New York Mortgage Broker Registration

The following individuals, as specified below, on the Company Form (MU1) are required to submit an original signature personal financial statement.
Direct Owners
 All individuals owning 10% or more of the applicant’s voting stock Executive Officers
 Top three executive officers Indirect Owners
 All individuals indirectly owning 10% or more of the applicant’s voting stock Qualifying Individuals
 The individual designated as the Qualifying Individual for New York Trustee and Trust Protectors  All individuals with the responsibility to manage and oversee trust assets, amend trust agreement, change trustee or governing law of Manager of Investment Funds/Investment Advisors
 All individuals with the authority to make decisions regarding the ownership interest in the applicant held by limited partnership or general partnership funds or management companies. Directors  All directors of the applicant and internal directors of the indirect owners