MA-A 0001607239 XXXXXXXX Katherine Kelliher 6173140213 kkelliher@moorscabot.com kkelliher@moorscabot.com 06-30-2021 Y Moors & Cabot, Inc. 594 04-2644548 866-01579-00 867-01157 008-23060 594 801-48726 594 1 Federal Street 19th Floor BOSTON MA 02109 617-426-0500 N www.moorscabot.com Svorinic . Peter

1 Federal Street 19th Floor Boston MA 02109

6173140295 psvorinic@moorscabot.com Michael C Hildreth

1 Federal Street 19th Floor Boston MA 02109

617-3140226 June MA 05-25-1978 N 150 1 1 0 0 70 Municipal Entities Corporations or other businesses 0 0 0 Local government investment pools Hourly Charges Contingent Fees Contingent Fees Advice Insurance Of MS Advice Investment Of Proceeds MS Advice ME Investments Advice ME Other Investments Advice Use Of MD Solicitation Other Advice On Selection Y Y Y Y N 0 N N N N N N N N N N Y N N N n/a N N N N N N N N N N N N N N N N N N N N N N N N N N Joseph Philip Cuetara SVP/Municipal Principal 12-01-2010 NA N 58308 Mark David Garrett Director/Co-chairman 07-01-2008 B Y 5563014 Michael Christopher Hildreth CCO/EVP/CFO/Director 11-01-2010 NA Y 2386939 Daniel Michael Joyce President/CEO/Director 02-01-2006 NA Y 1060819 Edward Burke Morey Director/Co-Chairman 11-01-2010 A Y 2770812 Robert Willis Morey Approved Personn 01-01-1991 E Y 2127551 Michael C Braun Chief Operating Officer 05-01-1999 NA Y 2005370 Peter . Svorinic Chief Compliance Officer 11-04-2019 NA Y 1403501 NewAdd THE ROBERT W. MOREY, JR. REVOCABLE TRUST, EDWARD BURKE MOREY AND MARK D GARRETT TR N 00-2288275 Shareholder 02-01-2018 E Y NewAdd THE ROBERT W. MOREY AND MAURA BURKE MOREY IRR TRUST, JANET L DOBROVOLNY TR N 77-6039741 Shareholder 03-01-2019 NA N Joseph Philip Cuetara SVP/Municipal Principal 12-01-2010 NA N 58308 Mark David Garrett Director/Co-chairman 07-01-2008 B Y 5563014 Michael Christopher Hildreth CCO/EVP/CFO/Director 11-01-2010 NA Y 2386939 Daniel Michael Joyce President/CEO/Director 02-01-2006 NA Y 1060819 Edward Burke Morey Director/Co-Chairman 11-01-2010 A Y 2770812 Delete Robert Willis Morey Approved Personn 01-01-1991 E Y 2127551 Michael C Braun Chief Operating Officer 05-01-1999 NA Y 2005370 Peter . Svorinic Chief Compliance Officer 11-04-2019 NA Y 1403501 NewAdd Janet . DOBROVOLNY TRUSTEE OF ROBERT W MOREY AND MAURA BURKE MOREY IRR TRUST 01-20-2010 NA N 7116860 Peter Svorinic Peter Svorinic SVO and CCO 10-25-2021 N N N N N Y N N N N N N N N N N N N N N N