Legg Mason Investor Services, LLC

ACES ADVISOR COMMITMENT TO EDUCATION AND SERVICE

Educational services provided to 401(k) plan sponsors and plan fiduciaries, namely, training with respect to their investment-related and disclosure-related duties under ERISA, and providing educational services, namely, seminars in the field of of investments and retirement planning;Financial services of brokers selling mutual funds to employer-sponsored 401(k) plans and other defined contribution plans subject to ERISA (Employee Retirement Income Security Act of 1974), namely, providing investment-related support and information to the plan sponsor and the plan's fiduciaries with respect to their duty to select, monitor and replace funds in the plan's investment menu, providing financial counseling, financial retirement planning services and asset allocation assistance to plan participants, and partnering with the plan sponsor to promote, facilitate and encourage retirement savings to plan participants;ADVISOR;

ACES POLICY STATEMENT

Educational services provided to 401k plan sponsors and plan fiduciaries, namely, training with respect to their investment-related and disclosure-related duties under ERISA, and providing educational services, namely, seminars in the field of investments and retirement planning;Financial services of brokers selling mutual funds to employer-sponsored 401k plans and other defined contribution plans subject to ERISA Employee Retirement Income Security Act of 1974, namely, providing investment-related support and information to the plan sponsor and the plan's fiduciaries with respect to their duty to select, monitor and replace funds in the plan's investment menu, providing financial counseling, financial retirement planning services and asset allocation assistance to plan participants, and partnering with the plan sponsor to promote, facilitate and encourage retirement savings to plan participants;POLICY STATEMENT;

AT THE FOREFRONT

Financial services, namely, asset management services;

EXCHANGE TRADED ALTERNATIVES

Financial services, namely, financial asset management;EXCHANGE TRADED;

GO BEYOND

Providing information and educational services in the field of investments and asset management;Financial services, namely investment advice, financial management and financial advice;

LEGG MASON PERSPECTIVES

Financial services, namely, asset management services;

LEGG MASON PERSPECTIVES

The mark consists of the terms LEGG MASON and PERSPECTIVES.;Financial services, namely, asset management services;Color is not claimed as a feature of the mark.;