June RBC Advisor Services Contact List 3 Application Support 5

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1 Reference Guide Overview Advisor Firms are provided with a single point of contact to coordinate internal resources and provide the expertise expected from a premier custodian and broker-dealer. Furthermore, senior management is available at all times to ensure that your needs are anticipated and met. Our commitment to quality relationship management starts with our sales team. Ongoing day-to-day operational needs are met by your one-stop Client Service Representative (CSR) and all clients are provided with access to dedicated trainers. Contents Who to Contact 1 2 Hours of Operation 2 Training and Technology Support 2 Client Service Representative 2 Account Management 2 Contact List 3 Application Support 5 Who to Contact If you have any questions about the information or procedures outlined in this document, please call your RBC Advisor Services Client Service Representative (CSR) at (866) Reference Guide 1

2 Hours of Operation One Liberty Plaza 165 Broadway, 4 th Floor New York, NY Additional Office Locations 3060 Peachtree Road NW, Suite 750 Atlanta, GA Hours: 8:30 a.m. 6:00 p.m. ET Training and Technology Support To ensure proficiency with (RBC AS) systems and maximize the value of our capabilities, technology training specialists located in our regional offices provide web-based and onsite training sessions. Daily technology support is handed by our Technology Services team at (800) Client Service Representative One of the ways in which RBC AS assists in facilitating the efficient operation of your business is by assigning a primary and secondary Client Service Representative to serve as your points of contact for any daily operational issue that may arise. The CSRs are supported by a team of Client Service Liaisons that work in conjunction with all RBC AS Operations departments to ensure that clients are up-to-date with the latest technology, products and services. Regular interaction with your CSR ensures that your needs are anticipated and satisfied. Account Management There is a defined path for issue escalation that begins with the CSR and proceeds through the hierarchy of the RBC AS organization. You will also be assigned an Account Officer responsible for ensuring that RBC AS contributes to your organizational goals by providing senior-level insight and thoughtful business solutions. Your Account Office will serve as a gateway to the global resources of RBC AS. Reference Guide 2

3 Contact List RBC AS Trading Desk 8:30 a.m. - 4:30 p.m. ET Tel: (877) Fax: (877) rbcastrading@rbc.com Rob Davis Ryan Cole Jonah Mark Fixed Income Trading Desk 7:30 a.m. - 5:30 p.m. ET Tel: (866) Fax: (866) All Service Requests - Tel: (866) Fax: (866) RBCAdvisorServices.com 8:30 a.m. - 6:00p.m. ET Client Service Representatives (CSR) - Team Boerum Robert LoCascio Tel: (212) Cell: (917) Fax: (877) robert.locascio@rbc.com Client Service Liaisons (CSL) New Accounts and Account Updates Michelle Myhre Tel: (212) michelle.myhre@rbc.com Katharine Pritsos Tel: (212) Cell: (917) Fax: (877) katharine.pritsos@rbc.com Winnie Webster-Spencer Tel: (212) winnie.websterspencer@rbc.com Client Service Representatives (CSR) - Team Oddo Thomas Holl Tel: (212) Cell: (917) Fax: (877) thomas.holl@rbc.com William Moritz Tel: (212) Cell: (917) Fax: (877) william.moritz@rbc.com Client Service Liaisons (CSL) Disbursements, Proxy/Corporate Actions, and Acct Transfers David Gersten Tel: (212) david.gersten@rbc.com Jeffery Fields Tel: (212) jeffery.fields@rbc.com Branch Management Branch Management Branch Management Supervisor Kelly Dynes Tel: (212) kelly.dynes@rbc.com Jacquelyn Drayton Tel: (212) jacquelyn.drayton@rbc.com Anthony DaPrato Tel: (212) anthony.daprato@rbc.com CSR Team Leaders CSL Team Leader Integration Manager Tara Boerum Tel: (212) Cell: (917) Fax: (866) tara.boerum@rbc.com Angelo Oddo Tel: (212) Cell: (917) Fax: (866) angelo.oddo@rbc.com Brian Mullally Tel: (212) Cell: (917) Fax: (866) brian.mullally@rbc.com Patti Norton Tel: (212) Cell: (917) Fax: (866) patti.norton@rbc.com RBC AS Manager RBC AS Sales RBC AS Sales Leonard Palmer Tel: (212) Cell: (917) Fax: (866) leonard.palmer@rbc.com Kelly Cobb Tel: (404) Cell: (404) Fax: (877) kelly.cobb@rbc.com Christian Widén Tel: (212) Cell: (917) Fax: (866) christian.widen@rbc.com Reference Guide 3

4 Administrative Support Lisa Pisano Tel: (212) Sarah Wood Tel: (212) Antoinette Gordon Tel: (404) Main Office Location Additional Office Location Technology Services One Liberty Plaza, 165 Broadway, 4 th floor New York, NY Peachtree Rd NW, Suite 750 Atlanta, GA Tel: (800) Training and Support: Option 1 Connectivity/Technical Issues: Option 2 Password Resets: Option 9 Reference Guide 4

5 Application Support Support Application Escalations Application Navigation / How To Questions Billing Questions Department Contact Information Connectivity Technical Services (800) , Option 2 Cost Basis Requests Digital Certificates Investment Advisor Contact Update Form Investment Advisor Record Form Password Reset Technical Services (800) , Option 9 System Access: Change To An Existing User ID System Access: Delete An Existing User ID System Access: New User ID Reference Guide 5