|
Shareholder servicing agents Record:
1 |
i. Full name | Weller, Anderson & Co., Ltd. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-40685 |
Description of other identifying number | SEC # |
iii. State, if applicable |
TEXAS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
2 |
i. Full name | S.A. Stone Wealth Management |
ii. LEI, if any, or provide and describe
other
identifying number | 8-36638 |
Description of other identifying number | SEC # |
iii. State, if applicable |
ALABAMA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
3 |
i. Full name | Client One Securities LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-68494 |
Description of other identifying number | SEC # |
iii. State, if applicable |
KANSAS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
4 |
i. Full name | Univest Investments, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-14145 |
Description of other identifying number | SEC # |
iii. State, if applicable |
PENNSYLVANIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
5 |
i. Full name | Summit Brokerage Services, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-46310 |
Description of other identifying number | SEC # |
iii. State, if applicable |
FLORIDA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
6 |
i. Full name | SECU Brokerage Services |
ii. LEI, if any, or provide and describe
other
identifying number | 8-37927 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NORTH CAROLINA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
7 |
i. Full name | Triad Advisors, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-42007 |
Description of other identifying number | SEC # |
iii. State, if applicable |
GEORGIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
8 |
i. Full name | Lucia Securities, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-47643 |
Description of other identifying number | SEC # |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
9 |
i. Full name | InvestShares (Legal name: IMA Securities LLC) |
ii. LEI, if any, or provide and describe
other
identifying number | 8-68365 |
Description of other identifying number | SEC # |
iii. State, if applicable |
MICHIGAN
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
10 |
i. Full name | Smith, Moore & Co. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-27480 |
Description of other identifying number | SEC # |
iii. State, if applicable |
MISSOURI
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
11 |
i. Full name | Nationwide Financial Services, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 5493001H7AZNDS6BKJ36 |
Description of other identifying number | |
iii. State, if applicable |
OHIO
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
12 |
i. Full name | Santander Securities LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-49571 |
Description of other identifying number | SEC # |
iii. State, if applicable |
PUERTO RICO
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
13 |
i. Full name | RDM Investment Services, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-52728 |
Description of other identifying number | SEC # |
iii. State, if applicable |
CONNECTICUT
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
14 |
i. Full name | Slavic Investment Corporation |
ii. LEI, if any, or provide and describe
other
identifying number | 8-40024 |
Description of other identifying number | SEC # |
iii. State, if applicable |
FLORIDA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
15 |
i. Full name | N.I.S. Financial Services, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-15919 |
Description of other identifying number | SEC # |
iii. State, if applicable |
MISSOURI
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
16 |
i. Full name | Fidelity Investments Institutional Operations Company, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-35097 |
Description of other identifying number | SEC # |
iii. State, if applicable |
RHODE ISLAND
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
17 |
i. Full name | Securities Service Network, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-28980 |
Description of other identifying number | SEC # |
iii. State, if applicable |
TENNESSEE
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
18 |
i. Full name | Marsco Investment Corporation |
ii. LEI, if any, or provide and describe
other
identifying number | 8-36754 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NEW JERSEY
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
19 |
i. Full name | American Enterprise Investment Services, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-42582 |
Description of other identifying number | SEC # |
iii. State, if applicable |
MINNESOTA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
20 |
i. Full name | Lincoln Investment Planning, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-14354 |
Description of other identifying number | SEC # |
iii. State, if applicable |
PENNSYLVANIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
21 |
i. Full name | J.W. Cole Financial, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-65698 |
Description of other identifying number | SEC # |
iii. State, if applicable |
FLORIDA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
22 |
i. Full name | Liberty Group, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-52994 |
Description of other identifying number | SEC # |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
23 |
i. Full name | Saturna Brokerage Services, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-36558 |
Description of other identifying number | SEC # |
iii. State, if applicable |
WASHINGTON
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
24 |
i. Full name | ViewTrade Securities, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-51605 |
Description of other identifying number | SEC # |
iii. State, if applicable |
FLORIDA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
25 |
i. Full name | Intercontinental Asset Management Group, Ltd. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-39706 |
Description of other identifying number | SEC # |
iii. State, if applicable |
TEXAS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
26 |
i. Full name | Folger Nolan Fleming Douglas Incorporated |
ii. LEI, if any, or provide and describe
other
identifying number | 8-03335 |
Description of other identifying number | SEC # |
iii. State, if applicable |
DISTRICT OF COLUMBIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
27 |
i. Full name | TransAm Securities, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-37065 |
Description of other identifying number | SEC # |
iii. State, if applicable |
FLORIDA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
28 |
i. Full name | Wells Fargo Clearing Services, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-37180 |
Description of other identifying number | SEC # |
iii. State, if applicable |
MISSOURI
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
29 |
i. Full name | TCM Securities, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-50313 |
Description of other identifying number | SEC # |
iii. State, if applicable |
GEORGIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
30 |
i. Full name | Gregory J. Schwartz & Co., Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-20955 |
Description of other identifying number | SEC # |
iii. State, if applicable |
MICHIGAN
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
31 |
i. Full name | Callaway Financial Services, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-52474 |
Description of other identifying number | SEC # |
iii. State, if applicable |
TEXAS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
32 |
i. Full name | RNR Securities, L.L.C. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-50366 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
33 |
i. Full name | World Capital Brokerage, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-06805 |
Description of other identifying number | SEC # |
iii. State, if applicable |
COLORADO
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
34 |
i. Full name | Digital Retirement Solutions, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | N/A |
Description of other identifying number | |
iii. State, if applicable |
COLORADO
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
35 |
i. Full name | Financial Planning Consultants, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-25384 |
Description of other identifying number | SEC # |
iii. State, if applicable |
MISSOURI
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
36 |
i. Full name | Lantern Investments, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-45285 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
37 |
i. Full name | Mora WM Securities, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-68910 |
Description of other identifying number | SEC # |
iii. State, if applicable |
FLORIDA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
38 |
i. Full name | First Republic Securities Company, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-52973 |
Description of other identifying number | SEC # |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
39 |
i. Full name | Citizens Securities, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-48744 |
Description of other identifying number | SEC # |
iii. State, if applicable |
MASSACHUSETTS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
40 |
i. Full name | R.M. Stark & Co., Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-22543 |
Description of other identifying number | SEC # |
iii. State, if applicable |
FLORIDA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
41 |
i. Full name | William C. Burnside & Company, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-21242 |
Description of other identifying number | SEC # |
iii. State, if applicable |
ILLINOIS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
42 |
i. Full name | ADCAP Securities |
ii. LEI, if any, or provide and describe
other
identifying number | 8-51285 |
Description of other identifying number | SEC # |
iii. State, if applicable |
FLORIDA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
43 |
i. Full name | Voya Retirement Insurance and Annuity Company |
ii. LEI, if any, or provide and describe
other
identifying number | OK3MKCDYPD4NN6QDGK18 |
Description of other identifying number | |
iii. State, if applicable |
CONNECTICUT
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
44 |
i. Full name | Kovitz Securities, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-66267 |
Description of other identifying number | SEC # |
iii. State, if applicable |
ILLINOIS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
45 |
i. Full name | Companion Life Insurance Company |
ii. LEI, if any, or provide and describe
other
identifying number | 549300576JWB8808D393 |
Description of other identifying number | |
iii. State, if applicable |
SOUTH CAROLINA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
46 |
i. Full name | First Heartland Capital, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-46008 |
Description of other identifying number | SEC # |
iii. State, if applicable |
MISSOURI
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
47 |
i. Full name | Thurston, Springer, Miller, Herd & Titak, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-25452 |
Description of other identifying number | SEC # |
iii. State, if applicable |
INDIANA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
48 |
i. Full name | Stannard Financial Services, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-50654 |
Description of other identifying number | SEC # |
iii. State, if applicable |
MINNESOTA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
49 |
i. Full name | FCG Advisors, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-49104 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NEW JERSEY
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
50 |
i. Full name | Oscar Gruss & Son Incorporated |
ii. LEI, if any, or provide and describe
other
identifying number | 8-22371 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
51 |
i. Full name | Mutual Funds Associates, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-13026 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
52 |
i. Full name | Arlington Securities, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-38098 |
Description of other identifying number | SEC # |
iii. State, if applicable |
MISSOURI
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
53 |
i. Full name | Cetera Advisor Networks LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-29577 |
Description of other identifying number | SEC # |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
54 |
i. Full name | BC Securities, Inc. (Somerset Securities, Inc. ) |
ii. LEI, if any, or provide and describe
other
identifying number | 8-11539 |
Description of other identifying number | SEC # |
iii. State, if applicable |
MASSACHUSETTS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
55 |
i. Full name | The Leaders Group, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-47639 |
Description of other identifying number | SEC # |
iii. State, if applicable |
COLORADO
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
56 |
i. Full name | Moloney Securities Co., Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-48326 |
Description of other identifying number | SEC # |
iii. State, if applicable |
MISSOURI
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
57 |
i. Full name | GFA Securities |
ii. LEI, if any, or provide and describe
other
identifying number | 8-66154 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
58 |
i. Full name | John Hancock Life Insurance Company |
ii. LEI, if any, or provide and describe
other
identifying number | QQ0OZ8J9C4B5QT1XDG31 |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable |
CANADA (FEDERAL LEVEL)
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
59 |
i. Full name | Raymond James Financial Services, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-17983 |
Description of other identifying number | SEC # |
iii. State, if applicable |
FLORIDA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
60 |
i. Full name | Massachusetts Mutual Life Insurance Company |
ii. LEI, if any, or provide and describe
other
identifying number | R6ZXK5P01NP6HXSY1S07 |
Description of other identifying number | |
iii. State, if applicable |
MASSACHUSETTS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
61 |
i. Full name | Farmers Financial Solutions, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-52361 |
Description of other identifying number | SEC # |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
62 |
i. Full name | K. W. Chambers & CO. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-10533 |
Description of other identifying number | SEC # |
iii. State, if applicable |
MISSOURI
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
63 |
i. Full name | PFS Investments Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-26486 |
Description of other identifying number | SEC # |
iii. State, if applicable |
GEORGIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
64 |
i. Full name | Uhlmann Price Securities, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-50041 |
Description of other identifying number | SEC # |
iii. State, if applicable |
ILLINOIS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
65 |
i. Full name | Girard Securities |
ii. LEI, if any, or provide and describe
other
identifying number | 8-36920 |
Description of other identifying number | SEC # |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
66 |
i. Full name | Westco Investment Corp. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-38452 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
67 |
i. Full name | Gill Capital Partners, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-30563 |
Description of other identifying number | SEC # |
iii. State, if applicable |
COLORADO
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
68 |
i. Full name | Southeast Investments, N.C., Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-50127 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NORTH CAROLINA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
69 |
i. Full name | PWA Securities, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-67700 |
Description of other identifying number | SEC # |
iii. State, if applicable |
PENNSYLVANIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
70 |
i. Full name | MHA Financial Corp. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-21836 |
Description of other identifying number | SEC # |
iii. State, if applicable |
MASSACHUSETTS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
71 |
i. Full name | Investors Brokerage of Texas, Ltd. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-28644 |
Description of other identifying number | SEC # |
iii. State, if applicable |
TEXAS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
72 |
i. Full name | Fidelity Brokerage Services LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-23292 |
Description of other identifying number | SEC # |
iii. State, if applicable |
RHODE ISLAND
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
73 |
i. Full name | Moors & Cabot, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-23060 |
Description of other identifying number | SEC # |
iii. State, if applicable |
MASSACHUSETTS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
74 |
i. Full name | PNC Capital Markets LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-32493 |
Description of other identifying number | SEC # |
iii. State, if applicable |
PENNSYLVANIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
75 |
i. Full name | Watermark Securities, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-43902 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
76 |
i. Full name | Alexander Capital, L.P. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-48957 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
77 |
i. Full name | TIAA-CREF Individual & Institutional Services, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-44454 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
78 |
i. Full name | BTS Securities Corporation |
ii. LEI, if any, or provide and describe
other
identifying number | 8-26818 |
Description of other identifying number | SEC # |
iii. State, if applicable |
MASSACHUSETTS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
79 |
i. Full name | Westport Resources Investment Services, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-40904 |
Description of other identifying number | SEC # |
iii. State, if applicable |
CONNECTICUT
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
80 |
i. Full name | Capital Institutional Services, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-22273 |
Description of other identifying number | SEC # |
iii. State, if applicable |
TEXAS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
81 |
i. Full name | Signal Securities, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-32948 |
Description of other identifying number | SEC # |
iii. State, if applicable |
TEXAS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
82 |
i. Full name | Spencer Trask Ventures, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-43665 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
83 |
i. Full name | LaBrunerie Financial Services, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-47830 |
Description of other identifying number | SEC # |
iii. State, if applicable |
MISSOURI
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
84 |
i. Full name | Keel Point Capital, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-22990 |
Description of other identifying number | SEC # |
iii. State, if applicable |
ALABAMA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
85 |
i. Full name | Stifel, Nicolaus & Company, Incorporated |
ii. LEI, if any, or provide and describe
other
identifying number | 8-01447 |
Description of other identifying number | SEC # |
iii. State, if applicable |
MISSOURI
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
86 |
i. Full name | TD Ameritrade Trust Company |
ii. LEI, if any, or provide and describe
other
identifying number | 028-15163 |
Description of other identifying number | SEC # |
iii. State, if applicable |
COLORADO
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
87 |
i. Full name | JHW Financial Services Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-45304 |
Description of other identifying number | SEC # |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
88 |
i. Full name | National Planning Corp. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-44435 |
Description of other identifying number | SEC # |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
89 |
i. Full name | Fiduciary Trust International |
ii. LEI, if any, or provide and describe
other
identifying number | N1YKEWO2IYPRS4742F57 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
90 |
i. Full name | Michigan Securities, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-52094 |
Description of other identifying number | SEC # |
iii. State, if applicable |
MICHIGAN
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
91 |
i. Full name | Coordinated Capital Securities, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-31173 |
Description of other identifying number | SEC # |
iii. State, if applicable |
WISCONSIN
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
92 |
i. Full name | Spire Securities, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-67635 |
Description of other identifying number | SEC # |
iii. State, if applicable |
VIRGINIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
93 |
i. Full name | Alight Financial Solutions LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-47344 |
Description of other identifying number | SEC # |
iii. State, if applicable |
ILLINOIS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
94 |
i. Full name | FNBB Capital Markets, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-66553 |
Description of other identifying number | SEC # |
iii. State, if applicable |
ALABAMA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
95 |
i. Full name | G.F. Investment Services, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-66659 |
Description of other identifying number | SEC # |
iii. State, if applicable |
FLORIDA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
96 |
i. Full name | Freimark Blair & Company, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-28646 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NEW JERSEY
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
97 |
i. Full name | Lexington Investment Company, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-43085 |
Description of other identifying number | SEC # |
iii. State, if applicable |
KENTUCKY
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
98 |
i. Full name | FMSBonds, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-23280 |
Description of other identifying number | SEC # |
iii. State, if applicable |
FLORIDA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
99 |
i. Full name | Infinity Securities, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-67647 |
Description of other identifying number | SEC # |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
100 |
i. Full name | Janney Montgomery Scott LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-00462 |
Description of other identifying number | SEC # |
iii. State, if applicable |
PENNSYLVANIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
101 |
i. Full name | T. Rowe Price Investment Services, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-25130 |
Description of other identifying number | SEC # |
iii. State, if applicable |
MARYLAND
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
102 |
i. Full name | ING Financial Markets LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-43978 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
103 |
i. Full name | Coker & Palmer, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-44129 |
Description of other identifying number | SEC # |
iii. State, if applicable |
MISSISSIPPI
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
104 |
i. Full name | Mercer HR Services, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | N/A |
Description of other identifying number | |
iii. State, if applicable |
MASSACHUSETTS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
105 |
i. Full name | Broker Dealer Financial Services Corp. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-24220 |
Description of other identifying number | SEC # |
iii. State, if applicable |
IOWA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
106 |
i. Full name | CUNA Brokerage Services, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-30027 |
Description of other identifying number | SEC # |
iii. State, if applicable |
IOWA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
107 |
i. Full name | Thoroughbred Financial Services, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-51944 |
Description of other identifying number | SEC # |
iii. State, if applicable |
TENNESSEE
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
108 |
i. Full name | Waddell & Reed, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-27030 |
Description of other identifying number | SEC # |
iii. State, if applicable |
KANSAS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
109 |
i. Full name | Variable Investment Advisors, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-50699 |
Description of other identifying number | SEC # |
iii. State, if applicable |
SOUTH DAKOTA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
110 |
i. Full name | First Command Financial Planning, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-07072 |
Description of other identifying number | SEC # |
iii. State, if applicable |
TEXAS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
111 |
i. Full name | Avalon Investment & Securities Group, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-17078 |
Description of other identifying number | SEC # |
iii. State, if applicable |
ALABAMA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
112 |
i. Full name | Money Concepts Capital Corp. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-29671 |
Description of other identifying number | SEC # |
iii. State, if applicable |
FLORIDA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
113 |
i. Full name | First Financial Securities of America, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-29565 |
Description of other identifying number | SEC # |
iii. State, if applicable |
TEXAS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
114 |
i. Full name | CSSC Brokerage Services, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-67401 |
Description of other identifying number | SEC # |
iii. State, if applicable |
MICHIGAN
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
115 |
i. Full name | Harbour Investments, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-37373 |
Description of other identifying number | SEC # |
iii. State, if applicable |
WISCONSIN
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
116 |
i. Full name | Davinci Capital Management Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-51580 |
Description of other identifying number | SEC # |
iii. State, if applicable |
MASSACHUSETTS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
117 |
i. Full name | Brooklight Place Securities, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-32673 |
Description of other identifying number | SEC # |
iii. State, if applicable |
ILLINOIS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
118 |
i. Full name | Investment Planners, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-35642 |
Description of other identifying number | SEC # |
iii. State, if applicable |
ILLINOIS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
119 |
i. Full name | Place Trade Financial, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-65915 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NORTH CAROLINA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
120 |
i. Full name | WFG Investments, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-39928 |
Description of other identifying number | SEC # |
iii. State, if applicable |
TEXAS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
121 |
i. Full name | Omega Securities, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-20225 |
Description of other identifying number | SEC # |
iii. State, if applicable |
TEXAS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
122 |
i. Full name | J. Alden Associates, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-48938 |
Description of other identifying number | SEC # |
iii. State, if applicable |
PENNSYLVANIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
123 |
i. Full name | Financial Services International Corp. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-48032 |
Description of other identifying number | SEC # |
iii. State, if applicable |
WASHINGTON
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
124 |
i. Full name | Herbert J. Sims & Co. Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-03315 |
Description of other identifying number | SEC # |
iii. State, if applicable |
CONNECTICUT
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
125 |
i. Full name | Bley Investments Group, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-42701 |
Description of other identifying number | SEC # |
iii. State, if applicable |
TEXAS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
126 |
i. Full name | Center Street Securities, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-42786 |
Description of other identifying number | SEC # |
iii. State, if applicable |
TENNESSEE
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
127 |
i. Full name | Kestra Investment Services, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-49672 |
Description of other identifying number | SEC # |
iii. State, if applicable |
TEXAS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
128 |
i. Full name | Quest Capital Strategies, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-34532 |
Description of other identifying number | SEC # |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
129 |
i. Full name | Shareholders Service Group, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-65778 |
Description of other identifying number | SEC # |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
130 |
i. Full name | Bristol Financial Services, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-67140 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
131 |
i. Full name | First Financial Equity Corporation |
ii. LEI, if any, or provide and describe
other
identifying number | 8-34082 |
Description of other identifying number | SEC # |
iii. State, if applicable |
ARIZONA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
132 |
i. Full name | N.E. Private Client Advisors, Ltd. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-66968 |
Description of other identifying number | SEC # |
iii. State, if applicable |
RHODE ISLAND
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
133 |
i. Full name | Commerce Brokerage Services, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-35096 |
Description of other identifying number | SEC # |
iii. State, if applicable |
MISSOURI
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
134 |
i. Full name | Crews & Associates, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-24075 |
Description of other identifying number | SEC # |
iii. State, if applicable |
ARKANSAS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
135 |
i. Full name | Cascade Investment Group, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-46943 |
Description of other identifying number | SEC # |
iii. State, if applicable |
COLORADO
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
136 |
i. Full name | Hancock Bank Corporation |
ii. LEI, if any, or provide and describe
other
identifying number | 549300GRNBWY8HIICT41 |
Description of other identifying number | |
iii. State, if applicable |
LOUISIANA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
137 |
i. Full name | CapFinancial Securities, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-65870 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NORTH CAROLINA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
138 |
i. Full name | FSB Warner Financial, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-44865 |
Description of other identifying number | SEC # |
iii. State, if applicable |
IOWA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
139 |
i. Full name | American Equity Investment Corporation |
ii. LEI, if any, or provide and describe
other
identifying number | 8-49078 |
Description of other identifying number | SEC # |
iii. State, if applicable |
INDIANA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
140 |
i. Full name | Independent Financial Group, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-22870 |
Description of other identifying number | SEC # |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
141 |
i. Full name | RJJ Pasadena Securities, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-25324 |
Description of other identifying number | SEC # |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
142 |
i. Full name | Scottrade, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-24760 |
Description of other identifying number | SEC # |
iii. State, if applicable |
MISSOURI
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
143 |
i. Full name | Bolton Securities Corp. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-68187 |
Description of other identifying number | SEC # |
iii. State, if applicable |
MASSACHUSETTS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
144 |
i. Full name | First Honolulu Securities, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-23919 |
Description of other identifying number | SEC # |
iii. State, if applicable |
HAWAII
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
145 |
i. Full name | Diversified Resources, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-45497 |
Description of other identifying number | SEC # |
iii. State, if applicable |
RHODE ISLAND
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
146 |
i. Full name | Allen C Ewing & Co. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-42393 |
Description of other identifying number | SEC # |
iii. State, if applicable |
FLORIDA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
147 |
i. Full name | Petersen Investments, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-48306 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NEW JERSEY
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
148 |
i. Full name | Merrill Lynch, Pierce, Fenner & Smith Incorporated |
ii. LEI, if any, or provide and describe
other
identifying number | 8-07221 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
149 |
i. Full name | Wesbanco Securities, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-50220 |
Description of other identifying number | SEC # |
iii. State, if applicable |
OHIO
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
150 |
i. Full name | Primerica Shareholder Services, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 084-01499 |
Description of other identifying number | SEC # |
iii. State, if applicable |
GEORGIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
151 |
i. Full name | Sycamore Financial Group |
ii. LEI, if any, or provide and describe
other
identifying number | 8-30302 |
Description of other identifying number | SEC # |
iii. State, if applicable |
INDIANA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
152 |
i. Full name | Securian Financial Services, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-31955 |
Description of other identifying number | SEC # |
iii. State, if applicable |
MINNESOTA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
153 |
i. Full name | Roberts & Ryan Investments Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-37469 |
Description of other identifying number | SEC # |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
154 |
i. Full name | Woodlands Securities Corporation |
ii. LEI, if any, or provide and describe
other
identifying number | 8-39700 |
Description of other identifying number | SEC # |
iii. State, if applicable |
TEXAS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
155 |
i. Full name | Harvest Financial Corporation |
ii. LEI, if any, or provide and describe
other
identifying number | 8-26037 |
Description of other identifying number | SEC # |
iii. State, if applicable |
PENNSYLVANIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
156 |
i. Full name | Benjamin F. Edwards & Company, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-68023 |
Description of other identifying number | SEC # |
iii. State, if applicable |
MISSOURI
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
157 |
i. Full name | Excel Securities & Associates, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-34261 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
158 |
i. Full name | SagePoint Financial, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-66771 |
Description of other identifying number | SEC # |
iii. State, if applicable |
ARIZONA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
159 |
i. Full name | Guardian Insurance & Annuity Company, Inc., The |
ii. LEI, if any, or provide and describe
other
identifying number | TGIU5N0SIMULU6I57R64 |
Description of other identifying number | |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
160 |
i. Full name | Queens Road Securities, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-52737 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NORTH CAROLINA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
161 |
i. Full name | Key Investment Services LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-66999 |
Description of other identifying number | SEC # |
iii. State, if applicable |
OHIO
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
162 |
i. Full name | VALIC Retirement Services Company |
ii. LEI, if any, or provide and describe
other
identifying number | 84-06057 |
Description of other identifying number | SEC # |
iii. State, if applicable |
TEXAS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
163 |
i. Full name | Trustmont Financial Group, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-36439 |
Description of other identifying number | SEC # |
iii. State, if applicable |
PENNSYLVANIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
164 |
i. Full name | LaSalle St. Securities, L.L.C. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-18860 |
Description of other identifying number | SEC # |
iii. State, if applicable |
ILLINOIS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
165 |
i. Full name | Saxony Securities, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-53490 |
Description of other identifying number | SEC # |
iii. State, if applicable |
MISSOURI
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
166 |
i. Full name | Old National Trust Company |
ii. LEI, if any, or provide and describe
other
identifying number | 028-00344 |
Description of other identifying number | SEC # |
iii. State, if applicable |
INDIANA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
167 |
i. Full name | Capital Guardian, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-67133 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NORTH CAROLINA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
168 |
i. Full name | PTI Securities & Futures L.P. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-44412 |
Description of other identifying number | SEC # |
iii. State, if applicable |
ILLINOIS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
169 |
i. Full name | Vaughan & Co Securities, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-36916 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NEW JERSEY
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
170 |
i. Full name | Coburn & Meredith, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-02474 |
Description of other identifying number | SEC # |
iii. State, if applicable |
CONNECTICUT
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
171 |
i. Full name | Wunderlich Securities, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-31206 |
Description of other identifying number | SEC # |
iii. State, if applicable |
TENNESSEE
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
172 |
i. Full name | National Financial Services, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-26740 |
Description of other identifying number | SEC # |
iii. State, if applicable |
MASSACHUSETTS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
173 |
i. Full name | BancWest Investment Services, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-44261 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NEBRASKA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
174 |
i. Full name | Essex Securities LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-51472 |
Description of other identifying number | SEC # |
iii. State, if applicable |
MASSACHUSETTS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
175 |
i. Full name | BB&T Securities, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-67486 |
Description of other identifying number | SEC # |
iii. State, if applicable |
VIRGINIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
176 |
i. Full name | Inverness Securities, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-66278 |
Description of other identifying number | SEC # |
iii. State, if applicable |
OHIO
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
177 |
i. Full name | TRG Advisors, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-50449 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
178 |
i. Full name | MGO Securities Corp. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-47814 |
Description of other identifying number | SEC # |
iii. State, if applicable |
OHIO
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
179 |
i. Full name | Coastal Equities, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-40822 |
Description of other identifying number | SEC # |
iii. State, if applicable |
OHIO
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
180 |
i. Full name | Infinex Investments, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-46661 |
Description of other identifying number | SEC # |
iii. State, if applicable |
CONNECTICUT
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
181 |
i. Full name | Dorsey & Company, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-07541 |
Description of other identifying number | SEC # |
iii. State, if applicable |
LOUISIANA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
182 |
i. Full name | T.R. Winston & Company, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-27519 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NEW JERSEY
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
183 |
i. Full name | Global Brokerage Services, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-47763 |
Description of other identifying number | SEC # |
iii. State, if applicable |
MARYLAND
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
184 |
i. Full name | First Asset Financial, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-67191 |
Description of other identifying number | SEC # |
iii. State, if applicable |
KANSAS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
185 |
i. Full name | The Windmill Group, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-25280 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
186 |
i. Full name | BMO Harris Bank |
ii. LEI, if any, or provide and describe
other
identifying number | 3Y4U8VZURTYWI1W2K376 |
Description of other identifying number | |
iii. State, if applicable |
WISCONSIN
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
187 |
i. Full name | Regal Securities, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-21765 |
Description of other identifying number | SEC # |
iii. State, if applicable |
ILLINOIS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
188 |
i. Full name | MBSC Securities Corporation |
ii. LEI, if any, or provide and describe
other
identifying number | 8-13801 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
189 |
i. Full name | Hazlett, Burt & Watson, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-17737 |
Description of other identifying number | SEC # |
iii. State, if applicable |
WEST VIRGINIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
190 |
i. Full name | Signator Investors, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-13995 |
Description of other identifying number | SEC # |
iii. State, if applicable |
MASSACHUSETTS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
191 |
i. Full name | G.L.S. & Associates, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-51808 |
Description of other identifying number | SEC # |
iii. State, if applicable |
ALABAMA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
192 |
i. Full name | Benchmark Investments, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-52280 |
Description of other identifying number | SEC # |
iii. State, if applicable |
ARKANSAS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
193 |
i. Full name | Loria Financial Group, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-52128 |
Description of other identifying number | SEC # |
iii. State, if applicable |
ILLINOIS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
194 |
i. Full name | BOSC, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-35381 |
Description of other identifying number | SEC # |
iii. State, if applicable |
OKLAHOMA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
195 |
i. Full name | Chauner Securities, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-33980 |
Description of other identifying number | SEC # |
iii. State, if applicable |
ILLINOIS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
196 |
i. Full name | Beaconsfield Financial Services, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-30993 |
Description of other identifying number | SEC # |
iii. State, if applicable |
PENNSYLVANIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
197 |
i. Full name | Questar Capital Corporation |
ii. LEI, if any, or provide and describe
other
identifying number | 8-50174 |
Description of other identifying number | SEC # |
iii. State, if applicable |
MINNESOTA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
198 |
i. Full name | J.P. Morgan Securities LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-35008 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
199 |
i. Full name | Parkland Securities, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-53482 |
Description of other identifying number | SEC # |
iii. State, if applicable |
MICHIGAN
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
200 |
i. Full name | International Assets Advisory, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-27736 |
Description of other identifying number | SEC # |
iii. State, if applicable |
FLORIDA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
201 |
i. Full name | FinTrust Brokerage Services, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-49514 |
Description of other identifying number | SEC # |
iii. State, if applicable |
SOUTH CAROLINA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
202 |
i. Full name | Gerwin Group, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-40282 |
Description of other identifying number | SEC # |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
203 |
i. Full name | The Lawrence D. Vitez Corp. DBA Consolidated Securities |
ii. LEI, if any, or provide and describe
other
identifying number | 8-48642 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NORTH CAROLINA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
204 |
i. Full name | Berthel, Fisher & Company Financial Services, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-29426 |
Description of other identifying number | SEC # |
iii. State, if applicable |
IOWA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
205 |
i. Full name | E. E. Powell & Company Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-01893 |
Description of other identifying number | SEC # |
iii. State, if applicable |
PENNSYLVANIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
206 |
i. Full name | McDonald Partners LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-66985 |
Description of other identifying number | SEC # |
iii. State, if applicable |
OHIO
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
207 |
i. Full name | Wood (Arthur W.) Company, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-03368 |
Description of other identifying number | SEC # |
iii. State, if applicable |
MASSACHUSETTS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
208 |
i. Full name | Northland Securities, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-48994 |
Description of other identifying number | SEC # |
iii. State, if applicable |
MINNESOTA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
209 |
i. Full name | Mountain River Securities, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-47565 |
Description of other identifying number | SEC # |
iii. State, if applicable |
COLORADO
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
210 |
i. Full name | VALIC Financial Advisors, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-50018 |
Description of other identifying number | SEC # |
iii. State, if applicable |
TEXAS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
211 |
i. Full name | PNC Bank, N.A. |
ii. LEI, if any, or provide and describe
other
identifying number | AD6GFRVSDT01YPT1CS68 |
Description of other identifying number | |
iii. State, if applicable |
PENNSYLVANIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
212 |
i. Full name | Gradient Securities, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-66032 |
Description of other identifying number | SEC # |
iii. State, if applicable |
MINNESOTA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
213 |
i. Full name | Planmember Securities Corporation |
ii. LEI, if any, or provide and describe
other
identifying number | 8-25065 |
Description of other identifying number | SEC # |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
214 |
i. Full name | Carl M. Hennig, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-14509 |
Description of other identifying number | SEC # |
iii. State, if applicable |
WISCONSIN
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
215 |
i. Full name | MMC Securities Corp. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-52349 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
216 |
i. Full name | Regions Bank |
ii. LEI, if any, or provide and describe
other
identifying number | EQTWLK1G7ODGC2MGLV11 |
Description of other identifying number | |
iii. State, if applicable |
ALABAMA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
217 |
i. Full name | BCG Securities, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-12680 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NEW JERSEY
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
218 |
i. Full name | Smith, Brown & Groover, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-13079 |
Description of other identifying number | SEC # |
iii. State, if applicable |
GEORGIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
219 |
i. Full name | Charles Schwab & Co., Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-16514 |
Description of other identifying number | SEC # |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
220 |
i. Full name | Duncan-Williams, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-18971 |
Description of other identifying number | SEC # |
iii. State, if applicable |
TENNESSEE
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
221 |
i. Full name | Halliday Financial, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-45529 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
222 |
i. Full name | Proequities, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-32590 |
Description of other identifying number | SEC # |
iii. State, if applicable |
ALABAMA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
223 |
i. Full name | Corinthian Partners, L.L.C. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-48461 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
224 |
i. Full name | Rogan & Associates, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-49995 |
Description of other identifying number | SEC # |
iii. State, if applicable |
FLORIDA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
225 |
i. Full name | TIAA-CREF Tuition Financing, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 801-56817 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
226 |
i. Full name | USA Financial Securities Corporation |
ii. LEI, if any, or provide and describe
other
identifying number | 8-52342 |
Description of other identifying number | SEC # |
iii. State, if applicable |
MICHIGAN
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
227 |
i. Full name | Cary Street Partners LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-66085 |
Description of other identifying number | SEC # |
iii. State, if applicable |
VIRGINIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
228 |
i. Full name | Tocqueville Securities L.P. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-42223 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
229 |
i. Full name | FolioFN Investments, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-52009 |
Description of other identifying number | SEC # |
iii. State, if applicable |
VIRGINIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
230 |
i. Full name | Multiple Financial Services, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-52017 |
Description of other identifying number | SEC # |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
231 |
i. Full name | Dinosaur Securities, L.L.C. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-52908 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
232 |
i. Full name | RBC Capital Markets, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-45411 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
233 |
i. Full name | TrustFirst, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-48509 |
Description of other identifying number | SEC # |
iii. State, if applicable |
TENNESSEE
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
234 |
i. Full name | Landolt Securities, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-43645 |
Description of other identifying number | SEC # |
iii. State, if applicable |
WISCONSIN
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
235 |
i. Full name | Thompson Davis & Co., Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-49386 |
Description of other identifying number | SEC # |
iii. State, if applicable |
VIRGINIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
236 |
i. Full name | Woodbury Financial Services, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-13846 |
Description of other identifying number | SEC # |
iii. State, if applicable |
MINNESOTA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
237 |
i. Full name | TimeCapital Securities Corporation |
ii. LEI, if any, or provide and describe
other
identifying number | 8-18248 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
238 |
i. Full name | Lincoln Financial Distributors, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-13431 |
Description of other identifying number | SEC # |
iii. State, if applicable |
PENNSYLVANIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
239 |
i. Full name | Dorn & Co., Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-08707 |
Description of other identifying number | SEC # |
iii. State, if applicable |
MINNESOTA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
240 |
i. Full name | SKA Securities, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-53366 |
Description of other identifying number | SEC # |
iii. State, if applicable |
OHIO
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
241 |
i. Full name | Citizens Bank |
ii. LEI, if any, or provide and describe
other
identifying number | DRMSV1Q0EKMEXLAU1P80 |
Description of other identifying number | |
iii. State, if applicable |
RHODE ISLAND
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
242 |
i. Full name | Abacus International Capital Corp. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-46418 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
243 |
i. Full name | UMB Financial Services, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-34999 |
Description of other identifying number | SEC # |
iii. State, if applicable |
MISSOURI
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
244 |
i. Full name | Woodstock Financial Group, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-48080 |
Description of other identifying number | SEC # |
iii. State, if applicable |
GEORGIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
245 |
i. Full name | TD Private Client Wealth LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-69105 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
246 |
i. Full name | Camden Financial Services |
ii. LEI, if any, or provide and describe
other
identifying number | 8-37303 |
Description of other identifying number | SEC # |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
247 |
i. Full name | Geoffrey Richards Securities Corp. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-65251 |
Description of other identifying number | SEC # |
iii. State, if applicable |
FLORIDA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
248 |
i. Full name | Hartford Funds Management Company, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 801-77209 |
Description of other identifying number | SEC # |
iii. State, if applicable |
PENNSYLVANIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
249 |
i. Full name | ValMark Securities, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-45463 |
Description of other identifying number | SEC # |
iii. State, if applicable |
OHIO
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
250 |
i. Full name | Essex Financial Services, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-66015 |
Description of other identifying number | SEC # |
iii. State, if applicable |
CONNECTICUT
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
251 |
i. Full name | Donegal Securities, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-66137 |
Description of other identifying number | SEC # |
iii. State, if applicable |
MASSACHUSETTS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
252 |
i. Full name | TFS Securities, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-38377 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NEW JERSEY
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
253 |
i. Full name | Country Capital Management Company |
ii. LEI, if any, or provide and describe
other
identifying number | 8-12645 |
Description of other identifying number | SEC # |
iii. State, if applicable |
ILLINOIS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
254 |
i. Full name | Cosse International Securities |
ii. LEI, if any, or provide and describe
other
identifying number | 8-17106 |
Description of other identifying number | SEC # |
iii. State, if applicable |
WASHINGTON
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
255 |
i. Full name | Bolton Global Capital |
ii. LEI, if any, or provide and describe
other
identifying number | 8-33222 |
Description of other identifying number | SEC # |
iii. State, if applicable |
MASSACHUSETTS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
256 |
i. Full name | ARCA Capital Investments, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-53110 |
Description of other identifying number | SEC # |
iii. State, if applicable |
FLORIDA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
257 |
i. Full name | Woodmen Financial Services, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-53592 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NEBRASKA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
258 |
i. Full name | 1st Discount Brokerage, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-48557 |
Description of other identifying number | SEC # |
iii. State, if applicable |
FLORIDA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
259 |
i. Full name | USI Securities, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-50429 |
Description of other identifying number | SEC # |
iii. State, if applicable |
CONNECTICUT
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
260 |
i. Full name | Western International Securities, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-48572 |
Description of other identifying number | SEC # |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
261 |
i. Full name | L. B. Fisher & Company |
ii. LEI, if any, or provide and describe
other
identifying number | 8-21023 |
Description of other identifying number | SEC # |
iii. State, if applicable |
TEXAS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
262 |
i. Full name | Equable Securities |
ii. LEI, if any, or provide and describe
other
identifying number | 8-21641 |
Description of other identifying number | SEC # |
iii. State, if applicable |
WISCONSIN
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
263 |
i. Full name | VOYA Financial Advisors, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-46451 |
Description of other identifying number | SEC # |
iii. State, if applicable |
CONNECTICUT
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
264 |
i. Full name | Apex Clearing Corporation |
ii. LEI, if any, or provide and describe
other
identifying number | 8-23522 |
Description of other identifying number | SEC # |
iii. State, if applicable |
TEXAS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
265 |
i. Full name | Maxim Group LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-65337 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
266 |
i. Full name | INVEST Financial Corp |
ii. LEI, if any, or provide and describe
other
identifying number | 8-27691 |
Description of other identifying number | SEC # |
iii. State, if applicable |
WISCONSIN
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
267 |
i. Full name | W.R. Hambrecht + Co., LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-50935 |
Description of other identifying number | SEC # |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
268 |
i. Full name | Rodgers Brothers, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-33475 |
Description of other identifying number | SEC # |
iii. State, if applicable |
PENNSYLVANIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
269 |
i. Full name | Investment Network Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-66036 |
Description of other identifying number | SEC # |
iii. State, if applicable |
OHIO
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
270 |
i. Full name | SunTrust Bank |
ii. LEI, if any, or provide and describe
other
identifying number | IYDOJBGJWY9T8XKCSX06 |
Description of other identifying number | |
iii. State, if applicable |
GEORGIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
271 |
i. Full name | Ascensus, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 549300K5MHNFPEU2RK82 |
Description of other identifying number | |
iii. State, if applicable |
PENNSYLVANIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
272 |
i. Full name | Devenir, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-65837 |
Description of other identifying number | SEC # |
iii. State, if applicable |
MINNESOTA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
273 |
i. Full name | United Planners' Financial Services of America A Limited Partner |
ii. LEI, if any, or provide and describe
other
identifying number | 8-38485 |
Description of other identifying number | SEC # |
iii. State, if applicable |
ARIZONA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
274 |
i. Full name | Feltl & Company |
ii. LEI, if any, or provide and describe
other
identifying number | 8-18435 |
Description of other identifying number | SEC # |
iii. State, if applicable |
MINNESOTA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
275 |
i. Full name | Lieblong & Associates, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-49880 |
Description of other identifying number | SEC # |
iii. State, if applicable |
ARKANSAS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
276 |
i. Full name | TrustCore Investments, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-32152 |
Description of other identifying number | SEC # |
iii. State, if applicable |
TENNESSEE
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
277 |
i. Full name | Patapsco Securities, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-43485 |
Description of other identifying number | SEC # |
iii. State, if applicable |
MARYLAND
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
278 |
i. Full name | Investment Professionals, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-44786 |
Description of other identifying number | SEC # |
iii. State, if applicable |
TEXAS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
279 |
i. Full name | KMS Financial Services, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-15433 |
Description of other identifying number | SEC # |
iii. State, if applicable |
WASHINGTON
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
280 |
i. Full name | David Lerner Associates, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-20746 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
281 |
i. Full name | John Hancock Life Insurance Company of New York |
ii. LEI, if any, or provide and describe
other
identifying number | 5493007RYG4GXIKSQI18 |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable |
CANADA (FEDERAL LEVEL)
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
282 |
i. Full name | USAA Investment Management Company |
ii. LEI, if any, or provide and describe
other
identifying number | 8-41241 |
Description of other identifying number | SEC # |
iii. State, if applicable |
TEXAS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
283 |
i. Full name | CoreCap Investments, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-47783 |
Description of other identifying number | SEC # |
iii. State, if applicable |
MICHIGAN
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
284 |
i. Full name | Investment Centers of America |
ii. LEI, if any, or provide and describe
other
identifying number | 8-33983 |
Description of other identifying number | SEC # |
iii. State, if applicable |
WISCONSIN
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
285 |
i. Full name | Perryman Securities, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-53546 |
Description of other identifying number | SEC # |
iii. State, if applicable |
TEXAS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
286 |
i. Full name | Cuso Financial Services, L.P. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-49711 |
Description of other identifying number | SEC # |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
287 |
i. Full name | Samuel A Ramirez & Co., Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-19014 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
288 |
i. Full name | RF Lafferty & Co |
ii. LEI, if any, or provide and describe
other
identifying number | 8-25581 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
289 |
i. Full name | David A. Noyes & Company |
ii. LEI, if any, or provide and describe
other
identifying number | 8-22752 |
Description of other identifying number | SEC # |
iii. State, if applicable |
ILLINOIS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
290 |
i. Full name | Reliance Trust Company |
ii. LEI, if any, or provide and describe
other
identifying number | 549300NV8FSQRNOUQO50 |
Description of other identifying number | |
iii. State, if applicable |
GEORGIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
291 |
i. Full name | Classic LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-68981 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NORTH DAKOTA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
292 |
i. Full name | Comprehensive Asset Management and Servicing, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-50433 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NEW JERSEY
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
293 |
i. Full name | VOYA Investments Distributors, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-48020 |
Description of other identifying number | SEC # |
iii. State, if applicable |
ARIZONA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
294 |
i. Full name | Allianz Life Financial Services, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-13630 |
Description of other identifying number | SEC # |
iii. State, if applicable |
MINNESOTA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
295 |
i. Full name | Financial America Securities, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-15719 |
Description of other identifying number | SEC # |
iii. State, if applicable |
OHIO
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
296 |
i. Full name | United States Life Insurance Company in the City of New York |
ii. LEI, if any, or provide and describe
other
identifying number | 549300C1JQGJ0MNUMG79 |
Description of other identifying number | |
iii. State, if applicable |
TEXAS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
297 |
i. Full name | Saturna Trust Company |
ii. LEI, if any, or provide and describe
other
identifying number | N/A |
Description of other identifying number | |
iii. State, if applicable |
WASHINGTON
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
298 |
i. Full name | Fairport Capital, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-32162 |
Description of other identifying number | SEC # |
iii. State, if applicable |
CONNECTICUT
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
299 |
i. Full name | NYLife Securities LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-15517 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
300 |
i. Full name | OFG Financial Services, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-40770 |
Description of other identifying number | SEC # |
iii. State, if applicable |
KANSAS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
301 |
i. Full name | Leumi Investment Services Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-52993 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
302 |
i. Full name | MidWestern Securities Trading Company, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-52074 |
Description of other identifying number | SEC # |
iii. State, if applicable |
ILLINOIS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
303 |
i. Full name | CFS Securities, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-51330 |
Description of other identifying number | SEC # |
iii. State, if applicable |
CONNECTICUT
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
304 |
i. Full name | Eastern Point Securities, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-39398 |
Description of other identifying number | SEC # |
iii. State, if applicable |
VIRGINIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
305 |
i. Full name | The Garbacz Group Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-42366 |
Description of other identifying number | SEC # |
iii. State, if applicable |
MISSOURI
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
306 |
i. Full name | Voya Financial Partners, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-13987 |
Description of other identifying number | SEC # |
iii. State, if applicable |
IOWA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
307 |
i. Full name | Bankoh Investment Services, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-44201 |
Description of other identifying number | SEC # |
iii. State, if applicable |
HAWAII
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
308 |
i. Full name | McLaughlin Ryder Investments, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-67911 |
Description of other identifying number | SEC # |
iii. State, if applicable |
VIRGINIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
309 |
i. Full name | Hantz Financial Services, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-51291 |
Description of other identifying number | SEC # |
iii. State, if applicable |
MICHIGAN
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
310 |
i. Full name | Interactive Brokers LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-47257 |
Description of other identifying number | SEC # |
iii. State, if applicable |
CONNECTICUT
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
311 |
i. Full name | First Bankers' Banc Securities, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-31584 |
Description of other identifying number | SEC # |
iii. State, if applicable |
MISSOURI
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
312 |
i. Full name | Clary Investment and Insurance Planning Corp. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-48346 |
Description of other identifying number | SEC # |
iii. State, if applicable |
MASSACHUSETTS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
313 |
i. Full name | Mid-Atlantic Securities, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-36997 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NORTH CAROLINA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
314 |
i. Full name | Invex, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-44695 |
Description of other identifying number | SEC # |
iii. State, if applicable |
FLORIDA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
315 |
i. Full name | Allen & Company of Florida, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-09877 |
Description of other identifying number | SEC # |
iii. State, if applicable |
FLORIDA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
316 |
i. Full name | Rothschild Investment Corporation |
ii. LEI, if any, or provide and describe
other
identifying number | 8-16429 |
Description of other identifying number | SEC # |
iii. State, if applicable |
ILLINOIS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
317 |
i. Full name | Healthcare Community Securities Corporation |
ii. LEI, if any, or provide and describe
other
identifying number | 8-46981 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
318 |
i. Full name | Axiom Capital Management, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-42638 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
319 |
i. Full name | The Oak Ridge Financial Services Group, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-50082 |
Description of other identifying number | SEC # |
iii. State, if applicable |
MINNESOTA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
320 |
i. Full name | CBIZ Financial Solutions, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-34205 |
Description of other identifying number | SEC # |
iii. State, if applicable |
OHIO
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
321 |
i. Full name | Lara, May & Associates, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-67776 |
Description of other identifying number | SEC # |
iii. State, if applicable |
VIRGINIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
322 |
i. Full name | AssetMark Trust Company |
ii. LEI, if any, or provide and describe
other
identifying number | N/A |
Description of other identifying number | |
iii. State, if applicable |
ARIZONA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
323 |
i. Full name | Monex Securities, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-44874 |
Description of other identifying number | SEC # |
iii. State, if applicable |
TEXAS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
324 |
i. Full name | Planners Financial Services, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-18027 |
Description of other identifying number | SEC # |
iii. State, if applicable |
MINNESOTA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
325 |
i. Full name | Northeast Securities, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-42227 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
326 |
i. Full name | Keystone Capital Corporation |
ii. LEI, if any, or provide and describe
other
identifying number | 8-28032 |
Description of other identifying number | SEC # |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
327 |
i. Full name | P. R. Herzig & Co. Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-22589 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
328 |
i. Full name | Worth Financial Group Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-29827 |
Description of other identifying number | SEC # |
iii. State, if applicable |
TEXAS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
329 |
i. Full name | Glen Eagle Advisors LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-65678 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NEW JERSEY
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
330 |
i. Full name | Reliance Worldwide Investments, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-67575 |
Description of other identifying number | SEC # |
iii. State, if applicable |
ILLINOIS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
331 |
i. Full name | Lincoln Financial Advisors Corporation |
ii. LEI, if any, or provide and describe
other
identifying number | 8-14685 |
Description of other identifying number | SEC # |
iii. State, if applicable |
INDIANA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
332 |
i. Full name | Podesta & Co. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-28860 |
Description of other identifying number | SEC # |
iii. State, if applicable |
ILLINOIS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
333 |
i. Full name | Beard Financial Services, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-53374 |
Description of other identifying number | SEC # |
iii. State, if applicable |
OHIO
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
334 |
i. Full name | Ceros Financial Services, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-47955 |
Description of other identifying number | SEC # |
iii. State, if applicable |
MARYLAND
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
335 |
i. Full name | Dougherty & Company LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-21937 |
Description of other identifying number | SEC # |
iii. State, if applicable |
MINNESOTA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
336 |
i. Full name | Princor Financial Services Corporation |
ii. LEI, if any, or provide and describe
other
identifying number | 8-13975 |
Description of other identifying number | SEC # |
iii. State, if applicable |
IOWA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
337 |
i. Full name | The GMS Group, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-23936 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NEW JERSEY
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
338 |
i. Full name | Transamerica Advisors Life Insurance Company |
ii. LEI, if any, or provide and describe
other
identifying number | F1PLTWZ8OU4HQGZQAP31 |
Description of other identifying number | |
iii. State, if applicable |
ARKANSAS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
339 |
i. Full name | Visun Securities Corporation |
ii. LEI, if any, or provide and describe
other
identifying number | 8-31907 |
Description of other identifying number | SEC # |
iii. State, if applicable |
WISCONSIN
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
340 |
i. Full name | Wiley Bros.-Aintree Capital, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-03774 |
Description of other identifying number | SEC # |
iii. State, if applicable |
TENNESSEE
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
341 |
i. Full name | Nestlerode & Loy, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-12629 |
Description of other identifying number | SEC # |
iii. State, if applicable |
PENNSYLVANIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
342 |
i. Full name | The Tavenner Company |
ii. LEI, if any, or provide and describe
other
identifying number | 8-41206 |
Description of other identifying number | SEC # |
iii. State, if applicable |
OHIO
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
343 |
i. Full name | Investment Security Corporation |
ii. LEI, if any, or provide and describe
other
identifying number | 8-51832 |
Description of other identifying number | SEC # |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
344 |
i. Full name | McNally Financial Services Corporation |
ii. LEI, if any, or provide and describe
other
identifying number | 8-65388 |
Description of other identifying number | SEC # |
iii. State, if applicable |
TEXAS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
345 |
i. Full name | HBW Securities LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-67056 |
Description of other identifying number | SEC # |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
346 |
i. Full name | Liberty Partners Financial Services, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-66335 |
Description of other identifying number | SEC # |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
347 |
i. Full name | Pershing Advisor Solutions, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-47425 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NEW JERSEY
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
348 |
i. Full name | Nicol Investors Corporation |
ii. LEI, if any, or provide and describe
other
identifying number | 8-65566 |
Description of other identifying number | SEC # |
iii. State, if applicable |
ILLINOIS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
349 |
i. Full name | Wells Fargo Bank, N.A. |
ii. LEI, if any, or provide and describe
other
identifying number | KB1H1DSPRFMYMCUFXT09 |
Description of other identifying number | |
iii. State, if applicable |
SOUTH DAKOTA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
350 |
i. Full name | Integral Financial LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-65284 |
Description of other identifying number | SEC # |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
351 |
i. Full name | VectorGlobal WMG |
ii. LEI, if any, or provide and describe
other
identifying number | 8-45715 |
Description of other identifying number | SEC # |
iii. State, if applicable |
FLORIDA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
352 |
i. Full name | Allstate Financial Services, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-36365 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NEBRASKA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
353 |
i. Full name | Hornor, Townsend & Kent, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-14715 |
Description of other identifying number | SEC # |
iii. State, if applicable |
PENNSYLVANIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
354 |
i. Full name | Aon Benfield Securities, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-14953 |
Description of other identifying number | SEC # |
iii. State, if applicable |
ILLINOIS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
355 |
i. Full name | Hancock Investment Services, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-49106 |
Description of other identifying number | SEC # |
iii. State, if applicable |
LOUISIANA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
356 |
i. Full name | Empire Asset Management Company |
ii. LEI, if any, or provide and describe
other
identifying number | 8-67520 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
357 |
i. Full name | United Brokerage Services, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-48685 |
Description of other identifying number | SEC # |
iii. State, if applicable |
WEST VIRGINIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
358 |
i. Full name | Robinson & Robinson, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-17109 |
Description of other identifying number | SEC # |
iii. State, if applicable |
PENNSYLVANIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
359 |
i. Full name | Sanders Morris Harris Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-38325 |
Description of other identifying number | SEC # |
iii. State, if applicable |
TEXAS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
360 |
i. Full name | First Kentucky Securities Corporation |
ii. LEI, if any, or provide and describe
other
identifying number | 8-22224 |
Description of other identifying number | SEC # |
iii. State, if applicable |
KENTUCKY
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
361 |
i. Full name | Cambridge Investment Research, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-48740 |
Description of other identifying number | SEC # |
iii. State, if applicable |
IOWA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
362 |
i. Full name | Wells Fargo Securities, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-65876 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NORTH CAROLINA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
363 |
i. Full name | Darwood Associates Incorporated |
ii. LEI, if any, or provide and describe
other
identifying number | 8-16560 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NEW JERSEY
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
364 |
i. Full name | Investacorp, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-22598 |
Description of other identifying number | SEC # |
iii. State, if applicable |
FLORIDA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
365 |
i. Full name | Gardner Financial Services, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-38631 |
Description of other identifying number | SEC # |
iii. State, if applicable |
MINNESOTA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
366 |
i. Full name | Summit Equities, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-27556 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NEW JERSEY
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
367 |
i. Full name | Morgan Stanley Smith Barney LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-68191 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
368 |
i. Full name | IBN Financial Services, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-49815 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
369 |
i. Full name | Pyramid Funds Corporation |
ii. LEI, if any, or provide and describe
other
identifying number | 8-12769 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
370 |
i. Full name | Tradition Asiel Securities Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-43559 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
371 |
i. Full name | AxA Advisors, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-17883 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
372 |
i. Full name | Great Pacific Securities |
ii. LEI, if any, or provide and describe
other
identifying number | 8-44398 |
Description of other identifying number | SEC # |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
373 |
i. Full name | Diamant Investment Corp. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-18284 |
Description of other identifying number | SEC # |
iii. State, if applicable |
CONNECTICUT
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
374 |
i. Full name | Blakeslee and Blakeslee Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-32071 |
Description of other identifying number | SEC # |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
375 |
i. Full name | Trust Company of America |
ii. LEI, if any, or provide and describe
other
identifying number | N/A |
Description of other identifying number | |
iii. State, if applicable |
COLORADO
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
376 |
i. Full name | Regulus Advisors, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-68275 |
Description of other identifying number | SEC # |
iii. State, if applicable |
MICHIGAN
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
377 |
i. Full name | Brighton Securities Corp. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-14599 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
378 |
i. Full name | Investment Architects, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-35724 |
Description of other identifying number | SEC # |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
379 |
i. Full name | Federated Securities, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-15644 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
380 |
i. Full name | GWN Securities Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-66185 |
Description of other identifying number | SEC # |
iii. State, if applicable |
FLORIDA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
381 |
i. Full name | BD4RIA, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-70022 |
Description of other identifying number | SEC # |
iii. State, if applicable |
TEXAS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
382 |
i. Full name | T. Rowe Price Retirement Plan Services, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 084-06219 |
Description of other identifying number | SEC # |
iii. State, if applicable |
MARYLAND
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
383 |
i. Full name | Cadaret, Grant & Co., Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-27844 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
384 |
i. Full name | Piper Jaffray & Co. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-15204 |
Description of other identifying number | SEC # |
iii. State, if applicable |
MINNESOTA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
385 |
i. Full name | American Heritage Securities, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-44466 |
Description of other identifying number | SEC # |
iii. State, if applicable |
OHIO
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
386 |
i. Full name | American Independent Securities Group, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-66905 |
Description of other identifying number | SEC # |
iii. State, if applicable |
IDAHO
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
387 |
i. Full name | Northwest Investment Advisors, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-65282 |
Description of other identifying number | SEC # |
iii. State, if applicable |
WASHINGTON
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
388 |
i. Full name | Kercheville & Company, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-32795 |
Description of other identifying number | SEC # |
iii. State, if applicable |
TEXAS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
389 |
i. Full name | Wheelhouse Securities Corporation |
ii. LEI, if any, or provide and describe
other
identifying number | 8-68105 |
Description of other identifying number | SEC # |
iii. State, if applicable |
MISSOURI
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
390 |
i. Full name | G.A. Repple & Company |
ii. LEI, if any, or provide and describe
other
identifying number | 8-35315 |
Description of other identifying number | SEC # |
iii. State, if applicable |
FLORIDA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
391 |
i. Full name | First Mercantile Trust Company |
ii. LEI, if any, or provide and describe
other
identifying number | 028-10498 |
Description of other identifying number | SEC # |
iii. State, if applicable |
TENNESSEE
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
392 |
i. Full name | American Trust Investment Services, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-14394 |
Description of other identifying number | SEC # |
iii. State, if applicable |
INDIANA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
393 |
i. Full name | Planned Financial Programs, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-05727 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
394 |
i. Full name | Actinver Securities, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-49311 |
Description of other identifying number | SEC # |
iii. State, if applicable |
TEXAS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
395 |
i. Full name | Century Securities Associates, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-43514 |
Description of other identifying number | SEC # |
iii. State, if applicable |
MISSOURI
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
396 |
i. Full name | Portsmouth Financial Services |
ii. LEI, if any, or provide and describe
other
identifying number | 8-30097 |
Description of other identifying number | SEC # |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
397 |
i. Full name | VCA Securities, L.P. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-66393 |
Description of other identifying number | SEC # |
iii. State, if applicable |
TEXAS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
398 |
i. Full name | Sabadell Securities USA, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-67975 |
Description of other identifying number | SEC # |
iii. State, if applicable |
FLORIDA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
399 |
i. Full name | Ladenburg Thalman & Co. Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-17230 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
400 |
i. Full name | Etico Partners, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-65500 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
401 |
i. Full name | John Hancock Trust Company |
ii. LEI, if any, or provide and describe
other
identifying number | 549300W205WZCFZS6R51 |
Description of other identifying number | |
iii. State, if applicable |
MASSACHUSETTS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
402 |
i. Full name | S.L. Reed & Company |
ii. LEI, if any, or provide and describe
other
identifying number | 8-49178 |
Description of other identifying number | SEC # |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
403 |
i. Full name | Saperston Asset Management, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-50658 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
404 |
i. Full name | Park Avenue Securities LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-51324 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
405 |
i. Full name | Commonwealth Equity Services, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-24040 |
Description of other identifying number | SEC # |
iii. State, if applicable |
MASSACHUSETTS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
406 |
i. Full name | JPMorgan Chase Bank, N.A. |
ii. LEI, if any, or provide and describe
other
identifying number | 7H6GLYDRUGQFU57RNE97 |
Description of other identifying number | |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
407 |
i. Full name | Pension Dynamics Securities Corporation |
ii. LEI, if any, or provide and describe
other
identifying number | 8-52535 |
Description of other identifying number | SEC # |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
408 |
i. Full name | Purshe Kaplan Sterling Investments |
ii. LEI, if any, or provide and describe
other
identifying number | 8-46844 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
409 |
i. Full name | Detwiler Fenton & Co. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-16324 |
Description of other identifying number | SEC # |
iii. State, if applicable |
MASSACHUSETTS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
410 |
i. Full name | Cetera Advisors LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-26892 |
Description of other identifying number | SEC # |
iii. State, if applicable |
COLORADO
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
411 |
i. Full name | Mutual of Omaha Investor Services, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-47290 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NEBRASKA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
412 |
i. Full name | Raymond James & Associates, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-10999 |
Description of other identifying number | SEC # |
iii. State, if applicable |
FLORIDA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
413 |
i. Full name | Sterne Agee & Leach, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-11754 |
Description of other identifying number | SEC # |
iii. State, if applicable |
ALABAMA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
414 |
i. Full name | Sisung Securities Corporation |
ii. LEI, if any, or provide and describe
other
identifying number | 8-42121 |
Description of other identifying number | SEC # |
iii. State, if applicable |
LOUISIANA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
415 |
i. Full name | Finance 500, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-28302 |
Description of other identifying number | SEC # |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
416 |
i. Full name | Carter, Terry & Company, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-33797 |
Description of other identifying number | SEC # |
iii. State, if applicable |
GEORGIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
417 |
i. Full name | H. Beck, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-31165 |
Description of other identifying number | SEC # |
iii. State, if applicable |
MARYLAND
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
418 |
i. Full name | Kovack Securities Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-50847 |
Description of other identifying number | SEC # |
iii. State, if applicable |
FLORIDA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
419 |
i. Full name | North Ridge Securities Corp. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-42879 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
420 |
i. Full name | Polar Investment Counsel, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-50039 |
Description of other identifying number | SEC # |
iii. State, if applicable |
MINNESOTA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
421 |
i. Full name | Deutsche Bank Securities Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-17822 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
422 |
i. Full name | Silber Bennett Financial, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-68795 |
Description of other identifying number | SEC # |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
423 |
i. Full name | Cetera Financial Specialists LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-27082 |
Description of other identifying number | SEC # |
iii. State, if applicable |
ILLINOIS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
424 |
i. Full name | Bernard Herold & Co., Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-17005 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
425 |
i. Full name | Ameritas Investment Corp. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-31296 |
Description of other identifying number | SEC # |
iii. State, if applicable |
OHIO
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
426 |
i. Full name | Access Investments, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-49750 |
Description of other identifying number | SEC # |
iii. State, if applicable |
OKLAHOMA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
427 |
i. Full name | FTB Advisors, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-35061 |
Description of other identifying number | SEC # |
iii. State, if applicable |
TENNESSEE
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
428 |
i. Full name | Arvest Investments, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-49677 |
Description of other identifying number | SEC # |
iii. State, if applicable |
ARKANSAS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
429 |
i. Full name | MML Investors Services, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-27250 |
Description of other identifying number | SEC # |
iii. State, if applicable |
MASSACHUSETTS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
430 |
i. Full name | Bankers Life Securities, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-69562 |
Description of other identifying number | SEC # |
iii. State, if applicable |
ILLINOIS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
431 |
i. Full name | BPU Investment Management, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-34979 |
Description of other identifying number | SEC # |
iii. State, if applicable |
PENNSYLVANIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
432 |
i. Full name | Alliant Securities, Inc. Turner, Nord, Kienbaum |
ii. LEI, if any, or provide and describe
other
identifying number | 8-23305 |
Description of other identifying number | SEC # |
iii. State, if applicable |
WASHINGTON
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
433 |
i. Full name | Prospera Financial Services, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-28164 |
Description of other identifying number | SEC # |
iii. State, if applicable |
TEXAS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
434 |
i. Full name | Repex & Co., Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-26431 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NEW JERSEY
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
435 |
i. Full name | Barclays Capital Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-41342 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
436 |
i. Full name | Harold W. Dance Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-12160 |
Description of other identifying number | SEC # |
iii. State, if applicable |
UTAH
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
437 |
i. Full name | Capitol Securities Management, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-30353 |
Description of other identifying number | SEC # |
iii. State, if applicable |
VIRGINIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
438 |
i. Full name | Securities Equity Group |
ii. LEI, if any, or provide and describe
other
identifying number | 8-51706 |
Description of other identifying number | SEC # |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
439 |
i. Full name | Abacus Investments, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-46571 |
Description of other identifying number | SEC # |
iii. State, if applicable |
WISCONSIN
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
440 |
i. Full name | Madison Avenue Securities, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-40426 |
Description of other identifying number | SEC # |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
441 |
i. Full name | Benefit Trust Company |
ii. LEI, if any, or provide and describe
other
identifying number | N/A |
Description of other identifying number | |
iii. State, if applicable |
KANSAS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
442 |
i. Full name | Sorsby Financial Corp. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-48718 |
Description of other identifying number | SEC # |
iii. State, if applicable |
ILLINOIS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
443 |
i. Full name | M. S. Howells & Co. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-52558 |
Description of other identifying number | SEC # |
iii. State, if applicable |
ARIZONA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
444 |
i. Full name | Capital Synergy Partners, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-68060 |
Description of other identifying number | SEC # |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
445 |
i. Full name | Principal Life Insurance Company |
ii. LEI, if any, or provide and describe
other
identifying number | SDCMU2LVKGV2AF1KWP64 |
Description of other identifying number | |
iii. State, if applicable |
IOWA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
446 |
i. Full name | Sammons Retirement Solutions, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | N/A |
Description of other identifying number | |
iii. State, if applicable |
IOWA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
447 |
i. Full name | Financial Northeastern Securities, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-34883 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NEW JERSEY
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
448 |
i. Full name | Umpqua Investments, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-02915 |
Description of other identifying number | SEC # |
iii. State, if applicable |
OREGON
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
449 |
i. Full name | PTS Brokerage, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-65173 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NEW JERSEY
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
450 |
i. Full name | American Municipal Securities, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-25338 |
Description of other identifying number | SEC # |
iii. State, if applicable |
FLORIDA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
451 |
i. Full name | Benefit Plans Administrative Services, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | N/A |
Description of other identifying number | |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
452 |
i. Full name | Superior Financial Services, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-52618 |
Description of other identifying number | SEC # |
iii. State, if applicable |
WISCONSIN
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
453 |
i. Full name | SFA Financial, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-68156 |
Description of other identifying number | SEC # |
iii. State, if applicable |
SOUTH CAROLINA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
454 |
i. Full name | United of Omaha Life Insurance Company |
ii. LEI, if any, or provide and describe
other
identifying number | 3EGIZNNORU5LRN6W7742 |
Description of other identifying number | |
iii. State, if applicable |
NEBRASKA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
455 |
i. Full name | General Securities Corp. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-31654 |
Description of other identifying number | SEC # |
iii. State, if applicable |
MISSOURI
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
456 |
i. Full name | PNC Investments, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-66195 |
Description of other identifying number | SEC # |
iii. State, if applicable |
PENNSYLVANIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
457 |
i. Full name | Genworth Life Insurance Company of New York |
ii. LEI, if any, or provide and describe
other
identifying number | E5VAS7I8GX5B0SDBX010 |
Description of other identifying number | |
iii. State, if applicable |
VIRGINIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
458 |
i. Full name | James I. Black & Company |
ii. LEI, if any, or provide and describe
other
identifying number | 8-12077 |
Description of other identifying number | SEC # |
iii. State, if applicable |
FLORIDA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
459 |
i. Full name | Fifth Third Securities, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-02428 |
Description of other identifying number | SEC # |
iii. State, if applicable |
OHIO
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
460 |
i. Full name | Loring Ward Securities Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-51381 |
Description of other identifying number | SEC # |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
461 |
i. Full name | Mack Investment Securities, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-35536 |
Description of other identifying number | SEC # |
iii. State, if applicable |
ILLINOIS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
462 |
i. Full name | Maplewood Investment Advisors, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-52221 |
Description of other identifying number | SEC # |
iii. State, if applicable |
TEXAS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
463 |
i. Full name | Crown Capital Securities, L.P. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-17264 |
Description of other identifying number | SEC # |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
464 |
i. Full name | G. W. & Wade Asset Management Company, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-42013 |
Description of other identifying number | SEC # |
iii. State, if applicable |
MASSACHUSETTS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
465 |
i. Full name | IDB Capital Corp. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-53000 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
466 |
i. Full name | Arete Wealth Management, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-50854 |
Description of other identifying number | SEC # |
iii. State, if applicable |
ILLINOIS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
467 |
i. Full name | International Money Management Group, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-30417 |
Description of other identifying number | SEC # |
iii. State, if applicable |
MARYLAND
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
468 |
i. Full name | Calton & Associates, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-38635 |
Description of other identifying number | SEC # |
iii. State, if applicable |
FLORIDA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
469 |
i. Full name | M Holdings Securities, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-50214 |
Description of other identifying number | SEC # |
iii. State, if applicable |
OREGON
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
470 |
i. Full name | World Equity Group, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-44088 |
Description of other identifying number | SEC # |
iii. State, if applicable |
ILLINOIS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
471 |
i. Full name | Founders Financial Securities LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-67137 |
Description of other identifying number | SEC # |
iii. State, if applicable |
MARYLAND
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
472 |
i. Full name | Lion Street Financial, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-69183 |
Description of other identifying number | SEC # |
iii. State, if applicable |
TEXAS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
473 |
i. Full name | Rhodes Securities, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-37689 |
Description of other identifying number | SEC # |
iii. State, if applicable |
TEXAS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
474 |
i. Full name | Riversource Distributors, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-67196 |
Description of other identifying number | SEC # |
iii. State, if applicable |
MINNESOTA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
475 |
i. Full name | Equity Services, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-14286 |
Description of other identifying number | SEC # |
iii. State, if applicable |
VERMONT
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
476 |
i. Full name | Signature Securities Group Corporation |
ii. LEI, if any, or provide and describe
other
identifying number | 8-52697 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
477 |
i. Full name | Lincoln Douglas Investments LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-68728 |
Description of other identifying number | SEC # |
iii. State, if applicable |
OHIO
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
478 |
i. Full name | Teachers Insurance and Annuity Association of America |
ii. LEI, if any, or provide and describe
other
identifying number | O06YD7BJ4EPYNABVFN69 |
Description of other identifying number | |
iii. State, if applicable |
NORTH CAROLINA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
479 |
i. Full name | DFPG Investments, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-68730 |
Description of other identifying number | SEC # |
iii. State, if applicable |
UTAH
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
480 |
i. Full name | Conover Securities Corporation |
ii. LEI, if any, or provide and describe
other
identifying number | 8-35085 |
Description of other identifying number | SEC # |
iii. State, if applicable |
WASHINGTON
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
481 |
i. Full name | Buckman, Buckman & Reid, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-40413 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NEW JERSEY
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
482 |
i. Full name | Capital One Investing LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-51160 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
483 |
i. Full name | Consolidated Financial Investments, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-37004 |
Description of other identifying number | SEC # |
iii. State, if applicable |
MISSOURI
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
484 |
i. Full name | Ross, Sinclaire & Associates, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-41740 |
Description of other identifying number | SEC # |
iii. State, if applicable |
OHIO
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
485 |
i. Full name | Fidelity Investments Life |
ii. LEI, if any, or provide and describe
other
identifying number | 54930024AKTQGTIV1P93 |
Description of other identifying number | |
iii. State, if applicable |
RHODE ISLAND
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
486 |
i. Full name | Wayne Hummer Investments, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-00484 |
Description of other identifying number | SEC # |
iii. State, if applicable |
ILLINOIS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
487 |
i. Full name | MV Securities Group, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-47827 |
Description of other identifying number | SEC # |
iii. State, if applicable |
TEXAS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
488 |
i. Full name | First Allied Securities, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-46167 |
Description of other identifying number | SEC # |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
489 |
i. Full name | ZIV Investment Center |
ii. LEI, if any, or provide and describe
other
identifying number | 8-18119 |
Description of other identifying number | SEC # |
iii. State, if applicable |
ILLINOIS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
490 |
i. Full name | Portfolio Resources Group, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-45380 |
Description of other identifying number | SEC # |
iii. State, if applicable |
FLORIDA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
491 |
i. Full name | Andbanc Brokerage, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-68759 |
Description of other identifying number | SEC # |
iii. State, if applicable |
FLORIDA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
492 |
i. Full name | Next Financial Group, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-51356 |
Description of other identifying number | SEC # |
iii. State, if applicable |
TEXAS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
493 |
i. Full name | St. Bernard Financial Services, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-47566 |
Description of other identifying number | SEC # |
iii. State, if applicable |
ARKANSAS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
494 |
i. Full name | Mesirow Financial, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-28816 |
Description of other identifying number | SEC # |
iii. State, if applicable |
ILLINOIS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
495 |
i. Full name | Vanguard Marketing Corporation |
ii. LEI, if any, or provide and describe
other
identifying number | 8-21570 |
Description of other identifying number | SEC # |
iii. State, if applicable |
PENNSYLVANIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
496 |
i. Full name | First State Financial Management, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-34201 |
Description of other identifying number | SEC # |
iii. State, if applicable |
MISSOURI
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
497 |
i. Full name | Vision Financial Markets LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-67447 |
Description of other identifying number | SEC # |
iii. State, if applicable |
CONNECTICUT
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
498 |
i. Full name | Zions Investment |
ii. LEI, if any, or provide and describe
other
identifying number | 8-35721 |
Description of other identifying number | SEC # |
iii. State, if applicable |
UTAH
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
499 |
i. Full name | GWFS Equities, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-33854 |
Description of other identifying number | SEC # |
iii. State, if applicable |
COLORADO
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
500 |
i. Full name | Nations Financial Group, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-50588 |
Description of other identifying number | SEC # |
iii. State, if applicable |
IOWA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
501 |
i. Full name | Hollencrest Securities |
ii. LEI, if any, or provide and describe
other
identifying number | 8-51348 |
Description of other identifying number | SEC # |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
502 |
i. Full name | Brazos Securities, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-39119 |
Description of other identifying number | SEC # |
iii. State, if applicable |
TEXAS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
503 |
i. Full name | Sorrento Pacific Financial, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-66046 |
Description of other identifying number | SEC # |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
504 |
i. Full name | Associated Investment Services, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-00099 |
Description of other identifying number | SEC # |
iii. State, if applicable |
WISCONSIN
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
505 |
i. Full name | Vanderbilt Securities, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-16712 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
506 |
i. Full name | People's Securities, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-29667 |
Description of other identifying number | SEC # |
iii. State, if applicable |
CONNECTICUT
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
507 |
i. Full name | Royal Securities Company |
ii. LEI, if any, or provide and describe
other
identifying number | 8-28009 |
Description of other identifying number | SEC # |
iii. State, if applicable |
MICHIGAN
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
508 |
i. Full name | Legacy Asset Securities, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-51871 |
Description of other identifying number | SEC # |
iii. State, if applicable |
TEXAS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
509 |
i. Full name | Vanguard Group, Inc., The |
ii. LEI, if any, or provide and describe
other
identifying number | 5493002789CY3L0CJP65 |
Description of other identifying number | |
iii. State, if applicable |
PENNSYLVANIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
510 |
i. Full name | City Securities Corporation |
ii. LEI, if any, or provide and describe
other
identifying number | 8-00975 |
Description of other identifying number | SEC # |
iii. State, if applicable |
INDIANA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
511 |
i. Full name | Oak Tree Securities, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-36138 |
Description of other identifying number | SEC # |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
512 |
i. Full name | First Citizens Investor Services, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-50696 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NORTH CAROLINA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
513 |
i. Full name | IMS Securities |
ii. LEI, if any, or provide and describe
other
identifying number | 8-46722 |
Description of other identifying number | SEC # |
iii. State, if applicable |
TEXAS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
514 |
i. Full name | Hefren-Tillotson, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-10646 |
Description of other identifying number | SEC # |
iii. State, if applicable |
PENNSYLVANIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
515 |
i. Full name | M. Griffith Investment Services, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-02259 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
516 |
i. Full name | Treasure Financial Corp. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-48165 |
Description of other identifying number | SEC # |
iii. State, if applicable |
TEXAS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
517 |
i. Full name | D.M. Kelly & Company |
ii. LEI, if any, or provide and describe
other
identifying number | 8-48398 |
Description of other identifying number | SEC # |
iii. State, if applicable |
IOWA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
518 |
i. Full name | Pershing, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-17574 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NEW JERSEY
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
519 |
i. Full name | SDDCO Brokerage Advisors, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-68549 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
520 |
i. Full name | Geneos Wealth Management, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-65357 |
Description of other identifying number | SEC # |
iii. State, if applicable |
COLORADO
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
521 |
i. Full name | M&T Securities, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-35185 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
522 |
i. Full name | Centennial Securities Company, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-23406 |
Description of other identifying number | SEC # |
iii. State, if applicable |
MICHIGAN
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
523 |
i. Full name | Concorde Investment Services, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-68388 |
Description of other identifying number | SEC # |
iii. State, if applicable |
MICHIGAN
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
524 |
i. Full name | Advisory Group Equity Services, Ltd. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-32155 |
Description of other identifying number | SEC # |
iii. State, if applicable |
MASSACHUSETTS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
525 |
i. Full name | Hand Securities, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-51001 |
Description of other identifying number | SEC # |
iii. State, if applicable |
TEXAS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
526 |
i. Full name | Nationwide Planning Associates Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-45310 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NEW JERSEY
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
527 |
i. Full name | American Century Investment Services, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-35220 |
Description of other identifying number | SEC # |
iii. State, if applicable |
MISSOURI
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
528 |
i. Full name | DesPain Financial Corporation |
ii. LEI, if any, or provide and describe
other
identifying number | 8-37056 |
Description of other identifying number | SEC # |
iii. State, if applicable |
ILLINOIS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
529 |
i. Full name | Edwin C. Blitz Investments, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-22741 |
Description of other identifying number | SEC # |
iii. State, if applicable |
ILLINOIS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
530 |
i. Full name | Sunset Financial Services, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-14148 |
Description of other identifying number | SEC # |
iii. State, if applicable |
MISSOURI
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
531 |
i. Full name | NBC Securities, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-35870 |
Description of other identifying number | SEC # |
iii. State, if applicable |
ALABAMA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
532 |
i. Full name | NYLife Distributors LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-46655 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NEW JERSEY
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
533 |
i. Full name | Snowden Account Services, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-68188 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
534 |
i. Full name | Hennion & Walsh, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-41988 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NEW JERSEY
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
535 |
i. Full name | Aventura Securities, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-67458 |
Description of other identifying number | SEC # |
iii. State, if applicable |
FLORIDA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
536 |
i. Full name | Paradigm Equities, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-45593 |
Description of other identifying number | SEC # |
iii. State, if applicable |
MICHIGAN
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
537 |
i. Full name | Investments For You, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-44179 |
Description of other identifying number | SEC # |
iii. State, if applicable |
OHIO
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
538 |
i. Full name | Harbor Investment Advisory, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-68334 |
Description of other identifying number | SEC # |
iii. State, if applicable |
MARYLAND
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
539 |
i. Full name | Kalos Capital, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-50630 |
Description of other identifying number | SEC # |
iii. State, if applicable |
GEORGIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
540 |
i. Full name | Gladowsky Capital Management Corp. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-51017 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
541 |
i. Full name | Comerica Securities, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-35001 |
Description of other identifying number | SEC # |
iii. State, if applicable |
MICHIGAN
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
542 |
i. Full name | Sentinel Securities, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-53142 |
Description of other identifying number | SEC # |
iii. State, if applicable |
MASSACHUSETTS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
543 |
i. Full name | Cantella & Co., Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-23904 |
Description of other identifying number | SEC # |
iii. State, if applicable |
MASSACHUSETTS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
544 |
i. Full name | E*Trade Savings Bank |
ii. LEI, if any, or provide and describe
other
identifying number | 549300DXPO50FJ75QA85 |
Description of other identifying number | |
iii. State, if applicable |
COLORADO
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
545 |
i. Full name | Securities America, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-26602 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NEBRASKA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
546 |
i. Full name | Jefferies, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-15074 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
547 |
i. Full name | Boenning & Scattergood, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-15543 |
Description of other identifying number | SEC # |
iii. State, if applicable |
PENNSYLVANIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
548 |
i. Full name | Monere Investments, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-52982 |
Description of other identifying number | SEC # |
iii. State, if applicable |
ILLINOIS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
549 |
i. Full name | Garden State Securities, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-25790 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NEW JERSEY
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
550 |
i. Full name | R. Seelaus & Co., Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-31475 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NEW JERSEY
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
551 |
i. Full name | Ni Advisors |
ii. LEI, if any, or provide and describe
other
identifying number | 8-66841 |
Description of other identifying number | SEC # |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
552 |
i. Full name | Lebenthal & Co. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-67750 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
553 |
i. Full name | The Jeffrey Matthews Financial Group, L.L.C. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-49352 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NEW JERSEY
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
554 |
i. Full name | Integrated Financial Planning Services |
ii. LEI, if any, or provide and describe
other
identifying number | 8-35120 |
Description of other identifying number | SEC # |
iii. State, if applicable | |
iv. Foreign country, if applicable |
GERMANY
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
555 |
i. Full name | OneAmerica Securities, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-15009 |
Description of other identifying number | SEC # |
iii. State, if applicable |
INDIANA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
556 |
i. Full name | Transamerica Financial Advisors, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-33429 |
Description of other identifying number | SEC # |
iii. State, if applicable |
FLORIDA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
557 |
i. Full name | Wall Street Access |
ii. LEI, if any, or provide and describe
other
identifying number | 8-25936 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
558 |
i. Full name | Standard Investment Chartered, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-40468 |
Description of other identifying number | SEC # |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
559 |
i. Full name | Winslow, Evans & Crocker, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-44347 |
Description of other identifying number | SEC # |
iii. State, if applicable |
MASSACHUSETTS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
560 |
i. Full name | HSBC Securities (USA), Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-41562 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
561 |
i. Full name | Cabot Lodge Securities, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-69009 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
562 |
i. Full name | Prudential Insurance Company of America |
ii. LEI, if any, or provide and describe
other
identifying number | Y574KRZ6V5A7UBU45C31 |
Description of other identifying number | |
iii. State, if applicable |
CONNECTICUT
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
563 |
i. Full name | Mid-Atlantic Clearing & Settlement Corp. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-47758 |
Description of other identifying number | SEC # |
iii. State, if applicable |
PENNSYLVANIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
564 |
i. Full name | T.S. Phillips Investments, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-65661 |
Description of other identifying number | SEC # |
iii. State, if applicable |
OKLAHOMA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
565 |
i. Full name | Intervest International Equities Corporation |
ii. LEI, if any, or provide and describe
other
identifying number | 8-38156 |
Description of other identifying number | SEC # |
iii. State, if applicable |
COLORADO
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
566 |
i. Full name | Colorado Financial Service Corporation |
ii. LEI, if any, or provide and describe
other
identifying number | 8-52817 |
Description of other identifying number | SEC # |
iii. State, if applicable |
COLORADO
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
567 |
i. Full name | Access Financial Group, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-46065 |
Description of other identifying number | SEC # |
iii. State, if applicable |
ILLINOIS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
568 |
i. Full name | TD Ameritrade Clearing, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-16335 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NEBRASKA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
569 |
i. Full name | Neidiger, Tucker, Bruner, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-21884 |
Description of other identifying number | SEC # |
iii. State, if applicable |
COLORADO
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
570 |
i. Full name | Buckram Securities LTD |
ii. LEI, if any, or provide and describe
other
identifying number | 8-65939 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
571 |
i. Full name | Charles Schwab Bank |
ii. LEI, if any, or provide and describe
other
identifying number | 549300INFJ8TYNZ1G568 |
Description of other identifying number | |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
572 |
i. Full name | Herndon Plant Oakley, LTD |
ii. LEI, if any, or provide and describe
other
identifying number | 8-50912 |
Description of other identifying number | SEC # |
iii. State, if applicable |
TEXAS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
573 |
i. Full name | Syndicated Capital, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-44162 |
Description of other identifying number | SEC # |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
574 |
i. Full name | Gilbert, Doniger & Co., Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-22326 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
575 |
i. Full name | Gold Coast Securities, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-53148 |
Description of other identifying number | SEC # |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
576 |
i. Full name | Schlitt Investor Services, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-34202 |
Description of other identifying number | SEC # |
iii. State, if applicable |
FLORIDA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
577 |
i. Full name | Anovest Financial Services, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-66742 |
Description of other identifying number | SEC # |
iii. State, if applicable |
GEORGIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
578 |
i. Full name | C. R. Davis & Company |
ii. LEI, if any, or provide and describe
other
identifying number | 8-859 |
Description of other identifying number | SEC # |
iii. State, if applicable |
ILLINOIS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
579 |
i. Full name | First Western Advisors |
ii. LEI, if any, or provide and describe
other
identifying number | 8-28729 |
Description of other identifying number | SEC # |
iii. State, if applicable |
UTAH
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
580 |
i. Full name | Valley National Investments, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-34427 |
Description of other identifying number | SEC # |
iii. State, if applicable |
PENNSYLVANIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
581 |
i. Full name | FMN Capital Corporation |
ii. LEI, if any, or provide and describe
other
identifying number | 8-48082 |
Description of other identifying number | SEC # |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
582 |
i. Full name | KW Securities Corporation |
ii. LEI, if any, or provide and describe
other
identifying number | 8-24792 |
Description of other identifying number | SEC # |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
583 |
i. Full name | Logan Group Securities |
ii. LEI, if any, or provide and describe
other
identifying number | 8-48995 |
Description of other identifying number | SEC # |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
584 |
i. Full name | Broadridge Business Process Outsourcing, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-53412 |
Description of other identifying number | SEC # |
iii. State, if applicable |
COLORADO
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
585 |
i. Full name | Pacific Financial Associates, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-40712 |
Description of other identifying number | SEC # |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
586 |
i. Full name | Silver Oak Securities, Incorporated |
ii. LEI, if any, or provide and describe
other
identifying number | 8-51601 |
Description of other identifying number | SEC # |
iii. State, if applicable |
TENNESSEE
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
587 |
i. Full name | Ace Diversified Capital, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-49555 |
Description of other identifying number | SEC # |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
588 |
i. Full name | Laidlaw & Company (UK) Ltd. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-53731 |
Description of other identifying number | SEC # |
iii. State, if applicable | |
iv. Foreign country, if applicable |
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
589 |
i. Full name | EK Riley Investments, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-65369 |
Description of other identifying number | SEC # |
iii. State, if applicable |
WASHINGTON
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
590 |
i. Full name | Sterling Monroe Securities, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-65527 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
591 |
i. Full name | Security Distributors, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-10781 |
Description of other identifying number | SEC # |
iii. State, if applicable |
KANSAS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
592 |
i. Full name | Sunbelt Securities, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-49748 |
Description of other identifying number | SEC # |
iii. State, if applicable |
TEXAS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
593 |
i. Full name | American United Life Insurance Company |
ii. LEI, if any, or provide and describe
other
identifying number | 549300T82H2DYU80LV98 |
Description of other identifying number | |
iii. State, if applicable |
INDIANA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
594 |
i. Full name | Source Capital Group, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-47372 |
Description of other identifying number | SEC # |
iii. State, if applicable |
CONNECTICUT
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
595 |
i. Full name | Sigma Financial Corporation |
ii. LEI, if any, or provide and describe
other
identifying number | 8-30466 |
Description of other identifying number | SEC # |
iii. State, if applicable |
MICHIGAN
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
596 |
i. Full name | Ballew Investments, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-45660 |
Description of other identifying number | SEC # |
iii. State, if applicable |
MISSISSIPPI
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
597 |
i. Full name | Fifth Third Bank |
ii. LEI, if any, or provide and describe
other
identifying number | QFROUN1UWUYU0DVIWD51 |
Description of other identifying number | |
iii. State, if applicable |
OHIO
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
598 |
i. Full name | Strategic Point Securities |
ii. LEI, if any, or provide and describe
other
identifying number | 8-65724 |
Description of other identifying number | SEC # |
iii. State, if applicable |
RHODE ISLAND
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
599 |
i. Full name | ICMA-RC Services, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-40268 |
Description of other identifying number | SEC # |
iii. State, if applicable |
DISTRICT OF COLUMBIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
600 |
i. Full name | Fieldpoint Private Securities, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-37105 |
Description of other identifying number | SEC # |
iii. State, if applicable |
CONNECTICUT
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
601 |
i. Full name | MML Distributors, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-48203 |
Description of other identifying number | SEC # |
iii. State, if applicable |
CONNECTICUT
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
602 |
i. Full name | Pruco Securities, LLC. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-16402 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NEW JERSEY
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
603 |
i. Full name | American Financial Securities, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-53205 |
Description of other identifying number | SEC # |
iii. State, if applicable |
IOWA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
604 |
i. Full name | Hanson McClain Securities |
ii. LEI, if any, or provide and describe
other
identifying number | 8-52250 |
Description of other identifying number | SEC # |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
605 |
i. Full name | Allegis Investment Services, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-69318 |
Description of other identifying number | SEC # |
iii. State, if applicable |
IDAHO
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
606 |
i. Full name | Allegheny Investments, Ltd. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-22183 |
Description of other identifying number | SEC # |
iii. State, if applicable |
PENNSYLVANIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
607 |
i. Full name | MWA Financial Services Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-53255 |
Description of other identifying number | SEC # |
iii. State, if applicable |
ILLINOIS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
608 |
i. Full name | Mutual Securities, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-28580 |
Description of other identifying number | SEC # |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
609 |
i. Full name | Integrity Investments, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-45302 |
Description of other identifying number | SEC # |
iii. State, if applicable |
FLORIDA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
610 |
i. Full name | Philip J. Greenblatt Securities Ltd |
ii. LEI, if any, or provide and describe
other
identifying number | 8-30725 |
Description of other identifying number | SEC # |
iii. State, if applicable |
ILLINOIS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
611 |
i. Full name | ADP Broker-Dealer, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-47885 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NEW JERSEY
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
612 |
i. Full name | Morgan Stanley & Co. LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-15869 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
613 |
i. Full name | Omni Financial Securities |
ii. LEI, if any, or provide and describe
other
identifying number | 8-44034 |
Description of other identifying number | SEC # |
iii. State, if applicable |
OHIO
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
614 |
i. Full name | Joseph Gunnar & Co. LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-41386 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
615 |
i. Full name | Itau International Securities, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-67674 |
Description of other identifying number | SEC # |
iii. State, if applicable |
FLORIDA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
616 |
i. Full name | Whitehall-Parker Securities, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-27688 |
Description of other identifying number | SEC # |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
617 |
i. Full name | Whitney National Bank |
ii. LEI, if any, or provide and describe
other
identifying number | NSGZD26XPW2CUM2JKU70 |
Description of other identifying number | |
iii. State, if applicable |
LOUISIANA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
618 |
i. Full name | SCF Securities, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-51760 |
Description of other identifying number | SEC # |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
619 |
i. Full name | Centaurus Financial, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-45185 |
Description of other identifying number | SEC # |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
620 |
i. Full name | Simmons First Investment Group, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-51795 |
Description of other identifying number | SEC # |
iii. State, if applicable |
ARKANSAS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
621 |
i. Full name | Register Financial Associates, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-45012 |
Description of other identifying number | SEC # |
iii. State, if applicable |
GEORGIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
622 |
i. Full name | American Capital Partners, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-65165 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
623 |
i. Full name | E-W Investments, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-35259 |
Description of other identifying number | SEC # |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
624 |
i. Full name | North South Capital, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-67979 |
Description of other identifying number | SEC # |
iii. State, if applicable |
ILLINOIS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
625 |
i. Full name | The Investment Center, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-35826 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NEW JERSEY
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
626 |
i. Full name | Cascade Financial Management, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-53730 |
Description of other identifying number | SEC # |
iii. State, if applicable |
COLORADO
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
627 |
i. Full name | J.D. Seibert & Company, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-23604 |
Description of other identifying number | SEC # |
iii. State, if applicable |
OHIO
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
628 |
i. Full name | Hudson Heritage Capital Management, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-50648 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
629 |
i. Full name | Navy Federal Brokerage Services, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-67161 |
Description of other identifying number | SEC # |
iii. State, if applicable |
VIRGINIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
630 |
i. Full name | TD Ameritrade, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-23395 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NEBRASKA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
631 |
i. Full name | World Trend Financial Planning Services, Ltd. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-43693 |
Description of other identifying number | SEC # |
iii. State, if applicable |
IOWA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
632 |
i. Full name | Ohanesian / Lecours, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-40729 |
Description of other identifying number | SEC # |
iii. State, if applicable |
CONNECTICUT
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
633 |
i. Full name | JJB Hilliard WL Lyons |
ii. LEI, if any, or provide and describe
other
identifying number | 8-33133 |
Description of other identifying number | SEC # |
iii. State, if applicable |
KENTUCKY
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
634 |
i. Full name | Penates Group, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-50594 |
Description of other identifying number | SEC # |
iii. State, if applicable |
ARIZONA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
635 |
i. Full name | State Street Bank and Trust Company |
ii. LEI, if any, or provide and describe
other
identifying number | 571474TGEMMWANRLN572 |
Description of other identifying number | |
iii. State, if applicable |
MASSACHUSETTS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
636 |
i. Full name | TCFG Wealth Management, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-69089 |
Description of other identifying number | SEC # |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
637 |
i. Full name | Highlander Capital Group, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-37169 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NEW JERSEY
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
638 |
i. Full name | Insigneo Securities, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-44166 |
Description of other identifying number | SEC # |
iii. State, if applicable |
FLORIDA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
639 |
i. Full name | Credit Suisse Securities (USA) LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-00422 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
640 |
i. Full name | Pensionmark Securities, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-69773 |
Description of other identifying number | SEC # |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
641 |
i. Full name | Hartford Life Insurance Company |
ii. LEI, if any, or provide and describe
other
identifying number | 8CE7JPU9IU72L3PPD756 |
Description of other identifying number | |
iii. State, if applicable |
CONNECTICUT
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
642 |
i. Full name | Liberty Capital Investment Corporation |
ii. LEI, if any, or provide and describe
other
identifying number | 8-42051 |
Description of other identifying number | SEC # |
iii. State, if applicable |
OREGON
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
643 |
i. Full name | Crestone Securities |
ii. LEI, if any, or provide and describe
other
identifying number | 8-52463 |
Description of other identifying number | SEC # |
iii. State, if applicable |
COLORADO
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
644 |
i. Full name | Brokers International Financial Services, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-67239 |
Description of other identifying number | SEC # |
iii. State, if applicable |
IOWA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
645 |
i. Full name | Capital Financial Services, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-25203 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NORTH DAKOTA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
646 |
i. Full name | Alight Solutions LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 084-01996 |
Description of other identifying number | SEC # |
iii. State, if applicable |
ILLINOIS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
647 |
i. Full name | Oppenheimer & Co. Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-04077 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
648 |
i. Full name | Mutual Trust Co. of America Securities |
ii. LEI, if any, or provide and describe
other
identifying number | 8-25547 |
Description of other identifying number | SEC # |
iii. State, if applicable |
FLORIDA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
649 |
i. Full name | Hapoalim Securities USA, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-03018 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
650 |
i. Full name | The Strategic Financial Alliance, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-65885 |
Description of other identifying number | SEC # |
iii. State, if applicable |
GEORGIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
651 |
i. Full name | Emerson Equity LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-66296 |
Description of other identifying number | SEC # |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
652 |
i. Full name | Vestech Securities, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-49409 |
Description of other identifying number | SEC # |
iii. State, if applicable |
KANSAS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
653 |
i. Full name | ACP Securities, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-67185 |
Description of other identifying number | SEC # |
iii. State, if applicable |
FLORIDA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
654 |
i. Full name | NorthWestern Mutual Investment Services, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-14088 |
Description of other identifying number | SEC # |
iii. State, if applicable |
WISCONSIN
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
655 |
i. Full name | B.B. Graham & Company, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-49477 |
Description of other identifying number | SEC # |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
656 |
i. Full name | Sovereign Legacy Securities, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-00621 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NORTH CAROLINA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
657 |
i. Full name | BFT Financial Group, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-53487 |
Description of other identifying number | SEC # |
iii. State, if applicable |
TEXAS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
658 |
i. Full name | Quincy Cass Associates, Incorporated |
ii. LEI, if any, or provide and describe
other
identifying number | 8-05743 |
Description of other identifying number | SEC # |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
659 |
i. Full name | Hilltop Securities, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-45123 |
Description of other identifying number | SEC # |
iii. State, if applicable |
TEXAS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
660 |
i. Full name | BMO Harris Financial Advisors, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-67064 |
Description of other identifying number | SEC # |
iii. State, if applicable |
ILLINOIS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
661 |
i. Full name | SunTrust Investment Services, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-35355 |
Description of other identifying number | SEC # |
iii. State, if applicable |
GEORGIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
662 |
i. Full name | Hightower Securities, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-53560 |
Description of other identifying number | SEC # |
iii. State, if applicable |
ILLINOIS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
663 |
i. Full name | Institutional Securities Corporation |
ii. LEI, if any, or provide and describe
other
identifying number | 8-38158 |
Description of other identifying number | SEC # |
iii. State, if applicable |
TEXAS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
664 |
i. Full name | CFT Securities, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-51345 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NEW JERSEY
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
665 |
i. Full name | Sweney Cartwright & Company |
ii. LEI, if any, or provide and describe
other
identifying number | 8-03150 |
Description of other identifying number | SEC # |
iii. State, if applicable |
OHIO
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
666 |
i. Full name | Chelsea Morgan Securities, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-51916 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
667 |
i. Full name | Principled Advisors, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-66451 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
668 |
i. Full name | Citigroup Global Markets Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-08177 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
669 |
i. Full name | Dominion Investor Services, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-39029 |
Description of other identifying number | SEC # |
iii. State, if applicable |
TEXAS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
670 |
i. Full name | H.D. Vest Investment Services |
ii. LEI, if any, or provide and describe
other
identifying number | 8-29533 |
Description of other identifying number | SEC # |
iii. State, if applicable |
TEXAS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
671 |
i. Full name | J.P. Morgan Institutional Investments Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-52182 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
672 |
i. Full name | Lincoln Financial Securities Corporation |
ii. LEI, if any, or provide and describe
other
identifying number | 8-14609 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NEW HAMPSHIRE
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
673 |
i. Full name | Unionbanc Investment Services, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-30706 |
Description of other identifying number | SEC # |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
674 |
i. Full name | Alerus Securities |
ii. LEI, if any, or provide and describe
other
identifying number | 8-47152 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NORTH DAKOTA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
675 |
i. Full name | CIBC World Markets Corp. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-18333 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
676 |
i. Full name | Henley & Company LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-66463 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
677 |
i. Full name | Standard Insurance Company |
ii. LEI, if any, or provide and describe
other
identifying number | 549300KVA8DBYKHPXO21 |
Description of other identifying number | |
iii. State, if applicable |
OREGON
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
678 |
i. Full name | Larson Financial Securities, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-68456 |
Description of other identifying number | SEC # |
iii. State, if applicable |
MISSOURI
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
679 |
i. Full name | Jacques Financial, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-52675 |
Description of other identifying number | SEC # |
iii. State, if applicable |
MARYLAND
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
680 |
i. Full name | Peak Brokerage Services, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-68829 |
Description of other identifying number | SEC # |
iii. State, if applicable |
GEORGIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
681 |
i. Full name | Sunstreet Securities, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-67541 |
Description of other identifying number | SEC # |
iii. State, if applicable |
ARIZONA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
682 |
i. Full name | McClurg Capital Corporation |
ii. LEI, if any, or provide and describe
other
identifying number | 8-34473 |
Description of other identifying number | SEC # |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
683 |
i. Full name | Western Growers Financial Services, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-53458 |
Description of other identifying number | SEC # |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
684 |
i. Full name | NPB Financial Group, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-67113 |
Description of other identifying number | SEC # |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
685 |
i. Full name | Edward D. Jones & Co., L.P. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-00759 |
Description of other identifying number | SEC # |
iii. State, if applicable |
MISSOURI
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
686 |
i. Full name | FSC Securities Corporation |
ii. LEI, if any, or provide and describe
other
identifying number | 8-21770 |
Description of other identifying number | SEC # |
iii. State, if applicable |
GEORGIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
687 |
i. Full name | Arive Capital Markets |
ii. LEI, if any, or provide and describe
other
identifying number | 8-43350 |
Description of other identifying number | SEC # |
iii. State, if applicable |
MINNESOTA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
688 |
i. Full name | USCA Securities LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-52285 |
Description of other identifying number | SEC # |
iii. State, if applicable |
TEXAS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
689 |
i. Full name | Optionsxpress |
ii. LEI, if any, or provide and describe
other
identifying number | 8-52354 |
Description of other identifying number | SEC # |
iii. State, if applicable |
ILLINOIS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
690 |
i. Full name | Heim, Young & Associates, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-48500 |
Description of other identifying number | SEC # |
iii. State, if applicable |
MISSOURI
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
691 |
i. Full name | Northern Trust Securities, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-23689 |
Description of other identifying number | SEC # |
iii. State, if applicable |
ILLINOIS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
692 |
i. Full name | Cardinal Investments, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-47493 |
Description of other identifying number | SEC # |
iii. State, if applicable |
ILLINOIS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
693 |
i. Full name | Fortune Financial Services, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-49727 |
Description of other identifying number | SEC # |
iii. State, if applicable |
PENNSYLVANIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
694 |
i. Full name | KCD Financial, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-66005 |
Description of other identifying number | SEC # |
iii. State, if applicable |
WISCONSIN
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
695 |
i. Full name | Bill Few Securities, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-49625 |
Description of other identifying number | SEC # |
iii. State, if applicable |
PENNSYLVANIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
696 |
i. Full name | ACA/Prudent Investors Planning Corporation |
ii. LEI, if any, or provide and describe
other
identifying number | 8-51899 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NEW JERSEY
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
697 |
i. Full name | Ameriprise Financial Services, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-16791 |
Description of other identifying number | SEC # |
iii. State, if applicable |
MINNESOTA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
698 |
i. Full name | Royal Alliance Associates, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-40218 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
699 |
i. Full name | Newport Retirement Services, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | N/A |
Description of other identifying number | |
iii. State, if applicable |
FLORIDA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
700 |
i. Full name | SG Americas Securities, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-66125 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
701 |
i. Full name | L.S.Y., Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-17613 |
Description of other identifying number | SEC # |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
702 |
i. Full name | Cetera Investment Services, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-31826 |
Description of other identifying number | SEC # |
iii. State, if applicable |
MINNESOTA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
703 |
i. Full name | Great American Investors, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-44380 |
Description of other identifying number | SEC # |
iii. State, if applicable |
KANSAS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
704 |
i. Full name | Lockton Financial Advisors, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-67090 |
Description of other identifying number | SEC # |
iii. State, if applicable |
MISSOURI
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
705 |
i. Full name | Foresters Financial Services |
ii. LEI, if any, or provide and describe
other
identifying number | 8-13891 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
706 |
i. Full name | StockCross Financial Services, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-17758 |
Description of other identifying number | SEC # |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
707 |
i. Full name | LifeMark Securities Corp. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-33478 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
708 |
i. Full name | Nelson Ivest Brokerage Services, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-26448 |
Description of other identifying number | SEC # |
iii. State, if applicable |
FLORIDA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
709 |
i. Full name | TradeStation Securities, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-48711 |
Description of other identifying number | SEC # |
iii. State, if applicable |
FLORIDA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
710 |
i. Full name | W.H. Colson Securities |
ii. LEI, if any, or provide and describe
other
identifying number | 8-53621 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NORTH CAROLINA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
711 |
i. Full name | H. C. Denison Co. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-00044 |
Description of other identifying number | SEC # |
iii. State, if applicable |
WISCONSIN
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
712 |
i. Full name | Oriental Financial Services Corp. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-44516 |
Description of other identifying number | SEC # |
iii. State, if applicable |
PUERTO RICO
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
713 |
i. Full name | Horan Securities, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-49192 |
Description of other identifying number | SEC # |
iii. State, if applicable |
OHIO
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
714 |
i. Full name | Veritas Independent Partners, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-69363 |
Description of other identifying number | SEC # |
iii. State, if applicable |
ARKANSAS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
715 |
i. Full name | Hazard & Siegel, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-13942 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
716 |
i. Full name | Avondale Partners, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-51550 |
Description of other identifying number | SEC # |
iii. State, if applicable |
TENNESSEE
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
717 |
i. Full name | Nationwide Securities, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-12500 |
Description of other identifying number | SEC # |
iii. State, if applicable |
OHIO
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
718 |
i. Full name | Carty & Company, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-19082 |
Description of other identifying number | SEC # |
iii. State, if applicable |
TENNESSEE
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
719 |
i. Full name | D.H. Hill Securities LLP |
ii. LEI, if any, or provide and describe
other
identifying number | 8-49475 |
Description of other identifying number | SEC # |
iii. State, if applicable |
TEXAS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
720 |
i. Full name | Forest Securities, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-33568 |
Description of other identifying number | SEC # |
iii. State, if applicable |
ILLINOIS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
721 |
i. Full name | First Western Securities, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-37613 |
Description of other identifying number | SEC # |
iii. State, if applicable |
TEXAS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
722 |
i. Full name | Weston Securities Corporation |
ii. LEI, if any, or provide and describe
other
identifying number | 8-32664 |
Description of other identifying number | SEC # |
iii. State, if applicable |
MASSACHUSETTS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
723 |
i. Full name | NIA Securities, L.L.C. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-50591 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NEW JERSEY
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
724 |
i. Full name | Ausdal Financial Partners, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-24519 |
Description of other identifying number | SEC # |
iii. State, if applicable |
IOWA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
725 |
i. Full name | Globalink Securities, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-44509 |
Description of other identifying number | SEC # |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
726 |
i. Full name | BTG Pactual US Capital, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-68148 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
727 |
i. Full name | Arque Capital, Ltd. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-65390 |
Description of other identifying number | SEC # |
iii. State, if applicable |
ARIZONA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
728 |
i. Full name | Detalus Securities, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-52180 |
Description of other identifying number | SEC # |
iii. State, if applicable |
MISSOURI
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
729 |
i. Full name | Titleist Asset Management, Ltd. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-65859 |
Description of other identifying number | SEC # |
iii. State, if applicable |
TEXAS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
730 |
i. Full name | GRF Capital Investors, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-41494 |
Description of other identifying number | SEC # |
iii. State, if applicable |
OKLAHOMA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
731 |
i. Full name | Mercantil Commercebank Investment Services |
ii. LEI, if any, or provide and describe
other
identifying number | 8-53612 |
Description of other identifying number | SEC # |
iii. State, if applicable |
FLORIDA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
732 |
i. Full name | CRI Securities, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-39877 |
Description of other identifying number | SEC # |
iii. State, if applicable |
MINNESOTA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
733 |
i. Full name | FBT Investments |
ii. LEI, if any, or provide and describe
other
identifying number | 8-52922 |
Description of other identifying number | SEC # |
iii. State, if applicable |
LOUISIANA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
734 |
i. Full name | Wilbanks Securities, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-49134 |
Description of other identifying number | SEC # |
iii. State, if applicable |
OKLAHOMA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
735 |
i. Full name | Amegy Investments, Inc. (Zions) |
ii. LEI, if any, or provide and describe
other
identifying number | 8-65399 |
Description of other identifying number | SEC # |
iii. State, if applicable |
TEXAS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
736 |
i. Full name | Fiduciary Advisors, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-52647 |
Description of other identifying number | SEC # |
iii. State, if applicable |
PENNSYLVANIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
737 |
i. Full name | BBVA Securities Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-42857 |
Description of other identifying number | SEC # |
iii. State, if applicable |
ALABAMA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
738 |
i. Full name | L.M. Kohn & Company |
ii. LEI, if any, or provide and describe
other
identifying number | 8-43303 |
Description of other identifying number | SEC # |
iii. State, if applicable |
OHIO
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
739 |
i. Full name | Sage, Rutty & Co., Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-00533 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
740 |
i. Full name | E*Trade Securities |
ii. LEI, if any, or provide and describe
other
identifying number | 8-44112 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NEW JERSEY
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
741 |
i. Full name | ABD Retirement Services, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-69271 |
Description of other identifying number | SEC # |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
742 |
i. Full name | Sandlapper Securities, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-67128 |
Description of other identifying number | SEC # |
iii. State, if applicable |
SOUTH CAROLINA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
743 |
i. Full name | Landaas & Company |
ii. LEI, if any, or provide and describe
other
identifying number | 8-51826 |
Description of other identifying number | SEC # |
iii. State, if applicable |
WISCONSIN
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
744 |
i. Full name | Cutter & Company Brokerage, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-39590 |
Description of other identifying number | SEC # |
iii. State, if applicable |
MISSOURI
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
745 |
i. Full name | Capital Investment Brokerage, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-49118 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NORTH CAROLINA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
746 |
i. Full name | SWBC Investment Services, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-66764 |
Description of other identifying number | SEC # |
iii. State, if applicable |
TEXAS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
747 |
i. Full name | International Research Securities, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-37954 |
Description of other identifying number | SEC # |
iii. State, if applicable |
TEXAS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
748 |
i. Full name | Union Capital Company |
ii. LEI, if any, or provide and describe
other
identifying number | 8-53127 |
Description of other identifying number | SEC # |
iii. State, if applicable |
ARIZONA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
749 |
i. Full name | Ascensus Broker Dealer Services, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-47312 |
Description of other identifying number | SEC # |
iii. State, if applicable |
MASSACHUSETTS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
750 |
i. Full name | Cannon Securities, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-68437 |
Description of other identifying number | SEC # |
iii. State, if applicable |
GEORGIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
751 |
i. Full name | DWS Investments Distributors, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-47765 |
Description of other identifying number | SEC # |
iii. State, if applicable |
ILLINOIS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
752 |
i. Full name | Genworth Life & Annuity Insurance Company |
ii. LEI, if any, or provide and describe
other
identifying number | TAI340D9BWT9R77O0P03 |
Description of other identifying number | |
iii. State, if applicable |
VIRGINIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
753 |
i. Full name | UBS AG, New York Branch |
ii. LEI, if any, or provide and describe
other
identifying number | BFM8T61CT2L1QCEMIK50 |
Description of other identifying number | |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
754 |
i. Full name | Planned Investment Co., Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-15266 |
Description of other identifying number | SEC # |
iii. State, if applicable |
INDIANA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
755 |
i. Full name | Bankers & Investors Co |
ii. LEI, if any, or provide and describe
other
identifying number | 8-21215 |
Description of other identifying number | SEC # |
iii. State, if applicable |
KANSAS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
756 |
i. Full name | B.C. Ziegler & Company |
ii. LEI, if any, or provide and describe
other
identifying number | 8-00094 |
Description of other identifying number | SEC # |
iii. State, if applicable |
ILLINOIS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
757 |
i. Full name | American Financial Associates, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-44065 |
Description of other identifying number | SEC # |
iii. State, if applicable |
PENNSYLVANIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
758 |
i. Full name | Conduent HR Services LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 084-06035 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
759 |
i. Full name | Great-West Financial Retirement Plan Services, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | N/A |
Description of other identifying number | |
iii. State, if applicable |
COLORADO
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
760 |
i. Full name | TCAdvisors Network Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-46909 |
Description of other identifying number | SEC # |
iii. State, if applicable |
COLORADO
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
761 |
i. Full name | BNP Paribas Securities Corp |
ii. LEI, if any, or provide and describe
other
identifying number | 8-40490 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
762 |
i. Full name | SII Investments, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-13963 |
Description of other identifying number | SEC # |
iii. State, if applicable |
WISCONSIN
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
763 |
i. Full name | Dominick & Dominick LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-21076 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
764 |
i. Full name | First Southern, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-69733 |
Description of other identifying number | SEC # |
iii. State, if applicable |
PUERTO RICO
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
765 |
i. Full name | Wescom Financial Services, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-66189 |
Description of other identifying number | SEC # |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
766 |
i. Full name | Safra Securities LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-51935 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
767 |
i. Full name | Packerland Brokerage Services, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-47572 |
Description of other identifying number | SEC # |
iii. State, if applicable |
WISCONSIN
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
768 |
i. Full name | Sammons Financial Network, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-68905 |
Description of other identifying number | SEC # |
iii. State, if applicable |
IOWA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
769 |
i. Full name | City National Bank |
ii. LEI, if any, or provide and describe
other
identifying number | 593C3GZG957YOJPS2Z63 |
Description of other identifying number | |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
770 |
i. Full name | Financial West Investment Group, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-34448 |
Description of other identifying number | SEC # |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
771 |
i. Full name | Means Investment Co., Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-27458 |
Description of other identifying number | SEC # |
iii. State, if applicable |
MAINE
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
772 |
i. Full name | S.G. Long & Company |
ii. LEI, if any, or provide and describe
other
identifying number | 8-51816 |
Description of other identifying number | SEC # |
iii. State, if applicable |
MONTANA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
773 |
i. Full name | Capital City Securities, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-67771 |
Description of other identifying number | SEC # |
iii. State, if applicable |
OHIO
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
774 |
i. Full name | New England Pension Plan Systems, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | N/A |
Description of other identifying number | |
iii. State, if applicable |
RHODE ISLAND
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
775 |
i. Full name | Wellington Shields & Co., LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-68098 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
776 |
i. Full name | Private Client Services, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-68183 |
Description of other identifying number | SEC # |
iii. State, if applicable |
KENTUCKY
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
777 |
i. Full name | Ascensus Financial Services, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-67891 |
Description of other identifying number | SEC # |
iii. State, if applicable |
PENNSYLVANIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
778 |
i. Full name | Dempsey Lord Smith, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-67469 |
Description of other identifying number | SEC # |
iii. State, if applicable |
GEORGIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
779 |
i. Full name | Stonnington Group, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-66919 |
Description of other identifying number | SEC # |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
780 |
i. Full name | Hunter Associates, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-44779 |
Description of other identifying number | SEC # |
iii. State, if applicable |
PENNSYLVANIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
781 |
i. Full name | S F Sentry Securities, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-43101 |
Description of other identifying number | SEC # |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
782 |
i. Full name | Prudential Investment Management Services LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-36540 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NEW JERSEY
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
783 |
i. Full name | J.A. Glynn & Co. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-39465 |
Description of other identifying number | SEC # |
iii. State, if applicable |
MISSOURI
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
784 |
i. Full name | Advanced Advisor Group, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-67313 |
Description of other identifying number | SEC # |
iii. State, if applicable |
MINNESOTA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
785 |
i. Full name | WBB Securities, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-53660 |
Description of other identifying number | SEC # |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
786 |
i. Full name | Leigh Baldwin & Co., LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-48385 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
787 |
i. Full name | Northeastern Financial Group, Incorporated |
ii. LEI, if any, or provide and describe
other
identifying number | 8-33132 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NEW JERSEY
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
788 |
i. Full name | Bodell Overcash Anderson & Co., Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-15775 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
789 |
i. Full name | Innovation Partners LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-67812 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NORTH CAROLINA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
790 |
i. Full name | Safeguard Securities |
ii. LEI, if any, or provide and describe
other
identifying number | 8-45442 |
Description of other identifying number | SEC # |
iii. State, if applicable |
OHIO
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
791 |
i. Full name | Cape Securities Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-20747 |
Description of other identifying number | SEC # |
iii. State, if applicable |
GEORGIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
792 |
i. Full name | Allegiance Capital, L.L.C. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-52978 |
Description of other identifying number | SEC # |
iii. State, if applicable |
MAINE
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
793 |
i. Full name | Capital Management Securities, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-27779 |
Description of other identifying number | SEC # |
iii. State, if applicable |
MINNESOTA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
794 |
i. Full name | L.O. Thomas & Co. Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-40875 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NEW JERSEY
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
795 |
i. Full name | Caldwell Securities, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-27639 |
Description of other identifying number | SEC # |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
796 |
i. Full name | Lesko Securities Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-26408 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
797 |
i. Full name | America Northcoast Securities, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-33033 |
Description of other identifying number | SEC # |
iii. State, if applicable |
OHIO
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
798 |
i. Full name | Horace Mann Life Insurance Co. |
ii. LEI, if any, or provide and describe
other
identifying number | 5493000HR2JKKNH2FL09 |
Description of other identifying number | |
iii. State, if applicable |
ILLINOIS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
799 |
i. Full name | Stephens Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-01927 |
Description of other identifying number | SEC # |
iii. State, if applicable |
ARKANSAS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
800 |
i. Full name | The Huntington Investment Company |
ii. LEI, if any, or provide and describe
other
identifying number | 8-34867 |
Description of other identifying number | SEC # |
iii. State, if applicable |
OHIO
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
801 |
i. Full name | Exeter Trust Company |
ii. LEI, if any, or provide and describe
other
identifying number | 028-04279 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NEW HAMPSHIRE
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
802 |
i. Full name | Davenport & Company LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-17103 |
Description of other identifying number | SEC # |
iii. State, if applicable |
VIRGINIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
803 |
i. Full name | Trade-PMR Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-51390 |
Description of other identifying number | SEC # |
iii. State, if applicable |
FLORIDA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
804 |
i. Full name | Goldman Sachs & Co. LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-00129 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
805 |
i. Full name | 1st Global Capital Corp. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-44870 |
Description of other identifying number | SEC # |
iii. State, if applicable |
TEXAS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
806 |
i. Full name | Synovus Securities, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-34709 |
Description of other identifying number | SEC # |
iii. State, if applicable |
GEORGIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
807 |
i. Full name | Capital Portfolio Management, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-44225 |
Description of other identifying number | SEC # |
iii. State, if applicable |
MARYLAND
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
808 |
i. Full name | Rehmann Financial Network |
ii. LEI, if any, or provide and describe
other
identifying number | 8-69134 |
Description of other identifying number | SEC # |
iii. State, if applicable |
MICHIGAN
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
809 |
i. Full name | Foresters Equity Services, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-36703 |
Description of other identifying number | SEC # |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
810 |
i. Full name | VBC Securities, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-44141 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NEW JERSEY
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
811 |
i. Full name | U.S. Bancorp Investments, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-35359 |
Description of other identifying number | SEC # |
iii. State, if applicable |
MINNESOTA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
812 |
i. Full name | CFD Investments, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-41727 |
Description of other identifying number | SEC # |
iii. State, if applicable |
INDIANA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
813 |
i. Full name | White Mountain Capital, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-52572 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
814 |
i. Full name | Voya Institutional Plan Services, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | N/A |
Description of other identifying number | |
iii. State, if applicable |
MASSACHUSETTS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
815 |
i. Full name | Arkadios Capital |
ii. LEI, if any, or provide and describe
other
identifying number | 8-69729 |
Description of other identifying number | SEC # |
iii. State, if applicable |
GEORGIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
816 |
i. Full name | Verity Investments, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-49474 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NORTH CAROLINA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
817 |
i. Full name | Independence Capital Co., Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-41331 |
Description of other identifying number | SEC # |
iii. State, if applicable |
OHIO
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
818 |
i. Full name | Family Investors Company |
ii. LEI, if any, or provide and describe
other
identifying number | 8-11190 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NEW JERSEY
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
819 |
i. Full name | SEI Private Trust Company |
ii. LEI, if any, or provide and describe
other
identifying number | 028-10625 |
Description of other identifying number | SEC # |
iii. State, if applicable |
PENNSYLVANIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
820 |
i. Full name | Coldstream Securities, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-51549 |
Description of other identifying number | SEC # |
iii. State, if applicable |
WASHINGTON
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
821 |
i. Full name | UBATCO & Co. |
ii. LEI, if any, or provide and describe
other
identifying number | N/A |
Description of other identifying number | |
iii. State, if applicable |
NEBRASKA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
822 |
i. Full name | Country Club Financial Services, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-44574 |
Description of other identifying number | SEC # |
iii. State, if applicable |
MISSOURI
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
823 |
i. Full name | Grant Williams L.P. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-51249 |
Description of other identifying number | SEC # |
iii. State, if applicable |
PENNSYLVANIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
824 |
i. Full name | The O.N. Equity Sales Company |
ii. LEI, if any, or provide and describe
other
identifying number | 8-14161 |
Description of other identifying number | SEC # |
iii. State, if applicable |
OHIO
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
825 |
i. Full name | Vestor Capital Securities |
ii. LEI, if any, or provide and describe
other
identifying number | 8-32743 |
Description of other identifying number | SEC # |
iii. State, if applicable |
ILLINOIS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
826 |
i. Full name | Robert W. Baird & Co. Incorporated |
ii. LEI, if any, or provide and describe
other
identifying number | 8-00497 |
Description of other identifying number | SEC # |
iii. State, if applicable |
WISCONSIN
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
827 |
i. Full name | UBS Financial Services Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-16267 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NEW JERSEY
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
828 |
i. Full name | Feldstein Financial Group, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-53388 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NEW JERSEY
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
829 |
i. Full name | Intercarolina Financial Services, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-37519 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NORTH CAROLINA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
830 |
i. Full name | Westport Capital Markets, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-49495 |
Description of other identifying number | SEC # |
iii. State, if applicable |
CONNECTICUT
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
831 |
i. Full name | Symphonic Securities LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-67220 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
832 |
i. Full name | Key West Investments, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-68166 |
Description of other identifying number | SEC # |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
833 |
i. Full name | American Portfolios Financial Services, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-37085 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
834 |
i. Full name | Griffinest Asia Securities, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-66571 |
Description of other identifying number | SEC # |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
835 |
i. Full name | Meridien Financial Group, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-26090 |
Description of other identifying number | SEC # |
iii. State, if applicable |
RHODE ISLAND
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
836 |
i. Full name | World Choice Securities, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-45235 |
Description of other identifying number | SEC # |
iii. State, if applicable |
TEXAS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
837 |
i. Full name | The Capital Group Securities, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-52512 |
Description of other identifying number | SEC # |
iii. State, if applicable |
RHODE ISLAND
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
838 |
i. Full name | Jack V. Butterfield Investment Company |
ii. LEI, if any, or provide and describe
other
identifying number | 8-12454 |
Description of other identifying number | SEC # |
iii. State, if applicable |
MICHIGAN
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
839 |
i. Full name | Western Equity Group, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-66403 |
Description of other identifying number | SEC # |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
840 |
i. Full name | Avisen Securities, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-65833 |
Description of other identifying number | SEC # |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
841 |
i. Full name | Vorpahl Wing Securities |
ii. LEI, if any, or provide and describe
other
identifying number | 8-51823 |
Description of other identifying number | SEC # |
iii. State, if applicable |
WASHINGTON
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
842 |
i. Full name | Westminster Financial Securities, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-38426 |
Description of other identifying number | SEC # |
iii. State, if applicable |
OHIO
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
843 |
i. Full name | BestVest Investments, Ltd. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-49007 |
Description of other identifying number | SEC # |
iii. State, if applicable |
PENNSYLVANIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
844 |
i. Full name | Neuberger Berman LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-01068 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
845 |
i. Full name | International Financial Solutions, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-49020 |
Description of other identifying number | SEC # |
iii. State, if applicable |
GEORGIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
846 |
i. Full name | Cresap, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-42117 |
Description of other identifying number | SEC # |
iii. State, if applicable |
PENNSYLVANIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
847 |
i. Full name | D.A. Davidson & Co. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-02399 |
Description of other identifying number | SEC # |
iii. State, if applicable |
MONTANA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
848 |
i. Full name | Mid Atlantic Capital Corporation |
ii. LEI, if any, or provide and describe
other
identifying number | 8-27663 |
Description of other identifying number | SEC # |
iii. State, if applicable |
PENNSYLVANIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
849 |
i. Full name | Oberweis Securities, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-49679 |
Description of other identifying number | SEC # |
iii. State, if applicable |
ILLINOIS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
850 |
i. Full name | Akar Capital Management, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-28026 |
Description of other identifying number | SEC # |
iii. State, if applicable |
FLORIDA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
851 |
i. Full name | Profinancial, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-32026 |
Description of other identifying number | SEC # |
iii. State, if applicable |
LOUISIANA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
852 |
i. Full name | Northern Capital Securities Corporation |
ii. LEI, if any, or provide and describe
other
identifying number | 8-49130 |
Description of other identifying number | SEC # |
iii. State, if applicable |
MASSACHUSETTS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
853 |
i. Full name | Stephen A. Kohn & Associates, Ltd. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-49279 |
Description of other identifying number | SEC # |
iii. State, if applicable |
COLORADO
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
854 |
i. Full name | Huntleigh Securities Corporation |
ii. LEI, if any, or provide and describe
other
identifying number | 8-21893 |
Description of other identifying number | SEC # |
iii. State, if applicable |
MISSOURI
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
855 |
i. Full name | BAC Florida Investments |
ii. LEI, if any, or provide and describe
other
identifying number | 8-37483 |
Description of other identifying number | SEC # |
iii. State, if applicable |
FLORIDA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
856 |
i. Full name | CGIS Securities LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-68758 |
Description of other identifying number | SEC # |
iii. State, if applicable |
FLORIDA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
857 |
i. Full name | Morris Group, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-28916 |
Description of other identifying number | SEC # |
iii. State, if applicable |
INDIANA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
858 |
i. Full name | LPL Financial LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-17668 |
Description of other identifying number | SEC # |
iii. State, if applicable |
MASSACHUSETTS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
859 |
i. Full name | BB&T Investments |
ii. LEI, if any, or provide and describe
other
identifying number | 8-46134 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NORTH CAROLINA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
860 |
i. Full name | Navaid Financial Services, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-49897 |
Description of other identifying number | SEC # |
iii. State, if applicable |
PENNSYLVANIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
861 |
i. Full name | SecureVest Financial Group |
ii. LEI, if any, or provide and describe
other
identifying number | 8-26030 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NEW JERSEY
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
862 |
i. Full name | Insight Securities, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-16247 |
Description of other identifying number | SEC # |
iii. State, if applicable |
ILLINOIS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
863 |
i. Full name | Securities Research, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-23699 |
Description of other identifying number | SEC # |
iii. State, if applicable |
FLORIDA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
864 |
i. Full name | Capital Investment Group, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-31225 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NORTH CAROLINA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
865 |
i. Full name | Middlegate Securities Ltd. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-39031 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
866 |
i. Full name | William Blair & Company L.L.C. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-02698 |
Description of other identifying number | SEC # |
iii. State, if applicable |
ILLINOIS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
867 |
i. Full name | CCF Investments, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-67027 |
Description of other identifying number | SEC # |
iii. State, if applicable |
GEORGIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
868 |
i. Full name | Teckmeyer Financial Services, L.L.C. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-48501 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NEBRASKA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
869 |
i. Full name | Crescent Securities Group |
ii. LEI, if any, or provide and describe
other
identifying number | 8-53457 |
Description of other identifying number | SEC # |
iii. State, if applicable |
TEXAS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
870 |
i. Full name | First Manhattan Co. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-10438 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
871 |
i. Full name | RIM Securities LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-36759 |
Description of other identifying number | SEC # |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
872 |
i. Full name | Investment Placement Group |
ii. LEI, if any, or provide and describe
other
identifying number | 8-30700 |
Description of other identifying number | SEC # |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
873 |
i. Full name | WedBush Securities Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-12987 |
Description of other identifying number | SEC # |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|