Don C. Potts, Chairman of the Board, received a BBA in 1963 from the University of North Texas. He was employed as an institutional salesman for Merrill Lynch from 1963-69, First Vice President for Walston & Co. from 1969-73 and Senior Vice President for Jesup & Lamont Inc. from 1973-78. He has been Chairman of Capital Institutional Services, Inc since he founded it in 1977 and served as the firm's CEO until 2006.

Kristi Wetherington, Kristi P. Wetherington, President and CEO, oversees the Executive Committee of Capital Institutional Services, Inc. (CAPIS). She joined CAPIS in 1993 as an electronic trading specialist. Two years later, she was promoted to Assistant Vice President for the compliance department, to oversee legalities regarding self-regulatory organization rules and procedures. In 1996, Ms. Wetherington became the director of the department as well as a Senior Vice President. In 2001, she was elected President by the company's Board of Directors, and was later elected CEO in 2006. Prior to CAPIS, Ms. Wetherington worked as a brokerage representative for Fidelity Investments in Dallas, Texas. She is an active member of the SIFMA Institutional Brokerage Committee and the Alliance in Support of Independent Research. Ms. Wetherington is also a Young Presidents' Organization member and a founding member of the Policy Forum of the National Center for Policy Analysis. She earned a Bachelor of Science degree from the University of Oklahoma and she holds series 7, 63, 8, 4, 24, and 14 licenses.

Timothy Hall, Chief Financial Officer and Treasurer, oversees the finances at Capital Institutional Services, Inc., from performing monthly financial statements and annual audits, to accounting, budgeting and brokerage operations. Additional duties include directing employee benefits, maintaining proper fiscal records, establishing new accounts and supervising financial management of company procedures and systems. Before joining CAPIS in 1987, he worked for Berry and Associates, Mtech, and MBank Dallas in the accounting, controller and auditing offices. Mr. Hall has a Bachelor of Business Administration degree in accounting from East Texas State University.

James Morrow, Chief Operating Officer, oversees global sales and marketing, US equity trading, NYSE floor trading, fixed income trading, transition management, and international trading. Mr. Morrow has had various positions within the company, from research analyst and account executive, to directors of electronic trading, research and marketing, and global equity trading. He joined Capital Institutional Services, Inc. in 1990. Before CAPIS, he was a financial analyst at the Florida-based Harris Corporation. Mr. Morrow has a Bachelor of Business Administration degree from Southern Methodist University and a Masters in Business from the University of North Texas. He holds Series 4, 7, 9, 10, 24, 55, and 63 licenses.

Kelly Abernathy, General Counsel and Chief Compliance Officer, oversees CAPIS' compliance with corporate policies, procedures, laws, and regulations. She provides legal advice for new company products and services, as well as compliance and regulatory matters. At CAPIS, Ms. Abernathy is an Anti-Money Laundering Officer, legal counsel to the Board of Directors, and a member of the Executive Committee. Prior to joining the company in 2001, Ms. Abernathy worked as a business consultant for Accenture, a global management and technology services company. She is a member of the Alliance in Support of Independent Research as well as a founding member of the Policy Forum of the National Center for Policy Analysis. Ms. Abernathy earned both a Bachelor of Arts degree and a Doctor of Jurisprudence from the University of Oklahoma. She holds Series 7, 9, 10, 24 and 14 licenses.