Head of Employee Compliance

MA/A 0000050916 XXXXXXXX Eileen Winkler 212-428-6482 EILEEN.WINKLER@RBC.COM SUSAN.MARKUNAS@RBCCM.COM ANTHONY.CHAPPLE@RBC.COM securitieslicensingspecialists@rbc.com RBC Capital Markets, LLC 31194 41-1416330 866-00365-00 867-01264 008-45411 31194 801-13059 31194 ALL 50 STATES, PR AND VI, 31194 CFTC 0000105 NATIONAL FUTURES ASSOCIATION 0000105 ALABAMA - AGENCY LICENSE 186137 ALASKA - AGENCY LICENSE 22121 ARIZONA - AGENCY LICENSE 1800000977 ARKANSAS - AGENCY LICENSE 100106812 CALIFORNIA - AGENCY LICENSE 0C38863 COLORADO - AGENCY LICENSE 77004 CONNECTICUT - AGENCY LICENSE 001017467 DELAWARE - AGENCY LICENSE 0155592 DISTRICT OF COLUMBIA - AGENCY LICENSE 185219 FLORIDA - AGENCY LICENSE L023697 GEORGIA - AGENCY LICENSE 113032 HAWAII - AGENCY LICENSE 345888 IDAHO - AGENCY LICENSE 61461 ILLINOIS - AGENCY LICENSE 100306671 INDIANA - AGENCY LICENSE 252677N IOWA - AGENCY LICENSE 1001000676 KANSAS - AGENCY LICENSE 411416330-0 KENTUCKY - AGENCY LICENSE DOI-547749 LOUISIANA - AGENCY LICENSE 243024 MAINE - AGENCY LICENSE AGN84770 MASSACHUSETTS - AGENCY LICENSE 1855571 MICHIGAN - AGENCY LICENSE 0017913 MINNESOTA - AGENCY LICENSE 20124192 MISSISSIPPI - AGENCY LICENSE 9404161 MISSOURI - AGENCY LICENSE 3571 MONTANA - AGENCY LICENSE 0907948 NEBRASKA - AGENCY LICENSE 100177819 NEVADA - AGENCY LICENSE 9275 NEW HAMPSHIRE - AGENCY LICENSE 0361774 NEW JERSEY - AGENCY LICENSE 9827745 NEW MEXICO - AGENCY LICENSE 1800001836 NEW YORK - AGENCY LICENSE LA-1187910 NORTH CAROLINA - AGENCY LICENSE 1000010233 NORTH DAKOTA - AGENCY LICENSE 20291578 OHIO - AGENCY LICENSE 23972 OKLAHOMA - AGENCY LICENSE 100100702 OREGON 100156711 PENNSYLVANIA - AGENCY LICENSE 56061 SOUTH CAROLINA - AGENCY LICENSE 1903086368 SOUTH DAKOTA - AGENCY LICENSE 6480 TENNESSEE - AGENCY LICENSE 1038 TEXAS - AGENCY LICENSE 14990 UTAH - AGENCY LICENSE 90881 VIRGINIA - AGENCY LICENSE 107027 WASHINGTON - AGENCY LICENSE 140709 WEST VIRGINIA - AGENCY LICENSE 100112937 WISCONSIN - AGENCY LICENSE 100193231 WYOMING - AGENCY LICENSE 5213 MARYLAND - AGENCY LICENSE 132251 200 VESEY STREET NEW YORK NY 10281 212-858-7000 212-658-6165 Add 2398 E Camelback Rd - Suite 700 PHOENIX AZ 85016 602-381-5375 866-759-9019 Add 200 CRESCENT COURT SUITE 1500 DALLAS TX 75201 214-989-1660 Add 1801 CALIFORNIA STREET SUITE 3850 DENVER CO 80202 303-595-1200 303-595-1221 Add 609 Main Street 37th Floor Houston TX 77002 713-651-3346 Add 60 South Sixth Street 15th Floor Minneapolis MN 55402 612-371-2797 N https://www.rbccm.com Add https://www.rbcwealthmanagement.com/ Ryan Joseph Taylor

30 Hudson Street Jersey City NJ 07302

212-618-7566 ryan.taylor@rbccm.com Eileen ANN Winkler Head of Employee Compliance

30 Hudson Street 27th Floor New York NY 07302

212-428-6482 eileen.winkler@rbc.com Add RBC CAPITAL MARKETS LLC 2398 CAMELBACK RD SUITE 700 PHOENIX AZ 85016 602-381-5375 866-759-9019 CLIENT & DAILY BRANCH ACTIVITY RECORDS. Add RBC CAPITAL MARKETS, LLC 1801 CALIFORNIA STREET SUITE 3850 DENVER CO 80202 303-595-1200 CLIENT & DAILY BRANCH ACTIVITY RECORDS. Add RBC CAPITAL MARKETS, LLC 200 CRESCENT COURT SUITE 1500 DALLAS TX 75201 214-989-1660 CLIENT & DAILY BRANCH ACTIVITY RECORDS. Add RBC CAPITAL MARKETS, LLC 60 South Sixth Street 15th Floor Minneapolis MN 55402 612-371-1961 CLIENT & DAILY BRANCH ACTIVITY RECORDS. Add Iron Mountain One Federal Street Boston MA 02110 717-293-9702

ARCHIVED DOCUMENTS (BANK RECORDS & DEPARTMENT RECONCILIATIONS, ETC) ARE KEPT IN MULTIPLE OFF-SITE STORAGE FACILITIES THROUGH THIS COMPANY Add Alberta Securities Commission Z4 Add British Columbia Securities Commission Z4 Add Manitoba Securities Commission Z4 Add New Brunswick Securities Commission Z4 Add Newfoundland and Labrador, Financial Services Regulation Division Z4 Add Northwest Territories, Office of the Registrar of Securities Z4 Add Nova Scotia Securities Commission Z4 Add Nunavut, Registrar of Securities Z4 Add Ontario Securities Commission Z4 Add Prince Edward Island, Securities Commission Z4 Add Quebec, Financial Markets Authority Z4 Add Saskatchewan Financial Services Commission Z4 Add Yukon Territories, Registrar of Securities Z4 RBC USA HOLDCO CORPORATION N ROYAL BANK OF CANADA Y CFTC 0361733 ROYAL BANK OF CANADA Y Federal Reserve N\A ROYAL BANK OF CANADA Y Toronto Stock Exchange N\A A6 ROYAL BANK OF CANADA Y Office of the Superintendent of Financial Institutions N\A A6 RBC US GROUP HOLDINGS LLC Y Federal Reserve ROYAL BANK OF CANADA Y SWISS (SIX) STOCK EXCHANGE V8 SWISS STOCK EXCHANGE N October MN 11-01-2010 N 7825 1 71 71 8 0 326 Municipal Entities Non-profit organizations Corporations or other businesses 0 0 0 Not Applicable Hourly Charges Contingent Fees Not Applicable Advice Insurance Of MS Advice Investment Of Proceeds MS Advice ME Investments Advice ME Other Investments Advice Guaranteed IC Advice On Selection Brokerage Of MEI Y Y Y Y Y Y Y Y THE APPLICANT MAINTAINS CORPORATE INSURANCE LICENSES IN VARIOUS STATES AND IS INVOLVED IN THE SALE OF LIFE INSURANCE, HEALTH INSURANCE, AND OTHER INSURANCE PRODUCTS THROUGH ITS SECURITIES AGENTS WHO ARE SPONSORED BY VARIOUS INSURANCE COMPANIES. Y Broker-dealer municipal securities dealer or government securities broker or dealer Investment Company Investment Adviser Swap Dealer Commodity pool operator Commodity trading advisor Futures commission merchant Banking/Thrift institution Trust Company Insurance company or agency Real estate broker or dealer Sponsor or syndicator of limited partnerships 93 Add Trust Company RBC TRUST COMPANY (DELAWARE) LIMITED RBC TRUST COMPANY (DELAWARE) LIMITED Y Y N Add Real estate broker or dealer RBC CAPITAL MARKETS REAL ESTATE GROUP INC. RBC CAPITAL MARKETS REAL ESTATE GROUP INC. N Y Y Real Estate Council of Alberta A0 Real Estate Council of British Columbia X022551 A1 Real Estate Council of New Brunswick 114116 A3 Government of Newfoundland and Labrador - Department of Government Services and Lands 96-07-DS002-2 A4 Association des courtiers et agents immobiliers du Quebec (ACAIQ) A3553 A8 Autorite des Marches Financiers A8 Add Broker-dealer municipal securities dealer or government securities broker or dealer RBC CMA LLC RBC CMA LLC N Y N Add Swap Dealer Banking/Thrift institution Insurance company or agency ROYAL BANK OF CANADA Royal Bank of Canada Y N Y Energy Resources Conservation Board GR2005-16C A0 Eastern Caribbean Central Bank B9 Australian Prudential Regulatory Authority (APRA) C3 Australian Transaction Reporting & Analysis Centre (AUSTRAC) C3 Australian Securities and Investments Commission C3 Central Bank of the Bahamas LIC0005 C5 The Central Bank of Barbados C8 Office of the Superintendent of Financial Institutions A6 Financial Services Agency, Japan M0 Insurance Councils of Saskatchewan A9 Prudential Regulatory Authority (UK) X0 Financial Conduct Authority(UK) X0 Government of United Arab Emirates (UAE) C0 Trinidad and Tobago Securities and Exchange Commission W5 Central Bank of Trinidad and Tobago W5 Monetary Authority of Singapore U0 Eastern Caribbean Central Bank U9 Eastern Caribbean Central Bank U7 Autorite des Marches Financiers A8 Eastern Caribbean Central Bank P1 Japan Securities Dealers Association M0 Reserve Bank of India K7 Hong Kong Monetary Authority K3 Securities and Futures Commission (Hong Kong) K3 Eastern Caribbean Central Bank G9 Central Bank of Costa Rica G2 China Banking Regulatory Authority F4 Cayman Islands Monetary Authority E9 Toronto Stock Exchange A6 Canada Deposit Insurance Corporation Z4 Add Investment Company Investment Adviser Commodity pool operator RBC GLOBAL ASSET MANAGEMENT (US) INC RBC GLOBAL ASSET MANAGEMENT (US) INC N Y Y Central Bank of Ireland L2 Add Broker-dealer municipal securities dealer or government securities broker or dealer Futures commission merchant RBC DOMINION SECURITES, INC. RBC DOMINION SECURITES, INC. N Y Y Ontario Securities Commission A6 Investment Industry Regulatory Organization of Canada A6 Alberta Securities Commission A0 British Columbia Securities Commission A1 Manitoba Securities Commission A2 Securities Commission of Newfoundland and Labrador A4 New Brunswick Securities Commission A3 Registrar of Securities, Northwest Territories E4 Nova Scotia Securities Commission A5 Nunavut Securities Registry P7 Prince Edward Island Securities Commission A7 Autorite des Marches Financiers A8 Saskatchewan Securities Commission A9 Yukon Securities Registry B0 Add Broker-dealer municipal securities dealer or government securities broker or dealer RBC DIRECT INVESTING INC. RBC DIRECT INVESTING INC. N Y Y Alberta Securities Commission A0 British Columbia Securities Commission A1 Investment Industry Regulatory Organization of Canada Z4 Manitoba Securities Commission A2 New Brunswick Securities Commission A3 Securities Commission of Newfoundland and Labrador A4 Nova Scotia Securities Commission A5 Ontario Securities Commission A6 Prince Edward Island Securities Commission A7 Autorite des Marches Financiers A8 Saskatchewan Financial Services Commission (Securities Division) A9 Registrar of Securities, Yukon, Community Services B0 Add Broker-dealer municipal securities dealer or government securities broker or dealer Banking/Thrift institution RBC EUROPE LIMITED RBC EUROPE LIMITED N Y Y Banque de France I0 Bank of Spain U3 Swiss Financial Market Supervisory Authority (FINMA) V8 Financial Conduct Authority (UK) 124543 X0 Prudential Regulatory Authority (UK) 124543 X0 Federal Financial Supervisory Authority (BAFIN) 2M Add Trust Company THE ROYAL TRUST COMPANY THE ROYAL TRUST COMPANY N Y Y Alberta Superintendent of Financial Institutions A0 British Columbia Financial Institutions Commission A1 Office of the Superintendent of Financial Institutions A6 Manitoba Finance A2 New Brunswick Department of Justice, Consumer Affairs Branch A3 Nova Scotia Minister of Finance, Financial Institutions Division A5 Financial Services Commission of Ontario A6 Autorite des Marches Financiers A8 Saskatchewan Financial Services Commission (Securities Division) A9 Prince Edward Island Dept of Justice and Public Safety A7 Canada Deposit Insurance Corporation Z4 Add Investment Adviser RBC GLOBAL ASSET MANAGEMENT (ASIA) LIMITED RBC GLOBAL ASSET MANAGEMENT (ASIA) LIMITED N Y Y Securities and Futures Commission (Hong Kong) K3 Add Investment Adviser RBC PHILLIPS, HAGER & NORTH INVESTMENT COUNSEL INC. RBC PHILLIPS, HAGER & NORTH INVESTMENT COUNSEL INC. N Y Y Alberta Securities Commission A3-144475 A0 British Columbia Securities Commission B19787 A1 Manitoba Securities Commission A2 Securities Administration Branch - NB A3 Securities Commission of Newfoundland and Labrador A4 Nova Scotia Securities Commission A5 Ontario Securities Commission A6 Prince Edward Island Securities Commission A7 Autorite des Marches Financiers A8 Saskatchewan Securities Commission A9 Yukon Territory - Registrar of Securities B0 Add Investment Adviser Commodity pool operator Commodity trading advisor BLUEBAY ASSET MANAGEMENT LLP BLUEBAY ASSET MANAGEMENT LLP N Y Y Securities and Exchange Board of India K7 Financial Conduct Authority (UK) X0 Australian Securities and Investment Commission C3 Irish Financial Services Authority L2 Add Broker-dealer municipal securities dealer or government securities broker or dealer BLUEBAY ASSET MANAGEMENT INTERNATIONAL LIMITED BLUEBAY ASSET MANAGEMENT INTERNATIONAL LIMITED N Y Y Financial Services Agency, Japan M0 Financial Supervisory Agency (Japan) M0 Japan Investment Advisers Association M0 Add Investment Adviser BLUEBAY ASSET MANAGEMENT USA LLC BLUEBAY ASSET MANAGEMENT USA LLC N Y N Add Investment Adviser BLUEBAY FUNDS MANAGEMENT COMPANY S.A. BLUEBAY FUNDS MANAGEMENT COMPANY S.A. N Y Y Commission de Surveillance du Secteur Financier N4 Add Broker-dealer municipal securities dealer or government securities broker or dealer Investment Adviser RBC DOMINION SECURITIES GLOBAL LIMITED RBC DOMINION SECURITIES GLOBAL LIMITED N Y Y Securities Commission of The Bahamas 52334 C5 Barbados Financial Services Commission C8 Cayman Islands Monetary Authority E9 Add Broker-dealer municipal securities dealer or government securities broker or dealer RBC CAPITAL MARKETS (JAPAN) LTD RBC CAPITAL MARKETS (JAPAN) LTD N Y Y Japan Securities Dealers Association M0 Financial Futures Association (Japan) M0 Financial Services Agency, Japan M0 Japan Investor Protection Fund M0 Add Banking/Thrift institution RBC INVESTOR SERVICES BANK FRANCE S.A. RBC INVESTOR SERVICES BANK FRANCE S.A. N Y Y Autorite des marches financiers (France) I0 Autorite de controle prudentiel et de resolution (ACPR) I0 Add Banking/Thrift institution RBC INVESTOR SERVICES BANK S.A. RBC INVESTOR SERVICES BANK S.A. N Y Y Hong Kong Monetary Authority K3 Central Bank of Ireland L2 Commission de Surveillance du Secteur Financier N4 Swiss Financial Market Supervisory Authority (FINMA) V8 Bank of Italy L6 Add Insurance company or agency RBC LIFE INSURANCE COMPANY RBC LIFE INSURANCE COMPANY N Y Y Alberta Superintendent of Insurance 944 A0 Barbados Financial Services Commission C8 British Columbia Financial Institutions Commission A1 Office of the Superintendent of Financial Institutions A6 China Insurance Regulatory Commission (CIRC) F4 Manitoba Superintendent of Insurance A2 New Brunswick Superintendent of Insurance A3 Newfoundland Superintendent of Insurance A4 Nova Scotia Superintendent of Insurance 3011-87 A5 Financial Services Commission of Ontario A6 Prince Edward Island Superintendent of Insurance 50259 A7 Autorite des Marches Financiers A8 Saskatchewan Superintendent of Insurance A9 Yukon Superintendent of Insurance B0 Add Banking/Thrift institution RBTT BANK (SKN) LIMITED RBTT BANK (SKN) LIMITED N Y Y Eastern Caribbean Central Bank U7 Add Banking/Thrift institution RBTT BANK CARIBBEAN LIMITED RBTT BANK CARIBBEAN LIMITED N Y Y Antigua and Barbuda Supervisor of Banks and Trust Corporations B9 Eastern Caribbean Central Bank U7 Eastern Caribbean Central Bank U9 Eastern Caribbean Central Bank V1 Add Banking/Thrift institution RBTT BANK GRENADA LIMITED RBTT BANK GRENADA LIMITED N Y Y Eastern Caribbean Regulatory Commission J5 Eastern Caribbean Central Bank J5 Add Trust Company HILL STREET TRUSTEES LIMITED HILL STREET TRUSTEES LIMITED N Y Y Jersey Financial Services Commission Y9 Add Trust Company TCA TRUSTCORP AMERICA TCA TRUSTCORP AMERICA Y Y N Add Trust Company THE REGENT TRUST COMPANY LIMITED THE REGENT TRUST COMPANY LIMITED N Y Y Jersey Financial Services Commission Y9 Add Trust Company ROYAL BANK OF CANADA TRUST COMPANY (ASIA) LIMITED ROYAL BANK OF CANADA TRUST COMPANY (ASIA) LIMITED N Y Y Hong Kong Mandatory Provident Fund Schemes Authority TC00170 K3 ecurities and Futures Commission (Hong Kong) K3 Add Trust Company ROYAL BANK OF CANADA TRUST COMPANY (BAHAMAS) LIMITED TRUST N Y Y Investment Fund Administrators Licence R-014 C5 Securities Commission of The Bahamas 5370 C5 The Central Bank of The Bahamas 5370 C5 Add Banking/Thrift institution ROYAL BANK OF CANADA (CHANNEL ISLANDS) LIMITED ROYAL BANK OF CANADA (CHANNEL ISLANDS) LIMITED N Y Y Guernsey Financial Services Commission Y7 Jersey Financial Services Commission Y9 Financial Supervisory Authority of Norway Q8 Add Trust Company REGENT CAPITAL TRUST CORPORATION LIMITED TRUST COMPANY N Y Y Jersey Financial Services Commission Y9 Add Insurance company or agency RBC WEALTH MANAGEMENT FINANCIAL SERVICES INC. RBC WEALTH MANAGEMENT FINANCIAL SERVICES INC. N Y Y Alberta Insurance Council 5/6-1128-2004 A0 Insurance Council of British Columbia X002216A186966 A1 Insurance Council of Manitoba O/R-513-7713-2004 A2 New Brunswick Superintendent of Insurance A3 Government of Newfoundland and Labrador - Department of Government Services and Lands A4 Nova Scotia Superintendent of Insurance 97 387658 00F1 A5 Financial Services Commission A6 Office of the Attorney General A7 Autorite des Marches Financiers A8 Insurance Councils of Saskatchewan A9 Yukon Superintendent of Insurance B0 Add Trust Company RBC TRUSTEES INTERNATIONAL LIMITED RBC TRUSTEES INTERNATIONAL LIMITED N Y Y New Brunswick Superintendent of Loan & Trust Companies 509533 A3 Add Trust Company RBC TRUSTEES (GUERNSEY) LIMITED RBC TRUSTEES (GUERNSEY) LIMITED N Y Y Guernsey Financial Services Commission Y7 Add Trust Company RBC Trustees (Jersey) Limited RBC Trustees (Jersey) Limited N Y Y Guernsey Financial Services Commission Y7 Jersey Financial Services Commission Y9 Add Broker-dealer municipal securities dealer or government securities broker or dealer RBC SECURITIES AUSTRALIA PTY LIMITED RBC SECURITIES AUSTRALIA PTY LIMITED N Y Y Australian Securities and Investment Commission (ASIC) 282590 C3 Australian Stock Exchange ACN 108 983 642 C3 Add Banking/Thrift institution RBC ROYAL BANK N.V. RBC ROYAL BANK N.V. N Y Y De Nederlandsche Bank P7 Centrale Bank van Curacao en St. Maarten Z1 Add Banking/Thrift institution RBC ROYAL BANK INTERNATIONAL N.V. RBC ROYAL BANK INTERNATIONAL N.V. N Y Y Centrale Bank van Curacao en St. Maarten P8 Centrale Bank van Curacao en St. Maarten Z1 Add Banking/Thrift institution RBC ROYAL BANK (TRINIDAD & TOBAGO) LIMITED RBC ROYAL BANK (TRINIDAD & TOBAGO) LIMITED N Y Y Central Bank of Costa Rica G2 Central Bank of Trinidad and Tobago W5 Trinidad and Tobago Securities and Exchange Commission W5 Add Banking/Thrift institution RBC ROYAL BANK (CAYMAN) LIMITED RBC ROYAL BANK (CAYMAN) LIMITED N Y Y Cayman Islands Monetary Authority E9 Add Banking/Thrift institution RBC ROYAL BANK (BARBADOS) LIMITED RBC ROYAL BANK (BARBADOS) LIMITED N Y Y The Central Bank of Barbados C8 Add Banking/Thrift institution RBC ROYAL BANK (BAHAMAS) LIMITED RBC ROYAL BANK (BAHAMAS) LIMITED N Y Y The Central Bank of The Bahamas 59218C C5 Turks & Caicos Financial Services Commission W7 Add Banking/Thrift institution RBC ROYAL BANK (ARUBA) N.V. RBC ROYAL BANK (ARUBA) N.V. N Y Y Centrale Bank Van Aruba 1C Add Banking/Thrift institution RBC (BARBADOS) TRADING BANK CORPORATION RBC (BARBADOS) TRADING BANK CORPORATION N Y Y The Central Bank of Barbados C8 Add Insurance company or agency Safeguard Insurance Brokers LTD Safeguard Insurance Brokers LTD N Y Y The Insurance Commission of the Bahamas C5 Add Banking/Thrift institution FINANCE CORPORATION OF BAHAMAS LIMITED FINANCE CORPORATION OF BAHAMAS LIMITED N Y Y Bahamas International Securities Exchange (BISX) 1402 C5 The Central Bank of The Bahamas 1402 C5 Add Trust Company ABACUS TRUSTEES (U.K.) LIMITED ABACUS TRUSTEES (U.K.) LIMITED N Y N Add Investment Adviser RBC GLOBAL ASSET MANAGEMENT (UK) LIMITED RBC GLOBAL ASSET MANAGEMENT (UK) LIMITED N Y Y Financial Conduct Authority (UK) 189154 X0 Add Investment Company Investment Adviser RBC GLOBAL ASSET MANAGEMENT INC. RBC GLOBAL ASSET MANAGEMENT INC. N Y Y Alberta Securities Commission A0 British Columbia Securities Commission A1 Securities and Exchange Board of India INCAFD255611 K7 Manitoba Securities Commission A2 Securities Administration Branch - NB A3 Securities Commission of Newfoundland and Labrador A4 Nova Scotia Securities Commission A5 Ontario Securities Commission A6 Prince Edward Island Securities Commission A7 Autorite des Marches Financiers A8 Saskatchewan Securities Commission A9 Yukon Territory - Registrar of Securities B0 Add Insurance company or agency RBC INSURANCE COMPANY OF CANADA RBC INSURANCE COMPANY OF CANADA N Y Y Office of the Superintendent of Financial Institutions A6 Financial Services Commission of Ontario 1669C A6 Alberta Superintendent of Insurance 866 A0 British Columbia Financial Institutions Commission A1 Manitoba Superintendent of Insurance A2 Newfoundland Superintendent of Insurance A4 Northwest Territories Superintendent of Insurance NT-2011153 Z4 Nova Scotia Superintendent of Insurance A5 Financial Services Commission of Ontario A6 Autorite des Marches Financiers 509933 A8 Prince Edward Island Superintendent of Insurance A7 Saskatchewan Superintendent of Insurance 914779 A9 Yukon Superintendent of Insurance 1324-3-168 B0 New Brunswick Superintendent of Insurance A3 Add Investment Adviser RBC INVESTMENT MANAGEMENT (CARIBBEAN) LIMITED RBC INVESTMENT MANAGEMENT (CARIBBEAN) LIMITED N Y Y Trinidad and Tobago Securities and Exchange Commission W5 Central Bank of Trinidad and Tobago W5 Add Broker-dealer municipal securities dealer or government securities broker or dealer Investment Adviser RBC INVESTMENT SERVICES (ASIA) LIMITED RBC INVESTMENT SERVICES (ASIA) LIMITED N Y Y China Securities Regulatory Commission (CSRC) F4 Securities and Futures Commission (Hong Kong) DC28 K3 Add Investment Adviser RBC INVESTMENT SOLUTIONS (CI) LIMITED RBC INVESTMENT SOLUTIONS (CI) LIMITED N Y Y Jersey Financial Services Commission Y9 Add Trust Company RBC INVESTOR SERVICES TRUST RBC INVESTOR SERVICES TRUST N Y Y Alberta Superintendent of Financial Institutions 3012036020 A0 Australian Securities and Investment Commission (ASIC) 295018 C3 British Columbia Financial Institutions Commission A1 Office of the Superintendent of Financial Institutions A6 Manitoba Finance 5196516 A2 Netherlands Authority for Financial Supervision ("AFM") P7 New Brunswick Department of Justice A3 Financial Supervisory Authority of Norway Q8 Nova Scotia Minister of Finance, Financial Institutions Division 2013-44 A5 Financial Services Commission of Ontario A6 Autorite des Marches Financiers A8 Financial Conduct Authority (UK) X0 Prudential Regulatory Authority (UK) X0 Canada Deposit Insurance Corporation Z4 Prince Edward Island Dept. of Justice and Public Safety A7 Saskatchewan Financial Services Commission A9 Add Trust Company RBC INVESTOR SERVICES TRUST HONG KONG LIMITED RBC INVESTOR SERVICES TRUST HONG KONG LIMITED N Y Y Hong Kong Mandatory Provident Fund Schemes Authority K3 Add Trust Company RBC INVESTOR SERVICES TRUST SINGAPORE LIMITED RBC INVESTOR SERVICES TRUST SINGAPORE LIMITED N Y Y Monetary Authority of Singapore U0 Add Investment Adviser RBC PRIVATE COUNSEL (USA) INC. INVESTMENT ADVISOR N Y N Add Insurance company or agency ROYAL BANK OF CANADA INSURANCE COMPANY LTD. ROYAL BANK OF CANADA INSURANCE COMPANY LTD. N Y Y Barbados Financial Services Commission C8 Add Broker-dealer municipal securities dealer or government securities broker or dealer WEST INDIES STOCKBROKERS LIMITED WEST INDIES STOCKBROKERS LIMITED N Y Y The Trinidad and Tobago Stock Exchange Ltd W5 Trinidad and Tobago Securities and Exchange Commission W5 Add Banking/Thrift institution RBC BANK (GEORGIA), NATIONAL ASSOCIATION RBC BANK (GEORGIA), NATIONAL ASSOCIATION N Y N Add Trust Company RBC OFFSHORE FUND MANAGERS LIMITED RBC OFFSHORE FUND MANAGERS LIMITED N Y Y The Pensions Regulator (UK) X0 Add Investment Company RBC OFFSHORE FUND MANAGERS LIMITED RBC OFFSHORE FUND MANAGERS LIMITED N Y Y Guernsey Financial Services Commission Y7 Add Investment Company ROYAL MUTUAL FUNDS INC. ROYAL MUTUAL FUNDS INC. N Y Y Alberta Securities Commission A0 British Columbia Securities Commission A1 Mutual Fund Dealers Association of Canada A6 Manitoba Securities Commission A2 Securities Administration Branch - NB A3 Nova Scotia Securities Commission A5 Ontario Securities Commission A6 Prince Edward Island Securities Commission A7 Autorite des MarchEs Financiers A8 Saskatchewan Securities Commission A9 Yukon Territory - Registrar of Securities B0 Securities Commission of Newfoundland and Labrador A4 Add Investment Company PHILLIPS, HAGER & NORTH INVESTMENT FUNDS LTD. PHILLIPS, HAGER & NORTH INVESTMENT FUNDS LTD. N Y Y Alberta Securities Commission A0 British Columbia Securities Commission A1 Mutual Fund Dealers Association of Canada A6 Manitoba Securities Commission A2 New Brunswick Securities Commission A3 Securities Commission of Newfoundland and Labrador A4 Nova Scotia Securities Commission A5 Ontario Securities Commission A6 Prince Edward Island Securities Commission A7 Autorite des MarchEs Financiers A8 Saskatchewan Securities Commission A9 Yukon Securities Registry B0 Add Investment Adviser SYMPHONIC FINANCIAL ADVISORS LLC SYMPHONIC FINANCIAL ADVISORS LLC N Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer SYMPHONIC SECURITIES LLC SYMPHONIC SECURITIES LLC N Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer CNR SECURITIES LLC CNR SECURITIES LLC N Y N Add Investment Adviser MID-CONTINENT CAPITAL LLC MID-CONTINENT CAPITAL LLC N Y N Add Investment Adviser CITY NATIONAL ROCHDALE CITY NATION ROCHDALE N Y N Add Investment Adviser CONVERGENT WEALTH ADVISORS, LLC CONVERGENT WEALTH ADVISORS, LLC N Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Investment Adviser City National Securities, Inc. City National Securities, Inc. N Y N Add Investment Adviser LMCG INVESTMENTS, LLC LMCG INVESTMENTS, LLC N Y N Add Banking/Thrift institution CITY NATIONAL BANK CITY NATIONAL BANK N Y N Add Insurance company or agency SYMPHONIC INSURANCE LLC SYMPHONIC INSURANCE LLC N Y N Add Insurance company or agency RBC LIFE INSURANCE COMPANY RBC LIFE INSURANCE COMPANY N Y Y Nova Scotia Registry of Joint Stock Companies 3048871 A5 Ontario Ministry of Government Services 1430162 A6 Barbados Registrar of Companies 34891 C8 British Columbia Corporate and Personal Property Registries A-52784 A1 Beijing Administration for Industry and Commerce F4 Newfoundland Registry of Companies 543-I A4 Quebec Registraire des entreprises 1147024393 A8 Add Trust Company RBC CEES TRUSTEE GUERNSEY LIMITED RBC CEE TRUSTEE GUERNSEY LIMITED N Y Y Guernsey Financial Services Commission Y7 Add Trust Company RBC CEES TRUSTEE LIMITED RBC CEES TRUSTEE LIMITED N Y Y Guernsey Financial Services Commission Y7 Jersey Financial Services Commission Y9 Add Trust Company RBC TRUST COMPANY (JERSEY) LIMITED RBC TRUST COMPANY (JERSEY) LIMITED N Y Y Guernsey Financial Services Commission Y7 Jersey Financial Services commission Y9 Association Moneqasque des Activites Financieres O9 Add Investment Adviser RBC FINANCIAL ADVISORY (BEIJING) LIMITED RBC FINANCIAL ADVISORY (BEIJING) LIMITED N Y N Add Banking/Thrift institution RBC MERCHANT BANK (CARIBBEAN) LIMITED RBC MERCHANT BANK (CARIBBEAN) LIMITED N Y Y Central Bank of Costa Rica G2 Eastern Caribbean Regulatory Commission U9 Central Bank of Trinidad and Tobago W5 Trinidad and Tobago Securities and Exchange Commission W5 Add Investment Adviser RBC INVESTEASE INC. RBC INVESTEASE INC. N Y Y Ontario Securities Commission 58320 A6 Add Trust Company RBC TRUST COMPANY (GUERNSEY) LIMITED RBC TRUST COMPANY (GUERNSEY) LIMITED N Y Y Guernsey Financial Services Commission Y7 Add Trust Company RBC TRUST (TRINIDAD & TOBAGO) LIMITED RBC TRUST (TRINIDAD & TOBAGO) LIMITED N Y Y Central Bank of Trindad and Tobago W5 Trinidad and Tobago Securities and Exchange Commission W5 Add Trust Company RBC Trust Company (International Limited) RBC Trust Company (International Limited) N Y Y Jersey Financial Services Commission Y9 Add Insurance company or agency RBC Insurance Agency LTD RBC Insurance Agency LTD N Y Y Alberta Insurance Council A0 Insurance Council of British Columbia A1 Insurance Council of Manitoba A2 Newfoundland Superintendent of Insurance A4 Nova Scotia Superintendent of Insurance A5 Financial Services Comimission of Ontario A6 Insurance Councils of Saskatchewan A9 Add Investment Company RBC FUND ADMINISTRATION (CI) LIMITED RBC FUND ADMINISTRATION (CI) LIMITED N Y Y Jersey Financial Services Commission Y9 Add Trust Company Royal Trust Corporation of Canada Royal Trust Corporation of Canada N Y Y Alberta Superintendent of Financial Institutions 310300547 A0 British Columbia Financial Institutions Commissions A1 Canada Deposit Insurance Corporation Z4 Office of the superintendent of Financial Institutions Canada A6 Manitoba Finance 0582018 A2 New Brunswick Department of Justice A3 Nova Scotia Minister of Finance, Financial Institutions Division A5 Financial Serivces Commission of Ontario A6 Prince Edward Island Dept. of Justice and Public Safety, A7 Saskatchewan Financial Serivces Commission, A9 Add Broker-dealer municipal securities dealer or government securities broker or dealer RBC CAPITAL MARKETS (EUROPE) GMBH RBC CAPITAL MARKETS (EUROPE) GMBH Y N Y Federal Financial Supervisory Authority "BaFin" 2M Add Broker-dealer municipal securities dealer or government securities broker or dealer RBC CAPITAL MARKETS LLC RBC CAPITAL MARKETS LLC Y Y Y Financial Services Agency M0 Ontario Securities Commission A6 Add Broker-dealer municipal securities dealer or government securities broker or dealer RBC DIRECT INVESTING INC. RBC DIRECT INVESTING INC. Y N Y Investment Industry Regulatory Organization of Canada Z4 Add Broker-dealer municipal securities dealer or government securities broker or dealer RBC EUROPE LIMITED RBC EUROPE LIMITED Y Y Y Banque de France I0 Federal Financial Supervisory Authority "BaFin" 2M Bank of Spain U3 Swiss Financial Market Supervisory Authority V8 Financial Conduct Authority and Prudential Regulation Authority X0 Add Investment Company Accountant or accounting firm RBC INVESTOR SERVICES FRANCE S.A. RBC INVESTOR SERVICES FRANCE S.A. Y N Y Banque de France I0 Add Investment Company Trust Company RBC PENSION TRUSTEES LIMITED RBC PENSION TRUSTEES LIMITED Y N Y The Pensions Regulator X0 Add Insurance company or agency RBC Insurance company (Cayman) Limited RBC Insurance company (Cayman) Limited N Y Y Cayman Islands Monetary Authority E9 N Y N N Y Y Y Y N Y Y N N N Add JOHN CHRISTOPHER PENN 5135403 12-16-2021 US Bank & CM Regulatory Attorney 30 HUDSON STREET JERSEY CITY NJ 07302 212-858-7116 Add MONA NMN THONG 5680908 03-01-2021 CHEIF RISK OFFICER USA 200 VESEY STREET NEW YORK NY 10281 212-299-9820 ROYAL BANK OF CANADA 0001000275 Schedule B N N N N Y Y N Y Y N Y N Y Y N Y N Y N N Y Y N N N Y RBC USA HOLDCO CORPORATION N 20-0563684 DIRECT OWNER 11-01-2010 E Y THOMAS STEVEN SAGISSOR SR. VP, BOARD MEMBER, President of RBC Wealth Management 01-21-2011 NA Y 2429425 JOHN J THURLOW MANAGING DIRECTOR, CHIEF OPERATING OFFICER & Interim CEO 06-04-2018 NA Y 5726613 Ahmed nmi Kachenoura MD, Head Global Equity Linked Products 08-26-2016 NA Y 4825331 Thomas N Murphy MD, Head of CM Operations 10-19-2016 NA Y 4519183 Brett Lane Thorne Head, Correspondent Advisory Services 08-26-2016 NA Y 2523266 Andrew Christopher Small SVP, Chief Compliance Officer 11-20-2018 NA Y 3068715 MATTHEW ROSS STOPNIK CO-HEAD, US INVESTMENT BANKING & BOARD MEMBER 11-01-2018 NA Y 2580834 JONATHAN TSUN YIN YU NON-EMPLOYEE BOARD MEMBER 01-01-2019 NA Y 7074967 RYAN JOSEPH TAYLOR CHIEF COMPLIANCE OFFICER, RBC CAPITAL MARKETS - USA 02-01-2019 NA Y 4570484 MATTHEW DAMIEN ABRUSCI HEAD OF U.S.CAPITAL MARKETS LAW GROUP 01-20-2020 NA Y 4820950 ROBERT ARTHUR GIEGERICH PRINCIPAL FINANCIAL OFFICER 04-20-2020 NA Y 5736294 MONA NMN THONG CHIEF RISK OFFICER 03-01-2021 NA Y 5680908 JOHN CHRISTOPHER PENN US Bank & CM Regulatory Attorney 12-16-2021 NA Y 5135403 RBC USA HOLDCO CORPORATION ROYAL BANK OF CANADA Y 13-5357855 ULTIMATE OWNER 11-01-2010 E Y RBC USA HOLDCO CORPORATION N 20-0563684 DIRECT OWNER 11-01-2010 E Y THOMAS STEVEN SAGISSOR SR. VP, BOARD MEMBER, President of RBC Wealth Management 01-21-2011 NA Y 2429425 JOHN J THURLOW MANAGING DIRECTOR, CHIEF OPERATING OFFICER & Interim CEO 06-04-2018 NA Y 5726613 Ahmed nmi Kachenoura MD, Head Global Equity Linked Products 08-26-2016 NA Y 4825331 Thomas N Murphy MD, Head of CM Operations 10-19-2016 NA Y 4519183 Brett Lane Thorne Head, Correspondent Advisory Services 08-26-2016 NA Y 2523266 Andrew Christopher Small SVP, Chief Compliance Officer 11-20-2018 NA Y 3068715 MATTHEW ROSS STOPNIK CO-HEAD, US INVESTMENT BANKING & BOARD MEMBER 11-01-2018 NA Y 2580834 JONATHAN TSUN YIN YU NON-EMPLOYEE BOARD MEMBER 01-01-2019 NA Y 7074967 RYAN JOSEPH TAYLOR CHIEF COMPLIANCE OFFICER, RBC CAPITAL MARKETS - USA 02-01-2019 NA Y 4570484 MATTHEW DAMIEN ABRUSCI HEAD OF U.S.CAPITAL MARKETS LAW GROUP 01-20-2020 NA Y 4820950 ROBERT ARTHUR GIEGERICH PRINCIPAL FINANCIAL OFFICER 04-20-2020 NA Y 5736294 MONA NMN THONG CHIEF RISK OFFICER 03-01-2021 NA Y 5680908 JOHN CHRISTOPHER PENN US Bank & CM Regulatory Attorney 12-16-2021 NA Y 5135403 RBC USA HOLDCO CORPORATION ROYAL BANK OF CANADA Y 13-5357855 ULTIMATE OWNER 11-01-2010 E Y 9-D2 9-D4 RBC CAPITAL MARKETS, LLC 31194 1712386 9-D2 9-D4 RBC CAPITAL MARKETS, LLC 31194 1712385 9-D2 9-D4 RBC CAPITAL MARKETS, LLC 31194 1712253 9-E2 RBC CAPITAL MARKETS, LLC 31194 1711539 9-D2 9-D4 RBC CAPITAL MARKETS, LLC 31194 1704351 9-D2 9-D4 RBC CAPITAL MARKETS, LLC 31194 1701473 9-D2 9-D4 RBC CAPITAL MARKETS, LLC 31194 1698963 9-D2 9-D4 RBC CAPITAL MARKETS, LLC 31194 1696266 9-D2 9-D4 RBC CAPITAL MARKETS, LLC 31194 1690182 9-D2 9-D4 RBC CAPITAL MARKETS, LLC 31194 1689996 9-D2 9-D4 RBC CAPITAL MARKETS, LLC 31194 1689995 9-D2 9-D4 RBC CAPITAL MARKETS, LLC 31194 1689577 9-D2 9-D4 RBC CAPITAL MARKETS, LLC 31194 1688937 9-D2 9-D4 RBC CAPITAL MARKETS, LLC 31194 1688936 9-D2 9-D4 RBC CAPITAL MARKETS, LLC 31194 1686486 9-D2 9-D4 RBC CAPITAL MARKETS, LLC 31194 1686485 9-D2 9-D4 RBC CAPITAL MARKETS, LLC 31194 1686484 9-D2 9-D4 RBC CAPITAL MARKETS, LLC 31194 1686483 9-D2 9-D4 RBC CAPITAL MARKETS, LLC 31194 1686482 9-D2 9-D4 RBC CAPITAL MARKETS, LLC 31194 1683904 9-D2 9-D4 RBC CAPITAL MARKETS, LLC 31194 1683903 9-D2 9-D4 RBC CAPITAL MARKETS, LLC 31194 1683902 9-D2 9-D4 RBC CAPITAL MARKETS, LLC 31194 1683901 9-E2 RBC CAPITAL MARKETS, LLC 31194 1681981 9-D2 9-D4 RBC CAPITAL MARKETS, LLC 31194 1681749 9-D2 9-D4 RBC CAPITAL MARKETS, LLC 31194 1681748 9-D2 9-D4 RBC CAPITAL MARKETS, LLC 31194 1681746 9-D2 9-D4 RBC CAPITAL MARKETS, LLC 31194 1681745 9-D2 9-D4 RBC CAPITAL MARKETS, LLC 31194 1681744 9-D2 9-D4 RBC CAPITAL MARKETS, LLC 31194 1681743 9-D2 9-D4 RBC CAPITAL MARKETS, LLC 31194 1681741 9-D2 9-D4 RBC CAPITAL MARKETS, LLC 31194 1681739 9-D2 9-D4 RBC CAPITAL MARKETS, LLC 31194 1681736 9-D2 9-D4 RBC CAPITAL MARKETS, LLC 31194 1681734 9-D2 9-D4 RBC CAPITAL MARKETS, LLC 31194 1680673 9-D2 9-D4 RBC CAPITAL MARKETS, LLC 31194 1680632 9-E2 RBC CAPITAL MARKETS, LLC 31194 1677801 9-D2 9-D4 RBC CAPITAL MARKETS, LLC 31194 1676632 9-D2 9-D4 RBC CAPITAL MARKETS, LLC 31194 1676630 9-D2 9-D4 RBC CAPITAL MARKETS, LLC 31194 1676140 9-D2 9-D4 RBC CAPITAL MARKETS, LLC 31194 1675640 9-D2 9-D4 RBC CAPITAL MARKETS, LLC 31194 1675111 9-E2 RBC CAPITAL MARKETS, LLC 31194 1666532 9-E2 RBC CAPITAL MARKETS, LLC 31194 1656313 9-E2 RBC CAPITAL MARKETS, LLC 31194 1656109 9-D2 9-D4 RBC CAPITAL MARKETS, LLC 31194 1651765 9-E2 RBC CAPITAL MARKETS, LLC 31194 1644399 9-E2 RBC CAPITAL MARKETS, LLC 31194 1639866 9-E2 RBC CAPITAL MARKETS, LLC 31194 1639594 9-E2 RBC CAPITAL MARKETS, LLC 31194 1618710 9-D2 9-D4 RBC CAPITAL MARKETS, LLC 31194 1616492 9-E2 RBC CAPITAL MARKETS, LLC 31194 1610639 9-E2 RBC CAPITAL MARKETS, LLC 31194 1593917 9-E2 RBC CAPITAL MARKETS, LLC 31194 1587319 9-E2 RBC CAPITAL MARKETS, LLC 31194 1582765 9-C2 9-C4 9-C5 RBC CAPITAL MARKETS, LLC 31194 1580978 9-E2 RBC CAPITAL MARKETS, LLC 31194 1577367 9-D2 RBC CAPITAL MARKETS, LLC 31194 1572887 9-D2 9-D4 RBC CAPITAL MARKETS, LLC 31194 1571935 9-D2 9-D4 RBC CAPITAL MARKETS, LLC 31194 1566372 9-D2 9-D4 RBC CAPITAL MARKETS, LLC 31194 1551816 9-D2 9-D4 RBC CAPITAL MARKETS, LLC 31194 1541931 9-E2 RBC CAPITAL MARKETS, LLC 31194 1532698 9-D2 9-D4 RBC CAPITAL MARKETS, LLC 31194 1525887 9-E2 RBC CAPITAL MARKETS, LLC 31194 1522427 9-D2 9-D4 RBC CAPITAL MARKETS, LLC 31194 1521327 9-D2 9-D4 RBC CAPITAL MARKETS, LLC 31194 1520499 9-D2 9-D4 RBC CAPITAL MARKETS, LLC 31194 1514459 9-D2 9-D4 RBC CAPITAL MARKETS, LLC 31194 1511470 9-D2 9-D4 RBC CAPITAL MARKETS, LLC 31194 1510593 9-D2 9-D4 RBC CAPITAL MARKETS, LLC 31194 1504882 9-D2 9-D4 RBC CAPITAL MARKETS, LLC 31194 1496619 9-D2 9-D4 RBC CAPITAL MARKETS, LLC 31194 1495987 9-D2 9-D4 RBC CAPITAL MARKETS, LLC 31194 1495986 9-D2 9-D4 RBC CAPITAL MARKETS, LLC 31194 1495985 9-D2 9-D4 RBC CAPITAL MARKETS, LLC 31194 1492478 9-D2 9-D4 RBC CAPITAL MARKETS, LLC 31194 1492477 9-D2 9-D4 RBC CAPITAL MARKETS, LLC 31194 1492476 9-D2 9-D4 RBC CAPITAL MARKETS, LLC 31194 1492475 9-E2 RBC CAPITAL MARKETS, LLC 31194 1491738 9-E2 RBC CAPITAL MARKETS, LLC 31194 1491331 9-E2 RBC CAPITAL MARKETS, LLC 31194 1491329 9-E2 RBC CAPITAL MARKETS, LLC 31194 1491082 9-E2 RBC CAPITAL MARKETS, LLC 31194 1491077 9-D2 9-D4 RBC CAPITAL MARKETS, LLC 31194 1486747 9-D2 9-D4 RBC CAPITAL MARKETS, LLC 31194 1482725 9-D2 9-D4 RBC CAPITAL MARKETS, LLC 31194 1482724 9-D2 9-D4 RBC CAPITAL MARKETS, LLC 31194 1482649 9-D2 9-D4 RBC CAPITAL MARKETS, LLC 31194 1480539 9-D2 9-D4 RBC CAPITAL MARKETS, LLC 31194 1480538 9-D2 9-D4 RBC CAPITAL MARKETS, LLC 31194 1480537 9-D2 9-D4 RBC CAPITAL MARKETS, LLC 31194 1480536 9-D2 9-D4 RBC CAPITAL MARKETS, LLC 31194 1480535 9-D2 9-D4 RBC CAPITAL MARKETS, LLC 31194 1480534 9-D2 9-D4 RBC CAPITAL MARKETS, LLC 31194 1480533 9-D2 9-D4 RBC CAPITAL MARKETS, LLC 31194 1477560 9-D2 9-D4 RBC CAPITAL MARKETS, LLC 31194 1475254 9-D2 9-D4 RBC CAPITAL MARKETS, LLC 31194 1471934 9-D2 9-D4 RBC CAPITAL MARKETS, LLC 31194 1471933 9-D2 9-D4 RBC CAPITAL MARKETS, LLC 31194 1471932 9-D2 9-D4 RBC CAPITAL MARKETS, LLC 31194 1471931 9-D2 9-D4 RBC CAPITAL MARKETS, LLC 31194 1471930 9-D2 9-D4 RBC CAPITAL MARKETS, LLC 31194 1468496 9-D2 9-D4 RBC CAPITAL MARKETS, LLC 31194 1468129 9-D2 9-D4 RBC CAPITAL MARKETS, LLC 31194 1467200 9-D2 9-D4 RBC CAPITAL MARKETS, LLC 31194 1467199 9-D2 9-D4 RBC CAPITAL MARKETS, LLC 31194 1467198 9-D2 9-D4 RBC CAPITAL MARKETS, LLC 31194 1467197 9-D2 9-D4 RBC CAPITAL MARKETS, LLC 31194 1467195 9-D2 9-D4 RBC CAPITAL MARKETS, LLC 31194 1467196 9-D2 RBC CAPITAL MARKETS, LLC 31194 1462714 9-E2 RBC CAPITAL MARKETS, LLC 31194 1447740 9-C2 9-C4 9-C5 RBC CAPITAL MARKETS, LLC 31194 1445550 9-E2 RBC CAPITAL MARKETS, LLC 31194 1423548 9-E2 RBC CAPITAL MARKETS, LLC 31194 1409781 9-E2 RBC CAPITAL MARKETS, LLC 31194 1383991 9-E2 RBC CAPITAL MARKETS, LLC 31194 1383205 9-E2 RBC CAPITAL MARKETS, LLC 31194 1368347 9-D2 RBC CAPITAL MARKETS, LLC 31194 1350741 9-E2 RBC CAPITAL MARKETS, LLC 31194 1332570 9-E2 RBC CAPITAL MARKETS, LLC 31194 1313451 9-C4 9-C5 RBC CAPITAL MARKETS, LLC 31194 1307437 9-D2 RBC CAPITAL MARKETS, LLC 31194 1303837 9-E2 RBC CAPITAL MARKETS, LLC 31194 1278726 9-E2 RBC CAPITAL MARKETS, LLC 31194 1257964 9-E2 RBC CAPITAL MARKETS, LLC 31194 1257175 9-E2 RBC CAPITAL MARKETS, LLC 31194 1241976 9-E2 RBC CAPITAL MARKETS, LLC 31194 1229334 9-E2 RBC CAPITAL MARKETS, LLC 31194 1227589 9-E2 RBC CAPITAL MARKETS, LLC 31194 1225807 9-E2 RBC CAPITAL MARKETS, LLC 31194 1221985 9-E2 RBC CAPITAL MARKETS, LLC 31194 1155213 9-E2 RBC CAPITAL MARKETS, LLC 31194 1145881 9-E2 RBC CAPITAL MARKETS, LLC 31194 1140722 9-E2 RBC CAPITAL MARKETS, LLC 31194 1127782 9-E2 RBC CAPITAL MARKETS, LLC 31194 1120905 9-E2 RBC CAPITAL MARKETS, LLC 31194 1120899 9-E2 RBC CAPITAL MARKETS, LLC 31194 1090741 9-E2 RBC CAPITAL MARKETS, LLC 31194 1083856 9-E2 RBC CAPITAL MARKETS, LLC 31194 1083855 9-E2 RBC CAPITAL MARKETS, LLC 31194 1083853 9-E2 RBC CAPITAL MARKETS, LLC 31194 1083852 9-E2 RBC CAPITAL MARKETS, LLC 31194 1083851 9-E2 RBC CAPITAL MARKETS, LLC 31194 1083850 9-E2 RBC CAPITAL MARKETS, LLC 31194 1083849 9-E4 RBC CAPITAL MARKETS, LLC 31194 1078621 9-E2 RBC CAPITAL MARKETS, LLC 31194 1078620 9-E2 RBC CAPITAL MARKETS, LLC 31194 1078614 9-E2 RBC CAPITAL MARKETS, LLC 31194 1078600 9-E2 RBC CAPITAL MARKETS, LLC 31194 1078599 9-E2 RBC CAPITAL MARKETS, LLC 31194 1078597 9-E2 RBC CAPITAL MARKETS, LLC 31194 1078595 9-E2 RBC CAPITAL MARKETS, LLC 31194 1078594 9-E2 RBC CAPITAL MARKETS, LLC 31194 1078593 9-D5 RBC CAPITAL MARKETS, LLC 31194 1078526 9-E2 RBC CAPITAL MARKETS, LLC 31194 1078525 9-E2 RBC CAPITAL MARKETS, LLC 31194 1078524 9-E2 RBC CAPITAL MARKETS, LLC 31194 1078523 9-E2 RBC CAPITAL MARKETS, LLC 31194 1078519 9-E2 RBC CAPITAL MARKETS, LLC 31194 1078518 9-E2 Ragozzino 31194 1078516 9-E2 RBC CAPITAL MARKETS, LLC 31194 1078515 9-E2 RBC CAPITAL MARKETS, LLC 31194 1078514 9-E2 RBC CAPITAL MARKETS, LLC 31194 1078512 9-E2 RBC CAPITAL MARKETS, LLC 31194 1077360 9-E2 RBC CAPITAL MARKETS, LLC 31194 1077359 9-E2 RBC CAPITAL MARKETS, LLC 31194 1077357 9-E2 RBC CAPITAL MARKETS, LLC 31194 1077338 9-E2 RBC CAPITAL MARKETS, LLC 31194 1077261 9-E2 RBC CAPITAL MARKETS, LLC 31194 1077260 9-E2 RBC CAPITAL MARKETS, LLC 31194 1077249 9-E2 RBC CAPITAL MARKETS, LLC 31194 1077248 9-D2 RBC CAPITAL MARKETS, LLC 31194 1077247 9-D2 RBC CAPITAL MARKETS, LLC 31194 1077245 9-E2 RBC CAPITAL MARKETS, LLC 31194 1077244 9-E2 RBC CAPITAL MARKETS, LLC 31194 1077160 9-E2 RBC CAPITAL MARKETS, LLC 31194 1077159 9-D2 RBC CAPITAL MARKETS, LLC 31194 1077158 9-D2 RBC CAPITAL MARKETS, LLC 31194 1077157 9-D2 RBC CAPITAL MARKETS, LLC 31194 1077155 9-E2 RBC CAPITAL MARKETS, LLC 31194 1077154 9-D2 RBC CAPITAL MARKETS, LLC 31194 1077153 9-D2 RBC CAPITAL MARKETS, LLC 31194 1077152 9-D2 RBC CAPITAL MARKETS, LLC 31194 1077150 9-E2 RBC CAPITAL MARKETS, LLC 31194 1077148 9-E2 RBC CAPITAL MARKETS, LLC 31194 1077147 9-D2 RBC CAPITAL MARKETS, LLC 31194 1077145 9-E2 RBC CAPITAL MARKETS, LLC 31194 1077144 9-D2 9-D5 RBC CAPITAL MARKETS, LLC 31194 1077143 9-C2 RBC CAPITAL MARKETS, LLC 31194 1077142 9-D2 RBC CAPITAL MARKETS, LLC 31194 1077140 9-E2 RBC CAPITAL MARKETS, LLC 31194 1077139 9-E2 RBC CAPITAL MARKETS, LLC 31194 1077138 9-D2 RBC CAPITAL MARKETS, LLC 31194 1077137 9-D2 RBC CAPITAL MARKETS, LLC 31194 1077136 9-D2 RBC CAPITAL MARKETS, LLC 31194 1077135 9-E2 RBC CAPITAL MARKETS, LLC 31194 1077133 9-D2 RBC CAPITAL MARKETS, LLC 31194 1077099 9-D2 RBC CAPITAL MARKETS, LLC 31194 1077098 9-D2 RBC CAPITAL MARKETS, LLC 31194 1076252 9-D2 RBC CAPITAL MARKETS, LLC 31194 1076250 9-E2 RBC CAPITAL MARKETS, LLC 31194 1076249 9-D2 RBC CAPITAL MARKETS, LLC 31194 1076248 9-D2 RBC CAPITAL MARKETS, LLC 31194 1076247 9-E2 RBC CAPITAL MARKETS, LLC 31194 1076246 9-E2 RBC CAPITAL MARKETS, LLC 31194 1076244 9-E2 RBC CAPITAL MARKETS, LLC 31194 1076203 9-E2 RBC CAPITAL MARKETS, LLC 31194 1076200 9-C2 9-C5 RBC CAPITAL MARKETS, LLC 31194 1075715 9-D2 RBC CAPITAL MARKETS, LLC 31194 1075714 9-D2 RBC CAPITAL MARKETS, LLC 31194 1075713 9-E2 RBC CAPITAL MARKETS, LLC 31194 1075712 9-E2 RBC CAPITAL MARKETS, LLC 31194 1075711 9-C1 9-C2 9-C4 9-C5 RBC CAPITAL MARKETS, LLC 31194 1075710 9-D2 9-D4 RBC CAPITAL MARKETS, LLC 31194 1075709 9-E2 RBC CAPITAL MARKETS, LLC 31194 1075707 9-E2 RBC CAPITAL MARKETS, LLC 31194 1052280 9-E2 RBC CAPITAL MARKETS, LLC 31194 1038809 9-C2 9-C4 9-C5 RBC CAPITAL MARKETS, LLC 31194 1034151 9-E2 RBC CAPITAL MARKETS, LLC 31194 970948 9-E2 RBC CAPITAL MARKETS, LLC 31194 854468 9-C1 9-C2 9-C4 9-C5 RBC CAPITAL MARKETS, LLC 31194 734989 9-C5 RBC CAPITAL MARKETS, LLC 31194 657656 9-D2 RBC CAPITAL MARKETS, LLC 31194 618183 9-E2 RBC CAPITAL MARKETS, LLC 31194 618181 9-E2 RBC CAPITAL MARKETS, LLC 31194 618179 9-E2 RBC CAPITAL MARKETS, LLC 31194 618178 9-E2 RBC CAPITAL MARKETS, LLC 31194 618177 9-E2 RBC CAPITAL MARKETS, LLC 31194 618176 9-E2 RBC CAPITAL MARKETS, LLC 31194 618175 9-D2 RBC CAPITAL MARKETS, LLC 31194 618174 9-D2 RBC CAPITAL MARKETS, LLC 31194 618173 9-D2 RBC CAPITAL MARKETS, LLC 31194 618171 9-D2 RBC CAPITAL MARKETS, LLC 31194 618170 9-D2 RBC CAPITAL MARKETS, LLC 31194 618169 9-D2 RBC CAPITAL MARKETS, LLC 31194 618168 9-E2 RBC CAPITAL MARKETS, LLC 31194 618167 9-E2 RBC CAPITAL MARKETS, LLC 31194 618166 9-E2 RBC CAPITAL MARKETS, LLC 31194 618164 9-E2 RBC CAPITAL MARKETS, LLC 31194 618163 9-E2 RBC CAPITAL MARKETS, LLC 31194 618162 9-E2 RBC CAPITAL MARKETS, LLC 31194 618161 9-E2 RBC CAPITAL MARKETS, LLC 31194 618160 9-E2 RBC CAPITAL MARKETS, LLC 31194 618159 9-E2 RBC CAPITAL MARKETS, LLC 31194 618158 9-E2 RBC CAPITAL MARKETS, LLC 31194 618157 9-E2 RBC CAPITAL MARKETS, LLC 31194 618156 9-E2 RBC CAPITAL MARKETS, LLC 31194 618155 9-E2 RBC CAPITAL MARKETS, LLC 31194 618154 9-E2 RBC CAPITAL MARKETS, LLC 31194 618153 9-E2 RBC CAPITAL MARKETS, LLC 31194 618152 9-E2 RBC CAPITAL MARKETS, LLC 31194 618151 9-C2 9-C4 9-C5 RBC CAPITAL MARKETS, LLC 31194 618147 9-E2 RBC CAPITAL MARKETS, LLC 31194 612002 9-E2 RBC CAPITAL MARKETS, LLC 31194 555914 9-E2 RBC CAPITAL MARKETS, LLC 31194 330520 1 9-D2 RBC DOMINION SECURITIES INC. N RBC CAPITAL MARKETS, LLC 31194 1151580 1 9-D2 RBC DOMINION SECURITIES INC. N RBC CAPITAL MARKETS, LLC 31194 1151579 1 9-D2 RBC DOMINION SECURITIES INC. N RBC CAPITAL MARKETS, LLC 31194 1151578 1 9-D2 RBC DOMINION SECURITIES INC. N RBC CAPITAL MARKETS, LLC 31194 1151577 1 9-D2 RBC DOMINION SECURITIES INC. N RBC CAPITAL MARKETS, LLC 31194 1151576 1 9-D2 RBC DOMINION SECURITIES INC. N RBC CAPITAL MARKETS, LLC 31194 1151573 1 9-D2 RBC DIRECT INVESTING INC. (FORMERLY ROYAL BANK ACTION DIRECT, INC.) N RBC CAPITAL MARKETS, LLC 31194 1151572 9-D2 9-D4 RBC CAPITAL MARKETS, LLC 31194 1667760 9-E2 RBC CAPITAL MARKETS, LLC 31194 1348155 9-C2 9-C4 9-C5 RBC CAPITAL MARKETS, LLC 31194 1078590 9-D2 RBC CAPITAL MARKETS, LLC 31194 1077132 9-E2 CITY NATIONAL SECURITIES 103705 1847961 9-D2 RIM SECURITIES LLC 18466 1847958 9-E2 RBC CAPITAL MARKETS, LLC 31194 1846692 9-E2 RBC CAPITAL MARKETS, LLC 31194 1816266 9-E2 RBC CAPITAL MARKETS, LLC 31194 1804371 9-C5 RBC CAPITAL MARKETS, LLC 31194 1788966 9-D2 9-D4 RBC CAPITAL MARKETS, LLC 31194 1768868 9-E2 RBC CAPITAL MARKETS, LLC 31194 1767730 9-D2 9-D4 RBC CAPITAL MARKETS, LLC 31194 1746342 9-E2 RBC CAPITAL MARKETS, LLC 31194 1730802 9-E2 RBC CAPITAL MARKETS, LLC 31194 1730801 9-E2 RBC CAPITAL MARKETS, LLC 31194 1723387 9-E2 RBC Capital Markets, LLC 31194 1951631 9-D2 9-D4 RBC Capital Markets, LLC 31194 1951525 9-E2 RBC Capital Markets, LLC 31194 1951487 9-E2 RBC Capital Markets, LLC 31194 1951483 9-E2 RBC Capital Markets, LLC 31194 1951482 9-E2 RBC Capital Markets, LLC 31194 1951481 9-E2 RBC Capital Markets, LLC 31194 1951479 9-E2 RBC Capital Markets, LLC 31194 1951399 9-E2 RBC Capital Markets, LLC 31194 1950478 9-E2 RBC Capital Markets, LLC 31194 1932849 9-D2 9-D4 RBC Capital Markets, LLC 31194 1928614 9-E2 RBC Capital Markets, LLC 31194 1914870 9-E2 RBC Capital Markets, LLC 31194 1908282 9-E2 RBC Capital Markets, LLC 31194 1905069 9-C2 9-C4 9-C5 RBC Capital Markets, LLC 31194 1898268 9-D2 9-D4 RBC Capital Markets, LLC 31194 1895439 9-D2 RBC Capital Markets, LLC 31194 1895438 9-E2 RBC Capital Markets, LLC 31194 1886647 9-E2 RBC Capital Markets, LLC 31194 1879981 9-E2 RBC Capital Markets, LLC 31194 1875179 9-E2 RBC Capital Markets, LLC 31194 1875128 9-D2 9-D4 RBC Capital Markets, LLC 31194 1873902 9-E2 RBC Capital Markets, LLC 31194 1869268 1 9-D2 RBC Dominion Securities Inc. N RBC Capital Markets, LLC 31194 1151575 1 9-C2 9-C4 Royal Bank of Canada N RBC Capital Markets, LLC 31194 1738423 1 9-E2 RBC Capital Markets Arbitrage, S.A. N 121263 RBC Capital Markets, LLC 31194 1875128 9-E2 RBC Capital Markets, LLC 31194 1967385 9-E2 RBC Capital Markets, LLC 31194 1976095 9-E2 RBC Capital Markets, LLC 31194 1978674 9-E2 RBC Capital Markets, LLC 31194 1980676 9-E2 RBC Capital Markets, LLC 31194 1985561 9-E2 RBC CAPITAL MARKETS, LLC 31194 1987440 9-E2 RBC Capital Markets, LLC 31194 2004829 1 9-C2 9-C5 CONVERGENT WEALTH ADVISORS LLC N RBC CAPITAL MARKETS LLC 31194 2017761 9-C2 9-C4 RBC CAPITAL MARKETS LLC 31194 2019936 9-E2 RBC CAPITAL MARKETS LLC 31194 2023998 9-E2 RBC CAPITAL MARKETS LLC 31194 2024001 9-E2 RBC CAPITAL MARKETS LLC 31194 2024015 9-E2 RBC CAPITAL MARKETS LLC 31194 2047932 9-E2 RBC CAPITAL MARKETS LLC 31194 2047935 9-E2 RBC CAPITAL MARKETS LLC 31194 2047948 9-E2 RBC CAPITAL MARKETS LLC 31194 2048003 9-E2 RBC CAPITAL MARKETS LLC 31194 2048004 9-E2 RBC CAPITAL MARKETS LLC 31194 2048014 1 9-D2 ROYAL BANK OF CANADA N ROYAL BANK OF CANADA 31194 2048270 9-E2 ROYAL BANK OF CANADA 31194 2048413 9-C2 9-C4 9-C5 ROYAL BANK OF CANADA 31194 2048635 9-E2 RBC CAPITAL MARKETS LLC 31194 2049905 9-E2 RBC CAPITAL MARKETS LLC 31194 2050116 9-E2 RBC CAPITAL MARKETS LLC 31194 2051028 9-E2 RBC CAPITAL MARKETS, LLC 31194 2101428 9-G RBC CAPITAL MARKETS LLC 31194 2090273 9-C5 RBC CAPITAL MARKETS LLC 31194 2071814 9-E2 RBC CAPITAL MARKETS LLC 31194 2054829 9-E2 RBC CAPITAL MARKETS LLC 31194 2054822 9-E2 RBC CAPITAL MARKETS LLC 31194 2054818 9-E2 RBC CAPITAL MARKETS LLC 31194 2054556 9-E2 RBC CAPITAL MARKETS, LLC 31194 2053914 9-E2 RBC CAPITAL MARKETS, LLC 31194 2053538 9-E2 RBC CAPITAL MARKETS LLC 31194 1996083 9-E2 RBC CAPITAL MARKETS LLC 31194 1951632 1 9-E2 RBC CAPITAL MARKETS ARBITRAGE, S.A. N 121263 RBC CAPITAL MARKETS LLC 31194 1867306 9-C2 9-C4 9-C5 RBC CAPITAL MARKETS, LLC 31194 2153093 9-G RBC CAPITAL MARKETS, LLC 31194 2090273 9-C5 RBC CAPITAL MARKETS, LLC 31194 2071814 9-E2 RBC CAPITAL MARKETS, LLC 31194 2054829 9-E2 RBC CAPITAL MARKETS, LLC 31194 2054822 9-E2 RBC CAPITAL MARKETS, LLC 31194 2054818 9-E2 RBC CAPITAL MARKETS, LLC 31194 2054556 9-E2 RBC CAPITAL MARKETS, LLC 31194 2053914 9-E2 RBC CAPITAL MARKETS, LLC 31194 2053538 9-E2 RBC CAPITAL MARKETS, LLC 31194 2051028 9-E2 RBC CAPTIAL MARKETS, LLC 31194 2050116 9-E2 RBC CAPITAL MARKETS, LLC 31194 2049905 9-C2 9-C4 9-C5 RBC CAPITAL MARKETS, LLC 31194 2048635 9-E2 RBC CAPITAL MARKETS, LLC 31194 2048413 1 9-D2 RBC CAPITAL MARKETS, LLC 31194 2048270 ROYAL BANK OF CANADA N RBC CAPITAL MARKETS, LLC 31194 2048270 9-E2 RBC CAPITAL MARKETS, LLC 31194 2048014 9-E2 RBC CAPITAL MARKETS, LLC 31194 2048004 9-E2 RBC CAPITAL MARKETS, LLC 31194 2048003 9-E2 RBC CAPITAL MARKETS, LLC 31194 2047948 9-E2 RBC CAPITAL MARKETS, LLC 31194 2047935 9-E2 RBC CAPITAL MARKETS, LLC 31194 2047932 9-E2 RBC CAPITAL MARKETS, LLC 31194 2024015 9-E2 RBC CAPITAL MARKETS, LLC 31194 2024001 9-E2 RBC CAPITAL MARKETS, LLC 31194 2023998 9-C2 9-C4 RBC CAPITAL MARKETS, LLC 31194 2019936 1 9-C2 9-C5 RBC CAPITAL MARKETS, LLC 31194 2017761 CONVERGENT WEALTH ADVISORS N 143719 RBC CAPITAL MARKETS, LLC 31194 2017761 9-E2 RBC CAPITAL MARKETS, LLC 31194 2004829 9-E2 RBC CAPITAL MARKETS, LLC 31194 1996083 9-E2 RBC CAPITAL MARKETS, LLC 31194 1987440 9-E2 RBC CAPITAL MARKETS, LLC 31194 1985561 9-E2 RBC CAPITAL MARKETS, LLC 31194 1980676 9-E2 RBC CAPITAL MARKETS, LLC 31194 1978674 9-E2 RBC CAPITAL MARKETS, LLC 31194 1976095 9-E2 RBC CAPITAL MARKETS, LLC 31194 1967385 9-E2 RBC CAPITAL MARKETS, LLC 31194 1951632 9-E2 RBC CAPITAL MARKETS, LLC 31194 1951631 9-D2 9-D4 RBC CAPITAL MARKETS, LLC 31194 1951525 9-E2 RBC CAPITAL MARKETS, LLC 31194 1951487 9-E2 RBC CAPITAL MARKETS, LLC 31194 1951483 9-E2 RBC CAPITAL MARKETS, LLC 31194 1951482 9-E2 RBC CAPITAL MARKETS, LLC 31194 1951481 9-E2 RBC CAPITAL MARKETS, LLC 31194 1951479 9-E2 RBC CAPITAL MARKETS, LLC 31194 1951399 9-E2 RBC CAPITAL MARKETS, LLC 31194 1950478 9-E2 RBC CAPITAL MARKETS, LLC 31194 1932849 9-D2 9-D4 RBC CAPITAL MARKETS, LLC 31194 1928614 9-E2 RBC CAPITAL MARKETS, LLC 31194 1914870 9-E2 RBC CAPITAL MARKETS, LLC 31194 1908282 9-E2 RBC CAPITAL MARKETS, LLC 31194 1905069 9-C2 9-C4 9-C5 RBC CAPITAL MARKETS, LLC 31194 1898268 9-D2 9-D4 RBC CAPITAL MARKETS, LLC 31194 1895439 9-D2 RBC CAPITAL MARKETS, LLC 31194 1895438 9-E2 RBC CAPITAL MARKETS, LLC 31194 1886647 9-E2 RBC CAPITAL MARKETS, LLC 31194 1879981 9-E2 RBC CAPITAL MARKETS, LLC 31194 1875179 9-E2 RBC CAPITAL MARKETS, LLC 31194 1875128 9-D2 9-D4 RBC CAPITAL MARKETS, LLC 31194 1873902 9-E2 RBC CAPITAL MARKETS, LLC 31194 1869268 1 9-E2 RBC CAPITAL MARKETS, LLC 31194 1867306 RBC CMA LLC Y 008-65401 RBC CAPITAL MARKETS, LLC 31194 1867306 1 9-E2 RBC CAPITAL MARKETS, LLC 31194 1847961 CITY NATIONAL SECURITIES, INC Y 008-52265 RBC CAPITAL MARKETS, LLC 31194 1847961 1 9-D2 RBC CAPITAL MARKETS, LLC 31194 1847958 CNR SECURITIES LLC Y 008-36759 RBC CAPITAL MARKETS, LLC 31194 1847958 9-E2 RBC CAPITAL MARKETS, LLC 31194 1846692 9-E2 RBC CAPITAL MARKETS, LLC 31194 1816266 9-E2 RBC CAPITAL MARKETS, LLC 31194 1804371 9-C5 RBC CAPITAL MARKETS, LLC 31194 1788966 9-D2 9-D4 RBC CAPITAL MARKETS, LLC 31194 1768868 9-E2 RBC CAPITAL MARKETS, LLC 31194 1767730 9-D2 9-D4 RBC CAPITAL MARKETS, LLC 31194 1746342 9-G RBC CAPITAL MARKETS, LLC 31194 1730802 9-E2 RBC CAPITAL MARKETS, LLC 31194 1723387 9-E2 RBC CAPITAL MARKETS, LLC 31194 1730801 1 9-C2 9-C5 RBC CAPITAL MARKETS, LLC 31194 1738423 ROYAL BANK OF CANADA N RBC CAPITAL MARKETS, LLC 31194 1738423 9-E2 RBC CAPITAL MARKETS, LLC 31194 2178039 9-C2 9-C4 9-C5 RBC CAPITAL MARKETS, LLC 31194 2170197 9-E2 RBC CAPITAL MARKETS, LLC 31194 2158593 9-D2 RBC CAPITAL MARKETS, LLC 31194 2153125 9-C2 9-C4 9-C5 RBC CAPITAL MARKETS, LLC 31194 2153093 9-E2 RBC CAPITAL MARKETS, LLC 31194 2144160 9-E2 RBC CAPITAL MARKETS, LLC 31194 2139225 9-E2 RBC CAPITAL MARKETS, LLC 31194 2119474 9-E2 RBC CAPTIAL MARKETS, LLC 31194 2119474 9-E2 RBC CAPITAL MARKETS, LLC 31194 2118359 9-E2 RBC CAPITAL MARKETS, LLC 31194 2118357 9-E2 RBC CAPTIAL MARKETS, LLC 31194 2115431 9-E2 RBC CAPITAL MARKETS, LLC 31194 2108477 9-E2 RBC CAPITAL MARKETS, LLC 31194 2101428 9-H1a 9-H1b RBC CAPITAL MARKETS, LLC 31194 1460981 9-H1b RBC CAPITAL MARKETS, LLC 31194 1077333 9-H1b RBC CAPITAL MARKETS, LLC 31194 1077333 1 9-H2 ROYAL BANK OF CANADA N RBC CAPITAL MARKETS, LLC 31194 1611143 Ryan Joseph Taylor Ryan Joseph Taylor CCO, RBC Capital Markets, LLC - U.S. 02-23-2022 4570484 N N N N N Y Y Y N Y Y Y Y N N N Y Y Y N N