MA/A 0001644081 XXXXXXXX Tomika Boudreaux 504-299-2992 tboudreaux@ffc-capital.com klibby@regulatorycompliance.com FRANCIS FINANCIAL GROUP LLC 000113205 FFC Capital Management 72-1492773 801-62828 000113205 400 POYDRAS STREET SUITE 2400 NEW ORLEANS LA 70130 5042992992 N 400 POYDRAS STREET SUITE 2400 NEW ORLEANS LA 70130 www.ffc-capital.com FRANCIS JOSEPH OCTAVEIII

400 POYDRAS STREET SUITE 2400 NEW ORLEANS LA 70130

504-299-2990 504-299-2991 OFRANCIS@FFC-CAPITAL.COM TOMIKA MONIQUE BOUDREAUX

400 POYDRAS STREET SUITE 2400 NEW ORLEANS LA 70130

504-299-2990 504-299-2991 TBOUDREAUX@FFC-CAPITAL.COM FFC CAPITAL ADVISORS, LLC Y SEC 8-68118 December LA 01-17-2001 N 7 2 2 2 0 0 0 0 0 Y Y N Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor 1 Add Broker-dealer municipal securities dealer or government securities broker or dealer Other municipal advisor FFC CAPITAL ADVISORS, LLC FFC CAPITAL ADVISORS, LLC N Y N N N N N N N N N N N N N N Add OCTAVE JOSEPH FRANCIS 001590513 01-01-2001 CEO, CIO AND CCO 400 POYDRAS STREET SUITE 2400 NEW ORLEANS LA 70130 504-299-2990 504-299-2991 Add STEPHEN MICHAEL DASTE 03-01-2015 PRINCIPAL 400 POYDRAS STREET SUITE 2400 NEW ORLEANS LA 70130 504-299-2990 504-299-2991 Add TOMIKA MONIQUE BOUDREAUX 004706748 12-01-2011 COO 400 POYDRAS STREET SUITE 2400 NEW ORLEANS LA 70130 504-299-2990 504-299-2991 Add RITA MARIA REED 005857606 03-01-2015 PRINCIPAL 400 POYDRAS STREET SUITE 2400 NEW ORLEANS LA 70130 504-299-2990 504-299-2991 N N N N N N N N N N N N N N N Y N Y N N N N N N N N OCTAVE JOSEPH FRANCIS CEO, CIO & CCO 01-17-2001 E Y 001590513 TOMIKA M BOUDREAUX COO 12-01-2011 NA N 004706748 STEPHEN MICHAEL DASTE PRINCIPAL 03-01-2015 A Y 002133216 RITA MARIA REED PRINCIPAL 03-20-2015 NA Y 005857606 Add OCTAVE JOSEPH FRANCIS CEO, CIO & CCO 01-17-2001 E Y 001590513 Add TOMIKA M BOUDREAUX COO 12-01-2011 NA N 004706748 Add STEPHEN MICHAEL DASTE PRINCIPAL 03-01-2015 A Y 002133216 Add RITA MARIA REED PRINCIPAL 03-20-2015 NA Y 005857606 1 9-E2 9-E4 OCTAVE J FRANCIS N 001590513 OCTAVE J FRANCIS III 001590513 193392 1 9-E2 9-E4 OCTAVE J FRANCIS N 001590513 OCTAVE J FRANCIS III 001590513 588268 Tomika Boudreaux Tomika Boudreaux COO 09-24-2015 N N Y N N N N N N N N N Y N N N Y N N N