0001752724-23-169935.txt : 20230803
0001752724-23-169935.hdr.sgml : 20230803
20230803162203
ACCESSION NUMBER: 0001752724-23-169935
CONFORMED SUBMISSION TYPE: N-CEN
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20230531
FILED AS OF DATE: 20230803
DATE AS OF CHANGE: 20230803
EFFECTIVENESS DATE: 20230803
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: BLACKROCK SERIES, INC.
CENTRAL INDEX KEY: 0001062806
IRS NUMBER: 000000000
STATE OF INCORPORATION: MD
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: N-CEN
SEC ACT: 1940 Act
SEC FILE NUMBER: 811-08797
FILM NUMBER: 231140420
BUSINESS ADDRESS:
STREET 1: 100 BELLEVUE PARKWAY
CITY: WILMINGTON
STATE: DE
ZIP: 09809
BUSINESS PHONE: 800-441-7762
MAIL ADDRESS:
STREET 1: 100 BELLEVUE PARKWAY
CITY: WILMINGTON
STATE: DE
ZIP: 09809
FORMER COMPANY:
FORMER CONFORMED NAME: MERCURY FUNDS INC
DATE OF NAME CHANGE: 20010827
FORMER COMPANY:
FORMER CONFORMED NAME: MERCURY ASSET MANAGEMENT FUNDS INC
DATE OF NAME CHANGE: 19980714
FORMER COMPANY:
FORMER CONFORMED NAME: MERCURY ALPHA FUND INC
DATE OF NAME CHANGE: 19980601
0001062806
S000002291
BlackRock International Fund
C000005981
Investor A
C000005983
Investor C
C000005984
Institutional
C000101856
Class R Shares
C000198221
Class K
N-CEN
1
primary_doc.xml
X0404
N-CEN
LIVE
0001062806
XXXXXXXX
811-08797
false
false
false
N-1A
S000002291
C000005984
C000101856
C000005981
C000198221
C000005983
BlackRock Series, Inc.
811-08797
0001062806
549300NH38GBFL6FGA16
100 Bellevue Parkway
Wilmington
19809
US-DE
US
800-441-7762
The Bank of New York Mellon
240 Greenwich Street
New York
10286
1-212-495-1784
Records related to its functions as custodian.
BlackRock International Limited
1 Semple Street
Edinburgh
GB
EH3 8BL
44 13 1472 7200
Records related to its functions as sub-advisor.
BNY Mellon Investment Servicing (US) Inc.
301 Bellevue Parkway
Wilmington
19809
1-302-791-1700
Records related to its functions as transfer agent, sub-administrator and accounting agent.
BlackRock Investments, LLC
50 Hudson Yards
New York
10001
609-282-3046
Records related to its functions as distributor.
BlackRock Advisors, LLC
100 Bellevue Parkway
Wilmington
19809
302-797-2000
Records related to its functions as advisor and administrator.
N
N
N-1A
1
Y
Cynthia A. Montgomery
N/A
N
Kenneth L. Urish
005352005
N
John M. Perlowski
N/A
Y
Mark Stalnecker
N/A
N
Susan J. Carter
N/A
N
Donald C. Opatrny
N/A
N
Henry R. Keizer
N/A
N
Lena G. Goldberg
N/A
N
Claire A. Walton
N/A
N
Collette Chilton
N/A
N
Robert Fairbairn
004992372
Y
Neil A. Cotty
N/A
N
Aaron Wasserman
N/A
50 Hudson Yards
New York
10001
XXXXXX
Y
N
N
N
N
N
BlackRock Investments, LLC
008-48436
000038642
54930061FBHCKXL2G714
Y
N
Deloitte & Touche LLP
34
N/A
N
N
N
N
N
N
BlackRock International Fund
S000002291
EQSGS63QMA8E5PBAP147
N
5
0
0
N/A
N
N
Y
N
N
BlackRock Investment Management, LLC
5493006MRTEZZ4S4CQ20
Y
N
Other
Cash collateral reinvestment fee
Revenue sharing split
Rebates paid to borrowers
1280292.00000000
994.00000000
Rule 12d1-1 (17 CFR 270.12d1-1)
Rule 17a-7 (17 CFR 270.17a-7)
Rule 18f-4 (17 CFR 270.18f-4)
Rule 12d1-4 (17 CFR 270.12d1-4)
Rule 18f-4(f)(17 CFR 270.18f-4(f))
Rule 32a-4 (17 CFR 270.32a-4)
Rule 22d-1 (17 CFR 270.22d-1)
Y
Y
N
N
BlackRock Advisors, LLC
801-47710
000106614
5493001LN9MRM6A35J74
N
BlackRock International Limited
801-51087
000106843
5493008YUGP5E01IBD70
Y
GB
N
BNY Mellon Investment Servicing (US) Inc.
084-01761
549300CFZQLI9QMJ1Z03
N
N
N
Intercontinental Exchange, Inc.
5493000F4ZO33MV32P92
N
N
RBC Investor Services Trust
5493002MUOV04NSPT571
CA
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Credit Suisse (Switzerland) Ltd.
549300CWR0W0BCS9Q144
CH
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
EUROCLEAR BANK SA/NV
549300OZ46BRLZ8Y6F65
BE
N
Y
Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
UniCredit Bank Hungary Zrt.
Y28RT6GGYJ696PMW8T44
HU
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
The Hongkong and Shanghai Banking Corporation Limited, Singapore Branch
2HI3YI5320L3RW6NJ957
SG
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
UniCredit Bank Austria AG
D1HEB8VEU6D9M8ZUXG17
AT
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Citibank N.A., Mumbai
E57ODZWZ7FF32TWEFA76
IN
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Mizuho Bank, Ltd.
RB0PEZSDGCO3JS6CEU02
JP
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
HSBC Bank Middle East Limited
549300F99IL9YJDWH369
AE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
The Hongkong and Shanghai Banking Corporation Limited, Bangkok Branch
2HI3YI5320L3RW6NJ957
TH
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Euroclear Belgium
21380014SJC1QPK8O356
BE
N
Y
Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
The Hongkong and Shanghai Banking Corporation Limited, New Zealand Branch
2HI3YI5320L3RW6NJ957
NZ
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Citibank Europe PLC (Greece)
N1FBEDJ5J41VKZLO2475
GR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Skandinaviska Enskilda Banken AB, Oslo Branch
F3JS33DEI6XQ4ZBPTN86
NO
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Bank Hapoalim B.M.
B6ARUI4946ST4S7WOU88
IL
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Skandinaviska Enskilda Banken AB, Helsinki Branch
F3JS33DEI6XQ4ZBPTN86
FI
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
The Hongkong and Shanghai Banking Corporation Limited, Korea Branch
2HI3YI5320L3RW6NJ957
KR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
BofA Securities, Inc.
549300HN4UKV1E2R3U73
N
Y
Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
The Hongkong and Shanghai Banking Corporation Limited, Philippine Branch
2HI3YI5320L3RW6NJ957
PH
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Banque Nationale de Belgique SA/NV
CGYP50QBGGR6NCHTSN68
BE
N
Y
Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Banco de Chile
8B4EZFY8IHJC44TT2K84
CL
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
BNP PARIBAS SECURITES SERVICES GERMANY
549300WCGB70D06XZS54
DE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
HSBC Shanghai-Hong Kong Stock Connect SPSA
2CZOJRADNJXBLT55G526
CN
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
HSBC Saudi Arabia
558600MV09XWUB38H245
SA
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Standard Chartered Bank (Taiwan) Limited
549300QJEO1B92LSHZ06
TW
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
HSBC Bank Malaysia Berhad
P3RPN9OJFCXUPJWB1Q09
MY
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Banco Bilbao Vizcaya Argentaria SA
K8MS7FD7N5Z2WQ51AZ71
ES
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
The Bank of New York Mellon
HPFHU0OQ28E4N0NFVK49
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Citibank Europe PLC (Czech Republic)
N1FBEDJ5J41VKZLO2475
CZ
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
BNP PARIBAS SECURITIES SERVICES
549300WCGB70D06XZS54
FR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
The Standard Bank of South Africa Limited
QFC8ZCW3Q5PRXU1XTM60
ZA
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Citibank del Peru S.A.
MYTK5NHHP1G8TVFGT193
PE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Bank Handlowy w Warszawie Spolka Akcyjna
XLEZHWWOI4HFQDGL4793
PL
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
BNP Paribas Securities Services
549300WCGB70D06XZS54
PT
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
The Hongkong and Shanghai Banking Corporation Limited
2HI3YI5320L3RW6NJ957
HK
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
HSBC Bank Australia Limited
DY9DBNI4W8J63Z298033
AU
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
BNP Paribas Securities Services
549300WCGB70D06XZS54
NL
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Societe Generale Securities Services S.p.A.
549300SAMQW7TYZ1TR74
IT
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Citibank Anonim Sirketi
CWZ8NZDH5SKY12Q4US31
TR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Landsbankinn hf.
549300TLZPT6JELDWM92
IS
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Citibank N.A., Jakarta Branch
E57ODZWZ7FF32TWEFA76
ID
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Citibank N.A., London branch
E57ODZWZ7FF32TWEFA76
GB
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Cititrust Colombia S A Sociedad Fiduciaria
549300242J3IJCOSGI49
CO
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Skandinaviska Enskilda Banken AB, Stockholm
F3JS33DEI6XQ4ZBPTN86
SE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
HSBC Shenzhen
213800H3TEBTFHD5JR69
CN
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Citibank N.A., Sao Paulo
E57ODZWZ7FF32TWEFA76
BR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Banco Nacional de Mexico, S.A. (Banamex)
2SFFM4FUIE05S37WFU55
MX
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
HSBC Shanghai
2CZOJRADNJXBLT55G526
CN
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Skandinaviska Enskilda Banken AB, Copenhagen Branch
F3JS33DEI6XQ4ZBPTN86
DK
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Y
Monere Investments, Inc.
8-52982
SEC FILE NUMBER
N
N
Bankers Life Securities, Inc.
549300YBBLCDP5GDSH97
N
N
Geneos Wealth Management, Inc.
8-65357
SEC FILE NUMBER
N
N
Essex Securities LLC
8-51472
SEC FILE NUMBER
N
N
Peak Brokerage Services, LLC
8-68829
SEC FILE NUMBER
N
N
Planners Financial Services, Inc.
8-18027
SEC FILE NUMBER
N
N
Invex, Inc.
NPOTUCXQYGXX5PO6VH74
N
N
MMC Securities Corp.
2549001ZA93O65N2ZM60
N
N
Hazard & Siegel, Inc.
8-13942
SEC FILE NUMBER
N
N
People's Securities, Inc.
8-29667
SEC FILE NUMBER
N
N
D.H. Hill Securities LLP
8-49475
SEC FILE NUMBER
N
N
TCFG Wealth Management, LLC
8-69089
SEC FILE NUMBER
N
N
Buckram Securities LTD
8-65939
SEC FILE NUMBER
N
N
N.I.S. Financial Services, Inc.
8-15919
SEC FILE NUMBER
N
N
Jessup Wealth Management
801-127039
SEC FILE NUMBER
N
N
Sorrento Pacific Financial, LLC
8-66046
SEC FILE NUMBER
N
N
Anovest Financial Services, Inc.
8-66742
SEC FILE NUMBER
N
N
American Capital Partners, LLC
254900I8NH46ZJJ4Z956
N
N
Private Client Services, LLC
8-68183
SEC FILE NUMBER
N
N
Northern Capital Securities Corporation
254900ZANH7XTB94LS53
N
N
Ladenburg Thalman & Co. Inc.
2549000V3L2KK4L76W91
N
N
Rhodes Securities, Inc.
8-37689
SEC FILE NUMBER
N
N
Sanctuary Securities, Inc.
2549007WBAL2Z578XQ34
N
N
Garden State Securities, Inc.
8-25790
SEC FILE NUMBER
N
N
Michigan Securities, Inc. (dba Broadstone Securities)
8-52094
SEC FILE NUMBER
N
N
Mid Atlantic Capital Corporation
549300HJL2LPNSC0JX96
N
N
Arque Capital, Ltd.
8-65390
SEC FILE NUMBER
N
N
L.M. Kohn & Company
8-43303
SEC FILE NUMBER
N
N
Client One Securities LLC
8-68494
SEC FILE NUMBER
N
N
Stephens Inc.
213800LH6T9XDYZCA534
N
N
Country Capital Management Company
8-12645
SEC FILE NUMBER
N
N
Sammons Financial Network, LLC
8-68905
SEC FILE NUMBER
N
N
ValMark Securities, Inc.
8-45463
SEC FILE NUMBER
N
N
Insight Securities, Inc.
2549007I5MCG270G9341
N
N
Umpqua Investments, Inc.
8-02915
SEC FILE NUMBER
N
N
ViewTrade Securities, Inc.
549300CHLQDUD0NL5851
N
N
Fortune Financial Services, Inc.
8-49727
SEC FILE NUMBER
N
N
Oriental Financial Services Corp.
8-44516
SEC FILE NUMBER
N
N
United Brokerage Services, Inc.
8-48685
SEC FILE NUMBER
N
N
Comerica Securities, Inc.
5493009QV211JEW7ZV59
N
N
American Independent Securities Group, LLC
8-66905
SEC FILE NUMBER
N
N
Classic LLC
8-68981
SEC FILE NUMBER
N
N
Century Securities Associates, Inc.
8-43514
SEC FILE NUMBER
N
N
Regions Bank
EQTWLK1G7ODGC2MGLV11
N
N
Hantz Financial Services, Inc.
8-51291
SEC FILE NUMBER
N
N
Heim, Young & Associates, Inc.
8-48500
SEC FILE NUMBER
N
N
BTS Securities Corporation
8-26818
SEC FILE NUMBER
N
N
Capital Investment Brokerage, Inc.
8-49118
SEC FILE NUMBER
N
N
Dinosaur Financial Group, LLC
549300CCV3H232GBUN83
N
N
Access Investments, Inc.
8-49750
SEC FILE NUMBER
N
N
Camden Financial Services
8-37303
SEC FILE NUMBER
N
N
Davinci Capital Management Inc.
8-51580
SEC FILE NUMBER
N
N
American Heritage Securities, Inc.
8-44466
SEC FILE NUMBER
N
N
OFG Financial Services, Inc.
8-40770
SEC FILE NUMBER
N
N
Devenir, LLC
8-65837
SEC FILE NUMBER
N
N
GLP Investment Services
8-41868
SEC FILE NUMBER
N
N
Silver Oak Securities, Incorporated
8-51601
SEC FILE NUMBER
N
N
Hancock Whitney Investment Services, Inc.
8-49106
SEC FILE NUMBER
N
N
PTS Brokerage, LLC
8-65173
SEC FILE NUMBER
N
N
RBC Capital Markets, LLC
549300LCO2FLSSVFFR64
N
Y
Nestlerode & Loy, Inc.
8-12629
SEC FILE NUMBER
N
N
Bancolumbia Capital, LLC
8-70822
SEC FILE NUMBER
N
N
Investment Placement Group
5493005L3RL45FY4HR07
N
N
Jefferies, LLC
58PU97L1C0WSRCWADL48
N
N
Next Financial Group, Inc.
8-51356
SEC FILE NUMBER
N
N
FSB Warner Financial, Inc.
8-44865
SEC FILE NUMBER
N
N
Broadridge Business Process Outsourcing, LLC
8-53412
SEC FILE NUMBER
N
Y
Cresap, Inc.
8-42117
SEC FILE NUMBER
N
N
Lincoln Financial Advisors Corporation
8-14685
SEC FILE NUMBER
N
N
Nations Financial Group, Inc.
8-50588
SEC FILE NUMBER
N
N
Parkland Securities, LLC
8-53482
SEC FILE NUMBER
N
N
American Equity Investment Corporation
8-49078
SEC FILE NUMBER
N
N
International Assets Advisory, LLC
254900ARMOHQNS987S09
N
N
Prudential Investment Management Services LLC
8-36540
SEC FILE NUMBER
N
N
Benchmark Investments, Inc.
8-52280
SEC FILE NUMBER
N
N
Capital City Securities, LLC
8-67771
SEC FILE NUMBER
N
N
Amerant Investments, Inc.
254900M8G8SSAIMHET60
N
N
Lincoln Financial Distributors, Inc.
8-13431
SEC FILE NUMBER
N
N
Safra Securities LLC
E51AOUORNWWT747CBW71
N
N
Signature Securities Group Corporation
8-52697
SEC FILE NUMBER
N
N
TD Ameritrade, Inc.
CWQYQU0TV2NLMLZKNB44
N
Y
Rodgers Brothers, Inc.
8-33475
SEC FILE NUMBER
N
N
Edward D. Jones & Co., L.P.
YZRCLX72FTV74B522G90
N
N
Callaway Financial Services, Inc.
8-52474
SEC FILE NUMBER
N
N
APW Capital, Inc.
8-50433
SEC FILE NUMBER
N
N
Berthel, Fisher & Company Financial Services, Inc.
8-29426
SEC FILE NUMBER
N
N
DFPG Investments, Inc.
8-68730
SEC FILE NUMBER
N
N
T. Rowe Price Retirement Plan Services, Inc.
8-25130
SEC FILE NUMBER
N
Y
AqGen Ascensus, Inc.
549300K5MHNFPEU2RK82
N
Y
CIBC World Markets Corp.
549300445CON3DBMU275
N
N
Massachusetts Mutual Life Insurance Company
R6ZXK5P01NP6HXSY1S07
N
Y
Proequities, Inc.
8-32590
SEC FILE NUMBER
N
N
Folger Nolan Fleming Douglas Incorporated
8-03335
SEC FILE NUMBER
N
N
World Capital Brokerage, Inc.
8-06805
SEC FILE NUMBER
N
N
Horace Mann Investors, Inc.
8--6082
SEC FILE NUMBER
N
N
Emerson Equity LLC
8-66296
SEC FILE NUMBER
N
N
Omega Securities, Inc.
8-20225
SEC FILE NUMBER
N
N
The Tavenner Company
8-41206
SEC FILE NUMBER
N
N
N.E. Private Client Advisors, Ltd.
8-66968
SEC FILE NUMBER
N
N
NTB Financial Corporation
8-21884
SEC FILE NUMBER
N
N
Horace Mann Life Insurance Co.
5493000HR2JKKNH2FL09
N
N
Landaas & Company
8-51826
SEC FILE NUMBER
N
N
Mutual Trust Co. of America Securities
254900PUBUB7IS4GNY27
N
N
State Farm VP Management Corp
8-50128
SEC FILE NUMBER
N
N
Cape Securities Inc.
8-20747
SEC FILE NUMBER
N
N
Founders Financial Securities LLC
8-67137
SEC FILE NUMBER
N
N
Chapin Davis Inc
8-43485
SEC FILE NUMBER
N
N
Arkadios Capital
8-69729
SEC FILE NUMBER
N
N
Midland Securities, Ltd.
8-40685
SEC FILE NUMBER
N
N
Centaurus Financial, Inc.
8-45185
SEC FILE NUMBER
N
N
Impact U. Investments, LLC
8-65527
SEC FILE NUMBER
N
N
Regal Securities, Inc.
8-21765
SEC FILE NUMBER
N
N
Amegy Investments, Inc. (Zions)
8-65399
SEC FILE NUMBER
N
N
Highlander Capital Group, Inc.
8-37169
SEC FILE NUMBER
N
N
Fifth Third Securities, Inc.
5493003IMO3TYX51WE43
N
N
John Hancock Trust Company LLC
549300W205WZCFZS6R51
N
Y
Goldman Sachs & Co. LLC
FOR8UP27PHTHYVLBNG30
N
N
World Equity Group, Inc.
25490078J1OM7KOXR686
N
N
Oak Tree Securities, Inc.
8-36138
SEC FILE NUMBER
N
N
Lebenthal Financial Services, Inc
8-67140
SEC FILE NUMBER
N
N
TD Private Client Wealth LLC
8-69105
SEC FILE NUMBER
N
N
Barclays Capital Inc.
AC28XWWI3WIBK2824319
N
N
Securian Financial Services, Inc.
8-31955
SEC FILE NUMBER
N
N
Equity Services, Inc.
8-14286
SEC FILE NUMBER
N
N
Pershing, LLC
8-17574
SEC FILE NUMBER
N
Y
Family Investors Company
8-11190
SEC FILE NUMBER
N
N
First Financial Securities of America, Inc.
8-29565
SEC FILE NUMBER
N
N
Saxony Securities, Inc.
8-53490
SEC FILE NUMBER
N
N
Beaconsfield Financial Services, Inc.
8-30993
SEC FILE NUMBER
N
N
Independence Capital Co., Inc.
8-41331
SEC FILE NUMBER
N
N
Genworth Life & Annuity Insurance Company
TAI340D9BWT9R77O0P03
N
N
Benefit Trust Company
N/A
N
Y
Equitable Advisors, LLC
8-17883
SEC FILE NUMBER
N
N
Crews & Associates, Inc.
5493001BWSV3E82LZ446
N
N
The Jeffrey Matthews Financial Group, L.L.C.
25490086M6MGMYYVOJ50
N
N
Investors Brokerage of Texas, Ltd.
8-28644
SEC FILE NUMBER
N
N
JPMorgan Chase Bank, N.A.
7H6GLYDRUGQFU57RNE97
N
N
Etico Partners, LLC
8-65500
SEC FILE NUMBER
N
N
Mutual Securities, Inc.
8-28580
SEC FILE NUMBER
N
N
M Holdings Securities, Inc.
8-50214
SEC FILE NUMBER
N
N
MWA Financial Services Inc.
8-53255
SEC FILE NUMBER
N
N
ICMA-RC Services, Inc.
8-40268
SEC FILE NUMBER
N
N
Hennion & Walsh, Inc.
8-41988
SEC FILE NUMBER
N
N
A.G.P/Alliance Global Partners
549300QJQ08RJGC7D885
N
N
The Leaders Group, Inc.
8-47639
SEC FILE NUMBER
N
N
LaBrunerie Financial Services, Inc.
8-47830
SEC FILE NUMBER
N
N
Ace Diversified Capital, Inc.
8-49555
SEC FILE NUMBER
N
N
Searle & Co.
8-28600
SEC FILE NUMBER
N
N
International Money Management Group, Inc.
8-30417
SEC FILE NUMBER
N
N
Capitol Securities Management, Inc.
8-30353
SEC FILE NUMBER
N
N
Fifth Third Bank
QFROUN1UWUYU0DVIWD51
N
N
Northland Securities, Inc.
254900ZIK4MLVQAWLS15
N
N
L.S.Y., Inc.
8-17613
SEC FILE NUMBER
N
N
CBIZ Financial Solutions, Inc.
8-34205
SEC FILE NUMBER
N
N
Hand Securities, Inc.
8-51001
SEC FILE NUMBER
N
N
Pruco Securities, LLC.
8-16402
SEC FILE NUMBER
N
N
Zions Direct, Inc.
8-35721
SEC FILE NUMBER
N
N
Citizens Securities, Inc.
2138006RAPI5PE2ZGW36
N
N
Bankoh Investment Services, Inc.
8-44201
SEC FILE NUMBER
N
N
TradeStation Securities, Inc.
549300T08P71XXBYLW62
N
N
Charles Schwab & Co., Inc.
549300ZP8XN77GK5BS04
N
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Nationwide Financial Services, Inc.
5493001H7AZNDS6BKJ36
N
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PNC Investments, LLC
8-66195
SEC FILE NUMBER
N
N
Investment Planners, Inc.
8-35642
SEC FILE NUMBER
N
N
Investments For You, Inc.
8-44179
SEC FILE NUMBER
N
N
Royal Alliance Associates, Inc.
8-40218
SEC FILE NUMBER
N
N
K. W. Chambers & CO.
8-10533
SEC FILE NUMBER
N
N
Allen C Ewing & Co.
8-42393
SEC FILE NUMBER
N
N
Hilltop Securities, Inc.
549300IXU82PMU6XZT45
N
N
CFD Investments, Inc.
8-41727
SEC FILE NUMBER
N
N
Hancock Whitney Corporation
549300GRNBWY8HIICT41
N
N
LaSalle St. Securities, L.L.C.
8-18860
SEC FILE NUMBER
N
N
U.S. Bancorp Investments, Inc.
H85Z6XZP8B10ES0M2G89
N
N
Lockton Financial Advisors, LLC
8-67090
SEC FILE NUMBER
N
N
Liberty Partners Financial Services, LLC
8-66335
SEC FILE NUMBER
N
N
Conover Securities Corporation
8-35085
SEC FILE NUMBER
N
N
CUNA Brokerage Services, Inc.
549300G6Y6BPF9ZL4706
N
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First Honolulu Securities, Inc.
8-23919
SEC FILE NUMBER
N
N
Wood (Arthur W.) Company, Inc.
8-03368
SEC FILE NUMBER
N
N
Prospera Financial Services, Inc.
8-28164
SEC FILE NUMBER
N
N
Benefit Plans Administrative Services, Inc.
N/A
N
Y
Arete Wealth Management, LLC
8-50854
SEC FILE NUMBER
N
N
Hornor, Townsend & Kent, Inc.
8-14715
SEC FILE NUMBER
N
N
Itau International Securities, Inc.
54930086LDFU8Z86AH91
N
N
Hightower Securities, LLC
549300F189LKWDZLP954
N
N
Excel Securities & Associates, Inc.
8-34261
SEC FILE NUMBER
N
N
United States Life Insurance Company in the City of New York
549300C1JQGJ0MNUMG79
N
Y
National Financial Services, LLC
549300JRHF1MHHWUAW04
N
Y
Westport Resources Investment Services, Inc.
8-40904
SEC FILE NUMBER
N
N
Ausdal Financial Partners, Inc.
8-24519
SEC FILE NUMBER
N
N
Cardinal Investments, Inc.
8-47493
SEC FILE NUMBER
N
N
Coker & Palmer, Inc.
254900V1KTPDN88TDS68
N
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Symphonic Securities LLC
8-67220
SEC FILE NUMBER
N
N
J.P. Morgan Institutional Investments Inc.
8-52182
SEC FILE NUMBER
N
N
American Financial Securities, Inc.
8-53205
SEC FILE NUMBER
N
N
Fidelity Investments Institutional Operations Company, Inc.
549300XVSM8LN3LQOK63
N
Y
PNC Bank, N.A.
AD6GFRVSDT01YPT1CS68
N
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The Oak Ridge Financial Services Group, Inc.
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N
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Jack V. Butterfield Investment Company
8-12454
SEC FILE NUMBER
N
N
Great American Investors, Inc.
8-44380
SEC FILE NUMBER
N
N
E. E. Powell & Company Inc.
8-01893
SEC FILE NUMBER
N
N
Tradition Securities and Derivatives Inc.
WRYEFMSVQCH0EMD08461
N
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North South Capital, LLC
549300ODEKJCRN2AM859
N
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Snowden Account Services, Inc.
254900WVSS0BX602UF45
N
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Ni Advisors
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SEC FILE NUMBER
N
N
J.D. Seibert & Company, Inc.
8-23604
SEC FILE NUMBER
N
N
Invicta Capital, LLC
549300QY87LR84LRLL97
N
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Lincoln Investment Planning, Inc.
8-14354
SEC FILE NUMBER
N
N
MML Investors Services, LLC
8-27250
SEC FILE NUMBER
N
N
VALIC Retirement Services Company
84-06057
SEC FILE NUMBER
N
N
Keel Point Capital, LLC
8-22990
SEC FILE NUMBER
N
N
TIAA-CREF Individual & Institutional Services, LLC
8-44454
SEC FILE NUMBER
N
N
Guardian Insurance & Annuity Company, Inc., The
TGIU5N0SIMULU6I57R64
N
Y
SWBC Investment Services, LLC
254900YIJJWABADWZ455
N
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BOK Financial Securities, Inc.
2Q57THMJB7JL1206V012
N
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G.L.S. & Associates, Inc.
8-51808
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Healthcare Community Securities Corporation
8-46981
SEC FILE NUMBER
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N
Northwest Investment Advisors, Inc.
8-65282
SEC FILE NUMBER
N
N
Standard Insurance Company
549300KVA8DBYKHPXO21
N
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KCD Financial, Inc.
8-66005
SEC FILE NUMBER
N
N
Brokers International Financial Services, LLC
8-67239
SEC FILE NUMBER
N
N
S.A. Stone Wealth Management
8-36638
SEC FILE NUMBER
N
N
The Lawrence D. Vitez Corp. DBA Consolidated Securities
8-48642
SEC FILE NUMBER
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Landolt Securities, Inc.
254900B2XEQ2HZGN7K90
N
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First Southern, LLC
8-69733
SEC FILE NUMBER
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Lombard Securities, Inc.
8-43340
SEC FILE NUMBER
N
N
Brighton Securities Corp.
8-14599
SEC FILE NUMBER
N
N
Wellington Shields & Co., LLC
8-68098
SEC FILE NUMBER
N
N
Teckmeyer Financial Services, L.L.C.
8-48501
SEC FILE NUMBER
N
N
Logan Group Securities
8-48995
SEC FILE NUMBER
N
N
B.C. Ziegler & Company
549300NLEOFP92P38Q71
N
N
G.A. Repple & Company
8-35315
SEC FILE NUMBER
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N
Whitehall-Parker Securities, Inc.
8-27688
SEC FILE NUMBER
N
N
VOYA Investments Distributors, LLC
8-48020
SEC FILE NUMBER
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N
Digital Retirement Solutions, Inc.
N/A
N
Y
Merrill Lynch, Pierce, Fenner & Smith Incorporated
8NAV47T0Y26Q87Y0QP81
N
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B. Riley Wealth Management Holdings, Inc
8-31206
SEC FILE NUMBER
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CFS Securities, Inc.
8-51330
SEC FILE NUMBER
N
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L.O. Thomas & Co. Inc.
8-40875
SEC FILE NUMBER
N
N
Allstate Financial Services, LLC
8-36365
SEC FILE NUMBER
N
N
Fidelity Brokerage Services LLC
549300OQFQ4NFIOD5695
N
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J. Alden Associates, Inc.
8-48938
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Southeast Investments, N.C., Inc.
8-50127
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N
BancWest Investment Services, Inc.
5493001GJYTESEZEBA51
N
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Ameriprise Financial Services, Inc.
8-16791
SEC FILE NUMBER
N
N
Coinbase Capital Markets Corporation
8-28032
SEC FILE NUMBER
N
N
Citizens Bank
254900MFWISYMJ04ZE93
N
N
Feldstein Financial Group, LLC
8-53388
SEC FILE NUMBER
N
N
KW Securities Corporation
8-24792
SEC FILE NUMBER
N
N
Allegiance Capital, L.L.C.
8-52978
SEC FILE NUMBER
N
N
Securities Equity Group
8-51706
SEC FILE NUMBER
N
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Navaid Financial Services, Inc.
8-49897
SEC FILE NUMBER
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S.G. Long & Company
8-51816
SEC FILE NUMBER
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Coastal Equities, Inc.
8-40822
SEC FILE NUMBER
N
N
Innovation Partners LLC
549300IEQ78ON1HMTU71
N
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Intercarolina Financial Services, Inc.
8-37519
SEC FILE NUMBER
N
N
William Blair & Company L.L.C.
549300J0P7XYE8BMZ775
N
N
D.A. Davidson & Co.
549300094RQ5A7DYLF51
N
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Cetera Investment Services, LLC
254900HBKNJ13M56N432
N
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Altruist Financial LLC
8-70244
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N
N
Roberts & Ryan Investments Inc.
254900A6VIVO4DP1T126
N
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Center Street Securities, Inc.
8-42786
SEC FILE NUMBER
N
N
Rothschild Investment Corporation
8-16429
SEC FILE NUMBER
N
N
Maine Securities Corp.
8-34889
SEC FILE NUMBER
N
N
Sammons Retirement Solutions, Inc.
N/A
N
Y
B.B. Graham & Company, Inc.
8-49477
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Andbanc Brokerage, LLC
213800E4CWGFMCDQZ792
N
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Planned Financial Programs, Inc.
8-05727
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Infinex Investments, Inc.
8-46661
SEC FILE NUMBER
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First Heartland Capital, Inc.
8-46008
SEC FILE NUMBER
N
N
Tocqueville Securities L.P.
8-42223
SEC FILE NUMBER
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Rehmann Financial Network
8-69134
SEC FILE NUMBER
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N
Dominion Investor Services, Inc.
8-39029
SEC FILE NUMBER
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H. Beck, Inc.
8-31165
SEC FILE NUMBER
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Folio Investments, Inc.
8-52009
SEC FILE NUMBER
N
N
Portsmouth Financial Services
8-30097
SEC FILE NUMBER
N
N
Eagles Coast Capital
8-70137
SEC FILE NUMBER
N
N
Talcott Resolution Life Insurance Company
8CE7JPU9IU72L3PPD756
N
Y
Genworth Life Insurance Company of New York
E5VAS7I8GX5B0SDBX010
N
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TRG Advisors, Inc.
8-50449
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Cantella & Co., Inc.
254900Z33Q34HCFGHO19
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Hazlett, Burt & Watson, Inc.
8-17737
SEC FILE NUMBER
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Exeter Trust Company
028-04279
SEC FILE NUMBER
N
N
Wells Fargo Securities, LLC
8-65876
SEC FILE NUMBER
N
N
Harbor Investment Advisory, LLC
8-68334
SEC FILE NUMBER
N
N
Conduent HR Services LLC
8-61145
SEC FILE NUMBER
N
Y
Integrated Financial Planning Services
8-35120
SEC FILE NUMBER
DE
N
N
Actinver Securities, Inc.
254900FT947VQZ1WHT28
N
N
Mid-Atlantic Clearing & Settlement Corp.
8-47758
SEC FILE NUMBER
N
N
John Hancock Life Insurance Company of New York
5493007RYG4GXIKSQI18
CA
N
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ADP Broker-Dealer, Inc.
8-47885
SEC FILE NUMBER
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Newport Group, Inc.
N/A
N
Y
Stifel, Nicolaus & Company, Incorporated
5WUVMA08EYG4KEUPW589
N
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FNBB Capital Markets, LLC
8-66553
SEC FILE NUMBER
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N
Caldwell Securities, Inc.
549300ORF2FMHXODHJ66
N
N
Lesko Securities Inc.
8-26408
SEC FILE NUMBER
N
N
Herndon Plant Oakley, LTD
8-50912
SEC FILE NUMBER
N
N
Janney Montgomery Scott LLC
549300QQRY1JCFQHYS08
N
N
Regulus Advisors, LLC
8-68275
SEC FILE NUMBER
N
N
ING Financial Markets LLC
KBVRJ5K57JZ3E2AVWX40
N
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DWS Distributors, Inc.
5299007T18XBURKJ1V64
N
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Thurston, Springer, Miller, Herd & Titak, Inc.
8-25452
SEC FILE NUMBER
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N
Oscar Gruss & Son Incorporated
549300V78DH9XCK5UI63
N
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MGO Securities Corp.
8-47814
SEC FILE NUMBER
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International Research Securities, Inc.
8-37954
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Associated Investment Services, Inc.
8-00099
SEC FILE NUMBER
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Gill Capital Partners, LLC
8-30563
SEC FILE NUMBER
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Bolton Securities Corp.
8-68187
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Morgan Stanley Smith Barney LLC
7PDDXEMZ0ZV0CEDU4D16
N
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Bley Investments Group, Inc.
8-42701
SEC FILE NUMBER
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N
Titleist Capital, LLC
8-65859
SEC FILE NUMBER
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Investshares, Inc
8-68365
SEC FILE NUMBER
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VectorGlobal WMG
254900K52VRYBHUGBC64
N
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Capital Management Securities, Inc.
8-27779
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N
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USI Securities, Inc.
8-50429
SEC FILE NUMBER
N
N
First Kentucky Securities Corporation
8-22224
SEC FILE NUMBER
N
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Great Point Capital LLC
254900HN4IGCO53HDK23
N
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Avondale Partners, LLC
254900799PKXEPTDRJ40
N
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Verity Investments, Inc.
8-49474
SEC FILE NUMBER
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N
Apex Clearing Corporation
5493000418CITRF5BO80
N
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Investment Network Inc.
8-66036
SEC FILE NUMBER
N
N
M.E. Allison & Co.
801-58195
SEC FILE NUMBER
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M&T Securities, Inc.
254900VRUF9FN7AZI864
N
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Spire Securities, LLC
8-67635
SEC FILE NUMBER
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Charles Schwab Bank
549300INFJ8TYNZ1G568
N
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R.M. Stark & Co., Inc.
8-22543
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Alliant Securities, Inc. Turner, Nord, Kienbaum
8-23305
SEC FILE NUMBER
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Raymond James Financial Services, Inc.
RGUZHJ05YTITL6D76949
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Chelsea Morgan Securities, Inc.
8-51916
SEC FILE NUMBER
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Integral Financial LLC
2549000I2CBZTJRHG786
N
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Dempsey Lord Smith, LLC
8-67469
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Oberweis Securities, Inc.
5493008EZH6DO1631P71
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Lion Street Financial, LLC
8-69183
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LifeMark Securities Corp.
8-33478
SEC FILE NUMBER
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DMK Advisor Group, Inc.
8-49279
SEC FILE NUMBER
N
N
BestVest Investments, Ltd.
254900SL6FW130BMS922
N
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Great Pacific Securities
254900QRZ90SUI8C4W84
N
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FMSBonds, Inc.
549300TUTBK58NSF2517
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Investment Security Corporation
8-51832
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Synovus Securities, Inc.
254900CM2K7N1E0JF171
N
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Raymond James & Associates, Inc.
U4ONQX15J3RO8XCKE979
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Sorsby Financial Corp.
8-48718
SEC FILE NUMBER
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American Enterprise Investment Services Inc.
549300NT7GLLVGTH0249
N
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Morgan Stanley & Co. LLC
9R7GPTSO7KV3UQJZQ078
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Cadaret, Grant & Co., Inc.
8-27844
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Horan Securities, Inc.
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AE Financial Services, LLC
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Place Trade Financial, Inc.
8-65915
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United Planners' Financial Services of America A Limited Partner
8-38485
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Gerwin Group, Inc.
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Somerset Securities, Inc.
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SEC FILE NUMBER
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Packerland Brokerage Services, Inc.
8-47572
SEC FILE NUMBER
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Cetera Advisor Networks LLC
8-29577
SEC FILE NUMBER
N
N
AssetMark Trust Company
N/A
N
N
E*Trade Savings Bank
549300DXPO50FJ75QA85
N
Y
G. W. & Wade Asset Management Company, LLC
8-42013
SEC FILE NUMBER
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Securities Research, Inc.
8-23699
SEC FILE NUMBER
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Crown Capital Securities, L.P.
8-17264
SEC FILE NUMBER
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Lantern Investments, Inc.
8-45285
SEC FILE NUMBER
N
N
CGIS Securities LLC
254900GOI7SHVRZ5BG90
N
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Liberty Capital Investment Corporation
8-42051
SEC FILE NUMBER
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Planmember Securities Corporation
8-25065
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Harbour Investments, Inc.
8-37373
SEC FILE NUMBER
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N
Amuni Financial, Inc
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Union Capital Company
8-53127
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Infinity Securities, Inc.
8-67647
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State Street Bank and Trust Company
571474TGEMMWANRLN572
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American Financial Associates, Inc.
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Carter, Terry & Company, Inc.
8-33797
SEC FILE NUMBER
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Wells Fargo Clearing Services, LLC
88KRVSOEKUGQZJ3DKW55
N
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T.S. Phillips Investments, Inc.
8-65661
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Aon Benfield Securities, Inc.
5493002ME0O127QJJG03
N
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GRF Capital Investors, Inc.
8-41494
SEC FILE NUMBER
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ACP Securities, LLC
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N
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BNY Mellon Securities Corporation
8-13801
SEC FILE NUMBER
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Mesirow Financial, Inc.
549300BIV46SUHPOFE54
N
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Register Financial Associates, Inc.
8-45012
SEC FILE NUMBER
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James I. Black & Company
8-12077
SEC FILE NUMBER
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McClurg Capital Corporation
8-34473
SEC FILE NUMBER
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Northern Trust Securities, Inc.
3CHSO99JSPHD9HGNYJ46
N
N
Vorpahl Wing Securities
8-51823
SEC FILE NUMBER
N
N
SEI Private Trust Company
028-10625
SEC FILE NUMBER
N
Y
IFP Securities
8-70150
SEC FILE NUMBER
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Consolidated Financial Investments, Inc.
8-37004
SEC FILE NUMBER
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First Horizon Advisors, Inc.
8-35061
SEC FILE NUMBER
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American National Trust And Investment Management Company
028-00344
SEC FILE NUMBER
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UBS Financial Services Inc.
ETYRV6ORNFJB5NONI676
N
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UMB Financial Services, Inc.
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Valley National Investments, Inc.
8-34427
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Woodmen Financial Services, Inc.
8-53592
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HSBC Securities (USA), Inc.
CYYGQCGNHMHPSMRL3R97
N
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L. B. Fisher & Company
8-21023
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Thoroughbred Financial Services, LLC
8-51944
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Voya Retirement Insurance and Annuity Company
OK3MKCDYPD4NN6QDGK18
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Madison Avenue Securities, Inc.
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Chauner Securities, Inc.
8-33980
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Smith, Brown & Groover, Inc.
8-13079
SEC FILE NUMBER
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Kestra Investment Services, LLC
8-49672
SEC FILE NUMBER
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Henley & Company LLC
8-66463
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Sunbelt Securities, Inc.
8-49748
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T.R. Winston & Company, LLC
8-27519
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Brooklight Place Securities, Inc.
8-32673
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Jacques Financial, LLC
8-52675
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Wintrust Investments, LLC
8-00484
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Sage, Rutty & Co., Inc.
8-00533
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Country Club Financial Services, Inc.
8-44574
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American Century Investment Services, Inc.
8-35220
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American Wealth Management
8-41807
SEC FILE NUMBER
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Cutter & Company Brokerage, Inc.
8-39590
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Alexander Capital, L.P.
8-48957
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Profinancial, Inc.
8-32026
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Gladowsky Capital Management Corp.
8-51017
SEC FILE NUMBER
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Vanderbilt Securities, LLC
8-16712
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Trustmont Financial Group, Inc.
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Superior Financial Services, Inc.
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Schlitt Investor Services, Inc.
8-34202
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XP Securities, LLC
549300HDFLS7P433PO89
N
N
ACA/Prudent Investors Planning Corporation
8-51899
SEC FILE NUMBER
N
N
D.M. Kelly & Company
8-48398
SEC FILE NUMBER
N
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Bruderman Brothers, LLC
8-51974
SEC FILE NUMBER
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Hefren-Tillotson, Inc.
8-10646
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USCA Securities LLC
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Capital Portfolio Management, Inc.
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Commerce Brokerage Services, Inc.
8-35096
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The Garbacz Group Inc.
8-42366
SEC FILE NUMBER
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Variable Investment Advisors, Inc.
8-50699
SEC FILE NUMBER
N
N
First Mercantile Trust Company
028-10498
SEC FILE NUMBER
N
Y
Allianz Life Financial Services, LLC
5493008TSI0TRWDDGW79
N
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SECU Brokerage Services
8-37927
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Ceros Financial Services, Inc.
549300N2YQ0P5G0WE562
N
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New England Pension Plan Systems, LLC
N/A
N
Y
GWN Securities Inc.
8-66185
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N
N
Fairport Capital, Inc.
8-32162
SEC FILE NUMBER
N
N
Holistic Brokerage, LLC
8-51285
SEC FILE NUMBER
N
N
UBATCO & Co.
N/A
N
Y
Independent Financial Group, LLC
254900KYWXHSQ7RMNP09
N
N
Arlington Securities, Inc.
8-38098
SEC FILE NUMBER
N
N
MSEC, LLC
8-68627
SEC FILE NUMBER
N
N
TD Ameritrade Clearing, Inc.
MRK678VXOI09YSSN8X19
N
Y
Vision Financial Markets LLC
549300J0X8HK9GUADL55
N
N
The Strategic Financial Alliance, Inc.
8-65885
SEC FILE NUMBER
N
N
Xml Securities, LLC
8-67776
SEC FILE NUMBER
N
N
Arive Capital Markets
8-43350
SEC FILE NUMBER
N
N
Alight Solutions LLC
084-01996
SEC FILE NUMBER
N
Y
Buckman, Buckman & Reid, Inc.
254900D688L15B5HJB06
N
N
Avantax Wealth Management, Inc
8-29533
SEC FILE NUMBER
N
N
Kovack Securities Inc.
25490070RG17Z4I70I82
N
N
World Choice Securities, Inc.
8-45235
SEC FILE NUMBER
N
N
Middlegate Securities Ltd.
549300ZVONUQ845QCH95
N
N
CapFinancial Securities, LLC
8-65870
SEC FILE NUMBER
N
N
Santander Securities LLC
8-49571
SEC FILE NUMBER
N
N
Thompson Davis & Co., Inc.
8-49386
SEC FILE NUMBER
N
N
Arvest Investments, Inc.
8-49677
SEC FILE NUMBER
N
N
Wesbanco Securities, Inc.
8-50220
SEC FILE NUMBER
N
N
SunTrust Investment Services, Inc.
8-35355
SEC FILE NUMBER
N
N
First Western Securities, Inc.
8-37613
SEC FILE NUMBER
N
N
San Blas Securities LLC
25490079436TZN10JD83
N
N
American United Life Insurance Company
549300T82H2DXU80LV98
N
Y
Leumi Investment Services Inc.
5493005SJQ3VQ5DEE756
N
N
First Bankers' Banc Securities, Inc.
549300XZ7YYT3Y0SU530
N
N
H. C. Denison Co.
8-00044
SEC FILE NUMBER
N
N
Maplewood Investment Advisors, Inc.
8-52221
SEC FILE NUMBER
N
N
Nicol Investors Corporation
8-65566
SEC FILE NUMBER
N
N
American Global Wealth Management, Inc.
8-21584
SEC FILE NUMBER
N
N
Pinnacle Investments, LLC
254900US8A3INCT1MK59
N
N
Woodbury Financial Services, Inc.
8-13846
SEC FILE NUMBER
N
N
Buell Securities Corp
8-22058
SEC FILE NUMBER
N
N
SFA Financial, LLC
8-68156
SEC FILE NUMBER
N
N
Fidelity Investments Life
54930024AKTQGTIV1P93
N
N
Advisory Group Equity Services, Ltd.
8-32155
SEC FILE NUMBER
N
N
Monex Securities, Inc.
254900VTZ3HYHNEJRX35
N
N
Uhlmann Price Securities, LLC
8-50041
SEC FILE NUMBER
N
N
Hudson Heritage Capital Management, Inc.
8-50648
SEC FILE NUMBER
N
N
USAA Investment Management Company
549300VSPLQ1XBNPD479
N
N
Aufhaser Securities, Inc.
8-48786
SEC FILE NUMBER
N
N
Parkmount Financial Partners LLC
801-127185
SEC FILE NUMBER
N
N
First Asset Financial, Inc.
8-67191
SEC FILE NUMBER
N
N
Western Growers Financial Services, Inc.
8-53458
SEC FILE NUMBER
N
N
Institutional Securities Corporation
2549007EJ1PSLA8XVA50
N
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White Mountain Capital, LLC
8-52572
SEC FILE NUMBER
N
N
BD4RIA, Inc.
8-70022
SEC FILE NUMBER
N
N
BTG Pactual US Capital, LLC
549300EUEDL5GKQW8U35
N
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Stonecrest Capital Markets, Inc.
8-48754
SEC FILE NUMBER
N
N
Crescent Securities Group
8-53457
SEC FILE NUMBER
N
N
SG Americas Securities, LLC
549300F35UE0BOM1WJ55
N
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The Windmill Group, Inc.
8-25280
SEC FILE NUMBER
N
N
GWFS Equities, Inc.
8-33854
SEC FILE NUMBER
N
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TFS Securities, Inc.
8-38377
SEC FILE NUMBER
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MidWestern Securities Trading Company, LLC
8-52074
SEC FILE NUMBER
N
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Intercam Securiteis, Inc.
8-67840
SEC FILE NUMBER
N
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MML Distributors, LLC
8-48203
SEC FILE NUMBER
N
N
Syndicated Capital, Inc.
8-44162
SEC FILE NUMBER
N
N
Boreal Capital Securities LLC
549300NMHK6HTSKCG696
N
N
The Huntington Investment Company
5493004MEJ6IU9SR1R78
N
N
Capital Synergy Partners, Inc.
8-68060
SEC FILE NUMBER
N
N
Transamerica Advisors Life Insurance Company
F1PLTWZ8OU4HQGZQAP31
N
N
TimeCapital Securities Corporation
8-18248
SEC FILE NUMBER
N
N
Portfolio Resources Group, Inc.
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N
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WBB Securities, LLC
8-53660
SEC FILE NUMBER
N
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TCAdvisors Network Inc.
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N
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Federated Securities, Inc.
8-15644
SEC FILE NUMBER
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Moloney Securities Co., Inc.
8-48326
SEC FILE NUMBER
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Diversified Resources, LLC
8-45497
SEC FILE NUMBER
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Girard Investment Services, LLC
8-14145
SEC FILE NUMBER
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Muriel Seibert & Co., Inc.
8-14900
SEC FILE NUMBER
N
N
Nest Investments BD, LLC
8-70117
SEC FILE NUMBER
N
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BFT Financial Group, LLC
8-53487
SEC FILE NUMBER
N
N
Navy Federal Brokerage Services, LLC
8-67161
SEC FILE NUMBER
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VOYA Financial Advisors, LLC
8-46451
SEC FILE NUMBER
N
N
CoreCap Investments, Inc.
8-47783
SEC FILE NUMBER
N
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IDB Capital Corp.
254900SH3QL0IL3S9R34
N
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Abacus Investments, Inc.
8-46571
SEC FILE NUMBER
N
N
USA Financial Securities Corporation
8-52342
SEC FILE NUMBER
N
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R. Seelaus & Co., Inc.
2138004J7AJDLCOJYA06
N
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Wiley Bros.-Aintree Capital, LLC
8-03774
SEC FILE NUMBER
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VALIC Financial Advisors, Inc.
8-50018
SEC FILE NUMBER
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Dorn & Co., Inc.
8-08707
SEC FILE NUMBER
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Interactive Brokers LLC
50OBSE5T5521O6SMZR28
N
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SKA Securities, Inc.
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SEC FILE NUMBER
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Vanguard Group, Inc., The
5493002789CY3L0CJP65
N
Y
Gold Coast Securities, Inc.
8-53148
SEC FILE NUMBER
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Larson Financial Securities, LLC
8-68456
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Trade-PMR Inc.
8-51390
SEC FILE NUMBER
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Mutual Funds Associates, Inc.
8-13026
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Lieblong & Associates, Inc.
8-49880
SEC FILE NUMBER
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T. Rowe Price Investment Services, Inc.
8-25130
SEC FILE NUMBER
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McNally Financial Services Corporation
8-65388
SEC FILE NUMBER
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Griffinest Asia Securities, LLC
8-66571
SEC FILE NUMBER
N
N
TD Ameritrade Trust Company
028-15163
SEC FILE NUMBER
N
N
BNP Paribas Securities Corp
RCNB6OTYUAMMP879YW96
N
N
Omni Financial Securities
8-44034
SEC FILE NUMBER
N
N
Huntleigh Securities Corporation
8-21893
SEC FILE NUMBER
N
N
Halliday Financial, LLC
8-45529
SEC FILE NUMBER
N
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Cetera Financial Specialists LLC
8-27082
SEC FILE NUMBER
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Commonwealth Equity Services, Inc.
8-24040
SEC FILE NUMBER
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Robinson & Robinson, Inc.
8-17109
SEC FILE NUMBER
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First National Bank Alaska
25490089V5DJHFQMOA03
N
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Signature Estate Securities, Inc.
8-33854
SEC FILE NUMBER
N
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Herbert J. Sims & Co. Inc.
254900SV6UESQBS8XP98
N
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Morris Group, Inc.
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N
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McLaughlin Ryder Investments, Inc.
8-67911
SEC FILE NUMBER
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Sunset Financial Services, Inc.
8-14148
SEC FILE NUMBER
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SCF Securities, Inc.
8-51760
SEC FILE NUMBER
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City National Bank
549300MEMKSF7703ZQ25
N
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Global Brokerage Services, Inc.
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SEC FILE NUMBER
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Bolton Global Capital
2549009M08YVOG46LO79
N
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Avisen Securities, Inc.
8-65833
SEC FILE NUMBER
N
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Sanders Morris Harris Inc.
254900ZNPYV465D1NZ47
N
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Marsco Investment Corporation
8-36754
SEC FILE NUMBER
N
N
Cetera Advisors LLC
8-26892
SEC FILE NUMBER
N
N
Piper Jaffray & Co.
549300GRQCWQ3XGH0H10
N
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Rockefeller Financial, LLC
8-70054
SEC FILE NUMBER
N
N
Mutual of Omaha Investor Services, Inc.
8-47290
SEC FILE NUMBER
N
N
Laidlaw & Company (UK) Ltd.
8-53731
SEC FILE NUMBER
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N
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Polar Investment Counsel, Inc.
8-50039
SEC FILE NUMBER
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Coordinated Capital Securities, Inc.
8-31173
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BCG Securities, Inc.
8-12680
SEC FILE NUMBER
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Gradient Securities, LLC
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SEC FILE NUMBER
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Harvest Financial Corporation
8-26037
SEC FILE NUMBER
N
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Abacus International Capital Corp.
8-46418
SEC FILE NUMBER
N
N
Farmers Financial Solutions, LLC
8-52361
SEC FILE NUMBER
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Financial Northeastern Securities, Inc.
549300QRRF2NAV5G3869
N
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St. Bernard Financial Services, Inc.
8-47566
SEC FILE NUMBER
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Key Investment Services LLC
8-66999
SEC FILE NUMBER
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R. F. Lafferty & Co., Inc.
254900KLPTMWPBZWH264
N
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Axiom Capital Management, Inc.
254900WW7SK1IMK6NO54
N
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NBC Securities, Inc.
254900GIP7RJQGHH5S19
N
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Transamerica Financial Advisors, Inc.
549300JW32XCZSHI0878
N
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Triad Advisors, Inc.
8-42007
SEC FILE NUMBER
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Wescom Financial Services, LLC
8-66189
SEC FILE NUMBER
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Kalos Capital, Inc.
8-50630
SEC FILE NUMBER
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Principal Securities, Inc.
8-13975
SEC FILE NUMBER
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Nationwide Securities, LLC
8-12500
SEC FILE NUMBER
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Hanson McClain Retirement Network, LP
8-52250
SEC FILE NUMBER
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Colorado Financial Service Corporation
8-52817
SEC FILE NUMBER
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Multiple Financial Services, Inc.
8-52017
SEC FILE NUMBER
N
N
Deutsche Bank Securities Inc.
9J6MBOOO7BECTDTUZW19
N
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Sisung Securities Corporation
254900KJI3EYKKPWT989
N
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Finance 500, Inc.
8-28302
SEC FILE NUMBER
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Shareholders Service Group, Inc.
8-65778
SEC FILE NUMBER
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Pershing Advisor Solutions, LLC
549300KTC63JRN36GZ84
N
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Citigroup Global Markets Inc.
MBNUM2BPBDO7JBLYG310
N
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Purshe Kaplan Sterling Investments
8-46844
SEC FILE NUMBER
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Money Concepts Capital Corp.
8-29671
SEC FILE NUMBER
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Sovereign Legacy Securities, Inc.
8-00621
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The GMS Group, LLC
254900OXZT27TA5CGU56
N
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Worth Financial Group Inc.
8-29827
SEC FILE NUMBER
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Integrity Investments, Inc.
8-45302
SEC FILE NUMBER
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N
Feltl & Company
8-18435
SEC FILE NUMBER
N
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Neuberger Berman LLC
PWDS3JJ631D5N70JXG61
N
N
McDonald Partners LLC
549300PEHG3UH7FAY193
N
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Independent Brokerage Solutions LLC
8-68549
SEC FILE NUMBER
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American Portfolios Financial Services, Inc.
8-37085
SEC FILE NUMBER
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Cary Street Partners LLC
8-66085
SEC FILE NUMBER
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Allegheny Investments, Ltd.
8-22183
SEC FILE NUMBER
N
N
Great-West Financial Retirement Plan Services, LLC
N/A
N
Y
Westminster Financial Securities, Inc.
8-38426
SEC FILE NUMBER
N
N
Saturna Trust Company
N/A
N
Y
BAC Florida Investments
254900CAF9OPVE8VT408
N
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CNR Securities LLC
8-36759
SEC FILE NUMBER
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J.P. Morgan Securities LLC
ZBUT11V806EZRVTWT807
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Cambridge Investment Research, Inc.
8-48740
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Western Equity Group, Inc.
8-66403
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Concorde Investment Services, LLC
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First Manhattan Co.
549300NNJKVSO48I3G76
N
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Carty & Company, Inc.
8-19082
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Prudential Insurance Company of America
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N
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Akar Capital Management, Inc.
8-28026
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Mercer HR Services, LLC
N/A
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Vanguard Marketing Corporation
8-21570
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American Trust Investment Services, Inc.
8-14394
SEC FILE NUMBER
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N
Voya Financial Partners, LLC
8-13987
SEC FILE NUMBER
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Davenport & Company LLC
254900GN2SAXJGLMS075
N
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Sycamore Financial Group
8-30302
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Benjamin F. Edwards & Company, Inc.
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Mack Investment Securities, Inc.
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Ascensus Broker Dealer Services, Inc.
8-47312
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SecureVest Financial Group
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Nelson Ivest Brokerage Services, Inc.
8-26448
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Empire Asset Management Company
8-67520
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SagePoint Financial, Inc.
8-66771
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Coldstream Securities, Inc.
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RNR Securities, L.L.C.
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Capital Investment Group, Inc.
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Glen Eagle Advisors LLC
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Signal Securities, Inc.
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Boenning & Scattergood, Inc.
2549005FER5A7K7II574
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Quincy Cass Associates, Incorporated
8-05743
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Hartford Funds Management Company, LLC
801-77209
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N
Y
Sigma Financial Corporation
8-30466
SEC FILE NUMBER
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First Republic Securities Company, LLC
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Cabot Lodge Securities, LLC
8-69009
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First Command Financial Planning, Inc.
8-07072
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Rogan & Associates, Inc.
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Chalice Capital Partners, LLC
8-69967
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Hunter Associates, Inc.
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Maxim Group LLC
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Carl M. Hennig, Inc.
8-14509
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Park Avenue Securities LLC
8-51324
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The O.N. Equity Sales Company
8-14161
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Wright Investors' Service Distributors, Inc.
8-29579
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Calton & Associates, Inc.
254900TDJ7LH64ZKRY86
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Corinthian Partners, L.L.C.
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PTI Securities & Futures L.P.
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Securities America, Inc.
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Moors & Cabot, Inc.
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Pensionmark Securities, LLC
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Westco Investment Corp.
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J.W. Cole Financial, Inc.
8-65698
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Security Distributors, Inc.
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Voya Institutional Plan Services, LLC
N/A
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FSC Securities Corporation
8-21770
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Harold W. Dance Inc.
8-12160
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Ballew Investments, Inc.
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SEC FILE NUMBER
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Nationwide Planning Associates Inc.
8-45310
SEC FILE NUMBER
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Ameritas Investment Corp.
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Grant Williams L.P.
8-51249
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Sentinel Securities, Inc.
8-53142
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Centennial Securities Company, LLC
8-23406
SEC FILE NUMBER
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Fiduciary Trust International
N1YKEWO2IYPRS4742F57
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Lincoln Financial Securities Corporation
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1st Discount Brokerage, Inc.
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Gardner Financial Services, Inc.
8-38631
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Western International Securities, Inc.
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NYLife Distributors LLC
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SEC FILE NUMBER
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Teachers Insurance and Annuity Association of America
O06YD7BJ4EPYNABVFN69
N
Y
M. S. Howells & Co.
8-52558
SEC FILE NUMBER
N
N
Veritas Independent Partners, LLC
8-69363
SEC FILE NUMBER
N
N
Lincoln Douglas Investments LLC
8-68728
SEC FILE NUMBER
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Colliers Securities LLC
549300OD1C69R64IVC38
N
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The Investment Center, Inc.
8-35826
SEC FILE NUMBER
N
N
UBS AG, New York Branch
BFM8T61CT2L1QCEMIK50
N
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Sunstreet Securities, LLC
8-67541
SEC FILE NUMBER
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Loria Financial Group, LLC
8-52128
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Principled Advisors, Inc.
8-66451
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Mid-Atlantic Securities, Inc.
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Blakeslee and Blakeslee Inc.
8-32071
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Duncan-Williams, Inc.
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Alight Financial Solutions LLC
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Cannon Securities, Inc.
8-68437
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OneAmerica Securities, Inc.
8-15009
SEC FILE NUMBER
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Leigh Baldwin & Co., LLC
8-48385
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Cuso Financial Services, L.P.
8-49711
SEC FILE NUMBER
N
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VBC Securities, LLC
8-44141
SEC FILE NUMBER
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Darwood Associates Incorporated
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SEC FILE NUMBER
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NYLife Securities LLC
8-15517
SEC FILE NUMBER
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Perryman Securities, Inc.
8-53546
SEC FILE NUMBER
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Reliance Trust Company
549300NV8FSQRNOUQO50
N
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BBVA Securities Inc.
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N
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PNC Capital Markets LLC
7OGNSSLOQJ8U3B9Y5F18
N
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General Securities Corp.
8-31654
SEC FILE NUMBER
N
N
Insigneo Securities, LLC
254900P4TTO6PU1VDH88
N
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NorthWestern Mutual Investment Services, LLC
CYO86L8D7HTXW9SOZX28
N
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TrustFirst, Inc.
8-48509
SEC FILE NUMBER
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Capital Institutional Services, Inc.
54930061X8RDWFDJIS05
N
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Smith, Moore & Co.
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SEC FILE NUMBER
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S.L. Reed & Company
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Globalink Securities, Inc.
8-44509
SEC FILE NUMBER
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Advanced Advisor Group, LLC
8-67313
SEC FILE NUMBER
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Ascensus Financial Services, LLC
8-67891
SEC FILE NUMBER
N
N
MMA Securities LLC
8-50591
SEC FILE NUMBER
N
N
John Hancock Life Insurance Company
QQ0OZ8J9C4B5QT1XDG31
CA
N
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FinTrust Brokerage Services, LLC
8-49514
SEC FILE NUMBER
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Samuel A Ramirez & Co., Inc.
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Gregory J. Schwartz & Co., Inc.
8-20955
SEC FILE NUMBER
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Paradigm Equities, Inc.
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SEC FILE NUMBER
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FMN Capital Corporation
8-48082
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Access Financial Group, Inc.
8-46065
SEC FILE NUMBER
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N
Pyramid Funds Corporation
8-12769
SEC FILE NUMBER
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Aventura Securities, LLC
8-67458
SEC FILE NUMBER
N
N
Intervest International Equities Corporation
8-38156
SEC FILE NUMBER
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E*Trade Securities
8-44112
SEC FILE NUMBER
N
N
Pacific Financial Associates, Inc.
8-40712
SEC FILE NUMBER
N
N
SunTrust Bank
IYDOJBGJWY9T8XKCSX06
N
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Unionbanc Investment Services, LLC
254900Y9HI2TG6D79N41
N
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Sabadell Securities USA, Inc.
2549002UK8JK82ABGD45
N
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Calamar Financial Group
8-69777
SEC FILE NUMBER
N
N
Wall Street Access
549300Z0MOT47D6OQV22
N
N
Fieldpoint Private Securities, LLC
8-37105
SEC FILE NUMBER
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Inverness Securities, LLC
8-66278
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Saturna Brokerage Services, Inc.
8-36558
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David Lerner Associates, Inc.
8-20746
SEC FILE NUMBER
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Johnstone Brokerage
8-70335
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Joseph Gunnar & Co. LLC
2549001XBRI5XQ0ZDA12
N
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Watermark Securities, Inc.
8-43902
SEC FILE NUMBER
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LPL Financial LLC
5493005NM7F0H1N3EQ39
N
Y
First Citizens Investor Services, Inc.
8-50696
SEC FILE NUMBER
N
N
Woodlands Securities Corporation
8-39700
SEC FILE NUMBER
N
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Principal Life Insurance Company
SDCMU2LVKGV2AF1KWP64
N
Y
Y
BNY Mellon Investment Servicing (US) Inc.
549300CFZQLI9QMJ1Z03
N
Y
BLACKROCK ADVISORS, LLC
5493001LN9MRM6A35J74
Y
N
N
BLACKROCK EXECUTION SERVICES
008-48719
000039438
549300HFCRQ0NT5KY652
0.00000000
BLACKROCK INVESTMENTS, LLC
008-48436
000038642
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Cowen and Company, LLC
008-22522
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BOFA SECURITIES, INC.
008-69787
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CREDIT SUISSE SECURITIES (USA) LLC
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Berenberg Capital Markets LLC
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JEFFERIES LLC
008-15074
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57202.00000000
CitiGroup Global Markets Inc.
008-08177
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61418.00000000
UBS Securities LLC
008-22651
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J.P. Morgan Securities LLC
008-35008
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BlackRock Liquidity Funds T-Fund
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N/A
5493002L9DNZ83RX7V61
1592769156.00000000
1592769156.00000000
N
1801288680.00000000
0.00000000
Committed
1750000000.00000000
N
N
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N
false
false
true
false
false
false
INTERNAL CONTROL RPT
2
brseriesinc.htm
REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM
To the Shareholders of BlackRock Global Dividend Portfolio and BlackRock International Fund and the Boards of Trustees/Directors of BlackRock Funds II and BlackRock Series, Inc.:
In planning and performing our audits of the financial statements of BlackRock Global Dividend Portfolio of BlackRock Funds II and BlackRock International Fund of BlackRock Series, Inc. (the “Funds”) as of and for the year ended May 31, 2023, in accordance with the standards of the Public Company Accounting Oversight Board (United States) (PCAOB), we considered the Funds’ internal control over financial reporting, including controls over safeguarding securities, as a basis for designing our auditing procedures for the purpose of expressing our opinion on the financial statements and to comply with the requirements of Form N-CEN, but not for the purpose of expressing an opinion on the effectiveness of the Funds’ internal control over financial reporting. Accordingly, we express no such opinion.
The management of the Funds is responsible for establishing and maintaining effective internal control over financial reporting. In fulfilling this responsibility, estimates and judgments by management are required to assess the expected benefits and related costs of controls. A company's internal control over financial reporting is a process designed to provide reasonable assurance regarding the reliability of financial reporting and the preparation of financial statements for external purposes in accordance with generally accepted accounting principles. A company's internal control over financial reporting includes those policies and procedures that (1) pertain to the maintenance of records that, in reasonable detail, accurately and fairly reflect the transactions and dispositions of the assets of the company; (2) provide reasonable assurance that transactions are recorded as necessary to permit preparation of financial statements in accordance with generally accepted accounting principles, and that receipts and expenditures of the company are being made only in accordance with authorizations of management and directors of the company; and (3) provide reasonable assurance regarding prevention or timely detection of unauthorized acquisition, use, or disposition of a company's assets that could have a material effect on the financial statements.
Because of its inherent limitations, internal control over financial reporting may not prevent or detect misstatements. Also, projections of any evaluation of effectiveness to future periods are subject to the risk that controls may become inadequate because of changes in conditions or that the degree of compliance with the policies or procedures may deteriorate.
A deficiency in internal control over financial reporting exists when the design or operation of a control does not allow management or employees, in the normal course of performing their assigned functions, to prevent or detect misstatements on a timely basis. A material weakness is a deficiency, or a combination of deficiencies, in internal control over financial reporting, such that there is a reasonable possibility that a material misstatement of the company’s annual or interim financial statements will not be prevented or detected on a timely basis.
Our consideration of the Funds’ internal control over financial reporting was for the limited purpose described in the first paragraph and would not necessarily disclose all deficiencies in internal control that might be material weaknesses under standards established by the PCAOB. However, we noted no deficiencies in the Funds’ internal control over financial reporting and its operation, including controls over safeguarding securities, that we consider to be a material weakness, as defined above, as of May 31, 2023.
This report is intended solely for the information and use of management and the Board of Trustees/Directors of the Funds and the Securities and Exchange Commission and is not intended to be and should not be used by anyone other than these specified parties.
/s/ Deloitte & Touche LLP
Deloitte & Touche LLP
Boston, Massachusetts
July 21, 2023