Aaron Eugene Schaben

(1) NAME OF OTHER BUSINESS: CWM, LLC DBA CARSON WEALTH MANAGEMENT GROUP, CARSON GROUP PARTNERS AND CARSON GROUP INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: SEC REGISTERED INVESTMENT ADVISORY FIRM THAT PROVIDES PORTFOLIO MANAGEMENT, FINANCIAL PLANNING, ESTATE PLANNING AND ADDITIONAL ADVISORY SERVICES POSITION/TITLE/RELATIONSHIP: INVESTMENT ADVISORY REPRESENTATIVE START DATE: 01/2017 APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 32.5

(2) NAME OF OTHER BUSINESS: CARSON WEALTH MANAGEMENT GROUP INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 11/2011 POSITION/TITLE/RELATIONSHIP: MANAGING PARTNER APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: WORK WITH PARTNERS TO BRING NEW STRATEGIES, ENHANCE COMMUNICATIONS, IMPROVE CLIENT EDUCATION AND DRIVE TRANSPARENCY FOR CLIENTS

(3) NAME OF OTHER BUSINESS: PEAK ADVISOR ALLIANCE INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 01/2014 POSITION/TITLE/RELATIONSHIP: OWNER AND MANAGING PARTNER APX NUMBER OF HOURS PER WEEK: 5 APX NUMBER OF HOURS DURING TRADING HOURS: 5 BRIEF DESCRIPTION OF DUTIES: MANAGEMENT AND COACHING

(4) NAME OF OTHER BUSINESS: CARSON GROUP BROKERAGE ORIA CARSON GROUP INVESTING, LLC INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: ADVISORY BUSINESS POSITION/TITLE/RELATIONSHIP: ADVISORY REPRESENTATIVE START DATE: 5/2019 APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 BRIEF DESCRIPTION OF DUTIES: ASSET MANAGEMENT

(5) NAME OF OTHER BUSINESS: CARSON GROUP BROKERAGE, LLC INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: LIMITED PURPOSE BROKER DEALER START DATE: 06/2018 POSITION/TITLE/RELATIONSHIP: DIRECT OWNER LESS THAN ONE HOUR PER WEEK, DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: ACCOUNTING OVERRIDES PAID TO BD AND COMPLIANCE WITH OVERALL MAINTENANCE OF THE BD WITH FINRA.

(6) NAME OF OTHER BUSINESS: FINSERV FOUNDATION ; INVESTMENT RELATED: NO ; ADDRESS: 14600 BRANCH STREET, OMAHA NE, 68154 ; NATURE OF BUSINESS: NON-PROFIT ; START DATE: 11/2020 ; POSITION/TITLE/RELATIONSHIP: BOARD MEMBER ; APX NUMBER OF HOURS PER WEEK: 1 ; APX NUMBER OF HOURS DURING TRADING HOURS: 1 ; BRIEF DESCRIPTION OF DUTIES: MANAGE DAY-TO-DAY OPERATIONS. RESPONSIBLE FOR FUNDS AND SECURITIES OF CORPORATION ;

(7) NAME OF OTHER BUSINESS: SEEKER 77 WOOD ROAD 606, LLC ; INVESTMENT RELATED: NO; ADDRESS: 1616 S 187TH CIRCLE OMAHA,NE 68130; NATURE OF BUSINESS: REAL ESTATE; START DATE: 9/2021; POSITION/TITLE/RELATIONSHIP: MANAGER ; APX NUMBER OF HOURS PER WEEK: 0 ; APX NUMBER OF HOURS DURING TRADING HOURS: 0 ; BRIEF DESCRIPTION OF DUTIES: DIRECTING, MANAGING AND CONTROLLING THE BUSINESS OF THE COMPANY;

(8) NAME OF OTHER BUSINESS: SEEKER HOLDINGS, LLC INVESTMENT RELATED: NO; ADDRESS: 1616 S 187TH CIRCLE OMAHA,NE 68130; NATURE OF BUSINESS: HOLDING COMPANY; START DATE: 9/2021; POSITION/TITLE/RELATIONSHIP: MANAGER ; APX NUMBER OF HOURS PER WEEK: 0 ; APX NUMBER OF HOURS DURING TRADING HOURS: 0 ; BRIEF DESCRIPTION OF DUTIES: DIRECTING, MANAGING AND CONTROLLING THE BUSINESS OF THE COMPANY;