0001752724-19-002715.txt : 20190125
0001752724-19-002715.hdr.sgml : 20190125
20190125115943
ACCESSION NUMBER: 0001752724-19-002715
CONFORMED SUBMISSION TYPE: N-CEN/A
PUBLIC DOCUMENT COUNT: 3
CONFORMED PERIOD OF REPORT: 20180630
FILED AS OF DATE: 20190125
DATE AS OF CHANGE: 20190125
EFFECTIVENESS DATE: 20190125
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: BLACKROCK MUNICIPAL BOND FUND, INC.
CENTRAL INDEX KEY: 0000225635
IRS NUMBER: 132896246
STATE OF INCORPORATION: NJ
FISCAL YEAR END: 0630
FILING VALUES:
FORM TYPE: N-CEN/A
SEC ACT: 1940 Act
SEC FILE NUMBER: 811-02688
FILM NUMBER: 19541872
BUSINESS ADDRESS:
STREET 1: 100 BELLEVUE PARKWAY
CITY: WILMINGTON
STATE: DE
ZIP: 19809
BUSINESS PHONE: 800-441-7762
MAIL ADDRESS:
STREET 1: 100 BELLEVUE PARKWAY
CITY: WILMINGTON
STATE: DE
ZIP: 19809
FORMER COMPANY:
FORMER CONFORMED NAME: MERRILL LYNCH MUNICIPAL BOND FUND INC
DATE OF NAME CHANGE: 19920703
FORMER COMPANY:
FORMER CONFORMED NAME: ONE LIBERTY MUNICIPAL BOND FUND INC
DATE OF NAME CHANGE: 19780622
N-CEN/A
1
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BLACKROCK MUNICIPAL BOND FUND, INC.
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549300RTFZS1V1PV8C63
100 BELLEVUE PARKWAY
WILMINGTON
19809
US-DE
US
800-441 7762
BlackRock Advisors, LLC
1209 Orange Street
Wilmington
19801
302-797-2000
Records related to its functions as advisor and administrator
BNY Mellon Investment Servicing (US) Inc.
84 State Street
Boston
02109
302-791-1700
Records related to its functions as transfer agent
State Street Bank and Trust Company
1 Lincoln Street
Boston
02111
617-786-3000
Records related to its functions as custodian, sub-administrator and accounting agent
BlackRock Investments, LLC
1209 Orange Street
Wilmington
19801
609-282-3046
Records related to its functions as distributor
Y
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Henry R. Keizer
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N
Robert M. Hernandez
000000000
N
John F. O'Brien
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Henry Gabbay
000000000
N
James H. Bodurtha
000000000
N
Robert Fairbairn
004992372
Y
Bruce R. Bond
000000000
N
Donald C. Opatrny
000000000
N
John M. Perlowski
000000000
Y
Honorable Stuart E. Eizenstat
000000000
N
Lena G. Goldberg
000000000
N
Charles Park
000000000
55 East 52nd Street
New York
10055
XXXXXX
N
N
N
N
N
N
BlackRock Investments, LLC
008-48436
000038642
0000000000
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Deloitte & Touche LLP
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0000000000
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N
N
N
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BlackRock National Municipal Fund
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Y
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0
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N/A
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Y
N
BlackRock Investment Management, LLC
5493006MRTEZZ4S4CQ20
Y
N
Revenue sharing split
Cash collateral reinvestment fee
Other
Rebates paid to borrowers
N/A
N/A
Rule 10f-3 (17 CFR 270.10f-3)
Rule 32a-4 (17 CFR 270.32a-4)
Rule 22d-1 (17 CFR 270.22d-1)
Rule 17e-1 (17 CFR 270.17e-1)
Rule 17a-7 (17 CFR 270.17a-7)
Rule 17a-6 (17 CFR 270.17a-6)
Rule 12d1-1 (17 CFR 270.12d1-1)
Y
Y
N
N
BlackRock Advisors, LLC
801-47710
000106614
5493001LN9MRM6A35J74
N
BNY Mellon Investment Servicing (US) Inc.
084-01761
549300CFZQLI9QMJ1Z03
N
N
N
Interactive Data Corporation
13-3668779
N
Standard & Poor's Financial Services LLC
549300U4VWNITEKO2881
N
N
State Street Bank and Trust Company
571474TGEMMWANRLN572
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Morgan Stanley & Co. LLC
9R7GPTSO7KV3UQJZQ078
N
Y
Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Credit Suisse Securities (USA) LLC
1V8Y6QCX6YMJ2OELII46
N
Y
Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Merrill Lynch, Pierce, Fenner & Smith Incorporated
8NAV47T0Y26Q87Y0QP81
N
Y
Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Goldman Sachs & Co. LLC
FOR8UP27PHTHYVLBNG30
N
Y
Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Barclays Capital Inc.
AC28XWWI3WIBK2824319
N
Y
Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
N
NBC Securities, Inc.
63-0923499
N
N
Davenport & Company LLC
254900GN2SAXJGLMS075
N
N
American United Life Insurance Company
549300T82H2DXU80LV98
N
Y
Morgan Stanley Smith Barney LLC
7PDDXEMZ0ZV0CEDU4D16
N
N
Signature Securities Group Corporation
13-4120476
N
N
Scottrade, Inc.
86-0381976
N
N
Fiduciary Trust Company International
N1YKEWO2IYPRS4742F57
N
N
Ross, Sinclaire & Associates, LLC
20-2461737
N
N
BB&T Securities, LLC
2549000IB2PRJ20M2Q93
N
N
Waddell & Reed, Inc.
43-1235675
N
N
TIAA-CREF Tuition Financing, Inc.
13-4026557
N
Y
Oppenheimer & Co. Inc.
254900VH02JQR2L8XD64
N
N
Citigroup Global Markets Inc.
MBNUM2BPBDO7JBLYG310
N
N
BNY Mellon Investment Servicing (US) Inc.
549300CFZQLI9QMJ1Z03
N
N
USAA Investment Management Company
549300VSPLQ1XBNPD479
N
N
Stifel, Nicolaus & Company, Incorporated
5WUVMA08EYG4KEUPW589
N
Y
Cantella & Co., Inc.
254900Z33Q34HCFGHO19
N
N
SG Americas Securities, LLC
549300F35UE0BOM1WJ55
N
N
D.A. Davidson & Co.
549300094RQ5A7DYLF51
N
N
GWFS Equities, Inc.
84-0965407
N
N
John Hancock Life Insurance Company of New York
5493007RYG4GXIKSQI18
N
Y
Winslow, Evans & Crocker, Inc.
549300EVLXSCM40LO982
N
N
First Manhattan Co.
549300NNJKVSO48I3G76
N
N
Companion Life Insurance Company
549300576JWB8808D393
N
Y
Fidelity Brokerage Services LLC
549300OQFQ4NFIOD5695
N
Y
Great Pacific Securities
254900QRZ90SUI8C4W84
N
N
Freimark Blair & Company, Inc.
254900KMG5B3QSG4Z252
N
N
Wells Fargo Clearing Services, LLC
88KRVSOEKUGQZJ3DKW55
N
Y
ING Financial Markets LLC
KBVRJ5K57JZ3E2AVWX40
N
N
Northland Securities, Inc.
254900ZIK4MLVQAWLS15
N
N
City Securities Corporation
35-0230120
N
N
J.P. Morgan Securities LLC
ZBUT11V806EZRVTWT807
N
N
Trust Company of America
84-6179736
N
Y
Wedbush Securities Inc.
549300CSX55MXZ47EI78
N
N
Maxim Group LLC
254900OJ6JZO6SDMHQ83
N
N
Genworth Life Insurance Company of New York
E5VAS7I8GX5B0SDBX010
N
Y
LPL Financial LLC
5493005NM7F0H1N3EQ39
N
Y
Piper Jaffray & Co.
549300GRQCWQ3XGH0H10
N
N
Coker & Palmer, Inc.
254900V1KTPDN88TDS68
N
N
Janney Montgomery Scott LLC
549300QQRY1JCFQHYS08
N
N
USCA Securities LLC
254900GBMSP1Y45THR66
N
N
Benefit Trust Company
43-1971558
N
Y
Northern Trust Securities, Inc.
3CHSO99JSPHD9HGNYJ46
N
N
MBSC Securities Corporation
13-2603136
N
N
First Honolulu Securities, Inc.
99-0189153
N
N
SunTrust Bank
IYDOJBGJWY9T8XKCSX06
N
N
Bernard Herold & Co., Inc.
13-2707317
N
N
Robert W. Baird & Co. Incorporated
549300772UJAHRD6LO53
N
N
T. Rowe Price Investment Services, Inc.
52-1184650
N
N
Wellington Shields & Co., LLC
26-3489406
N
N
Ameriprise Financial Services, Inc.
41-0973005
N
N
Mesirow Financial, Inc.
549300BIV46SUHPOFE54
N
N
Voya Institutional Plan Services, LLC
02-0488491
N
N
TD Ameritrade, Inc.
CWQYQU0TV2NLMLZKNB44
N
Y
Actinver Securities, Inc.
254900FT947VQZ1WHT28
N
N
Nationwide Financial Services, Inc.
5493001H7AZNDS6BKJ36
N
Y
Moors & Cabot, Inc.
04-2644548
N
N
TD Ameritrade Trust Company
20-0937408
N
N
Credit Suisse Securities (USA) LLC
1V8Y6QCX6YMJ2OELII46
N
N
Stephens Inc.
213800LH6T9XDYZCA534
N
N
Principal Life Insurance Company
SDCMU2LVKGV2AF1KWP64
N
Y
John Hancock Life Insurance Company
04-1414660
N
Y
Smith, Moore & Co.
43-1244128
N
N
StockCross Financial Services, Inc.
254900E1U348OMY1L886
N
N
Voya Retirement Insurance and Annuity Company
OK3MKCDYPD4NN6QDGK18
N
Y
Alight Solutions LLC
36-2235791
N
Y
Reliance Trust Company
549300NV8FSQRNOUQO50
N
Y
United of Omaha Life Insurance Company
3EGIZNNORU5LRN6W7742
N
Y
Duncan-Williams, Inc.
25490045VHLUZ7H92Y27
N
N
TradeStation Securities, Inc.
549300T08P71XXBYLW62
N
N
PNC Capital Markets LLC
7OGNSSLOQJ8U3B9Y5F18
Y
N
Northwestern Mutual Investment Services, LLC
CYO86L8D7HTXW9SOZX28
N
N
Dorn & Co., Inc.
41-0836886
N
N
Charles Schwab Bank
549300INFJ8TYNZ1G568
N
Y
P. R. Herzig & Co. Inc.
13-2919194
N
N
Oscar Gruss & Son Incorporated
549300V78DH9XCK5UI63
N
N
Buckman, Buckman & Reid, Inc.
254900D688L15B5HJB06
N
N
W.R. Hambrecht + Co., LLC
94-3289837
N
N
Apex Clearing Corporation
5493000418CITRF5BO80
N
N
Detwiler Fenton & Co.
04-2473303
N
N
Capital Institutional Services, Inc.
54930061X8RDWFDJIS05
N
N
Raymond James & Associates, Inc.
U4ONQX15J3RO8XCKE979
N
N
Signator Investors, Inc.
04-2442399
N
N
Deutsche Bank Securities Inc.
529900CK34A0NLD3NN83
N
N
Genworth Life and Annuity Insurance Company
TAI340D9BWT9R77O0P03
N
N
N
BlackRock Advisors, LLC
5493001LN9MRM6A35J74
Y
N
State Street Bank and Trust Company
571474TGEMMWANRLN572
N
Y
N
BlackRock Investments, LLC
008-48436
000038642
0000000000
0.00000000
PNC Investments LLC
8-66195
000129052
N/A
0.00000000
PNC Capital Markets, Inc.
008-32493
000015647
0000000000
0.00000000
Solebury Capital LLC
8-67548
000143299
5493000RFBRZED82XQ81
0.00000000
Harris Williams LLC
8-53380
000113930
N/A
0.00000000
Blackrock Execution Services
8-48719
000039438
549300HFCRQ0NT5KY652
0.00000000
Trout Capital LLC
8-66474
000131489
N/A
0.00000000
0.00000000
JPMorgan Chase & Co.
8-35008
000000079
8I5DZWZKVSZI1NUHU748
652544718.80000000
Morgan Stanley & Co. LLC
8-15869
000008209
9R7GPTSO7KV3UQJZQ078
2305402904.00000000
Pershing LLC
8-17574
000007560
ZI8Q1A8EI8LQFJNM0D94
944373915.10000000
Goldman Sachs & Co. LLC
8-00129
000000361
FOR8UP27PHTHYVLBNG30
689927405.30000000
Barclays Capital Inc.
8-41342
000019714
AC28XWWI3WIBK2824319
576428142.80000000
State Street Bank and Trust Company
N/A
000000000
571474TGEMMWANRLN572
6490672988.00000000
Citigroup Inc.
8-08177
000007059
6SHGI4ZSSLCXXQSBB395
1303226079.00000000
Bank Of America Merrill Lynch Securities Inc
8-33359
000016139
0000000000
1184837989.00000000
Royal Bank of Canada
8-55108
000112284
ES7IP3U3RHIGC71XBU11
CA
596064931.90000000
Wells Fargo Securities, LLC
8-22947
000007665
VYVVCKR63DVZZN70PB21
566941878.10000000
16480953895.35000000
N
8498751258.31000000
N
BlackRock High Yield Municipal Fund
S000011867
8O2L3S5MUE5JM8BCFT24
Y
4
1
0
N/A
N
N
Y
N
BlackRock Investment Management, LLC
5493006MRTEZZ4S4CQ20
Y
N
Cash collateral reinvestment fee
Revenue sharing split
Other
Rebates paid to borrowers
N/A
N/A
Rule 17a-7 (17 CFR 270.17a-7)
Rule 10f-3 (17 CFR 270.10f-3)
Rule 17a-6 (17 CFR 270.17a-6)
Rule 32a-4 (17 CFR 270.32a-4)
Rule 22d-1 (17 CFR 270.22d-1)
Rule 17e-1 (17 CFR 270.17e-1)
Rule 12d1-1 (17 CFR 270.12d1-1)
Y
Y
N
N
BlackRock Advisors, LLC
801-47710
000106614
5493001LN9MRM6A35J74
N
BNY Mellon Investment Servicing (US) Inc.
084-01761
549300CFZQLI9QMJ1Z03
N
N
N
Standard & Poor's Financial Services LLC
549300U4VWNITEKO2881
N
Interactive Data Corporation
13-3668779
N
N
State Street Bank and Trust Company
571474TGEMMWANRLN572
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Morgan Stanley & Co. LLC
9R7GPTSO7KV3UQJZQ078
N
Y
Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Credit Suisse Securities (USA) LLC
1V8Y6QCX6YMJ2OELII46
N
Y
Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Barclays Capital Inc.
AC28XWWI3WIBK2824319
N
Y
Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Merrill Lynch, Pierce, Fenner & Smith Incorporated
8NAV47T0Y26Q87Y0QP81
N
Y
Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
N
Coker & Palmer, Inc.
254900V1KTPDN88TDS68
N
N
Voya Institutional Plan Services, LLC
02-0488491
N
N
Fidelity Brokerage Services LLC
549300OQFQ4NFIOD5695
N
Y
Stifel, Nicolaus & Company, Incorporated
5WUVMA08EYG4KEUPW589
N
Y
Bernard Herold & Co., Inc.
13-2707317
N
N
PNC Capital Markets LLC
7OGNSSLOQJ8U3B9Y5F18
Y
N
Northern Trust Securities, Inc.
3CHSO99JSPHD9HGNYJ46
N
N
StockCross Financial Services, Inc.
254900E1U348OMY1L886
N
N
Detwiler Fenton & Co.
04-2473303
N
N
American United Life Insurance Company
549300T82H2DXU80LV98
N
Y
TIAA-CREF Tuition Financing, Inc.
13-4026557
N
Y
Wellington Shields & Co., LLC
26-3489406
N
N
Waddell & Reed, Inc.
43-1235675
N
N
TradeStation Securities, Inc.
549300T08P71XXBYLW62
N
N
First Manhattan Co.
549300NNJKVSO48I3G76
N
N
Duncan-Williams, Inc.
25490045VHLUZ7H92Y27
N
N
Freimark Blair & Company, Inc.
254900KMG5B3QSG4Z252
N
N
Northland Securities, Inc.
254900ZIK4MLVQAWLS15
N
N
Stephens Inc.
213800LH6T9XDYZCA534
N
N
ING Financial Markets LLC
KBVRJ5K57JZ3E2AVWX40
N
N
BNY Mellon Investment Servicing (US) Inc.
549300CFZQLI9QMJ1Z03
N
N
Mesirow Financial, Inc.
549300BIV46SUHPOFE54
N
N
Apex Clearing Corporation
5493000418CITRF5BO80
N
N
LPL Financial LLC
5493005NM7F0H1N3EQ39
N
Y
Genworth Life and Annuity Insurance Company
TAI340D9BWT9R77O0P03
N
N
Wells Fargo Clearing Services, LLC
88KRVSOEKUGQZJ3DKW55
N
Y
Morgan Stanley Smith Barney LLC
7PDDXEMZ0ZV0CEDU4D16
N
N
Credit Suisse Securities (USA) LLC
1V8Y6QCX6YMJ2OELII46
N
N
TD Ameritrade, Inc.
CWQYQU0TV2NLMLZKNB44
N
Y
NBC Securities, Inc.
63-0923499
N
N
SunTrust Bank
IYDOJBGJWY9T8XKCSX06
N
N
Signature Securities Group Corporation
13-4120476
N
N
Signator Investors, Inc.
04-2442399
N
N
Piper Jaffray & Co.
549300GRQCWQ3XGH0H10
N
N
Moors & Cabot, Inc.
04-2644548
N
N
Voya Retirement Insurance and Annuity Company
OK3MKCDYPD4NN6QDGK18
N
Y
Wedbush Securities Inc.
549300CSX55MXZ47EI78
N
N
T. Rowe Price Investment Services, Inc.
52-1184650
N
N
Raymond James & Associates, Inc.
U4ONQX15J3RO8XCKE979
N
N
Smith, Moore & Co.
43-1244128
N
N
Cantella & Co., Inc.
254900Z33Q34HCFGHO19
N
N
Companion Life Insurance Company
549300576JWB8808D393
N
Y
Maxim Group LLC
254900OJ6JZO6SDMHQ83
N
N
Dorn & Co., Inc.
41-0836886
N
N
Reliance Trust Company
549300NV8FSQRNOUQO50
N
Y
BB&T Securities, LLC
2549000IB2PRJ20M2Q93
N
N
Capital Institutional Services, Inc.
54930061X8RDWFDJIS05
N
N
Northwestern Mutual Investment Services, LLC
CYO86L8D7HTXW9SOZX28
N
N
Ameriprise Financial Services, Inc.
41-0973005
N
N
Nationwide Financial Services, Inc.
5493001H7AZNDS6BKJ36
N
Y
SG Americas Securities, LLC
549300F35UE0BOM1WJ55
N
N
USAA Investment Management Company
549300VSPLQ1XBNPD479
N
N
Scottrade, Inc.
86-0381976
N
N
W.R. Hambrecht + Co., LLC
94-3289837
N
N
Great Pacific Securities
254900QRZ90SUI8C4W84
N
N
Oscar Gruss & Son Incorporated
549300V78DH9XCK5UI63
N
N
John Hancock Life Insurance Company
04-1414660
N
Y
Robert W. Baird & Co. Incorporated
549300772UJAHRD6LO53
N
N
Trust Company of America
84-6179736
N
Y
J.P. Morgan Securities LLC
ZBUT11V806EZRVTWT807
N
N
Ross, Sinclaire & Associates, LLC
20-2461737
N
N
Principal Life Insurance Company
SDCMU2LVKGV2AF1KWP64
N
Y
Winslow, Evans & Crocker, Inc.
549300EVLXSCM40LO982
N
N
Buckman, Buckman & Reid, Inc.
254900D688L15B5HJB06
N
N
John Hancock Life Insurance Company of New York
5493007RYG4GXIKSQI18
N
Y
Charles Schwab Bank
549300INFJ8TYNZ1G568
N
Y
Genworth Life Insurance Company of New York
E5VAS7I8GX5B0SDBX010
N
Y
First Honolulu Securities, Inc.
99-0189153
N
N
Alight Solutions LLC
36-2235791
N
Y
TD Ameritrade Trust Company
20-0937408
N
N
Actinver Securities, Inc.
254900FT947VQZ1WHT28
N
N
GWFS Equities, Inc.
84-0965407
N
N
Fiduciary Trust Company International
N1YKEWO2IYPRS4742F57
N
N
City Securities Corporation
35-0230120
N
N
Benefit Trust Company
43-1971558
N
Y
Oppenheimer & Co. Inc.
254900VH02JQR2L8XD64
N
N
Janney Montgomery Scott LLC
549300QQRY1JCFQHYS08
N
N
Deutsche Bank Securities Inc.
529900CK34A0NLD3NN83
N
N
P. R. Herzig & Co. Inc.
13-2919194
N
N
D.A. Davidson & Co.
549300094RQ5A7DYLF51
N
N
Citigroup Global Markets Inc.
MBNUM2BPBDO7JBLYG310
N
N
USCA Securities LLC
254900GBMSP1Y45THR66
N
N
MBSC Securities Corporation
13-2603136
N
N
Davenport & Company LLC
254900GN2SAXJGLMS075
N
N
United of Omaha Life Insurance Company
3EGIZNNORU5LRN6W7742
N
Y
N
BlackRock Advisors, LLC
5493001LN9MRM6A35J74
Y
N
State Street Bank and Trust Company
571474TGEMMWANRLN572
N
Y
N
PNC Capital Markets, Inc.
008-32493
000015647
0000000000
0.00000000
PNC Investments LLC
8-66195
000129052
N/A
0.00000000
Trout Capital LLC
8-66474
000131489
N/A
0.00000000
Blackrock Execution Services
8-48719
000039438
549300HFCRQ0NT5KY652
0.00000000
Solebury Capital LLC
8-67548
000143299
5493000RFBRZED82XQ81
0.00000000
Harris Williams LLC
8-53380
000113930
N/A
0.00000000
BlackRock Investments, LLC
008-48436
000038642
0000000000
0.00000000
0.00000000
JPMorgan Chase & Co.
8-35008
000000079
8I5DZWZKVSZI1NUHU748
21023044.75000000
Pershing LLC
8-17574
000007560
ZI8Q1A8EI8LQFJNM0D94
52891965.87000000
Citigroup Inc.
8-08177
000007059
6SHGI4ZSSLCXXQSBB395
56805120.15000000
State Street Bank and Trust Company
N/A
000000000
571474TGEMMWANRLN572
577361970.10000000
Morgan Stanley & Co. LLC
8-15869
000008209
9R7GPTSO7KV3UQJZQ078
26722358.30000000
D.A. Davidson & Co.
8-02399
000000199
549300094RQ5A7DYLF51
28479111.65000000
Goldman Sachs & Co. LLC
8-00129
000000361
FOR8UP27PHTHYVLBNG30
37586522.20000000
Raymond James Financial, Inc.
8-17983
000006694
RGUZHJ05YTITL6D76949
24638635.10000000
Wells Fargo Securities, LLC
8-22947
000007665
VYVVCKR63DVZZN70PB21
41092415.05000000
Bank Of America Merrill Lynch Securities Inc
8-33359
000016139
0000000000
82009137.75000000
1018355824.47000000
N
814430655.85000000
N
BlackRock Short-Term Municipal Fund
S000002335
5493000K3K76K51JDR40
Y
6
0
0
N/A
N
N
Y
N
BlackRock Investment Management, LLC
5493006MRTEZZ4S4CQ20
Y
N
Cash collateral reinvestment fee
Revenue sharing split
Other
Rebates paid to borrowers
N/A
N/A
Rule 32a-4 (17 CFR 270.32a-4)
Rule 17a-6 (17 CFR 270.17a-6)
Rule 22d-1 (17 CFR 270.22d-1)
Rule 17e-1 (17 CFR 270.17e-1)
Rule 10f-3 (17 CFR 270.10f-3)
Rule 12d1-1 (17 CFR 270.12d1-1)
Rule 17a-7 (17 CFR 270.17a-7)
Y
Y
N
N
BlackRock Advisors, LLC
801-47710
000106614
5493001LN9MRM6A35J74
N
BNY Mellon Investment Servicing (US) Inc.
084-01761
549300CFZQLI9QMJ1Z03
N
N
N
Interactive Data Corporation
13-3668779
N
Standard & Poor's Financial Services LLC
549300U4VWNITEKO2881
N
N
State Street Bank and Trust Company
571474TGEMMWANRLN572
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Merrill Lynch, Pierce, Fenner & Smith Incorporated
8NAV47T0Y26Q87Y0QP81
N
Y
Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
N
Trust Company of America
84-6179736
N
Y
Principal Life Insurance Company
SDCMU2LVKGV2AF1KWP64
N
Y
Maxim Group LLC
254900OJ6JZO6SDMHQ83
N
N
BB&T Securities, LLC
2549000IB2PRJ20M2Q93
N
N
BNY Mellon Investment Servicing (US) Inc.
549300CFZQLI9QMJ1Z03
N
N
ING Financial Markets LLC
KBVRJ5K57JZ3E2AVWX40
N
N
Charles Schwab Bank
549300INFJ8TYNZ1G568
N
Y
Apex Clearing Corporation
5493000418CITRF5BO80
N
N
Nationwide Financial Services, Inc.
5493001H7AZNDS6BKJ36
N
Y
Northland Securities, Inc.
254900ZIK4MLVQAWLS15
N
N
Genworth Life Insurance Company of New York
E5VAS7I8GX5B0SDBX010
N
Y
USAA Investment Management Company
549300VSPLQ1XBNPD479
N
N
Stephens Inc.
213800LH6T9XDYZCA534
N
N
NBC Securities, Inc.
63-0923499
N
N
Northwestern Mutual Investment Services, LLC
CYO86L8D7HTXW9SOZX28
N
N
Duncan-Williams, Inc.
25490045VHLUZ7H92Y27
N
N
Waddell & Reed, Inc.
43-1235675
N
N
Ross, Sinclaire & Associates, LLC
20-2461737
N
N
Smith, Moore & Co.
43-1244128
N
N
Winslow, Evans & Crocker, Inc.
549300EVLXSCM40LO982
N
N
Voya Retirement Insurance and Annuity Company
OK3MKCDYPD4NN6QDGK18
N
Y
Actinver Securities, Inc.
254900FT947VQZ1WHT28
N
N
Deutsche Bank Securities Inc.
529900CK34A0NLD3NN83
N
N
StockCross Financial Services, Inc.
254900E1U348OMY1L886
N
N
J.P. Morgan Securities LLC
ZBUT11V806EZRVTWT807
N
N
USCA Securities LLC
254900GBMSP1Y45THR66
N
N
John Hancock Life Insurance Company of New York
5493007RYG4GXIKSQI18
N
Y
TIAA-CREF Tuition Financing, Inc.
13-4026557
N
Y
Companion Life Insurance Company
549300576JWB8808D393
N
Y
LPL Financial LLC
5493005NM7F0H1N3EQ39
N
Y
Wellington Shields & Co., LLC
26-3489406
N
N
Davenport & Company LLC
254900GN2SAXJGLMS075
N
N
Oscar Gruss & Son Incorporated
549300V78DH9XCK5UI63
N
N
First Honolulu Securities, Inc.
99-0189153
N
N
Capital Institutional Services, Inc.
54930061X8RDWFDJIS05
N
N
T. Rowe Price Investment Services, Inc.
52-1184650
N
N
Stifel, Nicolaus & Company, Incorporated
5WUVMA08EYG4KEUPW589
N
Y
TradeStation Securities, Inc.
549300T08P71XXBYLW62
N
N
John Hancock Life Insurance Company
04-1414660
N
Y
Dorn & Co., Inc.
41-0836886
N
N
American United Life Insurance Company
549300T82H2DXU80LV98
N
Y
Fidelity Brokerage Services LLC
549300OQFQ4NFIOD5695
N
Y
Scottrade, Inc.
86-0381976
N
N
Voya Institutional Plan Services, LLC
02-0488491
N
N
SunTrust Bank
IYDOJBGJWY9T8XKCSX06
N
N
Oppenheimer & Co. Inc.
254900VH02JQR2L8XD64
N
N
Great Pacific Securities
254900QRZ90SUI8C4W84
N
N
Signator Investors, Inc.
04-2442399
N
N
Buckman, Buckman & Reid, Inc.
254900D688L15B5HJB06
N
N
Alight Solutions LLC
36-2235791
N
Y
Janney Montgomery Scott LLC
549300QQRY1JCFQHYS08
N
N
P. R. Herzig & Co. Inc.
13-2919194
N
N
Coker & Palmer, Inc.
254900V1KTPDN88TDS68
N
N
Robert W. Baird & Co. Incorporated
549300772UJAHRD6LO53
N
N
SG Americas Securities, LLC
549300F35UE0BOM1WJ55
N
N
Bernard Herold & Co., Inc.
13-2707317
N
N
Genworth Life and Annuity Insurance Company
TAI340D9BWT9R77O0P03
N
N
Credit Suisse Securities (USA) LLC
1V8Y6QCX6YMJ2OELII46
N
N
Freimark Blair & Company, Inc.
254900KMG5B3QSG4Z252
N
N
Reliance Trust Company
549300NV8FSQRNOUQO50
N
Y
Wells Fargo Clearing Services, LLC
88KRVSOEKUGQZJ3DKW55
N
Y
First Manhattan Co.
549300NNJKVSO48I3G76
N
N
MBSC Securities Corporation
13-2603136
N
N
GWFS Equities, Inc.
84-0965407
N
N
Ameriprise Financial Services, Inc.
41-0973005
N
N
TD Ameritrade Trust Company
20-0937408
N
N
Piper Jaffray & Co.
549300GRQCWQ3XGH0H10
N
N
Fiduciary Trust Company International
N1YKEWO2IYPRS4742F57
N
N
Raymond James & Associates, Inc.
U4ONQX15J3RO8XCKE979
N
N
Detwiler Fenton & Co.
04-2473303
N
N
Cantella & Co., Inc.
254900Z33Q34HCFGHO19
N
N
Northern Trust Securities, Inc.
3CHSO99JSPHD9HGNYJ46
N
N
United of Omaha Life Insurance Company
3EGIZNNORU5LRN6W7742
N
Y
Mesirow Financial, Inc.
549300BIV46SUHPOFE54
N
N
Wedbush Securities Inc.
549300CSX55MXZ47EI78
N
N
TD Ameritrade, Inc.
CWQYQU0TV2NLMLZKNB44
N
Y
Moors & Cabot, Inc.
04-2644548
N
N
Morgan Stanley Smith Barney LLC
7PDDXEMZ0ZV0CEDU4D16
N
N
City Securities Corporation
35-0230120
N
N
Signature Securities Group Corporation
13-4120476
N
N
D.A. Davidson & Co.
549300094RQ5A7DYLF51
N
N
PNC Capital Markets LLC
7OGNSSLOQJ8U3B9Y5F18
Y
N
Citigroup Global Markets Inc.
MBNUM2BPBDO7JBLYG310
N
N
Benefit Trust Company
43-1971558
N
Y
W.R. Hambrecht + Co., LLC
94-3289837
N
N
N
State Street Bank and Trust Company
571474TGEMMWANRLN572
N
Y
BlackRock Advisors, LLC
5493001LN9MRM6A35J74
Y
N
N
Solebury Capital LLC
8-67548
000143299
5493000RFBRZED82XQ81
0.00000000
PNC Investments LLC
8-66195
000129052
N/A
0.00000000
PNC Capital Markets, Inc.
008-32493
000015647
0000000000
0.00000000
BlackRock Investments, LLC
008-48436
000038642
0000000000
0.00000000
BlackRock Execution Services
008-48719
000039438
0000000000
0.00000000
Harris Williams LLC
8-53380
000113930
N/A
0.00000000
Trout Capital LLC
8-66474
000131489
N/A
0.00000000
0.00000000
Citigroup Inc.
8-08177
000007059
6SHGI4ZSSLCXXQSBB395
74551321.30000000
National Financial Services Corp.
8-26740
000013041
0000000000
105225305.40000000
State Street Bank and Trust Company
N/A
000000000
571474TGEMMWANRLN572
180301011.10000000
Wells Fargo Securities, LLC
8-22947
000007665
VYVVCKR63DVZZN70PB21
259910457.50000000
Pershing LLC
8-17574
000007560
ZI8Q1A8EI8LQFJNM0D94
87361656.80000000
Jefferies LLC
8-15074
000002347
58PU97L1C0WSRCWADL48
82410714.15000000
Bank Of America Merrill Lynch Securities Inc
8-33359
000016139
0000000000
108603088.30000000
JPMorgan Chase & Co.
8-35008
000000079
8I5DZWZKVSZI1NUHU748
236074069.70000000
Mizuho Securities USA LLC
8-37710
000019647
7TK5RJIZDFROZCA6XF66
71135000.00000000
Morgan Stanley & Co. LLC
8-15869
000008209
9R7GPTSO7KV3UQJZQ078
155338388.90000000
1519981469.10000000
N
458930121.63000000
N
true
true
INTERNAL CONTROL RPT
2
Muni_4_IntCtrl.txt
REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM
To the Shareholders of BlackRock High Yield Municipal Fund, BlackRock National
Municipal Fund, BlackRock Short-Term Municipal Fund, BlackRock New York
Municipal Opportunities Fund and the Board of Directors Trustees of BlackRock
Municipal Bond Fund, Inc. and BlackRock Multi-State Municipal Series Trust
In planning and performing our audits of the financial statements of BlackRock
High Yield Municipal Fund, BlackRock National Municipal Fund, and BlackRock
Short-Term Municipal Fund of BlackRock Municipal Bond Fund, Inc. and BlackRock
New York Municipal Opportunities Fund of BlackRock Multi-State Municipal Series
Trust (the Funds), as of and for the year ended June 30, 2018, 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 for safeguarding securities, that we consider
to be a material weakness, as defined above, as of June 30, 2018.
This report is intended solely for the information and use of management and
the Board of Directors Trustees 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
Boston, Massachusetts
August 22, 2018
Information Classification: General
OTHER REQUIRED INFO
3
C13_06302018.txt
N-CEN Item C.13: Shareholder Servicing Agents
C.13.a.i. C.13.a.ii. C.13.a.iii. C.13.a.iv. C.13.a.v. C.13.a.vi. C.13.b.
Legal Entity Name LEI SEC FINRA State Fgn Country Affiliated? Sub- Agent?
Start/Effective Date Termination Date
1st Discount Brokerage, Inc. N/A 8-48557 39164 FL N N
1st Global Capital Corp. N/A 8-44870 30349 TX N N
Abacus International Capital Corp. N/A 8-46418 32119 NY N N
Abacus Investments, Inc. N/A 8-46571 35127 WI N N
ABD Retirement Services, Inc. N/A 8-69271 167641 CA N N
ACA/Prudent Investors Planning Corporation N/A 8-51899 47798 NJ N N
Access Financial Group, Inc. N/A 8-46065 33065 Il N N
Access Investments, Inc. N/A 8-49750 42202 OK N N
Ace Diversified Capital, Inc. N/A 8-49555 41768 CA N N
ACP Securities, LLC N/A 8-67185 139049 FL N N
Actinver Securities, Inc. N/A 8-49311 41139 TX N N
ADCAP Securities N/A 8-51285 46001 FL N N
ADP Broker-Dealer, Inc. N/A 8-47885 37693 NJ N Y
Advanced Advisor Group, LLC N/A 8-67313 140393 MN N N
Advisory Group Equity Services, Ltd. N/A 8-32155 15427 MA N N
Akar Capital Management, Inc. N/A 8-28026 10791 FL N N
Alerus Securities N/A 8-47152 35947 ND N N
Alexander Capital, L.P. N/A 8-48957 40077 NY N N
Alight Financial Solutions LLC N/A 8-47344 36509 IL N N
Alight Solutions LLC N/A 084-01996 N/A IL N Y
Allegheny Investments, Ltd. N/A 8-22183 7597 PA N N
Allegiance Capital, L.L.C. N/A 8-52978 105285 ME N N
Allegis Investment Services, LLC N/A 8-69318 168557 ID N N
Allen & Company of Florida, Inc. N/A Aug-77 25 FL N N
Allen C Ewing & Co. N/A 8-42393 26102 FL N N
Alliant Securities, Inc. Turner, Nord, Kienbaum N/A 8-23305 7726 WA N N
Allianz Life Financial Services, LLC N/A 8-13630 612 MN N N
Allstate Financial Services, LLC N/A 8-36365 18272 NE N N
Amegy Investments, Inc. (Zions) N/A 8-65399 120145 TX N N
America Northcoast Securities, Inc. N/A 8-33033 16076 OH N N 10/27/2017
American Capital Partners, LLC N/A 8-65165 119249 NY N N
American Century Investment Services, Inc. N/A 8-35220 17437 MO N N
American Enterprise Investment Services, Inc. N/A 8-42582 26506 MN N N
American Equity Investment Corporation N/A 8-49078 40199 IN N N
American Financial Associates, Inc. N/A 8-44065 29049 PA N N
American Financial Securities, Inc. N/A 8-53205 111856 IA N N
American Heritage Securities, Inc. N/A 8-44466 29678 OH N N
American Independent Securities Group, LLC N/A 8-66905 135288 ID N N
American Municipal Securities, Inc. N/A 8-25338 8365 FL N N
American Portfolios Financial Services, Inc. N/A 8-37085 18487 NY N N
American Trust Investment Services, Inc. N/A 8-14394 3001 IN N N
American United Life Insurance Company 549300T82H2DYU80LV98 N/A N/A IN N Y
Ameriprise Financial Services, Inc. N/A 8-16791 6363 MN N N
Ameritas Investment Corp. N/A 8-31296 14869 OH N N
Andbanc Brokerage, LLC N/A 8-68759 155979 FL N N 1/29/2018
Anovest Financial Services, Inc. N/A 8-66742 133593 GA N N
Aon Benfield Securities, Inc. N/A 8-14953 4138 IL N N
Apex Clearing Corporation N/A 8-23522 13071 TX N N
ARCA Capital Investments, Inc. N/A 8-53110 109819 FL N N
Arete Wealth Management, LLC N/A 8-50854 44856 IL N N
Arive Capital Markets N/A 8-43350 8060 MN N N
Arkadios Capital N/A 8-69729 282710 GA N N
Arlington Securities, Inc. N/A 8-38098 19596 MO N N
Arque Capital, Ltd. N/A 8-65390 121192 AZ N N
Arvest Investments, Inc. N/A 8-49677 42057 AR N N
Ascensus Broker Dealer Services, Inc. N/A 8-47312 36478 MA N Y
Ascensus Financial Services, LLC N/A 8-67891 147257 PA N N
Ascensus, Inc. 549300K5MHNFPEU2RK82 N/A N/A PA N Y
AssetMark Trust Company N/A N/A N/A AZ N N
Associated Investment Services, Inc. N/A Aug-99 1464 WI N N
Ausdal Financial Partners, Inc. N/A 8-24519 7995 IA N N
Avalon Investment & Securities Group, Inc. N/A 8-17078 6281 AL N N
Aventura Securities, LLC N/A 8-67458 142374 FL N N
Avisen Securities, Inc. N/A 8-65833 125977 CA N N
Avondale Partners, LLC N/A 8-51550 46838 TN N N
AxA Advisors, LLC N/A 8-17883 6627 NY N N
Axiom Capital Management, Inc. N/A 8-42638 26580 NY N N
B.B. Graham & Company, Inc. N/A 8-49477 41533 CA N N
B.C. Ziegler & Company N/A Aug-94 61 IL N N
BAC Florida Investments N/A 8-37483 19453 FL N N
Ballew Investments, Inc. N/A 8-45660 32028 MS N N
BancWest Investment Services, Inc. N/A 8-44261 29357 NE N N
Bankers & Investors Co N/A 8-21215 6874 KS N N 4/9/2018
Bankers Life Securities, Inc. N/A 8-69562 173962 IL N N
Bankoh Investment Services, Inc. N/A 8-44201 29280 HI N N
Barclays Capital Inc. N/A 8-41342 19714 NY N N
BB&T Investments N/A 8-46134 33856 NC N N 1/1/2018
BB&T Securities, LLC N/A 8-67486 142785 VA N N
BBVA Securities Inc. N/A 8-42857 27060 AL N N
BC Securities, Inc. (Somerset Securities, Inc. ) N/A 8-11539 2493 MA N N
BCG Securities, Inc. N/A 8-12680 70 NJ N N
Beaconsfield Financial Services, Inc. N/A 8-30993 14634 PA N N
Beard Financial Services, Inc. N/A 8-53374 113913 OH N N 10/27/2017
Benchmark Investments, Inc. N/A 8-52280 103792 AR N N
Benefit Plans Administrative Services, Inc. N/A N/A N/A NY N Y
Benefit Trust Company N/A N/A N/A KS N Y
Benjamin F. Edwards & Company, Inc. N/A 8-68023 146936 MO N N
Bernard Herold & Co., Inc. N/A 8-17005 6193 NY N N
Berthel, Fisher & Company Financial Services, Inc. N/A 8-29426 13609 IA N N
BestVest Investments, Ltd. N/A 8-49007 40302 PA N N
BFT Financial Group, LLC N/A 8-53487 109121 TX N N
Bill Few Securities, Inc. N/A 8-49625 41917 PA N N
Blakeslee and Blakeslee Inc. N/A 8-32071 8149 CA N N
Bley Investments Group, Inc. N/A 8-42701 26678 TX N N
BMO Harris Bank 3Y4U8VZURTYWI1W2K376 N/A N/A WI N N
BMO Harris Financial Advisors, Inc. N/A 8-67064 137115 IL N N
BNP Paribas Securities Corp N/A 8-40490 24962 NY N N
Bodell Overcash Anderson & Co., Inc. N/A 8-15775 5148 NY N N
Boenning & Scattergood, Inc. N/A 8-15543 100 PA N N
Bolton Global Capital N/A 8-33222 15650 MA N N
Bolton Securities Corp. N/A 8-68187 129376 MA N N
BOSC, Inc. N/A 8-35381 17530 OK N N
BPU Investment Management, Inc. N/A 8-34979 17058 PA N N
Brazos Securities, Inc. N/A 8-39119 21624 TX N N
Brighton Securities Corp. N/A 8-14599 3875 NY N N
Bristol Financial Services, Inc. N/A 8-67140 137988 NY N N
Broadridge Business Process Outsourcing, LLC N/A 8-53412 114212 CO N Y
Broker Dealer Financial Services Corp. N/A 8-24220 8073 IA N N
Brokers International Financial Services, LLC N/A 8-67239 139627 IA N N
Brooklight Place Securities, Inc. N/A 8-32673 15764 IL N N
BTG Pactual US Capital, LLC N/A 8-68148 149486 NY N N
BTS Securities Corporation N/A 8-26818 8328 MA N N
Buckman, Buckman & Reid, Inc. N/A 8-40413 23407 NJ N N
Buckram Securities LTD N/A 8-65939 126976 NY N N
C. R. Davis & Company N/A 8-859 1593 IL N N
Cabot Lodge Securities, LLC N/A 8-69009 159712 NY N N
Cadaret, Grant & Co., Inc. N/A 8-27844 10641 NY N N
Caldwell Securities, Inc. N/A 8-27639 10489 CA N N
Callaway Financial Services, Inc. N/A 8-52474 104003 TX N N
Calton & Associates, Inc. N/A 8-38635 20999 FL N N
Cambridge Investment Research, Inc. N/A 8-48740 39543 IA N N
Camden Financial Services N/A 8-37303 19925 CA N N
Cannon Securities, Inc. N/A 8-68437 152287 GA N N
Cantella & Co., Inc. N/A 8-23904 13905 MA N N
Cape Securities Inc. N/A 8-20747 7072 GA N N
CapFinancial Securities, LLC N/A 8-65870 126291 NC N N
Capital City Securities, LLC N/A 8-67771 146001 OH N N
Capital Financial Services, Inc. N/A 8-25203 8408 ND N N
Capital Guardian, LLC N/A 8-67133 137919 NC N N 10/27/2017
Capital Institutional Services, Inc. N/A 8-22273 7551 TX N N
Capital Investment Brokerage, Inc. N/A 8-49118 40657 NC N N
Capital Investment Group, Inc. N/A 8-31225 14752 NC N N
Capital Management Securities, Inc. N/A 8-27779 10579 MN N N
Capital One Investing LLC N/A 8-51160 45744 NY N N
Capital Portfolio Management, Inc. N/A 8-44225 29302 MD N N
Capital Synergy Partners, Inc. N/A 8-68060 148733 CA N N
Capitol Securities Management, Inc. N/A 8-30353 14169 VA N N
Cardinal Investments, Inc. N/A 8-47493 36838 IL N N
Carl M. Hennig, Inc. N/A 8-14509 140 WI N N
Carter, Terry & Company, Inc. N/A 8-33797 16365 GA N N
Carty & Company, Inc. N/A 8-19082 7001 TN N N
Cary Street Partners LLC N/A 8-66085 128089 VA N N
Cascade Financial Management, Inc. N/A 8-53730 119030 CO N N
Cascade Investment Group, Inc. N/A 8-46943 35844 CO N N
CBIZ Financial Solutions, Inc. N/A 8-34205 16678 OH N N
CCF Investments, Inc. N/A 8-67027 136571 GA N N 11/30/2017
Centaurus Financial, Inc. N/A 8-45185 30833 CA N N
Centennial Securities Company, LLC N/A 8-23406 7763 MI N N
Center Street Securities, Inc. N/A 8-42786 26898 TN N N
Century Securities Associates, Inc. N/A 8-43514 28218 MO N N
Ceros Financial Services, Inc. N/A 8-47955 37869 MD N N
Cetera Advisor Networks LLC N/A 8-29577 13572 CA N N
Cetera Advisors LLC N/A 8-26892 10299 CO N N
Cetera Financial Specialists LLC N/A 8-27082 10358 IL N N
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