| Owner | Title | From | %Ownership |
|---|---|---|---|
| Michals, Phillip William | Partner | 07/2021 | 25-50% |
| Gambardella, Raffaele | Partner | 07/2021 | 25-50% |
| Higgins, Thomas Joseph | Principal Operations Officer | 09/2018 | < 5% |
| Michals, Phillip William | Chief Executive Officer | 01/2019 | < 5% |
| Lauriello, Anthony Joseph | Municipal Securities Principal | 02/2019 | < 5% |
| Venezia, John Joseph | Chief Compliance Officer - Broker Dealer, Ria | 05/2019 | < 5% |
| Klein, Craig Erin | CFO, Principal Financial Officer | 10/2019 | < 5% |
| Gambardella, Raffaele | Coo/chief Risk Officer | 06/2020 | < 5% |
| David Bocchi Family Trust | Partner | 07/2021 | 25-50% |
| Bocchi, David Arthur | Trustee | 09/2020 | > 75% |
| Alliance Global Holdings, Inc. | Holding Company | 07/2021 | > 75% |
