferies & Company , Inc. |
| Consumer Service and Compliance Officer | New York State Insurance Department |
| Vice President, Client Services and Chief Compliance Officer | Barrett Capital Management , LLC |
| Director of Client Services and Chief Compliance Officer | Cassaday & Co. |
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