Steve M. Goodman

OLDE Discount Corp. provides securities brokerage services. The private company is based in Detroit, MI.

Cboe BZX Exchange, Inc. operates securities and exchanges markets as well as equities. The company is headquartered in Lenexa, KS.

Cboe Exchange, Inc. provides security services for innovation and technology markets. The company was founded in June 2005 and is headquartered in Kansas City, MO.

Part of Cboe Global Markets, Inc., CBOE EDGA Exchange, Inc. is a company that provides security brokerage services. The company is based in Lenexa, KS.

Cboe Trading, Inc. provides electronic security trading services. It specializes in buying and selling securities such as stock, bonds and mutual funds. The company was founded by David R. Cummings in June 2005 and is headquartered in Kansas City, MO.

Part of Cboe Global Markets, Inc., BATS Hotspot LLC operates equities and options exchanges. The company is based in Lenexa, KS.

Cboe Exchange, Inc. provides options exchange services. It trades equity options, security index options, options on exchange traded notes and products, binary options, one-week and quarterly options, long-term equity anticipation securities options, and flexible exchange options. The firm also provides information on various stock and options trading strategies, options trading tools, stock and option quotes and data; and options information and education. Additionally, they offer access to product information, conference notices, portfolio management tools, and educational materials for institutional investors and products and strategies for advisors to protect client’s portfolios. The company was founded in 1973 and is headquartered in Chicago, IL.

Wells Fargo Clearing Services LLC (WFCS) is a SEC-registered investment advisor and wealth management firm headquartered in St. Louis, Missouri. The firm was founded 1852 and formerly known as Wells Fargo Advisors LLC. They are a subsidiary of Wachovia Securities Financial Holdings LLC, a non-bank indirect subsidiary of Wells Fargo & Co. (NYSE: WFC), a financial and bank holding company. Wells Fargo Advisors is a trade name used by Wells Fargo Advisors Financial Network LLC and Wells Fargo Clearing Services LLC. WFCS provides investment advisory services to individuals, pension or profit-sharing plans, trusts, estates or charitable organizations, corporations or other business entities, governmental entities and educational institutions, as well as banks or thrift institutions. The firm also acts as portfolio manager for certain wrap fee advisory programs.

CIG Venture Management LLC (CIG Venture Management) is a venture capital subsidiary of CIG Corp. founded in 2008 by Osman Radwan Minkara. The firm is headquartered in Southfield, Michigan.

Pollen, Inc. provides financial services. It provides C2FO market, working capital exchange that allows companies to optimize their working capital positions in a live, bid/ask environment. The firm serves buyers and suppliers who use the market to increase profit and accelerate cash flow between themselves. The company was founded by Alexander C. Kemper and Pete Thomas in May 2010 and is headquartered in Leawood, KS.

JPMorgan Chase Finance Ltd. provides financial intermediation services. The company was founded on July 9, 2001 and is headquartered in London, the United Kingdom.

ROTH Capital Partners LLC is a broker/dealer headquartered in Newport Beach, California. The firm was founded in 2001 and is a subsidiary of CR Financial Holdings, Inc. They offer institutional sales and trading services. Their broad institutional coverage includes investors in North America, Canada, UK, Europe and other international territories.

OrbiMed Advisors LLC is an independent, SEC-registered investment advisor and hedge fund manager headquartered in New York City. It was founded by Sven Borho and Carl Gordon in 1989. The firm provides discretionary investment management services to US and non-US public and private funds.

OrbiMed Advisors Private Equity (OrbiMed Advisors Private Equity) is a private equity and venture capital subsidiary of Orbimed Advisors LLC founded in 1993 by Samuel D. Isaly. The firm is headquartered in New York and it has additional offices in San Francisco, Mumbai, Shanghai, Herzliya, Hong Kong and London.

Ameriprise Financial Services LLC (AFS) is a registered broker-dealer headquartered in Minneapolis, Minnesota. The firm was founded in 1971 and is a subsidiary of AMPF Holding Corp., which is owned by Ameriprise Financial, Inc. (NYSE: AMP). AFS offers brokerage services that enable clients to invest in many different types of investments including mutual funds, stocks, bonds, exchange traded products, unit investment trusts, annuities and alternative investments.

Managed Asset Portfolios LLC (MAP) is an independent, SEC-registered investment advisor headquartered in Rochester, Michigan. The firm was founded by Michael S. Dzialo in 2000. MAP provides investment advisory services to individuals, institutions, and financial advisors.

Resources Global Professionals, Inc. operates as a professional services firm. Its services include finance and accounting, internal audit, human capital, information management, supply chain management, and legal services. The company was founded in 1996 and is headquartered in Irvine, CA.

OBS Financial Services, Inc. provides investment management and consulting services. The firm offers advisory services to trust, retail, and retirement plan professionals within financial institutions and to independent investment advisors. The company was founded in 2000 and is headquartered in Perrysburg, OH.

Savile Row Financials Hedged Equity Fund M 2016-2 LLC operates as a pooled investment fund. The company is headquartered in Carmel, IN.

Commodity Futures Trading Commission engages in protecting market users and the public from fraud, manipulation related to the sale of commodity and financial futures, and options market. The company was founded in 1974 and is headquartered in Washington, DC.

Part of The Charles Schwab Corp., JB Oxford & Co. is a company that provides discount brokerage services. The company is based in Beverly Hills, CA. JB Oxford was acquired by Ameritrade Holding Corp. from Cambridge Capital Holdings, Inc. on June 07, 2004.

Concorde Asset Management LLC is a registered investment advisor headquartered in Livonia, Michigan. The firm was founded by in 2006 and is a subsidiary of Concorde Holdings, Inc. Concorde Asset Management offers discretionary and nondiscretionary investment management services to individuals, businesses, trusts and estates, retirement plan sponsors and plan participants, foundations, endowments, and other charitable organizations.