| LASSER MARSHALL INC |
| • ASSOCIATED PERSON WITHDRAWN | 05/30/1990 |
| • NFA ASSOCIATE MEMBER WITHDRAWN | 05/30/1990 |
| • ASSOCIATED PERSON REGISTERED | 06/01/1989 |
| • NFA ASSOCIATE MEMBER APPROVED | 04/21/1989 |
| • ASSOCIATED PERSON TEMPORARY LICENSE | 04/21/1989 |
| TFS DERIVATIVES CORPORATION |
| • PRINCIPAL APPROVED | 03/15/2013 |
| • ASSOCIATED PERSON REGISTERED | 01/07/2010 |
| • ASSOCIATED PERSON TEMPORARY LICENSE | 01/07/2010 |
| • NFA ASSOCIATE MEMBER APPROVED | 01/07/2010 |
| TFS ENERGY FUTURES LLC |
| • PRINCIPAL APPROVED | 12/27/2012 |
| • SWAP ASSOCIATED PERSON APPROVED | 12/27/2012 |
| • ASSOCIATED PERSON REGISTERED | 01/07/2010 |
| • ASSOCIATED PERSON TEMPORARY LICENSE | 01/07/2010 |
| • NFA ASSOCIATE MEMBER APPROVED | 01/07/2010 |
| TFS ICAP LLC |
| • PRINCIPAL APPROVED | 10/08/2012 |
| THOMASLLOYD GLOBAL ASSET MANAGEMENT C |
| • PRINCIPAL WITHDRAWN | 04/25/2009 |
| • PRINCIPAL APPROVED | 01/16/2009 |
| • PRINCIPAL PENDING | 01/05/2009 |
| TRADITION SECURITIES AND FUTURES INC |
| • PRINCIPAL APPROVED | 09/27/2012 |
| • PRINCIPAL WITHDRAWN | 07/02/2012 |
| • PRINCIPAL APPROVED | 05/17/2010 |
| • ASSOCIATED PERSON REGISTERED | 01/07/2010 |
| • ASSOCIATED PERSON TEMPORARY LICENSE | 12/18/2009 |
| • NFA ASSOCIATE MEMBER APPROVED | 12/18/2009 |
| • ASSOCIATED PERSON PENDING | 11/10/2009 |
| • NFA ASSOCIATE MEMBER PENDING | 11/10/2009 |