EX-99.(26)(2)(B) 3 d290946dex99262b.htm LIST OF THIRD PARTY BROKER-DEALER FIRMS List of third party broker-dealer firms

 

BD Name    CRD#  

1st Discount Brokerage, Inc.

     39164   

1st Global Capital Corp.

     30349   

1st Worldwide Financial Partners, LLC

     132038   

3 Mark Equities, Inc.

     104276   

A&F Financial Securities, Inc.

     44791   

Abacus Investments, Inc.

     35127   

Abshier Webb Donnelly & Baker, Inc.

     104051   

Access Investments, Inc.

     42202   

ACE Diversified Capital, Inc.

     41768   

Advanced Advisor Group, LLC

     140393   

Adviser Dealer Services, Inc.

     36773   

Advisory Group Equity Services Ltd.

     15427   

Aegis Capital Corp.

     15007   

Aegis Investments, Inc.

     16033   

Affinity Investment Services, LLC

     104296   

AHT Financial Group, Ltd.

     17998   

Alamo Capital

     26193   

Alaska Capital Management Corporation

     46147   

Alerus Securities Corporation

     35947   

Allegheny Investments, Ltd.

     7597   

Allegiance Capital, LLC

     105285   

Allegiant Securities L.L.C.

     133912   

Allen & Company of Florida, Inc.

     25   

Alliance Advisory & Securities, Inc.

     18835   

Alliance Affiliated Equities Corporation

     23928   

Allied Asset Management, Inc.

     16403   

Allstate Financial Services, LLC

     18272   

Amegy Investments, Inc.

     120145   

American Equity Investment Corporation

     40199   

American Financial Associates, Inc.

     29049   

American Independent Securities Group, LLC

     135288   

American Investors Company

     38   

American Investors Group, Inc.

     10020   

American Municipal Securities, Inc.

     8365   

American Network Securities Corp.

     13750   

American Portfolios Financial Services, Inc.

     18487   

American Wealth Management, Inc.

     25536   

Ameriprise Financial Services, Inc.

     6363   

Ameritas Investment Corp

     14869   

Anderson & Strudwick, Incorporated

     48   

Andrew Garrett Inc.

     29931   

AON Benfield Securities, Inc.

     4138   

Arete Wealth Management, LLC

     44856   

Arlington Securities, Incorporated

     19596   

Arma Financial Services, Inc.

     18033   

Arque Capital, Ltd.

     121192   

Arvest Asset Management

     42057   

Askar Corp.

     7512   

Assist Investment Management Company, Inc.

     34902   

Associated Investment Services, Inc.

     1464   

Ausdal Financial Partners, Inc.

     7995   


 

Aventura Securities, LLC

     142374   

Avondale Partners, LLC

     46838   

AXA Advisors, LLC

     6627   

B. C. Ziegler And Company

     61   

B.B. Graham & Company, Inc.

     41533   

Baker Tilly Capital, LLC

     115333   

Ballew Investments, Inc.

     32028   

BancorpSouth Investment Services, Inc.

     46259   

BancWest Investment Services, Inc.

     29357   

Bankoh Investment Services, Inc.

     29280   

Bay Colony Securities Co., Inc.

     2493   

BB&T Investment Services, Inc.

     33856   

BCG Securities, Inc.

     70   

Bedminster Financial Group, Limited

     39916   

Benefit Funding Services, LLC

     44079   

Benjamin F. Edwards & Company, Inc.

     146936   

Bernard Herold & Co., Inc.

     6193   

Berthel Fisher & Company Financial Services, Inc.

     13609   

BestVest Investments, Ltd.

     40302   

BFT Financial Group, LLC

     109121   

BG Worldwide Securities, Inc.

     121735   

Bill Few Securities, Inc.

     41917   

Birchtree Financial Services, Inc.

     15014   

Blakeslee And Blakeslee Inc.

     8149   

BMA Securities

     108219   

Bosc, Inc.

     17530   

BPU Investment Management Inc.

     17058   

Brandon Investments, Inc.

     16931   

Bristol Financial Services, Inc.

     137988   

Broker Dealer Financial Services Corp.

     8073   

Brokers International Financial Services, LLC

     139627   

brokersXpress LLC

     127081   

Brookstone Securities, Inc.

     13366   

Brown Advisory Securities, LLC

     120736   

Brown Associates, Inc.

     5049   

Buckman, Buckman & Reid, Inc.

     23407   

Bull & Bear Brokerage Services, Inc.

     113866   

Burnham Securities Inc.

     22549   

Buttonwood Partners, Inc.

     27108   

C. G. Menk & Associates, Inc.

     38336   

C.K. Cooper & Company, Inc.

     106578   

Cadaret, Grant & Co., Inc.

     10641   

Callaway Financial Services, Inc.

     104003   

Calton & Associates, Inc.

     20999   

Cambridge Investment Research, Inc.

     39543   

Cambridge Legacy Securities L.L.C.

     103722   

Cammack LaRhette Brokerage, Inc.

     109906   

Cantella & Co., Inc.

     13905   

Cape Securities, Inc.

     7072   

CapFinancial Partners, LLC

     126291   

Capital Analysts, Incorporated

     5478   

Capital Brokerage Corporation

     10465   


 

Capital City Securities, LLC

     146001   

Capital Financial Services, Inc.

     8408   

Capital Guardian, LLC

     137919   

Capital Investment Brokerage, Inc.

     40657   

Capital Investment Group, Inc.

     14752   

Capital Management Securities, Inc.

     10579   

Capital One Investment Services LLC

     25658   

Capital Securities Investment Corporation

     5606   

Capital West Securities, Inc.

     38182   

Capitol Securities Management, Inc.

     14169   

Capstone Investments

     41400   

Cardinal Investments, Inc.

     36838   

Carey, Thomas, Hoover, & Breault, Inc.

     38367   

Carolinas Investment Consulting LLC

     104379   

Carter, Terry & Company, Inc.

     16365   

Carty & Company, Inc.

     7001   

Cary Street Partners LLC

     128089   

Cascade Financial Management, Inc.

     119030   

Cascade Investment Group, Inc.

     35844   

Catholic Financial Services Corporation

     37185   

CBIZ Financial Solutions, Inc.

     16678   

CCF Investments, Inc.

     136571   

CCO Investment Services Corp.

     39550   

Centara Capital Securities, Inc.

     130702   

Centaurus Financial, Inc.

     30833   

Center Street Securities, Inc.

     26898   

Century Securities Associates, Inc.

     28218   

Ceros Financial Services, Inc.

     37869   

CFD Investments, Inc.

     25427   

CG Brokerage L.L.C.

     112033   

Chase Investment Services Corp.

     25574   

Chauner Securities, Inc.

     10075   

Chelsea Financial Services

     47770   

Choice Investments, Inc.

     17665   

Christopher Weil & Company, Inc.

     22090   

Chrysalis Capital Group LLC

     138499   

CIG Securities

     129864   

Citigroup Global Markets Inc.

     7059   

City Securities Corporation

     1459   

Clark Dodge & Co., Inc.

     23288   

Clark Securities, Inc.

     43803   

Cleary Gull Inc.

     45309   

CMP Equities, Inc.

     19686   

CMS Investment Resources, Inc.

     10102   

Coastal Equities, Inc.

     23769   

Coburn & Meredith, Inc.

     164   

Coker & Palmer, Inc.

     29163   

Colony Park Financial Services LLC.

     41534   

Comerica Securities, Inc.

     17079   

Commerce Brokerage Services, Inc.

     17140   

Commonwealth Financial Group, Inc.

     32505   

Commonwealth Financial Network

     8032   


 

Compak Securities, Inc.

     125472   

BBVA Compass Investment Solutions, Inc

     17086   

Compass Securities Corporation

     16168   

Comprehensive Asset Management and Servicing, Inc.

     43814   

Conover Securities

     17129   

First State Financial Management, Inc.

     16590   

Constellation Wealth Advisors LLC

     142502   

Continental Investors Services, Inc.

     29775   

Cooper Malone McClain, Inc.

     18637   

Coordinated Capital Securities, Inc.

     14762   

Correll Co. Investment Services Corp.

     38995   

Cost Containment Services, Inc.

     22938   

Country Club Financial Services, Inc.

     29807   

Courtlandt Securities Coproration

     137356   

CP Capital Securities

     15029   

CPI Capital

     44575   

CPS Financial & Insurance Services, Inc.

     41243   

Crews & Associates, Inc.

     8052   

Crowell, Weedon & Co.

     193   

Crown Capital Securities, L.P.

     6312   

CUNA Brokerage Services, Inc.

     13941   

Curren & Company

     25978   

Curtis Securities, LLC

     104153   

CUSO Financial Services, L.P.

     42132   

Cutter & Company, Inc.

     22449   

CW Securities, LLC

     124496   

D.A. Davidson & Co.

     199   

D.H. Hill Securities LLP

     41528   

Dalton Strategic Investment Services Inc.

     23485   

Davenport & Company LLC

     1588   

David A. Noyes & Company

     205   

Davinci Capital Management Inc.

     46897   

Dawson James Securities, Inc.

     130645   

Delta Equity Services Corporation

     15650   

Delta Trust Investments, Inc.

     47439   

Dempsey Financial Network, Inc.

     38330   

Dempsey Lord Smith, LLC

     141238   

Despain Financial Corporation

     17360   

Detwiler Fenton & Co.

     1794   

Deutsche Bank Securities Inc.

     2525   

DeWaay Financial Network, LLC

     30767   

DFP Equities, Inc.

     7518   

Diversified Resources, LLC

     31346   

Diversified Securities, Incorporated

     222   

Domestic Financial Services, Inc.

     6732   

Dominion Investor Services, Inc.

     21548   

Don Alexander Investments, Inc.

     15931   

Donegal Securities, Inc.

     128447   

Dorsey & Company, Inc.

     1668   

Dougherty & Company LLC

     7477   

Duncan-Williams, Inc.

     6950   

Eagle One Investments, LLC

     45254   


 

ECM Securities Corp.

     118356   

Economy Securities, Incorporated

     10228   

Edward Jones

     250   

E.K. Riley Investments, LLC

     121003   

Elliott Davis Brokerage Services, LLC

     41608   

Eltekon Securities, LLC

     111645   

Emerson Equity LLC

     130032   

Ensemble Financial Services, Inc.

     17443   

Equity Services, Inc.

     265   

Essex Financial Services, Inc.

     127549   

Essex National Securities, Inc.

     25454   

Essex Securities LLC

     46605   

Executive Services Securities, LLC

     25299   

Exos Securities, LLC

     147909   

Fairport Capital, Inc.

     15034   

Family Investors Company

     1785   

Farmers Financial Solutions, LLC

     103863   

FAS Corp.

     43536   

FB Equity Sales Corporation of Michigan

     39337   

FBT Investments, Inc.

     104463   

Feltl & Company

     6905   

Fenwick Securities, Inc.

     45353   

Fifth Third Securities, Inc.

     628   

Finance 500, Inc.

     12981   

Financial Advisers of America, LLC

     142170   

Financial Network Investment Corporation

     13572   

Financial Paradigms, Inc.

     125864   

Financial Planning Consultants, Inc.

     8541   

Financial Security Management, Incorporated

     43000   

Financial Telesis Inc

     31012   

Financial West Group

     16668   

Fintegra, LLC

     16741   

First Allied Securities, Inc.

     32444   

First American Capital and Trading Corporation

     118812   

First Bankers’ Banc Securities, Inc

     15041   

First Brokerage America, L.L.C.

     43431   

First Citizens Financial Plus, Inc.

     18591   

First Citizens Investor Services, Inc.

     44430   

First Citizens Securities Corporation

     140161   

First Dallas Securities Incorporated

     24549   

First Financial Securities Of America, Inc.

     13642   

First Heartland Capital, Inc.

     32460   

First Independent Financial Services, Inc.

     128904   

First Kentucky Securities Corporation

     7524   

First Midwest Securities, Inc.

     21786   

First Research Financial

     27915   

First Southwest Company

     316   

First Tennessee Brokerage, Inc.

     17117   

First Western Advisors

     13623   

First Western Securities, Inc.

     19537   

FirstMerit Financial Services, Inc.

     149680   

Florida Investment Advisors

     109492   


 

FMN Capital Corporation

     38105   

FMSbonds, Inc.

     7793   

FNBB Capital Markets, LLC

     132091   

Folger Nolan Fleming Douglas Incorporated

     319   

Foothill Securities, Inc.

     1027   

Foresters Equity Services, Inc.

     18464   

Fortune Financial Services, Inc.

     42150   

Fortune Securities, Inc.

     40821   

Founders Financial Securities, LLC

     137945   

Fourth Street Financial Group, Inc.

     29704   

FPCM Securities, LLC

     38283   

Freedom Investors Corp.

     23714   

Frost Brokerage Services, Inc.

     17465   

FSC Securities Corporation

     7461   

FSIC

     37813   

Fulcrum Securities, Inc.

     140084   

G - W Brokerage Group, Inc.

     22691   

G & W Equity Sales, Inc.

     35356   

G. A. Repple & Company

     17486   

G.F. Investment Services, LLC

     132939   

G.L.S. & Associates, Inc.

     47502   

Garden State Securities, Inc.

     10083   

Gardner Financial Services, Inc.

     21000   

GBS Financial Corp.

     16906   

GDC Securities, LLC

     38931   

Geneos Wealth Management, Inc.

     120894   

General Securities Corp

     15062   

Genworth Financial Securities Corporation

     10358   

GFA Securities, LLC

     128568   

Girard Securities, Inc.

     18697   

Glen Eagle Advisors LLC

     124504   

Global Brokerage Services, Inc.

     37505   

Globalink Securities, Inc.

     29721   

Goelzer Investment Management

     44402   

Gold Coast Securities, Inc.

     110925   

Goodwin Browning & Luna Securities, Inc.

     27523   

Gradient Securities, LLC

     127701   

Grant Williams L.P.

     45961   

GRB Financial, LLC

     130490   

Great American Investors, Inc.

     28489   

Greenberg Financial Group

     38747   

Gregory J. Schwartz & Co., Inc.

     7294   

Gregory, Zent & Swanson, Inc.

     22590   

GWN Securities Inc.

     128929   

H. Beck, Inc.

     1763   

H. C. Denison Co.

     1628   

H.D. Vest Investment Services

     13686   

Hahn Securities, Inc.

     18191   

Hancock Investment Services, Inc.

     40637   

Hancock Securities Group, LLC

     103260   

Hanson McClain Retirement Network, LLC

     103747   

Harbor Financial Services, LLC

     25700   


 

Harbour Investments, Inc.

     19258   

Harger & Company, Inc.

     10385   

Harold Dance Investments

     1582   

Harris Investor Services, Inc.

     137115   

Harvest Capital LLC

     35723   

Harvest Financial Corporation

     8733   

Hazard & Siegel, Inc.

     2048   

Hazlett, Burt & Watson, Inc.

     396   

HBW Securities LLC

     136959   

Heartland Investment Associates, Inc.

     26974   

Hefren-Tillotson, Inc.

     53   

Heim, Young & Associates, Incorporated

     38993   

Henley & Company LLC

     131453   

Heritage Financial Systems, Inc.

     133019   

Highland Financial, Ltd

     25896   

HighTower Securities, LLC

     116681   

Hollencrest Securities, LLC

     46217   

Horan Securities, Inc.

     40794   

Hornor, Townsend & Kent, Inc.

     4031   

Horwitz & Associates, Inc.

     5611   

Howe Barnes Hoefer & Arnett, Inc.

     2240   

HRC Investment Services, Inc.

     31741   

HSBC Securities (USA) Inc.

     19585   

Huckin Financial Group, Inc.

     8593   

Hudson Heritage Capital Management, Inc.

     44357   

Hunter Associates, Inc.

     30177   

Huntleigh Securities Corporation

     7456   

IBN Financial Services, Inc.

     42360   

IMS Securities, Inc.

     35567   

Independence Capital Co. Inc.

     24723   

Independent Financial Group, LLC

     7717   

Indiana Merchant Banking and Brokerage Co., Inc.

     16315   

Indiana Securities, LLC

     45115   

Infinex Investments, Inc.

     35371   

Infinity Securities, Inc.

     144302   

ING Financial Advisers, LLC

     34815   

ING Financial Partners, Inc.

     2882   

Inlet Securities, LLC

     140278   

Institutional Capital Management, Inc.

     41055   

Institutional Securities Corporation

     20291   

Integrated Trading And Investments, Inc.

     47730   

Intercarolina Financial Services, Inc.

     19475   

International Financial Solutions, Inc.

     40375   

International Money Management Group, Inc.

     14367   

Interpacific Investors Services, Inc.

     4879   

Intervest International Equities Corporation

     20289   

Inverness Securities, LLC

     129914   

Invest Financial Corporation

     12984   

Investacorp, Inc.

     7684   

Investment Architects, Inc.

     17774   

Investment Centers of America, Inc.

     16443   

Investment Planners, Inc.

     18557   


 

Investment Professionals, Inc.

     30184   

Investment Security Corporation

     47536   

Investors Capital Corp.

     30613   

Investors Security Company, Inc.

     2331   

J K R & Company, Inc.

     8040   

J. Alden Associates, Inc.

     40002   

J. K. Financial Services, Inc.

     103728   

J.J.B. Hilliard, W.L. Lyons, LLC

     453   

J.P. Turner & Company, L.L.C.

     43177   

J.W. Cole Financial, Inc.

     124583   

Jacques Financial, LLC

     104219   

CV Brokerage Inc.

     462   

James I. Black & Company

     1249   

James T. Borello & Co.

     16860   

Janney Montgomery Scott LLC

     463   

JBS Liberty Securities, Inc.

     36179   

Johnson Securities, Inc.

     15384   

Johnston, Lemon & Co. Incorporated

     473   

JRL Capital Corporation

     10225   

JTA Securities Management, Inc. dba Titan Securities

     131392   

JVB Financial Group, LLC

     104412   

K. W. Chambers & Co.

     1432   

Kaiser and Company

     14186   

Kalos Capital, Inc.

     44337   

KCD Financial, Inc.

     127473   

Kercheville & Company, Inc.

     15871   

Key Investment Services LLC

     136300   

KMS Financial Services, Inc.

     3866   

Kovack Securities Inc.

     44848   

KW Securities Corporation

     8237   

L & M Financial Services

     26247   

L.M. Kohn & Company

     27913   

L.O. Thomas & Co. Inc.

     23657   

Labrunerie Financial Services, Inc.

     37627   

Landaas & Company

     47487   

Landmark Investment Group, Inc.

     44602   

Langdon Shaw Securities, Inc.

     16569   

Lara, Shull & May, LLC

     145589   

Larimer Capital Corporation

     18189   

LarsonAllen Financial, LLC

     38357   

LaSalle St Securities, L.L.C.

     7191   

Leerink Swann LLC

     39011   

Legend Equities Corporation

     30999   

Legend Securities, Inc.

     44952   

Leigh Baldwin & Co., LLC

     38751   

Leonard & Company

     36527   

Leumi Investment Services Inc.

     105387   

Lewis Financial Group, L.C.

     36673   

Lexington Investment Company, Inc.

     27393   

Liberty Capital Investment Corporation

     25706   

Liberty Group, LLC

     106036   

Lieblong & Associates, Inc.

     42578   


 

Lifemark Securities Corp.

     16204   

Lighthouse Capital Corporation

     41812   

Lincoln Financial Advisors Corporation

     3978   

Lincoln Financial Securities Corporation

     3870   

Lincoln Investment Planning, Inc.

     519   

Lockton Financial Advisors, LLC

     137476   

Lombard Securities Incorporated

     27954   

Long Island Financial Group, Inc.

     31148   

Loria Financial Group, LLC

     102360   

Lowell & Company, Inc.

     24913   

LPL Financial Corporation

     6413   

Lucien, Stirling & Gray Financial Corporation

     30554   

M Holdings Securities, Inc.

     43285   

M&I Financial Advisors, Inc.

     16517   

M&T Securities, Inc.

     17358   

Mack Investment Securities, Inc.

     17643   

Madison Avenue Securities, Inc.

     23224   

MAFG RIA Services, Inc.

     35690   

Magner Securities, LLC

     129940   

Manarin Securities Corporation

     37611   

Maplewood Investment Advisors, Inc.

     103723   

Marquis Financial Services, Inc.

     20733   

Mason Securities, Inc.

     12967   

May Capital Group, L.L.C.

     37081   

MBM Securities, Inc.

     124850   

McAdams Wright Ragen, Inc.

     45899   

McClurg Capital Corporation

     16798   

Keybanc Capital Markets Inc.

     566   

Mercer Allied Company, L.P.

     37404   

Meridian United Capital LLC

     122924   

Meridien Financial Group, Inc.

     10143   

Merrill Lynch, Pierce, Fenner & Smith Incorporated

     7691   

Mesirow Financial, Inc.

     2764   

Metlife Securities Inc.

     14251   

MHA Financial Corp

     7462   

Michigan Securities, Inc.

     101600   

Mid Atlantic Capital Corporation

     10674   

MidAmerica Financial Services, Inc.

     47351   

Mid-Atlantic Securities, Inc.

     18836   

Midsouth Capital, Inc.

     35039   

Midwestern Securities Trading Company, LLC

     101080   

Milestone Investments, Inc.

     47090   

Milkie/Ferguson Investments, Inc.

     17606   

Mitre Group, LLC

     140356   

MMC Securities Corp.

     103846   

MML Investors Services, Inc.

     10409   

Moloney Securities Co., Inc.

     38535   

Money Concepts Capital Corp

     12963   

Money Management Advisory, Inc.

     14983   

Montecito Advisors, Inc.

     104004   

Moors & Cabot, Inc.

     594   

Morgan Keegan & Company, Inc.

     4161   


 

Morgan Stanley & Co., Incorporated

     8209   

Morris Group, Inc.

     13181   

Moss Adams Securities & Insurance LLC

     114950   

MTL Equity Products, Inc.

     15764   

Multi-Financial Securities Corporation

     10299   

Multiple Financial Services, Inc.

     100100   

Mutual of Omaha Investor Services, Inc.

     611   

Mutual Securities, Inc.

     13092   

Mutual Trust Co. of America Securities

     8494   

MWA Financial Services Inc.

     112630   

National Planning Corporation

     29604   

National Securities Corporation

     7569   

Nations Financial Group, Inc.

     44181   

Nationwide Planning Associates Inc.

     31029   

Nationwide Securities, LLC

     11173   

Navy Federal Brokerage Services, LLC

     138459   

NBC Securities, Inc.

     17870   

NDX Trading, Inc.

     39940   

Neidiger, Tucker, Bruner, Inc.

     7425   

Nelnet Capital LLC

     104050   

Nelson Securities, Inc.

     14377   

New England Securities Corporation

     615   

New Horizons Asset Management Group, LLC

     103340   

Newbridge Securities Corporation

     104065   

Newport Coast Securities, Inc.

     16944   

Newport Group Securities, Inc.

     29722   

Next Financial Group, Inc.

     46214   

NFP Securities, Inc.

     42046   

NGC Financial, LLC

     145082   

Ni Advisors

     134502   

NIA Securities, L.L.C.

     44254   

North Ridge Securities Corp.

     27098   

North Star Investment Services, Inc.

     7984   

Northeast Securities, Inc.

     25996   

Northern Lights Distributors, LLC

     126159   

Northland Securities, Inc.

     40258   

NorthStar Financial Partners, Inc.

     107708   

Northwestern Mutual Investment Services, LLC

     2881   

NPA Financial Services, Inc.

     21406   

NPB Financial Group, LLC

     137743   

Nutmeg Securities, Ltd.

     18975   

NYLife Securities LLC

     5167   

Oak Tree Securities, Inc.

     18126   

Obsidian Financial Group, LLC

     104255   

OFG Financial Services, Inc.

     23940   

Antaeus Capital, Inc.

     627   

Ogilvie Security Advisors Corporation

     10105   

Ohanesian / Lecours, Inc.

     23757   

Omega Securities, Inc.

     7164   

Omni Financial Securities, Inc.

     29320   

Omnivest, Inc.

     13396   

OneAmerica Securities, Inc.

     4173   


 

Online Brokerage Services, Inc.

     104281   

Oppenheimer & Co. Inc.

     249   

P.J. Robb Variable Corporation

     38339   

Pacific Financial Associates, Inc.

     23772   

Pacific West Securities, Inc.

     6390   

Packerland Brokerage Services, Inc.

     37031   

Painter, Smith and Gorian Inc.

     10865   

First Savings Securities, Inc.

     132016   

Pariter Securities, LLC

     127836   

Park Avenue Securities LLC

     46173   

Parsonex Securities, Inc.

     144412   

Partnervest Securities, Inc.

     104134   

Paulson Investment Company, Inc.

     5670   

Peachtree Capital Corporation

     25590   

Penates Group, Inc.

     44266   

Pentegra Distributors, Inc.

     26249   

People’s Securities, Inc.

     13704   

Perkins, Smart & Boyd, Inc.

     7221   

PHD Capital

     38785   

Perryman Securities, Inc.

     116502   

Petersen Investments, Inc.

     38537   

Phoenix Equity Planning Corporation

     38383   

Pinnacle Equity Management, Inc.

     106213   

PlanMember Securities Corporation

     11869   

Planned Investment Co., Inc.

     3050   

PMK Securities & Research, Inc.

     40145   

PNC Investments, LLC

     129052   

JHS Capital Advisors, Inc.

     112097   

Portfolio Advisors Alliance, Inc.

     101680   

Portfolio Resources Group, Inc.

     31155   

PPA Investments, Inc.

     15869   

Wealthstone Equities, Inc.

     17826   

Presidential Brokerage, Inc.

     28784   

Prim Securities, Incorporated

     30504   

Prime Capital Services, Inc.

     18334   

PrimeSolutions Securities, Inc.

     46017   

Primevest Financial Services, Inc.

     15340   

Princor Financial Services Corporation

     1137   

Private Client Services, LLC

     120222   

ProEquities, Inc.

     15708   

Profinancial, Inc.

     15345   

Prospera Financial Services, Inc.

     10740   

Protected Investors of America

     6082   

PSA Equities, Inc.

     15676   

Puplava Securities, Inc.

     39301   

Purshe Kaplan Sterling Investments

     35747   

PWA Securities, Inc.

     145097   

Queens Road Securities, LLC

     104277   

Quest Capital Strategies, Inc.

     16783   

Quest Securities, Inc.

     6828   

Questar Capital Corporation

     43100   

R. Seelaus & Co., Inc.

     14974   


 

R.M. Stark & Co., Inc.

     7612   

R.T. Jones Capital Equities, Inc.

     19775   

RA Bench Securities, Inc.

     118539   

Rampart Financial Services, Inc.

     43294   

Raymond James & Associates, Inc.

     705   

Raymond James Financial Services, Inc.

     6694   

RBC Capital Markets, LLC

     31194   

RDM Investment Services, Inc.

     104266   

Red Capital Markets, LLC

     14840   

Regal Securities, Inc.

     7297   

Register Financial Associates, Inc.

     30568   

Resource Horizons Group LLC

     104368   

Rhodes Securities, Inc.

     19610   

Rice Pontes Capital, Inc.

     40056   

Richey Financial Group, Inc.

     17113   

Richfield Orion International, Inc.

     24433   

Riedl First Securities Company of Kansas

     30812   

Riverstone Wealth Management, Inc.

     40418   

RMJB, Inc.

     109886   

Robert W. Baird & Co. Incorporated

     8158   

Rogan & Associates, Inc.

     42762   

Rothman Securities, Inc.

     13907   

Rothschild Investment Corporation

     728   

Royal Alliance Associates, Inc.

     23131   

Royal Securities Company

     10702   

S.G. Long & Company

     47511   

S.L. Reed & Company

     40744   

Safeguard Securities, Inc.

     31256   

Sage, Rutty & Co., Inc.

     3254   

SagePoint Financial, Inc.

     133763   

Sammons Securities Company, LLC

     115368   

Sanders Morris Harris Inc

     20580   

Sandgrain Securities, Inc.

     26004   

Saxony Securities, Inc.

     115547   

SCF Securities, Inc.

     47275   

Scott & Stringfellow, LLC

     6255   

Scott T. Taylor

     136414   

Securian Financial Services, Inc.

     15296   

Celadon Financial Group LLC

     36538   

Securities America, Inc.

     10205   

Securities Equity Group

     47215   

Securities Service Network, Inc.

     13318   

SEI Investments Distribution Co.

     10690   

Selkirk Investments, Inc.

     13854   

Sentinel Securities, Inc.

     110942   

Shareholders Service Group, Inc.

     125226   

SICOR Securities Inc

     16195   

Sigma Financial Corporation

     14303   

Signal Securities, Inc.

     15916   

Signator Investors, Inc.

     468   

Signature Securities Group Corporation

     104233   

SII Investments, Inc.

     2225   


 

Silver Oak Securities, Incorporated

     46947   

Sisung Securities Corporation

     25752   

Slavic Investment Corporation

     22885   

Sloan Securities Corp.

     17930   

Smith Hayes Financial Services Corporation

     17059   

Smith, Brown & Groover, Inc.

     1329   

Smith, Moore & Co.

     3441   

Sorrento Pacific Financial, LLC

     127787   

Source Capital Group, Inc.

     36719   

Southeast Investments N.C. Inc.

     43035   

Southwest Securities, Inc.

     6220   

Spectrum Capital, Inc.

     28303   

Spire Securities, LLC

     144131   

St. Bernard Financial Services, Inc.

     36956   

Stanley Laman Group Securities, LLC

     126160   

Stephens Inc.

     3496   

Sterling Enterprises Group, Inc.

     44915   

Sterling Monroe Securities, LLC

     122696   

Sterne Agee Financial Services, Inc.

     18456   

Sterne, Agee & Leach, Inc.

     791   

Stifel, Nicolaus & Company, Incorporated

     793   

Stonnington Group, LLC

     131221   

Strongtower Financial, Inc.

     35504   

Success Trade Securities Inc.

     46027   

Summit Brokerage Services, Inc.

     34643   

Summit Equities, Inc.

     11039   

SummitAlliance Securities L.L.C.

     45915   

Sunbelt Securities, Inc.

     42180   

Sunset Financial Services, Inc.

     3538   

Sunstreet Securities, LLC

     143211   

SunTrust Capital Markets, Inc.

     6271   

Suntrust Investment Services, Inc.

     17499   

Superior Financial Services, Inc.

     104165   

SWBC Investment Services, LLC

     133715   

SWS Financial Services

     17587   

Sycamore Financial Group

     14143   

Symetra Investment Services, Inc.

     19061   

Symphonic Securities LLC

     139512   

Syndicated Capital, Inc.

     29037   

Synergy Investment Group, LLC

     46035   

Synovus Securities, Inc.

     14023   

T.S. Phillips Investments, Inc.

     124348   

Taylor Securities, Inc.

     17575   

TD Ameritrade

     7870   

Teckmeyer Financial Services, L.L.C.

     39000   

Telemus Investment Brokers, LLC

     133957   

TFS Securities, Inc.

     20626   

The Enterprise Securities Company

     26598   

The Garbacz Group Inc

     26104   

The Huntington Investment Company

     16986   

The Investment Center, Inc.

     17839   

The Leaders Group, Inc.

     37157   


 

The New PenFacs Inc.

     145584   

The O.N. Equity Sales Company

     2936   

The Oak Ridge Financial Services Group, Inc.

     42941   

The Strategic Financial Alliance, Inc.

     126514   

The Tavenner Company

     18004   

Thomas McDonald Partners, LLC

     135414   

Thomas Weisel Partners LLC

     46237   

ThomasLloyd Capital LLC.

     38784   

Thornes & Associates, Inc. Investment Securities

     40868   

Thoroughbred Financial Services, LLC

     47893   

Thrasher & Chambers, Inc.

     3586   

Thrivent Investment Management Inc.

     18387   

Thurston, Springer, Miller, Herd & Titak, Inc.

     8478   

TIAA-CREF & Institutional Services, LLC

     20472   

Tower Square Securities, Inc.

     833   

Commerce Square Trading, LLC

     26554   

Transam Securities, Inc.

     18923   

Transamerica Financial Advisors, Inc. (new)

     16164   

Triad Advisors, Inc.

     25803   

Triangle Securities, LLC

     104039   

Tricor Financial, LLC

     142518   

Trinity Wealth Securities, L.L.C.

     104348   

Triune Capital Advisors, LLC

     131275   

Trubee, Collins & Co., Inc.

     3618   

TrueNorth Securities, Inc.

     112091   

Trustcore Investments, Inc.

     15423   

Trustmont Financial Group, Inc.

     18312   

TWS Financial, LLC

     128572   

U.S. Bancorp Investments, Inc.

     17868   

UBS Financial Services Inc.

     8174   

UMB Financial Services, Inc.

     17073   

Umpqua Investments, Inc.

     1254   

Unified Financial Securities, Inc.

     7868   

Union Capital Company

     110301   

UnionBanc Investment Services, LLC

     14455   

United Brokerage Services, Inc.

     39062   

United Planners’ Financial Services of America A Limited Partner

     20804   

Univest Investments, Inc.

     1834   

USA Financial Securities Corporation

     103857   

USI Securities, Inc.

     43793   

Uvest Financial Services Group, Inc.

     13787   

UW Investment Services

     36937   

VALIC Financial Advisors, Inc.

     42803   

Valley Forge Asset Management Corp.

     7438   

Valley National Investments, Inc.

     16715   

Valmark Securities, Inc.

     31243   

Valor Financial Securities LLC

     150726   

Vanderbilt Securities, LLC

     5953   

Vanguard Capital

     22081   

Veritrust Financial, LLC

     106594   

Verity Investments, Inc.

     41527   

Vestech Securities, Inc.

     41409   


 

VFIC Securities, Inc.

     103160   

Vision Brokerage Services, LLC

     47927   

Vision Investment Services, Inc.

     46609   

Visun Securities Corporation

     15251   

VSR Financial Services, Inc.

     14503   

W R Rice Financial Services, Inc.

     36700   

W.H. Colson Securities, Inc.

     117789   

W.R. Taylor & Company, LLC

     107179   

Wells Fargo Insurance Services Investment Advisors, Inc. (NEW)

     35419   

Waddell & Reed, Inc.

     866   

Wall and Company Securities, Inc.

     40894   

Wall Street Financial Group, Inc.

     35830   

Wall Street Money Center Corp.

     21788   

Walnut Street Securities, Inc.

     15840   

FSB Warner Financial, Inc.

     15898   

Washington Securities Corporation

     46213   

Waveland Capital Partners, LLC

     40054   

Wayne Hummer Investments L.L.C.

     875   

WBB Securities, LLC

     118440   

Weaver Tidwell Capital, LLC

     145871   

Wedbush Morgan Securities Inc.

     877   

Wedgewood Partners, Inc.

     21923   

Weller, Anderson & Co., Ltd.

     23736   

Wells Fargo Advisors Financial Network, LLC

     11025   

Wells Fargo Advisors, LLC

     19616   

Wesbanco Securities, Inc.

     43276   

Wescom Financial Services LLC

     125650   

Western Equity Group, Inc.

     130876   

Western International Securities, Inc.

     39262   

Westminster Financial Securities, Inc.

     20677   

Weston Securities Corporation

     15743   

Westport Financial Services, L.L.C.

     38449   

Westport Resources Investment Services, Inc.

     24535   

WFG Investments, Inc.

     22704   

Whitehall-Parker Securities, Inc.

     10608   

Wilbanks Securities, Inc.

     40673   

Wiley Bros.-Aintree Capital, LLC

     3767   

Winslow, Evans & Crocker, Inc.

     29686   

WJ Lynch Investor Services LLC

     140762   

Wolf Financial Management, LLC

     44225   

Wood (Arthur W.) Company, Inc.

     3798   

Woodbury Financial Services, Inc.

     421   

Woodlands Securities Corporation

     22373   

Woodstock Financial Group, Inc.

     38095   

World Capital Brokerage, Inc.

     37   

World Choice Securities, Inc.

     30933   

World Equity Group, Inc.

     29087   

World Trend Financial Planning Services, Ltd.

     28289   

Worth Financial Group, Inc.

     13478   

WRP Investments, Inc.

     7365   

Wunderlich Securities, Inc.

     2543   

Young, Stovall and Company

     8121   


 

Zions Direct, Inc.

     17776   

Ziv Investment Company

     4316   

Colorado Financial Service Corporation

     104343   

Sage Southeastern Securities, Inc.

     144051   

Dinosaur Securities, L.L.C.

     104446   

Crescent Securities Group, Inc.

     114993   

FCG Advisors, LLC

     40633   

KCG Securities, LLC

     151300   

Universal Financial Services Inc.

     131558   

Benchmark Investments, Inc.

     103792   

Anchor Bay Securities, LLC

     47360   

Centerre Capital, LLC

     148091   

Larson Financial Securities, LLC

     152517   

First Liberties Financial

     14432   

Wellington Shields & Co., LLC

     149021   

Capwealth Investment Services, LLC

     139664   

Presidio Financial Services, Inc.

     10010   

Saybrus Equity Services, Inc.

     153319   

Bluffview Securities, L.P.

     130748   

Ashton Garnett Securities, LLC (dba Valued Financial)

     118286   

Integral Financial LLC

     120343   

Bellamah, Neuhauser and Barrett. Inc.

     83   

Capital Synergy Partners

     148733   

First Southeast Investor Services, Inc.

     45555   

Concorde Investment Services, LLC

     151604   

Harbor Investment Advisory, LLC

     151085   

Client One Securities, LLC

     152974   

Puritan Brokerage Services, Inc.

     144445   

Great Nation Investment Corporation

     19981   

USCA Securities LLC

     103789   

Key West Investments LLC

     149418   

Plexus Financial Services, LLC

     153132   

Maxwell Simon, Inc.

     12667   

Best Direct Securities, LLC

     146053   

Harbor Light Securities, LLC

     130227   

Taylor Capital Management Inc.

     43559   

McLaughlin Ryder Investments, Inc.

     147529   

Cambria Capital, LLC

     133760   

DFPG Investments, Inc.

     155576   

BBVA Securities of P.R., Inc.

     39615   

McDermott Investment Services, LLC

     154926   

CBG Financial Group

     6578   

Hub International Investment Services, Inc.

     150252   

St Germain Securities, Inc.

     3255   

Matrix Capital Group, Inc.

     33364   

Adirondack Trading Group LLC

     103910   

Lucia Securities, LLC

     37179   

Stephen A. Kohn & Associates, Ltd

     41067   

Peak Brokerage Services LLC

     157045   

Montage Securities, LLC

     154327   

Innovation Partners, LLC.

     146344   

Uhlmann Price Securities, LLC

     42854   


 

Cape Fear Securities, Inc.

     156359   

The Kelt Group, LLC

     133104   

SteelPoint Securities, LLC

     155847   

SGC Securities LP

     118934   

Sanctuary Securities, LLC

     144091