| EDGEWATER MARKETS LLC |
| NFA ASSOCIATE MEMBER APPROVED | 05/03/2013 |
| ASSOCIATED PERSON REGISTERED | 05/03/2013 |
| NFA ASSOCIATE MEMBER PENDING | 05/01/2013 |
| PRINCIPAL APPROVED | 05/01/2013 |
| ASSOCIATED PERSON PENDING | 04/29/2013 |
| ROSENTHAL COLLINS GROUP LLC |
| SWAP ASSOCIATED PERSON APPROVED | 03/13/2013 |
| SWAP ASSOCIATED PERSON PENDING | 02/28/2013 |
| PRINCIPAL APPROVED | 02/27/2013 |
| BRANCH MANAGER APPROVED | 09/21/2010 |
| BRANCH MANAGER PENDING | 09/17/2010 |
| FOREX ASSOCIATED PERSON PENDING STATUS WITHDRAWN | 09/17/2010 |
| FOREX ASSOCIATED PERSON PENDING | 09/16/2010 |
| ASSOCIATED PERSON REGISTERED | 06/12/2009 |
| ASSOCIATED PERSON TEMPORARY LICENSE | 06/09/2009 |
| NFA ASSOCIATE MEMBER APPROVED | 06/09/2009 |