Kye Aubrey Abraham

1) LKA Gold Incorporated; Investment related: Yes; Location: 3724 47th Street Ct - Gig Harbor, WA 98335; Description: LKA Gold Incorporated (OTC:LKAI) is a publicly traded gold mining and exploration company with mining properties located in Colorado.; Position Title: President/Chairman; Responsibilities Duties: Chief Executive Officer; Start date: 1988-03-15; Hours during trading hours: 10; Hours outside trading hours: 20; 2) Abraham Securities Corporation; Investment related: Yes; Location: 3724 47th Street Ct - Gig Harbor, WA 98335; Description: Abraham Securities Corporation is a SEC registered Broker-Dealer which is a wholly-owned subsidiary of Abraham & Co., Inc. The Firm is a member of FINRA and SiPC.; Position Title: President/Chairman; Responsibilities Duties: Chief Compliance Officer, Principal, and Financial Operations Principal.; Start date: 1983-01-01; Hours during trading hours: 5; Hours outside trading hours: 5; Additional notes: This firm is current in its reporting to regulatory authorities but operationally inactive. It's parent company, Abraham & Co., Inc. currently intends to sell this entity. 3) Insurance Products; Investment related: Yes; Location: 3724 47th Street Ct - Gig Harbor, WA 98335; Description: In the course of structuring and implementing retirement planning for clients, Mr. Abraham often uses insurance products (specifically, fixed index annuities) to help insulate investment portfolios from market volatility and increase income stability. These products usually pay non-negotiable commissions (paid by the insurance companies, not the client). This may potentially create a conflict of interest when recommending these products to clients vs traditional market-based instruments. Clients are not required to accept any recommendations involving these products or purchase them thru Mr. Abraham.; Position Title: Licensed Insurance Agent/Producer; Responsibilities Duties: insurance planning and recommendations; Start date: 2013-01-07; Hours during trading hours: 10; Hours outside trading hours: 10. 4) Caldera Partners Limited Partnership Investment related: Yes; Location: 3724 47th Street Ct - Gig Harbor, WA 98335; Description: Caldera Partners LP is a private limited partnership engaged in funding the gold mining and exploration project(s) of LKA Gold Incorporated (formerly LKA International, Inc.) with mining properties located in Colorado.; Position Title: General Partner; Responsibilities Duties: Managing the affairs of the Partnership; Start date: December 1982; Hours devoted to Partnership business during trading hours: < 2 hrs per month; Hours outside trading hours: 5 hrs per month.