MA/A 0000094403 XXXXXXXX Cathy Poe 3143422110 poec@stifel.com POEC@STIFEL.COM wilhelmm@stifel.com franeys@stifel.com STIFEL, NICOLAUS & COMPANY, INCORPORATED 000000793 43-0538770 866-01044-00 867-01277 008-01447 000000793 801-10746 000000793 000000793 AL AK AZ AR CA CO CT DE DC FL GA HI ID IL IN IA KS KY LA ME MD MA MI MN MS MO MT NE NV NH NJ NM NY NC ND OH OK OR PA PR RI SC SD TN TX UT VT VI VA WA WV WI 501 NORTH BROADWAY ST. LOUIS MO 63102 314-342-2110 Add 1125 17th Street, Suite 1600 Denver CO 80202 303-296-2300 303-291-5323 Add 515 South Figueroa Street, Suite 1800 Los Angeles CA 90071 213-443-5000 213-443-5023 Add 1 Montgomery Street, Ste 3700 and 3500 San Francisco CA 94104 415-364-2500 415-364-2984 Add 2325 East Camelback Road Suite 750 Phoenix AZ 85016 602-794-4000 602-794-4046 Add 200 Public Square, Suite 2945 Cleveland OH 44114 216-430-1739 216-623-0759 N 501 NORTH BROADWAY ST. LOUIS MO 63102 www.stifel.com Garry J Stegeland

18 Columbia Turnpike Florham Park NJ 07932

973-549-4005 973-549-4006 garry.stegeland@stifel.com Paul Joseph Ayd

One South Street Baltimore MD 21202

4432201220 4432241283 Add Stifel Nicolaus & Company, Inc. One South Street Baltimore MD 21202 4432241200 4432241283 Records required by FINRA and/or the SEC for record retention requirements Stifel Financial Corp Y Delaware Division of Corporations 0929371 DE December MO 02-20-1900 N 3357 111 111 0 0 29 Municipal Entities Non-profit organizations Corporations or other businesses 0 0 0 Not Applicable Hourly Charges Fixed Fees Contingent Fees Hourly Charges Fixed Fees Contingent Fees Advice Insurance Of MS Advice Investment Of Proceeds MS Advice ME Investments Advice ME Other Investments Advice Guaranteed IC Brokerage Of MEI Y Y Y N Broker-dealer municipal securities dealer or government securities broker or dealer Investment Adviser Insurance company or agency Other municipal advisor 21 Add Broker-dealer municipal securities dealer or government securities broker or dealer Investment Adviser Century Securities Associates, Inc. BROKER DEALER N Y N Add Insurance company or agency Stifel Nicolaus Insurance Agency Insurance Agency N Y N Add Investment Adviser Equity Compass Strategies Investment Adviser N Y N Add Investment Adviser MIssouri Valley Partners Investment Adviser N Y N Add Investment Adviser Thomas Weisel Capital Management LLC Investment Adviser N Y N Add Investment Adviser Thomas Weisel Asset Management LLC Investment Adviser N Y N Add Investment Adviser Thomas Weisel Global Growth Partners Investment Adviser N Y N Add Investment Adviser Montibus Capital Management LLC Investment Adviser N Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Miller Buckfire Broker Dealer N Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer Keeve, Bruyette & Woods, Inc. Broker Dealer N Y N Add Investment Adviser KBW Asset Management, Inc. Investment Adviser N Y N Add Investment Adviser Ziegler Capital Management, LLC Investment Adviser N Y N Add Investment Company 1919 Investment Counsel, LLC Investment Adviser N Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer STERNE AGEE & LEACH INC STERNE AGEE & LEACH INC N Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer STERNE AGEE FINANCIAL SERVICES INC BROKER DEALER N Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer STERNE AGEE CLEARING BD N Y N Add Investment Adviser STERNE AGEE INVESTMENT ADVISOR SERVICES INC IA N Y N Add Investment Adviser STERNE AGEE ASSET MANAGEMENT INC IA N Y N Add Broker-dealer municipal securities dealer or government securities broker or dealer WRP INVESTMENTS INC BD N Y N Add Trust Company THE TRUST COMPANY OF STERNE AGEE INC TRUST CO N Y N Add Insurance company or agency STERNE AGEE INSURANCE CONSULTING INSURANCE N Y N N Y N N Y N N N N N Y N N N N N N N N Y N Y Y N Y N Y Y Y Y N Y N Y Y Y N Y N N Stifel Financial Corp. Y 43-1273600 Shareholder 02-01-1982 E Y Michael Francis Imhoff Director 08-14-2002 NA Y 001453259 Thomas Richard Kendrick Director 08-14-2002 NA Y 000727459 David Dean Sliney Director 08-14-2002 NA Y 002276514 David Michael Minnick Co-General Counsel, Senior Vice President and Corporate Secretary 10-01-2004 NA N 001498530 Thomas P Mulroy Director 12-01-2005 NA Y 001541559 Richard Jay Himelfarb Director 12-01-2005 NA Y 001213788 Hugo John Warns Director 12-01-2005 NA Y 002680469 James Mark Zemlyak COO and Director 08-14-2002 NA Y 001586132 James Joseph Schlafly Senior Vice President/Director 03-01-1984 NA Y 000735541 MATT R WISCHMEIER Rosfp 06-01-2015 NA N 005722168 Douglas Wayne Noll Chief Operations Officer 06-01-1995 NA N 001614129 John G Olsen Chief Compliance Officer - Private Client Group 06-01-2015 NA N 001395283 Janelle Andrea Galbierz Rosfp 01-17-2011 NA N 002477260 Rita Stephanie Kazembe CCO Advisory Serivces 03-28-2011 NA N 005907486 Allen Cor Brautigam Sr. Vice President, Director of Branches 04-01-2011 NA N 002400179 Ronald James Kruszewski Chairman, CEO, President, and Director 08-14-2002 A Y 001434827 Stephen John Bushmann Chief Financial Officer 03-01-2014 NA Y 002778234 Mark NMN Fisher Co-General Counsel 06-16-2014 NA N 004970942 Paul J Ayd Chief Compliance Officer - Institutional Group 06-01-2015 NA N 002963853 Garry Joseph Stegeland Chief Compliance Officer 07-24-2015 NA N 001881270 Add Stifel Financial Corp. Y 43-1273600 Shareholder 02-01-1982 E Y Add Michael Francis Imhoff Director 08-14-2002 NA Y 001453259 Add Thomas Richard Kendrick Director 08-14-2002 NA Y 000727459 Add David Dean Sliney Director 08-14-2002 NA Y 002276514 Add David Michael Minnick Co-General Counsel, Senior Vice President and Corporate Secretary 10-01-2004 NA N 001498530 Add Thomas P Mulroy Director 12-01-2005 NA Y 001541559 Add Richard Jay Himelfarb Director 12-01-2005 NA Y 001213788 Add Hugo John Warns Director 12-01-2005 NA Y 002680469 Add James Mark Zemlyak COO and Director 08-14-2002 NA Y 001586132 Add James Joseph Schlafly Senior Vice President/Director 03-01-1984 NA Y 000735541 Amend MATT R WISCHMEIER Rosfp 06-01-2015 NA N 005722168 Add Douglas Wayne Noll Chief Operations Officer 06-01-1995 NA N 001614129 Amend John G Olsen Chief Compliance Officer - Private Client Group 06-01-2015 NA N 001395283 Amend Janelle Andrea Galbierz Rosfp 01-17-2011 NA N 002477260 Add Rita Stephanie Kazembe CCO Advisory Serivces 03-28-2011 NA N 005907486 Add Allen Cor Brautigam Sr. Vice President, Director of Branches 04-01-2011 NA N 002400179 Add Ronald James Kruszewski Chairman, CEO, President, and Director 08-14-2002 A Y 001434827 Add Stephen John Bushmann Chief Financial Officer 03-01-2014 NA Y 002778234 Add Mark NMN Fisher Co-General Counsel 06-16-2014 NA N 004970942 Amend Paul J Ayd Chief Compliance Officer - Institutional Group 06-01-2015 NA N 002963853 Add Garry Joseph Stegeland Chief Compliance Officer 07-24-2015 NA N 001881270 9-E2 Stifel Nicolaus & Company, Inc. 000000793 1707586 9-E2 Stifel Nicolaus & Company, Inc. 000000793 1700217 9-D2 9-D4 Stifel Nicolaus & Company, Inc. 000000793 1699619 9-E2 9-E4 Stifel Nicolaus & Company, Inc. 000000793 1699474 9-E2 Stifel Nicolaus & Company, Inc. 000000793 1694783 9-D2 9-D4 Stifel Nicolaus & Company, Inc. 000000793 1689387 9-E2 Stifel Nicolaus & Company, Inc. 000000793 1688023 9-E2 Stifel Nicolaus & Company, Inc. 000000793 1687258 9-E2 Stifel Nicolaus & 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