Broker Check Report — Heidi Cruz, FINRA (2016)

BrokerCheck Report HEIDI SUZANNE CRUZ Report #78952-38588, data current as of Wednesday, January 20, 2016. Section Title Report Summary Broker Qualifications Registration and Employment History CRD# 2967608 1 2 - 6 7 Page(s)

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HEIDI S. CRUZ CRD# 2967608 Currently employed by and registered with the following Firm(s): GOLDMAN, SACHS & CO. 1000 LOUISIANA STREET SUITE 550 HOUSTON, TX 77002 CRD# 361 Registered with this firm since: 10/13/2005 Report Summary for this Broker This report summary provides an overview of the broker's professional background and conduct. Additional information can be found in the detailed report. Disclosure Events All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings, and criminal or civil judicial proceedings. Are there events disclosed about this broker? No Broker Qualifications This broker is registered with: 18 Self-Regulatory Organizations 53 U.S. states and territories This broker has passed: 2 Principal/Supervisory Exams 2 General Industry/Product Exams 2 State Securities Law Exams Registration History This broker was previously registered with the following securities firm(s): MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED CRD# 7691 NEW YORK, NY 12/2004 - 09/2005 www.finra.org/brokercheck User Guidance 1 ©2016 FINRA. All rights reserved. Report# 78952-38588 about HEIDI S. CRUZ. Data current as of Wednesday, January 20, 2016.

www.finra.org/brokercheck User Guidance Broker Qualifications Registrations This section provides the self-regulatory organizations (SROs) and U.S. states/territories the broker is currently registered and licensed with, the category of each license, and the date on which it became effective. This section also provides, for every brokerage firm with which the broker is currently employed, the address of each branch where the broker works. This individual is currently registered with 18 SROs and is licensed in 53 U.S. states and territories through his or her employer. Employment 1 of 1 Firm Name: Main Office Address: Firm CRD#: GOLDMAN, SACHS & CO. 361 200 WEST STREET NEW YORK, NY 10282-2198 SRO Category Status Date FINRA General Securities Representative APPROVED 10/13/2005 FINRA General Securities Sales Supervisor APPROVED 10/05/2011 FINRA Securities Trader APPROVED 01/04/2016 BATS Y-Exchange, Inc. General Securities Representative APPROVED 06/05/2012 BATS Z-Exchange, Inc. General Securities Representative APPROVED 04/18/2012 BOX Options Exchange LLC General Securities Representative APPROVED 05/11/2012 BOX Options Exchange LLC General Securities Sales Supervisor APPROVED 05/11/2012 C2 Options Exchange, Incorporated General Securities Representative APPROVED 12/23/2015 C2 Options Exchange, Incorporated Securities Trader APPROVED 01/04/2016 Chicago Board Options Exchange General Securities Representative APPROVED 10/13/2005 Chicago Board Options Exchange General Securities Sales Supervisor APPROVED 10/05/2011 Chicago Board Options Exchange Securities Trader APPROVED 01/04/2016 Chicago Stock Exchange General Securities Representative APPROVED 12/23/2015 EDGA Exchange, Inc. General Securities Representative APPROVED 04/18/2012 EDGX Exchange, Inc. General Securities Representative APPROVED 04/18/2012 ISE Gemini, LLC Branch Office Manager (NYSE) APPROVED 09/17/2014 ISE Gemini, LLC General Securities Representative APPROVED 09/17/2014 International Securities Exchange General Securities Representative APPROVED 12/03/2007 2 ©2016 FINRA. All rights reserved. Report# 78952-38588 about HEIDI S. CRUZ. Data current as of Wednesday, January 20, 2016.

www.finra.org/brokercheck User Guidance Broker Qualifications Employment 1 of 1, continued SRO Category Status Date Miami International Stock Exchange (MIAX), LLC General Securities Representative APPROVED 12/23/2015 NASDAQ OMX BX, Inc. General Securities Representative APPROVED 01/16/2009 NASDAQ OMX BX, Inc. General Securities Sales Supervisor APPROVED 10/05/2011 NASDAQ OMX PHLX, Inc. General Securities Representative APPROVED 10/13/2005 NASDAQ OMX PHLX, Inc. General Securities Sales Supervisor APPROVED 10/05/2011 NASDAQ Stock Market General Securities Representative APPROVED 07/12/2006 NASDAQ Stock Market General Securities Sales Supervisor APPROVED 10/05/2011 NYSE Arca, Inc. General Securities Representative APPROVED 10/13/2005 NYSE Arca, Inc. General Securities Sales Supervisor APPROVED 10/05/2011 NYSE MKT LLC Branch Office Manager (NYSE) APPROVED 10/05/2011 NYSE MKT LLC General Securities Representative APPROVED 10/13/2005 New York Stock Exchange Branch Office Manager (NYSE) APPROVED 10/05/2011 New York Stock Exchange General Securities Representative APPROVED 10/13/2005 U.S. State/ Territory Category Status Date Alabama Agent APPROVED 01/02/2008 Alaska Agent APPROVED 01/03/2014 Arizona Agent APPROVED 10/17/2005 Arkansas Agent APPROVED 01/02/2008 California Agent APPROVED 10/17/2005 Colorado Agent APPROVED 10/17/2005 Connecticut Agent APPROVED 10/17/2005 Delaware Agent APPROVED 10/17/2005 District of Columbia Agent APPROVED 01/02/2008 Florida Agent APPROVED 10/17/2005 U.S. State/ Territory Category Status Date Georgia Agent APPROVED 01/02/2008 Hawaii Agent APPROVED 01/02/2008 Idaho Agent APPROVED 01/02/2008 Illinois Agent APPROVED 10/17/2005 Indiana Agent APPROVED 01/02/2008 Iowa Agent APPROVED 01/02/2008 Kansas Agent APPROVED 01/02/2008 Kentucky Agent APPROVED 01/02/2008 Louisiana Agent APPROVED 10/17/2005 Maine Agent APPROVED 01/03/2014 Maryland Agent APPROVED 01/02/2008 3 ©2016 FINRA. All rights reserved. Report# 78952-38588 about HEIDI S. CRUZ. Data current as of Wednesday, January 20, 2016.

www.finra.org/brokercheck User Guidance Broker Qualifications Employment 1 of 1, continued U.S. State/ Territory Category Status Date Massachusetts Agent APPROVED 01/02/2008 Michigan Agent APPROVED 01/03/2014 Minnesota Agent APPROVED 01/02/2008 Mississippi Agent APPROVED 01/02/2008 Missouri Agent APPROVED 01/02/2008 Montana Agent APPROVED 01/02/2008 Nebraska Agent APPROVED 01/03/2014 Nevada Agent APPROVED 10/17/2005 New Hampshire Agent APPROVED 01/03/2014 New Jersey Agent APPROVED 01/02/2008 New Mexico Agent APPROVED 10/17/2005 New York Agent APPROVED 10/17/2005 North Carolina Agent APPROVED 10/17/2005 North Dakota Agent APPROVED 01/03/2014 Ohio Agent APPROVED 10/18/2005 Oklahoma Agent APPROVED 01/02/2008 Oregon Agent APPROVED 10/17/2005 Pennsylvania Agent APPROVED 01/02/2008 Puerto Rico Agent APPROVED 01/03/2012 Rhode Island Agent APPROVED 01/03/2014 South Carolina Agent APPROVED 10/17/2005 South Dakota Agent APPROVED 01/02/2008 Tennessee Agent APPROVED 01/02/2008 Texas Agent APPROVED 10/13/2005 U.S. State/ Territory Category Status Date Utah Agent APPROVED 01/02/2008 Vermont Agent APPROVED 01/03/2014 Virgin Islands Agent APPROVED 01/03/2014 Virginia Agent APPROVED 01/02/2008 Washington Agent APPROVED 01/02/2008 West Virginia Agent APPROVED 01/03/2014 Wisconsin Agent APPROVED 01/03/2014 Wyoming Agent APPROVED 01/02/2008 4 ©2016 FINRA. All rights reserved. Report# 78952-38588 about HEIDI S. CRUZ. Data current as of Wednesday, January 20, 2016.

www.finra.org/brokercheck User Guidance Broker Qualifications Employment 1 of 1, continued Branch Office Locations This individual does not have any registered Branch Office where the individual is located. 5 ©2016 FINRA. All rights reserved. Report# 78952-38588 about HEIDI S. CRUZ. Data current as of Wednesday, January 20, 2016.

www.finra.org/brokercheck User Guidance Broker Qualifications Industry Exams this Broker has Passed This individual has passed 2 principal/supervisory exams, 2 general industry/product exams, and 2 state securities law exams. This section includes all securities industry exams that the broker has passed. Under limited circumstances, a broker may attain a registration after receiving an exam waiver based on exams the broker has passed and/or qualifying work experience. Any exam waivers that the broker has received are not included below. Exam Category Date Principal/Supervisory Exams General Securities Sales Supervisor - Options Module Examination 08/26/2011 Series 9 General Securities Sales Supervisor - General Module Examination 10/04/2011 Series 10 Exam Category Date General Industry/Product Exams National Commodity Futures Examination 03/16/2007 Series 3 General Securities Representative Examination 12/14/2004 Series 7 Exam Category Date State Securities Law Exams Uniform Securities Agent State Law Examination 11/02/2004 Series 63 Uniform Investment Adviser Law Examination 07/14/2006 Series 65 Additional information about the above exams or other exams FINRA administers to brokers and other securities professionals can be found at www.finra.org/brokerqualifications/registeredrep/. 6 ©2016 FINRA. All rights reserved. Report# 78952-38588 about HEIDI S. CRUZ. Data current as of Wednesday, January 20, 2016.

www.finra.org/brokercheck User Guidance Registration and Employment History Registration History Registration Dates Firm Name CRD# Branch Location The broker previously was registered with the following firms: 12/2004 - 09/2005 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED 7691 NEW YORK, NY Employment History Employment Dates Employer Name Employer Location This section provides up to 10 years of an individual broker's employment history as reported by the individual broker on the most recently filed Form U4. Please note that the broker is required to provide this information only while registered with FINRA or a national securities exchange and the information is not updated via Form U4 after the broker ceases to be registered. Therefore, an employment end date of "Present" may not reflect the broker's current employment status. 09/2005 - Present GOLDMAN, SACHS & CO. HOUSTON, TX Other Business Activities This section includes information, if any, as provided by the broker regarding other business activities the broker is currently engaged in either as a proprietor, partner, officer, director, employee, trustee, agent or otherwise. This section does not include non-investment related activity that is exclusively charitable, civic, religious or fraternal and is recognized as tax exempt. No information reported. 7 ©2016 FINRA. All rights reserved. Report# 78952-38588 about HEIDI S. CRUZ. Data current as of Wednesday, January 20, 2016.

www.finra.org/brokercheck User Guidance End of Report This page is intentionally left blank. 8 ©2016 FINRA. All rights reserved. Report# 78952-38588 about HEIDI S. CRUZ. Data current as of Wednesday, January 20, 2016.