| • ALSO SEE NFA ID 0089948 |
| |
| BEST DIRECT SECURITIES LLC |
| • PRINCIPAL WITHDRAWN | 09/15/2010 |
| • PRINCIPAL APPROVED | 05/30/2008 |
| • PRINCIPAL PENDING | 05/29/2008 |
| DANA FUTURES CORP OF IOWA |
| • ASSOCIATED PERSON WITHDRAWN | 09/02/1985 |
| • NFA ASSOCIATE MEMBER WITHDRAWN | 09/02/1985 |
| • NFA ASSOCIATE MEMBER APPROVED | 08/01/1985 |
| • ASSOCIATED PERSON REGISTERED | 06/21/1984 |
| MOUNTAIN TOWN CORPORATION |
| • PRINCIPAL WITHDRAWN | 07/01/1983 |
| • PRINCIPAL APPROVED | 09/10/1980 |
| PEREGRINE ASSET MANAGEMENT INC |
| • PRINCIPAL WITHDRAWN | 04/30/2013 |
| • PRINCIPAL APPROVED | 10/22/2008 |
| PEREGRINE FINANCIAL GROUP INC |
| • FOREX ASSOCIATED PERSON WITHDRAWN | 12/11/2012 |
| • NFA ASSOCIATE MEMBER WITHDRAWN | 12/11/2012 |
| • FOREX ASSOCIATED PERSON APPROVED | 09/02/2010 |
| • FOREX ASSOCIATED PERSON PENDING | 09/02/2010 |
| • NFA ASSOCIATE MEMBER APPROVED | 07/15/1992 |
| • ASSOCIATED PERSON REGISTERED | 07/15/1992 |
| • PRINCIPAL APPROVED | 07/15/1992 |
| • ASSOCIATED PERSON PENDING | 01/13/1992 |
| • NFA ASSOCIATE MEMBER PENDING | 01/13/1992 |
| • PRINCIPAL PENDING | 01/13/1992 |
| • ASSOCIATED PERSON PENDING STATUS WITHDRAWN | 12/07/1990 |
| • NFA ASSOCIATE MEMBER PENDING STATUS WITHDRAWN | 12/07/1990 |
| • PRINCIPAL PENDING STATUS WITHDRAWN | 12/07/1990 |
| • ASSOCIATED PERSON PENDING | 09/10/1990 |
| • NFA ASSOCIATE MEMBER PENDING | 09/10/1990 |
| • PRINCIPAL PENDING | 09/10/1990 |
| SANDNER & WASENDORF INC |
| • ASSOCIATED PERSON WITHDRAWN | 01/21/1998 |
| • BRANCH MANAGER WITHDRAWN | 01/21/1998 |
| • NFA ASSOCIATE MEMBER WITHDRAWN | 01/21/1998 |
| • PRINCIPAL WITHDRAWN | 01/21/1998 |
| • ASSOCIATED PERSON REGISTERED | 09/17/1993 |
| • BRANCH MANAGER APPROVED | 09/17/1993 |
| • NFA ASSOCIATE MEMBER APPROVED | 09/17/1993 |
| • PRINCIPAL APPROVED | 09/17/1993 |
| • ASSOCIATED PERSON PENDING | 09/17/1993 |
| • BRANCH MANAGER PENDING | 09/17/1993 |
| • NFA ASSOCIATE MEMBER PENDING | 09/17/1993 |
| • PRINCIPAL PENDING | 05/05/1993 |
| VISTA FUTURES INC |
| • ASSOCIATED PERSON WITHDRAWN | 02/28/1986 |
| • BRANCH MANAGER WITHDRAWN | 02/28/1986 |
| • NFA ASSOCIATE MEMBER WITHDRAWN | 02/28/1986 |
| • BRANCH MANAGER APPROVED | 01/28/1986 |
| • BRANCH MANAGER PENDING | 09/11/1985 |
| • ASSOCIATED PERSON REGISTERED | 08/21/1985 |
| • NFA ASSOCIATE MEMBER APPROVED | 08/21/1985 |
| WASENDORF & ASSOCIATES INC |
| • ASSOCIATED PERSON WITHDRAWN | 12/09/1992 |
| • NFA ASSOCIATE MEMBER WITHDRAWN | 12/09/1992 |
| • PRINCIPAL WITHDRAWN | 12/09/1992 |
| • ASSOCIATED PERSON REGISTERED | 08/19/1991 |
| • NFA ASSOCIATE MEMBER APPROVED | 08/19/1991 |
| • PRINCIPAL APPROVED | 07/25/1989 |
| • PRINCIPAL PENDING | 07/06/1989 |
| WASENDORF & SON CO |
| • PRINCIPAL WITHDRAWN | 10/06/2007 |
| • ASSOCIATED PERSON WITHDRAWN | 10/06/2007 |
| • NFA ASSOCIATE MEMBER WITHDRAWN | 10/06/2007 |
| • BRANCH MANAGER WITHDRAWN | 10/19/1994 |
| • BRANCH MANAGER APPROVED | 02/28/1989 |
| • PRINCIPAL APPROVED | 02/21/1986 |
| • ASSOCIATED PERSON REGISTERED | 02/10/1986 |
| • NFA ASSOCIATE MEMBER APPROVED | 02/10/1986 |
| WASENDORF RUSSELL R |
| • PRINCIPAL WITHDRAWN | 02/21/2008 |
| • NFA ASSOCIATE MEMBER WITHDRAWN | 02/21/2008 |
| • ASSOCIATED PERSON WITHDRAWN | 02/21/2008 |
| • NFA ASSOCIATE MEMBER APPROVED | 09/17/1993 |
| • ASSOCIATED PERSON REGISTERED | 09/17/1993 |
| • ASSOCIATED PERSON PENDING | 11/19/1992 |
| • NFA ASSOCIATE MEMBER PENDING | 11/19/1992 |
| • PRINCIPAL APPROVED | 09/25/1984 |
| ZANER GROUP LLC |
| • ASSOCIATED PERSON WITHDRAWN | 05/20/1982 |
| • BRANCH MANAGER WITHDRAWN | 05/20/1982 |
| • BRANCH MANAGER APPROVED | 02/03/1982 |
| • ASSOCIATED PERSON REGISTERED | 09/10/1980 |