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Burnham Sterling

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  1. References herein to "Burnham Sterling" relate to non-securities transactions conducted by Burnham Sterling & Company LLC. Securities transactions are solely conducted by Burnham Sterling's affiliate, Babcock & Brown Securities LLC. A separate entity, Burnham Sterling Asset Management LLC (BSAM) conducts asset management activities, and is referred to under its own name herein.
  2. References to "Babcock & Brown Securities" relate to Babcock & Brown Securities LLC, an affiliate of Burnham Sterling. All securities placements referred to herein are solely conducted by Babcock & Brown Securities.

Burnham Sterling & Company LLC is an unregistered entity providing financial advisory services and is an affiliate under common control of Babcock & Brown Securities LLC. All securities related activities and/or securities transactions are conducted solely through Babcock & Brown Securities LLC, an SEC registered broker/dealer and FINRA member firm.