MA-A 0000107136 XXXXXXXX Lisa James 615-252-6196 ljames@wileybros.com hwiley@wileybros.com 12-31-2018 Y WILEY BROS.-AINTREE CAPITAL, LLC 000003767 62-1627736 866-00684-00 867-01682 008-3774 000003767 801-37145 000003767 40 BURTON HILLS BLVD. SUITE 350 NASHVILLE TN 37215 615-255-6431 615-782-4111 N 40 BURTON HILLS BLVD. SUITE 350 NASHVILLE TN 37215 www.wileybros.com Haden Brigitte WileyCook

40 Burton Hills Blvd. Suite 350 Nashville TN 37215

615-252-6209 615-782-4111 vmarkham@wileybros.com Lisa Powell James

40 Burton Hills Blvd. Suite 350 Nashville TN 37215

615-252-6196 615-782-4111 ljames@wileybros.com December TN 05-01-1996 N 6 1 1 0 0 1 Municipal Entities 0 0 0 Not Applicable Contingent Fees Not Applicable Advice Insurance Of MS Advice Investment Of Proceeds MS Advice ME Investments Advice ME Other Investments Advice On Selection Y Y Y N 0 N N N N N N N N N N N N N Please note that we have a DRP item that is tagged different on Finra and SEC filings but same incident. ID #44526420 listed on Edgar system is an amendment for Finra occurrence 1898058 N N N N N N N N N Y Y N Y N N Y N N N N N N N N N N Wiley Bros. Inc. N 62-0429409 LLC 05-01-1996 NA N 000003767 David NMN Patterson Jr Vice Chairman 05-01-1996 D Y 000357869 David NMN Wiley III President 05-01-1996 C Y 000720094 Lisa NMN James Vice President Fin Op 05-01-1996 NA N 001436648 Brigitte Haden Wiley Cook Chief Compliance Officer, Brokerage Activities 01-31-2017 NA N 005633507 Alyson Mencio Stevens Chief Compliance Officer-Advisory Business 05-08-2017 NA N 005451096 Add Wiley Bros. Inc. N 62-0429409 LLC 05-01-1996 NA N 000003767 Add David NMN Patterson Jr Vice Chairman 05-01-1996 D Y 000357869 Add David NMN Wiley III President 05-01-1996 C Y 000720094 Add Lisa NMN James Vice President Fin Op 05-01-1996 NA N 001436648 Add Brigitte Haden Wiley Cook Chief Compliance Officer, Brokerage Activities 01-31-2017 NA N 005633507 Add Alyson Mencio Stevens Chief Compliance Officer-Advisory Business 05-08-2017 NA N 005451096 9-D2 9-E2 Wiley Bros. - Aintree Capital, LLC 000003767 1536277 9-D2 9-E2 Wiley Bros. - Aintree Capital, LLC 000003767 314676 9-D2 9-E2 Wiley Bros. - Aintree Capital 000003767 137481 9-D2 Wiley Bros.-Aintree Capital, LLC 000003767 44526420 9-D1 9-D2 9-D4 Wiley Bros.-Aintree Capital, LLC 000003767 1922514 9-E2 Wiley Bros.-Aintree Capital, LLC 000003737 1824625 Lisa P James Lisa P James VP Financial Principal 03-06-2019 N N N N N Y N N N N N N N N N N N N N N N