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LIVE
0000844779
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811-05742
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BlackRock Funds
811-05742
0000844779
549300OZUEVJZHOBFP42
100 Bellevue Parkway
Wilmington
19809
US-DE
US
800-441-7762
BlackRock (Singapore) Limited
20 Anson Road
18-01
Singapore
SG
079912
0 65 6411 3000
Records related to its functions as sub-advisor.
The Bank of New York Mellon
240 Greenwich Street
New York
10286
1-212-495-1784
Records related to its functions as custodian.
BlackRock International Limited
1 Semple Street
Edinburgh
GB
EH3 8BL
44 13 1472 7200
Records related to its functions as sub-advisor.
BNY Mellon Investment Servicing (US) Inc.
301 Bellevue Parkway
Wilmington
19809
1-302-791-1700
Records related to its functions as transfer agent, sub-administrator and accounting agent.
BlackRock Investments, LLC
40 East 52nd Street
New York
10022
609-282-3046
Records related to its functions as distributor.
BlackRock Advisors, LLC
100 Bellevue Parkway
Wilmington
19809
302-797-2000
Records related to its functions as advisor and administrator.
State Street Bank and Trust Company
1 Lincoln Street
Boston
02111
617-786-3000
Records related to its functions as custodian, sub-administrator and accounting agent.
N
N
N-1A
44
Y
Cynthia A. Montgomery
N/A
N
Kenneth L. Urish
005352005
N
John M. Perlowski
N/A
Y
Mark Stalnecker
N/A
N
Susan J. Carter
N/A
N
Donald C. Opatrny
N/A
N
Henry R. Keizer
N/A
N
Joseph P. Platt
N/A
N
Lena G. Goldberg
N/A
N
Claire A. Walton
N/A
N
Collette Chilton
N/A
N
Robert Fairbairn
004992372
Y
Neil A. Cotty
N/A
N
Charles Park
N/A
55 East 52nd Street
New York
10055
XXXXXX
N
N
N
N
N
N
BlackRock Investments, LLC
008-48436
000038642
54930061FBHCKXL2G714
Y
N
Deloitte & Touche LLP
34
N/A
N
N
N
N
N
N
BlackRock Sustainable Advantage Large Cap Core Fund
S000051092
5493008RIHC1TBXSKI49
N
4
0
0
N/A
N
N
Y
N
N
BlackRock Investment Management, LLC
5493006MRTEZZ4S4CQ20
Y
N
Cash collateral reinvestment fee
Revenue sharing split
Other
rebates paid to borrowers
1041332.82000000
20324.00000000
Rule 32a-4 (17 CFR 270.32a-4)
Rule 12d1-1 (17 CFR 270.12d1-1)
Rule 22d-1 (17 CFR 270.22d-1)
Rule 17a-7 (17 CFR 270.17a-7)
Y
Y
Y
N
BlackRock Advisors, LLC
801-47710
000106614
5493001LN9MRM6A35J74
N
BNY Mellon Investment Servicing (US) Inc.
084-01761
549300CFZQLI9QMJ1Z03
N
N
N
Bloomberg L.P.
549300B56MD0ZC402L06
N
IHS Markit Ltd.
549300HLPTRASHS0E726
GB
N
Refinitiv US Holdings Inc.
549300NF240HXJO7N016
N
ICE Data Services, Inc.
13-3668779
Tax ID
N
N
BofA Securities, Inc.
549300HN4UKV1E2R3U73
N
Y
Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
STATE STREET BANK AND TRUST COMPANY
571474TGEMMWANRLN572
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
N
Fifth Third Securities, Inc.
5493003IMO3TYX51WE43
N
N
Capital Investment Brokerage, Inc.
8-49118
SEC FILE NUMBER
N
N
McDonald Partners LLC
549300PEHG3UH7FAY193
N
N
Unionbanc Investment Services, LLC
254900Y9HI2TG6D79N41
N
N
H. Beck, Inc.
8-31165
SEC FILE NUMBER
N
N
Westco Investment Corp.
8-38452
SEC FILE NUMBER
N
N
NBC Securities, Inc.
254900GIP7RJQGHH5S19
N
N
Portfolio Resources Group, Inc.
549300TKCYL1XNXOL896
N
N
TradeStation Securities, Inc.
549300T08P71XXBYLW62
N
N
Hancock Whitney Investment Services, Inc.
8-49106
SEC FILE NUMBER
N
N
Pensionmark Securities, LLC
8-69773
SEC FILE NUMBER
N
N
Allegiance Capital, L.L.C.
8-52978
SEC FILE NUMBER
N
N
USAA Investment Management Company
549300VSPLQ1XBNPD479
N
N
T.R. Winston & Company, LLC
8-27519
SEC FILE NUMBER
N
N
Colorado Financial Service Corporation
8-52817
SEC FILE NUMBER
N
N
VALIC Retirement Services Company
84-06057
SEC FILE NUMBER
N
N
BFT Financial Group, LLC
8-53487
SEC FILE NUMBER
N
N
Feltl & Company
8-18435
SEC FILE NUMBER
N
N
Fidelity Investments Institutional Operations Company, Inc.
549300XVSM8LN3LQOK63
N
Y
Xml Securities, LLC
8-67776
SEC FILE NUMBER
N
N
Wesbanco Securities, Inc.
8-50220
SEC FILE NUMBER
N
N
Neuberger Berman LLC
PWDS3JJ631D5N70JXG61
N
N
Bolton Securities Corp.
8-68187
SEC FILE NUMBER
N
N
Key Investment Services LLC
8-66999
SEC FILE NUMBER
N
N
Financial Northeastern Securities, Inc.
549300QRRF2NAV5G3869
N
N
Crescent Securities Group
8-53457
SEC FILE NUMBER
N
N
Callaway Financial Services, Inc.
8-52474
SEC FILE NUMBER
N
N
First Financial Equity Corporation
8-34082
SEC FILE NUMBER
N
N
Classic LLC
8-68981
SEC FILE NUMBER
N
N
Equity Services, Inc.
8-14286
SEC FILE NUMBER
N
N
Great American Investors, Inc.
8-44380
SEC FILE NUMBER
N
N
Arete Wealth Management, LLC
8-50854
SEC FILE NUMBER
N
N
Amerant Investments, Inc.
254900M8G8SSAIMHET60
N
N
First Citizens Investor Services, Inc.
8-50696
SEC FILE NUMBER
N
N
Citigroup Global Markets Inc.
MBNUM2BPBDO7JBLYG310
N
N
Verity Investments, Inc.
8-49474
SEC FILE NUMBER
N
N
BCG Securities, Inc.
8-12680
SEC FILE NUMBER
N
N
Invicta Capital, LLC
549300QY87LR84LRLL97
N
N
SecureVest Financial Group
254900LG3HPQV4J0WH27
N
N
Variable Investment Advisors, Inc.
8-50699
SEC FILE NUMBER
N
N
Geneos Wealth Management, Inc.
8-65357
SEC FILE NUMBER
N
N
Voya Institutional Plan Services, LLC
N/A
N
N
Carl M. Hennig, Inc.
8-14509
SEC FILE NUMBER
N
N
Tradition Securities and Derivatives Inc.
WRYEFMSVQCH0EMD08461
N
N
Blakeslee and Blakeslee Inc.
8-32071
SEC FILE NUMBER
N
N
J.P. Morgan Institutional Investments Inc.
8-52182
SEC FILE NUMBER
N
N
Innovation Partners LLC
549300IEQ78ON1HMTU71
N
N
Country Capital Management Company
8-12645
SEC FILE NUMBER
N
N
NTB Financial Corporation
8-21884
SEC FILE NUMBER
N
N
Capital City Securities, LLC
8-67771
SEC FILE NUMBER
N
N
ADP Broker-Dealer, Inc.
8-47885
SEC FILE NUMBER
N
Y
MSEC, LLC
8-68627
SEC FILE NUMBER
N
N
Ustocktrade Securities, Inc.
8-33132
SEC FILE NUMBER
N
N
Centaurus Financial, Inc.
8-45185
SEC FILE NUMBER
N
N
Independence Capital Co., Inc.
8-41331
SEC FILE NUMBER
N
N
Saturna Trust Company
N/A
N
Y
Regions Bank
EQTWLK1G7ODGC2MGLV11
N
N
Ausdal Financial Partners, Inc.
8-24519
SEC FILE NUMBER
N
N
Hornor, Townsend & Kent, Inc.
8-14715
SEC FILE NUMBER
N
N
Valley National Investments, Inc.
8-34427
SEC FILE NUMBER
N
N
Excel Securities & Associates, Inc.
8-34261
SEC FILE NUMBER
N
N
BNY Mellon Securities Corporation
8-13801
SEC FILE NUMBER
N
N
Regulus Advisors, LLC
8-68275
SEC FILE NUMBER
N
N
LifeMark Securities Corp.
8-33478
SEC FILE NUMBER
N
N
Edward D. Jones & Co., L.P.
YZRCLX72FTV74B522G90
N
N
ING Financial Markets LLC
KBVRJ5K57JZ3E2AVWX40
N
N
Davenport & Company LLC
254900GN2SAXJGLMS075
N
N
Nationwide Securities, LLC
8-12500
SEC FILE NUMBER
N
N
Rhodes Securities, Inc.
8-37689
SEC FILE NUMBER
N
N
Westminster Financial Securities, Inc.
8-38426
SEC FILE NUMBER
N
N
FMN Capital Corporation
8-48082
SEC FILE NUMBER
N
N
Horace Mann Life Insurance Co.
5493000HR2JKKNH2FL09
N
N
American Trust Investment Services, Inc.
8-14394
SEC FILE NUMBER
N
N
GLP Investment Services
8-41868
SEC FILE NUMBER
N
N
Corinthian Partners, L.L.C.
8-48461
SEC FILE NUMBER
N
N
MML Distributors, LLC
8-48203
SEC FILE NUMBER
N
N
Fiduciary Trust International
N1YKEWO2IYPRS4742F57
N
N
L.S.Y., Inc.
8-17613
SEC FILE NUMBER
N
N
John Hancock Trust Company LLC
549300W205WZCFZS6R51
N
Y
Benjamin F. Edwards & Company, Inc.
8-68023
SEC FILE NUMBER
N
N
Place Trade Financial, Inc.
8-65915
SEC FILE NUMBER
N
N
Insight Securities, Inc.
2549007I5MCG270G9341
N
N
Akar Capital Management, Inc.
8-28026
SEC FILE NUMBER
N
N
Sigma Financial Corporation
8-30466
SEC FILE NUMBER
N
N
Liberty Capital Investment Corporation
8-42051
SEC FILE NUMBER
N
N
John Hancock Life Insurance Company of New York
5493007RYG4GXIKSQI18
CA
N
Y
Diversified Resources, LLC
8-45497
SEC FILE NUMBER
N
N
GWN Securities Inc.
8-66185
SEC FILE NUMBER
N
N
Citizens Securities, Inc.
2138006RAPI5PE2ZGW36
N
N
M. S. Howells & Co.
8-52558
SEC FILE NUMBER
N
N
Gardner Financial Services, Inc.
8-38631
SEC FILE NUMBER
N
N
Impact U. Investments, LLC
8-65527
SEC FILE NUMBER
N
N
Principled Advisors, Inc.
8-66451
SEC FILE NUMBER
N
N
Wintrust Investments, LLC
8-00484
SEC FILE NUMBER
N
N
Calton & Associates, Inc.
254900TDJ7LH64ZKRY86
N
N
DWS Distributors, Inc.
5299007T18XBURKJ1V64
N
N
RNR Securities, L.L.C.
8-50366
SEC FILE NUMBER
N
N
TrustFirst, Inc.
8-48509
SEC FILE NUMBER
N
N
Trade-PMR Inc.
8-51390
SEC FILE NUMBER
N
N
White Mountain Capital, LLC
8-52572
SEC FILE NUMBER
N
N
Prudential Investment Management Services LLC
8-36540
SEC FILE NUMBER
N
N
RBC Capital Markets, LLC
549300LCO2FLSSVFFR64
N
Y
Landolt Securities, Inc.
254900B2XEQ2HZGN7K90
N
N
Century Securities Associates, Inc.
8-43514
SEC FILE NUMBER
N
N
Morgan Stanley & Co. LLC
9R7GPTSO7KV3UQJZQ078
N
N
Maxim Group LLC
254900OJ6JZO6SDMHQ83
N
N
BTG Pactual US Capital, LLC
549300EUEDL5GKQW8U35
N
N
Wall Street Access
549300Z0MOT47D6OQV22
N
N
International Research Securities, Inc.
8-37954
SEC FILE NUMBER
N
N
Cetera Advisor Networks LLC
8-29577
SEC FILE NUMBER
N
N
Wood (Arthur W.) Company, Inc.
8-03368
SEC FILE NUMBER
N
N
Ladenburg Thalman & Co. Inc.
2549000V3L2KK4L76W91
N
N
Newport Group, Inc.
N/A
N
Y
Finance 500, Inc.
8-28302
SEC FILE NUMBER
N
N
Smith, Moore & Co.
8-27480
SEC FILE NUMBER
N
N
D.M. Kelly & Company
8-48398
SEC FILE NUMBER
N
N
Benefit Trust Company
N/A
N
Y
Mid-Atlantic Clearing & Settlement Corp.
8-47758
SEC FILE NUMBER
N
N
Capital Management Securities, Inc.
8-27779
SEC FILE NUMBER
N
N
Safra Securities LLC
E51AOUORNWWT747CBW71
N
N
Mutual Funds Associates, Inc.
8-13026
SEC FILE NUMBER
N
N
Thoroughbred Financial Services, LLC
8-51944
SEC FILE NUMBER
N
N
Stifel, Nicolaus & Company, Incorporated
5WUVMA08EYG4KEUPW589
N
Y
AssetMark Trust Company
N/A
N
N
Capital Portfolio Management, Inc.
8-44225
SEC FILE NUMBER
N
N
Abacus Investments, Inc.
8-46571
SEC FILE NUMBER
N
N
Independent Brokerage Solutions LLC
8-68549
SEC FILE NUMBER
N
N
D.H. Hill Securities LLP
8-49475
SEC FILE NUMBER
N
N
Midland Securities, Ltd.
8-40685
SEC FILE NUMBER
N
N
Infinex Investments, Inc.
8-46661
SEC FILE NUMBER
N
N
Barclays Capital Inc.
AC28XWWI3WIBK2824319
N
N
Grant Williams L.P.
8-51249
SEC FILE NUMBER
N
N
Eagles Coast Capital
8-70137
SEC FILE NUMBER
N
N
Ni Advisors
8-66841
SEC FILE NUMBER
N
N
Laidlaw & Company (UK) Ltd.
8-53731
SEC FILE NUMBER
GB
N
N
Robert W. Baird & Co. Incorporated
549300772UJAHRD6LO53
N
N
Polar Investment Counsel, Inc.
8-50039
SEC FILE NUMBER
N
N
Vanderbilt Securities, LLC
8-16712
SEC FILE NUMBER
N
N
Northern Trust Securities, Inc.
3CHSO99JSPHD9HGNYJ46
N
N
First Kentucky Securities Corporation
8-22224
SEC FILE NUMBER
N
N
MWA Financial Services Inc.
8-53255
SEC FILE NUMBER
N
N
JHW Financial Services Inc.
8-45304
SEC FILE NUMBER
N
N
Kestra Investment Services, LLC
8-49672
SEC FILE NUMBER
N
N
People's Securities, Inc.
8-29667
SEC FILE NUMBER
N
N
The Lawrence D. Vitez Corp. DBA Consolidated Securities
8-48642
SEC FILE NUMBER
N
N
GRF Capital Investors, Inc.
8-41494
SEC FILE NUMBER
N
N
Sammons Financial Network, LLC
8-68905
SEC FILE NUMBER
N
N
Brooklight Place Securities, Inc.
8-32673
SEC FILE NUMBER
N
N
Synovus Securities, Inc.
254900CM2K7N1E0JF171
N
N
Feldstein Financial Group, LLC
8-53388
SEC FILE NUMBER
N
N
Rockefeller Financial, LLC
8-70054
SEC FILE NUMBER
N
N
TIAA-CREF Individual & Institutional Services, LLC
8-44454
SEC FILE NUMBER
N
N
Founders Financial Securities LLC
8-67137
SEC FILE NUMBER
N
N
TimeCapital Securities Corporation
8-18248
SEC FILE NUMBER
N
N
USI Securities, Inc.
8-50429
SEC FILE NUMBER
N
N
TRG Advisors, Inc.
8-50449
SEC FILE NUMBER
N
N
Cadaret, Grant & Co., Inc.
8-27844
SEC FILE NUMBER
N
N
MML Investors Services, LLC
8-27250
SEC FILE NUMBER
N
N
Wells Fargo Clearing Services, LLC
88KRVSOEKUGQZJ3DKW55
N
Y
Thompson Davis & Co., Inc.
8-49386
SEC FILE NUMBER
N
N
Shareholders Service Group, Inc.
8-65778
SEC FILE NUMBER
N
N
ACA/Prudent Investors Planning Corporation
8-51899
SEC FILE NUMBER
N
N
Intervest International Equities Corporation
8-38156
SEC FILE NUMBER
N
N
Triad Advisors, Inc.
8-42007
SEC FILE NUMBER
N
N
Infinity Securities, Inc.
8-67647
SEC FILE NUMBER
N
N
Hunter Associates, Inc.
8-44779
SEC FILE NUMBER
N
N
Piper Jaffray & Co.
549300GRQCWQ3XGH0H10
N
N
TCFG Wealth Management, LLC
8-69089
SEC FILE NUMBER
N
N
Standard Insurance Company
549300KVA8DBYKHPXO21
N
Y
Itau International Securities, Inc.
54930086LDFU8Z86AH91
N
N
Southeast Investments, N.C., Inc.
8-50127
SEC FILE NUMBER
N
N
The Huntington Investment Company
5493004MEJ6IU9SR1R78
N
N
Wescom Financial Services, LLC
8-66189
SEC FILE NUMBER
N
N
Weston Securities Corporation
8-32664
SEC FILE NUMBER
N
N
CBIZ Financial Solutions, Inc.
8-34205
SEC FILE NUMBER
N
N
H. C. Denison Co.
8-00044
SEC FILE NUMBER
N
N
Uhlmann Price Securities, LLC
8-50041
SEC FILE NUMBER
N
N
Vanguard Group, Inc., The
5493002789CY3L0CJP65
N
Y
LaBrunerie Financial Services, Inc.
8-47830
SEC FILE NUMBER
N
N
Investment Security Corporation
8-51832
SEC FILE NUMBER
N
N
Capital Investment Group, Inc.
8-31225
SEC FILE NUMBER
N
N
Lincoln Douglas Investments LLC
8-68728
SEC FILE NUMBER
N
N
Etico Partners, LLC
8-65500
SEC FILE NUMBER
N
N
Vision Financial Markets LLC
549300J0X8HK9GUADL55
N
N
Farmers Financial Solutions, LLC
8-52361
SEC FILE NUMBER
N
N
Merrill Lynch, Pierce, Fenner & Smith Incorporated
8NAV47T0Y26Q87Y0QP81
N
N
N.I.S. Financial Services, Inc.
8-15919
SEC FILE NUMBER
N
N
Roberts & Ryan Investments Inc.
254900A6VIVO4DP1T126
N
N
First Asset Financial, Inc.
8-67191
SEC FILE NUMBER
N
N
Somerset Securities, Inc.
8-11539
SEC FILE NUMBER
N
N
B.C. Ziegler & Company
549300NLEOFP92P38Q71
N
N
Hanson McClain Retirement Network, LP
8-52250
SEC FILE NUMBER
N
N
San Blas Securities LLC
25490079436TZN10JD83
N
N
G.A. Repple & Company
8-35315
SEC FILE NUMBER
N
N
Carty & Company, Inc.
8-19082
SEC FILE NUMBER
N
N
Hightower Securities, LLC
549300F189LKWDZLP954
N
N
Cetera Financial Specialists LLC
8-27082
SEC FILE NUMBER
N
N
Reliance Trust Company
549300NV8FSQRNOUQO50
N
Y
Securities Equity Group
8-51706
SEC FILE NUMBER
N
N
BestVest Investments, Ltd.
254900SL6FW130BMS922
N
N
Stonecrest Capital Markets, Inc.
8-48754
SEC FILE NUMBER
N
N
Sanders Morris Harris Inc.
254900ZNPYV465D1NZ47
N
N
PNC Bank, N.A.
AD6GFRVSDT01YPT1CS68
N
N
CFD Investments, Inc.
8-41727
SEC FILE NUMBER
N
N
Searle & Co.
8-28600
SEC FILE NUMBER
N
N
TransAm Securities, Inc.
8-37065
SEC FILE NUMBER
N
N
International Assets Advisory, LLC
254900ARMOHQNS987S09
N
N
Superior Financial Services, Inc.
549300BK1DNLS1A2MZ43
N
N
Schlitt Investor Services, Inc.
8-34202
SEC FILE NUMBER
N
N
Mutual Trust Co. of America Securities
254900PUBUB7IS4GNY27
N
N
BOK Financial Securities, Inc.
2Q57THMJB7JL1206V012
N
N
Alliant Securities, Inc. Turner, Nord, Kienbaum
8-23305
SEC FILE NUMBER
N
N
World Capital Brokerage, Inc.
8-06805
SEC FILE NUMBER
N
N
Benefit Plans Administrative Services, Inc.
N/A
N
Y
SWBC Investment Services, LLC
254900YIJJWABADWZ455
N
N
United Brokerage Services, Inc.
8-48685
SEC FILE NUMBER
N
N
Investshares, Inc
8-68365
SEC FILE NUMBER
N
N
Sabadell Securities USA, Inc.
2549002UK8JK82ABGD45
N
N
James I. Black & Company
8-12077
SEC FILE NUMBER
N
N
Carter, Terry & Company, Inc.
8-33797
SEC FILE NUMBER
N
N
Silver Oak Securities, Incorporated
8-51601
SEC FILE NUMBER
N
N
PNC Investments, LLC
8-66195
SEC FILE NUMBER
N
N
Vorpahl Wing Securities
8-51823
SEC FILE NUMBER
N
N
Consolidated Financial Investments, Inc.
8-37004
SEC FILE NUMBER
N
N
Multiple Financial Services, Inc.
8-52017
SEC FILE NUMBER
N
N
SKA Securities, Inc.
8-53366
SEC FILE NUMBER
N
N
Equitable Advisors, LLC
8-17883
SEC FILE NUMBER
N
N
Boreal Capital Securities LLC
549300NMHK6HTSKCG696
N
N
Advanced Advisor Group, LLC
8-67313
SEC FILE NUMBER
N
N
Coordinated Capital Securities, Inc.
8-31173
SEC FILE NUMBER
N
N
PTI Securities & Futures L.P.
8-44412
SEC FILE NUMBER
N
N
Loria Financial Group, LLC
8-52128
SEC FILE NUMBER
N
N
WBB Securities, LLC
8-53660
SEC FILE NUMBER
N
N
TFS Securities, Inc.
8-38377
SEC FILE NUMBER
N
N
Lantern Investments, Inc.
8-45285
SEC FILE NUMBER
N
N
Ballew Investments, Inc.
8-45660
SEC FILE NUMBER
N
N
Mercer HR Services, LLC
N/A
N
Y
Syndicated Capital, Inc.
8-44162
SEC FILE NUMBER
N
N
Teachers Insurance and Annuity Association of America
O06YD7BJ4EPYNABVFN69
N
Y
Harvest Financial Corporation
8-26037
SEC FILE NUMBER
N
N
NYLife Securities LLC
8-15517
SEC FILE NUMBER
N
N
UBATCO & Co.
N/A
N
Y
Exeter Trust Company
028-04279
SEC FILE NUMBER
N
N
Benchmark Investments, Inc.
8-52280
SEC FILE NUMBER
N
N
Maplewood Investment Advisors, Inc.
8-52221
SEC FILE NUMBER
N
N
Money Concepts Capital Corp.
8-29671
SEC FILE NUMBER
N
N
Lion Street Financial, LLC
8-69183
SEC FILE NUMBER
N
N
Oppenheimer & Co. Inc.
254900VH02JQR2L8XD64
N
N
American United Life Insurance Company
549300T82H2DXU80LV98
N
Y
Umpqua Investments, Inc.
8-02915
SEC FILE NUMBER
N
N
Harbor Investment Advisory, LLC
8-68334
SEC FILE NUMBER
N
N
The Tavenner Company
8-41206
SEC FILE NUMBER
N
N
Genworth Life & Annuity Insurance Company
TAI340D9BWT9R77O0P03
N
N
MMC Securities Corp.
2549001ZA93O65N2ZM60
N
N
Pershing, LLC
8-17574
SEC FILE NUMBER
N
Y
Hazard & Siegel, Inc.
8-13942
SEC FILE NUMBER
N
N
Rothschild Investment Corporation
8-16429
SEC FILE NUMBER
N
N
L.M. Kohn & Company
8-43303
SEC FILE NUMBER
N
N
Actinver Securities, Inc.
254900FT947VQZ1WHT28
N
N
Titleist Asset Management, Ltd.
8-65859
SEC FILE NUMBER
N
N
Cutter & Company Brokerage, Inc.
8-39590
SEC FILE NUMBER
N
N
Investment Planners, Inc.
8-35642
SEC FILE NUMBER
N
N
Royal Alliance Associates, Inc.
8-40218
SEC FILE NUMBER
N
N
McNally Financial Services Corporation
8-65388
SEC FILE NUMBER
N
N
Amuni Financial, Inc
8-25338
SEC FILE NUMBER
N
N
PTS Brokerage, LLC
8-65173
SEC FILE NUMBER
N
N
Quincy Cass Associates, Incorporated
8-05743
SEC FILE NUMBER
N
N
SG Americas Securities, LLC
549300F35UE0BOM1WJ55
N
N
USA Financial Securities Corporation
8-52342
SEC FILE NUMBER
N
N
Dempsey Lord Smith, LLC
8-67469
SEC FILE NUMBER
N
N
Whitehall-Parker Securities, Inc.
8-27688
SEC FILE NUMBER
N
N
Wells Fargo Securities, LLC
8-65876
SEC FILE NUMBER
N
N
Interactive Brokers LLC
50OBSE5T5521O6SMZR28
N
N
Lincoln Financial Advisors Corporation
8-14685
SEC FILE NUMBER
N
N
PNC Capital Markets LLC
7OGNSSLOQJ8U3B9Y5F18
N
N
Planmember Securities Corporation
8-25065
SEC FILE NUMBER
N
N
First Republic Securities Company, LLC
5493000IMDFZDQYB2Q11
N
N
A.G.P/Alliance Global Partners
549300QJQ08RJGC7D885
N
N
IDB Capital Corp.
254900SH3QL0IL3S9R34
N
N
Principal Securities, Inc.
8-13975
SEC FILE NUMBER
N
N
St. Bernard Financial Services, Inc.
8-47566
SEC FILE NUMBER
N
N
The O.N. Equity Sales Company
8-14161
SEC FILE NUMBER
N
N
Arvest Investments, Inc.
8-49677
SEC FILE NUMBER
N
N
International Money Management Group, Inc.
8-30417
SEC FILE NUMBER
N
N
Axiom Capital Management, Inc.
254900WW7SK1IMK6NO54
N
N
Comerica Securities, Inc.
5493009QV211JEW7ZV59
N
N
S.A. Stone Wealth Management
8-36638
SEC FILE NUMBER
N
N
American Equity Investment Corporation
8-49078
SEC FILE NUMBER
N
N
Goldman Sachs & Co. LLC
FOR8UP27PHTHYVLBNG30
N
N
Avisen Securities, Inc.
8-65833
SEC FILE NUMBER
N
N
SECU Brokerage Services
8-37927
SEC FILE NUMBER
N
N
Hennion & Walsh, Inc.
8-41988
SEC FILE NUMBER
N
N
NorthWestern Mutual Investment Services, LLC
CYO86L8D7HTXW9SOZX28
N
N
Access Investments, Inc.
8-49750
SEC FILE NUMBER
N
N
Coinbase Capital Markets Corporation
8-28032
SEC FILE NUMBER
N
N
S.L. Reed & Company
8-49178
SEC FILE NUMBER
N
N
First Financial Securities of America, Inc.
8-29565
SEC FILE NUMBER
N
N
Centennial Securities Company, LLC
8-23406
SEC FILE NUMBER
N
N
VOYA Financial Advisors, LLC
8-46451
SEC FILE NUMBER
N
N
Alight Solutions LLC
084-01996
SEC FILE NUMBER
N
Y
First Horizon Advisors, Inc.
8-35061
SEC FILE NUMBER
N
N
CoreCap Investments, Inc.
8-47783
SEC FILE NUMBER
N
N
BancWest Investment Services, Inc.
5493001GJYTESEZEBA51
N
N
Woodbury Financial Services, Inc.
8-13846
SEC FILE NUMBER
N
N
Morris Group, Inc.
549300JWKS0KMDOX5G12
N
N
Allen C Ewing & Co.
8-42393
SEC FILE NUMBER
N
N
Caldwell Securities, Inc.
549300ORF2FMHXODHJ66
N
N
McClurg Capital Corporation
8-34473
SEC FILE NUMBER
N
N
Wright Investors' Service Distributors, Inc.
8-29579
SEC FILE NUMBER
N
N
UBS AG, New York Branch
BFM8T61CT2L1QCEMIK50
N
N
Hand Securities, Inc.
8-51001
SEC FILE NUMBER
N
N
Watermark Securities, Inc.
8-43902
SEC FILE NUMBER
N
N
Lebenthal Financial Services, Inc
8-67140
SEC FILE NUMBER
N
N
Nelson Ivest Brokerage Services, Inc.
8-26448
SEC FILE NUMBER
N
N
William Blair & Company L.L.C.
549300J0P7XYE8BMZ775
N
N
Cuso Financial Services, L.P.
8-49711
SEC FILE NUMBER
N
N
CGIS Securities LLC
254900GOI7SHVRZ5BG90
N
N
Duncan-Williams, Inc.
25490045VHLUZ7H92Y27
N
N
First Bankers' Banc Securities, Inc.
549300XZ7YYT3Y0SU530
N
N
TD Ameritrade, Inc.
CWQYQU0TV2NLMLZKNB44
N
Y
Center Street Securities, Inc.
8-42786
SEC FILE NUMBER
N
N
Chauner Securities, Inc.
8-33980
SEC FILE NUMBER
N
N
Regal Securities, Inc.
8-21765
SEC FILE NUMBER
N
N
Commerce Brokerage Services, Inc.
8-35096
SEC FILE NUMBER
N
N
Securities Research, Inc.
8-23699
SEC FILE NUMBER
N
N
SunTrust Bank
IYDOJBGJWY9T8XKCSX06
N
N
Mid Atlantic Capital Corporation
549300HJL2LPNSC0JX96
N
N
SEI Private Trust Company
028-10625
SEC FILE NUMBER
N
Y
BNP Paribas Securities Corp
RCNB6OTYUAMMP879YW96
N
N
Davinci Capital Management Inc.
8-51580
SEC FILE NUMBER
N
N
E*Trade Savings Bank
549300DXPO50FJ75QA85
N
Y
HSBC Securities (USA), Inc.
CYYGQCGNHMHPSMRL3R97
N
N
Logan Group Securities
8-48995
SEC FILE NUMBER
N
N
Vanguard Marketing Corporation
8-21570
SEC FILE NUMBER
N
N
Talcott Resolution Life Insurance Company
8CE7JPU9IU72L3PPD756
N
Y
Landaas & Company
8-51826
SEC FILE NUMBER
N
N
Hartford Funds Management Company, LLC
801-77209
SEC FILE NUMBER
N
Y
R. Seelaus & Co., Inc.
2138004J7AJDLCOJYA06
N
N
The Windmill Group, Inc.
8-25280
SEC FILE NUMBER
N
N
State Street Bank and Trust Company
571474TGEMMWANRLN572
N
N
Western International Securities, Inc.
8-48572
SEC FILE NUMBER
N
N
Folio Investments, Inc.
8-52009
SEC FILE NUMBER
N
N
Essex Securities LLC
8-51472
SEC FILE NUMBER
N
N
Calamar Financial Group
8-69777
SEC FILE NUMBER
N
N
Ascensus Broker Dealer Services, Inc.
8-47312
SEC FILE NUMBER
N
Y
Harold W. Dance Inc.
8-12160
SEC FILE NUMBER
N
N
Tocqueville Securities L.P.
8-42223
SEC FILE NUMBER
N
N
J.D. Seibert & Company, Inc.
8-23604
SEC FILE NUMBER
N
N
Abacus International Capital Corp.
8-46418
SEC FILE NUMBER
N
N
Mack Investment Securities, Inc.
8-35536
SEC FILE NUMBER
N
N
Allstate Financial Services, LLC
8-36365
SEC FILE NUMBER
N
N
Lincoln Financial Distributors, Inc.
8-13431
SEC FILE NUMBER
N
N
MidWestern Securities Trading Company, LLC
8-52074
SEC FILE NUMBER
N
N
Country Club Financial Services, Inc.
8-44574
SEC FILE NUMBER
N
N
Lesko Securities Inc.
8-26408
SEC FILE NUMBER
N
N
Henley & Company LLC
8-66463
SEC FILE NUMBER
N
N
GWFS Equities, Inc.
8-33854
SEC FILE NUMBER
N
N
FNBB Capital Markets, LLC
8-66553
SEC FILE NUMBER
N
N
ViewTrade Securities, Inc.
549300CHLQDUD0NL5851
N
N
Monex Securities, Inc.
254900VTZ3HYHNEJRX35
N
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J.P. Morgan Securities LLC
ZBUT11V806EZRVTWT807
N
N
Moloney Securities Co., Inc.
8-48326
SEC FILE NUMBER
N
N
Fifth Third Bank
QFROUN1UWUYU0DVIWD51
N
N
Perryman Securities, Inc.
8-53546
SEC FILE NUMBER
N
N
Coker & Palmer, Inc.
254900V1KTPDN88TDS68
N
N
Register Financial Associates, Inc.
8-45012
SEC FILE NUMBER
N
N
Larson Financial Securities, LLC
8-68456
SEC FILE NUMBER
N
N
TD Ameritrade Clearing, Inc.
MRK678VXOI09YSSN8X19
N
Y
Globalink Securities, Inc.
8-44509
SEC FILE NUMBER
N
N
Massachusetts Mutual Life Insurance Company
R6ZXK5P01NP6HXSY1S07
N
Y
TCAdvisors Network Inc.
8-46909
SEC FILE NUMBER
N
N
Great Point Capital LLC
254900HN4IGCO53HDK23
N
N
VBC Securities, LLC
8-44141
SEC FILE NUMBER
N
N
Institutional Securities Corporation
2549007EJ1PSLA8XVA50
N
N
Sage, Rutty & Co., Inc.
8-00533
SEC FILE NUMBER
N
N
Apex Clearing Corporation
5493000418CITRF5BO80
N
N
Mid-Atlantic Securities, Inc.
8-36997
SEC FILE NUMBER
N
N
Teckmeyer Financial Services, L.L.C.
8-48501
SEC FILE NUMBER
N
N
Horan Securities, Inc.
8-49192
SEC FILE NUMBER
N
N
UBS Financial Services Inc.
ETYRV6ORNFJB5NONI676
N
N
Coastal Equities, Inc.
8-40822
SEC FILE NUMBER
N
N
Saturna Brokerage Services, Inc.
8-36558
SEC FILE NUMBER
N
N
Avantax Wealth Management, Inc
8-29533
SEC FILE NUMBER
N
N
BTS Securities Corporation
8-26818
SEC FILE NUMBER
N
N
Nations Financial Group, Inc.
8-50588
SEC FILE NUMBER
N
N
Lockton Financial Advisors, LLC
8-67090
SEC FILE NUMBER
N
N
OneAmerica Securities, Inc.
8-15009
SEC FILE NUMBER
N
N
Profinancial, Inc.
8-32026
SEC FILE NUMBER
N
N
City National Bank
549300MEMKSF7703ZQ25
N
N
Zions Direct, Inc.
8-35721
SEC FILE NUMBER
N
N
Charles Schwab Bank
549300INFJ8TYNZ1G568
N
Y
Woodlands Securities Corporation
8-39700
SEC FILE NUMBER
N
N
Ceros Financial Services, Inc.
549300N2YQ0P5G0WE562
N
N
American Enterprise Investment Services Inc.
549300NT7GLLVGTH0249
N
N
Cresap, Inc.
8-42117
SEC FILE NUMBER
N
N
BD4RIA, Inc.
8-70022
SEC FILE NUMBER
N
N
Sovereign Legacy Securities, Inc.
8-00621
SEC FILE NUMBER
N
N
Spire Securities, LLC
8-67635
SEC FILE NUMBER
N
N
American National Trust And Investment Management Company
028-00344
SEC FILE NUMBER
N
N
S.G. Long & Company
8-51816
SEC FILE NUMBER
N
N
Ascensus Financial Services, LLC
8-67891
SEC FILE NUMBER
N
N
Northwest Investment Advisors, Inc.
8-65282
SEC FILE NUMBER
N
N
Broadridge Business Process Outsourcing, LLC
8-53412
SEC FILE NUMBER
N
Y
Western Growers Financial Services, Inc.
8-53458
SEC FILE NUMBER
N
N
Western Equity Group, Inc.
8-66403
SEC FILE NUMBER
N
N
Avondale Partners, LLC
254900799PKXEPTDRJ40
N
N
Hudson Heritage Capital Management, Inc.
8-50648
SEC FILE NUMBER
N
N
Intercam Securiteis, Inc.
8-67840
SEC FILE NUMBER
N
N
Family Investors Company
8-11190
SEC FILE NUMBER
N
N
Sammons Retirement Solutions, Inc.
N/A
N
Y
World Choice Securities, Inc.
8-45235
SEC FILE NUMBER
N
N
Omega Securities, Inc.
8-20225
SEC FILE NUMBER
N
N
Westport Resources Investment Services, Inc.
8-40904
SEC FILE NUMBER
N
N
Capital Institutional Services, Inc.
54930061X8RDWFDJIS05
N
N
Janney Montgomery Scott LLC
549300QQRY1JCFQHYS08
N
N
Allegheny Investments, Ltd.
8-22183
SEC FILE NUMBER
N
N
Boenning & Scattergood, Inc.
2549005FER5A7K7II574
N
N
Mutual Securities, Inc.
8-28580
SEC FILE NUMBER
N
N
Arive Capital Markets
8-43350
SEC FILE NUMBER
N
N
Investments For You, Inc.
8-44179
SEC FILE NUMBER
N
N
ValMark Securities, Inc.
8-45463
SEC FILE NUMBER
N
N
Pershing Advisor Solutions, LLC
549300KTC63JRN36GZ84
N
N
DFPG Investments, Inc.
8-68730
SEC FILE NUMBER
N
N
Cetera Investment Services, LLC
254900HBKNJ13M56N432
N
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David Lerner Associates, Inc.
8-20746
SEC FILE NUMBER
N
N
The Strategic Financial Alliance, Inc.
8-65885
SEC FILE NUMBER
N
N
Cantella & Co., Inc.
254900Z33Q34HCFGHO19
N
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Girard Investment Services, LLC
8-14145
SEC FILE NUMBER
N
N
World Equity Group, Inc.
25490078J1OM7KOXR686
N
N
SFA Financial, LLC
8-68156
SEC FILE NUMBER
N
N
Private Client Services, LLC
8-68183
SEC FILE NUMBER
N
N
Sunbelt Securities, Inc.
8-49748
SEC FILE NUMBER
N
N
Advisory Group Equity Services, Ltd.
8-32155
SEC FILE NUMBER
N
N
M&T Securities, Inc.
254900VRUF9FN7AZI864
N
N
CFS Securities, Inc.
8-51330
SEC FILE NUMBER
N
N
Wiley Bros.-Aintree Capital, LLC
8-03774
SEC FILE NUMBER
N
N
Arque Capital, Ltd.
8-65390
SEC FILE NUMBER
N
N
Ameritas Investment Corp.
549300913B54XKSRM258
N
N
Crown Capital Securities, L.P.
8-17264
SEC FILE NUMBER
N
N
Santander Securities LLC
8-49571
SEC FILE NUMBER
N
N
Moors & Cabot, Inc.
8-23060
SEC FILE NUMBER
N
N
E*Trade Securities
8-44112
SEC FILE NUMBER
N
N
Union Capital Company
8-53127
SEC FILE NUMBER
N
N
Gradient Securities, LLC
8-66032
SEC FILE NUMBER
N
N
Aon Benfield Securities, Inc.
5493002ME0O127QJJG03
N
N
Access Financial Group, Inc.
8-46065
SEC FILE NUMBER
N
N
The Leaders Group, Inc.
8-47639
SEC FILE NUMBER
N
N
Heim, Young & Associates, Inc.
8-48500
SEC FILE NUMBER
N
N
VectorGlobal WMG
254900K52VRYBHUGBC64
N
N
Michigan Securities, Inc. (dba Broadstone Securities)
8-52094
SEC FILE NUMBER
N
N
Insigneo Securities, LLC
254900P4TTO6PU1VDH88
N
N
FSB Warner Financial, Inc.
8-44865
SEC FILE NUMBER
N
N
Sanctuary Securities, Inc.
2549007WBAL2Z578XQ34
N
N
Sycamore Financial Group
8-30302
SEC FILE NUMBER
N
N
FSC Securities Corporation
8-21770
SEC FILE NUMBER
N
N
Northland Securities, Inc.
254900ZIK4MLVQAWLS15
N
N
Nationwide Planning Associates Inc.
8-45310
SEC FILE NUMBER
N
N
Mesirow Financial, Inc.
549300BIV46SUHPOFE54
N
N
ICMA-RC Services, Inc.
8-40268
SEC FILE NUMBER
N
N
Rehmann Financial Network
8-69134
SEC FILE NUMBER
N
N
Griffinest Asia Securities, LLC
8-66571
SEC FILE NUMBER
N
N
Sunset Financial Services, Inc.
8-14148
SEC FILE NUMBER
N
N
G. W. & Wade Asset Management Company, LLC
8-42013
SEC FILE NUMBER
N
N
Crews & Associates, Inc.
5493001BWSV3E82LZ446
N
N
Independent Financial Group, LLC
254900KYWXHSQ7RMNP09
N
N
NYLife Distributors LLC
8-46655
SEC FILE NUMBER
N
N
USCA Securities LLC
254900GBMSP1Y45THR66
N
N
Packerland Brokerage Services, Inc.
8-47572
SEC FILE NUMBER
N
N
Nestlerode & Loy, Inc.
8-12629
SEC FILE NUMBER
N
N
BBVA Securities Inc.
549300RJFN0Z663VE860
N
N
Pyramid Funds Corporation
8-12769
SEC FILE NUMBER
N
N
Fidelity Brokerage Services LLC
549300OQFQ4NFIOD5695
N
Y
Healthcare Community Securities Corporation
8-46981
SEC FILE NUMBER
N
N
Jefferies, LLC
58PU97L1C0WSRCWADL48
N
N
Great-West Financial Retirement Plan Services, LLC
N/A
N
Y
BAC Florida Investments
254900CAF9OPVE8VT408
N
N
Principal Life Insurance Company
SDCMU2LVKGV2AF1KWP64
N
Y
Sisung Securities Corporation
254900KJI3EYKKPWT989
N
N
Cannon Securities, Inc.
8-68437
SEC FILE NUMBER
N
N
Brokers International Financial Services, LLC
8-67239
SEC FILE NUMBER
N
N
Muriel Seibert & Co., Inc.
8-14900
SEC FILE NUMBER
N
N
Omni Financial Securities
8-44034
SEC FILE NUMBER
N
N
John Hancock Life Insurance Company
QQ0OZ8J9C4B5QT1XDG31
CA
N
Y
J.W. Cole Financial, Inc.
8-65698
SEC FILE NUMBER
N
N
Marsco Investment Corporation
8-36754
SEC FILE NUMBER
N
N
Investment Network Inc.
8-66036
SEC FILE NUMBER
N
N
T. Rowe Price Investment Services, Inc.
8-25130
SEC FILE NUMBER
N
N
Gladowsky Capital Management Corp.
8-51017
SEC FILE NUMBER
N
N
Sunstreet Securities, LLC
8-67541
SEC FILE NUMBER
N
N
Voya Financial Partners, LLC
8-13987
SEC FILE NUMBER
N
N
Robinson & Robinson, Inc.
8-17109
SEC FILE NUMBER
N
N
Raymond James & Associates, Inc.
U4ONQX15J3RO8XCKE979
N
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B. Riley Wealth Management Holdings, Inc
8-31206
SEC FILE NUMBER
N
N
Signal Securities, Inc.
8-32948
SEC FILE NUMBER
N
N
Prudential Insurance Company of America
Y574KRZ6V5A7UBU45C31
N
Y
Brighton Securities Corp.
8-14599
SEC FILE NUMBER
N
N
Dinosaur Financial Group, LLC
549300CCV3H232GBUN83
N
N
Cetera Advisors LLC
8-26892
SEC FILE NUMBER
N
N
American Global Wealth Management, Inc.
8-21584
SEC FILE NUMBER
N
N
National Securities Corp.
8-164
SEC FILE NUMBER
N
N
Cambridge Investment Research, Inc.
8-48740
SEC FILE NUMBER
N
N
Pruco Securities, LLC.
8-16402
SEC FILE NUMBER
N
N
Planned Financial Programs, Inc.
8-05727
SEC FILE NUMBER
N
N
American Wealth Management
8-41807
SEC FILE NUMBER
N
N
E. E. Powell & Company Inc.
8-01893
SEC FILE NUMBER
N
N
Digital Retirement Solutions, Inc.
N/A
N
Y
Kovack Securities Inc.
25490070RG17Z4I70I82
N
N
First Allied Securities, Inc.
8-46167
SEC FILE NUMBER
N
N
L.O. Thomas & Co. Inc.
8-40875
SEC FILE NUMBER
N
N
Woodmen Financial Services, Inc.
8-53592
SEC FILE NUMBER
N
N
AqGen Ascensus, Inc.
549300K5MHNFPEU2RK82
N
Y
Oak Tree Securities, Inc.
8-36138
SEC FILE NUMBER
N
N
Prospera Financial Services, Inc.
8-28164
SEC FILE NUMBER
N
N
Peak Brokerage Services, LLC
8-68829
SEC FILE NUMBER
N
N
Emerson Equity LLC
8-66296
SEC FILE NUMBER
N
N
Planners Financial Services, Inc.
8-18027
SEC FILE NUMBER
N
N
Symphonic Securities LLC
8-67220
SEC FILE NUMBER
N
N
Cary Street Partners LLC
8-66085
SEC FILE NUMBER
N
N
UMB Financial Services, Inc.
254900GFVO9NGQ21JC37
N
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First Heartland Capital, Inc.
8-46008
SEC FILE NUMBER
N
N
CNR Securities LLC
8-36759
SEC FILE NUMBER
N
N
Garden State Securities, Inc.
8-25790
SEC FILE NUMBER
N
N
Jack V. Butterfield Investment Company
8-12454
SEC FILE NUMBER
N
N
OFG Financial Services, Inc.
8-40770
SEC FILE NUMBER
N
N
Folger Nolan Fleming Douglas Incorporated
8-03335
SEC FILE NUMBER
N
N
Amegy Investments, Inc. (Zions)
8-65399
SEC FILE NUMBER
N
N
Chalice Capital Partners, LLC
8-69967
SEC FILE NUMBER
N
N
MMA Securities LLC
8-50591
SEC FILE NUMBER
N
N
Hancock Whitney Corporation
549300GRNBWY8HIICT41
N
N
Adcap Securities, LLC
254900EMZBEIM1FAO022
N
N
Guardian Insurance & Annuity Company, Inc., The
TGIU5N0SIMULU6I57R64
N
Y
MGO Securities Corp.
8-47814
SEC FILE NUMBER
N
N
Lieblong & Associates, Inc.
8-49880
SEC FILE NUMBER
N
N
Glen Eagle Advisors LLC
8-65678
SEC FILE NUMBER
N
N
Capital Synergy Partners, Inc.
8-68060
SEC FILE NUMBER
N
N
Portsmouth Financial Services
8-30097
SEC FILE NUMBER
N
N
Herbert J. Sims & Co. Inc.
254900SV6UESQBS8XP98
N
N
Harbour Investments, Inc.
8-37373
SEC FILE NUMBER
N
N
General Securities Corp.
8-31654
SEC FILE NUMBER
N
N
Bolton Global Capital
2549009M08YVOG46LO79
N
N
Great Pacific Securities
254900QRZ90SUI8C4W84
N
N
Raymond James Financial Services, Inc.
RGUZHJ05YTITL6D76949
N
N
Oriental Financial Services Corp.
8-44516
SEC FILE NUMBER
N
N
Jacques Financial, LLC
8-52675
SEC FILE NUMBER
N
N
Bruderman Brothers, LLC
8-51974
SEC FILE NUMBER
N
N
Colliers Securities LLC
549300OD1C69R64IVC38
N
N
Transamerica Advisors Life Insurance Company
F1PLTWZ8OU4HQGZQAP31
N
N
Halliday Financial, LLC
8-45529
SEC FILE NUMBER
N
N
T. Rowe Price Retirement Plan Services, Inc.
084-06219
SEC FILE NUMBER
N
Y
Bankoh Investment Services, Inc.
8-44201
SEC FILE NUMBER
N
N
R.M. Stark & Co., Inc.
8-22543
SEC FILE NUMBER
N
N
Conover Securities Corporation
8-35085
SEC FILE NUMBER
N
N
Voya Retirement Insurance and Annuity Company
OK3MKCDYPD4NN6QDGK18
N
Y
Global Brokerage Services, Inc.
8-47763
SEC FILE NUMBER
N
N
Trustmont Financial Group, Inc.
8-36439
SEC FILE NUMBER
N
N
N.E. Private Client Advisors, Ltd.
8-66968
SEC FILE NUMBER
N
N
Buckman, Buckman & Reid, Inc.
254900D688L15B5HJB06
N
N
Navy Federal Brokerage Services, LLC
8-67161
SEC FILE NUMBER
N
N
Transamerica Financial Advisors, Inc.
549300JW32XCZSHI0878
N
N
First Honolulu Securities, Inc.
8-23919
SEC FILE NUMBER
N
N
Leumi Investment Services Inc.
5493005SJQ3VQ5DEE756
N
N
Anovest Financial Services, Inc.
8-66742
SEC FILE NUMBER
N
N
American Capital Partners, LLC
254900I8NH46ZJJ4Z956
N
N
Invex, Inc.
NPOTUCXQYGXX5PO6VH74
N
N
Purshe Kaplan Sterling Investments
8-46844
SEC FILE NUMBER
N
N
Riversource Distributors, Inc.
8-67196
SEC FILE NUMBER
N
N
The Investment Center, Inc.
8-35826
SEC FILE NUMBER
N
N
Associated Investment Services, Inc.
8-00099
SEC FILE NUMBER
N
N
AE Financial Services, LLC
8-70214
SEC FILE NUMBER
N
N
T.S. Phillips Investments, Inc.
8-65661
SEC FILE NUMBER
N
N
G.L.S. & Associates, Inc.
8-51808
SEC FILE NUMBER
N
N
TD Private Client Wealth LLC
8-69105
SEC FILE NUMBER
N
N
Hazlett, Burt & Watson, Inc.
8-17737
SEC FILE NUMBER
N
N
Hantz Financial Services, Inc.
8-51291
SEC FILE NUMBER
N
N
Sorrento Pacific Financial, LLC
8-66046
SEC FILE NUMBER
N
N
Veritas Independent Partners, LLC
8-69363
SEC FILE NUMBER
N
N
Gregory J. Schwartz & Co., Inc.
8-20955
SEC FILE NUMBER
N
N
APW Capital, Inc.
8-50433
SEC FILE NUMBER
N
N
SagePoint Financial, Inc.
8-66771
SEC FILE NUMBER
N
N
JPMorgan Chase Bank, N.A.
7H6GLYDRUGQFU57RNE97
N
N
First Manhattan Co.
549300NNJKVSO48I3G76
N
N
Parkland Securities, LLC
8-53482
SEC FILE NUMBER
N
N
Hefren-Tillotson, Inc.
8-10646
SEC FILE NUMBER
N
N
Proequities, Inc.
8-32590
SEC FILE NUMBER
N
N
Arkadios Capital
8-69729
SEC FILE NUMBER
N
N
United States Life Insurance Company in the City of New York
549300C1JQGJ0MNUMG79
N
Y
KW Securities Corporation
8-24792
SEC FILE NUMBER
N
N
Buckram Securities LTD
8-65939
SEC FILE NUMBER
N
N
American Independent Securities Group, LLC
8-66905
SEC FILE NUMBER
N
N
Oberweis Securities, Inc.
5493008EZH6DO1631P71
N
N
LPL Financial LLC
5493005NM7F0H1N3EQ39
N
Y
Rodgers Brothers, Inc.
8-33475
SEC FILE NUMBER
N
N
Investment Placement Group
5493005L3RL45FY4HR07
N
N
Middlegate Securities Ltd.
549300ZVONUQ845QCH95
N
N
SunTrust Investment Services, Inc.
8-35355
SEC FILE NUMBER
N
N
American Financial Securities, Inc.
8-53205
SEC FILE NUMBER
N
N
Arlington Securities, Inc.
8-38098
SEC FILE NUMBER
N
N
Intercarolina Financial Services, Inc.
8-37519
SEC FILE NUMBER
N
N
NPB Financial Group, LLC
8-67113
SEC FILE NUMBER
N
N
Client One Securities LLC
8-68494
SEC FILE NUMBER
N
N
American Financial Associates, Inc.
8-44065
SEC FILE NUMBER
N
N
First Western Securities, Inc.
8-37613
SEC FILE NUMBER
N
N
Alight Financial Solutions LLC
8-47344
SEC FILE NUMBER
N
N
The Jeffrey Matthews Financial Group, L.L.C.
25490086M6MGMYYVOJ50
N
N
American Heritage Securities, Inc.
8-44466
SEC FILE NUMBER
N
N
Security Distributors, Inc.
8-10781
SEC FILE NUMBER
N
N
Fairport Capital, Inc.
8-32162
SEC FILE NUMBER
N
N
Nest Investments BD, LLC
8-70117
SEC FILE NUMBER
N
N
Gerwin Group, Inc.
8-40282
SEC FILE NUMBER
N
N
Thurston, Springer, Miller, Herd & Titak, Inc.
8-25452
SEC FILE NUMBER
N
N
Investors Brokerage of Texas, Ltd.
8-28644
SEC FILE NUMBER
N
N
Smith, Brown & Groover, Inc.
8-13079
SEC FILE NUMBER
N
N
Madison Avenue Securities, Inc.
8-40426
SEC FILE NUMBER
N
N
Conduent HR Services LLC
084-06035
SEC FILE NUMBER
N
Y
Bankers Life Securities, Inc.
549300YBBLCDP5GDSH97
N
N
TD Ameritrade Trust Company
028-15163
SEC FILE NUMBER
N
N
Herndon Plant Oakley, LTD
8-50912
SEC FILE NUMBER
N
N
Securities America, Inc.
8-26602
SEC FILE NUMBER
N
N
Camden Financial Services
8-37303
SEC FILE NUMBER
N
N
LaSalle St. Securities, L.L.C.
8-18860
SEC FILE NUMBER
N
N
Nationwide Financial Services, Inc.
5493001H7AZNDS6BKJ36
N
Y
XP Securities, LLC
549300HDFLS7P433PO89
N
N
Citizens Bank
254900MFWISYMJ04ZE93
N
N
Worth Financial Group Inc.
8-29827
SEC FILE NUMBER
N
N
Park Avenue Securities LLC
8-51324
SEC FILE NUMBER
N
N
K. W. Chambers & CO.
8-10533
SEC FILE NUMBER
N
N
Oscar Gruss & Son Incorporated
549300V78DH9XCK5UI63
N
N
B.B. Graham & Company, Inc.
8-49477
SEC FILE NUMBER
N
N
Alexander Capital, L.P.
8-48957
SEC FILE NUMBER
N
N
Sentinel Securities, Inc.
8-53142
SEC FILE NUMBER
N
N
Snowden Account Services, Inc.
254900WVSS0BX602UF45
N
N
VOYA Investments Distributors, LLC
8-48020
SEC FILE NUMBER
N
N
First Command Financial Planning, Inc.
8-07072
SEC FILE NUMBER
N
N
M Holdings Securities, Inc.
8-50214
SEC FILE NUMBER
N
N
Morgan Stanley Smith Barney LLC
7PDDXEMZ0ZV0CEDU4D16
N
N
Chapin Davis Inc
8-43485
SEC FILE NUMBER
N
N
Fidelity Investments Life
54930024AKTQGTIV1P93
N
N
Gill Capital Partners, LLC
8-30563
SEC FILE NUMBER
N
N
D.A. Davidson & Co.
549300094RQ5A7DYLF51
N
N
First National Bank Alaska
25490089V5DJHFQMOA03
N
N
Empire Asset Management Company
8-67520
SEC FILE NUMBER
N
N
VALIC Financial Advisors, Inc.
8-50018
SEC FILE NUMBER
N
N
Lombard Securities, Inc.
8-43340
SEC FILE NUMBER
N
N
The Oak Ridge Financial Services Group, Inc.
2549003647MDU9F6QN39
N
N
Horace Mann Investors, Inc.
8--6082
SEC FILE NUMBER
N
N
J. Alden Associates, Inc.
8-48938
SEC FILE NUMBER
N
N
Cardinal Investments, Inc.
8-47493
SEC FILE NUMBER
N
N
Ameriprise Financial Services, Inc.
8-16791
SEC FILE NUMBER
N
N
Highlander Capital Group, Inc.
8-37169
SEC FILE NUMBER
N
N
R. F. Lafferty & Co., Inc.
254900KLPTMWPBZWH264
N
N
DMK Advisor Group, Inc.
8-49279
SEC FILE NUMBER
N
N
The GMS Group, LLC
254900OXZT27TA5CGU56
N
N
Buell Securities Corp
8-22058
SEC FILE NUMBER
N
N
Lincoln Financial Securities Corporation
8-14609
SEC FILE NUMBER
N
N
Integrated Financial Planning Services
8-35120
SEC FILE NUMBER
DE
N
N
Integral Financial LLC
2549000I2CBZTJRHG786
N
N
Dominion Investor Services, Inc.
8-39029
SEC FILE NUMBER
N
N
Aufhaser Securities, Inc.
8-48786
SEC FILE NUMBER
N
N
National Financial Services, LLC
549300JRHF1MHHWUAW04
N
Y
Inverness Securities, LLC
8-66278
SEC FILE NUMBER
N
N
Nicol Investors Corporation
8-65566
SEC FILE NUMBER
N
N
Chelsea Morgan Securities, Inc.
8-51916
SEC FILE NUMBER
N
N
Capitol Securities Management, Inc.
8-30353
SEC FILE NUMBER
N
N
United Planners' Financial Services of America A Limited Partner
8-38485
SEC FILE NUMBER
N
N
Lincoln Investment Planning, Inc.
8-14354
SEC FILE NUMBER
N
N
1st Discount Brokerage, Inc.
8-48557
SEC FILE NUMBER
N
N
Northern Capital Securities Corporation
254900ZANH7XTB94LS53
N
N
Leigh Baldwin & Co., LLC
8-48385
SEC FILE NUMBER
N
N
Ace Diversified Capital, Inc.
8-49555
SEC FILE NUMBER
N
N
FMSBonds, Inc.
549300TUTBK58NSF2517
N
N
First Mercantile Trust Company
028-10498
SEC FILE NUMBER
N
Y
Securian Financial Services, Inc.
8-31955
SEC FILE NUMBER
N
N
Samuel A Ramirez & Co., Inc.
254900CBKVW7O2ENQA21
N
N
American Portfolios Financial Services, Inc.
8-37085
SEC FILE NUMBER
N
N
Darwood Associates Incorporated
8-16560
SEC FILE NUMBER
N
N
Kalos Capital, Inc.
8-50630
SEC FILE NUMBER
N
N
Stephens Inc.
213800LH6T9XDYZCA534
N
N
Cape Securities Inc.
8-20747
SEC FILE NUMBER
N
N
Mutual of Omaha Investor Services, Inc.
8-47290
SEC FILE NUMBER
N
N
FinTrust Brokerage Services, LLC
8-49514
SEC FILE NUMBER
N
N
McLaughlin Ryder Investments, Inc.
8-67911
SEC FILE NUMBER
N
N
SCF Securities, Inc.
8-51760
SEC FILE NUMBER
N
N
Aventura Securities, LLC
8-67458
SEC FILE NUMBER
N
N
New England Pension Plan Systems, LLC
N/A
N
Y
Concorde Investment Services, LLC
8-68388
SEC FILE NUMBER
N
N
First Southern, LLC
8-69733
SEC FILE NUMBER
N
N
Integrity Investments, Inc.
8-45302
SEC FILE NUMBER
N
N
Federated Securities, Inc.
8-15644
SEC FILE NUMBER
N
N
Dorn & Co., Inc.
8-08707
SEC FILE NUMBER
N
N
The Garbacz Group Inc.
8-42366
SEC FILE NUMBER
N
N
Saxony Securities, Inc.
8-53490
SEC FILE NUMBER
N
N
Genworth Life Insurance Company of New York
E5VAS7I8GX5B0SDBX010
N
Y
IFP Securities
8-70150
SEC FILE NUMBER
N
N
Paradigm Equities, Inc.
8-45593
SEC FILE NUMBER
N
N
KCD Financial, Inc.
8-66005
SEC FILE NUMBER
N
N
Charles Schwab & Co., Inc.
549300ZP8XN77GK5BS04
N
Y
Gold Coast Securities, Inc.
8-53148
SEC FILE NUMBER
N
N
Cabot Lodge Securities, LLC
8-69009
SEC FILE NUMBER
N
N
U.S. Bancorp Investments, Inc.
H85Z6XZP8B10ES0M2G89
N
N
Rogan & Associates, Inc.
8-49995
SEC FILE NUMBER
N
N
Bley Investments Group, Inc.
8-42701
SEC FILE NUMBER
N
N
ACP Securities, LLC
254900GHLAGD9J81O211
N
N
Next Financial Group, Inc.
8-51356
SEC FILE NUMBER
N
N
Keel Point Capital, LLC
8-22990
SEC FILE NUMBER
N
N
Joseph Gunnar & Co. LLC
2549001XBRI5XQ0ZDA12
N
N
Coldstream Securities, Inc.
8-51549
SEC FILE NUMBER
N
N
Pacific Financial Associates, Inc.
8-40712
SEC FILE NUMBER
N
N
Sorsby Financial Corp.
8-48718
SEC FILE NUMBER
N
N
CIBC World Markets Corp.
549300445CON3DBMU275
N
N
CapFinancial Securities, LLC
8-65870
SEC FILE NUMBER
N
N
Liberty Partners Financial Services, LLC
8-66335
SEC FILE NUMBER
N
N
Allianz Life Financial Services, LLC
5493008TSI0TRWDDGW79
N
N
Andbanc Brokerage, LLC
213800E4CWGFMCDQZ792
N
N
North South Capital, LLC
549300ODEKJCRN2AM859
N
N
Navaid Financial Services, Inc.
8-49897
SEC FILE NUMBER
N
N
Signature Securities Group Corporation
8-52697
SEC FILE NUMBER
N
N
Huntleigh Securities Corporation
8-21893
SEC FILE NUMBER
N
N
Wellington Shields & Co., LLC
8-68098
SEC FILE NUMBER
N
N
Devenir, LLC
8-65837
SEC FILE NUMBER
N
N
Beaconsfield Financial Services, Inc.
8-30993
SEC FILE NUMBER
N
N
Fieldpoint Private Securities, LLC
8-37105
SEC FILE NUMBER
N
N
State Farm VP Management Corp
8-50128
SEC FILE NUMBER
N
N
Deutsche Bank Securities Inc.
9J6MBOOO7BECTDTUZW19
N
N
L. B. Fisher & Company
8-21023
SEC FILE NUMBER
N
N
CUNA Brokerage Services, Inc.
549300G6Y6BPF9ZL4706
N
N
Commonwealth Equity Services, Inc.
8-24040
SEC FILE NUMBER
N
N
Fortune Financial Services, Inc.
8-49727
SEC FILE NUMBER
N
N
Berthel, Fisher & Company Financial Services, Inc.
8-29426
SEC FILE NUMBER
N
N
Wells Fargo Bank, N.A.
KB1H1DSPRFMYMCUFXT09
N
N
American Century Investment Services, Inc.
8-35220
SEC FILE NUMBER
N
N
Hilltop Securities, Inc.
549300IXU82PMU6XZT45
N
N
Monere Investments, Inc.
8-52982
SEC FILE NUMBER
N
N
Y
BLACKROCK ADVISORS, LLC
5493001LN9MRM6A35J74
Y
N
STATE STREET BANK AND TRUST COMPANY
571474TGEMMWANRLN572
N
Y
N
BLACKROCK EXECUTION SERVICES
008-48719
000039438
549300HFCRQ0NT5KY652
0.00000000
BLACKROCK INVESTMENTS, LLC
008-48436
000038642
54930061FBHCKXL2G714
0.00000000
BOFA SECURITIES, INC.
008-69787
000283942
549300HN4UKV1E2R3U73
30313.82000000
GOLDMAN SACHS & CO. LLC
008-00129
000000361
FOR8UP27PHTHYVLBNG30
9705.16000000
MORGAN STANLEY & CO. LLC
008-15869
000008209
9R7GPTSO7KV3UQJZQ078
7997.88000000
CITIGROUP GLOBAL MARKETS INC.
008-08177
000007059
MBNUM2BPBDO7JBLYG310
8303.10000000
J.P. Morgan Securities LLC
008-35008
000000079
ZBUT11V806EZRVTWT807
6989.83000000
WELLS FARGO SECURITIES, LLC
008-65876
000126292
VYVVCKR63DVZZN70PB21
6718.03000000
Pershing LLC
008-17574
000007560
ZI8Q1A8EI8LQFJNM0D94
16284.82000000
JEFFERIES LLC
008-15074
000002347
58PU97L1C0WSRCWADL48
7812.21000000
UBS Securities LLC
008-22651
000007654
T6FIZBDPKLYJKFCRVK44
9888.87000000
CREDIT SUISSE SECURITIES (USA) LLC
008-00422
000000816
1V8Y6QCX6YMJ2OELII46
11697.58000000
165164.64000000
GOLDMAN SACHS & CO. LLC
008-00129
000000361
FOR8UP27PHTHYVLBNG30
141520.00000000
BlackRock Liquidity Funds T-Fund
N/A
N/A
5493002L9DNZ83RX7V61
568880292.55000000
MORGAN STANLEY & CO. LLC
008-15869
000008209
9R7GPTSO7KV3UQJZQ078
1189638.00000000
570211450.55000000
Y
574623924.12000000
0.00000000
Committed
1750000000.00000000
N
N
N
N
BlackRock International Dividend Fund
S000001511
YJHG4TWZP5ZO7GSHVF29
N
4
0
2
N/A
N
N
Y
N
N
BlackRock Investment Management, LLC
5493006MRTEZZ4S4CQ20
Y
N
Revenue sharing split
Other
Cash collateral reinvestment fee
Rebates paid to borrowers
438896.00000000
890.00000000
Rule 32a-4 (17 CFR 270.32a-4)
Rule 12d1-1 (17 CFR 270.12d1-1)
Rule 22d-1 (17 CFR 270.22d-1)
Rule 12d1-4 (17 CFR 270.12d1-4)
Rule 17a-7 (17 CFR 270.17a-7)
Y
Y
N
N
BlackRock Advisors, LLC
801-47710
000106614
5493001LN9MRM6A35J74
N
BlackRock International Limited
801-51087
000106843
5493008YUGP5E01IBD70
Y
GB
N
BNY Mellon Investment Servicing (US) Inc.
084-01761
549300CFZQLI9QMJ1Z03
N
N
N
Intercontinental Exchange, Inc.
5493000F4ZO33MV32P92
N
N
Deutsche Bank A.S. (Turkey)
789000N5SE3LWDK7OI11
TR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
BNP Paribas Securities Services (Athens)
549300WCGB70D06XZS54
GR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Deutsche Bank AG, Manila Branch Philippines
7LTWFZYICNSX8D621K86
PH
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Citibank N.A., Argentina
579100KKDGKCFFKKF005
AR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Euroclear Nederland (Netherlands)
549300CBNW05DILT6870
NL
N
Y
Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Bank Hapoalim B.M.
B6ARUI4946ST4S7WOU88
IL
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Citibank Europe PLC, Hungarian Branch Office
N1FBEDJ5J41VKZLO2475
HU
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Bank Polska Kasa Opieki S.A.
5493000LKS7B3UTF7H35
PL
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Clearstream Banking AG
549300298FD7AS4PPU70
DE
N
Y
Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
UBS Securities LLC
T6FIZBDPKLYJKFCRVK44
N
Y
Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Euroclear Bank SA/NV (Belgium)
549300OZ46BRLZ8Y6F65
BE
N
Y
Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
The Standard Bank of South Africa Limited
QFC8ZCW3Q5PRXU1XTM60
ZA
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Deutsche Bank (Malaysia) Berhad
529900DLWFR8HK7DR278
MY
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Barclays Capital Inc.
AC28XWWI3WIBK2824319
N
Y
Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
HSBC Bank Bermuda Limited
0W1U67PTV5WY3WYWKD79
BM
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Cititrust Colombia S A Sociedad Fiduciaria
549300242J3IJCOSGI49
CO
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Deutsche Bank AG, Seoul Branch
7LTWFZYICNSX8D621K86
KR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Skandinaviska Enskilda Banken AB, Copenhagen Branch
F3JS33DEI6XQ4ZBPTN86
DK
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
The Hongkong and Shanghai Banking Corporation Limited, Bangkok Branch
2HI3YI5320L3RW6NJ957
TH
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Citibank Europe PLC (Czech Republic)
N1FBEDJ5J41VKZLO2475
CZ
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
HSBC Bank Australia Limited
DY9DBNI4W8J63Z298033
AU
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Deutsche Bank AG (India)
529900XJG4R4MYZD2W75
IN
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Goldman Sachs & Co. LLC
FOR8UP27PHTHYVLBNG30
N
Y
Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
HSBC Bank (Taiwan) Limited
549300SG184IVNYDMN03
TW
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
UniCredit Bank Austria AG
D1HEB8VEU6D9M8ZUXG17
AT
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Skandinaviska Enskilda Banken AB, Helsinki Branch
F3JS33DEI6XQ4ZBPTN86
FI
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Skandinaviska Enskilda Banken AB, Oslo Branch
F3JS33DEI6XQ4ZBPTN86
NO
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Citigroup Global Markets Inc.
MBNUM2BPBDO7JBLYG310
N
Y
Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Credit Suisse (Switzerland) Ltd.
549300CWR0W0BCS9Q144
CH
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Skandinaviska Enskilda Banken AB
F3JS33DEI6XQ4ZBPTN86
SE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
HSBC NOMINEES (NEW ZEALAND) LIMITED
213800NHDWIZKO5KIH05
NZ
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
MUFG Bank, Ltd.
C3GTMMZIHMY46P4OIX74
JP
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Deutsche Bank AG, Jakarta
254900XBQBHM0QPI0V70
ID
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Citibanamex
5493004NLEXB8DK06353
MX
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Credit Suisse Securities (USA) LLC
1V8Y6QCX6YMJ2OELII46
N
Y
Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
HSBC Shenzhen
213800H3TEBTFHD5JR69
CN
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
The Bank of New York Mellon
HPFHU0OQ28E4N0NFVK49
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Euroclear UK & Ireland Limited
549300M5MYAD51WHJD55
GB
N
Y
Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
The Hongkong and Shanghai Banking Corporation Limited
2HI3YI5320L3RW6NJ957
HK
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Morgan Stanley & Co. LLC
9R7GPTSO7KV3UQJZQ078
N
Y
Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Banco Bilbao Vizcaya Argentaria SA
K8MS7FD7N5Z2WQ51AZ71
ES
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Euroclear France
54930060MY6S68NEUP16
FR
N
Y
Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
MONTE TITOLI S.P.A.
8156009CEEE1B8C7C646
IT
N
Y
Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
DBS Bank Ltd, Singapore
ATUEL7OJR5057F2PV266
SG
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
CIBC Mellon Trust Company
549300IYUUH221WBZ505
CA
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
HSBC Shanghai
2CZOJRADNJXBLT55G526
CN
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Citibank Europe PLC (Portugal)
N1FBEDJ5J41VKZLO2475
PT
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Skandinaviska Enskilda Banken AB, Vilniaus Bankas
F3JS33DEI6XQ4ZBPTN86
LT
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Y
Private Client Services, LLC
8-68183
SEC FILE NUMBER
N
N
American Enterprise Investment Services Inc.
549300NT7GLLVGTH0249
N
N
Ascensus Broker Dealer Services, Inc.
8-47312
SEC FILE NUMBER
N
Y
Feltl & Company
8-18435
SEC FILE NUMBER
N
N
Hornor, Townsend & Kent, Inc.
8-14715
SEC FILE NUMBER
N
N
Northern Trust Securities, Inc.
3CHSO99JSPHD9HGNYJ46
N
N
Stonecrest Capital Markets, Inc.
8-48754
SEC FILE NUMBER
N
N
Western Growers Financial Services, Inc.
8-53458
SEC FILE NUMBER
N
N
Muriel Seibert & Co., Inc.
8-14900
SEC FILE NUMBER
N
N
OneAmerica Securities, Inc.
8-15009
SEC FILE NUMBER
N
N
Vision Financial Markets LLC
549300J0X8HK9GUADL55
N
N
Coordinated Capital Securities, Inc.
8-31173
SEC FILE NUMBER
N
N
State Farm VP Management Corp
8-50128
SEC FILE NUMBER
N
N
Goldman Sachs & Co. LLC
FOR8UP27PHTHYVLBNG30
N
N
Pershing Advisor Solutions, LLC
549300KTC63JRN36GZ84
N
N
Voya Institutional Plan Services, LLC
N/A
N
N
Global Brokerage Services, Inc.
8-47763
SEC FILE NUMBER
N
N
NorthWestern Mutual Investment Services, LLC
CYO86L8D7HTXW9SOZX28
N
N
SFA Financial, LLC
8-68156
SEC FILE NUMBER
N
N
William Blair & Company L.L.C.
549300J0P7XYE8BMZ775
N
N
First National Bank Alaska
25490089V5DJHFQMOA03
N
N
UMB Financial Services, Inc.
254900GFVO9NGQ21JC37
N
N
MidWestern Securities Trading Company, LLC
8-52074
SEC FILE NUMBER
N
N
First Horizon Advisors, Inc.
8-35061
SEC FILE NUMBER
N
N
Piper Jaffray & Co.
549300GRQCWQ3XGH0H10
N
N
Center Street Securities, Inc.
8-42786
SEC FILE NUMBER
N
N
New England Pension Plan Systems, LLC
N/A
N
Y
Sisung Securities Corporation
254900KJI3EYKKPWT989
N
N
TFS Securities, Inc.
8-38377
SEC FILE NUMBER
N
N
AssetMark Trust Company
N/A
N
N
Calamar Financial Group
8-69777
SEC FILE NUMBER
N
N
Gradient Securities, LLC
8-66032
SEC FILE NUMBER
N
N
American Century Investment Services, Inc.
8-35220
SEC FILE NUMBER
N
N
Ni Advisors
8-66841
SEC FILE NUMBER
N
N
Lincoln Investment Planning, Inc.
8-14354
SEC FILE NUMBER
N
N
Capital Synergy Partners, Inc.
8-68060
SEC FILE NUMBER
N
N
TransAm Securities, Inc.
8-37065
SEC FILE NUMBER
N
N
Teckmeyer Financial Services, L.L.C.
8-48501
SEC FILE NUMBER
N
N
D.H. Hill Securities LLP
8-49475
SEC FILE NUMBER
N
N
Mid Atlantic Capital Corporation
549300HJL2LPNSC0JX96
N
N
Insigneo Securities, LLC
254900P4TTO6PU1VDH88
N
N
Allegiance Capital, L.L.C.
8-52978
SEC FILE NUMBER
N
N
Capital City Securities, LLC
8-67771
SEC FILE NUMBER
N
N
Capital Investment Group, Inc.
8-31225
SEC FILE NUMBER
N
N
Anovest Financial Services, Inc.
8-66742
SEC FILE NUMBER
N
N
BestVest Investments, Ltd.
254900SL6FW130BMS922
N
N
Investors Brokerage of Texas, Ltd.
8-28644
SEC FILE NUMBER
N
N
Dominion Investor Services, Inc.
8-39029
SEC FILE NUMBER
N
N
NBC Securities, Inc.
254900GIP7RJQGHH5S19
N
N
David Lerner Associates, Inc.
8-20746
SEC FILE NUMBER
N
N
TIAA-CREF Individual & Institutional Services, LLC
8-44454
SEC FILE NUMBER
N
N
Hazlett, Burt & Watson, Inc.
8-17737
SEC FILE NUMBER
N
N
Maplewood Investment Advisors, Inc.
8-52221
SEC FILE NUMBER
N
N
Cantella & Co., Inc.
254900Z33Q34HCFGHO19
N
N
First Command Financial Planning, Inc.
8-07072
SEC FILE NUMBER
N
N
Security Distributors, Inc.
8-10781
SEC FILE NUMBER
N
N
Titleist Asset Management, Ltd.
8-65859
SEC FILE NUMBER
N
N
Invicta Capital, LLC
549300QY87LR84LRLL97
N
N
Gladowsky Capital Management Corp.
8-51017
SEC FILE NUMBER
N
N
Aon Benfield Securities, Inc.
5493002ME0O127QJJG03
N
N
Intercarolina Financial Services, Inc.
8-37519
SEC FILE NUMBER
N
N
ING Financial Markets LLC
KBVRJ5K57JZ3E2AVWX40
N
N
Interactive Brokers LLC
50OBSE5T5521O6SMZR28
N
N
Oak Tree Securities, Inc.
8-36138
SEC FILE NUMBER
N
N
Girard Investment Services, LLC
8-14145
SEC FILE NUMBER
N
N
Chalice Capital Partners, LLC
8-69967
SEC FILE NUMBER
N
N
Horan Securities, Inc.
8-49192
SEC FILE NUMBER
N
N
Purshe Kaplan Sterling Investments
8-46844
SEC FILE NUMBER
N
N
Raymond James Financial Services, Inc.
RGUZHJ05YTITL6D76949
N
N
Feldstein Financial Group, LLC
8-53388
SEC FILE NUMBER
N
N
Prudential Insurance Company of America
Y574KRZ6V5A7UBU45C31
N
Y
Hilltop Securities, Inc.
549300IXU82PMU6XZT45
N
N
Inverness Securities, LLC
8-66278
SEC FILE NUMBER
N
N
James I. Black & Company
8-12077
SEC FILE NUMBER
N
N
Glen Eagle Advisors LLC
8-65678
SEC FILE NUMBER
N
N
Register Financial Associates, Inc.
8-45012
SEC FILE NUMBER
N
N
TimeCapital Securities Corporation
8-18248
SEC FILE NUMBER
N
N
Woodbury Financial Services, Inc.
8-13846
SEC FILE NUMBER
N
N
Pyramid Funds Corporation
8-12769
SEC FILE NUMBER
N
N
Commerce Brokerage Services, Inc.
8-35096
SEC FILE NUMBER
N
N
Sammons Retirement Solutions, Inc.
N/A
N
Y
Keel Point Capital, LLC
8-22990
SEC FILE NUMBER
N
N
Heim, Young & Associates, Inc.
8-48500
SEC FILE NUMBER
N
N
Impact U. Investments, LLC
8-65527
SEC FILE NUMBER
N
N
B. Riley Wealth Management Holdings, Inc
8-31206
SEC FILE NUMBER
N
N
Variable Investment Advisors, Inc.
8-50699
SEC FILE NUMBER
N
N
Amerant Investments, Inc.
254900M8G8SSAIMHET60
N
N
Rhodes Securities, Inc.
8-37689
SEC FILE NUMBER
N
N
ValMark Securities, Inc.
8-45463
SEC FILE NUMBER
N
N
Axiom Capital Management, Inc.
254900WW7SK1IMK6NO54
N
N
Securian Financial Services, Inc.
8-31955
SEC FILE NUMBER
N
N
M. S. Howells & Co.
8-52558
SEC FILE NUMBER
N
N
Harbour Investments, Inc.
8-37373
SEC FILE NUMBER
N
N
D.A. Davidson & Co.
549300094RQ5A7DYLF51
N
N
Voya Retirement Insurance and Annuity Company
OK3MKCDYPD4NN6QDGK18
N
Y
Country Capital Management Company
8-12645
SEC FILE NUMBER
N
N
First Financial Equity Corporation
8-34082
SEC FILE NUMBER
N
N
LifeMark Securities Corp.
8-33478
SEC FILE NUMBER
N
N
Lesko Securities Inc.
8-26408
SEC FILE NUMBER
N
N
Robert W. Baird & Co. Incorporated
549300772UJAHRD6LO53
N
N
ADP Broker-Dealer, Inc.
8-47885
SEC FILE NUMBER
N
Y
Hancock Whitney Investment Services, Inc.
8-49106
SEC FILE NUMBER
N
N
American Equity Investment Corporation
8-49078
SEC FILE NUMBER
N
N
Principled Advisors, Inc.
8-66451
SEC FILE NUMBER
N
N
Stephens Inc.
213800LH6T9XDYZCA534
N
N
Garden State Securities, Inc.
8-25790
SEC FILE NUMBER
N
N
Independence Capital Co., Inc.
8-41331
SEC FILE NUMBER
N
N
Hennion & Walsh, Inc.
8-41988
SEC FILE NUMBER
N
N
Searle & Co.
8-28600
SEC FILE NUMBER
N
N
ICMA-RC Services, Inc.
8-40268
SEC FILE NUMBER
N
N
Zions Direct, Inc.
8-35721
SEC FILE NUMBER
N
N
NTB Financial Corporation
8-21884
SEC FILE NUMBER
N
N
Independent Financial Group, LLC
254900KYWXHSQ7RMNP09
N
N
U.S. Bancorp Investments, Inc.
H85Z6XZP8B10ES0M2G89
N
N
Nations Financial Group, Inc.
8-50588
SEC FILE NUMBER
N
N
Alight Financial Solutions LLC
8-47344
SEC FILE NUMBER
N
N
Gregory J. Schwartz & Co., Inc.
8-20955
SEC FILE NUMBER
N
N
Investment Security Corporation
8-51832
SEC FILE NUMBER
N
N
BTG Pactual US Capital, LLC
549300EUEDL5GKQW8U35
N
N
Capitol Securities Management, Inc.
8-30353
SEC FILE NUMBER
N
N
Planmember Securities Corporation
8-25065
SEC FILE NUMBER
N
N
American Heritage Securities, Inc.
8-44466
SEC FILE NUMBER
N
N
Capital Portfolio Management, Inc.
8-44225
SEC FILE NUMBER
N
N
CoreCap Investments, Inc.
8-47783
SEC FILE NUMBER
N
N
The O.N. Equity Sales Company
8-14161
SEC FILE NUMBER
N
N
Fifth Third Securities, Inc.
5493003IMO3TYX51WE43
N
N
BNP Paribas Securities Corp
RCNB6OTYUAMMP879YW96
N
N
Polar Investment Counsel, Inc.
8-50039
SEC FILE NUMBER
N
N
Finance 500, Inc.
8-28302
SEC FILE NUMBER
N
N
JPMorgan Chase Bank, N.A.
7H6GLYDRUGQFU57RNE97
N
N
Empire Asset Management Company
8-67520
SEC FILE NUMBER
N
N
MMA Securities LLC
8-50591
SEC FILE NUMBER
N
N
People's Securities, Inc.
8-29667
SEC FILE NUMBER
N
N
Lincoln Financial Distributors, Inc.
8-13431
SEC FILE NUMBER
N
N
Arete Wealth Management, LLC
8-50854
SEC FILE NUMBER
N
N
Institutional Securities Corporation
2549007EJ1PSLA8XVA50
N
N
BancWest Investment Services, Inc.
5493001GJYTESEZEBA51
N
N
SCF Securities, Inc.
8-51760
SEC FILE NUMBER
N
N
Ameritas Investment Corp.
549300913B54XKSRM258
N
N
Madison Avenue Securities, Inc.
8-40426
SEC FILE NUMBER
N
N
Investments For You, Inc.
8-44179
SEC FILE NUMBER
N
N
BCG Securities, Inc.
8-12680
SEC FILE NUMBER
N
N
Benefit Trust Company
N/A
N
Y
Devenir, LLC
8-65837
SEC FILE NUMBER
N
N
Smith, Moore & Co.
8-27480
SEC FILE NUMBER
N
N
Parkland Securities, LLC
8-53482
SEC FILE NUMBER
N
N
LaSalle St. Securities, L.L.C.
8-18860
SEC FILE NUMBER
N
N
Multiple Financial Services, Inc.
8-52017
SEC FILE NUMBER
N
N
TCFG Wealth Management, LLC
8-69089
SEC FILE NUMBER
N
N
Verity Investments, Inc.
8-49474
SEC FILE NUMBER
N
N
National Securities Corp.
8-164
SEC FILE NUMBER
N
N
Cardinal Investments, Inc.
8-47493
SEC FILE NUMBER
N
N
Vanguard Group, Inc., The
5493002789CY3L0CJP65
N
Y
SagePoint Financial, Inc.
8-66771
SEC FILE NUMBER
N
N
Uhlmann Price Securities, LLC
8-50041
SEC FILE NUMBER
N
N
H. C. Denison Co.
8-00044
SEC FILE NUMBER
N
N
Saturna Brokerage Services, Inc.
8-36558
SEC FILE NUMBER
N
N
Wood (Arthur W.) Company, Inc.
8-03368
SEC FILE NUMBER
N
N
The Lawrence D. Vitez Corp. DBA Consolidated Securities
8-48642
SEC FILE NUMBER
N
N
Centaurus Financial, Inc.
8-45185
SEC FILE NUMBER
N
N
Halliday Financial, LLC
8-45529
SEC FILE NUMBER
N
N
ACP Securities, LLC
254900GHLAGD9J81O211
N
N
A.G.P/Alliance Global Partners
549300QJQ08RJGC7D885
N
N
Herbert J. Sims & Co. Inc.
254900SV6UESQBS8XP98
N
N
Rockefeller Financial, LLC
8-70054
SEC FILE NUMBER
N
N
First Citizens Investor Services, Inc.
8-50696
SEC FILE NUMBER
N
N
Rogan & Associates, Inc.
8-49995
SEC FILE NUMBER
N
N
Weston Securities Corporation
8-32664
SEC FILE NUMBER
N
N
GWN Securities Inc.
8-66185
SEC FILE NUMBER
N
N
E*Trade Savings Bank
549300DXPO50FJ75QA85
N
Y
Hand Securities, Inc.
8-51001
SEC FILE NUMBER
N
N
Jack V. Butterfield Investment Company
8-12454
SEC FILE NUMBER
N
N
BD4RIA, Inc.
8-70022
SEC FILE NUMBER
N
N
American Capital Partners, LLC
254900I8NH46ZJJ4Z956
N
N
Liberty Partners Financial Services, LLC
8-66335
SEC FILE NUMBER
N
N
American Financial Securities, Inc.
8-53205
SEC FILE NUMBER
N
N
The GMS Group, LLC
254900OXZT27TA5CGU56
N
N
USA Financial Securities Corporation
8-52342
SEC FILE NUMBER
N
N
H. Beck, Inc.
8-31165
SEC FILE NUMBER
N
N
Arque Capital, Ltd.
8-65390
SEC FILE NUMBER
N
N
Umpqua Investments, Inc.
8-02915
SEC FILE NUMBER
N
N
Securities America, Inc.
8-26602
SEC FILE NUMBER
N
N
Calton & Associates, Inc.
254900TDJ7LH64ZKRY86
N
N
Wells Fargo Bank, N.A.
KB1H1DSPRFMYMCUFXT09
N
N
John Hancock Life Insurance Company of New York
5493007RYG4GXIKSQI18
CA
N
Y
Corinthian Partners, L.L.C.
8-48461
SEC FILE NUMBER
N
N
K. W. Chambers & CO.
8-10533
SEC FILE NUMBER
N
N
Nest Investments BD, LLC
8-70117
SEC FILE NUMBER
N
N
Jefferies, LLC
58PU97L1C0WSRCWADL48
N
N
Cannon Securities, Inc.
8-68437
SEC FILE NUMBER
N
N
PNC Bank, N.A.
AD6GFRVSDT01YPT1CS68
N
N
John Hancock Life Insurance Company
QQ0OZ8J9C4B5QT1XDG31
CA
N
Y
Loria Financial Group, LLC
8-52128
SEC FILE NUMBER
N
N
Comerica Securities, Inc.
5493009QV211JEW7ZV59
N
N
World Capital Brokerage, Inc.
8-06805
SEC FILE NUMBER
N
N
Consolidated Financial Investments, Inc.
8-37004
SEC FILE NUMBER
N
N
Packerland Brokerage Services, Inc.
8-47572
SEC FILE NUMBER
N
N
VOYA Investments Distributors, LLC
8-48020
SEC FILE NUMBER
N
N
Western International Securities, Inc.
8-48572
SEC FILE NUMBER
N
N
Money Concepts Capital Corp.
8-29671
SEC FILE NUMBER
N
N
The Tavenner Company
8-41206
SEC FILE NUMBER
N
N
Bankers Life Securities, Inc.
549300YBBLCDP5GDSH97
N
N
Teachers Insurance and Annuity Association of America
O06YD7BJ4EPYNABVFN69
N
Y
Classic LLC
8-68981
SEC FILE NUMBER
N
N
Sammons Financial Network, LLC
8-68905
SEC FILE NUMBER
N
N
Fieldpoint Private Securities, LLC
8-37105
SEC FILE NUMBER
N
N
Fidelity Brokerage Services LLC
549300OQFQ4NFIOD5695
N
Y
L.O. Thomas & Co. Inc.
8-40875
SEC FILE NUMBER
N
N
Transamerica Financial Advisors, Inc.
549300JW32XCZSHI0878
N
N
Arvest Investments, Inc.
8-49677
SEC FILE NUMBER
N
N
M Holdings Securities, Inc.
8-50214
SEC FILE NUMBER
N
N
Mercer HR Services, LLC
N/A
N
Y
Park Avenue Securities LLC
8-51324
SEC FILE NUMBER
N
N
Midland Securities, Ltd.
8-40685
SEC FILE NUMBER
N
N
Capital Management Securities, Inc.
8-27779
SEC FILE NUMBER
N
N
Advisory Group Equity Services, Ltd.
8-32155
SEC FILE NUMBER
N
N
SunTrust Investment Services, Inc.
8-35355
SEC FILE NUMBER
N
N
Cetera Financial Specialists LLC
8-27082
SEC FILE NUMBER
N
N
Voya Financial Partners, LLC
8-13987
SEC FILE NUMBER
N
N
First Western Securities, Inc.
8-37613
SEC FILE NUMBER
N
N
Alliant Securities, Inc. Turner, Nord, Kienbaum
8-23305
SEC FILE NUMBER
N
N
Union Capital Company
8-53127
SEC FILE NUMBER
N
N
Aventura Securities, LLC
8-67458
SEC FILE NUMBER
N
N
Monex Securities, Inc.
254900VTZ3HYHNEJRX35
N
N
Excel Securities & Associates, Inc.
8-34261
SEC FILE NUMBER
N
N
RNR Securities, L.L.C.
8-50366
SEC FILE NUMBER
N
N
Signal Securities, Inc.
8-32948
SEC FILE NUMBER
N
N
Abacus International Capital Corp.
8-46418
SEC FILE NUMBER
N
N
Coldstream Securities, Inc.
8-51549
SEC FILE NUMBER
N
N
APW Capital, Inc.
8-50433
SEC FILE NUMBER
N
N
Akar Capital Management, Inc.
8-28026
SEC FILE NUMBER
N
N
Arive Capital Markets
8-43350
SEC FILE NUMBER
N
N
Griffinest Asia Securities, LLC
8-66571
SEC FILE NUMBER
N
N
Country Club Financial Services, Inc.
8-44574
SEC FILE NUMBER
N
N
Boenning & Scattergood, Inc.
2549005FER5A7K7II574
N
N
BBVA Securities Inc.
549300RJFN0Z663VE860
N
N
Infinex Investments, Inc.
8-46661
SEC FILE NUMBER
N
N
Chauner Securities, Inc.
8-33980
SEC FILE NUMBER
N
N
Bley Investments Group, Inc.
8-42701
SEC FILE NUMBER
N
N
Monere Investments, Inc.
8-52982
SEC FILE NUMBER
N
N
TD Ameritrade, Inc.
CWQYQU0TV2NLMLZKNB44
N
Y
Vorpahl Wing Securities
8-51823
SEC FILE NUMBER
N
N
Prudential Investment Management Services LLC
8-36540
SEC FILE NUMBER
N
N
Proequities, Inc.
8-32590
SEC FILE NUMBER
N
N
Blakeslee and Blakeslee Inc.
8-32071
SEC FILE NUMBER
N
N
Somerset Securities, Inc.
8-11539
SEC FILE NUMBER
N
N
Brokers International Financial Services, LLC
8-67239
SEC FILE NUMBER
N
N
Whitehall-Parker Securities, Inc.
8-27688
SEC FILE NUMBER
N
N
HSBC Securities (USA), Inc.
CYYGQCGNHMHPSMRL3R97
N
N
First Heartland Capital, Inc.
8-46008
SEC FILE NUMBER
N
N
Deutsche Bank Securities Inc.
9J6MBOOO7BECTDTUZW19
N
N
Veritas Independent Partners, LLC
8-69363
SEC FILE NUMBER
N
N
Shareholders Service Group, Inc.
8-65778
SEC FILE NUMBER
N
N
Diversified Resources, LLC
8-45497
SEC FILE NUMBER
N
N
Davinci Capital Management Inc.
8-51580
SEC FILE NUMBER
N
N
Allianz Life Financial Services, LLC
5493008TSI0TRWDDGW79
N
N
Gerwin Group, Inc.
8-40282
SEC FILE NUMBER
N
N
The Oak Ridge Financial Services Group, Inc.
2549003647MDU9F6QN39
N
N
Sunstreet Securities, LLC
8-67541
SEC FILE NUMBER
N
N
Saxony Securities, Inc.
8-53490
SEC FILE NUMBER
N
N
Genworth Life Insurance Company of New York
E5VAS7I8GX5B0SDBX010
N
Y
Henley & Company LLC
8-66463
SEC FILE NUMBER
N
N
Hightower Securities, LLC
549300F189LKWDZLP954
N
N
Genworth Life & Annuity Insurance Company
TAI340D9BWT9R77O0P03
N
N
J.D. Seibert & Company, Inc.
8-23604
SEC FILE NUMBER
N
N
Itau International Securities, Inc.
54930086LDFU8Z86AH91
N
N
KCD Financial, Inc.
8-66005
SEC FILE NUMBER
N
N
KW Securities Corporation
8-24792
SEC FILE NUMBER
N
N
Access Financial Group, Inc.
8-46065
SEC FILE NUMBER
N
N
VectorGlobal WMG
254900K52VRYBHUGBC64
N
N
BOK Financial Securities, Inc.
2Q57THMJB7JL1206V012
N
N
1st Discount Brokerage, Inc.
8-48557
SEC FILE NUMBER
N
N
R.M. Stark & Co., Inc.
8-22543
SEC FILE NUMBER
N
N
Place Trade Financial, Inc.
8-65915
SEC FILE NUMBER
N
N
SEI Private Trust Company
028-10625
SEC FILE NUMBER
N
Y
Carty & Company, Inc.
8-19082
SEC FILE NUMBER
N
N
D.M. Kelly & Company
8-48398
SEC FILE NUMBER
N
N
R. F. Lafferty & Co., Inc.
254900KLPTMWPBZWH264
N
N
SecureVest Financial Group
254900LG3HPQV4J0WH27
N
N
VOYA Financial Advisors, LLC
8-46451
SEC FILE NUMBER
N
N
Berthel, Fisher & Company Financial Services, Inc.
8-29426
SEC FILE NUMBER
N
N
Integrated Financial Planning Services
8-35120
SEC FILE NUMBER
DE
N
N
Highlander Capital Group, Inc.
8-37169
SEC FILE NUMBER
N
N
Oscar Gruss & Son Incorporated
549300V78DH9XCK5UI63
N
N
John Hancock Trust Company LLC
549300W205WZCFZS6R51
N
Y
Mutual Funds Associates, Inc.
8-13026
SEC FILE NUMBER
N
N
Laidlaw & Company (UK) Ltd.
8-53731
SEC FILE NUMBER
GB
N
N
Centennial Securities Company, LLC
8-23406
SEC FILE NUMBER
N
N
Brighton Securities Corp.
8-14599
SEC FILE NUMBER
N
N
R. Seelaus & Co., Inc.
2138004J7AJDLCOJYA06
N
N
United States Life Insurance Company in the City of New York
549300C1JQGJ0MNUMG79
N
Y
N.I.S. Financial Services, Inc.
8-15919
SEC FILE NUMBER
N
N
Folger Nolan Fleming Douglas Incorporated
8-03335
SEC FILE NUMBER
N
N
Camden Financial Services
8-37303
SEC FILE NUMBER
N
N
St. Bernard Financial Services, Inc.
8-47566
SEC FILE NUMBER
N
N
Rodgers Brothers, Inc.
8-33475
SEC FILE NUMBER
N
N
Vanguard Marketing Corporation
8-21570
SEC FILE NUMBER
N
N
First Mercantile Trust Company
028-10498
SEC FILE NUMBER
N
Y
Andbanc Brokerage, LLC
213800E4CWGFMCDQZ792
N
N
GLP Investment Services
8-41868
SEC FILE NUMBER
N
N
Coastal Equities, Inc.
8-40822
SEC FILE NUMBER
N
N
Lincoln Douglas Investments LLC
8-68728
SEC FILE NUMBER
N
N
Ustocktrade Securities, Inc.
8-33132
SEC FILE NUMBER
N
N
CGIS Securities LLC
254900GOI7SHVRZ5BG90
N
N
Profinancial, Inc.
8-32026
SEC FILE NUMBER
N
N
SG Americas Securities, LLC
549300F35UE0BOM1WJ55
N
N
Buckram Securities LTD
8-65939
SEC FILE NUMBER
N
N
Ladenburg Thalman & Co. Inc.
2549000V3L2KK4L76W91
N
N
International Research Securities, Inc.
8-37954
SEC FILE NUMBER
N
N
Ceros Financial Services, Inc.
549300N2YQ0P5G0WE562
N
N
Pensionmark Securities, LLC
8-69773
SEC FILE NUMBER
N
N
BAC Florida Investments
254900CAF9OPVE8VT408
N
N
Cetera Advisor Networks LLC
8-29577
SEC FILE NUMBER
N
N
Trustmont Financial Group, Inc.
8-36439
SEC FILE NUMBER
N
N
Wall Street Access
549300Z0MOT47D6OQV22
N
N
TRG Advisors, Inc.
8-50449
SEC FILE NUMBER
N
N
Oberweis Securities, Inc.
5493008EZH6DO1631P71
N
N
GRF Capital Investors, Inc.
8-41494
SEC FILE NUMBER
N
N
ACA/Prudent Investors Planning Corporation
8-51899
SEC FILE NUMBER
N
N
Westminster Financial Securities, Inc.
8-38426
SEC FILE NUMBER
N
N
Sorrento Pacific Financial, LLC
8-66046
SEC FILE NUMBER
N
N
S.G. Long & Company
8-51816
SEC FILE NUMBER
N
N
IFP Securities
8-70150
SEC FILE NUMBER
N
N
VALIC Financial Advisors, Inc.
8-50018
SEC FILE NUMBER
N
N
Financial Northeastern Securities, Inc.
549300QRRF2NAV5G3869
N
N
Key Investment Services LLC
8-66999
SEC FILE NUMBER
N
N
Westco Investment Corp.
8-38452
SEC FILE NUMBER
N
N
Western Equity Group, Inc.
8-66403
SEC FILE NUMBER
N
N
Stifel, Nicolaus & Company, Incorporated
5WUVMA08EYG4KEUPW589
N
Y
Harvest Financial Corporation
8-26037
SEC FILE NUMBER
N
N
MMC Securities Corp.
2549001ZA93O65N2ZM60
N
N
Dinosaur Financial Group, LLC
549300CCV3H232GBUN83
N
N
Herndon Plant Oakley, LTD
8-50912
SEC FILE NUMBER
N
N
Callaway Financial Services, Inc.
8-52474
SEC FILE NUMBER
N
N
Emerson Equity LLC
8-66296
SEC FILE NUMBER
N
N
Beaconsfield Financial Services, Inc.
8-30993
SEC FILE NUMBER
N
N
Morris Group, Inc.
549300JWKS0KMDOX5G12
N
N
B.B. Graham & Company, Inc.
8-49477
SEC FILE NUMBER
N
N
International Assets Advisory, LLC
254900ARMOHQNS987S09
N
N
Cambridge Investment Research, Inc.
8-48740
SEC FILE NUMBER
N
N
Xml Securities, LLC
8-67776
SEC FILE NUMBER
N
N
L. B. Fisher & Company
8-21023
SEC FILE NUMBER
N
N
Lombard Securities, Inc.
8-43340
SEC FILE NUMBER
N
N
Hartford Funds Management Company, LLC
801-77209
SEC FILE NUMBER
N
Y
USCA Securities LLC
254900GBMSP1Y45THR66
N
N
T. Rowe Price Retirement Plan Services, Inc.
084-06219
SEC FILE NUMBER
N
Y
Brooklight Place Securities, Inc.
8-32673
SEC FILE NUMBER
N
N
The Garbacz Group Inc.
8-42366
SEC FILE NUMBER
N
N
Mutual Trust Co. of America Securities
254900PUBUB7IS4GNY27
N
N
Michigan Securities, Inc. (dba Broadstone Securities)
8-52094
SEC FILE NUMBER
N
N
Wells Fargo Securities, LLC
8-65876
SEC FILE NUMBER
N
N
Sanders Morris Harris Inc.
254900ZNPYV465D1NZ47
N
N
Hudson Heritage Capital Management, Inc.
8-50648
SEC FILE NUMBER
N
N
G. W. & Wade Asset Management Company, LLC
8-42013
SEC FILE NUMBER
N
N
Marsco Investment Corporation
8-36754
SEC FILE NUMBER
N
N
Charles Schwab Bank
549300INFJ8TYNZ1G568
N
Y
Ausdal Financial Partners, Inc.
8-24519
SEC FILE NUMBER
N
N
Woodmen Financial Services, Inc.
8-53592
SEC FILE NUMBER
N
N
Lantern Investments, Inc.
8-45285
SEC FILE NUMBER
N
N
Janney Montgomery Scott LLC
549300QQRY1JCFQHYS08
N
N
FSB Warner Financial, Inc.
8-44865
SEC FILE NUMBER
N
N
S.A. Stone Wealth Management
8-36638
SEC FILE NUMBER
N
N
Broadridge Business Process Outsourcing, LLC
8-53412
SEC FILE NUMBER
N
Y
Trade-PMR Inc.
8-51390
SEC FILE NUMBER
N
N
Cetera Investment Services, LLC
254900HBKNJ13M56N432
N
N
Abacus Investments, Inc.
8-46571
SEC FILE NUMBER
N
N
T.R. Winston & Company, LLC
8-27519
SEC FILE NUMBER
N
N
Wright Investors' Service Distributors, Inc.
8-29579
SEC FILE NUMBER
N
N
Infinity Securities, Inc.
8-67647
SEC FILE NUMBER
N
N
Roberts & Ryan Investments Inc.
254900A6VIVO4DP1T126
N
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Prospera Financial Services, Inc.
8-28164
SEC FILE NUMBER
N
N
TD Private Client Wealth LLC
8-69105
SEC FILE NUMBER
N
N
The Windmill Group, Inc.
8-25280
SEC FILE NUMBER
N
N
Citizens Securities, Inc.
2138006RAPI5PE2ZGW36
N
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PNC Capital Markets LLC
7OGNSSLOQJ8U3B9Y5F18
N
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Federated Securities, Inc.
8-15644
SEC FILE NUMBER
N
N
VBC Securities, LLC
8-44141
SEC FILE NUMBER
N
N
Ballew Investments, Inc.
8-45660
SEC FILE NUMBER
N
N
Bolton Securities Corp.
8-68187
SEC FILE NUMBER
N
N
ViewTrade Securities, Inc.
549300CHLQDUD0NL5851
N
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Advanced Advisor Group, LLC
8-67313
SEC FILE NUMBER
N
N
Hazard & Siegel, Inc.
8-13942
SEC FILE NUMBER
N
N
Principal Life Insurance Company
SDCMU2LVKGV2AF1KWP64
N
Y
American Wealth Management
8-41807
SEC FILE NUMBER
N
N
Pruco Securities, LLC.
8-16402
SEC FILE NUMBER
N
N
Securities Equity Group
8-51706
SEC FILE NUMBER
N
N
Watermark Securities, Inc.
8-43902
SEC FILE NUMBER
N
N
Boreal Capital Securities LLC
549300NMHK6HTSKCG696
N
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Century Securities Associates, Inc.
8-43514
SEC FILE NUMBER
N
N
Crews & Associates, Inc.
5493001BWSV3E82LZ446
N
N
LPL Financial LLC
5493005NM7F0H1N3EQ39
N
Y
Wells Fargo Clearing Services, LLC
88KRVSOEKUGQZJ3DKW55
N
Y
Chelsea Morgan Securities, Inc.
8-51916
SEC FILE NUMBER
N
N
Planned Financial Programs, Inc.
8-05727
SEC FILE NUMBER
N
N
Sigma Financial Corporation
8-30466
SEC FILE NUMBER
N
N
Regal Securities, Inc.
8-21765
SEC FILE NUMBER
N
N
Huntleigh Securities Corporation
8-21893
SEC FILE NUMBER
N
N
OFG Financial Services, Inc.
8-40770
SEC FILE NUMBER
N
N
Globalink Securities, Inc.
8-44509
SEC FILE NUMBER
N
N
Unionbanc Investment Services, LLC
254900Y9HI2TG6D79N41
N
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Logan Group Securities
8-48995
SEC FILE NUMBER
N
N
Wellington Shields & Co., LLC
8-68098
SEC FILE NUMBER
N
N
Horace Mann Investors, Inc.
8--6082
SEC FILE NUMBER
N
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Robinson & Robinson, Inc.
8-17109
SEC FILE NUMBER
N
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First Asset Financial, Inc.
8-67191
SEC FILE NUMBER
N
N
MGO Securities Corp.
8-47814
SEC FILE NUMBER
N
N
MSEC, LLC
8-68627
SEC FILE NUMBER
N
N
RBC Capital Markets, LLC
549300LCO2FLSSVFFR64
N
Y
First Kentucky Securities Corporation
8-22224
SEC FILE NUMBER
N
N
TD Ameritrade Trust Company
028-15163
SEC FILE NUMBER
N
N
Sycamore Financial Group
8-30302
SEC FILE NUMBER
N
N
J. Alden Associates, Inc.
8-48938
SEC FILE NUMBER
N
N
Planners Financial Services, Inc.
8-18027
SEC FILE NUMBER
N
N
Guardian Insurance & Annuity Company, Inc., The
TGIU5N0SIMULU6I57R64
N
Y
DWS Distributors, Inc.
5299007T18XBURKJ1V64
N
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Newport Group, Inc.
N/A
N
Y
Horace Mann Life Insurance Co.
5493000HR2JKKNH2FL09
N
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MML Distributors, LLC
8-48203
SEC FILE NUMBER
N
N
JHW Financial Services Inc.
8-45304
SEC FILE NUMBER
N
N
Nestlerode & Loy, Inc.
8-12629
SEC FILE NUMBER
N
N
Talcott Resolution Life Insurance Company
8CE7JPU9IU72L3PPD756
N
Y
White Mountain Capital, LLC
8-52572
SEC FILE NUMBER
N
N
Coker & Palmer, Inc.
254900V1KTPDN88TDS68
N
N
First Financial Securities of America, Inc.
8-29565
SEC FILE NUMBER
N
N
Family Investors Company
8-11190
SEC FILE NUMBER
N
N
Investment Planners, Inc.
8-35642
SEC FILE NUMBER
N
N
Santander Securities LLC
8-49571
SEC FILE NUMBER
N
N
Allstate Financial Services, LLC
8-36365
SEC FILE NUMBER
N
N
Nelson Ivest Brokerage Services, Inc.
8-26448
SEC FILE NUMBER
N
N
Healthcare Community Securities Corporation
8-46981
SEC FILE NUMBER
N
N
S.L. Reed & Company
8-49178
SEC FILE NUMBER
N
N
Hancock Whitney Corporation
549300GRNBWY8HIICT41
N
N
BTS Securities Corporation
8-26818
SEC FILE NUMBER
N
N
Dorn & Co., Inc.
8-08707
SEC FILE NUMBER
N
N
CNR Securities LLC
8-36759
SEC FILE NUMBER
N
N
Benjamin F. Edwards & Company, Inc.
8-68023
SEC FILE NUMBER
N
N
Ameriprise Financial Services, Inc.
8-16791
SEC FILE NUMBER
N
N
McLaughlin Ryder Investments, Inc.
8-67911
SEC FILE NUMBER
N
N
Cadaret, Grant & Co., Inc.
8-27844
SEC FILE NUMBER
N
N
McClurg Capital Corporation
8-34473
SEC FILE NUMBER
N
N
First Honolulu Securities, Inc.
8-23919
SEC FILE NUMBER
N
N
Nationwide Financial Services, Inc.
5493001H7AZNDS6BKJ36
N
Y
Investment Network Inc.
8-66036
SEC FILE NUMBER
N
N
Saturna Trust Company
N/A
N
Y
Amuni Financial, Inc
8-25338
SEC FILE NUMBER
N
N
State Street Bank and Trust Company
571474TGEMMWANRLN572
N
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FinTrust Brokerage Services, LLC
8-49514
SEC FILE NUMBER
N
N
Sentinel Securities, Inc.
8-53142
SEC FILE NUMBER
N
N
Independent Brokerage Solutions LLC
8-68549
SEC FILE NUMBER
N
N
Southeast Investments, N.C., Inc.
8-50127
SEC FILE NUMBER
N
N
SKA Securities, Inc.
8-53366
SEC FILE NUMBER
N
N
Lockton Financial Advisors, LLC
8-67090
SEC FILE NUMBER
N
N
Harbor Investment Advisory, LLC
8-68334
SEC FILE NUMBER
N
N
TCAdvisors Network Inc.
8-46909
SEC FILE NUMBER
N
N
Snowden Account Services, Inc.
254900WVSS0BX602UF45
N
N
Alexander Capital, L.P.
8-48957
SEC FILE NUMBER
N
N
Leigh Baldwin & Co., LLC
8-48385
SEC FILE NUMBER
N
N
T.S. Phillips Investments, Inc.
8-65661
SEC FILE NUMBER
N
N
United Brokerage Services, Inc.
8-48685
SEC FILE NUMBER
N
N
Navy Federal Brokerage Services, LLC
8-67161
SEC FILE NUMBER
N
N
Invex, Inc.
NPOTUCXQYGXX5PO6VH74
N
N
Standard Insurance Company
549300KVA8DBYKHPXO21
N
Y
Securities Research, Inc.
8-23699
SEC FILE NUMBER
N
N
Ace Diversified Capital, Inc.
8-49555
SEC FILE NUMBER
N
N
Fidelity Investments Institutional Operations Company, Inc.
549300XVSM8LN3LQOK63
N
Y
Founders Financial Securities LLC
8-67137
SEC FILE NUMBER
N
N
Chapin Davis Inc
8-43485
SEC FILE NUMBER
N
N
Carl M. Hennig, Inc.
8-14509
SEC FILE NUMBER
N
N
LaBrunerie Financial Services, Inc.
8-47830
SEC FILE NUMBER
N
N
Avantax Wealth Management, Inc
8-29533
SEC FILE NUMBER
N
N
J.P. Morgan Securities LLC
ZBUT11V806EZRVTWT807
N
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L.M. Kohn & Company
8-43303
SEC FILE NUMBER
N
N
Gold Coast Securities, Inc.
8-53148
SEC FILE NUMBER
N
N
Northland Securities, Inc.
254900ZIK4MLVQAWLS15
N
N
Aufhaser Securities, Inc.
8-48786
SEC FILE NUMBER
N
N
Conover Securities Corporation
8-35085
SEC FILE NUMBER
N
N
G.A. Repple & Company
8-35315
SEC FILE NUMBER
N
N
Maxim Group LLC
254900OJ6JZO6SDMHQ83
N
N
Sage, Rutty & Co., Inc.
8-00533
SEC FILE NUMBER
N
N
Investshares, Inc
8-68365
SEC FILE NUMBER
N
N
Avondale Partners, LLC
254900799PKXEPTDRJ40
N
N
Great Pacific Securities
254900QRZ90SUI8C4W84
N
N
Cresap, Inc.
8-42117
SEC FILE NUMBER
N
N
Lincoln Financial Advisors Corporation
8-14685
SEC FILE NUMBER
N
N
Synovus Securities, Inc.
254900CM2K7N1E0JF171
N
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Northwest Investment Advisors, Inc.
8-65282
SEC FILE NUMBER
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L.S.Y., Inc.
8-17613
SEC FILE NUMBER
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Associated Investment Services, Inc.
8-00099
SEC FILE NUMBER
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Riversource Distributors, Inc.
8-67196
SEC FILE NUMBER
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G.L.S. & Associates, Inc.
8-51808
SEC FILE NUMBER
N
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Sanctuary Securities, Inc.
2549007WBAL2Z578XQ34
N
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Amegy Investments, Inc. (Zions)
8-65399
SEC FILE NUMBER
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E. E. Powell & Company Inc.
8-01893
SEC FILE NUMBER
N
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Paradigm Equities, Inc.
8-45593
SEC FILE NUMBER
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Worth Financial Group Inc.
8-29827
SEC FILE NUMBER
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Perryman Securities, Inc.
8-53546
SEC FILE NUMBER
N
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MML Investors Services, LLC
8-27250
SEC FILE NUMBER
N
N
Tradition Securities and Derivatives Inc.
WRYEFMSVQCH0EMD08461
N
N
Citigroup Global Markets Inc.
MBNUM2BPBDO7JBLYG310
N
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Conduent HR Services LLC
084-06035
SEC FILE NUMBER
N
Y
Fortune Financial Services, Inc.
8-49727
SEC FILE NUMBER
N
N
The Leaders Group, Inc.
8-47639
SEC FILE NUMBER
N
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CIBC World Markets Corp.
549300445CON3DBMU275
N
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NPB Financial Group, LLC
8-67113
SEC FILE NUMBER
N
N
Syndicated Capital, Inc.
8-44162
SEC FILE NUMBER
N
N
Landaas & Company
8-51826
SEC FILE NUMBER
N
N
T. Rowe Price Investment Services, Inc.
8-25130
SEC FILE NUMBER
N
N
Regions Bank
EQTWLK1G7ODGC2MGLV11
N
N
McDonald Partners LLC
549300PEHG3UH7FAY193
N
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SECU Brokerage Services
8-37927
SEC FILE NUMBER
N
N
Omega Securities, Inc.
8-20225
SEC FILE NUMBER
N
N
First Allied Securities, Inc.
8-46167
SEC FILE NUMBER
N
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Sunbelt Securities, Inc.
8-49748
SEC FILE NUMBER
N
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CFS Securities, Inc.
8-51330
SEC FILE NUMBER
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BFT Financial Group, LLC
8-53487
SEC FILE NUMBER
N
N
Equity Services, Inc.
8-14286
SEC FILE NUMBER
N
N
North South Capital, LLC
549300ODEKJCRN2AM859
N
N
Omni Financial Securities
8-44034
SEC FILE NUMBER
N
N
Mutual of Omaha Investor Services, Inc.
8-47290
SEC FILE NUMBER
N
N
Sunset Financial Services, Inc.
8-14148
SEC FILE NUMBER
N
N
Joseph Gunnar & Co. LLC
2549001XBRI5XQ0ZDA12
N
N
Buckman, Buckman & Reid, Inc.
254900D688L15B5HJB06
N
N
MWA Financial Services Inc.
8-53255
SEC FILE NUMBER
N
N
Ascensus Financial Services, LLC
8-67891
SEC FILE NUMBER
N
N
Avisen Securities, Inc.
8-65833
SEC FILE NUMBER
N
N
Hefren-Tillotson, Inc.
8-10646
SEC FILE NUMBER
N
N
Triad Advisors, Inc.
8-42007
SEC FILE NUMBER
N
N
Bolton Global Capital
2549009M08YVOG46LO79
N
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Farmers Financial Solutions, LLC
8-52361
SEC FILE NUMBER
N
N
CFD Investments, Inc.
8-41727
SEC FILE NUMBER
N
N
PTS Brokerage, LLC
8-65173
SEC FILE NUMBER
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N
Nationwide Securities, LLC
8-12500
SEC FILE NUMBER
N
N
Intercam Securiteis, Inc.
8-67840
SEC FILE NUMBER
N
N
Morgan Stanley Smith Barney LLC
7PDDXEMZ0ZV0CEDU4D16
N
N
UBATCO & Co.
N/A
N
Y
TrustFirst, Inc.
8-48509
SEC FILE NUMBER
N
N
Peak Brokerage Services, LLC
8-68829
SEC FILE NUMBER
N
N
Lincoln Financial Securities Corporation
8-14609
SEC FILE NUMBER
N
N
Oriental Financial Services Corp.
8-44516
SEC FILE NUMBER
N
N
Neuberger Berman LLC
PWDS3JJ631D5N70JXG61
N
N
Great-West Financial Retirement Plan Services, LLC
N/A
N
Y
United Planners' Financial Services of America A Limited Partner
8-38485
SEC FILE NUMBER
N
N
Mack Investment Securities, Inc.
8-35536
SEC FILE NUMBER
N
N
Great Point Capital LLC
254900HN4IGCO53HDK23
N
N
E*Trade Securities
8-44112
SEC FILE NUMBER
N
N
Grant Williams L.P.
8-51249
SEC FILE NUMBER
N
N
CapFinancial Securities, LLC
8-65870
SEC FILE NUMBER
N
N
City National Bank
549300MEMKSF7703ZQ25
N
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Alight Solutions LLC
084-01996
SEC FILE NUMBER
N
Y
Benchmark Investments, Inc.
8-52280
SEC FILE NUMBER
N
N
Jacques Financial, LLC
8-52675
SEC FILE NUMBER
N
N
Thurston, Springer, Miller, Herd & Titak, Inc.
8-25452
SEC FILE NUMBER
N
N
Coinbase Capital Markets Corporation
8-28032
SEC FILE NUMBER
N
N
First Bankers' Banc Securities, Inc.
549300XZ7YYT3Y0SU530
N
N
Duncan-Williams, Inc.
25490045VHLUZ7H92Y27
N
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Caldwell Securities, Inc.
549300ORF2FMHXODHJ66
N
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General Securities Corp.
8-31654
SEC FILE NUMBER
N
N
American Portfolios Financial Services, Inc.
8-37085
SEC FILE NUMBER
N
N
Fiduciary Trust International
N1YKEWO2IYPRS4742F57
N
N
SunTrust Bank
IYDOJBGJWY9T8XKCSX06
N
N
FMN Capital Corporation
8-48082
SEC FILE NUMBER
N
N
Fifth Third Bank
QFROUN1UWUYU0DVIWD51
N
N
McNally Financial Services Corporation
8-65388
SEC FILE NUMBER
N
N
Equitable Advisors, LLC
8-17883
SEC FILE NUMBER
N
N
Moloney Securities Co., Inc.
8-48326
SEC FILE NUMBER
N
N
Gardner Financial Services, Inc.
8-38631
SEC FILE NUMBER
N
N
First Southern, LLC
8-69733
SEC FILE NUMBER
N
N
Principal Securities, Inc.
8-13975
SEC FILE NUMBER
N
N
Sabadell Securities USA, Inc.
2549002UK8JK82ABGD45
N
N
Citizens Bank
254900MFWISYMJ04ZE93
N
N
DMK Advisor Group, Inc.
8-49279
SEC FILE NUMBER
N
N
N.E. Private Client Advisors, Ltd.
8-66968
SEC FILE NUMBER
N
N
Dempsey Lord Smith, LLC
8-67469
SEC FILE NUMBER
N
N
Bruderman Brothers, LLC
8-51974
SEC FILE NUMBER
N
N
M&T Securities, Inc.
254900VRUF9FN7AZI864
N
N
UBS AG, New York Branch
BFM8T61CT2L1QCEMIK50
N
N
Cary Street Partners LLC
8-66085
SEC FILE NUMBER
N
N
Thompson Davis & Co., Inc.
8-49386
SEC FILE NUMBER
N
N
Pershing, LLC
8-17574
SEC FILE NUMBER
N
Y
VALIC Retirement Services Company
84-06057
SEC FILE NUMBER
N
N
Westport Resources Investment Services, Inc.
8-40904
SEC FILE NUMBER
N
N
Hantz Financial Services, Inc.
8-51291
SEC FILE NUMBER
N
N
Quincy Cass Associates, Incorporated
8-05743
SEC FILE NUMBER
N
N
Charles Schwab & Co., Inc.
549300ZP8XN77GK5BS04
N
Y
FNBB Capital Markets, LLC
8-66553
SEC FILE NUMBER
N
N
Oppenheimer & Co. Inc.
254900VH02JQR2L8XD64
N
N
Safra Securities LLC
E51AOUORNWWT747CBW71
N
N
Allen C Ewing & Co.
8-42393
SEC FILE NUMBER
N
N
Sovereign Legacy Securities, Inc.
8-00621
SEC FILE NUMBER
N
N
USI Securities, Inc.
8-50429
SEC FILE NUMBER
N
N
American United Life Insurance Company
549300T82H2DXU80LV98
N
Y
Raymond James & Associates, Inc.
U4ONQX15J3RO8XCKE979
N
N
Sorsby Financial Corp.
8-48718
SEC FILE NUMBER
N
N
Davenport & Company LLC
254900GN2SAXJGLMS075
N
N
The Investment Center, Inc.
8-35826
SEC FILE NUMBER
N
N
Apex Clearing Corporation
5493000418CITRF5BO80
N
N
Tocqueville Securities L.P.
8-42223
SEC FILE NUMBER
N
N
CBIZ Financial Solutions, Inc.
8-34205
SEC FILE NUMBER
N
N
Landolt Securities, Inc.
254900B2XEQ2HZGN7K90
N
N
Navaid Financial Services, Inc.
8-49897
SEC FILE NUMBER
N
N
Bankoh Investment Services, Inc.
8-44201
SEC FILE NUMBER
N
N
NYLife Distributors LLC
8-46655
SEC FILE NUMBER
N
N
Superior Financial Services, Inc.
549300BK1DNLS1A2MZ43
N
N
AE Financial Services, LLC
8-70214
SEC FILE NUMBER
N
N
Regulus Advisors, LLC
8-68275
SEC FILE NUMBER
N
N
Silver Oak Securities, Incorporated
8-51601
SEC FILE NUMBER
N
N
Colorado Financial Service Corporation
8-52817
SEC FILE NUMBER
N
N
Cabot Lodge Securities, LLC
8-69009
SEC FILE NUMBER
N
N
Portsmouth Financial Services
8-30097
SEC FILE NUMBER
N
N
Lieblong & Associates, Inc.
8-49880
SEC FILE NUMBER
N
N
Wintrust Investments, LLC
8-00484
SEC FILE NUMBER
N
N
Mid-Atlantic Securities, Inc.
8-36997
SEC FILE NUMBER
N
N
FMSBonds, Inc.
549300TUTBK58NSF2517
N
N
Concorde Investment Services, LLC
8-68388
SEC FILE NUMBER
N
N
American Independent Securities Group, LLC
8-66905
SEC FILE NUMBER
N
N
J.P. Morgan Institutional Investments Inc.
8-52182
SEC FILE NUMBER
N
N
CUNA Brokerage Services, Inc.
549300G6Y6BPF9ZL4706
N
N
FSC Securities Corporation
8-21770
SEC FILE NUMBER
N
N
Carter, Terry & Company, Inc.
8-33797
SEC FILE NUMBER
N
N
American Financial Associates, Inc.
8-44065
SEC FILE NUMBER
N
N
Harold W. Dance Inc.
8-12160
SEC FILE NUMBER
N
N
Portfolio Resources Group, Inc.
549300TKCYL1XNXOL896
N
N
Cape Securities Inc.
8-20747
SEC FILE NUMBER
N
N
Cutter & Company Brokerage, Inc.
8-39590
SEC FILE NUMBER
N
N
Kalos Capital, Inc.
8-50630
SEC FILE NUMBER
N
N
Nicol Investors Corporation
8-65566
SEC FILE NUMBER
N
N
Fairport Capital, Inc.
8-32162
SEC FILE NUMBER
N
N
Folio Investments, Inc.
8-52009
SEC FILE NUMBER
N
N
Nationwide Planning Associates Inc.
8-45310
SEC FILE NUMBER
N
N
Innovation Partners LLC
549300IEQ78ON1HMTU71
N
N
Essex Securities LLC
8-51472
SEC FILE NUMBER
N
N
Reliance Trust Company
549300NV8FSQRNOUQO50
N
Y
Mesirow Financial, Inc.
549300BIV46SUHPOFE54
N
N
Spire Securities, LLC
8-67635
SEC FILE NUMBER
N
N
XP Securities, LLC
549300HDFLS7P433PO89
N
N
Fidelity Investments Life
54930024AKTQGTIV1P93
N
N
Signature Securities Group Corporation
8-52697
SEC FILE NUMBER
N
N
American Global Wealth Management, Inc.
8-21584
SEC FILE NUMBER
N
N
Arkadios Capital
8-69729
SEC FILE NUMBER
N
N
Exeter Trust Company
028-04279
SEC FILE NUMBER
N
N
Digital Retirement Solutions, Inc.
N/A
N
Y
Actinver Securities, Inc.
254900FT947VQZ1WHT28
N
N
The Jeffrey Matthews Financial Group, L.L.C.
25490086M6MGMYYVOJ50
N
N
IDB Capital Corp.
254900SH3QL0IL3S9R34
N
N
WBB Securities, LLC
8-53660
SEC FILE NUMBER
N
N
Lion Street Financial, LLC
8-69183
SEC FILE NUMBER
N
N
World Choice Securities, Inc.
8-45235
SEC FILE NUMBER
N
N
Great American Investors, Inc.
8-44380
SEC FILE NUMBER
N
N
Mid-Atlantic Clearing & Settlement Corp.
8-47758
SEC FILE NUMBER
N
N
Mutual Securities, Inc.
8-28580
SEC FILE NUMBER
N
N
TD Ameritrade Clearing, Inc.
MRK678VXOI09YSSN8X19
N
Y
Capital Investment Brokerage, Inc.
8-49118
SEC FILE NUMBER
N
N
International Money Management Group, Inc.
8-30417
SEC FILE NUMBER
N
N
The Strategic Financial Alliance, Inc.
8-65885
SEC FILE NUMBER
N
N
Edward D. Jones & Co., L.P.
YZRCLX72FTV74B522G90
N
N
Larson Financial Securities, LLC
8-68456
SEC FILE NUMBER
N
N
AqGen Ascensus, Inc.
549300K5MHNFPEU2RK82
N
Y
First Republic Securities Company, LLC
5493000IMDFZDQYB2Q11
N
N
Adcap Securities, LLC
254900EMZBEIM1FAO022
N
N
Wiley Bros.-Aintree Capital, LLC
8-03774
SEC FILE NUMBER
N
N
GWFS Equities, Inc.
8-33854
SEC FILE NUMBER
N
N
Barclays Capital Inc.
AC28XWWI3WIBK2824319
N
N
Investment Placement Group
5493005L3RL45FY4HR07
N
N
Rehmann Financial Network
8-69134
SEC FILE NUMBER
N
N
Buell Securities Corp
8-22058
SEC FILE NUMBER
N
N
Royal Alliance Associates, Inc.
8-40218
SEC FILE NUMBER
N
N
National Financial Services, LLC
549300JRHF1MHHWUAW04
N
Y
Hunter Associates, Inc.
8-44779
SEC FILE NUMBER
N
N
Crown Capital Securities, L.P.
8-17264
SEC FILE NUMBER
N
N
Cetera Advisors LLC
8-26892
SEC FILE NUMBER
N
N
Kestra Investment Services, LLC
8-49672
SEC FILE NUMBER
N
N
Cuso Financial Services, L.P.
8-49711
SEC FILE NUMBER
N
N
Transamerica Advisors Life Insurance Company
F1PLTWZ8OU4HQGZQAP31
N
N
PNC Investments, LLC
8-66195
SEC FILE NUMBER
N
N
San Blas Securities LLC
25490079436TZN10JD83
N
N
Geneos Wealth Management, Inc.
8-65357
SEC FILE NUMBER
N
N
Morgan Stanley & Co. LLC
9R7GPTSO7KV3UQJZQ078
N
N
Samuel A Ramirez & Co., Inc.
254900CBKVW7O2ENQA21
N
N
Moors & Cabot, Inc.
8-23060
SEC FILE NUMBER
N
N
NYLife Securities LLC
8-15517
SEC FILE NUMBER
N
N
Lebenthal Financial Services, Inc
8-67140
SEC FILE NUMBER
N
N
Vanderbilt Securities, LLC
8-16712
SEC FILE NUMBER
N
N
Kovack Securities Inc.
25490070RG17Z4I70I82
N
N
TradeStation Securities, Inc.
549300T08P71XXBYLW62
N
N
SWBC Investment Services, LLC
254900YIJJWABADWZ455
N
N
B.C. Ziegler & Company
549300NLEOFP92P38Q71
N
N
Next Financial Group, Inc.
8-51356
SEC FILE NUMBER
N
N
Integrity Investments, Inc.
8-45302
SEC FILE NUMBER
N
N
Access Investments, Inc.
8-49750
SEC FILE NUMBER
N
N
Smith, Brown & Groover, Inc.
8-13079
SEC FILE NUMBER
N
N
Colliers Securities LLC
549300OD1C69R64IVC38
N
N
Integral Financial LLC
2549000I2CBZTJRHG786
N
N
USAA Investment Management Company
549300VSPLQ1XBNPD479
N
N
Symphonic Securities LLC
8-67220
SEC FILE NUMBER
N
N
American National Trust And Investment Management Company
028-00344
SEC FILE NUMBER
N
N
Liberty Capital Investment Corporation
8-42051
SEC FILE NUMBER
N
N
Intervest International Equities Corporation
8-38156
SEC FILE NUMBER
N
N
Arlington Securities, Inc.
8-38098
SEC FILE NUMBER
N
N
Crescent Securities Group
8-53457
SEC FILE NUMBER
N
N
Darwood Associates Incorporated
8-16560
SEC FILE NUMBER
N
N
Thoroughbred Financial Services, LLC
8-51944
SEC FILE NUMBER
N
N
Gill Capital Partners, LLC
8-30563
SEC FILE NUMBER
N
N
DFPG Investments, Inc.
8-68730
SEC FILE NUMBER
N
N
Wesbanco Securities, Inc.
8-50220
SEC FILE NUMBER
N
N
Woodlands Securities Corporation
8-39700
SEC FILE NUMBER
N
N
Massachusetts Mutual Life Insurance Company
R6ZXK5P01NP6HXSY1S07
N
Y
Allegheny Investments, Ltd.
8-22183
SEC FILE NUMBER
N
N
Pacific Financial Associates, Inc.
8-40712
SEC FILE NUMBER
N
N
World Equity Group, Inc.
25490078J1OM7KOXR686
N
N
UBS Financial Services Inc.
ETYRV6ORNFJB5NONI676
N
N
Etico Partners, LLC
8-65500
SEC FILE NUMBER
N
N
Schlitt Investor Services, Inc.
8-34202
SEC FILE NUMBER
N
N
First Manhattan Co.
549300NNJKVSO48I3G76
N
N
Eagles Coast Capital
8-70137
SEC FILE NUMBER
N
N
The Huntington Investment Company
5493004MEJ6IU9SR1R78
N
N
Rothschild Investment Corporation
8-16429
SEC FILE NUMBER
N
N
Merrill Lynch, Pierce, Fenner & Smith Incorporated
8NAV47T0Y26Q87Y0QP81
N
N
Hanson McClain Retirement Network, LP
8-52250
SEC FILE NUMBER
N
N
Client One Securities LLC
8-68494
SEC FILE NUMBER
N
N
Leumi Investment Services Inc.
5493005SJQ3VQ5DEE756
N
N
BNY Mellon Securities Corporation
8-13801
SEC FILE NUMBER
N
N
American Trust Investment Services, Inc.
8-14394
SEC FILE NUMBER
N
N
PTI Securities & Futures L.P.
8-44412
SEC FILE NUMBER
N
N
Middlegate Securities Ltd.
549300ZVONUQ845QCH95
N
N
Insight Securities, Inc.
2549007I5MCG270G9341
N
N
Valley National Investments, Inc.
8-34427
SEC FILE NUMBER
N
N
Northern Capital Securities Corporation
254900ZANH7XTB94LS53
N
N
Benefit Plans Administrative Services, Inc.
N/A
N
Y
Commonwealth Equity Services, Inc.
8-24040
SEC FILE NUMBER
N
N
J.W. Cole Financial, Inc.
8-65698
SEC FILE NUMBER
N
N
Wescom Financial Services, LLC
8-66189
SEC FILE NUMBER
N
N
Capital Institutional Services, Inc.
54930061X8RDWFDJIS05
N
N
Y
BLACKROCK ADVISORS, LLC
5493001LN9MRM6A35J74
Y
N
BNY Mellon Investment Servicing (US) Inc.
549300CFZQLI9QMJ1Z03
N
Y
N
BLACKROCK INVESTMENTS, LLC
008-48436
000038642
54930061FBHCKXL2G714
0.00000000
BLACKROCK EXECUTION SERVICES
008-48719
000039438
549300HFCRQ0NT5KY652
0.00000000
CITIGROUP GLOBAL MARKETS INC.
008-08177
000007059
MBNUM2BPBDO7JBLYG310
2255.00000000
BOFA SECURITIES, INC.
008-69787
000283942
549300HN4UKV1E2R3U73
5366.00000000
UBS Securities LLC
008-22651
000007654
T6FIZBDPKLYJKFCRVK44
8245.00000000
INSTINET, LLC
008-23669
000007897
549300MGMN3RKMU8FT57
2500.00000000
J.P. Morgan Securities LLC
008-35008
000000079
ZBUT11V806EZRVTWT807
14602.00000000
LIQUIDNET, INC.
008-52461
000103987
213800HSKBBO1GCVRG79
2775.00000000
CREDIT SUISSE SECURITIES (USA) LLC
008-00422
000000816
1V8Y6QCX6YMJ2OELII46
17475.00000000
MORGAN STANLEY & CO. LLC
008-15869
000008209
9R7GPTSO7KV3UQJZQ078
6531.00000000
GOLDMAN SACHS & CO. LLC
008-00129
000000361
FOR8UP27PHTHYVLBNG30
6921.00000000
Cowen and Company, LLC
008-22522
000007616
549300WR155U7DVMIW58
2576.00000000
83603.00000000
Direct Access Partners LLC
008-65361
000120950
N/A
2588125.00000000
BlackRock Liquidity Funds T-Fund
N/A
N/A
5493002L9DNZ83RX7V61
171608044.00000000
174196169.00000000
N
240957038.00000000
0.00000000
Committed
1750000000.00000000
N
N
N
N
BlackRock Commodity Strategies Fund
S000033601
P7WNZ2Q36SS1IIU5DB52
N
4
0
0
N/A
N
Y
N
N
BlackRock Investment Management, LLC
5493006MRTEZZ4S4CQ20
Y
N
Other
Revenue sharing split
Cash collateral reinvestment fee
Rebates paid to borrowers
5223310.00000000
77581.00000000
Rule 32a-4 (17 CFR 270.32a-4)
Rule 17a-6 (17 CFR 270.17a-6)
Rule 12d1-1 (17 CFR 270.12d1-1)
Rule 17a-7 (17 CFR 270.17a-7)
Rule 22d-1 (17 CFR 270.22d-1)
Rule 12d1-4 (17 CFR 270.12d1-4)
Y
Y
N
N
BlackRock Advisors, LLC
801-47710
000106614
5493001LN9MRM6A35J74
N
BlackRock International Limited
801-51087
000106843
5493008YUGP5E01IBD70
Y
GB
N
BNY Mellon Investment Servicing (US) Inc.
084-01761
549300CFZQLI9QMJ1Z03
N
N
N
Bloomberg Finance L.P.
5493001KJTIIGC8Y1R12
N
Intercontinental Exchange, Inc.
5493000F4ZO33MV32P92
N
N
UBS Securities LLC
T6FIZBDPKLYJKFCRVK44
N
Y
Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
The Hongkong and Shanghai Banking Corporation Limited
2HI3YI5320L3RW6NJ957
HK
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Skandinaviska Enskilda Banken AB
F3JS33DEI6XQ4ZBPTN86
SE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
HSBC Saudi Arabia
558600MV09XWUB38H245
SA
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Citibanamex
5493004NLEXB8DK06353
MX
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Banco de Chile
8B4EZFY8IHJC44TT2K84
CL
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Skandinaviska Enskilda Banken AB, Helsinki Branch
F3JS33DEI6XQ4ZBPTN86
FI
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Stanbic Bank Botswana Limited
254900CFACP5V9H8W758
BW
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Credit Suisse (Switzerland) Ltd.
549300CWR0W0BCS9Q144
CH
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Deutsche Bank AG (India)
529900XJG4R4MYZD2W75
IN
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
MONTE TITOLI S.P.A.
8156009CEEE1B8C7C646
IT
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Citibank del Peru S.A.
MYTK5NHHP1G8TVFGT193
PE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
The Bank of New York Mellon
HPFHU0OQ28E4N0NFVK49
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Citibank International Limited (Portugal)
31OGKFG0Y1795OV0AK56
PT
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Skandinaviska Enskilda Banken AB, Copenhagen Branch
F3JS33DEI6XQ4ZBPTN86
DK
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Citibank N.A., Brazilian Branch
N/A
BR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Clearstream Banking AG
549300298FD7AS4PPU70
DE
N
Y
Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
CIBC Mellon Trust Company
549300IYUUH221WBZ505
CA
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Deutsche Bank AG, Seoul Branch
N/A
KR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
The Standard Bank of South Africa Limited
QFC8ZCW3Q5PRXU1XTM60
ZA
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
HSBC Bank Australia Limited
DY9DBNI4W8J63Z298033
AU
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Deutsche Bank AG, Manila Branch
N/A
PH
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Bank Hapoalim B.M.
B6ARUI4946ST4S7WOU88
IL
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
HSBC NOMINEES (NEW ZEALAND) LIMITED
213800NHDWIZKO5KIH05
NZ
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
BNP Paribas Securities Services (Athens)
549300WCGB70D06XZS54
GR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
DBS Bank Ltd, Singapore
ATUEL7OJR5057F2PV266
SG
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Deutsche Bank (Malaysia) Berhad
529900DLWFR8HK7DR278
MY
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
PJSC ROSBANK
HOXMZG026UQNRK6J0C60
RU
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Citibank N.A., Argentina
579100KKDGKCFFKKF005
AR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
The Hongkong and Shanghai Banking Corporation Limited, Bangkok Branch
2HI3YI5320L3RW6NJ957
TH
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
UniCredit Bank Austria AG
D1HEB8VEU6D9M8ZUXG17
AT
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Citibank Europe PLC, Hungarian Branch Office
N1FBEDJ5J41VKZLO2475
HU
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Deutsche Bank AG, Jakarta
N/A
ID
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Euroclear
549300CBNW05DILT6870
BE
N
Y
Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Skandinaviska Enskilda Banken AB, Oslo Branch
F3JS33DEI6XQ4ZBPTN86
NO
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Credit Suisse Securities (USA) LLC
1V8Y6QCX6YMJ2OELII46
N
Y
Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Euroclear Nederland (Netherlands)
549300CBNW05DILT6870
NL
N
Y
Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Bank Polska Kasa Opieki S.A.
5493000LKS7B3UTF7H35
PL
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Euroclear UK & Ireland Limited
549300M5MYAD51WHJD55
GB
N
Y
Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Morgan Stanley & Co. LLC
9R7GPTSO7KV3UQJZQ078
N
Y
Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Banco Bilbao Vizcaya Argentaria SA
K8MS7FD7N5Z2WQ51AZ71
ES
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
HSBC Bank Bermuda Limited
0W1U67PTV5WY3WYWKD79
BM
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
MUFG Bank, Ltd.
C3GTMMZIHMY46P4OIX74
JP
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Y
The Investment Center, Inc.
8-35826
SEC FILE NUMBER
N
N
Edward D. Jones & Co., L.P.
YZRCLX72FTV74B522G90
N
N
Thoroughbred Financial Services, LLC
8-51944
SEC FILE NUMBER
N
N
Mid Atlantic Capital Corporation
549300HJL2LPNSC0JX96
N
N
Trade-PMR Inc.
8-51390
SEC FILE NUMBER
N
N
GRF Capital Investors, Inc.
8-41494
SEC FILE NUMBER
N
N
Navy Federal Brokerage Services, LLC
8-67161
SEC FILE NUMBER
N
N
Benefit Trust Company
N/A
N
Y
Brighton Securities Corp.
8-14599
SEC FILE NUMBER
N
N
Neuberger Berman LLC
PWDS3JJ631D5N70JXG61
N
N
Intercarolina Financial Services, Inc.
8-37519
SEC FILE NUMBER
N
N
United States Life Insurance Company in the City of New York
549300C1JQGJ0MNUMG79
N
Y
Cardinal Investments, Inc.
8-47493
SEC FILE NUMBER
N
N
Abacus Investments, Inc.
8-46571
SEC FILE NUMBER
N
N
The Garbacz Group Inc.
8-42366
SEC FILE NUMBER
N
N
J.D. Seibert & Company, Inc.
8-23604
SEC FILE NUMBER
N
N
John Hancock Life Insurance Company
QQ0OZ8J9C4B5QT1XDG31
CA
N
Y
Darwood Associates Incorporated
8-16560
SEC FILE NUMBER
N
N
BTS Securities Corporation
8-26818
SEC FILE NUMBER
N
N
Prudential Insurance Company of America
Y574KRZ6V5A7UBU45C31
N
Y
Prudential Investment Management Services LLC
8-36540
SEC FILE NUMBER
N
N
Corinthian Partners, L.L.C.
8-48461
SEC FILE NUMBER
N
N
Multiple Financial Services, Inc.
8-52017
SEC FILE NUMBER
N
N
Logan Group Securities
8-48995
SEC FILE NUMBER
N
N
H. C. Denison Co.
8-00044
SEC FILE NUMBER
N
N
Integrity Investments, Inc.
8-45302
SEC FILE NUMBER
N
N
R.M. Stark & Co., Inc.
8-22543
SEC FILE NUMBER
N
N
Nestlerode & Loy, Inc.
8-12629
SEC FILE NUMBER
N
N
Comerica Securities, Inc.
5493009QV211JEW7ZV59
N
N
TFS Securities, Inc.
8-38377
SEC FILE NUMBER
N
N
Harold W. Dance Inc.
8-12160
SEC FILE NUMBER
N
N
Thurston, Springer, Miller, Herd & Titak, Inc.
8-25452
SEC FILE NUMBER
N
N
Michigan Securities, Inc. (dba Broadstone Securities)
8-52094
SEC FILE NUMBER
N
N
T.R. Winston & Company, LLC
8-27519
SEC FILE NUMBER
N
N
Sammons Financial Network, LLC
8-68905
SEC FILE NUMBER
N
N
FMN Capital Corporation
8-48082
SEC FILE NUMBER
N
N
Aventura Securities, LLC
8-67458
SEC FILE NUMBER
N
N
Pershing, LLC
8-17574
SEC FILE NUMBER
N
Y
Charles Schwab Bank
549300INFJ8TYNZ1G568
N
Y
Oriental Financial Services Corp.
8-44516
SEC FILE NUMBER
N
N
Searle & Co.
8-28600
SEC FILE NUMBER
N
N
Mid-Atlantic Securities, Inc.
8-36997
SEC FILE NUMBER
N
N
CapFinancial Securities, LLC
8-65870
SEC FILE NUMBER
N
N
Peak Brokerage Services, LLC
8-68829
SEC FILE NUMBER
N
N
Empire Asset Management Company
8-67520
SEC FILE NUMBER
N
N
M&T Securities, Inc.
254900VRUF9FN7AZI864
N
N
Polar Investment Counsel, Inc.
8-50039
SEC FILE NUMBER
N
N
Regulus Advisors, LLC
8-68275
SEC FILE NUMBER
N
N
The GMS Group, LLC
254900OXZT27TA5CGU56
N
N
J.P. Morgan Securities LLC
ZBUT11V806EZRVTWT807
N
N
Mesirow Financial, Inc.
549300BIV46SUHPOFE54
N
N
Aufhaser Securities, Inc.
8-48786
SEC FILE NUMBER
N
N
Northern Trust Securities, Inc.
3CHSO99JSPHD9HGNYJ46
N
N
Principal Life Insurance Company
SDCMU2LVKGV2AF1KWP64
N
Y
McDonald Partners LLC
549300PEHG3UH7FAY193
N
N
Perryman Securities, Inc.
8-53546
SEC FILE NUMBER
N
N
S.G. Long & Company
8-51816
SEC FILE NUMBER
N
N
Founders Financial Securities LLC
8-67137
SEC FILE NUMBER
N
N
Chauner Securities, Inc.
8-33980
SEC FILE NUMBER
N
N
Mid-Atlantic Clearing & Settlement Corp.
8-47758
SEC FILE NUMBER
N
N
Ladenburg Thalman & Co. Inc.
2549000V3L2KK4L76W91
N
N
T. Rowe Price Retirement Plan Services, Inc.
084-06219
SEC FILE NUMBER
N
Y
BCG Securities, Inc.
8-12680
SEC FILE NUMBER
N
N
Arque Capital, Ltd.
8-65390
SEC FILE NUMBER
N
N
Cannon Securities, Inc.
8-68437
SEC FILE NUMBER
N
N
Independent Brokerage Solutions LLC
8-68549
SEC FILE NUMBER
N
N
Folger Nolan Fleming Douglas Incorporated
8-03335
SEC FILE NUMBER
N
N
BOK Financial Securities, Inc.
2Q57THMJB7JL1206V012
N
N
Infinity Securities, Inc.
8-67647
SEC FILE NUMBER
N
N
Vision Financial Markets LLC
549300J0X8HK9GUADL55
N
N
K. W. Chambers & CO.
8-10533
SEC FILE NUMBER
N
N
First Citizens Investor Services, Inc.
8-50696
SEC FILE NUMBER
N
N
Pruco Securities, LLC.
8-16402
SEC FILE NUMBER
N
N
FSC Securities Corporation
8-21770
SEC FILE NUMBER
N
N
Worth Financial Group Inc.
8-29827
SEC FILE NUMBER
N
N
Quincy Cass Associates, Incorporated
8-05743
SEC FILE NUMBER
N
N
Horace Mann Life Insurance Co.
5493000HR2JKKNH2FL09
N
N
John Hancock Trust Company LLC
549300W205WZCFZS6R51
N
Y
USAA Investment Management Company
549300VSPLQ1XBNPD479
N
N
General Securities Corp.
8-31654
SEC FILE NUMBER
N
N
Trustmont Financial Group, Inc.
8-36439
SEC FILE NUMBER
N
N
Genworth Life & Annuity Insurance Company
TAI340D9BWT9R77O0P03
N
N
Capital Portfolio Management, Inc.
8-44225
SEC FILE NUMBER
N
N
Davinci Capital Management Inc.
8-51580
SEC FILE NUMBER
N
N
Callaway Financial Services, Inc.
8-52474
SEC FILE NUMBER
N
N
PTI Securities & Futures L.P.
8-44412
SEC FILE NUMBER
N
N
Unionbanc Investment Services, LLC
254900Y9HI2TG6D79N41
N
N
Andbanc Brokerage, LLC
213800E4CWGFMCDQZ792
N
N
Pensionmark Securities, LLC
8-69773
SEC FILE NUMBER
N
N
International Money Management Group, Inc.
8-30417
SEC FILE NUMBER
N
N
Abacus International Capital Corp.
8-46418
SEC FILE NUMBER
N
N
Buckman, Buckman & Reid, Inc.
254900D688L15B5HJB06
N
N
Cary Street Partners LLC
8-66085
SEC FILE NUMBER
N
N
Symphonic Securities LLC
8-67220
SEC FILE NUMBER
N
N
Mack Investment Securities, Inc.
8-35536
SEC FILE NUMBER
N
N
Geneos Wealth Management, Inc.
8-65357
SEC FILE NUMBER
N
N
TRG Advisors, Inc.
8-50449
SEC FILE NUMBER
N
N
Integrated Financial Planning Services
8-35120
SEC FILE NUMBER
DE
N
N
Coinbase Capital Markets Corporation
8-28032
SEC FILE NUMBER
N
N
Xml Securities, LLC
8-67776
SEC FILE NUMBER
N
N
BancWest Investment Services, Inc.
5493001GJYTESEZEBA51
N
N
NYLife Distributors LLC
8-46655
SEC FILE NUMBER
N
N
CFS Securities, Inc.
8-51330
SEC FILE NUMBER
N
N
Benchmark Investments, Inc.
8-52280
SEC FILE NUMBER
N
N
Camden Financial Services
8-37303
SEC FILE NUMBER
N
N
Horan Securities, Inc.
8-49192
SEC FILE NUMBER
N
N
T. Rowe Price Investment Services, Inc.
8-25130
SEC FILE NUMBER
N
N
Mutual Funds Associates, Inc.
8-13026
SEC FILE NUMBER
N
N
Gladowsky Capital Management Corp.
8-51017
SEC FILE NUMBER
N
N
Morris Group, Inc.
549300JWKS0KMDOX5G12
N
N
Private Client Services, LLC
8-68183
SEC FILE NUMBER
N
N
Schlitt Investor Services, Inc.
8-34202
SEC FILE NUMBER
N
N
Investments For You, Inc.
8-44179
SEC FILE NUMBER
N
N
Dempsey Lord Smith, LLC
8-67469
SEC FILE NUMBER
N
N
Smith, Moore & Co.
8-27480
SEC FILE NUMBER
N
N
First Financial Securities of America, Inc.
8-29565
SEC FILE NUMBER
N
N
CBIZ Financial Solutions, Inc.
8-34205
SEC FILE NUMBER
N
N
BestVest Investments, Ltd.
254900SL6FW130BMS922
N
N
Union Capital Company
8-53127
SEC FILE NUMBER
N
N
William Blair & Company L.L.C.
549300J0P7XYE8BMZ775
N
N
Lombard Securities, Inc.
8-43340
SEC FILE NUMBER
N
N
T.S. Phillips Investments, Inc.
8-65661
SEC FILE NUMBER
N
N
Arive Capital Markets
8-43350
SEC FILE NUMBER
N
N
Hancock Whitney Corporation
549300GRNBWY8HIICT41
N
N
Ustocktrade Securities, Inc.
8-33132
SEC FILE NUMBER
N
N
Federated Securities, Inc.
8-15644
SEC FILE NUMBER
N
N
Arete Wealth Management, LLC
8-50854
SEC FILE NUMBER
N
N
David Lerner Associates, Inc.
8-20746
SEC FILE NUMBER
N
N
Navaid Financial Services, Inc.
8-49897
SEC FILE NUMBER
N
N
Wells Fargo Clearing Services, LLC
88KRVSOEKUGQZJ3DKW55
N
Y
First Republic Securities Company, LLC
5493000IMDFZDQYB2Q11
N
N
Invex, Inc.
NPOTUCXQYGXX5PO6VH74
N
N
TD Private Client Wealth LLC
8-69105
SEC FILE NUMBER
N
N
Capital City Securities, LLC
8-67771
SEC FILE NUMBER
N
N
BBVA Securities Inc.
549300RJFN0Z663VE860
N
N
First National Bank Alaska
25490089V5DJHFQMOA03
N
N
GWN Securities Inc.
8-66185
SEC FILE NUMBER
N
N
Amegy Investments, Inc. (Zions)
8-65399
SEC FILE NUMBER
N
N
OFG Financial Services, Inc.
8-40770
SEC FILE NUMBER
N
N
Wesbanco Securities, Inc.
8-50220
SEC FILE NUMBER
N
N
International Assets Advisory, LLC
254900ARMOHQNS987S09
N
N
Caldwell Securities, Inc.
549300ORF2FMHXODHJ66
N
N
ViewTrade Securities, Inc.
549300CHLQDUD0NL5851
N
N
Capital Institutional Services, Inc.
54930061X8RDWFDJIS05
N
N
Colliers Securities LLC
549300OD1C69R64IVC38
N
N
NYLife Securities LLC
8-15517
SEC FILE NUMBER
N
N
Transamerica Financial Advisors, Inc.
549300JW32XCZSHI0878
N
N
Reliance Trust Company
549300NV8FSQRNOUQO50
N
Y
First Manhattan Co.
549300NNJKVSO48I3G76
N
N
Sabadell Securities USA, Inc.
2549002UK8JK82ABGD45
N
N
Cresap, Inc.
8-42117
SEC FILE NUMBER
N
N
Crown Capital Securities, L.P.
8-17264
SEC FILE NUMBER
N
N
VOYA Investments Distributors, LLC
8-48020
SEC FILE NUMBER
N
N
Brokers International Financial Services, LLC
8-67239
SEC FILE NUMBER
N
N
Avantax Wealth Management, Inc
8-29533
SEC FILE NUMBER
N
N
Woodmen Financial Services, Inc.
8-53592
SEC FILE NUMBER
N
N
Whitehall-Parker Securities, Inc.
8-27688
SEC FILE NUMBER
N
N
Raymond James Financial Services, Inc.
RGUZHJ05YTITL6D76949
N
N
Investment Security Corporation
8-51832
SEC FILE NUMBER
N
N
Farmers Financial Solutions, LLC
8-52361
SEC FILE NUMBER
N
N
TCFG Wealth Management, LLC
8-69089
SEC FILE NUMBER
N
N
Robinson & Robinson, Inc.
8-17109
SEC FILE NUMBER
N
N
RBC Capital Markets, LLC
549300LCO2FLSSVFFR64
N
Y
G. W. & Wade Asset Management Company, LLC
8-42013
SEC FILE NUMBER
N
N
E. E. Powell & Company Inc.
8-01893
SEC FILE NUMBER
N
N
St. Bernard Financial Services, Inc.
8-47566
SEC FILE NUMBER
N
N
North South Capital, LLC
549300ODEKJCRN2AM859
N
N
DFPG Investments, Inc.
8-68730
SEC FILE NUMBER
N
N
VALIC Retirement Services Company
84-06057
SEC FILE NUMBER
N
N
American National Trust And Investment Management Company
028-00344
SEC FILE NUMBER
N
N
Investment Planners, Inc.
8-35642
SEC FILE NUMBER
N
N
BAC Florida Investments
254900CAF9OPVE8VT408
N
N
First Honolulu Securities, Inc.
8-23919
SEC FILE NUMBER
N
N
Carty & Company, Inc.
8-19082
SEC FILE NUMBER
N
N
Register Financial Associates, Inc.
8-45012
SEC FILE NUMBER
N
N
Leumi Investment Services Inc.
5493005SJQ3VQ5DEE756
N
N
Barclays Capital Inc.
AC28XWWI3WIBK2824319
N
N
First Western Securities, Inc.
8-37613
SEC FILE NUMBER
N
N
Digital Retirement Solutions, Inc.
N/A
N
Y
HSBC Securities (USA), Inc.
CYYGQCGNHMHPSMRL3R97
N
N
Lincoln Investment Planning, Inc.
8-14354
SEC FILE NUMBER
N
N
Liberty Partners Financial Services, LLC
8-66335
SEC FILE NUMBER
N
N
Consolidated Financial Investments, Inc.
8-37004
SEC FILE NUMBER
N
N
Buell Securities Corp
8-22058
SEC FILE NUMBER
N
N
Cetera Advisors LLC
8-26892
SEC FILE NUMBER
N
N
1st Discount Brokerage, Inc.
8-48557
SEC FILE NUMBER
N
N
Hantz Financial Services, Inc.
8-51291
SEC FILE NUMBER
N
N
USCA Securities LLC
254900GBMSP1Y45THR66
N
N
Samuel A Ramirez & Co., Inc.
254900CBKVW7O2ENQA21
N
N
NPB Financial Group, LLC
8-67113
SEC FILE NUMBER
N
N
BD4RIA, Inc.
8-70022
SEC FILE NUMBER
N
N
National Financial Services, LLC
549300JRHF1MHHWUAW04
N
Y
VectorGlobal WMG
254900K52VRYBHUGBC64
N
N
Paradigm Equities, Inc.
8-45593
SEC FILE NUMBER
N
N
Country Club Financial Services, Inc.
8-44574
SEC FILE NUMBER
N
N
Hightower Securities, LLC
549300F189LKWDZLP954
N
N
Hanson McClain Retirement Network, LP
8-52250
SEC FILE NUMBER
N
N
Goldman Sachs & Co. LLC
FOR8UP27PHTHYVLBNG30
N
N
PNC Investments, LLC
8-66195
SEC FILE NUMBER
N
N
Berthel, Fisher & Company Financial Services, Inc.
8-29426
SEC FILE NUMBER
N
N
TD Ameritrade Trust Company
028-15163
SEC FILE NUMBER
N
N
Maplewood Investment Advisors, Inc.
8-52221
SEC FILE NUMBER
N
N
Bankoh Investment Services, Inc.
8-44201
SEC FILE NUMBER
N
N
Vanguard Group, Inc., The
5493002789CY3L0CJP65
N
Y
U.S. Bancorp Investments, Inc.
H85Z6XZP8B10ES0M2G89
N
N
Allegiance Capital, L.L.C.
8-52978
SEC FILE NUMBER
N
N
Middlegate Securities Ltd.
549300ZVONUQ845QCH95
N
N
Cantella & Co., Inc.
254900Z33Q34HCFGHO19
N
N
Dominion Investor Services, Inc.
8-39029
SEC FILE NUMBER
N
N
Ameritas Investment Corp.
549300913B54XKSRM258
N
N
DMK Advisor Group, Inc.
8-49279
SEC FILE NUMBER
N
N
Inverness Securities, LLC
8-66278
SEC FILE NUMBER
N
N
CNR Securities LLC
8-36759
SEC FILE NUMBER
N
N
Intervest International Equities Corporation
8-38156
SEC FILE NUMBER
N
N
Packerland Brokerage Services, Inc.
8-47572
SEC FILE NUMBER
N
N
Gradient Securities, LLC
8-66032
SEC FILE NUMBER
N
N
VALIC Financial Advisors, Inc.
8-50018
SEC FILE NUMBER
N
N
G.L.S. & Associates, Inc.
8-51808
SEC FILE NUMBER
N
N
Voya Financial Partners, LLC
8-13987
SEC FILE NUMBER
N
N
Moloney Securities Co., Inc.
8-48326
SEC FILE NUMBER
N
N
Securities Equity Group
8-51706
SEC FILE NUMBER
N
N
Sammons Retirement Solutions, Inc.
N/A
N
Y
The Oak Ridge Financial Services Group, Inc.
2549003647MDU9F6QN39
N
N
E*Trade Savings Bank
549300DXPO50FJ75QA85
N
Y
Woodlands Securities Corporation
8-39700
SEC FILE NUMBER
N
N
Conduent HR Services LLC
084-06035
SEC FILE NUMBER
N
Y
J.P. Morgan Institutional Investments Inc.
8-52182
SEC FILE NUMBER
N
N
Essex Securities LLC
8-51472
SEC FILE NUMBER
N
N
American Financial Associates, Inc.
8-44065
SEC FILE NUMBER
N
N
Lockton Financial Advisors, LLC
8-67090
SEC FILE NUMBER
N
N
Lincoln Financial Distributors, Inc.
8-13431
SEC FILE NUMBER
N
N
Actinver Securities, Inc.
254900FT947VQZ1WHT28
N
N
Profinancial, Inc.
8-32026
SEC FILE NUMBER
N
N
McClurg Capital Corporation
8-34473
SEC FILE NUMBER
N
N
Boreal Capital Securities LLC
549300NMHK6HTSKCG696
N
N
Cetera Financial Specialists LLC
8-27082
SEC FILE NUMBER
N
N
Glen Eagle Advisors LLC
8-65678
SEC FILE NUMBER
N
N
SunTrust Bank
IYDOJBGJWY9T8XKCSX06
N
N
Independent Financial Group, LLC
254900KYWXHSQ7RMNP09
N
N
Oscar Gruss & Son Incorporated
549300V78DH9XCK5UI63
N
N
Insigneo Securities, LLC
254900P4TTO6PU1VDH88
N
N
DWS Distributors, Inc.
5299007T18XBURKJ1V64
N
N
Somerset Securities, Inc.
8-11539
SEC FILE NUMBER
N
N
TimeCapital Securities Corporation
8-18248
SEC FILE NUMBER
N
N
Wood (Arthur W.) Company, Inc.
8-03368
SEC FILE NUMBER
N
N
Sunbelt Securities, Inc.
8-49748
SEC FILE NUMBER
N
N
Akar Capital Management, Inc.
8-28026
SEC FILE NUMBER
N
N
ING Financial Markets LLC
KBVRJ5K57JZ3E2AVWX40
N
N
Lincoln Financial Advisors Corporation
8-14685
SEC FILE NUMBER
N
N
Client One Securities LLC
8-68494
SEC FILE NUMBER
N
N
Northern Capital Securities Corporation
254900ZANH7XTB94LS53
N
N
Regal Securities, Inc.
8-21765
SEC FILE NUMBER
N
N
Itau International Securities, Inc.
54930086LDFU8Z86AH91
N
N
Sorsby Financial Corp.
8-48718
SEC FILE NUMBER
N
N
Capitol Securities Management, Inc.
8-30353
SEC FILE NUMBER
N
N
City National Bank
549300MEMKSF7703ZQ25
N
N
Rehmann Financial Network
8-69134
SEC FILE NUMBER
N
N
American Enterprise Investment Services Inc.
549300NT7GLLVGTH0249
N
N
Citizens Bank
254900MFWISYMJ04ZE93
N
N
Cutter & Company Brokerage, Inc.
8-39590
SEC FILE NUMBER
N
N
Access Financial Group, Inc.
8-46065
SEC FILE NUMBER
N
N
Westco Investment Corp.
8-38452
SEC FILE NUMBER
N
N
S.A. Stone Wealth Management
8-36638
SEC FILE NUMBER
N
N
Excel Securities & Associates, Inc.
8-34261
SEC FILE NUMBER
N
N
L. B. Fisher & Company
8-21023
SEC FILE NUMBER
N
N
TradeStation Securities, Inc.
549300T08P71XXBYLW62
N
N
Cambridge Investment Research, Inc.
8-48740
SEC FILE NUMBER
N
N
White Mountain Capital, LLC
8-52572
SEC FILE NUMBER
N
N
Centennial Securities Company, LLC
8-23406
SEC FILE NUMBER
N
N
SCF Securities, Inc.
8-51760
SEC FILE NUMBER
N
N
Calton & Associates, Inc.
254900TDJ7LH64ZKRY86
N
N
PNC Capital Markets LLC
7OGNSSLOQJ8U3B9Y5F18
N
N
Wall Street Access
549300Z0MOT47D6OQV22
N
N
Planned Financial Programs, Inc.
8-05727
SEC FILE NUMBER
N
N
McLaughlin Ryder Investments, Inc.
8-67911
SEC FILE NUMBER
N
N
CFD Investments, Inc.
8-41727
SEC FILE NUMBER
N
N
SG Americas Securities, LLC
549300F35UE0BOM1WJ55
N
N
Securities America, Inc.
8-26602
SEC FILE NUMBER
N
N
Cabot Lodge Securities, LLC
8-69009
SEC FILE NUMBER
N
N
LifeMark Securities Corp.
8-33478
SEC FILE NUMBER
N
N
American Equity Investment Corporation
8-49078
SEC FILE NUMBER
N
N
Planners Financial Services, Inc.
8-18027
SEC FILE NUMBER
N
N
Cetera Investment Services, LLC
254900HBKNJ13M56N432
N
N
Hornor, Townsend & Kent, Inc.
8-14715
SEC FILE NUMBER
N
N
Capital Investment Brokerage, Inc.
8-49118
SEC FILE NUMBER
N
N
Kovack Securities Inc.
25490070RG17Z4I70I82
N
N
Midland Securities, Ltd.
8-40685
SEC FILE NUMBER
N
N
Centaurus Financial, Inc.
8-45185
SEC FILE NUMBER
N
N
Ni Advisors
8-66841
SEC FILE NUMBER
N
N
United Planners' Financial Services of America A Limited Partner
8-38485
SEC FILE NUMBER
N
N
Great American Investors, Inc.
8-44380
SEC FILE NUMBER
N
N
Coordinated Capital Securities, Inc.
8-31173
SEC FILE NUMBER
N
N
Innovation Partners LLC
549300IEQ78ON1HMTU71
N
N
American Trust Investment Services, Inc.
8-14394
SEC FILE NUMBER
N
N
MML Distributors, LLC
8-48203
SEC FILE NUMBER
N
N
Independence Capital Co., Inc.
8-41331
SEC FILE NUMBER
N
N
Benefit Plans Administrative Services, Inc.
N/A
N
Y
First Allied Securities, Inc.
8-46167
SEC FILE NUMBER
N
N
BFT Financial Group, LLC
8-53487
SEC FILE NUMBER
N
N
Bankers Life Securities, Inc.
549300YBBLCDP5GDSH97
N
N
The Windmill Group, Inc.
8-25280
SEC FILE NUMBER
N
N
N.E. Private Client Advisors, Ltd.
8-66968
SEC FILE NUMBER
N
N
Larson Financial Securities, LLC
8-68456
SEC FILE NUMBER
N
N
Hazard & Siegel, Inc.
8-13942
SEC FILE NUMBER
N
N
GWFS Equities, Inc.
8-33854
SEC FILE NUMBER
N
N
FinTrust Brokerage Services, LLC
8-49514
SEC FILE NUMBER
N
N
Capital Synergy Partners, Inc.
8-68060
SEC FILE NUMBER
N
N
Lesko Securities Inc.
8-26408
SEC FILE NUMBER
N
N
Lebenthal Financial Services, Inc
8-67140
SEC FILE NUMBER
N
N
Vanderbilt Securities, LLC
8-16712
SEC FILE NUMBER
N
N
Dinosaur Financial Group, LLC
549300CCV3H232GBUN83
N
N
Saturna Brokerage Services, Inc.
8-36558
SEC FILE NUMBER
N
N
State Farm VP Management Corp
8-50128
SEC FILE NUMBER
N
N
Planmember Securities Corporation
8-25065
SEC FILE NUMBER
N
N
Lantern Investments, Inc.
8-45285
SEC FILE NUMBER
N
N
Global Brokerage Services, Inc.
8-47763
SEC FILE NUMBER
N
N
Jefferies, LLC
58PU97L1C0WSRCWADL48
N
N
Stephens Inc.
213800LH6T9XDYZCA534
N
N
Impact U. Investments, LLC
8-65527
SEC FILE NUMBER
N
N
Wright Investors' Service Distributors, Inc.
8-29579
SEC FILE NUMBER
N
N
Sage, Rutty & Co., Inc.
8-00533
SEC FILE NUMBER
N
N
LaBrunerie Financial Services, Inc.
8-47830
SEC FILE NUMBER
N
N
John Hancock Life Insurance Company of New York
5493007RYG4GXIKSQI18
CA
N
Y
Stifel, Nicolaus & Company, Incorporated
5WUVMA08EYG4KEUPW589
N
Y
Buckram Securities LTD
8-65939
SEC FILE NUMBER
N
N
D.M. Kelly & Company
8-48398
SEC FILE NUMBER
N
N
Standard Insurance Company
549300KVA8DBYKHPXO21
N
Y
Securities Research, Inc.
8-23699
SEC FILE NUMBER
N
N
United Brokerage Services, Inc.
8-48685
SEC FILE NUMBER
N
N
RNR Securities, L.L.C.
8-50366
SEC FILE NUMBER
N
N
Sorrento Pacific Financial, LLC
8-66046
SEC FILE NUMBER
N
N
Heim, Young & Associates, Inc.
8-48500
SEC FILE NUMBER
N
N
Triad Advisors, Inc.
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N
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Arlington Securities, Inc.
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N
N
L.S.Y., Inc.
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SEC FILE NUMBER
N
N
Boenning & Scattergood, Inc.
2549005FER5A7K7II574
N
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Tocqueville Securities L.P.
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Snowden Account Services, Inc.
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N
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M Holdings Securities, Inc.
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L.O. Thomas & Co. Inc.
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ICMA-RC Services, Inc.
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Blakeslee and Blakeslee Inc.
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Axiom Capital Management, Inc.
254900WW7SK1IMK6NO54
N
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Prospera Financial Services, Inc.
8-28164
SEC FILE NUMBER
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XP Securities, LLC
549300HDFLS7P433PO89
N
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Fairport Capital, Inc.
8-32162
SEC FILE NUMBER
N
N
Commerce Brokerage Services, Inc.
8-35096
SEC FILE NUMBER
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N
Genworth Life Insurance Company of New York
E5VAS7I8GX5B0SDBX010
N
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Moors & Cabot, Inc.
8-23060
SEC FILE NUMBER
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Parkland Securities, LLC
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SEC FILE NUMBER
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Maxim Group LLC
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N
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Gerwin Group, Inc.
8-40282
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N
Alight Financial Solutions LLC
8-47344
SEC FILE NUMBER
N
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Henley & Company LLC
8-66463
SEC FILE NUMBER
N
N
Veritas Independent Partners, LLC
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N
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Citigroup Global Markets Inc.
MBNUM2BPBDO7JBLYG310
N
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Aon Benfield Securities, Inc.
5493002ME0O127QJJG03
N
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Saturna Trust Company
N/A
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Leigh Baldwin & Co., LLC
8-48385
SEC FILE NUMBER
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J. Alden Associates, Inc.
8-48938
SEC FILE NUMBER
N
N
Colorado Financial Service Corporation
8-52817
SEC FILE NUMBER
N
N
Davenport & Company LLC
254900GN2SAXJGLMS075
N
N
Teckmeyer Financial Services, L.L.C.
8-48501
SEC FILE NUMBER
N
N
Exeter Trust Company
028-04279
SEC FILE NUMBER
N
N
Fidelity Investments Institutional Operations Company, Inc.
549300XVSM8LN3LQOK63
N
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VBC Securities, LLC
8-44141
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Century Securities Associates, Inc.
8-43514
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N
N
Nationwide Securities, LLC
8-12500
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Talcott Resolution Life Insurance Company
8CE7JPU9IU72L3PPD756
N
Y
Watermark Securities, Inc.
8-43902
SEC FILE NUMBER
N
N
Safra Securities LLC
E51AOUORNWWT747CBW71
N
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Laidlaw & Company (UK) Ltd.
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N
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Fortune Financial Services, Inc.
8-49727
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Kalos Capital, Inc.
8-50630
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N
Bolton Securities Corp.
8-68187
SEC FILE NUMBER
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N
Wells Fargo Bank, N.A.
KB1H1DSPRFMYMCUFXT09
N
N
Keel Point Capital, LLC
8-22990
SEC FILE NUMBER
N
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CGIS Securities LLC
254900GOI7SHVRZ5BG90
N
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Ceros Financial Services, Inc.
549300N2YQ0P5G0WE562
N
N
Park Avenue Securities LLC
8-51324
SEC FILE NUMBER
N
N
Alight Solutions LLC
084-01996
SEC FILE NUMBER
N
Y
LPL Financial LLC
5493005NM7F0H1N3EQ39
N
Y
Vanguard Marketing Corporation
8-21570
SEC FILE NUMBER
N
N
Money Concepts Capital Corp.
8-29671
SEC FILE NUMBER
N
N
AssetMark Trust Company
N/A
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G.A. Repple & Company
8-35315
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Rodgers Brothers, Inc.
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SecureVest Financial Group
254900LG3HPQV4J0WH27
N
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Oppenheimer & Co. Inc.
254900VH02JQR2L8XD64
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Titleist Asset Management, Ltd.
8-65859
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AqGen Ascensus, Inc.
549300K5MHNFPEU2RK82
N
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TCAdvisors Network Inc.
8-46909
SEC FILE NUMBER
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UBS Financial Services Inc.
ETYRV6ORNFJB5NONI676
N
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American Capital Partners, LLC
254900I8NH46ZJJ4Z956
N
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Jacques Financial, LLC
8-52675
SEC FILE NUMBER
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N
Purshe Kaplan Sterling Investments
8-46844
SEC FILE NUMBER
N
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Westminster Financial Securities, Inc.
8-38426
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Teachers Insurance and Annuity Association of America
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N
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Coldstream Securities, Inc.
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Horace Mann Investors, Inc.
8--6082
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Northwest Investment Advisors, Inc.
8-65282
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Omega Securities, Inc.
8-20225
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First Command Financial Planning, Inc.
8-07072
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Synovus Securities, Inc.
254900CM2K7N1E0JF171
N
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FMSBonds, Inc.
549300TUTBK58NSF2517
N
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NTB Financial Corporation
8-21884
SEC FILE NUMBER
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First Kentucky Securities Corporation
8-22224
SEC FILE NUMBER
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Kestra Investment Services, LLC
8-49672
SEC FILE NUMBER
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MWA Financial Services Inc.
8-53255
SEC FILE NUMBER
N
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UBS AG, New York Branch
BFM8T61CT2L1QCEMIK50
N
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Signature Securities Group Corporation
8-52697
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Duncan-Williams, Inc.
25490045VHLUZ7H92Y27
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Ballew Investments, Inc.
8-45660
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The Tavenner Company
8-41206
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Harbour Investments, Inc.
8-37373
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N
Merrill Lynch, Pierce, Fenner & Smith Incorporated
8NAV47T0Y26Q87Y0QP81
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Marsco Investment Corporation
8-36754
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Garden State Securities, Inc.
8-25790
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J.W. Cole Financial, Inc.
8-65698
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First Southern, LLC
8-69733
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Fifth Third Bank
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OneAmerica Securities, Inc.
8-15009
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Access Investments, Inc.
8-49750
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Hunter Associates, Inc.
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Pershing Advisor Solutions, LLC
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Finance 500, Inc.
8-28302
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Nations Financial Group, Inc.
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PTS Brokerage, LLC
8-65173
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Western Growers Financial Services, Inc.
8-53458
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B. Riley Wealth Management Holdings, Inc
8-31206
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Pyramid Funds Corporation
8-12769
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Oak Tree Securities, Inc.
8-36138
SEC FILE NUMBER
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WBB Securities, LLC
8-53660
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Great-West Financial Retirement Plan Services, LLC
N/A
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Variable Investment Advisors, Inc.
8-50699
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Hefren-Tillotson, Inc.
8-10646
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CUNA Brokerage Services, Inc.
549300G6Y6BPF9ZL4706
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American Financial Securities, Inc.
8-53205
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Adcap Securities, LLC
254900EMZBEIM1FAO022
N
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TD Ameritrade Clearing, Inc.
MRK678VXOI09YSSN8X19
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8-66005
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Bley Investments Group, Inc.
8-42701
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Loria Financial Group, LLC
8-52128
SEC FILE NUMBER
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PNC Bank, N.A.
AD6GFRVSDT01YPT1CS68
N
N
KW Securities Corporation
8-24792
SEC FILE NUMBER
N
N
Integral Financial LLC
2549000I2CBZTJRHG786
N
N
State Street Bank and Trust Company
571474TGEMMWANRLN572
N
N
Alliant Securities, Inc. Turner, Nord, Kienbaum
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Nest Investments BD, LLC
8-70117
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8-66771
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Madison Avenue Securities, Inc.
8-40426
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UBATCO & Co.
N/A
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Equity Services, Inc.
8-14286
SEC FILE NUMBER
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A.G.P/Alliance Global Partners
549300QJQ08RJGC7D885
N
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Wintrust Investments, LLC
8-00484
SEC FILE NUMBER
N
N
American United Life Insurance Company
549300T82H2DXU80LV98
N
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Lincoln Douglas Investments LLC
8-68728
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Citizens Securities, Inc.
2138006RAPI5PE2ZGW36
N
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TD Ameritrade, Inc.
CWQYQU0TV2NLMLZKNB44
N
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N.I.S. Financial Services, Inc.
8-15919
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Westport Resources Investment Services, Inc.
8-40904
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Security Distributors, Inc.
8-10781
SEC FILE NUMBER
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Institutional Securities Corporation
2549007EJ1PSLA8XVA50
N
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Emerson Equity LLC
8-66296
SEC FILE NUMBER
N
N
IFP Securities
8-70150
SEC FILE NUMBER
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N
Amuni Financial, Inc
8-25338
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Fieldpoint Private Securities, LLC
8-37105
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MMC Securities Corp.
2549001ZA93O65N2ZM60
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Rogan & Associates, Inc.
8-49995
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MMA Securities LLC
8-50591
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APW Capital, Inc.
8-50433
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Chalice Capital Partners, LLC
8-69967
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American Portfolios Financial Services, Inc.
8-37085
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N
The Jeffrey Matthews Financial Group, L.L.C.
25490086M6MGMYYVOJ50
N
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Allianz Life Financial Services, LLC
5493008TSI0TRWDDGW79
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Silver Oak Securities, Incorporated
8-51601
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Shareholders Service Group, Inc.
8-65778
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GLP Investment Services
8-41868
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SKA Securities, Inc.
8-53366
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Carter, Terry & Company, Inc.
8-33797
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American Independent Securities Group, LLC
8-66905
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Bolton Global Capital
2549009M08YVOG46LO79
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People's Securities, Inc.
8-29667
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Advanced Advisor Group, LLC
8-67313
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Massachusetts Mutual Life Insurance Company
R6ZXK5P01NP6HXSY1S07
N
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Hudson Heritage Capital Management, Inc.
8-50648
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N
Wiley Bros.-Aintree Capital, LLC
8-03774
SEC FILE NUMBER
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Robert W. Baird & Co. Incorporated
549300772UJAHRD6LO53
N
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Lion Street Financial, LLC
8-69183
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Rockefeller Financial, LLC
8-70054
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Lieblong & Associates, Inc.
8-49880
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First Asset Financial, Inc.
8-67191
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First Bankers' Banc Securities, Inc.
549300XZ7YYT3Y0SU530
N
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Transamerica Advisors Life Insurance Company
F1PLTWZ8OU4HQGZQAP31
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Arkadios Capital
8-69729
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Sovereign Legacy Securities, Inc.
8-00621
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Hazlett, Burt & Watson, Inc.
8-17737
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Regions Bank
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Wellington Shields & Co., LLC
8-68098
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Ace Diversified Capital, Inc.
8-49555
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CoreCap Investments, Inc.
8-47783
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Advisory Group Equity Services, Ltd.
8-32155
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Thompson Davis & Co., Inc.
8-49386
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Cadaret, Grant & Co., Inc.
8-27844
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Jack V. Butterfield Investment Company
8-12454
SEC FILE NUMBER
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Liberty Capital Investment Corporation
8-42051
SEC FILE NUMBER
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Janney Montgomery Scott LLC
549300QQRY1JCFQHYS08
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Royal Alliance Associates, Inc.
8-40218
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Securian Financial Services, Inc.
8-31955
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Rhodes Securities, Inc.
8-37689
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JPMorgan Chase Bank, N.A.
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Eagles Coast Capital
8-70137
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Northland Securities, Inc.
254900ZIK4MLVQAWLS15
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Western International Securities, Inc.
8-48572
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TIAA-CREF Individual & Institutional Services, LLC
8-44454
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Superior Financial Services, Inc.
549300BK1DNLS1A2MZ43
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Anovest Financial Services, Inc.
8-66742
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Amerant Investments, Inc.
254900M8G8SSAIMHET60
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Roberts & Ryan Investments Inc.
254900A6VIVO4DP1T126
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Place Trade Financial, Inc.
8-65915
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Raymond James & Associates, Inc.
U4ONQX15J3RO8XCKE979
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Devenir, LLC
8-65837
SEC FILE NUMBER
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Country Capital Management Company
8-12645
SEC FILE NUMBER
N
N
MML Investors Services, LLC
8-27250
SEC FILE NUMBER
N
N
Voya Institutional Plan Services, LLC
N/A
N
N
BTG Pactual US Capital, LLC
549300EUEDL5GKQW8U35
N
N
Fidelity Brokerage Services LLC
549300OQFQ4NFIOD5695
N
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BNY Mellon Securities Corporation
8-13801
SEC FILE NUMBER
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Benjamin F. Edwards & Company, Inc.
8-68023
SEC FILE NUMBER
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Gill Capital Partners, LLC
8-30563
SEC FILE NUMBER
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VOYA Financial Advisors, LLC
8-46451
SEC FILE NUMBER
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Deutsche Bank Securities Inc.
9J6MBOOO7BECTDTUZW19
N
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TrustFirst, Inc.
8-48509
SEC FILE NUMBER
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Sigma Financial Corporation
8-30466
SEC FILE NUMBER
N
N
Uhlmann Price Securities, LLC
8-50041
SEC FILE NUMBER
N
N
Conover Securities Corporation
8-35085
SEC FILE NUMBER
N
N
Fidelity Investments Life
54930024AKTQGTIV1P93
N
N
MSEC, LLC
8-68627
SEC FILE NUMBER
N
N
L.M. Kohn & Company
8-43303
SEC FILE NUMBER
N
N
Lincoln Financial Securities Corporation
8-14609
SEC FILE NUMBER
N
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Equitable Advisors, LLC
8-17883
SEC FILE NUMBER
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Crews & Associates, Inc.
5493001BWSV3E82LZ446
N
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Nelson Ivest Brokerage Services, Inc.
8-26448
SEC FILE NUMBER
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Oberweis Securities, Inc.
5493008EZH6DO1631P71
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SunTrust Investment Services, Inc.
8-35355
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Fifth Third Securities, Inc.
5493003IMO3TYX51WE43
N
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B.C. Ziegler & Company
549300NLEOFP92P38Q71
N
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Folio Investments, Inc.
8-52009
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Tradition Securities and Derivatives Inc.
WRYEFMSVQCH0EMD08461
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Highlander Capital Group, Inc.
8-37169
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World Choice Securities, Inc.
8-45235
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NBC Securities, Inc.
254900GIP7RJQGHH5S19
N
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Fiduciary Trust International
N1YKEWO2IYPRS4742F57
N
N
San Blas Securities LLC
25490079436TZN10JD83
N
N
Mutual Trust Co. of America Securities
254900PUBUB7IS4GNY27
N
N
D.H. Hill Securities LLP
8-49475
SEC FILE NUMBER
N
N
Cuso Financial Services, L.P.
8-49711
SEC FILE NUMBER
N
N
Guardian Insurance & Annuity Company, Inc., The
TGIU5N0SIMULU6I57R64
N
Y
Landaas & Company
8-51826
SEC FILE NUMBER
N
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Calamar Financial Group
8-69777
SEC FILE NUMBER
N
N
CIBC World Markets Corp.
549300445CON3DBMU275
N
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S.L. Reed & Company
8-49178
SEC FILE NUMBER
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Mutual of Omaha Investor Services, Inc.
8-47290
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ValMark Securities, Inc.
8-45463
SEC FILE NUMBER
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IDB Capital Corp.
254900SH3QL0IL3S9R34
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Weston Securities Corporation
8-32664
SEC FILE NUMBER
N
N
The Leaders Group, Inc.
8-47639
SEC FILE NUMBER
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SWBC Investment Services, LLC
254900YIJJWABADWZ455
N
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Stonecrest Capital Markets, Inc.
8-48754
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R. F. Lafferty & Co., Inc.
254900KLPTMWPBZWH264
N
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Healthcare Community Securities Corporation
8-46981
SEC FILE NUMBER
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American Global Wealth Management, Inc.
8-21584
SEC FILE NUMBER
N
N
Smith, Brown & Groover, Inc.
8-13079
SEC FILE NUMBER
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The Huntington Investment Company
5493004MEJ6IU9SR1R78
N
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Newport Group, Inc.
N/A
N
Y
Halliday Financial, LLC
8-45529
SEC FILE NUMBER
N
N
Feltl & Company
8-18435
SEC FILE NUMBER
N
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Griffinest Asia Securities, LLC
8-66571
SEC FILE NUMBER
N
N
National Securities Corp.
8-164
SEC FILE NUMBER
N
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SEI Private Trust Company
028-10625
SEC FILE NUMBER
N
Y
Financial Northeastern Securities, Inc.
549300QRRF2NAV5G3869
N
N
Morgan Stanley Smith Barney LLC
7PDDXEMZ0ZV0CEDU4D16
N
N
Omni Financial Securities
8-44034
SEC FILE NUMBER
N
N
Sunstreet Securities, LLC
8-67541
SEC FILE NUMBER
N
N
Wells Fargo Securities, LLC
8-65876
SEC FILE NUMBER
N
N
USA Financial Securities Corporation
8-52342
SEC FILE NUMBER
N
N
Sisung Securities Corporation
254900KJI3EYKKPWT989
N
N
D.A. Davidson & Co.
549300094RQ5A7DYLF51
N
N
Diversified Resources, LLC
8-45497
SEC FILE NUMBER
N
N
Broadridge Business Process Outsourcing, LLC
8-53412
SEC FILE NUMBER
N
Y
Harvest Financial Corporation
8-26037
SEC FILE NUMBER
N
N
Nationwide Planning Associates Inc.
8-45310
SEC FILE NUMBER
N
N
Etico Partners, LLC
8-65500
SEC FILE NUMBER
N
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FNBB Capital Markets, LLC
8-66553
SEC FILE NUMBER
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Carl M. Hennig, Inc.
8-14509
SEC FILE NUMBER
N
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Key Investment Services LLC
8-66999
SEC FILE NUMBER
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World Capital Brokerage, Inc.
8-06805
SEC FILE NUMBER
N
N
Hancock Whitney Investment Services, Inc.
8-49106
SEC FILE NUMBER
N
N
New England Pension Plan Systems, LLC
N/A
N
Y
Coker & Palmer, Inc.
254900V1KTPDN88TDS68
N
N
Hartford Funds Management Company, LLC
801-77209
SEC FILE NUMBER
N
Y
World Equity Group, Inc.
25490078J1OM7KOXR686
N
N
Beaconsfield Financial Services, Inc.
8-30993
SEC FILE NUMBER
N
N
Allen C Ewing & Co.
8-42393
SEC FILE NUMBER
N
N
Ausdal Financial Partners, Inc.
8-24519
SEC FILE NUMBER
N
N
Investment Network Inc.
8-66036
SEC FILE NUMBER
N
N
Proequities, Inc.
8-32590
SEC FILE NUMBER
N
N
UMB Financial Services, Inc.
254900GFVO9NGQ21JC37
N
N
Capital Management Securities, Inc.
8-27779
SEC FILE NUMBER
N
N
Associated Investment Services, Inc.
8-00099
SEC FILE NUMBER
N
N
Great Point Capital LLC
254900HN4IGCO53HDK23
N
N
First Mercantile Trust Company
028-10498
SEC FILE NUMBER
N
Y
TransAm Securities, Inc.
8-37065
SEC FILE NUMBER
N
N
M. S. Howells & Co.
8-52558
SEC FILE NUMBER
N
N
Hennion & Walsh, Inc.
8-41988
SEC FILE NUMBER
N
N
Verity Investments, Inc.
8-49474
SEC FILE NUMBER
N
N
Morgan Stanley & Co. LLC
9R7GPTSO7KV3UQJZQ078
N
N
Pacific Financial Associates, Inc.
8-40712
SEC FILE NUMBER
N
N
Avisen Securities, Inc.
8-65833
SEC FILE NUMBER
N
N
MGO Securities Corp.
8-47814
SEC FILE NUMBER
N
N
Muriel Seibert & Co., Inc.
8-14900
SEC FILE NUMBER
N
N
Globalink Securities, Inc.
8-44509
SEC FILE NUMBER
N
N
Principal Securities, Inc.
8-13975
SEC FILE NUMBER
N
N
Herndon Plant Oakley, LTD
8-50912
SEC FILE NUMBER
N
N
Monere Investments, Inc.
8-52982
SEC FILE NUMBER
N
N
Feldstein Financial Group, LLC
8-53388
SEC FILE NUMBER
N
N
First Heartland Capital, Inc.
8-46008
SEC FILE NUMBER
N
N
American Wealth Management
8-41807
SEC FILE NUMBER
N
N
Piper Jaffray & Co.
549300GRQCWQ3XGH0H10
N
N
Saxony Securities, Inc.
8-53490
SEC FILE NUMBER
N
N
SFA Financial, LLC
8-68156
SEC FILE NUMBER
N
N
Concorde Investment Services, LLC
8-68388
SEC FILE NUMBER
N
N
Investment Placement Group
5493005L3RL45FY4HR07
N
N
Santander Securities LLC
8-49571
SEC FILE NUMBER
N
N
E*Trade Securities
8-44112
SEC FILE NUMBER
N
N
International Research Securities, Inc.
8-37954
SEC FILE NUMBER
N
N
Nicol Investors Corporation
8-65566
SEC FILE NUMBER
N
N
Hilltop Securities, Inc.
549300IXU82PMU6XZT45
N
N
Invicta Capital, LLC
549300QY87LR84LRLL97
N
N
Principled Advisors, Inc.
8-66451
SEC FILE NUMBER
N
N
Sanctuary Securities, Inc.
2549007WBAL2Z578XQ34
N
N
Vorpahl Wing Securities
8-51823
SEC FILE NUMBER
N
N
The O.N. Equity Sales Company
8-14161
SEC FILE NUMBER
N
N
ACA/Prudent Investors Planning Corporation
8-51899
SEC FILE NUMBER
N
N
Rothschild Investment Corporation
8-16429
SEC FILE NUMBER
N
N
Zions Direct, Inc.
8-35721
SEC FILE NUMBER
N
N
Sentinel Securities, Inc.
8-53142
SEC FILE NUMBER
N
N
Investshares, Inc
8-68365
SEC FILE NUMBER
N
N
ACP Securities, LLC
254900GHLAGD9J81O211
N
N
Insight Securities, Inc.
2549007I5MCG270G9341
N
N
Avondale Partners, LLC
254900799PKXEPTDRJ40
N
N
Ameriprise Financial Services, Inc.
8-16791
SEC FILE NUMBER
N
N
Family Investors Company
8-11190
SEC FILE NUMBER
N
N
AE Financial Services, LLC
8-70214
SEC FILE NUMBER
N
N
BNP Paribas Securities Corp
RCNB6OTYUAMMP879YW96
N
N
Sanders Morris Harris Inc.
254900ZNPYV465D1NZ47
N
N
Grant Williams L.P.
8-51249
SEC FILE NUMBER
N
N
Chapin Davis Inc
8-43485
SEC FILE NUMBER
N
N
R. Seelaus & Co., Inc.
2138004J7AJDLCOJYA06
N
N
The Strategic Financial Alliance, Inc.
8-65885
SEC FILE NUMBER
N
N
Classic LLC
8-68981
SEC FILE NUMBER
N
N
Voya Retirement Insurance and Annuity Company
OK3MKCDYPD4NN6QDGK18
N
Y
Mutual Securities, Inc.
8-28580
SEC FILE NUMBER
N
N
NorthWestern Mutual Investment Services, LLC
CYO86L8D7HTXW9SOZX28
N
N
Ascensus Broker Dealer Services, Inc.
8-47312
SEC FILE NUMBER
N
Y
ADP Broker-Dealer, Inc.
8-47885
SEC FILE NUMBER
N
Y
Great Pacific Securities
254900QRZ90SUI8C4W84
N
N
Chelsea Morgan Securities, Inc.
8-51916
SEC FILE NUMBER
N
N
Interactive Brokers LLC
50OBSE5T5521O6SMZR28
N
N
Investors Brokerage of Texas, Ltd.
8-28644
SEC FILE NUMBER
N
N
First Horizon Advisors, Inc.
8-35061
SEC FILE NUMBER
N
N
Sunset Financial Services, Inc.
8-14148
SEC FILE NUMBER
N
N
Cape Securities Inc.
8-20747
SEC FILE NUMBER
N
N
Landolt Securities, Inc.
254900B2XEQ2HZGN7K90
N
N
Portfolio Resources Group, Inc.
549300TKCYL1XNXOL896
N
N
Portsmouth Financial Services
8-30097
SEC FILE NUMBER
N
N
Cetera Advisor Networks LLC
8-29577
SEC FILE NUMBER
N
N
Commonwealth Equity Services, Inc.
8-24040
SEC FILE NUMBER
N
N
Southeast Investments, N.C., Inc.
8-50127
SEC FILE NUMBER
N
N
Allstate Financial Services, LLC
8-36365
SEC FILE NUMBER
N
N
Joseph Gunnar & Co. LLC
2549001XBRI5XQ0ZDA12
N
N
Gardner Financial Services, Inc.
8-38631
SEC FILE NUMBER
N
N
H. Beck, Inc.
8-31165
SEC FILE NUMBER
N
N
Valley National Investments, Inc.
8-34427
SEC FILE NUMBER
N
N
Woodbury Financial Services, Inc.
8-13846
SEC FILE NUMBER
N
N
Allegheny Investments, Ltd.
8-22183
SEC FILE NUMBER
N
N
Gregory J. Schwartz & Co., Inc.
8-20955
SEC FILE NUMBER
N
N
Riversource Distributors, Inc.
8-67196
SEC FILE NUMBER
N
N
Umpqua Investments, Inc.
8-02915
SEC FILE NUMBER
N
N
Wescom Financial Services, LLC
8-66189
SEC FILE NUMBER
N
N
Coastal Equities, Inc.
8-40822
SEC FILE NUMBER
N
N
Spire Securities, LLC
8-67635
SEC FILE NUMBER
N
N
MidWestern Securities Trading Company, LLC
8-52074
SEC FILE NUMBER
N
N
Alexander Capital, L.P.
8-48957
SEC FILE NUMBER
N
N
McNally Financial Services Corporation
8-65388
SEC FILE NUMBER
N
N
Arvest Investments, Inc.
8-49677
SEC FILE NUMBER
N
N
Dorn & Co., Inc.
8-08707
SEC FILE NUMBER
N
N
American Century Investment Services, Inc.
8-35220
SEC FILE NUMBER
N
N
American Heritage Securities, Inc.
8-44466
SEC FILE NUMBER
N
N
FSB Warner Financial, Inc.
8-44865
SEC FILE NUMBER
N
N
Intercam Securiteis, Inc.
8-67840
SEC FILE NUMBER
N
N
Charles Schwab & Co., Inc.
549300ZP8XN77GK5BS04
N
Y
Next Financial Group, Inc.
8-51356
SEC FILE NUMBER
N
N
Nationwide Financial Services, Inc.
5493001H7AZNDS6BKJ36
N
Y
Syndicated Capital, Inc.
8-44162
SEC FILE NUMBER
N
N
B.B. Graham & Company, Inc.
8-49477
SEC FILE NUMBER
N
N
Infinex Investments, Inc.
8-46661
SEC FILE NUMBER
N
N
Center Street Securities, Inc.
8-42786
SEC FILE NUMBER
N
N
Capital Investment Group, Inc.
8-31225
SEC FILE NUMBER
N
N
USI Securities, Inc.
8-50429
SEC FILE NUMBER
N
N
LaSalle St. Securities, L.L.C.
8-18860
SEC FILE NUMBER
N
N
Harbor Investment Advisory, LLC
8-68334
SEC FILE NUMBER
N
N
Apex Clearing Corporation
5493000418CITRF5BO80
N
N
Signal Securities, Inc.
8-32948
SEC FILE NUMBER
N
N
Sycamore Financial Group
8-30302
SEC FILE NUMBER
N
N
Mercer HR Services, LLC
N/A
N
Y
Huntleigh Securities Corporation
8-21893
SEC FILE NUMBER
N
N
SECU Brokerage Services
8-37927
SEC FILE NUMBER
N
N
Herbert J. Sims & Co. Inc.
254900SV6UESQBS8XP98
N
N
James I. Black & Company
8-12077
SEC FILE NUMBER
N
N
Western Equity Group, Inc.
8-66403
SEC FILE NUMBER
N
N
Girard Investment Services, LLC
8-14145
SEC FILE NUMBER
N
N
JHW Financial Services Inc.
8-45304
SEC FILE NUMBER
N
N
The Lawrence D. Vitez Corp. DBA Consolidated Securities
8-48642
SEC FILE NUMBER
N
N
Bruderman Brothers, LLC
8-51974
SEC FILE NUMBER
N
N
Monex Securities, Inc.
254900VTZ3HYHNEJRX35
N
N
Crescent Securities Group
8-53457
SEC FILE NUMBER
N
N
Brooklight Place Securities, Inc.
8-32673
SEC FILE NUMBER
N
N
Hand Securities, Inc.
8-51001
SEC FILE NUMBER
N
N
Ascensus Financial Services, LLC
8-67891
SEC FILE NUMBER
N
N
First Financial Equity Corporation
8-34082
SEC FILE NUMBER
N
N
Y
BNY Mellon Investment Servicing (US) Inc.
549300CFZQLI9QMJ1Z03
N
Y
BLACKROCK ADVISORS, LLC
5493001LN9MRM6A35J74
Y
N
N
BLACKROCK EXECUTION SERVICES
008-48719
000039438
549300HFCRQ0NT5KY652
0.00000000
BLACKROCK INVESTMENTS, LLC
008-48436
000038642
54930061FBHCKXL2G714
0.00000000
GOLDMAN SACHS & CO. LLC
008-00129
000000361
FOR8UP27PHTHYVLBNG30
26285.00000000
CREDIT SUISSE SECURITIES (USA) LLC
008-00422
000000816
1V8Y6QCX6YMJ2OELII46
28999.00000000
J.P. Morgan Securities LLC
008-35008
000000079
ZBUT11V806EZRVTWT807
57171.00000000
MORGAN STANLEY & CO. LLC
008-15869
000008209
9R7GPTSO7KV3UQJZQ078
30938.00000000
NATIONAL BANK OF CANADA FINANCIAL INC.
008-39947
000022698
549300K66TF1ST7A3V76
17238.00000000
RBC CAPITAL MARKETS, LLC
008-45411
000031194
549300LCO2FLSSVFFR64
56034.00000000
BOFA SECURITIES, INC.
008-69787
000283942
549300HN4UKV1E2R3U73
37892.00000000
UBS Securities LLC
008-22651
000007654
T6FIZBDPKLYJKFCRVK44
51177.00000000
TD SECURITIES (USA) LLC
008-36747
000018476
SUVUFHICNZMP2WKHG940
28075.00000000
CitiGroup Global Markets Inc.
008-08177
000007059
MBNUM2BPBDO7JBLYG310
59927.00000000
560194.00000000
WELLS FARGO SECURITIES, LLC
008-65876
000126292
VYVVCKR63DVZZN70PB21
485072148.00000000
BARCLAYS CAPITAL, INC.
008-41342
000019714
AC28XWWI3WIBK2824319
199524990.00000000
CITADEL SECURITIES LLC
008-53574
000116797
12UUJYTN7D3SW8KCSG25
290814443.00000000
GOLDMAN SACHS & CO. LLC
008-00129
000000361
FOR8UP27PHTHYVLBNG30
104799002.00000000
DEUTSCHE BANK SECURITIES, INC.
008-17822
000002525
9J6MBOOO7BECTDTUZW19
135902135.00000000
BlackRock Liquidity Funds T-Fund
N/A
N/A
5493002L9DNZ83RX7V61
1765360361.00000000
BMO Nesbitt Burns Securities Ltd.
008-50538
000044057
54JEJPF5RL5INKZRDO43
CA
167770060.00000000
CitiGroup Global Markets Inc.
008-08177
000007059
MBNUM2BPBDO7JBLYG310
291196080.00000000
J.P. Morgan Securities LLC
008-35008
000000079
ZBUT11V806EZRVTWT807
1005350384.00000000
NOMURA SECURITIES INTERNATIONAL, INC.
008-15255
000004297
OXTKY6Q8X53C9ILVV871
254884995.00000000
4902757942.00000000
N
1708958004.00000000
0.00000000
Committed
1750000000.00000000
N
N
N
N
BlackRock Advantage Small Cap Core Fund
S000039982
5493008Z7VT7J84WYF17
N
4
0
0
N/A
N
N
Y
N
N
BlackRock Investment Management, LLC
5493006MRTEZZ4S4CQ20
Y
N
Revenue sharing split
Other
Cash collateral reinvestment fee
Rebates paid to borrowers
153548257.00000000
1051429.00000000
Rule 12d1-4 (17 CFR 270.12d1-4)
Rule 32a-4 (17 CFR 270.32a-4)
Rule 12d1-1 (17 CFR 270.12d1-1)
Rule 22d-1 (17 CFR 270.22d-1)
Rule 17a-7 (17 CFR 270.17a-7)
Y
Y
N
N
BlackRock Advisors, LLC
801-47710
000106614
5493001LN9MRM6A35J74
N
BNY Mellon Investment Servicing (US) Inc.
084-01761
549300CFZQLI9QMJ1Z03
N
N
N
Bloomberg Finance L.P.
5493001KJTIIGC8Y1R12
N
Intercontinental Exchange, Inc.
5493000F4ZO33MV32P92
N
N
The Bank of New York Mellon
HPFHU0OQ28E4N0NFVK49
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
UBS Securities LLC
T6FIZBDPKLYJKFCRVK44
N
Y
Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
N
USCA Securities LLC
254900GBMSP1Y45THR66
N
N
Michigan Securities, Inc. (dba Broadstone Securities)
8-52094
SEC FILE NUMBER
N
N
Morris Group, Inc.
549300JWKS0KMDOX5G12
N
N
Innovation Partners LLC
549300IEQ78ON1HMTU71
N
N
Mutual Securities, Inc.
8-28580
SEC FILE NUMBER
N
N
PTI Securities & Futures L.P.
8-44412
SEC FILE NUMBER
N
N
FMN Capital Corporation
8-48082
SEC FILE NUMBER
N
N
Excel Securities & Associates, Inc.
8-34261
SEC FILE NUMBER
N
N
OFG Financial Services, Inc.
8-40770
SEC FILE NUMBER
N
N
Henley & Company LLC
8-66463
SEC FILE NUMBER
N
N
Sammons Retirement Solutions, Inc.
N/A
N
Y
Conover Securities Corporation
8-35085
SEC FILE NUMBER
N
N
First Asset Financial, Inc.
8-67191
SEC FILE NUMBER
N
N
LaSalle St. Securities, L.L.C.
8-18860
SEC FILE NUMBER
N
N
Westminster Financial Securities, Inc.
8-38426
SEC FILE NUMBER
N
N
GRF Capital Investors, Inc.
8-41494
SEC FILE NUMBER
N
N
Northwest Investment Advisors, Inc.
8-65282
SEC FILE NUMBER
N
N
International Research Securities, Inc.
8-37954
SEC FILE NUMBER
N
N
Dominion Investor Services, Inc.
8-39029
SEC FILE NUMBER
N
N
Aventura Securities, LLC
8-67458
SEC FILE NUMBER
N
N
Carty & Company, Inc.
8-19082
SEC FILE NUMBER
N
N
B.B. Graham & Company, Inc.
8-49477
SEC FILE NUMBER
N
N
Ni Advisors
8-66841
SEC FILE NUMBER
N
N
Mutual of Omaha Investor Services, Inc.
8-47290
SEC FILE NUMBER
N
N
The GMS Group, LLC
254900OXZT27TA5CGU56
N
N
Commonwealth Equity Services, Inc.
8-24040
SEC FILE NUMBER
N
N
GWFS Equities, Inc.
8-33854
SEC FILE NUMBER
N
N
Unionbanc Investment Services, LLC
254900Y9HI2TG6D79N41
N
N
Oppenheimer & Co. Inc.
254900VH02JQR2L8XD64
N
N
Caldwell Securities, Inc.
549300ORF2FMHXODHJ66
N
N
Lieblong & Associates, Inc.
8-49880
SEC FILE NUMBER
N
N
Worth Financial Group Inc.
8-29827
SEC FILE NUMBER
N
N
S.A. Stone Wealth Management
8-36638
SEC FILE NUMBER
N
N
City National Bank
549300MEMKSF7703ZQ25
N
N
UMB Financial Services, Inc.
254900GFVO9NGQ21JC37
N
N
Principal Life Insurance Company
SDCMU2LVKGV2AF1KWP64
N
Y
Next Financial Group, Inc.
8-51356
SEC FILE NUMBER
N
N
Concorde Investment Services, LLC
8-68388
SEC FILE NUMBER
N
N
Pacific Financial Associates, Inc.
8-40712
SEC FILE NUMBER
N
N
AssetMark Trust Company
N/A
N
N
Maxim Group LLC
254900OJ6JZO6SDMHQ83
N
N
ACA/Prudent Investors Planning Corporation
8-51899
SEC FILE NUMBER
N
N
Wellington Shields & Co., LLC
8-68098
SEC FILE NUMBER
N
N
Sunbelt Securities, Inc.
8-49748
SEC FILE NUMBER
N
N
TRG Advisors, Inc.
8-50449
SEC FILE NUMBER
N
N
Midland Securities, Ltd.
8-40685
SEC FILE NUMBER
N
N
MML Distributors, LLC
8-48203
SEC FILE NUMBER
N
N
First Republic Securities Company, LLC
5493000IMDFZDQYB2Q11
N
N
LaBrunerie Financial Services, Inc.
8-47830
SEC FILE NUMBER
N
N
Planners Financial Services, Inc.
8-18027
SEC FILE NUMBER
N
N
BTG Pactual US Capital, LLC
549300EUEDL5GKQW8U35
N
N
Darwood Associates Incorporated
8-16560
SEC FILE NUMBER
N
N
Carter, Terry & Company, Inc.
8-33797
SEC FILE NUMBER
N
N
Teachers Insurance and Annuity Association of America
O06YD7BJ4EPYNABVFN69
N
Y
Sammons Financial Network, LLC
8-68905
SEC FILE NUMBER
N
N
E*Trade Savings Bank
549300DXPO50FJ75QA85
N
Y
First Mercantile Trust Company
028-10498
SEC FILE NUMBER
N
Y
Woodmen Financial Services, Inc.
8-53592
SEC FILE NUMBER
N
N
Hanson McClain Retirement Network, LP
8-52250
SEC FILE NUMBER
N
N
Cetera Financial Specialists LLC
8-27082
SEC FILE NUMBER
N
N
Anovest Financial Services, Inc.
8-66742
SEC FILE NUMBER
N
N
American Enterprise Investment Services Inc.
549300NT7GLLVGTH0249
N
N
Transamerica Financial Advisors, Inc.
549300JW32XCZSHI0878
N
N
The Huntington Investment Company
5493004MEJ6IU9SR1R78
N
N
National Financial Services, LLC
549300JRHF1MHHWUAW04
N
Y
Lockton Financial Advisors, LLC
8-67090
SEC FILE NUMBER
N
N
ViewTrade Securities, Inc.
549300CHLQDUD0NL5851
N
N
Middlegate Securities Ltd.
549300ZVONUQ845QCH95
N
N
PNC Capital Markets LLC
7OGNSSLOQJ8U3B9Y5F18
N
N
The Investment Center, Inc.
8-35826
SEC FILE NUMBER
N
N
MMC Securities Corp.
2549001ZA93O65N2ZM60
N
N
SEI Private Trust Company
028-10625
SEC FILE NUMBER
N
Y
Whitehall-Parker Securities, Inc.
8-27688
SEC FILE NUMBER
N
N
Cetera Advisor Networks LLC
8-29577
SEC FILE NUMBER
N
N
Cambridge Investment Research, Inc.
8-48740
SEC FILE NUMBER
N
N
Western International Securities, Inc.
8-48572
SEC FILE NUMBER
N
N
TD Ameritrade Clearing, Inc.
MRK678VXOI09YSSN8X19
N
Y
VBC Securities, LLC
8-44141
SEC FILE NUMBER
N
N
Oscar Gruss & Son Incorporated
549300V78DH9XCK5UI63
N
N
E. E. Powell & Company Inc.
8-01893
SEC FILE NUMBER
N
N
Investments For You, Inc.
8-44179
SEC FILE NUMBER
N
N
Leumi Investment Services Inc.
5493005SJQ3VQ5DEE756
N
N
APW Capital, Inc.
8-50433
SEC FILE NUMBER
N
N
Commerce Brokerage Services, Inc.
8-35096
SEC FILE NUMBER
N
N
Robinson & Robinson, Inc.
8-17109
SEC FILE NUMBER
N
N
Intercam Securiteis, Inc.
8-67840
SEC FILE NUMBER
N
N
GLP Investment Services
8-41868
SEC FILE NUMBER
N
N
Davinci Capital Management Inc.
8-51580
SEC FILE NUMBER
N
N
Xml Securities, LLC
8-67776
SEC FILE NUMBER
N
N
Thoroughbred Financial Services, LLC
8-51944
SEC FILE NUMBER
N
N
FNBB Capital Markets, LLC
8-66553
SEC FILE NUMBER
N
N
Jack V. Butterfield Investment Company
8-12454
SEC FILE NUMBER
N
N
Piper Jaffray & Co.
549300GRQCWQ3XGH0H10
N
N
BestVest Investments, Ltd.
254900SL6FW130BMS922
N
N
Cape Securities Inc.
8-20747
SEC FILE NUMBER
N
N
Mack Investment Securities, Inc.
8-35536
SEC FILE NUMBER
N
N
Sorsby Financial Corp.
8-48718
SEC FILE NUMBER
N
N
San Blas Securities LLC
25490079436TZN10JD83
N
N
Edward D. Jones & Co., L.P.
YZRCLX72FTV74B522G90
N
N
The O.N. Equity Sales Company
8-14161
SEC FILE NUMBER
N
N
Buckram Securities LTD
8-65939
SEC FILE NUMBER
N
N
Family Investors Company
8-11190
SEC FILE NUMBER
N
N
Thompson Davis & Co., Inc.
8-49386
SEC FILE NUMBER
N
N
Pyramid Funds Corporation
8-12769
SEC FILE NUMBER
N
N
Newport Group, Inc.
N/A
N
Y
B.C. Ziegler & Company
549300NLEOFP92P38Q71
N
N
Center Street Securities, Inc.
8-42786
SEC FILE NUMBER
N
N
Monex Securities, Inc.
254900VTZ3HYHNEJRX35
N
N
The Windmill Group, Inc.
8-25280
SEC FILE NUMBER
N
N
Bley Investments Group, Inc.
8-42701
SEC FILE NUMBER
N
N
Hazard & Siegel, Inc.
8-13942
SEC FILE NUMBER
N
N
Fortune Financial Services, Inc.
8-49727
SEC FILE NUMBER
N
N
Benjamin F. Edwards & Company, Inc.
8-68023
SEC FILE NUMBER
N
N
Spire Securities, LLC
8-67635
SEC FILE NUMBER
N
N
NPB Financial Group, LLC
8-67113
SEC FILE NUMBER
N
N
J.D. Seibert & Company, Inc.
8-23604
SEC FILE NUMBER
N
N
M&T Securities, Inc.
254900VRUF9FN7AZI864
N
N
VALIC Retirement Services Company
84-06057
SEC FILE NUMBER
N
N
Citigroup Global Markets Inc.
MBNUM2BPBDO7JBLYG310
N
N
Client One Securities LLC
8-68494
SEC FILE NUMBER
N
N
UBS Financial Services Inc.
ETYRV6ORNFJB5NONI676
N
N
Coinbase Capital Markets Corporation
8-28032
SEC FILE NUMBER
N
N
Private Client Services, LLC
8-68183
SEC FILE NUMBER
N
N
SFA Financial, LLC
8-68156
SEC FILE NUMBER
N
N
T.R. Winston & Company, LLC
8-27519
SEC FILE NUMBER
N
N
Safra Securities LLC
E51AOUORNWWT747CBW71
N
N
ADP Broker-Dealer, Inc.
8-47885
SEC FILE NUMBER
N
Y
NYLife Securities LLC
8-15517
SEC FILE NUMBER
N
N
First Financial Securities of America, Inc.
8-29565
SEC FILE NUMBER
N
N
Monere Investments, Inc.
8-52982
SEC FILE NUMBER
N
N
Capital City Securities, LLC
8-67771
SEC FILE NUMBER
N
N
Coordinated Capital Securities, Inc.
8-31173
SEC FILE NUMBER
N
N
Muriel Seibert & Co., Inc.
8-14900
SEC FILE NUMBER
N
N
Verity Investments, Inc.
8-49474
SEC FILE NUMBER
N
N
Lombard Securities, Inc.
8-43340
SEC FILE NUMBER
N
N
Adcap Securities, LLC
254900EMZBEIM1FAO022
N
N
Associated Investment Services, Inc.
8-00099
SEC FILE NUMBER
N
N
LPL Financial LLC
5493005NM7F0H1N3EQ39
N
Y
Empire Asset Management Company
8-67520
SEC FILE NUMBER
N
N
Country Club Financial Services, Inc.
8-44574
SEC FILE NUMBER
N
N
D.M. Kelly & Company
8-48398
SEC FILE NUMBER
N
N
Buckman, Buckman & Reid, Inc.
254900D688L15B5HJB06
N
N
R. F. Lafferty & Co., Inc.
254900KLPTMWPBZWH264
N
N
Carl M. Hennig, Inc.
8-14509
SEC FILE NUMBER
N
N
Sunset Financial Services, Inc.
8-14148
SEC FILE NUMBER
N
N
Investshares, Inc
8-68365
SEC FILE NUMBER
N
N
BTS Securities Corporation
8-26818
SEC FILE NUMBER
N
N
Geneos Wealth Management, Inc.
8-65357
SEC FILE NUMBER
N
N
Healthcare Community Securities Corporation
8-46981
SEC FILE NUMBER
N
N
Mid Atlantic Capital Corporation
549300HJL2LPNSC0JX96
N
N
CFS Securities, Inc.
8-51330
SEC FILE NUMBER
N
N
Nestlerode & Loy, Inc.
8-12629
SEC FILE NUMBER
N
N
Great American Investors, Inc.
8-44380
SEC FILE NUMBER
N
N
IDB Capital Corp.
254900SH3QL0IL3S9R34
N
N
BancWest Investment Services, Inc.
5493001GJYTESEZEBA51
N
N
James I. Black & Company
8-12077
SEC FILE NUMBER
N
N
VALIC Financial Advisors, Inc.
8-50018
SEC FILE NUMBER
N
N
J. Alden Associates, Inc.
8-48938
SEC FILE NUMBER
N
N
BFT Financial Group, LLC
8-53487
SEC FILE NUMBER
N
N
Thurston, Springer, Miller, Herd & Titak, Inc.
8-25452
SEC FILE NUMBER
N
N
Saturna Trust Company
N/A
N
Y
Founders Financial Securities LLC
8-67137
SEC FILE NUMBER
N
N
Kalos Capital, Inc.
8-50630
SEC FILE NUMBER
N
N
Key Investment Services LLC
8-66999
SEC FILE NUMBER
N
N
First Citizens Investor Services, Inc.
8-50696
SEC FILE NUMBER
N
N
KW Securities Corporation
8-24792
SEC FILE NUMBER
N
N
Superior Financial Services, Inc.
549300BK1DNLS1A2MZ43
N
N
TradeStation Securities, Inc.
549300T08P71XXBYLW62
N
N
Dorn & Co., Inc.
8-08707
SEC FILE NUMBER
N
N
Folger Nolan Fleming Douglas Incorporated
8-03335
SEC FILE NUMBER
N
N
The Tavenner Company
8-41206
SEC FILE NUMBER
N
N
G.L.S. & Associates, Inc.
8-51808
SEC FILE NUMBER
N
N
Lincoln Financial Distributors, Inc.
8-13431
SEC FILE NUMBER
N
N
Capital Management Securities, Inc.
8-27779
SEC FILE NUMBER
N
N
Teckmeyer Financial Services, L.L.C.
8-48501
SEC FILE NUMBER
N
N
Calamar Financial Group
8-69777
SEC FILE NUMBER
N
N
First Financial Equity Corporation
8-34082
SEC FILE NUMBER
N
N
American Heritage Securities, Inc.
8-44466
SEC FILE NUMBER
N
N
Horan Securities, Inc.
8-49192
SEC FILE NUMBER
N
N
Transamerica Advisors Life Insurance Company
F1PLTWZ8OU4HQGZQAP31
N
N
Uhlmann Price Securities, LLC
8-50041
SEC FILE NUMBER
N
N
Horace Mann Investors, Inc.
8--6082
SEC FILE NUMBER
N
N
AE Financial Services, LLC
8-70214
SEC FILE NUMBER
N
N
Sorrento Pacific Financial, LLC
8-66046
SEC FILE NUMBER
N
N
American Equity Investment Corporation
8-49078
SEC FILE NUMBER
N
N
Pensionmark Securities, LLC
8-69773
SEC FILE NUMBER
N
N
Beaconsfield Financial Services, Inc.
8-30993
SEC FILE NUMBER
N
N
Hornor, Townsend & Kent, Inc.
8-14715
SEC FILE NUMBER
N
N
Berthel, Fisher & Company Financial Services, Inc.
8-29426
SEC FILE NUMBER
N
N
Planned Financial Programs, Inc.
8-05727
SEC FILE NUMBER
N
N
M Holdings Securities, Inc.
8-50214
SEC FILE NUMBER
N
N
Mesirow Financial, Inc.
549300BIV46SUHPOFE54
N
N
Omega Securities, Inc.
8-20225
SEC FILE NUMBER
N
N
First Western Securities, Inc.
8-37613
SEC FILE NUMBER
N
N
JHW Financial Services Inc.
8-45304
SEC FILE NUMBER
N
N
McClurg Capital Corporation
8-34473
SEC FILE NUMBER
N
N
Conduent HR Services LLC
084-06035
SEC FILE NUMBER
N
Y
Crews & Associates, Inc.
5493001BWSV3E82LZ446
N
N
United Planners' Financial Services of America A Limited Partner
8-38485
SEC FILE NUMBER
N
N
Institutional Securities Corporation
2549007EJ1PSLA8XVA50
N
N
Pershing Advisor Solutions, LLC
549300KTC63JRN36GZ84
N
N
Wells Fargo Clearing Services, LLC
88KRVSOEKUGQZJ3DKW55
N
Y
Wesbanco Securities, Inc.
8-50220
SEC FILE NUMBER
N
N
Arete Wealth Management, LLC
8-50854
SEC FILE NUMBER
N
N
Cardinal Investments, Inc.
8-47493
SEC FILE NUMBER
N
N
Blakeslee and Blakeslee Inc.
8-32071
SEC FILE NUMBER
N
N
First National Bank Alaska
25490089V5DJHFQMOA03
N
N
John Hancock Life Insurance Company
QQ0OZ8J9C4B5QT1XDG31
CA
N
Y
Allegiance Capital, L.L.C.
8-52978
SEC FILE NUMBER
N
N
ICMA-RC Services, Inc.
8-40268
SEC FILE NUMBER
N
N
Sigma Financial Corporation
8-30466
SEC FILE NUMBER
N
N
TransAm Securities, Inc.
8-37065
SEC FILE NUMBER
N
N
Avisen Securities, Inc.
8-65833
SEC FILE NUMBER
N
N
Liberty Partners Financial Services, LLC
8-66335
SEC FILE NUMBER
N
N
U.S. Bancorp Investments, Inc.
H85Z6XZP8B10ES0M2G89
N
N
Bolton Securities Corp.
8-68187
SEC FILE NUMBER
N
N
Global Brokerage Services, Inc.
8-47763
SEC FILE NUMBER
N
N
CIBC World Markets Corp.
549300445CON3DBMU275
N
N
David Lerner Associates, Inc.
8-20746
SEC FILE NUMBER
N
N
L.S.Y., Inc.
8-17613
SEC FILE NUMBER
N
N
Rothschild Investment Corporation
8-16429
SEC FILE NUMBER
N
N
Emerson Equity LLC
8-66296
SEC FILE NUMBER
N
N
DMK Advisor Group, Inc.
8-49279
SEC FILE NUMBER
N
N
Duncan-Williams, Inc.
25490045VHLUZ7H92Y27
N
N
Oak Tree Securities, Inc.
8-36138
SEC FILE NUMBER
N
N
Arkadios Capital
8-69729
SEC FILE NUMBER
N
N
L.O. Thomas & Co. Inc.
8-40875
SEC FILE NUMBER
N
N
Sage, Rutty & Co., Inc.
8-00533
SEC FILE NUMBER
N
N
Hightower Securities, LLC
549300F189LKWDZLP954
N
N
International Assets Advisory, LLC
254900ARMOHQNS987S09
N
N
Somerset Securities, Inc.
8-11539
SEC FILE NUMBER
N
N
McNally Financial Services Corporation
8-65388
SEC FILE NUMBER
N
N
Vorpahl Wing Securities
8-51823
SEC FILE NUMBER
N
N
Advisory Group Equity Services, Ltd.
8-32155
SEC FILE NUMBER
N
N
Benefit Trust Company
N/A
N
Y
Paradigm Equities, Inc.
8-45593
SEC FILE NUMBER
N
N
Wescom Financial Services, LLC
8-66189
SEC FILE NUMBER
N
N
General Securities Corp.
8-31654
SEC FILE NUMBER
N
N
Ascensus Financial Services, LLC
8-67891
SEC FILE NUMBER
N
N
New England Pension Plan Systems, LLC
N/A
N
Y
Santander Securities LLC
8-49571
SEC FILE NUMBER
N
N
Sovereign Legacy Securities, Inc.
8-00621
SEC FILE NUMBER
N
N
Securities Research, Inc.
8-23699
SEC FILE NUMBER
N
N
Rehmann Financial Network
8-69134
SEC FILE NUMBER
N
N
Intercarolina Financial Services, Inc.
8-37519
SEC FILE NUMBER
N
N
FSC Securities Corporation
8-21770
SEC FILE NUMBER
N
N
Titleist Asset Management, Ltd.
8-65859
SEC FILE NUMBER
N
N
DWS Distributors, Inc.
5299007T18XBURKJ1V64
N
N
Prospera Financial Services, Inc.
8-28164
SEC FILE NUMBER
N
N
BNP Paribas Securities Corp
RCNB6OTYUAMMP879YW96
N
N
American Independent Securities Group, LLC
8-66905
SEC FILE NUMBER
N
N
Harbour Investments, Inc.
8-37373
SEC FILE NUMBER
N
N
TrustFirst, Inc.
8-48509
SEC FILE NUMBER
N
N
Oriental Financial Services Corp.
8-44516
SEC FILE NUMBER
N
N
WBB Securities, LLC
8-53660
SEC FILE NUMBER
N
N
TFS Securities, Inc.
8-38377
SEC FILE NUMBER
N
N
Ameriprise Financial Services, Inc.
8-16791
SEC FILE NUMBER
N
N
Lincoln Investment Planning, Inc.
8-14354
SEC FILE NUMBER
N
N
Bankers Life Securities, Inc.
549300YBBLCDP5GDSH97
N
N
DFPG Investments, Inc.
8-68730
SEC FILE NUMBER
N
N
Stephens Inc.
213800LH6T9XDYZCA534
N
N
Equitable Advisors, LLC
8-17883
SEC FILE NUMBER
N
N
Multiple Financial Services, Inc.
8-52017
SEC FILE NUMBER
N
N
Securities Equity Group
8-51706
SEC FILE NUMBER
N
N
Centennial Securities Company, LLC
8-23406
SEC FILE NUMBER
N
N
1st Discount Brokerage, Inc.
8-48557
SEC FILE NUMBER
N
N
SagePoint Financial, Inc.
8-66771
SEC FILE NUMBER
N
N
Devenir, LLC
8-65837
SEC FILE NUMBER
N
N
OneAmerica Securities, Inc.
8-15009
SEC FILE NUMBER
N
N
Wintrust Investments, LLC
8-00484
SEC FILE NUMBER
N
N
Cutter & Company Brokerage, Inc.
8-39590
SEC FILE NUMBER
N
N
Mutual Trust Co. of America Securities
254900PUBUB7IS4GNY27
N
N
R. Seelaus & Co., Inc.
2138004J7AJDLCOJYA06
N
N
Proequities, Inc.
8-32590
SEC FILE NUMBER
N
N
VOYA Investments Distributors, LLC
8-48020
SEC FILE NUMBER
N
N
Maplewood Investment Advisors, Inc.
8-52221
SEC FILE NUMBER
N
N
D.H. Hill Securities LLP
8-49475
SEC FILE NUMBER
N
N
UBATCO & Co.
N/A
N
Y
Smith, Moore & Co.
8-27480
SEC FILE NUMBER
N
N
Tocqueville Securities L.P.
8-42223
SEC FILE NUMBER
N
N
Union Capital Company
8-53127
SEC FILE NUMBER
N
N
Sisung Securities Corporation
254900KJI3EYKKPWT989
N
N
Packerland Brokerage Services, Inc.
8-47572
SEC FILE NUMBER
N
N
Place Trade Financial, Inc.
8-65915
SEC FILE NUMBER
N
N
Western Equity Group, Inc.
8-66403
SEC FILE NUMBER
N
N
D.A. Davidson & Co.
549300094RQ5A7DYLF51
N
N
TD Private Client Wealth LLC
8-69105
SEC FILE NUMBER
N
N
Goldman Sachs & Co. LLC
FOR8UP27PHTHYVLBNG30
N
N
Apex Clearing Corporation
5493000418CITRF5BO80
N
N
USAA Investment Management Company
549300VSPLQ1XBNPD479
N
N
Rodgers Brothers, Inc.
8-33475
SEC FILE NUMBER
N
N
Capital Investment Brokerage, Inc.
8-49118
SEC FILE NUMBER
N
N
Hancock Whitney Corporation
549300GRNBWY8HIICT41
N
N
BOK Financial Securities, Inc.
2Q57THMJB7JL1206V012
N
N
Stonecrest Capital Markets, Inc.
8-48754
SEC FILE NUMBER
N
N
Ladenburg Thalman & Co. Inc.
2549000V3L2KK4L76W91
N
N
Coldstream Securities, Inc.
8-51549
SEC FILE NUMBER
N
N
Gregory J. Schwartz & Co., Inc.
8-20955
SEC FILE NUMBER
N
N
Harvest Financial Corporation
8-26037
SEC FILE NUMBER
N
N
Fidelity Brokerage Services LLC
549300OQFQ4NFIOD5695
N
Y
Diversified Resources, LLC
8-45497
SEC FILE NUMBER
N
N
Landaas & Company
8-51826
SEC FILE NUMBER
N
N
A.G.P/Alliance Global Partners
549300QJQ08RJGC7D885
N
N
Centaurus Financial, Inc.
8-45185
SEC FILE NUMBER
N
N
Southeast Investments, N.C., Inc.
8-50127
SEC FILE NUMBER
N
N
Sanctuary Securities, Inc.
2549007WBAL2Z578XQ34
N
N
USA Financial Securities Corporation
8-52342
SEC FILE NUMBER
N
N
Sanders Morris Harris Inc.
254900ZNPYV465D1NZ47
N
N
Madison Avenue Securities, Inc.
8-40426
SEC FILE NUMBER
N
N
Integral Financial LLC
2549000I2CBZTJRHG786
N
N
Lincoln Financial Securities Corporation
8-14609
SEC FILE NUMBER
N
N
Cary Street Partners LLC
8-66085
SEC FILE NUMBER
N
N
SWBC Investment Services, LLC
254900YIJJWABADWZ455
N
N
Access Investments, Inc.
8-49750
SEC FILE NUMBER
N
N
ValMark Securities, Inc.
8-45463
SEC FILE NUMBER
N
N
Robert W. Baird & Co. Incorporated
549300772UJAHRD6LO53
N
N
Moloney Securities Co., Inc.
8-48326
SEC FILE NUMBER
N
N
The Lawrence D. Vitez Corp. DBA Consolidated Securities
8-48642
SEC FILE NUMBER
N
N
LifeMark Securities Corp.
8-33478
SEC FILE NUMBER
N
N
Prudential Insurance Company of America
Y574KRZ6V5A7UBU45C31
N
Y
Citizens Bank
254900MFWISYMJ04ZE93
N
N
FSB Warner Financial, Inc.
8-44865
SEC FILE NUMBER
N
N
PTS Brokerage, LLC
8-65173
SEC FILE NUMBER
N
N
Moors & Cabot, Inc.
8-23060
SEC FILE NUMBER
N
N
Callaway Financial Services, Inc.
8-52474
SEC FILE NUMBER
N
N
Crescent Securities Group
8-53457
SEC FILE NUMBER
N
N
Colliers Securities LLC
549300OD1C69R64IVC38
N
N
Feltl & Company
8-18435
SEC FILE NUMBER
N
N
Investment Security Corporation
8-51832
SEC FILE NUMBER
N
N
American Financial Associates, Inc.
8-44065
SEC FILE NUMBER
N
N
Guardian Insurance & Annuity Company, Inc., The
TGIU5N0SIMULU6I57R64
N
Y
Westco Investment Corp.
8-38452
SEC FILE NUMBER
N
N
Voya Financial Partners, LLC
8-13987
SEC FILE NUMBER
N
N
SKA Securities, Inc.
8-53366
SEC FILE NUMBER
N
N
Kestra Investment Services, LLC
8-49672
SEC FILE NUMBER
N
N
Omni Financial Securities
8-44034
SEC FILE NUMBER
N
N
Allstate Financial Services, LLC
8-36365
SEC FILE NUMBER
N
N
Janney Montgomery Scott LLC
549300QQRY1JCFQHYS08
N
N
Charles Schwab & Co., Inc.
549300ZP8XN77GK5BS04
N
Y
Regions Bank
EQTWLK1G7ODGC2MGLV11
N
N
Laidlaw & Company (UK) Ltd.
8-53731
SEC FILE NUMBER
GB
N
N
SECU Brokerage Services
8-37927
SEC FILE NUMBER
N
N
SecureVest Financial Group
254900LG3HPQV4J0WH27
N
N
Neuberger Berman LLC
PWDS3JJ631D5N70JXG61
N
N
First Command Financial Planning, Inc.
8-07072
SEC FILE NUMBER
N
N
Crown Capital Securities, L.P.
8-17264
SEC FILE NUMBER
N
N
Great Pacific Securities
254900QRZ90SUI8C4W84
N
N
MML Investors Services, LLC
8-27250
SEC FILE NUMBER
N
N
Wells Fargo Bank, N.A.
KB1H1DSPRFMYMCUFXT09
N
N
Profinancial, Inc.
8-32026
SEC FILE NUMBER
N
N
St. Bernard Financial Services, Inc.
8-47566
SEC FILE NUMBER
N
N
Farmers Financial Solutions, LLC
8-52361
SEC FILE NUMBER
N
N
G. W. & Wade Asset Management Company, LLC
8-42013
SEC FILE NUMBER
N
N
Fairport Capital, Inc.
8-32162
SEC FILE NUMBER
N
N
International Money Management Group, Inc.
8-30417
SEC FILE NUMBER
N
N
Barclays Capital Inc.
AC28XWWI3WIBK2824319
N
N
Bolton Global Capital
2549009M08YVOG46LO79
N
N
Folio Investments, Inc.
8-52009
SEC FILE NUMBER
N
N
McDonald Partners LLC
549300PEHG3UH7FAY193
N
N
Intervest International Equities Corporation
8-38156
SEC FILE NUMBER
N
N
Larson Financial Securities, LLC
8-68456
SEC FILE NUMBER
N
N
Vanguard Group, Inc., The
5493002789CY3L0CJP65
N
Y
Avantax Wealth Management, Inc
8-29533
SEC FILE NUMBER
N
N
MWA Financial Services Inc.
8-53255
SEC FILE NUMBER
N
N
Watermark Securities, Inc.
8-43902
SEC FILE NUMBER
N
N
American Financial Securities, Inc.
8-53205
SEC FILE NUMBER
N
N
Rockefeller Financial, LLC
8-70054
SEC FILE NUMBER
N
N
BNY Mellon Securities Corporation
8-13801
SEC FILE NUMBER
N
N
GWN Securities Inc.
8-66185
SEC FILE NUMBER
N
N
Morgan Stanley Smith Barney LLC
7PDDXEMZ0ZV0CEDU4D16
N
N
BCG Securities, Inc.
8-12680
SEC FILE NUMBER
N
N
N.E. Private Client Advisors, Ltd.
8-66968
SEC FILE NUMBER
N
N
Deutsche Bank Securities Inc.
9J6MBOOO7BECTDTUZW19
N
N
K. W. Chambers & CO.
8-10533
SEC FILE NUMBER
N
N
NYLife Distributors LLC
8-46655
SEC FILE NUMBER
N
N
Harbor Investment Advisory, LLC
8-68334
SEC FILE NUMBER
N
N
Weston Securities Corporation
8-32664
SEC FILE NUMBER
N
N
L. B. Fisher & Company
8-21023
SEC FILE NUMBER
N
N
Syndicated Capital, Inc.
8-44162
SEC FILE NUMBER
N
N
Kovack Securities Inc.
25490070RG17Z4I70I82
N
N
Nationwide Financial Services, Inc.
5493001H7AZNDS6BKJ36
N
Y
Gill Capital Partners, LLC
8-30563
SEC FILE NUMBER
N
N
TIAA-CREF Individual & Institutional Services, LLC
8-44454
SEC FILE NUMBER
N
N
Variable Investment Advisors, Inc.
8-50699
SEC FILE NUMBER
N
N
Genworth Life Insurance Company of New York
E5VAS7I8GX5B0SDBX010
N
Y
Andbanc Brokerage, LLC
213800E4CWGFMCDQZ792
N
N
People's Securities, Inc.
8-29667
SEC FILE NUMBER
N
N
Gerwin Group, Inc.
8-40282
SEC FILE NUMBER
N
N
SG Americas Securities, LLC
549300F35UE0BOM1WJ55
N
N
American National Trust And Investment Management Company
028-00344
SEC FILE NUMBER
N
N
Amegy Investments, Inc. (Zions)
8-65399
SEC FILE NUMBER
N
N
Ballew Investments, Inc.
8-45660
SEC FILE NUMBER
N
N
The Leaders Group, Inc.
8-47639
SEC FILE NUMBER
N
N
H. Beck, Inc.
8-31165
SEC FILE NUMBER
N
N
Woodlands Securities Corporation
8-39700
SEC FILE NUMBER
N
N
Logan Group Securities
8-48995
SEC FILE NUMBER
N
N
Globalink Securities, Inc.
8-44509
SEC FILE NUMBER
N
N
Interactive Brokers LLC
50OBSE5T5521O6SMZR28
N
N
NBC Securities, Inc.
254900GIP7RJQGHH5S19
N
N
Reliance Trust Company
549300NV8FSQRNOUQO50
N
Y
Lincoln Financial Advisors Corporation
8-14685
SEC FILE NUMBER
N
N
Sentinel Securities, Inc.
8-53142
SEC FILE NUMBER
N
N
Ameritas Investment Corp.
549300913B54XKSRM258
N
N
XP Securities, LLC
549300HDFLS7P433PO89
N
N
Western Growers Financial Services, Inc.
8-53458
SEC FILE NUMBER
N
N
FinTrust Brokerage Services, LLC
8-49514
SEC FILE NUMBER
N
N
Lebenthal Financial Services, Inc
8-67140
SEC FILE NUMBER
N
N
Navy Federal Brokerage Services, LLC
8-67161
SEC FILE NUMBER
N
N
Zions Direct, Inc.
8-35721
SEC FILE NUMBER
N
N
FMSBonds, Inc.
549300TUTBK58NSF2517
N
N
Insigneo Securities, LLC
254900P4TTO6PU1VDH88
N
N
Park Avenue Securities LLC
8-51324
SEC FILE NUMBER
N
N
Boenning & Scattergood, Inc.
2549005FER5A7K7II574
N
N
Mid-Atlantic Clearing & Settlement Corp.
8-47758
SEC FILE NUMBER
N
N
Nest Investments BD, LLC
8-70117
SEC FILE NUMBER
N
N
Riversource Distributors, Inc.
8-67196
SEC FILE NUMBER
N
N
Hilltop Securities, Inc.
549300IXU82PMU6XZT45
N
N
Raymond James Financial Services, Inc.
RGUZHJ05YTITL6D76949
N
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Lesko Securities Inc.
8-26408
SEC FILE NUMBER
N
N
Stifel, Nicolaus & Company, Incorporated
5WUVMA08EYG4KEUPW589
N
Y
S.L. Reed & Company
8-49178
SEC FILE NUMBER
N
N
CapFinancial Securities, LLC
8-65870
SEC FILE NUMBER
N
N
White Mountain Capital, LLC
8-52572
SEC FILE NUMBER
N
N
McLaughlin Ryder Investments, Inc.
8-67911
SEC FILE NUMBER
N
N
Access Financial Group, Inc.
8-46065
SEC FILE NUMBER
N
N
Brooklight Place Securities, Inc.
8-32673
SEC FILE NUMBER
N
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Veritas Independent Partners, LLC
8-69363
SEC FILE NUMBER
N
N
First Honolulu Securities, Inc.
8-23919
SEC FILE NUMBER
N
N
Akar Capital Management, Inc.
8-28026
SEC FILE NUMBER
N
N
Inverness Securities, LLC
8-66278
SEC FILE NUMBER
N
N
Capital Portfolio Management, Inc.
8-44225
SEC FILE NUMBER
N
N
Boreal Capital Securities LLC
549300NMHK6HTSKCG696
N
N
John Hancock Life Insurance Company of New York
5493007RYG4GXIKSQI18
CA
N
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G.A. Repple & Company
8-35315
SEC FILE NUMBER
N
N
Principal Securities, Inc.
8-13975
SEC FILE NUMBER
N
N
Ausdal Financial Partners, Inc.
8-24519
SEC FILE NUMBER
N
N
CGIS Securities LLC
254900GOI7SHVRZ5BG90
N
N
Cuso Financial Services, L.P.
8-49711
SEC FILE NUMBER
N
N
Fieldpoint Private Securities, LLC
8-37105
SEC FILE NUMBER
N
N
Voya Retirement Insurance and Annuity Company
OK3MKCDYPD4NN6QDGK18
N
Y
UBS AG, New York Branch
BFM8T61CT2L1QCEMIK50
N
N
Alexander Capital, L.P.
8-48957
SEC FILE NUMBER
N
N
NTB Financial Corporation
8-21884
SEC FILE NUMBER
N
N
Wiley Bros.-Aintree Capital, LLC
8-03774
SEC FILE NUMBER
N
N
Silver Oak Securities, Incorporated
8-51601
SEC FILE NUMBER
N
N
Alight Financial Solutions LLC
8-47344
SEC FILE NUMBER
N
N
Herbert J. Sims & Co. Inc.
254900SV6UESQBS8XP98
N
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Mutual Funds Associates, Inc.
8-13026
SEC FILE NUMBER
N
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Regulus Advisors, LLC
8-68275
SEC FILE NUMBER
N
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Oberweis Securities, Inc.
5493008EZH6DO1631P71
N
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World Capital Brokerage, Inc.
8-06805
SEC FILE NUMBER
N
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SunTrust Investment Services, Inc.
8-35355
SEC FILE NUMBER
N
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Loria Financial Group, LLC
8-52128
SEC FILE NUMBER
N
N
Insight Securities, Inc.
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N
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HSBC Securities (USA), Inc.
CYYGQCGNHMHPSMRL3R97
N
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CFD Investments, Inc.
8-41727
SEC FILE NUMBER
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Trustmont Financial Group, Inc.
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SEC FILE NUMBER
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Avondale Partners, LLC
254900799PKXEPTDRJ40
N
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Infinex Investments, Inc.
8-46661
SEC FILE NUMBER
N
N
TCFG Wealth Management, LLC
8-69089
SEC FILE NUMBER
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Independent Brokerage Solutions LLC
8-68549
SEC FILE NUMBER
N
N
AqGen Ascensus, Inc.
549300K5MHNFPEU2RK82
N
Y
Prudential Investment Management Services LLC
8-36540
SEC FILE NUMBER
N
N
Wright Investors' Service Distributors, Inc.
8-29579
SEC FILE NUMBER
N
N
John Hancock Trust Company LLC
549300W205WZCFZS6R51
N
Y
Lion Street Financial, LLC
8-69183
SEC FILE NUMBER
N
N
Fidelity Investments Life
54930024AKTQGTIV1P93
N
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VOYA Financial Advisors, LLC
8-46451
SEC FILE NUMBER
N
N
Money Concepts Capital Corp.
8-29671
SEC FILE NUMBER
N
N
Independent Financial Group, LLC
254900KYWXHSQ7RMNP09
N
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Portsmouth Financial Services
8-30097
SEC FILE NUMBER
N
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Hunter Associates, Inc.
8-44779
SEC FILE NUMBER
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Herndon Plant Oakley, LTD
8-50912
SEC FILE NUMBER
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Roberts & Ryan Investments Inc.
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N
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Parkland Securities, LLC
8-53482
SEC FILE NUMBER
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Polar Investment Counsel, Inc.
8-50039
SEC FILE NUMBER
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Consolidated Financial Investments, Inc.
8-37004
SEC FILE NUMBER
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Voya Institutional Plan Services, LLC
N/A
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Allegheny Investments, Ltd.
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SEC FILE NUMBER
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Woodbury Financial Services, Inc.
8-13846
SEC FILE NUMBER
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Sabadell Securities USA, Inc.
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N
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World Equity Group, Inc.
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N
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CBIZ Financial Solutions, Inc.
8-34205
SEC FILE NUMBER
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Equity Services, Inc.
8-14286
SEC FILE NUMBER
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Colorado Financial Service Corporation
8-52817
SEC FILE NUMBER
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Federated Securities, Inc.
8-15644
SEC FILE NUMBER
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Gold Coast Securities, Inc.
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SEC FILE NUMBER
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Great Point Capital LLC
254900HN4IGCO53HDK23
N
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Tradition Securities and Derivatives Inc.
WRYEFMSVQCH0EMD08461
N
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Vanderbilt Securities, LLC
8-16712
SEC FILE NUMBER
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JPMorgan Chase Bank, N.A.
7H6GLYDRUGQFU57RNE97
N
N
Exeter Trust Company
028-04279
SEC FILE NUMBER
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Country Capital Management Company
8-12645
SEC FILE NUMBER
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Heim, Young & Associates, Inc.
8-48500
SEC FILE NUMBER
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CNR Securities LLC
8-36759
SEC FILE NUMBER
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Citizens Securities, Inc.
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N
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J.P. Morgan Securities LLC
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N
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Principled Advisors, Inc.
8-66451
SEC FILE NUMBER
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North South Capital, LLC
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N
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Hartford Funds Management Company, LLC
801-77209
SEC FILE NUMBER
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Security Distributors, Inc.
8-10781
SEC FILE NUMBER
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B. Riley Wealth Management Holdings, Inc
8-31206
SEC FILE NUMBER
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Alliant Securities, Inc. Turner, Nord, Kienbaum
8-23305
SEC FILE NUMBER
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Shareholders Service Group, Inc.
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SEC FILE NUMBER
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Northland Securities, Inc.
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TimeCapital Securities Corporation
8-18248
SEC FILE NUMBER
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Securities America, Inc.
8-26602
SEC FILE NUMBER
N
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Sycamore Financial Group
8-30302
SEC FILE NUMBER
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Investment Placement Group
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N
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Capital Synergy Partners, Inc.
8-68060
SEC FILE NUMBER
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J.W. Cole Financial, Inc.
8-65698
SEC FILE NUMBER
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Chapin Davis Inc
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SEC FILE NUMBER
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Corinthian Partners, L.L.C.
8-48461
SEC FILE NUMBER
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Ustocktrade Securities, Inc.
8-33132
SEC FILE NUMBER
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Halliday Financial, LLC
8-45529
SEC FILE NUMBER
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Highlander Capital Group, Inc.
8-37169
SEC FILE NUMBER
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RNR Securities, L.L.C.
8-50366
SEC FILE NUMBER
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T. Rowe Price Investment Services, Inc.
8-25130
SEC FILE NUMBER
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Pershing, LLC
8-17574
SEC FILE NUMBER
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Cetera Investment Services, LLC
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Eagles Coast Capital
8-70137
SEC FILE NUMBER
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TCAdvisors Network Inc.
8-46909
SEC FILE NUMBER
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Feldstein Financial Group, LLC
8-53388
SEC FILE NUMBER
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Navaid Financial Services, Inc.
8-49897
SEC FILE NUMBER
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Raymond James & Associates, Inc.
U4ONQX15J3RO8XCKE979
N
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Liberty Capital Investment Corporation
8-42051
SEC FILE NUMBER
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Arive Capital Markets
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MSEC, LLC
8-68627
SEC FILE NUMBER
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Invex, Inc.
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H. C. Denison Co.
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SEC FILE NUMBER
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T.S. Phillips Investments, Inc.
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SEC FILE NUMBER
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Dinosaur Financial Group, LLC
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Investment Planners, Inc.
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SEC FILE NUMBER
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Royal Alliance Associates, Inc.
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SEC FILE NUMBER
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Capital Institutional Services, Inc.
54930061X8RDWFDJIS05
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Wells Fargo Securities, LLC
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SEC FILE NUMBER
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State Farm VP Management Corp
8-50128
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SCF Securities, Inc.
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SEC FILE NUMBER
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Cetera Advisors LLC
8-26892
SEC FILE NUMBER
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Saxony Securities, Inc.
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SEC FILE NUMBER
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The Jeffrey Matthews Financial Group, L.L.C.
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IFP Securities
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Capital Investment Group, Inc.
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SEC FILE NUMBER
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Coker & Palmer, Inc.
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M. S. Howells & Co.
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SEC FILE NUMBER
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Abacus Investments, Inc.
8-46571
SEC FILE NUMBER
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N
TD Ameritrade Trust Company
028-15163
SEC FILE NUMBER
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RBC Capital Markets, LLC
549300LCO2FLSSVFFR64
N
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ACP Securities, LLC
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N
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Aufhaser Securities, Inc.
8-48786
SEC FILE NUMBER
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Valley National Investments, Inc.
8-34427
SEC FILE NUMBER
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Actinver Securities, Inc.
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N
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State Street Bank and Trust Company
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Comerica Securities, Inc.
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L.M. Kohn & Company
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World Choice Securities, Inc.
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Arvest Investments, Inc.
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SEC FILE NUMBER
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Symphonic Securities LLC
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SEC FILE NUMBER
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Brighton Securities Corp.
8-14599
SEC FILE NUMBER
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Hand Securities, Inc.
8-51001
SEC FILE NUMBER
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Gardner Financial Services, Inc.
8-38631
SEC FILE NUMBER
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Hudson Heritage Capital Management, Inc.
8-50648
SEC FILE NUMBER
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American Century Investment Services, Inc.
8-35220
SEC FILE NUMBER
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Bankoh Investment Services, Inc.
8-44201
SEC FILE NUMBER
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Signal Securities, Inc.
8-32948
SEC FILE NUMBER
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Benefit Plans Administrative Services, Inc.
N/A
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Y
Aon Benfield Securities, Inc.
5493002ME0O127QJJG03
N
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Brokers International Financial Services, LLC
8-67239
SEC FILE NUMBER
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Girard Investment Services, LLC
8-14145
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Independence Capital Co., Inc.
8-41331
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Investment Network Inc.
8-66036
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Integrity Investments, Inc.
8-45302
SEC FILE NUMBER
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T. Rowe Price Retirement Plan Services, Inc.
084-06219
SEC FILE NUMBER
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BBVA Securities Inc.
549300RJFN0Z663VE860
N
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Grant Williams L.P.
8-51249
SEC FILE NUMBER
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American Capital Partners, LLC
254900I8NH46ZJJ4Z956
N
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USI Securities, Inc.
8-50429
SEC FILE NUMBER
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PNC Investments, LLC
8-66195
SEC FILE NUMBER
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Cabot Lodge Securities, LLC
8-69009
SEC FILE NUMBER
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Impact U. Investments, LLC
8-65527
SEC FILE NUMBER
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KCD Financial, Inc.
8-66005
SEC FILE NUMBER
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CUNA Brokerage Services, Inc.
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Umpqua Investments, Inc.
8-02915
SEC FILE NUMBER
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Hantz Financial Services, Inc.
8-51291
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American Portfolios Financial Services, Inc.
8-37085
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Century Securities Associates, Inc.
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SEC FILE NUMBER
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Westport Resources Investment Services, Inc.
8-40904
SEC FILE NUMBER
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Nations Financial Group, Inc.
8-50588
SEC FILE NUMBER
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Cannon Securities, Inc.
8-68437
SEC FILE NUMBER
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Financial Northeastern Securities, Inc.
549300QRRF2NAV5G3869
N
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VectorGlobal WMG
254900K52VRYBHUGBC64
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Leigh Baldwin & Co., LLC
8-48385
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N
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Horace Mann Life Insurance Co.
5493000HR2JKKNH2FL09
N
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BAC Florida Investments
254900CAF9OPVE8VT408
N
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Hennion & Walsh, Inc.
8-41988
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Allen C Ewing & Co.
8-42393
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Nelson Ivest Brokerage Services, Inc.
8-26448
SEC FILE NUMBER
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First Horizon Advisors, Inc.
8-35061
SEC FILE NUMBER
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Amerant Investments, Inc.
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American Trust Investment Services, Inc.
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SEC FILE NUMBER
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Huntleigh Securities Corporation
8-21893
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Chauner Securities, Inc.
8-33980
SEC FILE NUMBER
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Classic LLC
8-68981
SEC FILE NUMBER
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Gradient Securities, LLC
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Capitol Securities Management, Inc.
8-30353
SEC FILE NUMBER
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Hancock Whitney Investment Services, Inc.
8-49106
SEC FILE NUMBER
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Planmember Securities Corporation
8-25065
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Synovus Securities, Inc.
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N
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Snowden Account Services, Inc.
254900WVSS0BX602UF45
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Nationwide Planning Associates Inc.
8-45310
SEC FILE NUMBER
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Merrill Lynch, Pierce, Fenner & Smith Incorporated
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Lincoln Douglas Investments LLC
8-68728
SEC FILE NUMBER
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First Heartland Capital, Inc.
8-46008
SEC FILE NUMBER
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N
Purshe Kaplan Sterling Investments
8-46844
SEC FILE NUMBER
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Northern Capital Securities Corporation
254900ZANH7XTB94LS53
N
N
Integrated Financial Planning Services
8-35120
SEC FILE NUMBER
DE
N
N
Griffinest Asia Securities, LLC
8-66571
SEC FILE NUMBER
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Talcott Resolution Life Insurance Company
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N
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Infinity Securities, Inc.
8-67647
SEC FILE NUMBER
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Signature Securities Group Corporation
8-52697
SEC FILE NUMBER
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Jacques Financial, LLC
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SEC FILE NUMBER
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J.P. Morgan Institutional Investments Inc.
8-52182
SEC FILE NUMBER
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American Global Wealth Management, Inc.
8-21584
SEC FILE NUMBER
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Dempsey Lord Smith, LLC
8-67469
SEC FILE NUMBER
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American United Life Insurance Company
549300T82H2DXU80LV98
N
Y
Bruderman Brothers, LLC
8-51974
SEC FILE NUMBER
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SunTrust Bank
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N
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Digital Retirement Solutions, Inc.
N/A
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American Wealth Management
8-41807
SEC FILE NUMBER
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Securian Financial Services, Inc.
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Hazlett, Burt & Watson, Inc.
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Cresap, Inc.
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SEC FILE NUMBER
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Glen Eagle Advisors LLC
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SEC FILE NUMBER
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Advanced Advisor Group, LLC
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SEC FILE NUMBER
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Arlington Securities, Inc.
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Ceros Financial Services, Inc.
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Finance 500, Inc.
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Itau International Securities, Inc.
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Peak Brokerage Services, LLC
8-68829
SEC FILE NUMBER
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Arque Capital, Ltd.
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SEC FILE NUMBER
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Chalice Capital Partners, LLC
8-69967
SEC FILE NUMBER
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United Brokerage Services, Inc.
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SEC FILE NUMBER
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Allianz Life Financial Services, LLC
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The Strategic Financial Alliance, Inc.
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Massachusetts Mutual Life Insurance Company
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Rogan & Associates, Inc.
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SEC FILE NUMBER
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Nicol Investors Corporation
8-65566
SEC FILE NUMBER
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First Manhattan Co.
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N
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Morgan Stanley & Co. LLC
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Triad Advisors, Inc.
8-42007
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Mercer HR Services, LLC
N/A
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Vision Financial Markets LLC
549300J0X8HK9GUADL55
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Vanguard Marketing Corporation
8-21570
SEC FILE NUMBER
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MidWestern Securities Trading Company, LLC
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First Allied Securities, Inc.
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National Securities Corp.
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Fidelity Investments Institutional Operations Company, Inc.
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Cadaret, Grant & Co., Inc.
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Pruco Securities, LLC.
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Alight Solutions LLC
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NorthWestern Mutual Investment Services, LLC
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Coastal Equities, Inc.
8-40822
SEC FILE NUMBER
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Fifth Third Bank
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N
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First Southern, LLC
8-69733
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Genworth Life & Annuity Insurance Company
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Axiom Capital Management, Inc.
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N
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William Blair & Company L.L.C.
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Quincy Cass Associates, Incorporated
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Hefren-Tillotson, Inc.
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MMA Securities LLC
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Harold W. Dance Inc.
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CoreCap Investments, Inc.
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Standard Insurance Company
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Ascensus Broker Dealer Services, Inc.
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Northern Trust Securities, Inc.
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Perryman Securities, Inc.
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The Oak Ridge Financial Services Group, Inc.
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Etico Partners, LLC
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Benchmark Investments, Inc.
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Smith, Brown & Groover, Inc.
8-13079
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Great-West Financial Retirement Plan Services, LLC
N/A
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Wall Street Access
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Saturna Brokerage Services, Inc.
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ING Financial Markets LLC
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Rhodes Securities, Inc.
8-37689
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First Kentucky Securities Corporation
8-22224
SEC FILE NUMBER
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Nationwide Securities, LLC
8-12500
SEC FILE NUMBER
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Broadridge Business Process Outsourcing, LLC
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SEC FILE NUMBER
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Buell Securities Corp
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Lantern Investments, Inc.
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Calton & Associates, Inc.
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MGO Securities Corp.
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The Garbacz Group Inc.
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Investors Brokerage of Texas, Ltd.
8-28644
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Keel Point Capital, LLC
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Sunstreet Securities, LLC
8-67541
SEC FILE NUMBER
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Searle & Co.
8-28600
SEC FILE NUMBER
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United States Life Insurance Company in the City of New York
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Trade-PMR Inc.
8-51390
SEC FILE NUMBER
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E*Trade Securities
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SEC FILE NUMBER
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Charles Schwab Bank
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Chelsea Morgan Securities, Inc.
8-51916
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Landolt Securities, Inc.
254900B2XEQ2HZGN7K90
N
N
Abacus International Capital Corp.
8-46418
SEC FILE NUMBER
N
N
Joseph Gunnar & Co. LLC
2549001XBRI5XQ0ZDA12
N
N
Invicta Capital, LLC
549300QY87LR84LRLL97
N
N
Gladowsky Capital Management Corp.
8-51017
SEC FILE NUMBER
N
N
Fiduciary Trust International
N1YKEWO2IYPRS4742F57
N
N
Jefferies, LLC
58PU97L1C0WSRCWADL48
N
N
Fifth Third Securities, Inc.
5493003IMO3TYX51WE43
N
N
Marsco Investment Corporation
8-36754
SEC FILE NUMBER
N
N
Schlitt Investor Services, Inc.
8-34202
SEC FILE NUMBER
N
N
First Bankers' Banc Securities, Inc.
549300XZ7YYT3Y0SU530
N
N
TD Ameritrade, Inc.
CWQYQU0TV2NLMLZKNB44
N
Y
Essex Securities LLC
8-51472
SEC FILE NUMBER
N
N
Portfolio Resources Group, Inc.
549300TKCYL1XNXOL896
N
N
Amuni Financial, Inc
8-25338
SEC FILE NUMBER
N
N
Garden State Securities, Inc.
8-25790
SEC FILE NUMBER
N
N
PNC Bank, N.A.
AD6GFRVSDT01YPT1CS68
N
N
Camden Financial Services
8-37303
SEC FILE NUMBER
N
N
Wood (Arthur W.) Company, Inc.
8-03368
SEC FILE NUMBER
N
N
Cantella & Co., Inc.
254900Z33Q34HCFGHO19
N
N
Davenport & Company LLC
254900GN2SAXJGLMS075
N
N
Samuel A Ramirez & Co., Inc.
254900CBKVW7O2ENQA21
N
N
Ace Diversified Capital, Inc.
8-49555
SEC FILE NUMBER
N
N
Y
BLACKROCK ADVISORS, LLC
5493001LN9MRM6A35J74
Y
N
BNY Mellon Investment Servicing (US) Inc.
549300CFZQLI9QMJ1Z03
N
Y
N
BLACKROCK INVESTMENTS, LLC
008-48436
000038642
54930061FBHCKXL2G714
0.00000000
BLACKROCK EXECUTION SERVICES
008-48719
000039438
549300HFCRQ0NT5KY652
0.00000000
GOLDMAN SACHS & CO. LLC
008-00129
000000361
FOR8UP27PHTHYVLBNG30
78221.00000000
HSBC SECURITIES (USA) INC.
008-41562
000019585
CYYGQCGNHMHPSMRL3R97
75633.00000000
BOFA SECURITIES, INC.
008-69787
000283942
549300HN4UKV1E2R3U73
220946.00000000
CREDIT SUISSE SECURITIES (USA) LLC
008-00422
000000816
1V8Y6QCX6YMJ2OELII46
134437.00000000
CitiGroup Global Markets Inc.
008-08177
000007059
MBNUM2BPBDO7JBLYG310
91531.00000000
UBS Securities LLC
008-22651
000007654
T6FIZBDPKLYJKFCRVK44
188398.00000000
MORGAN STANLEY & CO. LLC
008-15869
000008209
9R7GPTSO7KV3UQJZQ078
122282.00000000
JEFFERIES LLC
008-15074
000002347
58PU97L1C0WSRCWADL48
82541.00000000
J.P. Morgan Securities LLC
008-35008
000000079
ZBUT11V806EZRVTWT807
105559.00000000
BMO Nesbitt Burns Securities Ltd.
008-50538
000044057
54JEJPF5RL5INKZRDO43
CA
128347.00000000
2117600.00000000
HSBC SECURITIES (USA), INC.
008-41562
000019585
CYYGQCGNHMHPSMRL3R97
1720213.00000000
MORGAN STANLEY & CO. LLC
008-15869
000008209
9R7GPTSO7KV3UQJZQ078
16574793.00000000
GREAT PACIFIC SECURITIES
008-44398
000029251
254900QRZ90SUI8C4W84
4196212.00000000
GUZMAN & COMPANY
008-38646
000021013
549300E7R8O8EHE8SN83
1345975.00000000
GOLDMAN SACHS & CO. LLC
008-00129
000000361
FOR8UP27PHTHYVLBNG30
7668054.00000000
BARCLAYS CAPITAL, INC.
008-41342
000019714
AC28XWWI3WIBK2824319
490752.00000000
BlackRock Liquidity Funds T-Fund
N/A
N/A
5493002L9DNZ83RX7V61
1865984135.00000000
BOFA SECURITIES, INC.
008-69787
000283942
549300HN4UKV1E2R3U73
255576.00000000
J.P. Morgan Securities LLC
008-35008
000000079
ZBUT11V806EZRVTWT807
6670646.00000000
1904906356.00000000
Y
4322823797.00000000
0.00000000
Committed
1750000000.00000000
N
N
N
N
BlackRock Infrastructure Sustainable Opportunities Fund
S000073490
549300MLDVQ0HAKPS503
Y
3
0
0
N/A
Y
N
Y
N
BlackRock Investment Management, LLC
5493006MRTEZZ4S4CQ20
Y
N
Revenue sharing split
Cash collateral reinvestment fee
Other
Rebates paid to borrowers
N/A
N/A
Rule 12d1-4 (17 CFR 270.12d1-4)
Rule 12d1-1 (17 CFR 270.12d1-1)
Rule 32a-4 (17 CFR 270.32a-4)
Rule 22d-1 (17 CFR 270.22d-1)
Y
Y
Y
N
BlackRock Advisors, LLC
801-47710
000106614
5493001LN9MRM6A35J74
N
BlackRock International Limited
801-51087
000106843
5493008YUGP5E01IBD70
Y
GB
N
BlackRock (Singapore) Limited
801-76926
000164594
549300UZGBQ6FHD2X729
Y
SG
BNY Mellon Investment Servicing (US) Inc.
084-01761
549300CFZQLI9QMJ1Z03
N
N
N
Intercontinental Exchange, Inc.
5493000F4ZO33MV32P92
N/A
N
N
EUROCLEAR BANK SA/NV
549300OZ46BRLZ8Y6F65
BE
N
Y
Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
The Bank of New York Mellon
HPFHU0OQ28E4N0NFVK49
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
UniCredit Bank Austria AG
D1HEB8VEU6D9M8ZUXG17
AT
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Banque Nationale de Belgique SA/NV
CGYP50QBGGR6NCHTSN68
BE
N
Y
Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Deutsche Bank (Malaysia) Berhad
529900DLWFR8HK7DR278
MY
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Citibanamex, Mexico City
5493004NLEXB8DK06353
MX
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Deutsche Bank (Istanbul)
789000N5SE3LWDK7OI11
TR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
CACEIS BANK SPAIN S.A.
95980020140005970915
ES
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
BNP Paribas Securities Services (Athens)
549300WCGB70D06XZS54
GR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
The Hongkong and Shanghai Banking Corporation Limited, Bangkok Branch
2HI3YI5320L3RW6NJ957
TH
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Skandinaviska Enskilda Banken AB, Helsinki Branch
F3JS33DEI6XQ4ZBPTN86
FI
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Skandinaviska Enskilda Banken AB, Stockholm
F3JS33DEI6XQ4ZBPTN86
SE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Skandinaviska Enskilda Banken AB, Oslo Branch
F3JS33DEI6XQ4ZBPTN86
NO
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
The Standard Bank of South Africa Limited
QFC8ZCW3Q5PRXU1XTM60
ZA
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Hongkong and Shanghai Banking Corporation
2HI3YI5320L3RW6NJ957
HK
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Skandinaviska Enskilda Banken AB, Copenhagen Branch
F3JS33DEI6XQ4ZBPTN86
DK
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Deutsche Bank AG, Seoul Branch
529900BSQ2VSODGMGR72
KR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Citibank N.A., Brazilian Branch
1P0UUG7LC1S92QTNHG39
BR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Euroclear Nederland (Netherlands)
549300CBNW05DILT6870
NL
N
Y
Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Deutsche Bank AG, Manila Branch
7LTWFZYICNSX8D621K86
PH
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
The Hongkong and Shanghai Banking Corporation Limited, Singapore Branch
2HI3YI5320L3RW6NJ957
SG
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Euroclear France
54930060MY6S68NEUP16
FR
N
Y
Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Clearstream Banking AG
549300298FD7AS4PPU70
DE
N
Y
Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Euroclear UK & Ireland Limited
549300M5MYAD51WHJD55
GB
N
Y
Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Deutsche Bank AG (Indonesia)
529900BYFVEGGOM24P36
ID
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
The Hongkong and Shanghai Banking Corporation Limited, New Zealand Branch
2HI3YI5320L3RW6NJ957
NZ
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
CIBC Mellon Trust Company
549300IYUUH221WBZ505
CA
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Citibank Europe PLC (Portugal)
N1FBEDJ5J41VKZLO2475
PT
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
MUFG Bank, Ltd.
C3GTMMZIHMY46P4OIX74
JP
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
The Hongkong and Shanghai Banking Corporation Limited, Australia Branch
2HI3YI5320L3RW6NJ957
AU
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Bank Hapoalim B.M.
B6ARUI4946ST4S7WOU88
IL
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
UBS Group AG
549300SZJ9VS8SGXAN81
CH
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
MONTE TITOLI S.P.A.
8156009CEEE1B8C7C646
IT
N
Y
Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
N
Reliance Trust Company
549300NV8FSQRNOUQO50
N
Y
McNally Financial Services Corporation
8-65388
SEC FILE NUMBER
N
N
Fidelity Investments Institutional Operations Company, Inc.
549300XVSM8LN3LQOK63
N
Y
Massachusetts Mutual Life Insurance Company
R6ZXK5P01NP6HXSY1S07
N
Y
Chalice Capital Partners, LLC
8-69967
SEC FILE NUMBER
N
N
Oberweis Securities, Inc.
5493008EZH6DO1631P71
N
N
Dorn & Co., Inc.
8-08707
SEC FILE NUMBER
N
N
SagePoint Financial, Inc.
8-66771
SEC FILE NUMBER
N
N
Duncan-Williams, Inc.
25490045VHLUZ7H92Y27
N
N
Thompson Davis & Co., Inc.
8-49386
SEC FILE NUMBER
N
N
FSB Warner Financial, Inc.
8-44865
SEC FILE NUMBER
N
N
Schlitt Investor Services, Inc.
8-34202
SEC FILE NUMBER
N
N
GLP Investment Services
8-41868
SEC FILE NUMBER
N
N
Middlegate Securities Ltd.
549300ZVONUQ845QCH95
N
N
Capital Institutional Services, Inc.
54930061X8RDWFDJIS05
N
N
VOYA Financial Advisors, LLC
8-46451
SEC FILE NUMBER
N
N
Cardinal Investments, Inc.
8-47493
SEC FILE NUMBER
N
N
XP Securities, LLC
549300HDFLS7P433PO89
N
N
McDonald Partners LLC
549300PEHG3UH7FAY193
N
N
First Heartland Capital, Inc.
8-46008
SEC FILE NUMBER
N
N
Alight Financial Solutions LLC
8-47344
SEC FILE NUMBER
N
N
Investments For You, Inc.
8-44179
SEC FILE NUMBER
N
N
Wesbanco Securities, Inc.
8-50220
SEC FILE NUMBER
N
N
Kalos Capital, Inc.
8-50630
SEC FILE NUMBER
N
N
DWS Distributors, Inc.
5299007T18XBURKJ1V64
N
N
Lincoln Douglas Investments LLC
8-68728
SEC FILE NUMBER
N
N
Founders Financial Securities LLC
8-67137
SEC FILE NUMBER
N
N
MML Investors Services, LLC
8-27250
SEC FILE NUMBER
N
N
Securities America, Inc.
8-26602
SEC FILE NUMBER
N
N
CNR Securities LLC
8-36759
SEC FILE NUMBER
N
N
Veritas Independent Partners, LLC
8-69363
SEC FILE NUMBER
N
N
Advisory Group Equity Services, Ltd.
8-32155
SEC FILE NUMBER
N
N
Investshares, Inc
8-68365
SEC FILE NUMBER
N
N
Smith, Brown & Groover, Inc.
8-13079
SEC FILE NUMBER
N
N
American Independent Securities Group, LLC
8-66905
SEC FILE NUMBER
N
N
Stifel, Nicolaus & Company, Incorporated
5WUVMA08EYG4KEUPW589
N
Y
Itau International Securities, Inc.
54930086LDFU8Z86AH91
N
N
Oppenheimer & Co. Inc.
254900VH02JQR2L8XD64
N
N
Insight Securities, Inc.
2549007I5MCG270G9341
N
N
Morris Group, Inc.
549300JWKS0KMDOX5G12
N
N
Vanguard Group, Inc., The
5493002789CY3L0CJP65
N
Y
NYLife Distributors LLC
8-46655
SEC FILE NUMBER
N
N
Actinver Securities, Inc.
254900FT947VQZ1WHT28
N
N
Heim, Young & Associates, Inc.
8-48500
SEC FILE NUMBER
N
N
SECU Brokerage Services
8-37927
SEC FILE NUMBER
N
N
North South Capital, LLC
549300ODEKJCRN2AM859
N
N
American Trust Investment Services, Inc.
8-14394
SEC FILE NUMBER
N
N
Intercam Securiteis, Inc.
8-67840
SEC FILE NUMBER
N
N
Lincoln Financial Securities Corporation
8-14609
SEC FILE NUMBER
N
N
PNC Capital Markets LLC
7OGNSSLOQJ8U3B9Y5F18
N
N
Finance 500, Inc.
8-28302
SEC FILE NUMBER
N
N
Investment Placement Group
5493005L3RL45FY4HR07
N
N
BOK Financial Securities, Inc.
2Q57THMJB7JL1206V012
N
N
Cetera Investment Services, LLC
254900HBKNJ13M56N432
N
N
Prudential Insurance Company of America
Y574KRZ6V5A7UBU45C31
N
Y
Sammons Financial Network, LLC
8-68905
SEC FILE NUMBER
N
N
UMB Financial Services, Inc.
254900GFVO9NGQ21JC37
N
N
Cadaret, Grant & Co., Inc.
8-27844
SEC FILE NUMBER
N
N
Titleist Asset Management, Ltd.
8-65859
SEC FILE NUMBER
N
N
First Citizens Investor Services, Inc.
8-50696
SEC FILE NUMBER
N
N
L.O. Thomas & Co. Inc.
8-40875
SEC FILE NUMBER
N
N
Zions Direct, Inc.
8-35721
SEC FILE NUMBER
N
N
Caldwell Securities, Inc.
549300ORF2FMHXODHJ66
N
N
Sorsby Financial Corp.
8-48718
SEC FILE NUMBER
N
N
MSEC, LLC
8-68627
SEC FILE NUMBER
N
N
Comerica Securities, Inc.
5493009QV211JEW7ZV59
N
N
Securities Research, Inc.
8-23699
SEC FILE NUMBER
N
N
Impact U. Investments, LLC
8-65527
SEC FILE NUMBER
N
N
The Jeffrey Matthews Financial Group, L.L.C.
25490086M6MGMYYVOJ50
N
N
Arque Capital, Ltd.
8-65390
SEC FILE NUMBER
N
N
International Assets Advisory, LLC
254900ARMOHQNS987S09
N
N
Nicol Investors Corporation
8-65566
SEC FILE NUMBER
N
N
Interactive Brokers LLC
50OBSE5T5521O6SMZR28
N
N
Ameriprise Financial Services, Inc.
8-16791
SEC FILE NUMBER
N
N
B.C. Ziegler & Company
549300NLEOFP92P38Q71
N
N
Moors & Cabot, Inc.
8-23060
SEC FILE NUMBER
N
N
TFS Securities, Inc.
8-38377
SEC FILE NUMBER
N
N
Beaconsfield Financial Services, Inc.
8-30993
SEC FILE NUMBER
N
N
N.E. Private Client Advisors, Ltd.
8-66968
SEC FILE NUMBER
N
N
IFP Securities
8-70150
SEC FILE NUMBER
N
N
Kestra Investment Services, LLC
8-49672
SEC FILE NUMBER
N
N
Unionbanc Investment Services, LLC
254900Y9HI2TG6D79N41
N
N
Feldstein Financial Group, LLC
8-53388
SEC FILE NUMBER
N
N
TD Ameritrade Trust Company
028-15163
SEC FILE NUMBER
N
N
Brooklight Place Securities, Inc.
8-32673
SEC FILE NUMBER
N
N
Sovereign Legacy Securities, Inc.
8-00621
SEC FILE NUMBER
N
N
Girard Investment Services, LLC
8-14145
SEC FILE NUMBER
N
N
FSC Securities Corporation
8-21770
SEC FILE NUMBER
N
N
Blakeslee and Blakeslee Inc.
8-32071
SEC FILE NUMBER
N
N
Portfolio Resources Group, Inc.
549300TKCYL1XNXOL896
N
N
TimeCapital Securities Corporation
8-18248
SEC FILE NUMBER
N
N
McLaughlin Ryder Investments, Inc.
8-67911
SEC FILE NUMBER
N
N
Brighton Securities Corp.
8-14599
SEC FILE NUMBER
N
N
BAC Florida Investments
254900CAF9OPVE8VT408
N
N
Goldman Sachs & Co. LLC
FOR8UP27PHTHYVLBNG30
N
N
Pensionmark Securities, LLC
8-69773
SEC FILE NUMBER
N
N
Invicta Capital, LLC
549300QY87LR84LRLL97
N
N
John Hancock Life Insurance Company
QQ0OZ8J9C4B5QT1XDG31
CA
N
Y
Nationwide Planning Associates Inc.
8-45310
SEC FILE NUMBER
N
N
Allianz Life Financial Services, LLC
5493008TSI0TRWDDGW79
N
N
Proequities, Inc.
8-32590
SEC FILE NUMBER
N
N
Union Capital Company
8-53127
SEC FILE NUMBER
N
N
Davinci Capital Management Inc.
8-51580
SEC FILE NUMBER
N
N
Harvest Financial Corporation
8-26037
SEC FILE NUMBER
N
N
Family Investors Company
8-11190
SEC FILE NUMBER
N
N
Wood (Arthur W.) Company, Inc.
8-03368
SEC FILE NUMBER
N
N
Standard Insurance Company
549300KVA8DBYKHPXO21
N
Y
Janney Montgomery Scott LLC
549300QQRY1JCFQHYS08
N
N
Hunter Associates, Inc.
8-44779
SEC FILE NUMBER
N
N
Eagles Coast Capital
8-70137
SEC FILE NUMBER
N
N
G.A. Repple & Company
8-35315
SEC FILE NUMBER
N
N
Cambridge Investment Research, Inc.
8-48740
SEC FILE NUMBER
N
N
Investment Planners, Inc.
8-35642
SEC FILE NUMBER
N
N
General Securities Corp.
8-31654
SEC FILE NUMBER
N
N
Multiple Financial Services, Inc.
8-52017
SEC FILE NUMBER
N
N
Monere Investments, Inc.
8-52982
SEC FILE NUMBER
N
N
Classic LLC
8-68981
SEC FILE NUMBER
N
N
SunTrust Investment Services, Inc.
8-35355
SEC FILE NUMBER
N
N
First Honolulu Securities, Inc.
8-23919
SEC FILE NUMBER
N
N
Healthcare Community Securities Corporation
8-46981
SEC FILE NUMBER
N
N
Coldstream Securities, Inc.
8-51549
SEC FILE NUMBER
N
N
FMN Capital Corporation
8-48082
SEC FILE NUMBER
N
N
First Republic Securities Company, LLC
5493000IMDFZDQYB2Q11
N
N
Superior Financial Services, Inc.
549300BK1DNLS1A2MZ43
N
N
E*Trade Securities
8-44112
SEC FILE NUMBER
N
N
WBB Securities, LLC
8-53660
SEC FILE NUMBER
N
N
Searle & Co.
8-28600
SEC FILE NUMBER
N
N
Allegiance Capital, L.L.C.
8-52978
SEC FILE NUMBER
N
N
Wright Investors' Service Distributors, Inc.
8-29579
SEC FILE NUMBER
N
N
Fidelity Investments Life
54930024AKTQGTIV1P93
N
N
JHW Financial Services Inc.
8-45304
SEC FILE NUMBER
N
N
First Command Financial Planning, Inc.
8-07072
SEC FILE NUMBER
N
N
Horace Mann Life Insurance Co.
5493000HR2JKKNH2FL09
N
N
PTS Brokerage, LLC
8-65173
SEC FILE NUMBER
N
N
M&T Securities, Inc.
254900VRUF9FN7AZI864
N
N
Independent Brokerage Solutions LLC
8-68549
SEC FILE NUMBER
N
N
TrustFirst, Inc.
8-48509
SEC FILE NUMBER
N
N
VBC Securities, LLC
8-44141
SEC FILE NUMBER
N
N
Robinson & Robinson, Inc.
8-17109
SEC FILE NUMBER
N
N
Lion Street Financial, LLC
8-69183
SEC FILE NUMBER
N
N
Security Distributors, Inc.
8-10781
SEC FILE NUMBER
N
N
Landaas & Company
8-51826
SEC FILE NUMBER
N
N
Hantz Financial Services, Inc.
8-51291
SEC FILE NUMBER
N
N
Quincy Cass Associates, Incorporated
8-05743
SEC FILE NUMBER
N
N
BBVA Securities Inc.
549300RJFN0Z663VE860
N
N
Packerland Brokerage Services, Inc.
8-47572
SEC FILE NUMBER
N
N
Park Avenue Securities LLC
8-51324
SEC FILE NUMBER
N
N
Sycamore Financial Group
8-30302
SEC FILE NUMBER
N
N
American Wealth Management
8-41807
SEC FILE NUMBER
N
N
Weston Securities Corporation
8-32664
SEC FILE NUMBER
N
N
CFS Securities, Inc.
8-51330
SEC FILE NUMBER
N
N
BancWest Investment Services, Inc.
5493001GJYTESEZEBA51
N
N
Commerce Brokerage Services, Inc.
8-35096
SEC FILE NUMBER
N
N
Arkadios Capital
8-69729
SEC FILE NUMBER
N
N
Crescent Securities Group
8-53457
SEC FILE NUMBER
N
N
UBS AG, New York Branch
BFM8T61CT2L1QCEMIK50
N
N
Vanguard Marketing Corporation
8-21570
SEC FILE NUMBER
N
N
Lieblong & Associates, Inc.
8-49880
SEC FILE NUMBER
N
N
Bolton Global Capital
2549009M08YVOG46LO79
N
N
Cary Street Partners LLC
8-66085
SEC FILE NUMBER
N
N
Andbanc Brokerage, LLC
213800E4CWGFMCDQZ792
N
N
White Mountain Capital, LLC
8-52572
SEC FILE NUMBER
N
N
Western International Securities, Inc.
8-48572
SEC FILE NUMBER
N
N
Arlington Securities, Inc.
8-38098
SEC FILE NUMBER
N
N
J.P. Morgan Institutional Investments Inc.
8-52182
SEC FILE NUMBER
N
N
Regulus Advisors, LLC
8-68275
SEC FILE NUMBER
N
N
Coker & Palmer, Inc.
254900V1KTPDN88TDS68
N
N
Independent Financial Group, LLC
254900KYWXHSQ7RMNP09
N
N
Carl M. Hennig, Inc.
8-14509
SEC FILE NUMBER
N
N
Key Investment Services LLC
8-66999
SEC FILE NUMBER
N
N
Benefit Trust Company
N/A
N
Y
Farmers Financial Solutions, LLC
8-52361
SEC FILE NUMBER
N
N
Calamar Financial Group
8-69777
SEC FILE NUMBER
N
N
K. W. Chambers & CO.
8-10533
SEC FILE NUMBER
N
N
Wintrust Investments, LLC
8-00484
SEC FILE NUMBER
N
N
Ascensus Broker Dealer Services, Inc.
8-47312
SEC FILE NUMBER
N
Y
Concorde Investment Services, LLC
8-68388
SEC FILE NUMBER
N
N
Buckram Securities LTD
8-65939
SEC FILE NUMBER
N
N
D.M. Kelly & Company
8-48398
SEC FILE NUMBER
N
N
Garden State Securities, Inc.
8-25790
SEC FILE NUMBER
N
N
Bankoh Investment Services, Inc.
8-44201
SEC FILE NUMBER
N
N
Stonecrest Capital Markets, Inc.
8-48754
SEC FILE NUMBER
N
N
Integrity Investments, Inc.
8-45302
SEC FILE NUMBER
N
N
Avisen Securities, Inc.
8-65833
SEC FILE NUMBER
N
N
John Hancock Life Insurance Company of New York
5493007RYG4GXIKSQI18
CA
N
Y
SecureVest Financial Group
254900LG3HPQV4J0WH27
N
N
CapFinancial Securities, LLC
8-65870
SEC FILE NUMBER
N
N
Alliant Securities, Inc. Turner, Nord, Kienbaum
8-23305
SEC FILE NUMBER
N
N
Leigh Baldwin & Co., LLC
8-48385
SEC FILE NUMBER
N
N
The Investment Center, Inc.
8-35826
SEC FILE NUMBER
N
N
Fiduciary Trust International
N1YKEWO2IYPRS4742F57
N
N
The Oak Ridge Financial Services Group, Inc.
2549003647MDU9F6QN39
N
N
HSBC Securities (USA), Inc.
CYYGQCGNHMHPSMRL3R97
N
N
Alexander Capital, L.P.
8-48957
SEC FILE NUMBER
N
N
Bolton Securities Corp.
8-68187
SEC FILE NUMBER
N
N
Principled Advisors, Inc.
8-66451
SEC FILE NUMBER
N
N
Variable Investment Advisors, Inc.
8-50699
SEC FILE NUMBER
N
N
Hefren-Tillotson, Inc.
8-10646
SEC FILE NUMBER
N
N
First National Bank Alaska
25490089V5DJHFQMOA03
N
N
Loria Financial Group, LLC
8-52128
SEC FILE NUMBER
N
N
United Planners' Financial Services of America A Limited Partner
8-38485
SEC FILE NUMBER
N
N
Feltl & Company
8-18435
SEC FILE NUMBER
N
N
People's Securities, Inc.
8-29667
SEC FILE NUMBER
N
N
American Financial Securities, Inc.
8-53205
SEC FILE NUMBER
N
N
Harbour Investments, Inc.
8-37373
SEC FILE NUMBER
N
N
Rogan & Associates, Inc.
8-49995
SEC FILE NUMBER
N
N
Gerwin Group, Inc.
8-40282
SEC FILE NUMBER
N
N
Laidlaw & Company (UK) Ltd.
8-53731
SEC FILE NUMBER
GB
N
N
Pruco Securities, LLC.
8-16402
SEC FILE NUMBER
N
N
IDB Capital Corp.
254900SH3QL0IL3S9R34
N
N
Maxim Group LLC
254900OJ6JZO6SDMHQ83
N
N
Capital Synergy Partners, Inc.
8-68060
SEC FILE NUMBER
N
N
Bruderman Brothers, LLC
8-51974
SEC FILE NUMBER
N
N
MGO Securities Corp.
8-47814
SEC FILE NUMBER
N
N
Charles Schwab Bank
549300INFJ8TYNZ1G568
N
Y
TD Ameritrade, Inc.
CWQYQU0TV2NLMLZKNB44
N
Y
Buell Securities Corp
8-22058
SEC FILE NUMBER
N
N
Intervest International Equities Corporation
8-38156
SEC FILE NUMBER
N
N
J.D. Seibert & Company, Inc.
8-23604
SEC FILE NUMBER
N
N
APW Capital, Inc.
8-50433
SEC FILE NUMBER
N
N
Sage, Rutty & Co., Inc.
8-00533
SEC FILE NUMBER
N
N
ACA/Prudent Investors Planning Corporation
8-51899
SEC FILE NUMBER
N
N
Pacific Financial Associates, Inc.
8-40712
SEC FILE NUMBER
N
N
DFPG Investments, Inc.
8-68730
SEC FILE NUMBER
N
N
Excel Securities & Associates, Inc.
8-34261
SEC FILE NUMBER
N
N
Consolidated Financial Investments, Inc.
8-37004
SEC FILE NUMBER
N
N
Center Street Securities, Inc.
8-42786
SEC FILE NUMBER
N
N
Valley National Investments, Inc.
8-34427
SEC FILE NUMBER
N
N
Citizens Bank
254900MFWISYMJ04ZE93
N
N
Transamerica Advisors Life Insurance Company
F1PLTWZ8OU4HQGZQAP31
N
N
USA Financial Securities Corporation
8-52342
SEC FILE NUMBER
N
N
T.R. Winston & Company, LLC
8-27519
SEC FILE NUMBER
N
N
Access Investments, Inc.
8-49750
SEC FILE NUMBER
N
N
Oriental Financial Services Corp.
8-44516
SEC FILE NUMBER
N
N
Sammons Retirement Solutions, Inc.
N/A
N
Y
Lesko Securities Inc.
8-26408
SEC FILE NUMBER
N
N
Independence Capital Co., Inc.
8-41331
SEC FILE NUMBER
N
N
Emerson Equity LLC
8-66296
SEC FILE NUMBER
N
N
Arive Capital Markets
8-43350
SEC FILE NUMBER
N
N
Camden Financial Services
8-37303
SEC FILE NUMBER
N
N
Deutsche Bank Securities Inc.
9J6MBOOO7BECTDTUZW19
N
N
Peak Brokerage Services, LLC
8-68829
SEC FILE NUMBER
N
N
Sabadell Securities USA, Inc.
2549002UK8JK82ABGD45
N
N
Arvest Investments, Inc.
8-49677
SEC FILE NUMBER
N
N
World Choice Securities, Inc.
8-45235
SEC FILE NUMBER
N
N
Great Point Capital LLC
254900HN4IGCO53HDK23
N
N
Pershing Advisor Solutions, LLC
549300KTC63JRN36GZ84
N
N
L.M. Kohn & Company
8-43303
SEC FILE NUMBER
N
N
Horan Securities, Inc.
8-49192
SEC FILE NUMBER
N
N
Money Concepts Capital Corp.
8-29671
SEC FILE NUMBER
N
N
Investors Brokerage of Texas, Ltd.
8-28644
SEC FILE NUMBER
N
N
RNR Securities, L.L.C.
8-50366
SEC FILE NUMBER
N
N
Infinex Investments, Inc.
8-46661
SEC FILE NUMBER
N
N
Invex, Inc.
NPOTUCXQYGXX5PO6VH74
N
N
D.H. Hill Securities LLP
8-49475
SEC FILE NUMBER
N
N
Mesirow Financial, Inc.
549300BIV46SUHPOFE54
N
N
CIBC World Markets Corp.
549300445CON3DBMU275
N
N
Logan Group Securities
8-48995
SEC FILE NUMBER
N
N
E*Trade Savings Bank
549300DXPO50FJ75QA85
N
Y
Henley & Company LLC
8-66463
SEC FILE NUMBER
N
N
American Global Wealth Management, Inc.
8-21584
SEC FILE NUMBER
N
N
UBS Financial Services Inc.
ETYRV6ORNFJB5NONI676
N
N
ValMark Securities, Inc.
8-45463
SEC FILE NUMBER
N
N
Cannon Securities, Inc.
8-68437
SEC FILE NUMBER
N
N
Cresap, Inc.
8-42117
SEC FILE NUMBER
N
N
Bankers Life Securities, Inc.
549300YBBLCDP5GDSH97
N
N
SunTrust Bank
IYDOJBGJWY9T8XKCSX06
N
N
BTG Pactual US Capital, LLC
549300EUEDL5GKQW8U35
N
N
Dinosaur Financial Group, LLC
549300CCV3H232GBUN83
N
N
Financial Northeastern Securities, Inc.
549300QRRF2NAV5G3869
N
N
Principal Life Insurance Company
SDCMU2LVKGV2AF1KWP64
N
Y
Colorado Financial Service Corporation
8-52817
SEC FILE NUMBER
N
N
BCG Securities, Inc.
8-12680
SEC FILE NUMBER
N
N
Lincoln Financial Distributors, Inc.
8-13431
SEC FILE NUMBER
N
N
Uhlmann Price Securities, LLC
8-50041
SEC FILE NUMBER
N
N
PNC Bank, N.A.
AD6GFRVSDT01YPT1CS68
N
N
MML Distributors, LLC
8-48203
SEC FILE NUMBER
N
N
The Leaders Group, Inc.
8-47639
SEC FILE NUMBER
N
N
AssetMark Trust Company
N/A
N
N
Oak Tree Securities, Inc.
8-36138
SEC FILE NUMBER
N
N
Mutual Funds Associates, Inc.
8-13026
SEC FILE NUMBER
N
N
Brokers International Financial Services, LLC
8-67239
SEC FILE NUMBER
N
N
Landolt Securities, Inc.
254900B2XEQ2HZGN7K90
N
N
Profinancial, Inc.
8-32026
SEC FILE NUMBER
N
N
Anovest Financial Services, Inc.
8-66742
SEC FILE NUMBER
N
N
Alight Solutions LLC
084-01996
SEC FILE NUMBER
N
Y
Sisung Securities Corporation
254900KJI3EYKKPWT989
N
N
International Money Management Group, Inc.
8-30417
SEC FILE NUMBER
N
N
Oscar Gruss & Son Incorporated
549300V78DH9XCK5UI63
N
N
Capital Investment Group, Inc.
8-31225
SEC FILE NUMBER
N
N
Wiley Bros.-Aintree Capital, LLC
8-03774
SEC FILE NUMBER
N
N
Place Trade Financial, Inc.
8-65915
SEC FILE NUMBER
N
N
Great American Investors, Inc.
8-44380
SEC FILE NUMBER
N
N
Worth Financial Group Inc.
8-29827
SEC FILE NUMBER
N
N
L. B. Fisher & Company
8-21023
SEC FILE NUMBER
N
N
Ausdal Financial Partners, Inc.
8-24519
SEC FILE NUMBER
N
N
American Portfolios Financial Services, Inc.
8-37085
SEC FILE NUMBER
N
N
Coinbase Capital Markets Corporation
8-28032
SEC FILE NUMBER
N
N
International Research Securities, Inc.
8-37954
SEC FILE NUMBER
N
N
NPB Financial Group, LLC
8-67113
SEC FILE NUMBER
N
N
Harbor Investment Advisory, LLC
8-68334
SEC FILE NUMBER
N
N
American Equity Investment Corporation
8-49078
SEC FILE NUMBER
N
N
Parkland Securities, LLC
8-53482
SEC FILE NUMBER
N
N
The Lawrence D. Vitez Corp. DBA Consolidated Securities
8-48642
SEC FILE NUMBER
N
N
Griffinest Asia Securities, LLC
8-66571
SEC FILE NUMBER
N
N
Crown Capital Securities, L.P.
8-17264
SEC FILE NUMBER
N
N
Moloney Securities Co., Inc.
8-48326
SEC FILE NUMBER
N
N
Conover Securities Corporation
8-35085
SEC FILE NUMBER
N
N
Jack V. Butterfield Investment Company
8-12454
SEC FILE NUMBER
N
N
Folio Investments, Inc.
8-52009
SEC FILE NUMBER
N
N
Berthel, Fisher & Company Financial Services, Inc.
8-29426
SEC FILE NUMBER
N
N
SEI Private Trust Company
028-10625
SEC FILE NUMBER
N
Y
First Financial Equity Corporation
8-34082
SEC FILE NUMBER
N
N
United States Life Insurance Company in the City of New York
549300C1JQGJ0MNUMG79
N
Y
D.A. Davidson & Co.
549300094RQ5A7DYLF51
N
N
Client One Securities LLC
8-68494
SEC FILE NUMBER
N
N
Gradient Securities, LLC
8-66032
SEC FILE NUMBER
N
N
LPL Financial LLC
5493005NM7F0H1N3EQ39
N
Y
SG Americas Securities, LLC
549300F35UE0BOM1WJ55
N
N
Sunbelt Securities, Inc.
8-49748
SEC FILE NUMBER
N
N
First Manhattan Co.
549300NNJKVSO48I3G76
N
N
Allegheny Investments, Ltd.
8-22183
SEC FILE NUMBER
N
N
Cantella & Co., Inc.
254900Z33Q34HCFGHO19
N
N
Sunset Financial Services, Inc.
8-14148
SEC FILE NUMBER
N
N
VOYA Investments Distributors, LLC
8-48020
SEC FILE NUMBER
N
N
Gladowsky Capital Management Corp.
8-51017
SEC FILE NUMBER
N
N
Snowden Account Services, Inc.
254900WVSS0BX602UF45
N
N
The O.N. Equity Sales Company
8-14161
SEC FILE NUMBER
N
N
The Tavenner Company
8-41206
SEC FILE NUMBER
N
N
UBATCO & Co.
N/A
N
Y
Rockefeller Financial, LLC
8-70054
SEC FILE NUMBER
N
N
Nestlerode & Loy, Inc.
8-12629
SEC FILE NUMBER
N
N
J. Alden Associates, Inc.
8-48938
SEC FILE NUMBER
N
N
Newport Group, Inc.
N/A
N
Y
Omega Securities, Inc.
8-20225
SEC FILE NUMBER
N
N
Western Growers Financial Services, Inc.
8-53458
SEC FILE NUMBER
N
N
Ameritas Investment Corp.
549300913B54XKSRM258
N
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TRG Advisors, Inc.
8-50449
SEC FILE NUMBER
N
N
Coordinated Capital Securities, Inc.
8-31173
SEC FILE NUMBER
N
N
Country Capital Management Company
8-12645
SEC FILE NUMBER
N
N
Madison Avenue Securities, Inc.
8-40426
SEC FILE NUMBER
N
N
Signature Securities Group Corporation
8-52697
SEC FILE NUMBER
N
N
Hancock Whitney Investment Services, Inc.
8-49106
SEC FILE NUMBER
N
N
Fieldpoint Private Securities, LLC
8-37105
SEC FILE NUMBER
N
N
Genworth Life & Annuity Insurance Company
TAI340D9BWT9R77O0P03
N
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DMK Advisor Group, Inc.
8-49279
SEC FILE NUMBER
N
N
Monex Securities, Inc.
254900VTZ3HYHNEJRX35
N
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Harold W. Dance Inc.
8-12160
SEC FILE NUMBER
N
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Advanced Advisor Group, LLC
8-67313
SEC FILE NUMBER
N
N
Paradigm Equities, Inc.
8-45593
SEC FILE NUMBER
N
N
Watermark Securities, Inc.
8-43902
SEC FILE NUMBER
N
N
Insigneo Securities, LLC
254900P4TTO6PU1VDH88
N
N
BFT Financial Group, LLC
8-53487
SEC FILE NUMBER
N
N
New England Pension Plan Systems, LLC
N/A
N
Y
Federated Securities, Inc.
8-15644
SEC FILE NUMBER
N
N
Bley Investments Group, Inc.
8-42701
SEC FILE NUMBER
N
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Voya Institutional Plan Services, LLC
N/A
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GRF Capital Investors, Inc.
8-41494
SEC FILE NUMBER
N
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CoreCap Investments, Inc.
8-47783
SEC FILE NUMBER
N
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American Financial Associates, Inc.
8-44065
SEC FILE NUMBER
N
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Thoroughbred Financial Services, LLC
8-51944
SEC FILE NUMBER
N
N
Herbert J. Sims & Co. Inc.
254900SV6UESQBS8XP98
N
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Tradition Securities and Derivatives Inc.
WRYEFMSVQCH0EMD08461
N
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Nations Financial Group, Inc.
8-50588
SEC FILE NUMBER
N
N
Lincoln Financial Advisors Corporation
8-14685
SEC FILE NUMBER
N
N
Mid Atlantic Capital Corporation
549300HJL2LPNSC0JX96
N
N
Glen Eagle Advisors LLC
8-65678
SEC FILE NUMBER
N
N
AqGen Ascensus, Inc.
549300K5MHNFPEU2RK82
N
Y
Abacus International Capital Corp.
8-46418
SEC FILE NUMBER
N
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Charles Schwab & Co., Inc.
549300ZP8XN77GK5BS04
N
Y
National Securities Corp.
8-164
SEC FILE NUMBER
N
N
Merrill Lynch, Pierce, Fenner & Smith Incorporated
8NAV47T0Y26Q87Y0QP81
N
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Equitable Advisors, LLC
8-17883
SEC FILE NUMBER
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Hand Securities, Inc.
8-51001
SEC FILE NUMBER
N
N
Gardner Financial Services, Inc.
8-38631
SEC FILE NUMBER
N
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LifeMark Securities Corp.
8-33478
SEC FILE NUMBER
N
N
The Huntington Investment Company
5493004MEJ6IU9SR1R78
N
N
Talcott Resolution Life Insurance Company
8CE7JPU9IU72L3PPD756
N
Y
GWN Securities Inc.
8-66185
SEC FILE NUMBER
N
N
Hazlett, Burt & Watson, Inc.
8-17737
SEC FILE NUMBER
N
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R. Seelaus & Co., Inc.
2138004J7AJDLCOJYA06
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Pershing, LLC
8-17574
SEC FILE NUMBER
N
Y
Hudson Heritage Capital Management, Inc.
8-50648
SEC FILE NUMBER
N
N
Wells Fargo Bank, N.A.
KB1H1DSPRFMYMCUFXT09
N
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SCF Securities, Inc.
8-51760
SEC FILE NUMBER
N
N
Santander Securities LLC
8-49571
SEC FILE NUMBER
N
N
Integrated Financial Planning Services
8-35120
SEC FILE NUMBER
DE
N
N
FMSBonds, Inc.
549300TUTBK58NSF2517
N
N
U.S. Bancorp Investments, Inc.
H85Z6XZP8B10ES0M2G89
N
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USAA Investment Management Company
549300VSPLQ1XBNPD479
N
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Saturna Brokerage Services, Inc.
8-36558
SEC FILE NUMBER
N
N
Hancock Whitney Corporation
549300GRNBWY8HIICT41
N
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David Lerner Associates, Inc.
8-20746
SEC FILE NUMBER
N
N
Sanders Morris Harris Inc.
254900ZNPYV465D1NZ47
N
N
S.A. Stone Wealth Management
8-36638
SEC FILE NUMBER
N
N
Mutual Trust Co. of America Securities
254900PUBUB7IS4GNY27
N
N
MMC Securities Corp.
2549001ZA93O65N2ZM60
N
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Northwest Investment Advisors, Inc.
8-65282
SEC FILE NUMBER
N
N
First Financial Securities of America, Inc.
8-29565
SEC FILE NUMBER
N
N
Prudential Investment Management Services LLC
8-36540
SEC FILE NUMBER
N
N
Nationwide Securities, LLC
8-12500
SEC FILE NUMBER
N
N
Vanderbilt Securities, LLC
8-16712
SEC FILE NUMBER
N
N
The GMS Group, LLC
254900OXZT27TA5CGU56
N
N
E. E. Powell & Company Inc.
8-01893
SEC FILE NUMBER
N
N
S.L. Reed & Company
8-49178
SEC FILE NUMBER
N
N
Kovack Securities Inc.
25490070RG17Z4I70I82
N
N
VectorGlobal WMG
254900K52VRYBHUGBC64
N
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Westport Resources Investment Services, Inc.
8-40904
SEC FILE NUMBER
N
N
Pyramid Funds Corporation
8-12769
SEC FILE NUMBER
N
N
Liberty Partners Financial Services, LLC
8-66335
SEC FILE NUMBER
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First Allied Securities, Inc.
8-46167
SEC FILE NUMBER
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The Strategic Financial Alliance, Inc.
8-65885
SEC FILE NUMBER
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Carty & Company, Inc.
8-19082
SEC FILE NUMBER
N
N
LaSalle St. Securities, L.L.C.
8-18860
SEC FILE NUMBER
N
N
Fifth Third Bank
QFROUN1UWUYU0DVIWD51
N
N
American United Life Insurance Company
549300T82H2DXU80LV98
N
Y
AE Financial Services, LLC
8-70214
SEC FILE NUMBER
N
N
Boenning & Scattergood, Inc.
2549005FER5A7K7II574
N
N
American Capital Partners, LLC
254900I8NH46ZJJ4Z956
N
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R.M. Stark & Co., Inc.
8-22543
SEC FILE NUMBER
N
N
Essex Securities LLC
8-51472
SEC FILE NUMBER
N
N
Symphonic Securities LLC
8-67220
SEC FILE NUMBER
N
N
Xml Securities, LLC
8-67776
SEC FILE NUMBER
N
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GWFS Equities, Inc.
8-33854
SEC FILE NUMBER
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Cutter & Company Brokerage, Inc.
8-39590
SEC FILE NUMBER
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TD Ameritrade Clearing, Inc.
MRK678VXOI09YSSN8X19
N
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Geneos Wealth Management, Inc.
8-65357
SEC FILE NUMBER
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Herndon Plant Oakley, LTD
8-50912
SEC FILE NUMBER
N
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Country Club Financial Services, Inc.
8-44574
SEC FILE NUMBER
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Fifth Third Securities, Inc.
5493003IMO3TYX51WE43
N
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San Blas Securities LLC
25490079436TZN10JD83
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Chauner Securities, Inc.
8-33980
SEC FILE NUMBER
N
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Callaway Financial Services, Inc.
8-52474
SEC FILE NUMBER
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Ascensus Financial Services, LLC
8-67891
SEC FILE NUMBER
N
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Dominion Investor Services, Inc.
8-39029
SEC FILE NUMBER
N
N
Hartford Funds Management Company, LLC
801-77209
SEC FILE NUMBER
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Y
Innovation Partners LLC
549300IEQ78ON1HMTU71
N
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Lantern Investments, Inc.
8-45285
SEC FILE NUMBER
N
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St. Bernard Financial Services, Inc.
8-47566
SEC FILE NUMBER
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Ladenburg Thalman & Co. Inc.
2549000V3L2KK4L76W91
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First Western Securities, Inc.
8-37613
SEC FILE NUMBER
N
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Jacques Financial, LLC
8-52675
SEC FILE NUMBER
N
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BestVest Investments, Ltd.
254900SL6FW130BMS922
N
N
Commonwealth Equity Services, Inc.
8-24040
SEC FILE NUMBER
N
N
First Southern, LLC
8-69733
SEC FILE NUMBER
N
N
VALIC Retirement Services Company
84-06057
SEC FILE NUMBER
N
N
Equity Services, Inc.
8-14286
SEC FILE NUMBER
N
N
Teachers Insurance and Annuity Association of America
O06YD7BJ4EPYNABVFN69
N
Y
Thurston, Springer, Miller, Herd & Titak, Inc.
8-25452
SEC FILE NUMBER
N
N
Inverness Securities, LLC
8-66278
SEC FILE NUMBER
N
N
Joseph Gunnar & Co. LLC
2549001XBRI5XQ0ZDA12
N
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Mid-Atlantic Securities, Inc.
8-36997
SEC FILE NUMBER
N
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TradeStation Securities, Inc.
549300T08P71XXBYLW62
N
N
Wall Street Access
549300Z0MOT47D6OQV22
N
N
Saxony Securities, Inc.
8-53490
SEC FILE NUMBER
N
N
Keel Point Capital, LLC
8-22990
SEC FILE NUMBER
N
N
Buckman, Buckman & Reid, Inc.
254900D688L15B5HJB06
N
N
Michigan Securities, Inc. (dba Broadstone Securities)
8-52094
SEC FILE NUMBER
N
N
James I. Black & Company
8-12077
SEC FILE NUMBER
N
N
Wescom Financial Services, LLC
8-66189
SEC FILE NUMBER
N
N
ICMA-RC Services, Inc.
8-40268
SEC FILE NUMBER
N
N
Lincoln Investment Planning, Inc.
8-14354
SEC FILE NUMBER
N
N
Global Brokerage Services, Inc.
8-47763
SEC FILE NUMBER
N
N
B.B. Graham & Company, Inc.
8-49477
SEC FILE NUMBER
N
N
Avantax Wealth Management, Inc
8-29533
SEC FILE NUMBER
N
N
World Equity Group, Inc.
25490078J1OM7KOXR686
N
N
Western Equity Group, Inc.
8-66403
SEC FILE NUMBER
N
N
1st Discount Brokerage, Inc.
8-48557
SEC FILE NUMBER
N
N
PTI Securities & Futures L.P.
8-44412
SEC FILE NUMBER
N
N
Conduent HR Services LLC
084-06035
SEC FILE NUMBER
N
Y
Rothschild Investment Corporation
8-16429
SEC FILE NUMBER
N
N
Lockton Financial Advisors, LLC
8-67090
SEC FILE NUMBER
N
N
Calton & Associates, Inc.
254900TDJ7LH64ZKRY86
N
N
Allstate Financial Services, LLC
8-36365
SEC FILE NUMBER
N
N
Arete Wealth Management, LLC
8-50854
SEC FILE NUMBER
N
N
Navy Federal Brokerage Services, LLC
8-67161
SEC FILE NUMBER
N
N
McClurg Capital Corporation
8-34473
SEC FILE NUMBER
N
N
American National Trust And Investment Management Company
028-00344
SEC FILE NUMBER
N
N
Whitehall-Parker Securities, Inc.
8-27688
SEC FILE NUMBER
N
N
Gregory J. Schwartz & Co., Inc.
8-20955
SEC FILE NUMBER
N
N
Mack Investment Securities, Inc.
8-35536
SEC FILE NUMBER
N
N
Cetera Financial Specialists LLC
8-27082
SEC FILE NUMBER
N
N
The Garbacz Group Inc.
8-42366
SEC FILE NUMBER
N
N
Guardian Insurance & Annuity Company, Inc., The
TGIU5N0SIMULU6I57R64
N
Y
Great Pacific Securities
254900QRZ90SUI8C4W84
N
N
First Bankers' Banc Securities, Inc.
549300XZ7YYT3Y0SU530
N
N
Securian Financial Services, Inc.
8-31955
SEC FILE NUMBER
N
N
Capital Investment Brokerage, Inc.
8-49118
SEC FILE NUMBER
N
N
Abacus Investments, Inc.
8-46571
SEC FILE NUMBER
N
N
T.S. Phillips Investments, Inc.
8-65661
SEC FILE NUMBER
N
N
Ceros Financial Services, Inc.
549300N2YQ0P5G0WE562
N
N
Morgan Stanley Smith Barney LLC
7PDDXEMZ0ZV0CEDU4D16
N
N
State Farm VP Management Corp
8-50128
SEC FILE NUMBER
N
N
FinTrust Brokerage Services, LLC
8-49514
SEC FILE NUMBER
N
N
Integral Financial LLC
2549000I2CBZTJRHG786
N
N
Mercer HR Services, LLC
N/A
N
Y
Rehmann Financial Network
8-69134
SEC FILE NUMBER
N
N
Mutual of Omaha Investor Services, Inc.
8-47290
SEC FILE NUMBER
N
N
Huntleigh Securities Corporation
8-21893
SEC FILE NUMBER
N
N
Gill Capital Partners, LLC
8-30563
SEC FILE NUMBER
N
N
Ustocktrade Securities, Inc.
8-33132
SEC FILE NUMBER
N
N
Globalink Securities, Inc.
8-44509
SEC FILE NUMBER
N
N
JPMorgan Chase Bank, N.A.
7H6GLYDRUGQFU57RNE97
N
N
Capital City Securities, LLC
8-67771
SEC FILE NUMBER
N
N
BNP Paribas Securities Corp
RCNB6OTYUAMMP879YW96
N
N
First Horizon Advisors, Inc.
8-35061
SEC FILE NUMBER
N
N
Hilltop Securities, Inc.
549300IXU82PMU6XZT45
N
N
Grant Williams L.P.
8-51249
SEC FILE NUMBER
N
N
Gold Coast Securities, Inc.
8-53148
SEC FILE NUMBER
N
N
Centaurus Financial, Inc.
8-45185
SEC FILE NUMBER
N
N
Hightower Securities, LLC
549300F189LKWDZLP954
N
N
Amerant Investments, Inc.
254900M8G8SSAIMHET60
N
N
BTS Securities Corporation
8-26818
SEC FILE NUMBER
N
N
First Asset Financial, Inc.
8-67191
SEC FILE NUMBER
N
N
Prospera Financial Services, Inc.
8-28164
SEC FILE NUMBER
N
N
Umpqua Investments, Inc.
8-02915
SEC FILE NUMBER
N
N
John Hancock Trust Company LLC
549300W205WZCFZS6R51
N
Y
Chelsea Morgan Securities, Inc.
8-51916
SEC FILE NUMBER
N
N
Ni Advisors
8-66841
SEC FILE NUMBER
N
N
Larson Financial Securities, LLC
8-68456
SEC FILE NUMBER
N
N
The Windmill Group, Inc.
8-25280
SEC FILE NUMBER
N
N
Apex Clearing Corporation
5493000418CITRF5BO80
N
N
Samuel A Ramirez & Co., Inc.
254900CBKVW7O2ENQA21
N
N
Hennion & Walsh, Inc.
8-41988
SEC FILE NUMBER
N
N
S.G. Long & Company
8-51816
SEC FILE NUMBER
N
N
Northern Trust Securities, Inc.
3CHSO99JSPHD9HGNYJ46
N
N
Benefit Plans Administrative Services, Inc.
N/A
N
Y
Genworth Life Insurance Company of New York
E5VAS7I8GX5B0SDBX010
N
Y
Verity Investments, Inc.
8-49474
SEC FILE NUMBER
N
N
KCD Financial, Inc.
8-66005
SEC FILE NUMBER
N
N
ViewTrade Securities, Inc.
549300CHLQDUD0NL5851
N
N
Fortune Financial Services, Inc.
8-49727
SEC FILE NUMBER
N
N
American Enterprise Investment Services Inc.
549300NT7GLLVGTH0249
N
N
Riversource Distributors, Inc.
8-67196
SEC FILE NUMBER
N
N
Sorrento Pacific Financial, LLC
8-66046
SEC FILE NUMBER
N
N
American Century Investment Services, Inc.
8-35220
SEC FILE NUMBER
N
N
Fidelity Brokerage Services LLC
549300OQFQ4NFIOD5695
N
Y
Rhodes Securities, Inc.
8-37689
SEC FILE NUMBER
N
N
Next Financial Group, Inc.
8-51356
SEC FILE NUMBER
N
N
NBC Securities, Inc.
254900GIP7RJQGHH5S19
N
N
Halliday Financial, LLC
8-45529
SEC FILE NUMBER
N
N
Saturna Trust Company
N/A
N
Y
Wells Fargo Securities, LLC
8-65876
SEC FILE NUMBER
N
N
Citizens Securities, Inc.
2138006RAPI5PE2ZGW36
N
N
SKA Securities, Inc.
8-53366
SEC FILE NUMBER
N
N
Cetera Advisors LLC
8-26892
SEC FILE NUMBER
N
N
Safra Securities LLC
E51AOUORNWWT747CBW71
N
N
Aufhaser Securities, Inc.
8-48786
SEC FILE NUMBER
N
N
Trade-PMR Inc.
8-51390
SEC FILE NUMBER
N
N
Silver Oak Securities, Incorporated
8-51601
SEC FILE NUMBER
N
N
Edward D. Jones & Co., L.P.
YZRCLX72FTV74B522G90
N
N
Devenir, LLC
8-65837
SEC FILE NUMBER
N
N
National Financial Services, LLC
549300JRHF1MHHWUAW04
N
Y
Private Client Services, LLC
8-68183
SEC FILE NUMBER
N
N
Syndicated Capital, Inc.
8-44162
SEC FILE NUMBER
N
N
Dempsey Lord Smith, LLC
8-67469
SEC FILE NUMBER
N
N
Hazard & Siegel, Inc.
8-13942
SEC FILE NUMBER
N
N
LaBrunerie Financial Services, Inc.
8-47830
SEC FILE NUMBER
N
N
Woodbury Financial Services, Inc.
8-13846
SEC FILE NUMBER
N
N
Crews & Associates, Inc.
5493001BWSV3E82LZ446
N
N
Etico Partners, LLC
8-65500
SEC FILE NUMBER
N
N
Voya Retirement Insurance and Annuity Company
OK3MKCDYPD4NN6QDGK18
N
Y
Axiom Capital Management, Inc.
254900WW7SK1IMK6NO54
N
N
CFD Investments, Inc.
8-41727
SEC FILE NUMBER
N
N
PNC Investments, LLC
8-66195
SEC FILE NUMBER
N
N
J.W. Cole Financial, Inc.
8-65698
SEC FILE NUMBER
N
N
Regions Bank
EQTWLK1G7ODGC2MGLV11
N
N
Omni Financial Securities
8-44034
SEC FILE NUMBER
N
N
OFG Financial Services, Inc.
8-40770
SEC FILE NUMBER
N
N
Planmember Securities Corporation
8-25065
SEC FILE NUMBER
N
N
First Kentucky Securities Corporation
8-22224
SEC FILE NUMBER
N
N
Ace Diversified Capital, Inc.
8-49555
SEC FILE NUMBER
N
N
A.G.P/Alliance Global Partners
549300QJQ08RJGC7D885
N
N
Royal Alliance Associates, Inc.
8-40218
SEC FILE NUMBER
N
N
Carter, Terry & Company, Inc.
8-33797
SEC FILE NUMBER
N
N
Associated Investment Services, Inc.
8-00099
SEC FILE NUMBER
N
N
Muriel Seibert & Co., Inc.
8-14900
SEC FILE NUMBER
N
N
Raymond James & Associates, Inc.
U4ONQX15J3RO8XCKE979
N
N
Akar Capital Management, Inc.
8-28026
SEC FILE NUMBER
N
N
Piper Jaffray & Co.
549300GRQCWQ3XGH0H10
N
N
World Capital Brokerage, Inc.
8-06805
SEC FILE NUMBER
N
N
Securities Equity Group
8-51706
SEC FILE NUMBER
N
N
Ballew Investments, Inc.
8-45660
SEC FILE NUMBER
N
N
Davenport & Company LLC
254900GN2SAXJGLMS075
N
N
Corinthian Partners, L.L.C.
8-48461
SEC FILE NUMBER
N
N
Century Securities Associates, Inc.
8-43514
SEC FILE NUMBER
N
N
Rodgers Brothers, Inc.
8-33475
SEC FILE NUMBER
N
N
Perryman Securities, Inc.
8-53546
SEC FILE NUMBER
N
N
TransAm Securities, Inc.
8-37065
SEC FILE NUMBER
N
N
Trustmont Financial Group, Inc.
8-36439
SEC FILE NUMBER
N
N
Highlander Capital Group, Inc.
8-37169
SEC FILE NUMBER
N
N
ACP Securities, LLC
254900GHLAGD9J81O211
N
N
Wellington Shields & Co., LLC
8-68098
SEC FILE NUMBER
N
N
Lombard Securities, Inc.
8-43340
SEC FILE NUMBER
N
N
ING Financial Markets LLC
KBVRJ5K57JZ3E2AVWX40
N
N
OneAmerica Securities, Inc.
8-15009
SEC FILE NUMBER
N
N
Cuso Financial Services, L.P.
8-49711
SEC FILE NUMBER
N
N
Register Financial Associates, Inc.
8-45012
SEC FILE NUMBER
N
N
Colliers Securities LLC
549300OD1C69R64IVC38
N
N
Mutual Securities, Inc.
8-28580
SEC FILE NUMBER
N
N
Amegy Investments, Inc. (Zions)
8-65399
SEC FILE NUMBER
N
N
Sunstreet Securities, LLC
8-67541
SEC FILE NUMBER
N
N
J.P. Morgan Securities LLC
ZBUT11V806EZRVTWT807
N
N
Marsco Investment Corporation
8-36754
SEC FILE NUMBER
N
N
Stephens Inc.
213800LH6T9XDYZCA534
N
N
Boreal Capital Securities LLC
549300NMHK6HTSKCG696
N
N
Smith, Moore & Co.
8-27480
SEC FILE NUMBER
N
N
Lebenthal Financial Services, Inc
8-67140
SEC FILE NUMBER
N
N
Regal Securities, Inc.
8-21765
SEC FILE NUMBER
N
N
Access Financial Group, Inc.
8-46065
SEC FILE NUMBER
N
N
Aventura Securities, LLC
8-67458
SEC FILE NUMBER
N
N
Westminster Financial Securities, Inc.
8-38426
SEC FILE NUMBER
N
N
USI Securities, Inc.
8-50429
SEC FILE NUMBER
N
N
Transamerica Financial Advisors, Inc.
549300JW32XCZSHI0878
N
N
Avondale Partners, LLC
254900799PKXEPTDRJ40
N
N
Aon Benfield Securities, Inc.
5493002ME0O127QJJG03
N
N
KW Securities Corporation
8-24792
SEC FILE NUMBER
N
N
American Heritage Securities, Inc.
8-44466
SEC FILE NUMBER
N
N
L.S.Y., Inc.
8-17613
SEC FILE NUMBER
N
N
Somerset Securities, Inc.
8-11539
SEC FILE NUMBER
N
N
Coastal Equities, Inc.
8-40822
SEC FILE NUMBER
N
N
N.I.S. Financial Services, Inc.
8-15919
SEC FILE NUMBER
N
N
Purshe Kaplan Sterling Investments
8-46844
SEC FILE NUMBER
N
N
Leumi Investment Services Inc.
5493005SJQ3VQ5DEE756
N
N
Benjamin F. Edwards & Company, Inc.
8-68023
SEC FILE NUMBER
N
N
Nelson Ivest Brokerage Services, Inc.
8-26448
SEC FILE NUMBER
N
N
First Mercantile Trust Company
028-10498
SEC FILE NUMBER
N
Y
RBC Capital Markets, LLC
549300LCO2FLSSVFFR64
N
Y
Sentinel Securities, Inc.
8-53142
SEC FILE NUMBER
N
N
Raymond James Financial Services, Inc.
RGUZHJ05YTITL6D76949
N
N
NTB Financial Corporation
8-21884
SEC FILE NUMBER
N
N
Northern Capital Securities Corporation
254900ZANH7XTB94LS53
N
N
H. C. Denison Co.
8-00044
SEC FILE NUMBER
N
N
Synovus Securities, Inc.
254900CM2K7N1E0JF171
N
N
Planned Financial Programs, Inc.
8-05727
SEC FILE NUMBER
N
N
Polar Investment Counsel, Inc.
8-50039
SEC FILE NUMBER
N
N
CUNA Brokerage Services, Inc.
549300G6Y6BPF9ZL4706
N
N
MWA Financial Services Inc.
8-53255
SEC FILE NUMBER
N
N
Capitol Securities Management, Inc.
8-30353
SEC FILE NUMBER
N
N
BD4RIA, Inc.
8-70022
SEC FILE NUMBER
N
N
Sanctuary Securities, Inc.
2549007WBAL2Z578XQ34
N
N
Neuberger Berman LLC
PWDS3JJ631D5N70JXG61
N
N
TCAdvisors Network Inc.
8-46909
SEC FILE NUMBER
N
N
Nationwide Financial Services, Inc.
5493001H7AZNDS6BKJ36
N
Y
Northland Securities, Inc.
254900ZIK4MLVQAWLS15
N
N
Digital Retirement Solutions, Inc.
N/A
N
Y
Principal Securities, Inc.
8-13975
SEC FILE NUMBER
N
N
Diversified Resources, LLC
8-45497
SEC FILE NUMBER
N
N
Intercarolina Financial Services, Inc.
8-37519
SEC FILE NUMBER
N
N
Vorpahl Wing Securities
8-51823
SEC FILE NUMBER
N
N
Jefferies, LLC
58PU97L1C0WSRCWADL48
N
N
Triad Advisors, Inc.
8-42007
SEC FILE NUMBER
N
N
Chapin Davis Inc
8-43485
SEC FILE NUMBER
N
N
Investment Network Inc.
8-66036
SEC FILE NUMBER
N
N
Shareholders Service Group, Inc.
8-65778
SEC FILE NUMBER
N
N
Woodlands Securities Corporation
8-39700
SEC FILE NUMBER
N
N
TD Private Client Wealth LLC
8-69105
SEC FILE NUMBER
N
N
T. Rowe Price Investment Services, Inc.
8-25130
SEC FILE NUMBER
N
N
NorthWestern Mutual Investment Services, LLC
CYO86L8D7HTXW9SOZX28
N
N
Infinity Securities, Inc.
8-67647
SEC FILE NUMBER
N
N
Morgan Stanley & Co. LLC
9R7GPTSO7KV3UQJZQ078
N
N
Great-West Financial Retirement Plan Services, LLC
N/A
N
Y
M. S. Howells & Co.
8-52558
SEC FILE NUMBER
N
N
Navaid Financial Services, Inc.
8-49897
SEC FILE NUMBER
N
N
Fairport Capital, Inc.
8-32162
SEC FILE NUMBER
N
N
Teckmeyer Financial Services, L.L.C.
8-48501
SEC FILE NUMBER
N
N
Folger Nolan Fleming Douglas Incorporated
8-03335
SEC FILE NUMBER
N
N
Empire Asset Management Company
8-67520
SEC FILE NUMBER
N
N
Robert W. Baird & Co. Incorporated
549300772UJAHRD6LO53
N
N
TCFG Wealth Management, LLC
8-69089
SEC FILE NUMBER
N
N
USCA Securities LLC
254900GBMSP1Y45THR66
N
N
G.L.S. & Associates, Inc.
8-51808
SEC FILE NUMBER
N
N
B. Riley Wealth Management Holdings, Inc
8-31206
SEC FILE NUMBER
N
N
Capital Portfolio Management, Inc.
8-44225
SEC FILE NUMBER
N
N
Hornor, Townsend & Kent, Inc.
8-14715
SEC FILE NUMBER
N
N
CBIZ Financial Solutions, Inc.
8-34205
SEC FILE NUMBER
N
N
Exeter Trust Company
028-04279
SEC FILE NUMBER
N
N
H. Beck, Inc.
8-31165
SEC FILE NUMBER
N
N
William Blair & Company L.L.C.
549300J0P7XYE8BMZ775
N
N
Roberts & Ryan Investments Inc.
254900A6VIVO4DP1T126
N
N
Hanson McClain Retirement Network, LP
8-52250
SEC FILE NUMBER
N
N
Midland Securities, Ltd.
8-40685
SEC FILE NUMBER
N
N
Voya Financial Partners, LLC
8-13987
SEC FILE NUMBER
N
N
Darwood Associates Incorporated
8-16560
SEC FILE NUMBER
N
N
Investment Security Corporation
8-51832
SEC FILE NUMBER
N
N
Westco Investment Corp.
8-38452
SEC FILE NUMBER
N
N
M Holdings Securities, Inc.
8-50214
SEC FILE NUMBER
N
N
City National Bank
549300MEMKSF7703ZQ25
N
N
MMA Securities LLC
8-50591
SEC FILE NUMBER
N
N
Cetera Advisor Networks LLC
8-29577
SEC FILE NUMBER
N
N
T. Rowe Price Retirement Plan Services, Inc.
084-06219
SEC FILE NUMBER
N
Y
Capital Management Securities, Inc.
8-27779
SEC FILE NUMBER
N
N
Maplewood Investment Advisors, Inc.
8-52221
SEC FILE NUMBER
N
N
ADP Broker-Dealer, Inc.
8-47885
SEC FILE NUMBER
N
Y
United Brokerage Services, Inc.
8-48685
SEC FILE NUMBER
N
N
FNBB Capital Markets, LLC
8-66553
SEC FILE NUMBER
N
N
Tocqueville Securities L.P.
8-42223
SEC FILE NUMBER
N
N
TIAA-CREF Individual & Institutional Services, LLC
8-44454
SEC FILE NUMBER
N
N
NYLife Securities LLC
8-15517
SEC FILE NUMBER
N
N
Adcap Securities, LLC
254900EMZBEIM1FAO022
N
N
Vision Financial Markets LLC
549300J0X8HK9GUADL55
N
N
Centennial Securities Company, LLC
8-23406
SEC FILE NUMBER
N
N
Portsmouth Financial Services
8-30097
SEC FILE NUMBER
N
N
Signal Securities, Inc.
8-32948
SEC FILE NUMBER
N
N
BNY Mellon Securities Corporation
8-13801
SEC FILE NUMBER
N
N
R. F. Lafferty & Co., Inc.
254900KLPTMWPBZWH264
N
N
VALIC Financial Advisors, Inc.
8-50018
SEC FILE NUMBER
N
N
Institutional Securities Corporation
2549007EJ1PSLA8XVA50
N
N
Southeast Investments, N.C., Inc.
8-50127
SEC FILE NUMBER
N
N
Horace Mann Investors, Inc.
8--6082
SEC FILE NUMBER
N
N
Broadridge Business Process Outsourcing, LLC
8-53412
SEC FILE NUMBER
N
Y
Planners Financial Services, Inc.
8-18027
SEC FILE NUMBER
N
N
Citigroup Global Markets Inc.
MBNUM2BPBDO7JBLYG310
N
N
SWBC Investment Services, LLC
254900YIJJWABADWZ455
N
N
Wells Fargo Clearing Services, LLC
88KRVSOEKUGQZJ3DKW55
N
Y
CGIS Securities LLC
254900GOI7SHVRZ5BG90
N
N
Nest Investments BD, LLC
8-70117
SEC FILE NUMBER
N
N
G. W. & Wade Asset Management Company, LLC
8-42013
SEC FILE NUMBER
N
N
Spire Securities, LLC
8-67635
SEC FILE NUMBER
N
N
Sigma Financial Corporation
8-30466
SEC FILE NUMBER
N
N
Cape Securities Inc.
8-20747
SEC FILE NUMBER
N
N
Mid-Atlantic Clearing & Settlement Corp.
8-47758
SEC FILE NUMBER
N
N
Allen C Ewing & Co.
8-42393
SEC FILE NUMBER
N
N
Liberty Capital Investment Corporation
8-42051
SEC FILE NUMBER
N
N
Amuni Financial, Inc
8-25338
SEC FILE NUMBER
N
N
Woodmen Financial Services, Inc.
8-53592
SEC FILE NUMBER
N
N
Cabot Lodge Securities, LLC
8-69009
SEC FILE NUMBER
N
N
Benchmark Investments, Inc.
8-52280
SEC FILE NUMBER
N
N
MidWestern Securities Trading Company, LLC
8-52074
SEC FILE NUMBER
N
N
SFA Financial, LLC
8-68156
SEC FILE NUMBER
N
N
State Street Bank and Trust Company
571474TGEMMWANRLN572
N
N
Barclays Capital Inc.
AC28XWWI3WIBK2824319
N
N
Y
BLACKROCK ADVISORS, LLC
5493001LN9MRM6A35J74
Y
N
BNY Mellon Investment Servicing (US) Inc.
549300CFZQLI9QMJ1Z03
N
Y
N
BLACKROCK EXECUTION SERVICES
008-48719
000039438
549300HFCRQ0NT5KY652
0.00000000
BLACKROCK INVESTMENTS, LLC
008-48436
000038642
54930061FBHCKXL2G714
0.00000000
UBS Securities LLC
008-22651
000007654
T6FIZBDPKLYJKFCRVK44
468.00000000
RBC CAPITAL MARKETS, LLC
008-45411
000031194
549300LCO2FLSSVFFR64
219.00000000
CitiGroup Global Markets Inc.
008-08177
000007059
MBNUM2BPBDO7JBLYG310
552.00000000
BOFA SECURITIES, INC.
008-69787
000283942
549300HN4UKV1E2R3U73
252.00000000
JEFFERIES LLC
008-15074
000002347
58PU97L1C0WSRCWADL48
324.00000000
EXANE, INC.
008-49569
000041784
6SDWK6FV8H98XAGSYS75
899.00000000
J.P. Morgan Securities LLC
008-35008
000000079
ZBUT11V806EZRVTWT807
258.00000000
BARCLAYS CAPITAL, INC.
008-41342
000019714
AC28XWWI3WIBK2824319
479.00000000
LOOP CAPITAL MARKETS LLC
008-50140
000043098
254900FPPM2WN90D4786
246.00000000
MORGAN STANLEY & CO. LLC
008-15869
000008209
9R7GPTSO7KV3UQJZQ078
213.00000000
5023.00000000
BlackRock Liquidity Funds T-Fund
N/A
N/A
5493002L9DNZ83RX7V61
34978945.00000000
34978945.00000000
N
10064596.00000000
0.00000000
Committed
1750000000.00000000
N
N
N
N
BlackRock Mid-Cap Growth Equity Portfolio
S000001505
549300VLQD7ENY3MA898
N
6
0
0
N/A
N
N
Y
N
N
BlackRock Investment Management, LLC
5493006MRTEZZ4S4CQ20
Y
N
Other
Revenue sharing split
Cash collateral reinvestment fee
Rebates paid to borrowers
396907108.00000000
1384390.00000000
Rule 12d1-4 (17 CFR 270.12d1-4)
Rule 12d1-1 (17 CFR 270.12d1-1)
Rule 32a-4 (17 CFR 270.32a-4)
Rule 22d-1 (17 CFR 270.22d-1)
Y
Y
N
N
BlackRock Advisors, LLC
801-47710
000106614
5493001LN9MRM6A35J74
N
BNY Mellon Investment Servicing (US) Inc.
084-01761
549300CFZQLI9QMJ1Z03
N
N
N
Bloomberg Finance L.P.
5493001KJTIIGC8Y1R12
N
Intercontinental Exchange, Inc.
5493000F4ZO33MV32P92
N
N
The Hongkong and Shanghai Banking Corporation Limited, Australia Branch
2HI3YI5320L3RW6NJ957
AU
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
CLEARSTREAM BANKING AKTIENGESELLSCHAFT (Germany)
549300298FD7AS4PPU70
DE
N
Y
Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Credit Suisse (Switzerland) Ltd.
549300CWR0W0BCS9Q144
CH
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
MONTE TITOLI S.P.A.
8156009CEEE1B8C7C646
IT
N
Y
Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Euroclear France
54930060MY6S68NEUP16
FR
N
Y
Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
MUFG Bank, Ltd.
C3GTMMZIHMY46P4OIX74
JP
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
UBS Securities LLC
T6FIZBDPKLYJKFCRVK44
N
Y
Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Euroclear UK & Ireland Limited
549300M5MYAD51WHJD55
GB
N
Y
Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
CIBC Mellon Trust Company
549300IYUUH221WBZ505
CA
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Euroclear Nederland (Netherlands)
549300CBNW05DILT6870
NL
N
Y
Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
The Hongkong and Shanghai Banking Corporation Limited
2HI3YI5320L3RW6NJ957
HK
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Banco Bilbao Vizcaya Argentaria SA
K8MS7FD7N5Z2WQ51AZ71
ES
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Euroclear Bank SA/NV (Belgium)
549300OZ46BRLZ8Y6F65
BE
N
Y
Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Skandinaviska Enskilda Banken AB
F3JS33DEI6XQ4ZBPTN86
SE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Skandinaviska Enskilda Banken AB, Oslo Branch
F3JS33DEI6XQ4ZBPTN86
NO
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
The Bank of New York Mellon
HPFHU0OQ28E4N0NFVK49
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
N
Alliant Securities, Inc. Turner, Nord, Kienbaum
8-23305
SEC FILE NUMBER
N
N
Western Equity Group, Inc.
8-66403
SEC FILE NUMBER
N
N
Barclays Capital Inc.
AC28XWWI3WIBK2824319
N
N
Buckram Securities LTD
8-65939
SEC FILE NUMBER
N
N
Moloney Securities Co., Inc.
8-48326
SEC FILE NUMBER
N
N
Security Distributors, Inc.
8-10781
SEC FILE NUMBER
N
N
Triad Advisors, Inc.
8-42007
SEC FILE NUMBER
N
N
Fidelity Brokerage Services LLC
549300OQFQ4NFIOD5695
N
Y
Robert W. Baird & Co. Incorporated
549300772UJAHRD6LO53
N
N
Buell Securities Corp
8-22058
SEC FILE NUMBER
N
N
Edward D. Jones & Co., L.P.
YZRCLX72FTV74B522G90
N
N
Hennion & Walsh, Inc.
8-41988
SEC FILE NUMBER
N
N
Safra Securities LLC
E51AOUORNWWT747CBW71
N
N
Pershing, LLC
8-17574
SEC FILE NUMBER
N
Y
Capital Synergy Partners, Inc.
8-68060
SEC FILE NUMBER
N
N
Financial Northeastern Securities, Inc.
549300QRRF2NAV5G3869
N
N
Umpqua Investments, Inc.
8-02915
SEC FILE NUMBER
N
N
The Garbacz Group Inc.
8-42366
SEC FILE NUMBER
N
N
LPL Financial LLC
5493005NM7F0H1N3EQ39
N
Y
Innovation Partners LLC
549300IEQ78ON1HMTU71
N
N
American National Trust And Investment Management Company
028-00344
SEC FILE NUMBER
N
N
Cabot Lodge Securities, LLC
8-69009
SEC FILE NUMBER
N
N
KCD Financial, Inc.
8-66005
SEC FILE NUMBER
N
N
SunTrust Investment Services, Inc.
8-35355
SEC FILE NUMBER
N
N
Thompson Davis & Co., Inc.
8-49386
SEC FILE NUMBER
N
N
IFP Securities
8-70150
SEC FILE NUMBER
N
N
APW Capital, Inc.
8-50433
SEC FILE NUMBER
N
N
Ustocktrade Securities, Inc.
8-33132
SEC FILE NUMBER
N
N
Snowden Account Services, Inc.
254900WVSS0BX602UF45
N
N
CNR Securities LLC
8-36759
SEC FILE NUMBER
N
N
World Choice Securities, Inc.
8-45235
SEC FILE NUMBER
N
N
Proequities, Inc.
8-32590
SEC FILE NUMBER
N
N
Navaid Financial Services, Inc.
8-49897
SEC FILE NUMBER
N
N
World Capital Brokerage, Inc.
8-06805
SEC FILE NUMBER
N
N
McClurg Capital Corporation
8-34473
SEC FILE NUMBER
N
N
Coinbase Capital Markets Corporation
8-28032
SEC FILE NUMBER
N
N
TIAA-CREF Individual & Institutional Services, LLC
8-44454
SEC FILE NUMBER
N
N
First Bankers' Banc Securities, Inc.
549300XZ7YYT3Y0SU530
N
N
Grant Williams L.P.
8-51249
SEC FILE NUMBER
N
N
Apex Clearing Corporation
5493000418CITRF5BO80
N
N
American Trust Investment Services, Inc.
8-14394
SEC FILE NUMBER
N
N
Access Financial Group, Inc.
8-46065
SEC FILE NUMBER
N
N
Horace Mann Life Insurance Co.
5493000HR2JKKNH2FL09
N
N
Laidlaw & Company (UK) Ltd.
8-53731
SEC FILE NUMBER
GB
N
N
Center Street Securities, Inc.
8-42786
SEC FILE NUMBER
N
N
Reliance Trust Company
549300NV8FSQRNOUQO50
N
Y
Lieblong & Associates, Inc.
8-49880
SEC FILE NUMBER
N
N
NYLife Securities LLC
8-15517
SEC FILE NUMBER
N
N
Integrated Financial Planning Services
8-35120
SEC FILE NUMBER
DE
N
N
TrustFirst, Inc.
8-48509
SEC FILE NUMBER
N
N
Harbour Investments, Inc.
8-37373
SEC FILE NUMBER
N
N
Woodbury Financial Services, Inc.
8-13846
SEC FILE NUMBER
N
N
Anovest Financial Services, Inc.
8-66742
SEC FILE NUMBER
N
N
UBS Financial Services Inc.
ETYRV6ORNFJB5NONI676
N
N
Conover Securities Corporation
8-35085
SEC FILE NUMBER
N
N
Genworth Life Insurance Company of New York
E5VAS7I8GX5B0SDBX010
N
Y
Rodgers Brothers, Inc.
8-33475
SEC FILE NUMBER
N
N
Capital Investment Group, Inc.
8-31225
SEC FILE NUMBER
N
N
First Heartland Capital, Inc.
8-46008
SEC FILE NUMBER
N
N
TCFG Wealth Management, LLC
8-69089
SEC FILE NUMBER
N
N
Classic LLC
8-68981
SEC FILE NUMBER
N
N
ICMA-RC Services, Inc.
8-40268
SEC FILE NUMBER
N
N
International Assets Advisory, LLC
254900ARMOHQNS987S09
N
N
Benefit Plans Administrative Services, Inc.
N/A
N
Y
Logan Group Securities
8-48995
SEC FILE NUMBER
N
N
Chalice Capital Partners, LLC
8-69967
SEC FILE NUMBER
N
N
SCF Securities, Inc.
8-51760
SEC FILE NUMBER
N
N
TD Ameritrade, Inc.
CWQYQU0TV2NLMLZKNB44
N
Y
Cary Street Partners LLC
8-66085
SEC FILE NUMBER
N
N
Principled Advisors, Inc.
8-66451
SEC FILE NUMBER
N
N
DMK Advisor Group, Inc.
8-49279
SEC FILE NUMBER
N
N
Coldstream Securities, Inc.
8-51549
SEC FILE NUMBER
N
N
G. W. & Wade Asset Management Company, LLC
8-42013
SEC FILE NUMBER
N
N
American Global Wealth Management, Inc.
8-21584
SEC FILE NUMBER
N
N
David Lerner Associates, Inc.
8-20746
SEC FILE NUMBER
N
N
Hancock Whitney Corporation
549300GRNBWY8HIICT41
N
N
TD Private Client Wealth LLC
8-69105
SEC FILE NUMBER
N
N
USA Financial Securities Corporation
8-52342
SEC FILE NUMBER
N
N
PTS Brokerage, LLC
8-65173
SEC FILE NUMBER
N
N
BTG Pactual US Capital, LLC
549300EUEDL5GKQW8U35
N
N
Hazard & Siegel, Inc.
8-13942
SEC FILE NUMBER
N
N
Westco Investment Corp.
8-38452
SEC FILE NUMBER
N
N
M. S. Howells & Co.
8-52558
SEC FILE NUMBER
N
N
Smith, Moore & Co.
8-27480
SEC FILE NUMBER
N
N
American Equity Investment Corporation
8-49078
SEC FILE NUMBER
N
N
Saturna Trust Company
N/A
N
Y
SFA Financial, LLC
8-68156
SEC FILE NUMBER
N
N
Wright Investors' Service Distributors, Inc.
8-29579
SEC FILE NUMBER
N
N
Empire Asset Management Company
8-67520
SEC FILE NUMBER
N
N
Wells Fargo Clearing Services, LLC
88KRVSOEKUGQZJ3DKW55
N
Y
Consolidated Financial Investments, Inc.
8-37004
SEC FILE NUMBER
N
N
RNR Securities, L.L.C.
8-50366
SEC FILE NUMBER
N
N
Callaway Financial Services, Inc.
8-52474
SEC FILE NUMBER
N
N
Beaconsfield Financial Services, Inc.
8-30993
SEC FILE NUMBER
N
N
Marsco Investment Corporation
8-36754
SEC FILE NUMBER
N
N
Oppenheimer & Co. Inc.
254900VH02JQR2L8XD64
N
N
Diversified Resources, LLC
8-45497
SEC FILE NUMBER
N
N
L.M. Kohn & Company
8-43303
SEC FILE NUMBER
N
N
Vorpahl Wing Securities
8-51823
SEC FILE NUMBER
N
N
BFT Financial Group, LLC
8-53487
SEC FILE NUMBER
N
N
Hightower Securities, LLC
549300F189LKWDZLP954
N
N
Griffinest Asia Securities, LLC
8-66571
SEC FILE NUMBER
N
N
The Lawrence D. Vitez Corp. DBA Consolidated Securities
8-48642
SEC FILE NUMBER
N
N
Capital Investment Brokerage, Inc.
8-49118
SEC FILE NUMBER
N
N
PNC Bank, N.A.
AD6GFRVSDT01YPT1CS68
N
N
Mutual of Omaha Investor Services, Inc.
8-47290
SEC FILE NUMBER
N
N
Unionbanc Investment Services, LLC
254900Y9HI2TG6D79N41
N
N
The Jeffrey Matthews Financial Group, L.L.C.
25490086M6MGMYYVOJ50
N
N
American Enterprise Investment Services Inc.
549300NT7GLLVGTH0249
N
N
Western Growers Financial Services, Inc.
8-53458
SEC FILE NUMBER
N
N
CIBC World Markets Corp.
549300445CON3DBMU275
N
N
H. C. Denison Co.
8-00044
SEC FILE NUMBER
N
N
Harbor Investment Advisory, LLC
8-68334
SEC FILE NUMBER
N
N
T. Rowe Price Investment Services, Inc.
8-25130
SEC FILE NUMBER
N
N
Private Client Services, LLC
8-68183
SEC FILE NUMBER
N
N
R.M. Stark & Co., Inc.
8-22543
SEC FILE NUMBER
N
N
Paradigm Equities, Inc.
8-45593
SEC FILE NUMBER
N
N
KW Securities Corporation
8-24792
SEC FILE NUMBER
N
N
Duncan-Williams, Inc.
25490045VHLUZ7H92Y27
N
N
Globalink Securities, Inc.
8-44509
SEC FILE NUMBER
N
N
Benchmark Investments, Inc.
8-52280
SEC FILE NUMBER
N
N
Cambridge Investment Research, Inc.
8-48740
SEC FILE NUMBER
N
N
Insigneo Securities, LLC
254900P4TTO6PU1VDH88
N
N
Rehmann Financial Network
8-69134
SEC FILE NUMBER
N
N
National Financial Services, LLC
549300JRHF1MHHWUAW04
N
Y
Leigh Baldwin & Co., LLC
8-48385
SEC FILE NUMBER
N
N
Coastal Equities, Inc.
8-40822
SEC FILE NUMBER
N
N
Nationwide Financial Services, Inc.
5493001H7AZNDS6BKJ36
N
Y
Raymond James & Associates, Inc.
U4ONQX15J3RO8XCKE979
N
N
CoreCap Investments, Inc.
8-47783
SEC FILE NUMBER
N
N
Alexander Capital, L.P.
8-48957
SEC FILE NUMBER
N
N
PTI Securities & Futures L.P.
8-44412
SEC FILE NUMBER
N
N
Insight Securities, Inc.
2549007I5MCG270G9341
N
N
FSC Securities Corporation
8-21770
SEC FILE NUMBER
N
N
American Century Investment Services, Inc.
8-35220
SEC FILE NUMBER
N
N
TCAdvisors Network Inc.
8-46909
SEC FILE NUMBER
N
N
Transamerica Advisors Life Insurance Company
F1PLTWZ8OU4HQGZQAP31
N
N
Crown Capital Securities, L.P.
8-17264
SEC FILE NUMBER
N
N
Searle & Co.
8-28600
SEC FILE NUMBER
N
N
Planmember Securities Corporation
8-25065
SEC FILE NUMBER
N
N
E*Trade Savings Bank
549300DXPO50FJ75QA85
N
Y
Northern Capital Securities Corporation
254900ZANH7XTB94LS53
N
N
Investshares, Inc
8-68365
SEC FILE NUMBER
N
N
Great Point Capital LLC
254900HN4IGCO53HDK23
N
N
National Securities Corp.
8-164
SEC FILE NUMBER
N
N
First Mercantile Trust Company
028-10498
SEC FILE NUMBER
N
Y
SecureVest Financial Group
254900LG3HPQV4J0WH27
N
N
Independence Capital Co., Inc.
8-41331
SEC FILE NUMBER
N
N
SunTrust Bank
IYDOJBGJWY9T8XKCSX06
N
N
Blakeslee and Blakeslee Inc.
8-32071
SEC FILE NUMBER
N
N
Adcap Securities, LLC
254900EMZBEIM1FAO022
N
N
Feltl & Company
8-18435
SEC FILE NUMBER
N
N
Avisen Securities, Inc.
8-65833
SEC FILE NUMBER
N
N
Amerant Investments, Inc.
254900M8G8SSAIMHET60
N
N
Regions Bank
EQTWLK1G7ODGC2MGLV11
N
N
Somerset Securities, Inc.
8-11539
SEC FILE NUMBER
N
N
Associated Investment Services, Inc.
8-00099
SEC FILE NUMBER
N
N
Signature Securities Group Corporation
8-52697
SEC FILE NUMBER
N
N
Buckman, Buckman & Reid, Inc.
254900D688L15B5HJB06
N
N
Xml Securities, LLC
8-67776
SEC FILE NUMBER
N
N
Sentinel Securities, Inc.
8-53142
SEC FILE NUMBER
N
N
Securities America, Inc.
8-26602
SEC FILE NUMBER
N
N
MMA Securities LLC
8-50591
SEC FILE NUMBER
N
N
Hazlett, Burt & Watson, Inc.
8-17737
SEC FILE NUMBER
N
N
Principal Securities, Inc.
8-13975
SEC FILE NUMBER
N
N
Weston Securities Corporation
8-32664
SEC FILE NUMBER
N
N
Healthcare Community Securities Corporation
8-46981
SEC FILE NUMBER
N
N
Independent Brokerage Solutions LLC
8-68549
SEC FILE NUMBER
N
N
Infinity Securities, Inc.
8-67647
SEC FILE NUMBER
N
N
Landaas & Company
8-51826
SEC FILE NUMBER
N
N
Garden State Securities, Inc.
8-25790
SEC FILE NUMBER
N
N
T.R. Winston & Company, LLC
8-27519
SEC FILE NUMBER
N
N
American Wealth Management
8-41807
SEC FILE NUMBER
N
N
Sorrento Pacific Financial, LLC
8-66046
SEC FILE NUMBER
N
N
M Holdings Securities, Inc.
8-50214
SEC FILE NUMBER
N
N
Folio Investments, Inc.
8-52009
SEC FILE NUMBER
N
N
Kovack Securities Inc.
25490070RG17Z4I70I82
N
N
Cresap, Inc.
8-42117
SEC FILE NUMBER
N
N
Woodlands Securities Corporation
8-39700
SEC FILE NUMBER
N
N
Heim, Young & Associates, Inc.
8-48500
SEC FILE NUMBER
N
N
Middlegate Securities Ltd.
549300ZVONUQ845QCH95
N
N
L.S.Y., Inc.
8-17613
SEC FILE NUMBER
N
N
Arete Wealth Management, LLC
8-50854
SEC FILE NUMBER
N
N
Western International Securities, Inc.
8-48572
SEC FILE NUMBER
N
N
Sycamore Financial Group
8-30302
SEC FILE NUMBER
N
N
Superior Financial Services, Inc.
549300BK1DNLS1A2MZ43
N
N
Amegy Investments, Inc. (Zions)
8-65399
SEC FILE NUMBER
N
N
McLaughlin Ryder Investments, Inc.
8-67911
SEC FILE NUMBER
N
N
NYLife Distributors LLC
8-46655
SEC FILE NUMBER
N
N
Ameriprise Financial Services, Inc.
8-16791
SEC FILE NUMBER
N
N
TransAm Securities, Inc.
8-37065
SEC FILE NUMBER
N
N
Hudson Heritage Capital Management, Inc.
8-50648
SEC FILE NUMBER
N
N
First Southern, LLC
8-69733
SEC FILE NUMBER
N
N
Gladowsky Capital Management Corp.
8-51017
SEC FILE NUMBER
N
N
Global Brokerage Services, Inc.
8-47763
SEC FILE NUMBER
N
N
Trustmont Financial Group, Inc.
8-36439
SEC FILE NUMBER
N
N
Royal Alliance Associates, Inc.
8-40218
SEC FILE NUMBER
N
N
HSBC Securities (USA), Inc.
CYYGQCGNHMHPSMRL3R97
N
N
Intervest International Equities Corporation
8-38156
SEC FILE NUMBER
N
N
Capital Institutional Services, Inc.
54930061X8RDWFDJIS05
N
N
Bruderman Brothers, LLC
8-51974
SEC FILE NUMBER
N
N
Thurston, Springer, Miller, Herd & Titak, Inc.
8-25452
SEC FILE NUMBER
N
N
S.A. Stone Wealth Management
8-36638
SEC FILE NUMBER
N
N
Founders Financial Securities LLC
8-67137
SEC FILE NUMBER
N
N
Centennial Securities Company, LLC
8-23406
SEC FILE NUMBER
N
N
Voya Retirement Insurance and Annuity Company
OK3MKCDYPD4NN6QDGK18
N
Y
Thoroughbred Financial Services, LLC
8-51944
SEC FILE NUMBER
N
N
Morgan Stanley & Co. LLC
9R7GPTSO7KV3UQJZQ078
N
N
Hantz Financial Services, Inc.
8-51291
SEC FILE NUMBER
N
N
City National Bank
549300MEMKSF7703ZQ25
N
N
Jack V. Butterfield Investment Company
8-12454
SEC FILE NUMBER
N
N
Invex, Inc.
NPOTUCXQYGXX5PO6VH74
N
N
Dempsey Lord Smith, LLC
8-67469
SEC FILE NUMBER
N
N
Robinson & Robinson, Inc.
8-17109
SEC FILE NUMBER
N
N
Axiom Capital Management, Inc.
254900WW7SK1IMK6NO54
N
N
Watermark Securities, Inc.
8-43902
SEC FILE NUMBER
N
N
Concorde Investment Services, LLC
8-68388
SEC FILE NUMBER
N
N
Wood (Arthur W.) Company, Inc.
8-03368
SEC FILE NUMBER
N
N
Allianz Life Financial Services, LLC
5493008TSI0TRWDDGW79
N
N
U.S. Bancorp Investments, Inc.
H85Z6XZP8B10ES0M2G89
N
N
CapFinancial Securities, LLC
8-65870
SEC FILE NUMBER
N
N
Sigma Financial Corporation
8-30466
SEC FILE NUMBER
N
N
Vanguard Group, Inc., The
5493002789CY3L0CJP65
N
Y
Talcott Resolution Life Insurance Company
8CE7JPU9IU72L3PPD756
N
Y
Principal Life Insurance Company
SDCMU2LVKGV2AF1KWP64
N
Y
Advisory Group Equity Services, Ltd.
8-32155
SEC FILE NUMBER
N
N
BAC Florida Investments
254900CAF9OPVE8VT408
N
N
Sage, Rutty & Co., Inc.
8-00533
SEC FILE NUMBER
N
N
The Investment Center, Inc.
8-35826
SEC FILE NUMBER
N
N
B.C. Ziegler & Company
549300NLEOFP92P38Q71
N
N
D.H. Hill Securities LLP
8-49475
SEC FILE NUMBER
N
N
First Honolulu Securities, Inc.
8-23919
SEC FILE NUMBER
N
N
Coker & Palmer, Inc.
254900V1KTPDN88TDS68
N
N
MSEC, LLC
8-68627
SEC FILE NUMBER
N
N
Bley Investments Group, Inc.
8-42701
SEC FILE NUMBER
N
N
DFPG Investments, Inc.
8-68730
SEC FILE NUMBER
N
N
Saxony Securities, Inc.
8-53490
SEC FILE NUMBER
N
N
The Tavenner Company
8-41206
SEC FILE NUMBER
N
N
Allegiance Capital, L.L.C.
8-52978
SEC FILE NUMBER
N
N
Omni Financial Securities
8-44034
SEC FILE NUMBER
N
N
Allstate Financial Services, LLC
8-36365
SEC FILE NUMBER
N
N
S.G. Long & Company
8-51816
SEC FILE NUMBER
N
N
The Windmill Group, Inc.
8-25280
SEC FILE NUMBER
N
N
Worth Financial Group Inc.
8-29827
SEC FILE NUMBER
N
N
Fieldpoint Private Securities, LLC
8-37105
SEC FILE NUMBER
N
N
Devenir, LLC
8-65837
SEC FILE NUMBER
N
N
Cape Securities Inc.
8-20747
SEC FILE NUMBER
N
N
Portsmouth Financial Services
8-30097
SEC FILE NUMBER
N
N
Aufhaser Securities, Inc.
8-48786
SEC FILE NUMBER
N
N
Monere Investments, Inc.
8-52982
SEC FILE NUMBER
N
N
Broadridge Business Process Outsourcing, LLC
8-53412
SEC FILE NUMBER
N
Y
Ameritas Investment Corp.
549300913B54XKSRM258
N
N
TimeCapital Securities Corporation
8-18248
SEC FILE NUMBER
N
N
CGIS Securities LLC
254900GOI7SHVRZ5BG90
N
N
Folger Nolan Fleming Douglas Incorporated
8-03335
SEC FILE NUMBER
N
N
Country Capital Management Company
8-12645
SEC FILE NUMBER
N
N
New England Pension Plan Systems, LLC
N/A
N
Y
Vision Financial Markets LLC
549300J0X8HK9GUADL55
N
N
H. Beck, Inc.
8-31165
SEC FILE NUMBER
N
N
Hanson McClain Retirement Network, LP
8-52250
SEC FILE NUMBER
N
N
Sammons Financial Network, LLC
8-68905
SEC FILE NUMBER
N
N
Ascensus Financial Services, LLC
8-67891
SEC FILE NUMBER
N
N
Wiley Bros.-Aintree Capital, LLC
8-03774
SEC FILE NUMBER
N
N
Country Club Financial Services, Inc.
8-44574
SEC FILE NUMBER
N
N
Leumi Investment Services Inc.
5493005SJQ3VQ5DEE756
N
N
Planners Financial Services, Inc.
8-18027
SEC FILE NUMBER
N
N
J.D. Seibert & Company, Inc.
8-23604
SEC FILE NUMBER
N
N
Mid Atlantic Capital Corporation
549300HJL2LPNSC0JX96
N
N
Commonwealth Equity Services, Inc.
8-24040
SEC FILE NUMBER
N
N
Kestra Investment Services, LLC
8-49672
SEC FILE NUMBER
N
N
Muriel Seibert & Co., Inc.
8-14900
SEC FILE NUMBER
N
N
FMSBonds, Inc.
549300TUTBK58NSF2517
N
N
Rogan & Associates, Inc.
8-49995
SEC FILE NUMBER
N
N
USI Securities, Inc.
8-50429
SEC FILE NUMBER
N
N
ViewTrade Securities, Inc.
549300CHLQDUD0NL5851
N
N
Capital Portfolio Management, Inc.
8-44225
SEC FILE NUMBER
N
N
John Hancock Life Insurance Company
QQ0OZ8J9C4B5QT1XDG31
CA
N
Y
Madison Avenue Securities, Inc.
8-40426
SEC FILE NUMBER
N
N
Fifth Third Bank
QFROUN1UWUYU0DVIWD51
N
N
American Financial Associates, Inc.
8-44065
SEC FILE NUMBER
N
N
Nest Investments BD, LLC
8-70117
SEC FILE NUMBER
N
N
Stifel, Nicolaus & Company, Incorporated
5WUVMA08EYG4KEUPW589
N
Y
Monex Securities, Inc.
254900VTZ3HYHNEJRX35
N
N
Peak Brokerage Services, LLC
8-68829
SEC FILE NUMBER
N
N
Benjamin F. Edwards & Company, Inc.
8-68023
SEC FILE NUMBER
N
N
The O.N. Equity Sales Company
8-14161
SEC FILE NUMBER
N
N
Allen C Ewing & Co.
8-42393
SEC FILE NUMBER
N
N
PNC Investments, LLC
8-66195
SEC FILE NUMBER
N
N
UBS AG, New York Branch
BFM8T61CT2L1QCEMIK50
N
N
Parkland Securities, LLC
8-53482
SEC FILE NUMBER
N
N
Camden Financial Services
8-37303
SEC FILE NUMBER
N
N
Investment Network Inc.
8-66036
SEC FILE NUMBER
N
N
American United Life Insurance Company
549300T82H2DXU80LV98
N
Y
R. Seelaus & Co., Inc.
2138004J7AJDLCOJYA06
N
N
ING Financial Markets LLC
KBVRJ5K57JZ3E2AVWX40
N
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Valley National Investments, Inc.
8-34427
SEC FILE NUMBER
N
N
Commerce Brokerage Services, Inc.
8-35096
SEC FILE NUMBER
N
N
International Research Securities, Inc.
8-37954
SEC FILE NUMBER
N
N
Oriental Financial Services Corp.
8-44516
SEC FILE NUMBER
N
N
VALIC Financial Advisors, Inc.
8-50018
SEC FILE NUMBER
N
N
Huntleigh Securities Corporation
8-21893
SEC FILE NUMBER
N
N
Nelson Ivest Brokerage Services, Inc.
8-26448
SEC FILE NUMBER
N
N
American Independent Securities Group, LLC
8-66905
SEC FILE NUMBER
N
N
BancWest Investment Services, Inc.
5493001GJYTESEZEBA51
N
N
LifeMark Securities Corp.
8-33478
SEC FILE NUMBER
N
N
Uhlmann Price Securities, LLC
8-50041
SEC FILE NUMBER
N
N
VBC Securities, LLC
8-44141
SEC FILE NUMBER
N
N
Hunter Associates, Inc.
8-44779
SEC FILE NUMBER
N
N
Corinthian Partners, L.L.C.
8-48461
SEC FILE NUMBER
N
N
Fifth Third Securities, Inc.
5493003IMO3TYX51WE43
N
N
XP Securities, LLC
549300HDFLS7P433PO89
N
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OFG Financial Services, Inc.
8-40770
SEC FILE NUMBER
N
N
Place Trade Financial, Inc.
8-65915
SEC FILE NUMBER
N
N
Variable Investment Advisors, Inc.
8-50699
SEC FILE NUMBER
N
N
Rothschild Investment Corporation
8-16429
SEC FILE NUMBER
N
N
Dorn & Co., Inc.
8-08707
SEC FILE NUMBER
N
N
United Brokerage Services, Inc.
8-48685
SEC FILE NUMBER
N
N
Great Pacific Securities
254900QRZ90SUI8C4W84
N
N
J.P. Morgan Securities LLC
ZBUT11V806EZRVTWT807
N
N
Hefren-Tillotson, Inc.
8-10646
SEC FILE NUMBER
N
N
Interactive Brokers LLC
50OBSE5T5521O6SMZR28
N
N
BTS Securities Corporation
8-26818
SEC FILE NUMBER
N
N
Cannon Securities, Inc.
8-68437
SEC FILE NUMBER
N
N
St. Bernard Financial Services, Inc.
8-47566
SEC FILE NUMBER
N
N
Pershing Advisor Solutions, LLC
549300KTC63JRN36GZ84
N
N
Integral Financial LLC
2549000I2CBZTJRHG786
N
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SG Americas Securities, LLC
549300F35UE0BOM1WJ55
N
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Harold W. Dance Inc.
8-12160
SEC FILE NUMBER
N
N
Northern Trust Securities, Inc.
3CHSO99JSPHD9HGNYJ46
N
N
Glen Eagle Advisors LLC
8-65678
SEC FILE NUMBER
N
N
Henley & Company LLC
8-66463
SEC FILE NUMBER
N
N
Farmers Financial Solutions, LLC
8-52361
SEC FILE NUMBER
N
N
Colliers Securities LLC
549300OD1C69R64IVC38
N
N
NTB Financial Corporation
8-21884
SEC FILE NUMBER
N
N
Vanderbilt Securities, LLC
8-16712
SEC FILE NUMBER
N
N
Gardner Financial Services, Inc.
8-38631
SEC FILE NUMBER
N
N
Riversource Distributors, Inc.
8-67196
SEC FILE NUMBER
N
N
Dinosaur Financial Group, LLC
549300CCV3H232GBUN83
N
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Securities Research, Inc.
8-23699
SEC FILE NUMBER
N
N
Oberweis Securities, Inc.
5493008EZH6DO1631P71
N
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S.L. Reed & Company
8-49178
SEC FILE NUMBER
N
N
AqGen Ascensus, Inc.
549300K5MHNFPEU2RK82
N
Y
State Farm VP Management Corp
8-50128
SEC FILE NUMBER
N
N
Prospera Financial Services, Inc.
8-28164
SEC FILE NUMBER
N
N
Transamerica Financial Advisors, Inc.
549300JW32XCZSHI0878
N
N
Conduent HR Services LLC
084-06035
SEC FILE NUMBER
N
Y
Voya Institutional Plan Services, LLC
N/A
N
N
Avantax Wealth Management, Inc
8-29533
SEC FILE NUMBER
N
N
Nestlerode & Loy, Inc.
8-12629
SEC FILE NUMBER
N
N
Actinver Securities, Inc.
254900FT947VQZ1WHT28
N
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UMB Financial Services, Inc.
254900GFVO9NGQ21JC37
N
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Bolton Securities Corp.
8-68187
SEC FILE NUMBER
N
N
Nationwide Securities, LLC
8-12500
SEC FILE NUMBER
N
N
Purshe Kaplan Sterling Investments
8-46844
SEC FILE NUMBER
N
N
DWS Distributors, Inc.
5299007T18XBURKJ1V64
N
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Perryman Securities, Inc.
8-53546
SEC FILE NUMBER
N
N
John Hancock Trust Company LLC
549300W205WZCFZS6R51
N
Y
Pyramid Funds Corporation
8-12769
SEC FILE NUMBER
N
N
Wells Fargo Securities, LLC
8-65876
SEC FILE NUMBER
N
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Stephens Inc.
213800LH6T9XDYZCA534
N
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TFS Securities, Inc.
8-38377
SEC FILE NUMBER
N
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Calton & Associates, Inc.
254900TDJ7LH64ZKRY86
N
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Capital City Securities, LLC
8-67771
SEC FILE NUMBER
N
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Investments For You, Inc.
8-44179
SEC FILE NUMBER
N
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Verity Investments, Inc.
8-49474
SEC FILE NUMBER
N
N
T. Rowe Price Retirement Plan Services, Inc.
084-06219
SEC FILE NUMBER
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Veritas Independent Partners, LLC
8-69363
SEC FILE NUMBER
N
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Gold Coast Securities, Inc.
8-53148
SEC FILE NUMBER
N
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N.I.S. Financial Services, Inc.
8-15919
SEC FILE NUMBER
N
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Pensionmark Securities, LLC
8-69773
SEC FILE NUMBER
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Great-West Financial Retirement Plan Services, LLC
N/A
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Y
Lincoln Financial Advisors Corporation
8-14685
SEC FILE NUMBER
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Shareholders Service Group, Inc.
8-65778
SEC FILE NUMBER
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Polar Investment Counsel, Inc.
8-50039
SEC FILE NUMBER
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L. B. Fisher & Company
8-21023
SEC FILE NUMBER
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WBB Securities, LLC
8-53660
SEC FILE NUMBER
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Keel Point Capital, LLC
8-22990
SEC FILE NUMBER
N
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Northwest Investment Advisors, Inc.
8-65282
SEC FILE NUMBER
N
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Davenport & Company LLC
254900GN2SAXJGLMS075
N
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MMC Securities Corp.
2549001ZA93O65N2ZM60
N
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SEI Private Trust Company
028-10625
SEC FILE NUMBER
N
Y
ADP Broker-Dealer, Inc.
8-47885
SEC FILE NUMBER
N
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Cutter & Company Brokerage, Inc.
8-39590
SEC FILE NUMBER
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Excel Securities & Associates, Inc.
8-34261
SEC FILE NUMBER
N
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TD Ameritrade Trust Company
028-15163
SEC FILE NUMBER
N
N
Hilltop Securities, Inc.
549300IXU82PMU6XZT45
N
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Roberts & Ryan Investments Inc.
254900A6VIVO4DP1T126
N
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Woodmen Financial Services, Inc.
8-53592
SEC FILE NUMBER
N
N
Teachers Insurance and Annuity Association of America
O06YD7BJ4EPYNABVFN69
N
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Carter, Terry & Company, Inc.
8-33797
SEC FILE NUMBER
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Charles Schwab & Co., Inc.
549300ZP8XN77GK5BS04
N
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Lebenthal Financial Services, Inc
8-67140
SEC FILE NUMBER
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Raymond James Financial Services, Inc.
RGUZHJ05YTITL6D76949
N
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Lincoln Financial Distributors, Inc.
8-13431
SEC FILE NUMBER
N
N
Wells Fargo Bank, N.A.
KB1H1DSPRFMYMCUFXT09
N
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USCA Securities LLC
254900GBMSP1Y45THR66
N
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SKA Securities, Inc.
8-53366
SEC FILE NUMBER
N
N
Invicta Capital, LLC
549300QY87LR84LRLL97
N
N
Cetera Investment Services, LLC
254900HBKNJ13M56N432
N
N
Piper Jaffray & Co.
549300GRQCWQ3XGH0H10
N
N
Morgan Stanley Smith Barney LLC
7PDDXEMZ0ZV0CEDU4D16
N
N
FNBB Capital Markets, LLC
8-66553
SEC FILE NUMBER
N
N
Brighton Securities Corp.
8-14599
SEC FILE NUMBER
N
N
NPB Financial Group, LLC
8-67113
SEC FILE NUMBER
N
N
Cuso Financial Services, L.P.
8-49711
SEC FILE NUMBER
N
N
Jefferies, LLC
58PU97L1C0WSRCWADL48
N
N
Northland Securities, Inc.
254900ZIK4MLVQAWLS15
N
N
Alight Solutions LLC
084-01996
SEC FILE NUMBER
N
Y
Benefit Trust Company
N/A
N
Y
Ace Diversified Capital, Inc.
8-49555
SEC FILE NUMBER
N
N
Fortune Financial Services, Inc.
8-49727
SEC FILE NUMBER
N
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Rhodes Securities, Inc.
8-37689
SEC FILE NUMBER
N
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Newport Group, Inc.
N/A
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Capitol Securities Management, Inc.
8-30353
SEC FILE NUMBER
N
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BD4RIA, Inc.
8-70022
SEC FILE NUMBER
N
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TradeStation Securities, Inc.
549300T08P71XXBYLW62
N
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Brooklight Place Securities, Inc.
8-32673
SEC FILE NUMBER
N
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Geneos Wealth Management, Inc.
8-65357
SEC FILE NUMBER
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E*Trade Securities
8-44112
SEC FILE NUMBER
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Ausdal Financial Partners, Inc.
8-24519
SEC FILE NUMBER
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OneAmerica Securities, Inc.
8-15009
SEC FILE NUMBER
N
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A.G.P/Alliance Global Partners
549300QJQ08RJGC7D885
N
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Lombard Securities, Inc.
8-43340
SEC FILE NUMBER
N
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Bankoh Investment Services, Inc.
8-44201
SEC FILE NUMBER
N
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American Capital Partners, LLC
254900I8NH46ZJJ4Z956
N
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Citigroup Global Markets Inc.
MBNUM2BPBDO7JBLYG310
N
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BBVA Securities Inc.
549300RJFN0Z663VE860
N
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Maxim Group LLC
254900OJ6JZO6SDMHQ83
N
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Santander Securities LLC
8-49571
SEC FILE NUMBER
N
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ACA/Prudent Investors Planning Corporation
8-51899
SEC FILE NUMBER
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BCG Securities, Inc.
8-12680
SEC FILE NUMBER
N
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Planned Financial Programs, Inc.
8-05727
SEC FILE NUMBER
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Amuni Financial, Inc
8-25338
SEC FILE NUMBER
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Portfolio Resources Group, Inc.
549300TKCYL1XNXOL896
N
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United Planners' Financial Services of America A Limited Partner
8-38485
SEC FILE NUMBER
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Synovus Securities, Inc.
254900CM2K7N1E0JF171
N
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The GMS Group, LLC
254900OXZT27TA5CGU56
N
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Finance 500, Inc.
8-28302
SEC FILE NUMBER
N
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Janney Montgomery Scott LLC
549300QQRY1JCFQHYS08
N
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Advanced Advisor Group, LLC
8-67313
SEC FILE NUMBER
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Bankers Life Securities, Inc.
549300YBBLCDP5GDSH97
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Cetera Financial Specialists LLC
8-27082
SEC FILE NUMBER
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Pruco Securities, LLC.
8-16402
SEC FILE NUMBER
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Equity Services, Inc.
8-14286
SEC FILE NUMBER
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Hartford Funds Management Company, LLC
801-77209
SEC FILE NUMBER
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Intercarolina Financial Services, Inc.
8-37519
SEC FILE NUMBER
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Whitehall-Parker Securities, Inc.
8-27688
SEC FILE NUMBER
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Samuel A Ramirez & Co., Inc.
254900CBKVW7O2ENQA21
N
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LaSalle St. Securities, L.L.C.
8-18860
SEC FILE NUMBER
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Investment Placement Group
5493005L3RL45FY4HR07
N
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GLP Investment Services
8-41868
SEC FILE NUMBER
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Trade-PMR Inc.
8-51390
SEC FILE NUMBER
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World Equity Group, Inc.
25490078J1OM7KOXR686
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SECU Brokerage Services
8-37927
SEC FILE NUMBER
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Comerica Securities, Inc.
5493009QV211JEW7ZV59
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NBC Securities, Inc.
254900GIP7RJQGHH5S19
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Allegheny Investments, Ltd.
8-22183
SEC FILE NUMBER
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IDB Capital Corp.
254900SH3QL0IL3S9R34
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CFS Securities, Inc.
8-51330
SEC FILE NUMBER
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Caldwell Securities, Inc.
549300ORF2FMHXODHJ66
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Mutual Securities, Inc.
8-28580
SEC FILE NUMBER
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1st Discount Brokerage, Inc.
8-48557
SEC FILE NUMBER
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Lincoln Douglas Investments LLC
8-68728
SEC FILE NUMBER
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Lion Street Financial, LLC
8-69183
SEC FILE NUMBER
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Emerson Equity LLC
8-66296
SEC FILE NUMBER
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Capital Management Securities, Inc.
8-27779
SEC FILE NUMBER
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Multiple Financial Services, Inc.
8-52017
SEC FILE NUMBER
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Independent Financial Group, LLC
254900KYWXHSQ7RMNP09
N
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Standard Insurance Company
549300KVA8DBYKHPXO21
N
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First Horizon Advisors, Inc.
8-35061
SEC FILE NUMBER
N
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Schlitt Investor Services, Inc.
8-34202
SEC FILE NUMBER
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Tocqueville Securities L.P.
8-42223
SEC FILE NUMBER
N
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Charles Schwab Bank
549300INFJ8TYNZ1G568
N
Y
Larson Financial Securities, LLC
8-68456
SEC FILE NUMBER
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First National Bank Alaska
25490089V5DJHFQMOA03
N
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First Asset Financial, Inc.
8-67191
SEC FILE NUMBER
N
N
San Blas Securities LLC
25490079436TZN10JD83
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B. Riley Wealth Management Holdings, Inc
8-31206
SEC FILE NUMBER
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Genworth Life & Annuity Insurance Company
TAI340D9BWT9R77O0P03
N
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Deutsche Bank Securities Inc.
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N
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CFD Investments, Inc.
8-41727
SEC FILE NUMBER
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First Manhattan Co.
549300NNJKVSO48I3G76
N
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Boreal Capital Securities LLC
549300NMHK6HTSKCG696
N
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SagePoint Financial, Inc.
8-66771
SEC FILE NUMBER
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Money Concepts Capital Corp.
8-29671
SEC FILE NUMBER
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Profinancial, Inc.
8-32026
SEC FILE NUMBER
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FSB Warner Financial, Inc.
8-44865
SEC FILE NUMBER
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MWA Financial Services Inc.
8-53255
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Cadaret, Grant & Co., Inc.
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TRG Advisors, Inc.
8-50449
SEC FILE NUMBER
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Kalos Capital, Inc.
8-50630
SEC FILE NUMBER
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Sorsby Financial Corp.
8-48718
SEC FILE NUMBER
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Bolton Global Capital
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Akar Capital Management, Inc.
8-28026
SEC FILE NUMBER
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Lincoln Investment Planning, Inc.
8-14354
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Feldstein Financial Group, LLC
8-53388
SEC FILE NUMBER
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Southeast Investments, N.C., Inc.
8-50127
SEC FILE NUMBER
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JPMorgan Chase Bank, N.A.
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Nations Financial Group, Inc.
8-50588
SEC FILE NUMBER
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Neuberger Berman LLC
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Aon Benfield Securities, Inc.
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Gradient Securities, LLC
8-66032
SEC FILE NUMBER
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International Money Management Group, Inc.
8-30417
SEC FILE NUMBER
N
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Sanders Morris Harris Inc.
254900ZNPYV465D1NZ47
N
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Family Investors Company
8-11190
SEC FILE NUMBER
N
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N.E. Private Client Advisors, Ltd.
8-66968
SEC FILE NUMBER
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Gerwin Group, Inc.
8-40282
SEC FILE NUMBER
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Herndon Plant Oakley, LTD
8-50912
SEC FILE NUMBER
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Prudential Insurance Company of America
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N
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American Portfolios Financial Services, Inc.
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SEC FILE NUMBER
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Register Financial Associates, Inc.
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SEC FILE NUMBER
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Westminster Financial Securities, Inc.
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SEC FILE NUMBER
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GWN Securities Inc.
8-66185
SEC FILE NUMBER
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Hornor, Townsend & Kent, Inc.
8-14715
SEC FILE NUMBER
N
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Citizens Bank
254900MFWISYMJ04ZE93
N
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Institutional Securities Corporation
2549007EJ1PSLA8XVA50
N
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Mid-Atlantic Clearing & Settlement Corp.
8-47758
SEC FILE NUMBER
N
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MidWestern Securities Trading Company, LLC
8-52074
SEC FILE NUMBER
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Digital Retirement Solutions, Inc.
N/A
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Mack Investment Securities, Inc.
8-35536
SEC FILE NUMBER
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G.L.S. & Associates, Inc.
8-51808
SEC FILE NUMBER
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Andbanc Brokerage, LLC
213800E4CWGFMCDQZ792
N
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Arlington Securities, Inc.
8-38098
SEC FILE NUMBER
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VOYA Investments Distributors, LLC
8-48020
SEC FILE NUMBER
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J. Alden Associates, Inc.
8-48938
SEC FILE NUMBER
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Key Investment Services LLC
8-66999
SEC FILE NUMBER
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American Heritage Securities, Inc.
8-44466
SEC FILE NUMBER
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Tradition Securities and Derivatives Inc.
WRYEFMSVQCH0EMD08461
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Smith, Brown & Groover, Inc.
8-13079
SEC FILE NUMBER
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Lockton Financial Advisors, LLC
8-67090
SEC FILE NUMBER
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First Kentucky Securities Corporation
8-22224
SEC FILE NUMBER
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First Western Securities, Inc.
8-37613
SEC FILE NUMBER
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Great American Investors, Inc.
8-44380
SEC FILE NUMBER
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Symphonic Securities LLC
8-67220
SEC FILE NUMBER
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Syndicated Capital, Inc.
8-44162
SEC FILE NUMBER
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UBATCO & Co.
N/A
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White Mountain Capital, LLC
8-52572
SEC FILE NUMBER
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ValMark Securities, Inc.
8-45463
SEC FILE NUMBER
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Fidelity Investments Institutional Operations Company, Inc.
549300XVSM8LN3LQOK63
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First Citizens Investor Services, Inc.
8-50696
SEC FILE NUMBER
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Stonecrest Capital Markets, Inc.
8-48754
SEC FILE NUMBER
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Alight Financial Solutions LLC
8-47344
SEC FILE NUMBER
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T.S. Phillips Investments, Inc.
8-65661
SEC FILE NUMBER
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Access Investments, Inc.
8-49750
SEC FILE NUMBER
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MML Distributors, LLC
8-48203
SEC FILE NUMBER
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Crescent Securities Group
8-53457
SEC FILE NUMBER
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Liberty Capital Investment Corporation
8-42051
SEC FILE NUMBER
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B.B. Graham & Company, Inc.
8-49477
SEC FILE NUMBER
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Boenning & Scattergood, Inc.
2549005FER5A7K7II574
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Liberty Partners Financial Services, LLC
8-66335
SEC FILE NUMBER
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N
Sovereign Legacy Securities, Inc.
8-00621
SEC FILE NUMBER
N
N
Cetera Advisors LLC
8-26892
SEC FILE NUMBER
N
N
Cardinal Investments, Inc.
8-47493
SEC FILE NUMBER
N
N
Highlander Capital Group, Inc.
8-37169
SEC FILE NUMBER
N
N
Ascensus Broker Dealer Services, Inc.
8-47312
SEC FILE NUMBER
N
Y
Loria Financial Group, LLC
8-52128
SEC FILE NUMBER
N
N
Sunstreet Securities, LLC
8-67541
SEC FILE NUMBER
N
N
Sunset Financial Services, Inc.
8-14148
SEC FILE NUMBER
N
N
Next Financial Group, Inc.
8-51356
SEC FILE NUMBER
N
N
Harvest Financial Corporation
8-26037
SEC FILE NUMBER
N
N
Mercer HR Services, LLC
N/A
N
Y
Morris Group, Inc.
549300JWKS0KMDOX5G12
N
N
Carty & Company, Inc.
8-19082
SEC FILE NUMBER
N
N
Investors Brokerage of Texas, Ltd.
8-28644
SEC FILE NUMBER
N
N
First Command Financial Planning, Inc.
8-07072
SEC FILE NUMBER
N
N
The Oak Ridge Financial Services Group, Inc.
2549003647MDU9F6QN39
N
N
Abacus Investments, Inc.
8-46571
SEC FILE NUMBER
N
N
The Strategic Financial Alliance, Inc.
8-65885
SEC FILE NUMBER
N
N
Rockefeller Financial, LLC
8-70054
SEC FILE NUMBER
N
N
L.O. Thomas & Co. Inc.
8-40875
SEC FILE NUMBER
N
N
Wesbanco Securities, Inc.
8-50220
SEC FILE NUMBER
N
N
Spire Securities, LLC
8-67635
SEC FILE NUMBER
N
N
Oscar Gruss & Son Incorporated
549300V78DH9XCK5UI63
N
N
Integrity Investments, Inc.
8-45302
SEC FILE NUMBER
N
N
Intercam Securiteis, Inc.
8-67840
SEC FILE NUMBER
N
N
Investment Planners, Inc.
8-35642
SEC FILE NUMBER
N
N
Securities Equity Group
8-51706
SEC FILE NUMBER
N
N
Cantella & Co., Inc.
254900Z33Q34HCFGHO19
N
N
Ballew Investments, Inc.
8-45660
SEC FILE NUMBER
N
N
Eagles Coast Capital
8-70137
SEC FILE NUMBER
N
N
Mesirow Financial, Inc.
549300BIV46SUHPOFE54
N
N
Nationwide Planning Associates Inc.
8-45310
SEC FILE NUMBER
N
N
Sanctuary Securities, Inc.
2549007WBAL2Z578XQ34
N
N
Prudential Investment Management Services LLC
8-36540
SEC FILE NUMBER
N
N
D.A. Davidson & Co.
549300094RQ5A7DYLF51
N
N
Park Avenue Securities LLC
8-51324
SEC FILE NUMBER
N
N
AE Financial Services, LLC
8-70214
SEC FILE NUMBER
N
N
E. E. Powell & Company Inc.
8-01893
SEC FILE NUMBER
N
N
American Financial Securities, Inc.
8-53205
SEC FILE NUMBER
N
N
Joseph Gunnar & Co. LLC
2549001XBRI5XQ0ZDA12
N
N
McDonald Partners LLC
549300PEHG3UH7FAY193
N
N
Fidelity Investments Life
54930024AKTQGTIV1P93
N
N
Sisung Securities Corporation
254900KJI3EYKKPWT989
N
N
Girard Investment Services, LLC
8-14145
SEC FILE NUMBER
N
N
MGO Securities Corp.
8-47814
SEC FILE NUMBER
N
N
Goldman Sachs & Co. LLC
FOR8UP27PHTHYVLBNG30
N
N
Fiduciary Trust International
N1YKEWO2IYPRS4742F57
N
N
Zions Direct, Inc.
8-35721
SEC FILE NUMBER
N
N
Teckmeyer Financial Services, L.L.C.
8-48501
SEC FILE NUMBER
N
N
FMN Capital Corporation
8-48082
SEC FILE NUMBER
N
N
First Allied Securities, Inc.
8-46167
SEC FILE NUMBER
N
N
Signal Securities, Inc.
8-32948
SEC FILE NUMBER
N
N
Lincoln Financial Securities Corporation
8-14609
SEC FILE NUMBER
N
N
Infinex Investments, Inc.
8-46661
SEC FILE NUMBER
N
N
Itau International Securities, Inc.
54930086LDFU8Z86AH91
N
N
Michigan Securities, Inc. (dba Broadstone Securities)
8-52094
SEC FILE NUMBER
N
N
Quincy Cass Associates, Incorporated
8-05743
SEC FILE NUMBER
N
N
Fairport Capital, Inc.
8-32162
SEC FILE NUMBER
N
N
R. F. Lafferty & Co., Inc.
254900KLPTMWPBZWH264
N
N
Massachusetts Mutual Life Insurance Company
R6ZXK5P01NP6HXSY1S07
N
Y
Investment Security Corporation
8-51832
SEC FILE NUMBER
N
N
Silver Oak Securities, Incorporated
8-51601
SEC FILE NUMBER
N
N
Midland Securities, Ltd.
8-40685
SEC FILE NUMBER
N
N
Halliday Financial, LLC
8-45529
SEC FILE NUMBER
N
N
Essex Securities LLC
8-51472
SEC FILE NUMBER
N
N
Merrill Lynch, Pierce, Fenner & Smith Incorporated
8NAV47T0Y26Q87Y0QP81
N
N
James I. Black & Company
8-12077
SEC FILE NUMBER
N
N
Brokers International Financial Services, LLC
8-67239
SEC FILE NUMBER
N
N
Sabadell Securities USA, Inc.
2549002UK8JK82ABGD45
N
N
Equitable Advisors, LLC
8-17883
SEC FILE NUMBER
N
N
Aventura Securities, LLC
8-67458
SEC FILE NUMBER
N
N
First Financial Equity Corporation
8-34082
SEC FILE NUMBER
N
N
Ladenburg Thalman & Co. Inc.
2549000V3L2KK4L76W91
N
N
General Securities Corp.
8-31654
SEC FILE NUMBER
N
N
Century Securities Associates, Inc.
8-43514
SEC FILE NUMBER
N
N
Union Capital Company
8-53127
SEC FILE NUMBER
N
N
VOYA Financial Advisors, LLC
8-46451
SEC FILE NUMBER
N
N
NorthWestern Mutual Investment Services, LLC
CYO86L8D7HTXW9SOZX28
N
N
Securian Financial Services, Inc.
8-31955
SEC FILE NUMBER
N
N
Lesko Securities Inc.
8-26408
SEC FILE NUMBER
N
N
Jacques Financial, LLC
8-52675
SEC FILE NUMBER
N
N
Moors & Cabot, Inc.
8-23060
SEC FILE NUMBER
N
N
CUNA Brokerage Services, Inc.
549300G6Y6BPF9ZL4706
N
N
Coordinated Capital Securities, Inc.
8-31173
SEC FILE NUMBER
N
N
AssetMark Trust Company
N/A
N
N
Calamar Financial Group
8-69777
SEC FILE NUMBER
N
N
VALIC Retirement Services Company
84-06057
SEC FILE NUMBER
N
N
Abacus International Capital Corp.
8-46418
SEC FILE NUMBER
N
N
LaBrunerie Financial Services, Inc.
8-47830
SEC FILE NUMBER
N
N
Chelsea Morgan Securities, Inc.
8-51916
SEC FILE NUMBER
N
N
Mid-Atlantic Securities, Inc.
8-36997
SEC FILE NUMBER
N
N
Wintrust Investments, LLC
8-00484
SEC FILE NUMBER
N
N
Horace Mann Investors, Inc.
8--6082
SEC FILE NUMBER
N
N
Guardian Insurance & Annuity Company, Inc., The
TGIU5N0SIMULU6I57R64
N
Y
J.P. Morgan Institutional Investments Inc.
8-52182
SEC FILE NUMBER
N
N
State Street Bank and Trust Company
571474TGEMMWANRLN572
N
N
Sammons Retirement Solutions, Inc.
N/A
N
Y
Arvest Investments, Inc.
8-49677
SEC FILE NUMBER
N
N
BNY Mellon Securities Corporation
8-13801
SEC FILE NUMBER
N
N
Berthel, Fisher & Company Financial Services, Inc.
8-29426
SEC FILE NUMBER
N
N
MML Investors Services, LLC
8-27250
SEC FILE NUMBER
N
N
Wellington Shields & Co., LLC
8-68098
SEC FILE NUMBER
N
N
United States Life Insurance Company in the City of New York
549300C1JQGJ0MNUMG79
N
Y
Regulus Advisors, LLC
8-68275
SEC FILE NUMBER
N
N
Carl M. Hennig, Inc.
8-14509
SEC FILE NUMBER
N
N
Arive Capital Markets
8-43350
SEC FILE NUMBER
N
N
K. W. Chambers & CO.
8-10533
SEC FILE NUMBER
N
N
Wescom Financial Services, LLC
8-66189
SEC FILE NUMBER
N
N
Avondale Partners, LLC
254900799PKXEPTDRJ40
N
N
Vanguard Marketing Corporation
8-21570
SEC FILE NUMBER
N
N
Impact U. Investments, LLC
8-65527
SEC FILE NUMBER
N
N
Cetera Advisor Networks LLC
8-29577
SEC FILE NUMBER
N
N
North South Capital, LLC
549300ODEKJCRN2AM859
N
N
VectorGlobal WMG
254900K52VRYBHUGBC64
N
N
Mutual Funds Associates, Inc.
8-13026
SEC FILE NUMBER
N
N
TD Ameritrade Clearing, Inc.
MRK678VXOI09YSSN8X19
N
Y
The Huntington Investment Company
5493004MEJ6IU9SR1R78
N
N
Saturna Brokerage Services, Inc.
8-36558
SEC FILE NUMBER
N
N
First Republic Securities Company, LLC
5493000IMDFZDQYB2Q11
N
N
Lantern Investments, Inc.
8-45285
SEC FILE NUMBER
N
N
First Financial Securities of America, Inc.
8-29565
SEC FILE NUMBER
N
N
Wall Street Access
549300Z0MOT47D6OQV22
N
N
Chauner Securities, Inc.
8-33980
SEC FILE NUMBER
N
N
Oak Tree Securities, Inc.
8-36138
SEC FILE NUMBER
N
N
McNally Financial Services Corporation
8-65388
SEC FILE NUMBER
N
N
Davinci Capital Management Inc.
8-51580
SEC FILE NUMBER
N
N
Voya Financial Partners, LLC
8-13987
SEC FILE NUMBER
N
N
BOK Financial Securities, Inc.
2Q57THMJB7JL1206V012
N
N
Colorado Financial Service Corporation
8-52817
SEC FILE NUMBER
N
N
Horan Securities, Inc.
8-49192
SEC FILE NUMBER
N
N
Chapin Davis Inc
8-43485
SEC FILE NUMBER
N
N
Crews & Associates, Inc.
5493001BWSV3E82LZ446
N
N
Gregory J. Schwartz & Co., Inc.
8-20955
SEC FILE NUMBER
N
N
M&T Securities, Inc.
254900VRUF9FN7AZI864
N
N
Ni Advisors
8-66841
SEC FILE NUMBER
N
N
Maplewood Investment Advisors, Inc.
8-52221
SEC FILE NUMBER
N
N
BNP Paribas Securities Corp
RCNB6OTYUAMMP879YW96
N
N
William Blair & Company L.L.C.
549300J0P7XYE8BMZ775
N
N
USAA Investment Management Company
549300VSPLQ1XBNPD479
N
N
Westport Resources Investment Services, Inc.
8-40904
SEC FILE NUMBER
N
N
ACP Securities, LLC
254900GHLAGD9J81O211
N
N
Etico Partners, LLC
8-65500
SEC FILE NUMBER
N
N
JHW Financial Services Inc.
8-45304
SEC FILE NUMBER
N
N
Pacific Financial Associates, Inc.
8-40712
SEC FILE NUMBER
N
N
Navy Federal Brokerage Services, LLC
8-67161
SEC FILE NUMBER
N
N
Citizens Securities, Inc.
2138006RAPI5PE2ZGW36
N
N
Nicol Investors Corporation
8-65566
SEC FILE NUMBER
N
N
Arkadios Capital
8-69729
SEC FILE NUMBER
N
N
SWBC Investment Services, LLC
254900YIJJWABADWZ455
N
N
Federated Securities, Inc.
8-15644
SEC FILE NUMBER
N
N
FinTrust Brokerage Services, LLC
8-49514
SEC FILE NUMBER
N
N
Arque Capital, Ltd.
8-65390
SEC FILE NUMBER
N
N
Gill Capital Partners, LLC
8-30563
SEC FILE NUMBER
N
N
Sunbelt Securities, Inc.
8-49748
SEC FILE NUMBER
N
N
John Hancock Life Insurance Company of New York
5493007RYG4GXIKSQI18
CA
N
Y
BestVest Investments, Ltd.
254900SL6FW130BMS922
N
N
Mutual Trust Co. of America Securities
254900PUBUB7IS4GNY27
N
N
GRF Capital Investors, Inc.
8-41494
SEC FILE NUMBER
N
N
Exeter Trust Company
028-04279
SEC FILE NUMBER
N
N
RBC Capital Markets, LLC
549300LCO2FLSSVFFR64
N
Y
Hand Securities, Inc.
8-51001
SEC FILE NUMBER
N
N
Ceros Financial Services, Inc.
549300N2YQ0P5G0WE562
N
N
G.A. Repple & Company
8-35315
SEC FILE NUMBER
N
N
CBIZ Financial Solutions, Inc.
8-34205
SEC FILE NUMBER
N
N
Omega Securities, Inc.
8-20225
SEC FILE NUMBER
N
N
Landolt Securities, Inc.
254900B2XEQ2HZGN7K90
N
N
The Leaders Group, Inc.
8-47639
SEC FILE NUMBER
N
N
Herbert J. Sims & Co. Inc.
254900SV6UESQBS8XP98
N
N
Hancock Whitney Investment Services, Inc.
8-49106
SEC FILE NUMBER
N
N
Packerland Brokerage Services, Inc.
8-47572
SEC FILE NUMBER
N
N
Inverness Securities, LLC
8-66278
SEC FILE NUMBER
N
N
People's Securities, Inc.
8-29667
SEC FILE NUMBER
N
N
Dominion Investor Services, Inc.
8-39029
SEC FILE NUMBER
N
N
PNC Capital Markets LLC
7OGNSSLOQJ8U3B9Y5F18
N
N
Regal Securities, Inc.
8-21765
SEC FILE NUMBER
N
N
Centaurus Financial, Inc.
8-45185
SEC FILE NUMBER
N
N
GWFS Equities, Inc.
8-33854
SEC FILE NUMBER
N
N
Darwood Associates Incorporated
8-16560
SEC FILE NUMBER
N
N
Titleist Asset Management, Ltd.
8-65859
SEC FILE NUMBER
N
N
J.W. Cole Financial, Inc.
8-65698
SEC FILE NUMBER
N
N
Client One Securities LLC
8-68494
SEC FILE NUMBER
N
N
D.M. Kelly & Company
8-48398
SEC FILE NUMBER
N
N
Y
BLACKROCK ADVISORS, LLC
5493001LN9MRM6A35J74
Y
N
BNY Mellon Investment Servicing (US) Inc.
549300CFZQLI9QMJ1Z03
N
Y
N
BLACKROCK EXECUTION SERVICES
008-48719
000039438
549300HFCRQ0NT5KY652
0.00000000
BLACKROCK INVESTMENTS, LLC
008-48436
000038642
54930061FBHCKXL2G714
0.00000000
WELLS FARGO SECURITIES, LLC
008-65876
000126292
VYVVCKR63DVZZN70PB21
109618.00000000
CREDIT SUISSE SECURITIES (USA) LLC
008-00422
000000816
1V8Y6QCX6YMJ2OELII46
388791.00000000
JEFFERIES LLC
008-15074
000002347
58PU97L1C0WSRCWADL48
156339.00000000
J.P. Morgan Securities LLC
008-35008
000000079
ZBUT11V806EZRVTWT807
261212.00000000
GOLDMAN SACHS & CO. LLC
008-00129
000000361
FOR8UP27PHTHYVLBNG30
378568.00000000
VIRTU AMERICAS LLC
008-68193
000149823
549300RA02N3BNSWBV74
163186.00000000
BARCLAYS CAPITAL, INC.
008-41342
000019714
AC28XWWI3WIBK2824319
343557.00000000
MORGAN STANLEY & CO. LLC
008-15869
000008209
9R7GPTSO7KV3UQJZQ078
158829.00000000
BOFA SECURITIES, INC.
008-69787
000283942
549300HN4UKV1E2R3U73
164087.00000000
OPPENHEIMER & CO. INC.
008-04077
000000249
254900VH02JQR2L8XD64
324076.00000000
2686139.00000000
VIRTU AMERICAS LLC
008-68193
000149823
549300RA02N3BNSWBV74
57763280.00000000
GOLDMAN SACHS & CO. LLC
008-00129
000000361
FOR8UP27PHTHYVLBNG30
32672852.00000000
BlackRock Liquidity Funds T-Fund
N/A
N/A
5493002L9DNZ83RX7V61
6573641714.00000000
6664077846.00000000
Y
17308384422.00000000
0.00000000
Committed
1750000000.00000000
N
N
N
N
BlackRock Energy Opportunities Fund
S000001869
GU5M3WA7Y5ONXJPK4R58
N
3
0
2
N/A
Y
N
Y
N
BlackRock Investment Management, LLC
5493006MRTEZZ4S4CQ20
Y
N
Other
Cash collateral reinvestment fee
Revenue sharing split
Rebates paid to borrowers
N/A
N/A
Rule 12d1-4 (17 CFR 270.12d1-4)
Rule 22d-1 (17 CFR 270.22d-1)
Rule 12d1-1 (17 CFR 270.12d1-1)
Rule 32a-4 (17 CFR 270.32a-4)
Y
Y
N
N
BlackRock Advisors, LLC
801-47710
000106614
5493001LN9MRM6A35J74
N
BlackRock International Limited
801-51087
000106843
5493008YUGP5E01IBD70
Y
GB
N
BNY Mellon Investment Servicing (US) Inc.
084-01761
549300CFZQLI9QMJ1Z03
N
N
N
Intercontinental Exchange, Inc.
5493000F4ZO33MV32P92
N
N
Goldman Sachs & Co. LLC
FOR8UP27PHTHYVLBNG30
N
Y
Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
PJSC ROSBANK
HOXMZG026UQNRK6J0C60
RU
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Citibank Europe PLC, Hungarian Branch Office
N1FBEDJ5J41VKZLO2475
HU
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Deutsche Bank AG (India)
529900XJG4R4MYZD2W75
IN
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
MUFG Bank, Ltd.
C3GTMMZIHMY46P4OIX74
JP
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
MONTE TITOLI S.P.A.
8156009CEEE1B8C7C646
IT
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Citibank International Limited (Portugal)
31OGKFG0Y1795OV0AK56
PT
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
The Hongkong and Shanghai Banking Corporation Limited, Bangkok Branch
2HI3YI5320L3RW6NJ957
TH
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Cititrust Colombia S A Sociedad Fiduciaria
549300242J3IJCOSGI49
CO
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Barclays Capital Inc.
AC28XWWI3WIBK2824319
N
Y
Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Banco Bilbao Vizcaya Argentaria SA
K8MS7FD7N5Z2WQ51AZ71
ES
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
HSBC Bank Australia Limited
DY9DBNI4W8J63Z298033
AU
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Skandinaviska Enskilda Banken AB
F3JS33DEI6XQ4ZBPTN86
SE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Credit Suisse (Switzerland) Ltd.
549300CWR0W0BCS9Q144
CH
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
HSBC Shenzhen
213800H3TEBTFHD5JR69
CN
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
HSBC Shanghai-Hong Kong Stock Connect SPSA
2CZOJRADNJXBLT55G526
HK
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
DBS Bank Ltd, Singapore
ATUEL7OJR5057F2PV266
SG
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Morgan Stanley & Co. LLC
9R7GPTSO7KV3UQJZQ078
N
Y
Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Skandinaviska Enskilda Banken AB, Copenhagen Branch
F3JS33DEI6XQ4ZBPTN86
DK
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Citibank N.A., Argentina
579100KKDGKCFFKKF005
AR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
HSBC Saudi Arabia
558600MV09XWUB38H245
SA
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Deutsche Bank AG, Manila Branch
N/A
PH
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
The Standard Bank of South Africa Limited
QFC8ZCW3Q5PRXU1XTM60
ZA
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Skandinaviska Enskilda Banken AB, Helsinki Branch
F3JS33DEI6XQ4ZBPTN86
FI
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
UniCredit Bank Austria AG
D1HEB8VEU6D9M8ZUXG17
AT
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Bank Hapoalim B.M.
B6ARUI4946ST4S7WOU88
IL
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Euroclear Bank SA/NV (Belgium)
549300OZ46BRLZ8Y6F65
BE
N
Y
Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Deutsche Bank (Malaysia) Berhad
529900DLWFR8HK7DR278
MY
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Bank Polska Kasa Opieki S.A.
5493000LKS7B3UTF7H35
PL
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Skandinaviska Enskilda Banken AB, Oslo Branch
F3JS33DEI6XQ4ZBPTN86
NO
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
The Hongkong and Shanghai Banking Corporation Limited
2HI3YI5320L3RW6NJ957
HK
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
CIBC Mellon Trust Company
549300IYUUH221WBZ505
CA
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
ESES FRANCE BEARER
54930060MY6S68NEUP16
FR
N
Y
Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Citibanamex
5493004NLEXB8DK06353
MX
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Credit Suisse Securities (USA) LLC
1V8Y6QCX6YMJ2OELII46
N
Y
Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Euroclear UK & Ireland Limited
549300M5MYAD51WHJD55
GB
N
Y
Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
HSBC NOMINEES (NEW ZEALAND) LIMITED
213800NHDWIZKO5KIH05
NZ
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Deutsche Bank AG, Jakarta
N/A
ID
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Citibank Europe PLC (Czech Republic)
N1FBEDJ5J41VKZLO2475
CZ
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Citigroup Global Markets Inc.
MBNUM2BPBDO7JBLYG310
N
Y
Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
UBS Securities LLC
T6FIZBDPKLYJKFCRVK44
N
Y
Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Euroclear Nederland (Netherlands)
549300CBNW05DILT6870
NL
N
Y
Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
The Bank of New York Mellon
HPFHU0OQ28E4N0NFVK49
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
HSBC Shanghai
2CZOJRADNJXBLT55G526
CN
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Deutsche Bank AG, Seoul Branch
N/A
KR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
N
Polar Investment Counsel, Inc.
8-50039
SEC FILE NUMBER
N
N
James I. Black & Company
8-12077
SEC FILE NUMBER
N
N
Nicol Investors Corporation
8-65566
SEC FILE NUMBER
N
N
Merrill Lynch, Pierce, Fenner & Smith Incorporated
8NAV47T0Y26Q87Y0QP81
N
N
The Tavenner Company
8-41206
SEC FILE NUMBER
N
N
Fairport Capital, Inc.
8-32162
SEC FILE NUMBER
N
N
Oriental Financial Services Corp.
8-44516
SEC FILE NUMBER
N
N
Equitable Advisors, LLC
8-17883
SEC FILE NUMBER
N
N
Planmember Securities Corporation
8-25065
SEC FILE NUMBER
N
N
Paradigm Equities, Inc.
8-45593
SEC FILE NUMBER
N
N
Joseph Gunnar & Co. LLC
2549001XBRI5XQ0ZDA12
N
N
Place Trade Financial, Inc.
8-65915
SEC FILE NUMBER
N
N
Fidelity Brokerage Services LLC
549300OQFQ4NFIOD5695
N
Y
United Brokerage Services, Inc.
8-48685
SEC FILE NUMBER
N
N
D.H. Hill Securities LLP
8-49475
SEC FILE NUMBER
N
N
Feltl & Company
8-18435
SEC FILE NUMBER
N
N
Sabadell Securities USA, Inc.
2549002UK8JK82ABGD45
N
N
Register Financial Associates, Inc.
8-45012
SEC FILE NUMBER
N
N
RBC Capital Markets, LLC
549300LCO2FLSSVFFR64
N
Y
Excel Securities & Associates, Inc.
8-34261
SEC FILE NUMBER
N
N
Lockton Financial Advisors, LLC
8-67090
SEC FILE NUMBER
N
N
Maxim Group LLC
254900OJ6JZO6SDMHQ83
N
N
Packerland Brokerage Services, Inc.
8-47572
SEC FILE NUMBER
N
N
Midland Securities, Ltd.
8-40685
SEC FILE NUMBER
N
N
SECU Brokerage Services
8-37927
SEC FILE NUMBER
N
N
Leigh Baldwin & Co., LLC
8-48385
SEC FILE NUMBER
N
N
Gradient Securities, LLC
8-66032
SEC FILE NUMBER
N
N
TransAm Securities, Inc.
8-37065
SEC FILE NUMBER
N
N
Next Financial Group, Inc.
8-51356
SEC FILE NUMBER
N
N
William Blair & Company L.L.C.
549300J0P7XYE8BMZ775
N
N
Allstate Financial Services, LLC
8-36365
SEC FILE NUMBER
N
N
Voya Financial Partners, LLC
8-13987
SEC FILE NUMBER
N
N
Samuel A Ramirez & Co., Inc.
254900CBKVW7O2ENQA21
N
N
Amuni Financial, Inc
8-25338
SEC FILE NUMBER
N
N
Harvest Financial Corporation
8-26037
SEC FILE NUMBER
N
N
Fidelity Investments Institutional Operations Company, Inc.
549300XVSM8LN3LQOK63
N
Y
MML Distributors, LLC
8-48203
SEC FILE NUMBER
N
N
Securian Financial Services, Inc.
8-31955
SEC FILE NUMBER
N
N
Ausdal Financial Partners, Inc.
8-24519
SEC FILE NUMBER
N
N
Money Concepts Capital Corp.
8-29671
SEC FILE NUMBER
N
N
Colliers Securities LLC
549300OD1C69R64IVC38
N
N
Gardner Financial Services, Inc.
8-38631
SEC FILE NUMBER
N
N
Standard Insurance Company
549300KVA8DBYKHPXO21
N
Y
American Century Investment Services, Inc.
8-35220
SEC FILE NUMBER
N
N
Classic LLC
8-68981
SEC FILE NUMBER
N
N
Lombard Securities, Inc.
8-43340
SEC FILE NUMBER
N
N
Insight Securities, Inc.
2549007I5MCG270G9341
N
N
Healthcare Community Securities Corporation
8-46981
SEC FILE NUMBER
N
N
Great Point Capital LLC
254900HN4IGCO53HDK23
N
N
Nationwide Planning Associates Inc.
8-45310
SEC FILE NUMBER
N
N
Sisung Securities Corporation
254900KJI3EYKKPWT989
N
N
Actinver Securities, Inc.
254900FT947VQZ1WHT28
N
N
Northern Trust Securities, Inc.
3CHSO99JSPHD9HGNYJ46
N
N
CUNA Brokerage Services, Inc.
549300G6Y6BPF9ZL4706
N
N
Wells Fargo Clearing Services, LLC
88KRVSOEKUGQZJ3DKW55
N
Y
Western Equity Group, Inc.
8-66403
SEC FILE NUMBER
N
N
Horace Mann Investors, Inc.
8--6082
SEC FILE NUMBER
N
N
OFG Financial Services, Inc.
8-40770
SEC FILE NUMBER
N
N
Rothschild Investment Corporation
8-16429
SEC FILE NUMBER
N
N
Tocqueville Securities L.P.
8-42223
SEC FILE NUMBER
N
N
Triad Advisors, Inc.
8-42007
SEC FILE NUMBER
N
N
L.M. Kohn & Company
8-43303
SEC FILE NUMBER
N
N
Loria Financial Group, LLC
8-52128
SEC FILE NUMBER
N
N
AssetMark Trust Company
N/A
N
N
Globalink Securities, Inc.
8-44509
SEC FILE NUMBER
N
N
First Command Financial Planning, Inc.
8-07072
SEC FILE NUMBER
N
N
Capital Management Securities, Inc.
8-27779
SEC FILE NUMBER
N
N
Portfolio Resources Group, Inc.
549300TKCYL1XNXOL896
N
N
Mutual Trust Co. of America Securities
254900PUBUB7IS4GNY27
N
N
Bankers Life Securities, Inc.
549300YBBLCDP5GDSH97
N
N
Wescom Financial Services, LLC
8-66189
SEC FILE NUMBER
N
N
Northland Securities, Inc.
254900ZIK4MLVQAWLS15
N
N
Hancock Whitney Corporation
549300GRNBWY8HIICT41
N
N
Guardian Insurance & Annuity Company, Inc., The
TGIU5N0SIMULU6I57R64
N
Y
Hilltop Securities, Inc.
549300IXU82PMU6XZT45
N
N
Wesbanco Securities, Inc.
8-50220
SEC FILE NUMBER
N
N
State Farm VP Management Corp
8-50128
SEC FILE NUMBER
N
N
N.E. Private Client Advisors, Ltd.
8-66968
SEC FILE NUMBER
N
N
PNC Investments, LLC
8-66195
SEC FILE NUMBER
N
N
E*Trade Securities
8-44112
SEC FILE NUMBER
N
N
Oak Tree Securities, Inc.
8-36138
SEC FILE NUMBER
N
N
BTG Pactual US Capital, LLC
549300EUEDL5GKQW8U35
N
N
Westminster Financial Securities, Inc.
8-38426
SEC FILE NUMBER
N
N
WBB Securities, LLC
8-53660
SEC FILE NUMBER
N
N
Avondale Partners, LLC
254900799PKXEPTDRJ40
N
N
L.O. Thomas & Co. Inc.
8-40875
SEC FILE NUMBER
N
N
Dempsey Lord Smith, LLC
8-67469
SEC FILE NUMBER
N
N
Avantax Wealth Management, Inc
8-29533
SEC FILE NUMBER
N
N
Logan Group Securities
8-48995
SEC FILE NUMBER
N
N
The Huntington Investment Company
5493004MEJ6IU9SR1R78
N
N
SFA Financial, LLC
8-68156
SEC FILE NUMBER
N
N
Westco Investment Corp.
8-38452
SEC FILE NUMBER
N
N
Signature Securities Group Corporation
8-52697
SEC FILE NUMBER
N
N
BTS Securities Corporation
8-26818
SEC FILE NUMBER
N
N
Buckman, Buckman & Reid, Inc.
254900D688L15B5HJB06
N
N
BBVA Securities Inc.
549300RJFN0Z663VE860
N
N
Hennion & Walsh, Inc.
8-41988
SEC FILE NUMBER
N
N
Eagles Coast Capital
8-70137
SEC FILE NUMBER
N
N
B.B. Graham & Company, Inc.
8-49477
SEC FILE NUMBER
N
N
Neuberger Berman LLC
PWDS3JJ631D5N70JXG61
N
N
Kestra Investment Services, LLC
8-49672
SEC FILE NUMBER
N
N
Omega Securities, Inc.
8-20225
SEC FILE NUMBER
N
N
Berthel, Fisher & Company Financial Services, Inc.
8-29426
SEC FILE NUMBER
N
N
USAA Investment Management Company
549300VSPLQ1XBNPD479
N
N
First Citizens Investor Services, Inc.
8-50696
SEC FILE NUMBER
N
N
Cetera Advisor Networks LLC
8-29577
SEC FILE NUMBER
N
N
First Western Securities, Inc.
8-37613
SEC FILE NUMBER
N
N
Diversified Resources, LLC
8-45497
SEC FILE NUMBER
N
N
Sorsby Financial Corp.
8-48718
SEC FILE NUMBER
N
N
NYLife Securities LLC
8-15517
SEC FILE NUMBER
N
N
Dinosaur Financial Group, LLC
549300CCV3H232GBUN83
N
N
World Choice Securities, Inc.
8-45235
SEC FILE NUMBER
N
N
IFP Securities
8-70150
SEC FILE NUMBER
N
N
John Hancock Trust Company LLC
549300W205WZCFZS6R51
N
Y
Xml Securities, LLC
8-67776
SEC FILE NUMBER
N
N
Davinci Capital Management Inc.
8-51580
SEC FILE NUMBER
N
N
Charles Schwab Bank
549300INFJ8TYNZ1G568
N
Y
Sentinel Securities, Inc.
8-53142
SEC FILE NUMBER
N
N
Calton & Associates, Inc.
254900TDJ7LH64ZKRY86
N
N
Alliant Securities, Inc. Turner, Nord, Kienbaum
8-23305
SEC FILE NUMBER
N
N
GWFS Equities, Inc.
8-33854
SEC FILE NUMBER
N
N
Investments For You, Inc.
8-44179
SEC FILE NUMBER
N
N
United Planners' Financial Services of America A Limited Partner
8-38485
SEC FILE NUMBER
N
N
PNC Capital Markets LLC
7OGNSSLOQJ8U3B9Y5F18
N
N
Royal Alliance Associates, Inc.
8-40218
SEC FILE NUMBER
N
N
Oppenheimer & Co. Inc.
254900VH02JQR2L8XD64
N
N
Sammons Financial Network, LLC
8-68905
SEC FILE NUMBER
N
N
Spire Securities, LLC
8-67635
SEC FILE NUMBER
N
N
JHW Financial Services Inc.
8-45304
SEC FILE NUMBER
N
N
L. B. Fisher & Company
8-21023
SEC FILE NUMBER
N
N
Lincoln Investment Planning, Inc.
8-14354
SEC FILE NUMBER
N
N
Southeast Investments, N.C., Inc.
8-50127
SEC FILE NUMBER
N
N
Vanguard Group, Inc., The
5493002789CY3L0CJP65
N
Y
Vanderbilt Securities, LLC
8-16712
SEC FILE NUMBER
N
N
Hancock Whitney Investment Services, Inc.
8-49106
SEC FILE NUMBER
N
N
Prospera Financial Services, Inc.
8-28164
SEC FILE NUMBER
N
N
Hazlett, Burt & Watson, Inc.
8-17737
SEC FILE NUMBER
N
N
Securities Equity Group
8-51706
SEC FILE NUMBER
N
N
Rockefeller Financial, LLC
8-70054
SEC FILE NUMBER
N
N
Goldman Sachs & Co. LLC
FOR8UP27PHTHYVLBNG30
N
N
Santander Securities LLC
8-49571
SEC FILE NUMBER
N
N
Arkadios Capital
8-69729
SEC FILE NUMBER
N
N
MidWestern Securities Trading Company, LLC
8-52074
SEC FILE NUMBER
N
N
Westport Resources Investment Services, Inc.
8-40904
SEC FILE NUMBER
N
N
American Heritage Securities, Inc.
8-44466
SEC FILE NUMBER
N
N
Cabot Lodge Securities, LLC
8-69009
SEC FILE NUMBER
N
N
Dorn & Co., Inc.
8-08707
SEC FILE NUMBER
N
N
Bankoh Investment Services, Inc.
8-44201
SEC FILE NUMBER
N
N
Lincoln Financial Advisors Corporation
8-14685
SEC FILE NUMBER
N
N
Sorrento Pacific Financial, LLC
8-66046
SEC FILE NUMBER
N
N
Arlington Securities, Inc.
8-38098
SEC FILE NUMBER
N
N
S.A. Stone Wealth Management
8-36638
SEC FILE NUMBER
N
N
The Windmill Group, Inc.
8-25280
SEC FILE NUMBER
N
N
Bolton Global Capital
2549009M08YVOG46LO79
N
N
BD4RIA, Inc.
8-70022
SEC FILE NUMBER
N
N
Mercer HR Services, LLC
N/A
N
Y
Capital Investment Brokerage, Inc.
8-49118
SEC FILE NUMBER
N
N
Gold Coast Securities, Inc.
8-53148
SEC FILE NUMBER
N
N
TCAdvisors Network Inc.
8-46909
SEC FILE NUMBER
N
N
Fieldpoint Private Securities, LLC
8-37105
SEC FILE NUMBER
N
N
Securities America, Inc.
8-26602
SEC FILE NUMBER
N
N
T.S. Phillips Investments, Inc.
8-65661
SEC FILE NUMBER
N
N
Consolidated Financial Investments, Inc.
8-37004
SEC FILE NUMBER
N
N
T. Rowe Price Retirement Plan Services, Inc.
084-06219
SEC FILE NUMBER
N
Y
Interactive Brokers LLC
50OBSE5T5521O6SMZR28
N
N
MML Investors Services, LLC
8-27250
SEC FILE NUMBER
N
N
Superior Financial Services, Inc.
549300BK1DNLS1A2MZ43
N
N
Emerson Equity LLC
8-66296
SEC FILE NUMBER
N
N
Center Street Securities, Inc.
8-42786
SEC FILE NUMBER
N
N
Smith, Brown & Groover, Inc.
8-13079
SEC FILE NUMBER
N
N
USA Financial Securities Corporation
8-52342
SEC FILE NUMBER
N
N
Vision Financial Markets LLC
549300J0X8HK9GUADL55
N
N
Planned Financial Programs, Inc.
8-05727
SEC FILE NUMBER
N
N
Coldstream Securities, Inc.
8-51549
SEC FILE NUMBER
N
N
D.M. Kelly & Company
8-48398
SEC FILE NUMBER
N
N
GRF Capital Investors, Inc.
8-41494
SEC FILE NUMBER
N
N
Pershing Advisor Solutions, LLC
549300KTC63JRN36GZ84
N
N
Anovest Financial Services, Inc.
8-66742
SEC FILE NUMBER
N
N
ADP Broker-Dealer, Inc.
8-47885
SEC FILE NUMBER
N
Y
Oscar Gruss & Son Incorporated
549300V78DH9XCK5UI63
N
N
FMN Capital Corporation
8-48082
SEC FILE NUMBER
N
N
APW Capital, Inc.
8-50433
SEC FILE NUMBER
N
N
ACA/Prudent Investors Planning Corporation
8-51899
SEC FILE NUMBER
N
N
R.M. Stark & Co., Inc.
8-22543
SEC FILE NUMBER
N
N
USI Securities, Inc.
8-50429
SEC FILE NUMBER
N
N
Infinity Securities, Inc.
8-67647
SEC FILE NUMBER
N
N
The Garbacz Group Inc.
8-42366
SEC FILE NUMBER
N
N
Financial Northeastern Securities, Inc.
549300QRRF2NAV5G3869
N
N
American Equity Investment Corporation
8-49078
SEC FILE NUMBER
N
N
Citizens Securities, Inc.
2138006RAPI5PE2ZGW36
N
N
Shareholders Service Group, Inc.
8-65778
SEC FILE NUMBER
N
N
Ameritas Investment Corp.
549300913B54XKSRM258
N
N
Citizens Bank
254900MFWISYMJ04ZE93
N
N
Larson Financial Securities, LLC
8-68456
SEC FILE NUMBER
N
N
St. Bernard Financial Services, Inc.
8-47566
SEC FILE NUMBER
N
N
Veritas Independent Partners, LLC
8-69363
SEC FILE NUMBER
N
N
SEI Private Trust Company
028-10625
SEC FILE NUMBER
N
Y
American Financial Associates, Inc.
8-44065
SEC FILE NUMBER
N
N
BestVest Investments, Ltd.
254900SL6FW130BMS922
N
N
M&T Securities, Inc.
254900VRUF9FN7AZI864
N
N
NorthWestern Mutual Investment Services, LLC
CYO86L8D7HTXW9SOZX28
N
N
Maplewood Investment Advisors, Inc.
8-52221
SEC FILE NUMBER
N
N
Herndon Plant Oakley, LTD
8-50912
SEC FILE NUMBER
N
N
CFD Investments, Inc.
8-41727
SEC FILE NUMBER
N
N
Cetera Financial Specialists LLC
8-27082
SEC FILE NUMBER
N
N
Comerica Securities, Inc.
5493009QV211JEW7ZV59
N
N
Independent Brokerage Solutions LLC
8-68549
SEC FILE NUMBER
N
N
R. F. Lafferty & Co., Inc.
254900KLPTMWPBZWH264
N
N
BCG Securities, Inc.
8-12680
SEC FILE NUMBER
N
N
Darwood Associates Incorporated
8-16560
SEC FILE NUMBER
N
N
Umpqua Investments, Inc.
8-02915
SEC FILE NUMBER
N
N
Global Brokerage Services, Inc.
8-47763
SEC FILE NUMBER
N
N
Whitehall-Parker Securities, Inc.
8-27688
SEC FILE NUMBER
N
N
Mutual Funds Associates, Inc.
8-13026
SEC FILE NUMBER
N
N
Alexander Capital, L.P.
8-48957
SEC FILE NUMBER
N
N
First Kentucky Securities Corporation
8-22224
SEC FILE NUMBER
N
N
FinTrust Brokerage Services, LLC
8-49514
SEC FILE NUMBER
N
N
American United Life Insurance Company
549300T82H2DXU80LV98
N
Y
Voya Retirement Insurance and Annuity Company
OK3MKCDYPD4NN6QDGK18
N
Y
Hudson Heritage Capital Management, Inc.
8-50648
SEC FILE NUMBER
N
N
MSEC, LLC
8-68627
SEC FILE NUMBER
N
N
J.P. Morgan Securities LLC
ZBUT11V806EZRVTWT807
N
N
FSB Warner Financial, Inc.
8-44865
SEC FILE NUMBER
N
N
Michigan Securities, Inc. (dba Broadstone Securities)
8-52094
SEC FILE NUMBER
N
N
National Securities Corp.
8-164
SEC FILE NUMBER
N
N
Beaconsfield Financial Services, Inc.
8-30993
SEC FILE NUMBER
N
N
Sage, Rutty & Co., Inc.
8-00533
SEC FILE NUMBER
N
N
Intercam Securiteis, Inc.
8-67840
SEC FILE NUMBER
N
N
Peak Brokerage Services, LLC
8-68829
SEC FILE NUMBER
N
N
Aufhaser Securities, Inc.
8-48786
SEC FILE NUMBER
N
N
Ni Advisors
8-66841
SEC FILE NUMBER
N
N
Corinthian Partners, L.L.C.
8-48461
SEC FILE NUMBER
N
N
Symphonic Securities LLC
8-67220
SEC FILE NUMBER
N
N
Access Financial Group, Inc.
8-46065
SEC FILE NUMBER
N
N
Chapin Davis Inc
8-43485
SEC FILE NUMBER
N
N
Harbour Investments, Inc.
8-37373
SEC FILE NUMBER
N
N
Herbert J. Sims & Co. Inc.
254900SV6UESQBS8XP98
N
N
Vanguard Marketing Corporation
8-21570
SEC FILE NUMBER
N
N
Ustocktrade Securities, Inc.
8-33132
SEC FILE NUMBER
N
N
Securities Research, Inc.
8-23699
SEC FILE NUMBER
N
N
Innovation Partners LLC
549300IEQ78ON1HMTU71
N
N
GWN Securities Inc.
8-66185
SEC FILE NUMBER
N
N
PNC Bank, N.A.
AD6GFRVSDT01YPT1CS68
N
N
Century Securities Associates, Inc.
8-43514
SEC FILE NUMBER
N
N
Mesirow Financial, Inc.
549300BIV46SUHPOFE54
N
N
H. C. Denison Co.
8-00044
SEC FILE NUMBER
N
N
Lincoln Financial Securities Corporation
8-14609
SEC FILE NUMBER
N
N
Chalice Capital Partners, LLC
8-69967
SEC FILE NUMBER
N
N
Founders Financial Securities LLC
8-67137
SEC FILE NUMBER
N
N
PTI Securities & Futures L.P.
8-44412
SEC FILE NUMBER
N
N
Janney Montgomery Scott LLC
549300QQRY1JCFQHYS08
N
N
Equity Services, Inc.
8-14286
SEC FILE NUMBER
N
N
VOYA Investments Distributors, LLC
8-48020
SEC FILE NUMBER
N
N
T.R. Winston & Company, LLC
8-27519
SEC FILE NUMBER
N
N
Raymond James Financial Services, Inc.
RGUZHJ05YTITL6D76949
N
N
Cutter & Company Brokerage, Inc.
8-39590
SEC FILE NUMBER
N
N
Ladenburg Thalman & Co. Inc.
2549000V3L2KK4L76W91
N
N
Rodgers Brothers, Inc.
8-33475
SEC FILE NUMBER
N
N
Alight Financial Solutions LLC
8-47344
SEC FILE NUMBER
N
N
Tradition Securities and Derivatives Inc.
WRYEFMSVQCH0EMD08461
N
N
L.S.Y., Inc.
8-17613
SEC FILE NUMBER
N
N
Integrated Financial Planning Services
8-35120
SEC FILE NUMBER
DE
N
N
JPMorgan Chase Bank, N.A.
7H6GLYDRUGQFU57RNE97
N
N
Regulus Advisors, LLC
8-68275
SEC FILE NUMBER
N
N
NBC Securities, Inc.
254900GIP7RJQGHH5S19
N
N
Infinex Investments, Inc.
8-46661
SEC FILE NUMBER
N
N
Chelsea Morgan Securities, Inc.
8-51916
SEC FILE NUMBER
N
N
Allegiance Capital, L.L.C.
8-52978
SEC FILE NUMBER
N
N
TFS Securities, Inc.
8-38377
SEC FILE NUMBER
N
N
Capital Synergy Partners, Inc.
8-68060
SEC FILE NUMBER
N
N
U.S. Bancorp Investments, Inc.
H85Z6XZP8B10ES0M2G89
N
N
Quincy Cass Associates, Incorporated
8-05743
SEC FILE NUMBER
N
N
Insigneo Securities, LLC
254900P4TTO6PU1VDH88
N
N
Investment Planners, Inc.
8-35642
SEC FILE NUMBER
N
N
Ace Diversified Capital, Inc.
8-49555
SEC FILE NUMBER
N
N
Morgan Stanley & Co. LLC
9R7GPTSO7KV3UQJZQ078
N
N
Landolt Securities, Inc.
254900B2XEQ2HZGN7K90
N
N
SWBC Investment Services, LLC
254900YIJJWABADWZ455
N
N
G.A. Repple & Company
8-35315
SEC FILE NUMBER
N
N
Talcott Resolution Life Insurance Company
8CE7JPU9IU72L3PPD756
N
Y
R. Seelaus & Co., Inc.
2138004J7AJDLCOJYA06
N
N
LaSalle St. Securities, L.L.C.
8-18860
SEC FILE NUMBER
N
N
Laidlaw & Company (UK) Ltd.
8-53731
SEC FILE NUMBER
GB
N
N
Edward D. Jones & Co., L.P.
YZRCLX72FTV74B522G90
N
N
Deutsche Bank Securities Inc.
9J6MBOOO7BECTDTUZW19
N
N
SecureVest Financial Group
254900LG3HPQV4J0WH27
N
N
Harold W. Dance Inc.
8-12160
SEC FILE NUMBER
N
N
Conover Securities Corporation
8-35085
SEC FILE NUMBER
N
N
AqGen Ascensus, Inc.
549300K5MHNFPEU2RK82
N
Y
Boenning & Scattergood, Inc.
2549005FER5A7K7II574
N
N
Impact U. Investments, LLC
8-65527
SEC FILE NUMBER
N
N
Ballew Investments, Inc.
8-45660
SEC FILE NUMBER
N
N
Marsco Investment Corporation
8-36754
SEC FILE NUMBER
N
N
Variable Investment Advisors, Inc.
8-50699
SEC FILE NUMBER
N
N
Pruco Securities, LLC.
8-16402
SEC FILE NUMBER
N
N
First Southern, LLC
8-69733
SEC FILE NUMBER
N
N
Key Investment Services LLC
8-66999
SEC FILE NUMBER
N
N
Riversource Distributors, Inc.
8-67196
SEC FILE NUMBER
N
N
DWS Distributors, Inc.
5299007T18XBURKJ1V64
N
N
Leumi Investment Services Inc.
5493005SJQ3VQ5DEE756
N
N
Kovack Securities Inc.
25490070RG17Z4I70I82
N
N
Searle & Co.
8-28600
SEC FILE NUMBER
N
N
Lincoln Douglas Investments LLC
8-68728
SEC FILE NUMBER
N
N
Horan Securities, Inc.
8-49192
SEC FILE NUMBER
N
N
Pensionmark Securities, LLC
8-69773
SEC FILE NUMBER
N
N
Glen Eagle Advisors LLC
8-65678
SEC FILE NUMBER
N
N
Grant Williams L.P.
8-51249
SEC FILE NUMBER
N
N
B.C. Ziegler & Company
549300NLEOFP92P38Q71
N
N
G.L.S. & Associates, Inc.
8-51808
SEC FILE NUMBER
N
N
Ameriprise Financial Services, Inc.
8-16791
SEC FILE NUMBER
N
N
The Oak Ridge Financial Services Group, Inc.
2549003647MDU9F6QN39
N
N
Cuso Financial Services, L.P.
8-49711
SEC FILE NUMBER
N
N
VALIC Retirement Services Company
84-06057
SEC FILE NUMBER
N
N
T. Rowe Price Investment Services, Inc.
8-25130
SEC FILE NUMBER
N
N
John Hancock Life Insurance Company of New York
5493007RYG4GXIKSQI18
CA
N
Y
ViewTrade Securities, Inc.
549300CHLQDUD0NL5851
N
N
Wood (Arthur W.) Company, Inc.
8-03368
SEC FILE NUMBER
N
N
UBATCO & Co.
N/A
N
Y
General Securities Corp.
8-31654
SEC FILE NUMBER
N
N
BOK Financial Securities, Inc.
2Q57THMJB7JL1206V012
N
N
The Leaders Group, Inc.
8-47639
SEC FILE NUMBER
N
N
1st Discount Brokerage, Inc.
8-48557
SEC FILE NUMBER
N
N
J.P. Morgan Institutional Investments Inc.
8-52182
SEC FILE NUMBER
N
N
Amegy Investments, Inc. (Zions)
8-65399
SEC FILE NUMBER
N
N
Advisory Group Equity Services, Ltd.
8-32155
SEC FILE NUMBER
N
N
Voya Institutional Plan Services, LLC
N/A
N
N
World Capital Brokerage, Inc.
8-06805
SEC FILE NUMBER
N
N
Great-West Financial Retirement Plan Services, LLC
N/A
N
Y
Arvest Investments, Inc.
8-49677
SEC FILE NUMBER
N
N
Abacus Investments, Inc.
8-46571
SEC FILE NUMBER
N
N
AE Financial Services, LLC
8-70214
SEC FILE NUMBER
N
N
International Money Management Group, Inc.
8-30417
SEC FILE NUMBER
N
N
American Financial Securities, Inc.
8-53205
SEC FILE NUMBER
N
N
Vorpahl Wing Securities
8-51823
SEC FILE NUMBER
N
N
Somerset Securities, Inc.
8-11539
SEC FILE NUMBER
N
N
Barclays Capital Inc.
AC28XWWI3WIBK2824319
N
N
Liberty Capital Investment Corporation
8-42051
SEC FILE NUMBER
N
N
Arive Capital Markets
8-43350
SEC FILE NUMBER
N
N
Teachers Insurance and Annuity Association of America
O06YD7BJ4EPYNABVFN69
N
Y
First Mercantile Trust Company
028-10498
SEC FILE NUMBER
N
Y
Finance 500, Inc.
8-28302
SEC FILE NUMBER
N
N
Cardinal Investments, Inc.
8-47493
SEC FILE NUMBER
N
N
Callaway Financial Services, Inc.
8-52474
SEC FILE NUMBER
N
N
A.G.P/Alliance Global Partners
549300QJQ08RJGC7D885
N
N
Piper Jaffray & Co.
549300GRQCWQ3XGH0H10
N
N
Mid-Atlantic Clearing & Settlement Corp.
8-47758
SEC FILE NUMBER
N
N
First Bankers' Banc Securities, Inc.
549300XZ7YYT3Y0SU530
N
N
Fifth Third Securities, Inc.
5493003IMO3TYX51WE43
N
N
Geneos Wealth Management, Inc.
8-65357
SEC FILE NUMBER
N
N
KW Securities Corporation
8-24792
SEC FILE NUMBER
N
N
Moloney Securities Co., Inc.
8-48326
SEC FILE NUMBER
N
N
Essex Securities LLC
8-51472
SEC FILE NUMBER
N
N
Worth Financial Group Inc.
8-29827
SEC FILE NUMBER
N
N
Advanced Advisor Group, LLC
8-67313
SEC FILE NUMBER
N
N
Investment Network Inc.
8-66036
SEC FILE NUMBER
N
N
Mack Investment Securities, Inc.
8-35536
SEC FILE NUMBER
N
N
Dominion Investor Services, Inc.
8-39029
SEC FILE NUMBER
N
N
Trustmont Financial Group, Inc.
8-36439
SEC FILE NUMBER
N
N
American Enterprise Investment Services Inc.
549300NT7GLLVGTH0249
N
N
Cetera Investment Services, LLC
254900HBKNJ13M56N432
N
N
New England Pension Plan Systems, LLC
N/A
N
Y
McDonald Partners LLC
549300PEHG3UH7FAY193
N
N
Moors & Cabot, Inc.
8-23060
SEC FILE NUMBER
N
N
BancWest Investment Services, Inc.
5493001GJYTESEZEBA51
N
N
Independent Financial Group, LLC
254900KYWXHSQ7RMNP09
N
N
Hightower Securities, LLC
549300F189LKWDZLP954
N
N
Lebenthal Financial Services, Inc
8-67140
SEC FILE NUMBER
N
N
SunTrust Investment Services, Inc.
8-35355
SEC FILE NUMBER
N
N
Hantz Financial Services, Inc.
8-51291
SEC FILE NUMBER
N
N
Horace Mann Life Insurance Co.
5493000HR2JKKNH2FL09
N
N
Northwest Investment Advisors, Inc.
8-65282
SEC FILE NUMBER
N
N
Lieblong & Associates, Inc.
8-49880
SEC FILE NUMBER
N
N
Ascensus Financial Services, LLC
8-67891
SEC FILE NUMBER
N
N
Arque Capital, Ltd.
8-65390
SEC FILE NUMBER
N
N
First Horizon Advisors, Inc.
8-35061
SEC FILE NUMBER
N
N
LaBrunerie Financial Services, Inc.
8-47830
SEC FILE NUMBER
N
N
Feldstein Financial Group, LLC
8-53388
SEC FILE NUMBER
N
N
Omni Financial Securities
8-44034
SEC FILE NUMBER
N
N
Prudential Investment Management Services LLC
8-36540
SEC FILE NUMBER
N
N
Centennial Securities Company, LLC
8-23406
SEC FILE NUMBER
N
N
First Asset Financial, Inc.
8-67191
SEC FILE NUMBER
N
N
Associated Investment Services, Inc.
8-00099
SEC FILE NUMBER
N
N
Robinson & Robinson, Inc.
8-17109
SEC FILE NUMBER
N
N
The Lawrence D. Vitez Corp. DBA Consolidated Securities
8-48642
SEC FILE NUMBER
N
N
Schlitt Investor Services, Inc.
8-34202
SEC FILE NUMBER
N
N
Raymond James & Associates, Inc.
U4ONQX15J3RO8XCKE979
N
N
S.G. Long & Company
8-51816
SEC FILE NUMBER
N
N
VectorGlobal WMG
254900K52VRYBHUGBC64
N
N
Coinbase Capital Markets Corporation
8-28032
SEC FILE NUMBER
N
N
Avisen Securities, Inc.
8-65833
SEC FILE NUMBER
N
N
Garden State Securities, Inc.
8-25790
SEC FILE NUMBER
N
N
UMB Financial Services, Inc.
254900GFVO9NGQ21JC37
N
N
FMSBonds, Inc.
549300TUTBK58NSF2517
N
N
World Equity Group, Inc.
25490078J1OM7KOXR686
N
N
The O.N. Equity Sales Company
8-14161
SEC FILE NUMBER
N
N
Transamerica Financial Advisors, Inc.
549300JW32XCZSHI0878
N
N
MGO Securities Corp.
8-47814
SEC FILE NUMBER
N
N
Colorado Financial Service Corporation
8-52817
SEC FILE NUMBER
N
N
Western International Securities, Inc.
8-48572
SEC FILE NUMBER
N
N
American Independent Securities Group, LLC
8-66905
SEC FILE NUMBER
N
N
Itau International Securities, Inc.
54930086LDFU8Z86AH91
N
N
People's Securities, Inc.
8-29667
SEC FILE NUMBER
N
N
Capital Institutional Services, Inc.
54930061X8RDWFDJIS05
N
N
Empire Asset Management Company
8-67520
SEC FILE NUMBER
N
N
Morris Group, Inc.
549300JWKS0KMDOX5G12
N
N
CoreCap Investments, Inc.
8-47783
SEC FILE NUMBER
N
N
Gladowsky Capital Management Corp.
8-51017
SEC FILE NUMBER
N
N
SCF Securities, Inc.
8-51760
SEC FILE NUMBER
N
N
Hanson McClain Retirement Network, LP
8-52250
SEC FILE NUMBER
N
N
Fidelity Investments Life
54930024AKTQGTIV1P93
N
N
BFT Financial Group, LLC
8-53487
SEC FILE NUMBER
N
N
Nationwide Securities, LLC
8-12500
SEC FILE NUMBER
N
N
Chauner Securities, Inc.
8-33980
SEC FILE NUMBER
N
N
Investors Brokerage of Texas, Ltd.
8-28644
SEC FILE NUMBER
N
N
Girard Investment Services, LLC
8-14145
SEC FILE NUMBER
N
N
Institutional Securities Corporation
2549007EJ1PSLA8XVA50
N
N
The Strategic Financial Alliance, Inc.
8-65885
SEC FILE NUMBER
N
N
Prudential Insurance Company of America
Y574KRZ6V5A7UBU45C31
N
Y
Lesko Securities Inc.
8-26408
SEC FILE NUMBER
N
N
Bley Investments Group, Inc.
8-42701
SEC FILE NUMBER
N
N
Sunset Financial Services, Inc.
8-14148
SEC FILE NUMBER
N
N
Camden Financial Services
8-37303
SEC FILE NUMBER
N
N
Woodbury Financial Services, Inc.
8-13846
SEC FILE NUMBER
N
N
Wall Street Access
549300Z0MOT47D6OQV22
N
N
David Lerner Associates, Inc.
8-20746
SEC FILE NUMBER
N
N
Benchmark Investments, Inc.
8-52280
SEC FILE NUMBER
N
N
Unionbanc Investment Services, LLC
254900Y9HI2TG6D79N41
N
N
Benjamin F. Edwards & Company, Inc.
8-68023
SEC FILE NUMBER
N
N
Liberty Partners Financial Services, LLC
8-66335
SEC FILE NUMBER
N
N
H. Beck, Inc.
8-31165
SEC FILE NUMBER
N
N
Commerce Brokerage Services, Inc.
8-35096
SEC FILE NUMBER
N
N
Principled Advisors, Inc.
8-66451
SEC FILE NUMBER
N
N
Coordinated Capital Securities, Inc.
8-31173
SEC FILE NUMBER
N
N
Jacques Financial, LLC
8-52675
SEC FILE NUMBER
N
N
Robert W. Baird & Co. Incorporated
549300772UJAHRD6LO53
N
N
First Manhattan Co.
549300NNJKVSO48I3G76
N
N
ICMA-RC Services, Inc.
8-40268
SEC FILE NUMBER
N
N
Thoroughbred Financial Services, LLC
8-51944
SEC FILE NUMBER
N
N
BNP Paribas Securities Corp
RCNB6OTYUAMMP879YW96
N
N
Stonecrest Capital Markets, Inc.
8-48754
SEC FILE NUMBER
N
N
Lion Street Financial, LLC
8-69183
SEC FILE NUMBER
N
N
CIBC World Markets Corp.
549300445CON3DBMU275
N
N
Fiduciary Trust International
N1YKEWO2IYPRS4742F57
N
N
Buell Securities Corp
8-22058
SEC FILE NUMBER
N
N
IDB Capital Corp.
254900SH3QL0IL3S9R34
N
N
Crown Capital Securities, L.P.
8-17264
SEC FILE NUMBER
N
N
Wintrust Investments, LLC
8-00484
SEC FILE NUMBER
N
N
CNR Securities LLC
8-36759
SEC FILE NUMBER
N
N
Capital Portfolio Management, Inc.
8-44225
SEC FILE NUMBER
N
N
American National Trust And Investment Management Company
028-00344
SEC FILE NUMBER
N
N
Trade-PMR Inc.
8-51390
SEC FILE NUMBER
N
N
Reliance Trust Company
549300NV8FSQRNOUQO50
N
Y
American Portfolios Financial Services, Inc.
8-37085
SEC FILE NUMBER
N
N
Verity Investments, Inc.
8-49474
SEC FILE NUMBER
N
N
Harbor Investment Advisory, LLC
8-68334
SEC FILE NUMBER
N
N
Aventura Securities, LLC
8-67458
SEC FILE NUMBER
N
N
San Blas Securities LLC
25490079436TZN10JD83
N
N
Principal Securities, Inc.
8-13975
SEC FILE NUMBER
N
N
Abacus International Capital Corp.
8-46418
SEC FILE NUMBER
N
N
Intervest International Equities Corporation
8-38156
SEC FILE NUMBER
N
N
Brooklight Place Securities, Inc.
8-32673
SEC FILE NUMBER
N
N
LifeMark Securities Corp.
8-33478
SEC FILE NUMBER
N
N
Keel Point Capital, LLC
8-22990
SEC FILE NUMBER
N
N
Navaid Financial Services, Inc.
8-49897
SEC FILE NUMBER
N
N
Halliday Financial, LLC
8-45529
SEC FILE NUMBER
N
N
State Street Bank and Trust Company
571474TGEMMWANRLN572
N
N
Nest Investments BD, LLC
8-70117
SEC FILE NUMBER
N
N
Security Distributors, Inc.
8-10781
SEC FILE NUMBER
N
N
TD Ameritrade Clearing, Inc.
MRK678VXOI09YSSN8X19
N
Y
Henley & Company LLC
8-66463
SEC FILE NUMBER
N
N
Amerant Investments, Inc.
254900M8G8SSAIMHET60
N
N
Crews & Associates, Inc.
5493001BWSV3E82LZ446
N
N
Citigroup Global Markets Inc.
MBNUM2BPBDO7JBLYG310
N
N
Centaurus Financial, Inc.
8-45185
SEC FILE NUMBER
N
N
Wellington Shields & Co., LLC
8-68098
SEC FILE NUMBER
N
N
CGIS Securities LLC
254900GOI7SHVRZ5BG90
N
N
Inverness Securities, LLC
8-66278
SEC FILE NUMBER
N
N
Capital City Securities, LLC
8-67771
SEC FILE NUMBER
N
N
CFS Securities, Inc.
8-51330
SEC FILE NUMBER
N
N
J. Alden Associates, Inc.
8-48938
SEC FILE NUMBER
N
N
Cary Street Partners LLC
8-66085
SEC FILE NUMBER
N
N
Blakeslee and Blakeslee Inc.
8-32071
SEC FILE NUMBER
N
N
Capital Investment Group, Inc.
8-31225
SEC FILE NUMBER
N
N
National Financial Services, LLC
549300JRHF1MHHWUAW04
N
Y
Morgan Stanley Smith Barney LLC
7PDDXEMZ0ZV0CEDU4D16
N
N
Cadaret, Grant & Co., Inc.
8-27844
SEC FILE NUMBER
N
N
FSC Securities Corporation
8-21770
SEC FILE NUMBER
N
N
Oberweis Securities, Inc.
5493008EZH6DO1631P71
N
N
American Trust Investment Services, Inc.
8-14394
SEC FILE NUMBER
N
N
Silver Oak Securities, Incorporated
8-51601
SEC FILE NUMBER
N
N
Brighton Securities Corp.
8-14599
SEC FILE NUMBER
N
N
MMC Securities Corp.
2549001ZA93O65N2ZM60
N
N
USCA Securities LLC
254900GBMSP1Y45THR66
N
N
Cresap, Inc.
8-42117
SEC FILE NUMBER
N
N
UBS AG, New York Branch
BFM8T61CT2L1QCEMIK50
N
N
Intercarolina Financial Services, Inc.
8-37519
SEC FILE NUMBER
N
N
Union Capital Company
8-53127
SEC FILE NUMBER
N
N
CBIZ Financial Solutions, Inc.
8-34205
SEC FILE NUMBER
N
N
Nelson Ivest Brokerage Services, Inc.
8-26448
SEC FILE NUMBER
N
N
NYLife Distributors LLC
8-46655
SEC FILE NUMBER
N
N
DFPG Investments, Inc.
8-68730
SEC FILE NUMBER
N
N
McLaughlin Ryder Investments, Inc.
8-67911
SEC FILE NUMBER
N
N
Principal Life Insurance Company
SDCMU2LVKGV2AF1KWP64
N
Y
Ascensus Broker Dealer Services, Inc.
8-47312
SEC FILE NUMBER
N
Y
Broadridge Business Process Outsourcing, LLC
8-53412
SEC FILE NUMBER
N
Y
BAC Florida Investments
254900CAF9OPVE8VT408
N
N
Etico Partners, LLC
8-65500
SEC FILE NUMBER
N
N
City National Bank
549300MEMKSF7703ZQ25
N
N
Transamerica Advisors Life Insurance Company
F1PLTWZ8OU4HQGZQAP31
N
N
Uhlmann Price Securities, LLC
8-50041
SEC FILE NUMBER
N
N
Thompson Davis & Co., Inc.
8-49386
SEC FILE NUMBER
N
N
Wells Fargo Bank, N.A.
KB1H1DSPRFMYMCUFXT09
N
N
Smith, Moore & Co.
8-27480
SEC FILE NUMBER
N
N
Fifth Third Bank
QFROUN1UWUYU0DVIWD51
N
N
Farmers Financial Solutions, LLC
8-52361
SEC FILE NUMBER
N
N
Titleist Asset Management, Ltd.
8-65859
SEC FILE NUMBER
N
N
UBS Financial Services Inc.
ETYRV6ORNFJB5NONI676
N
N
CapFinancial Securities, LLC
8-65870
SEC FILE NUMBER
N
N
Middlegate Securities Ltd.
549300ZVONUQ845QCH95
N
N
Madison Avenue Securities, Inc.
8-40426
SEC FILE NUMBER
N
N
Crescent Securities Group
8-53457
SEC FILE NUMBER
N
N
K. W. Chambers & CO.
8-10533
SEC FILE NUMBER
N
N
Mid Atlantic Capital Corporation
549300HJL2LPNSC0JX96
N
N
VALIC Financial Advisors, Inc.
8-50018
SEC FILE NUMBER
N
N
Hefren-Tillotson, Inc.
8-10646
SEC FILE NUMBER
N
N
Navy Federal Brokerage Services, LLC
8-67161
SEC FILE NUMBER
N
N
Nations Financial Group, Inc.
8-50588
SEC FILE NUMBER
N
N
NTB Financial Corporation
8-21884
SEC FILE NUMBER
N
N
First Honolulu Securities, Inc.
8-23919
SEC FILE NUMBER
N
N
Teckmeyer Financial Services, L.L.C.
8-48501
SEC FILE NUMBER
N
N
TIAA-CREF Individual & Institutional Services, LLC
8-44454
SEC FILE NUMBER
N
N
Invex, Inc.
NPOTUCXQYGXX5PO6VH74
N
N
TD Ameritrade Trust Company
028-15163
SEC FILE NUMBER
N
N
International Research Securities, Inc.
8-37954
SEC FILE NUMBER
N
N
PTS Brokerage, LLC
8-65173
SEC FILE NUMBER
N
N
ValMark Securities, Inc.
8-45463
SEC FILE NUMBER
N
N
Capitol Securities Management, Inc.
8-30353
SEC FILE NUMBER
N
N
Apex Clearing Corporation
5493000418CITRF5BO80
N
N
SKA Securities, Inc.
8-53366
SEC FILE NUMBER
N
N
Client One Securities LLC
8-68494
SEC FILE NUMBER
N
N
Rhodes Securities, Inc.
8-37689
SEC FILE NUMBER
N
N
Saturna Trust Company
N/A
N
Y
North South Capital, LLC
549300ODEKJCRN2AM859
N
N
Signal Securities, Inc.
8-32948
SEC FILE NUMBER
N
N
GLP Investment Services
8-41868
SEC FILE NUMBER
N
N
Cambridge Investment Research, Inc.
8-48740
SEC FILE NUMBER
N
N
Sunbelt Securities, Inc.
8-49748
SEC FILE NUMBER
N
N
Jack V. Butterfield Investment Company
8-12454
SEC FILE NUMBER
N
N
N.I.S. Financial Services, Inc.
8-15919
SEC FILE NUMBER
N
N
E. E. Powell & Company Inc.
8-01893
SEC FILE NUMBER
N
N
Calamar Financial Group
8-69777
SEC FILE NUMBER
N
N
Arete Wealth Management, LLC
8-50854
SEC FILE NUMBER
N
N
Hornor, Townsend & Kent, Inc.
8-14715
SEC FILE NUMBER
N
N
Syndicated Capital, Inc.
8-44162
SEC FILE NUMBER
N
N
Cetera Advisors LLC
8-26892
SEC FILE NUMBER
N
N
Investshares, Inc
8-68365
SEC FILE NUMBER
N
N
Pershing, LLC
8-17574
SEC FILE NUMBER
N
Y
Axiom Capital Management, Inc.
254900WW7SK1IMK6NO54
N
N
TradeStation Securities, Inc.
549300T08P71XXBYLW62
N
N
J.W. Cole Financial, Inc.
8-65698
SEC FILE NUMBER
N
N
Concorde Investment Services, LLC
8-68388
SEC FILE NUMBER
N
N
Allianz Life Financial Services, LLC
5493008TSI0TRWDDGW79
N
N
Alight Solutions LLC
084-01996
SEC FILE NUMBER
N
Y
ING Financial Markets LLC
KBVRJ5K57JZ3E2AVWX40
N
N
Digital Retirement Solutions, Inc.
N/A
N
Y
Bolton Securities Corp.
8-68187
SEC FILE NUMBER
N
N
D.A. Davidson & Co.
549300094RQ5A7DYLF51
N
N
Devenir, LLC
8-65837
SEC FILE NUMBER
N
N
Safra Securities LLC
E51AOUORNWWT747CBW71
N
N
Fortune Financial Services, Inc.
8-49727
SEC FILE NUMBER
N
N
McNally Financial Services Corporation
8-65388
SEC FILE NUMBER
N
N
Wells Fargo Securities, LLC
8-65876
SEC FILE NUMBER
N
N
Commonwealth Equity Services, Inc.
8-24040
SEC FILE NUMBER
N
N
Carty & Company, Inc.
8-19082
SEC FILE NUMBER
N
N
American Capital Partners, LLC
254900I8NH46ZJJ4Z956
N
N
LPL Financial LLC
5493005NM7F0H1N3EQ39
N
Y
Muriel Seibert & Co., Inc.
8-14900
SEC FILE NUMBER
N
N
Sigma Financial Corporation
8-30466
SEC FILE NUMBER
N
N
Aon Benfield Securities, Inc.
5493002ME0O127QJJG03
N
N
TD Private Client Wealth LLC
8-69105
SEC FILE NUMBER
N
N
Proequities, Inc.
8-32590
SEC FILE NUMBER
N
N
Zions Direct, Inc.
8-35721
SEC FILE NUMBER
N
N
TD Ameritrade, Inc.
CWQYQU0TV2NLMLZKNB44
N
Y
Genworth Life Insurance Company of New York
E5VAS7I8GX5B0SDBX010
N
Y
Gill Capital Partners, LLC
8-30563
SEC FILE NUMBER
N
N
Synovus Securities, Inc.
254900CM2K7N1E0JF171
N
N
Gerwin Group, Inc.
8-40282
SEC FILE NUMBER
N
N
Country Club Financial Services, Inc.
8-44574
SEC FILE NUMBER
N
N
Great Pacific Securities
254900QRZ90SUI8C4W84
N
N
Monere Investments, Inc.
8-52982
SEC FILE NUMBER
N
N
American Wealth Management
8-41807
SEC FILE NUMBER
N
N
Allegheny Investments, Ltd.
8-22183
SEC FILE NUMBER
N
N
OneAmerica Securities, Inc.
8-15009
SEC FILE NUMBER
N
N
Monex Securities, Inc.
254900VTZ3HYHNEJRX35
N
N
Pacific Financial Associates, Inc.
8-40712
SEC FILE NUMBER
N
N
First National Bank Alaska
25490089V5DJHFQMOA03
N
N
Woodmen Financial Services, Inc.
8-53592
SEC FILE NUMBER
N
N
Heim, Young & Associates, Inc.
8-48500
SEC FILE NUMBER
N
N
Mutual of Omaha Investor Services, Inc.
8-47290
SEC FILE NUMBER
N
N
SunTrust Bank
IYDOJBGJWY9T8XKCSX06
N
N
International Assets Advisory, LLC
254900ARMOHQNS987S09
N
N
Multiple Financial Services, Inc.
8-52017
SEC FILE NUMBER
N
N
Griffinest Asia Securities, LLC
8-66571
SEC FILE NUMBER
N
N
The GMS Group, LLC
254900OXZT27TA5CGU56
N
N
First Republic Securities Company, LLC
5493000IMDFZDQYB2Q11
N
N
Ceros Financial Services, Inc.
549300N2YQ0P5G0WE562
N
N
VOYA Financial Advisors, LLC
8-46451
SEC FILE NUMBER
N
N
ACP Securities, LLC
254900GHLAGD9J81O211
N
N
Lincoln Financial Distributors, Inc.
8-13431
SEC FILE NUMBER
N
N
Carter, Terry & Company, Inc.
8-33797
SEC FILE NUMBER
N
N
Rogan & Associates, Inc.
8-49995
SEC FILE NUMBER
N
N
Cantella & Co., Inc.
254900Z33Q34HCFGHO19
N
N
Sanctuary Securities, Inc.
2549007WBAL2Z578XQ34
N
N
White Mountain Capital, LLC
8-52572
SEC FILE NUMBER
N
N
The Jeffrey Matthews Financial Group, L.L.C.
25490086M6MGMYYVOJ50
N
N
Cape Securities Inc.
8-20747
SEC FILE NUMBER
N
N
McClurg Capital Corporation
8-34473
SEC FILE NUMBER
N
N
Allen C Ewing & Co.
8-42393
SEC FILE NUMBER
N
N
Coastal Equities, Inc.
8-40822
SEC FILE NUMBER
N
N
Valley National Investments, Inc.
8-34427
SEC FILE NUMBER
N
N
Great American Investors, Inc.
8-44380
SEC FILE NUMBER
N
N
Weston Securities Corporation
8-32664
SEC FILE NUMBER
N
N
FNBB Capital Markets, LLC
8-66553
SEC FILE NUMBER
N
N
HSBC Securities (USA), Inc.
CYYGQCGNHMHPSMRL3R97
N
N
Parkland Securities, LLC
8-53482
SEC FILE NUMBER
N
N
First Allied Securities, Inc.
8-46167
SEC FILE NUMBER
N
N
TimeCapital Securities Corporation
8-18248
SEC FILE NUMBER
N
N
Hartford Funds Management Company, LLC
801-77209
SEC FILE NUMBER
N
Y
Hand Securities, Inc.
8-51001
SEC FILE NUMBER
N
N
Duncan-Williams, Inc.
25490045VHLUZ7H92Y27
N
N
First Financial Equity Corporation
8-34082
SEC FILE NUMBER
N
N
Roberts & Ryan Investments Inc.
254900A6VIVO4DP1T126
N
N
S.L. Reed & Company
8-49178
SEC FILE NUMBER
N
N
Andbanc Brokerage, LLC
213800E4CWGFMCDQZ792
N
N
Benefit Trust Company
N/A
N
Y
RNR Securities, L.L.C.
8-50366
SEC FILE NUMBER
N
N
Investment Security Corporation
8-51832
SEC FILE NUMBER
N
N
TrustFirst, Inc.
8-48509
SEC FILE NUMBER
N
N
The Investment Center, Inc.
8-35826
SEC FILE NUMBER
N
N
Newport Group, Inc.
N/A
N
Y
John Hancock Life Insurance Company
QQ0OZ8J9C4B5QT1XDG31
CA
N
Y
M. S. Howells & Co.
8-52558
SEC FILE NUMBER
N
N
Private Client Services, LLC
8-68183
SEC FILE NUMBER
N
N
Saturna Brokerage Services, Inc.
8-36558
SEC FILE NUMBER
N
N
Perryman Securities, Inc.
8-53546
SEC FILE NUMBER
N
N
Country Capital Management Company
8-12645
SEC FILE NUMBER
N
N
MWA Financial Services Inc.
8-53255
SEC FILE NUMBER
N
N
Stephens Inc.
213800LH6T9XDYZCA534
N
N
VBC Securities, LLC
8-44141
SEC FILE NUMBER
N
N
Portsmouth Financial Services
8-30097
SEC FILE NUMBER
N
N
Brokers International Financial Services, LLC
8-67239
SEC FILE NUMBER
N
N
Snowden Account Services, Inc.
254900WVSS0BX602UF45
N
N
Adcap Securities, LLC
254900EMZBEIM1FAO022
N
N
Sammons Retirement Solutions, Inc.
N/A
N
Y
First Financial Securities of America, Inc.
8-29565
SEC FILE NUMBER
N
N
XP Securities, LLC
549300HDFLS7P433PO89
N
N
Mutual Securities, Inc.
8-28580
SEC FILE NUMBER
N
N
Stifel, Nicolaus & Company, Incorporated
5WUVMA08EYG4KEUPW589
N
Y
Bruderman Brothers, LLC
8-51974
SEC FILE NUMBER
N
N
Pyramid Funds Corporation
8-12769
SEC FILE NUMBER
N
N
Sovereign Legacy Securities, Inc.
8-00621
SEC FILE NUMBER
N
N
Conduent HR Services LLC
084-06035
SEC FILE NUMBER
N
Y
Gregory J. Schwartz & Co., Inc.
8-20955
SEC FILE NUMBER
N
N
Buckram Securities LTD
8-65939
SEC FILE NUMBER
N
N
Wright Investors' Service Distributors, Inc.
8-29579
SEC FILE NUMBER
N
N
KCD Financial, Inc.
8-66005
SEC FILE NUMBER
N
N
Davenport & Company LLC
254900GN2SAXJGLMS075
N
N
Exeter Trust Company
028-04279
SEC FILE NUMBER
N
N
Caldwell Securities, Inc.
549300ORF2FMHXODHJ66
N
N
Purshe Kaplan Sterling Investments
8-46844
SEC FILE NUMBER
N
N
NPB Financial Group, LLC
8-67113
SEC FILE NUMBER
N
N
Folio Investments, Inc.
8-52009
SEC FILE NUMBER
N
N
Kalos Capital, Inc.
8-50630
SEC FILE NUMBER
N
N
Charles Schwab & Co., Inc.
549300ZP8XN77GK5BS04
N
Y
Sanders Morris Harris Inc.
254900ZNPYV465D1NZ47
N
N
Carl M. Hennig, Inc.
8-14509
SEC FILE NUMBER
N
N
Park Avenue Securities LLC
8-51324
SEC FILE NUMBER
N
N
Akar Capital Management, Inc.
8-28026
SEC FILE NUMBER
N
N
Nationwide Financial Services, Inc.
5493001H7AZNDS6BKJ36
N
Y
Nestlerode & Loy, Inc.
8-12629
SEC FILE NUMBER
N
N
Rehmann Financial Network
8-69134
SEC FILE NUMBER
N
N
J.D. Seibert & Company, Inc.
8-23604
SEC FILE NUMBER
N
N
Western Growers Financial Services, Inc.
8-53458
SEC FILE NUMBER
N
N
Lantern Investments, Inc.
8-45285
SEC FILE NUMBER
N
N
DMK Advisor Group, Inc.
8-49279
SEC FILE NUMBER
N
N
Integral Financial LLC
2549000I2CBZTJRHG786
N
N
Family Investors Company
8-11190
SEC FILE NUMBER
N
N
Coker & Palmer, Inc.
254900V1KTPDN88TDS68
N
N
Investment Placement Group
5493005L3RL45FY4HR07
N
N
TRG Advisors, Inc.
8-50449
SEC FILE NUMBER
N
N
Massachusetts Mutual Life Insurance Company
R6ZXK5P01NP6HXSY1S07
N
Y
Access Investments, Inc.
8-49750
SEC FILE NUMBER
N
N
Genworth Life & Annuity Insurance Company
TAI340D9BWT9R77O0P03
N
N
Integrity Investments, Inc.
8-45302
SEC FILE NUMBER
N
N
Jefferies, LLC
58PU97L1C0WSRCWADL48
N
N
B. Riley Wealth Management Holdings, Inc
8-31206
SEC FILE NUMBER
N
N
First Heartland Capital, Inc.
8-46008
SEC FILE NUMBER
N
N
Profinancial, Inc.
8-32026
SEC FILE NUMBER
N
N
Independence Capital Co., Inc.
8-41331
SEC FILE NUMBER
N
N
Watermark Securities, Inc.
8-43902
SEC FILE NUMBER
N
N
Boreal Capital Securities LLC
549300NMHK6HTSKCG696
N
N
Sycamore Financial Group
8-30302
SEC FILE NUMBER
N
N
Regions Bank
EQTWLK1G7ODGC2MGLV11
N
N
Hazard & Siegel, Inc.
8-13942
SEC FILE NUMBER
N
N
SG Americas Securities, LLC
549300F35UE0BOM1WJ55
N
N
Benefit Plans Administrative Services, Inc.
N/A
N
Y
Saxony Securities, Inc.
8-53490
SEC FILE NUMBER
N
N
Sunstreet Securities, LLC
8-67541
SEC FILE NUMBER
N
N
Regal Securities, Inc.
8-21765
SEC FILE NUMBER
N
N
G. W. & Wade Asset Management Company, LLC
8-42013
SEC FILE NUMBER
N
N
Folger Nolan Fleming Douglas Incorporated
8-03335
SEC FILE NUMBER
N
N
Planners Financial Services, Inc.
8-18027
SEC FILE NUMBER
N
N
BNY Mellon Securities Corporation
8-13801
SEC FILE NUMBER
N
N
Huntleigh Securities Corporation
8-21893
SEC FILE NUMBER
N
N
Cannon Securities, Inc.
8-68437
SEC FILE NUMBER
N
N
Landaas & Company
8-51826
SEC FILE NUMBER
N
N
MMA Securities LLC
8-50591
SEC FILE NUMBER
N
N
Highlander Capital Group, Inc.
8-37169
SEC FILE NUMBER
N
N
E*Trade Savings Bank
549300DXPO50FJ75QA85
N
Y
American Global Wealth Management, Inc.
8-21584
SEC FILE NUMBER
N
N
Federated Securities, Inc.
8-15644
SEC FILE NUMBER
N
N
Invicta Capital, LLC
549300QY87LR84LRLL97
N
N
Hunter Associates, Inc.
8-44779
SEC FILE NUMBER
N
N
Northern Capital Securities Corporation
254900ZANH7XTB94LS53
N
N
M Holdings Securities, Inc.
8-50214
SEC FILE NUMBER
N
N
Mid-Atlantic Securities, Inc.
8-36997
SEC FILE NUMBER
N
N
Thurston, Springer, Miller, Herd & Titak, Inc.
8-25452
SEC FILE NUMBER
N
N
United States Life Insurance Company in the City of New York
549300C1JQGJ0MNUMG79
N
Y
SagePoint Financial, Inc.
8-66771
SEC FILE NUMBER
N
N
Woodlands Securities Corporation
8-39700
SEC FILE NUMBER
N
N
TCFG Wealth Management, LLC
8-69089
SEC FILE NUMBER
N
N
Wiley Bros.-Aintree Capital, LLC
8-03774
SEC FILE NUMBER
N
N
Y
BNY Mellon Investment Servicing (US) Inc.
549300CFZQLI9QMJ1Z03
N
Y
BLACKROCK ADVISORS, LLC
5493001LN9MRM6A35J74
Y
N
N
BLACKROCK INVESTMENTS, LLC
008-48436
000038642
54930061FBHCKXL2G714
0.00000000
BLACKROCK EXECUTION SERVICES
008-48719
000039438
549300HFCRQ0NT5KY652
0.00000000
BOFA SECURITIES, INC.
008-69787
000283942
549300HN4UKV1E2R3U73
5917.00000000
SG AMERICAS SECURITIES LLC
008-66125
000128351
549300F35UE0BOM1WJ55
4802.00000000
UBS Securities LLC
008-22651
000007654
T6FIZBDPKLYJKFCRVK44
7702.00000000
MORGAN STANLEY & CO. LLC
008-15869
000008209
9R7GPTSO7KV3UQJZQ078
5264.00000000
CREDIT SUISSE SECURITIES (USA) LLC
008-00422
000000816
1V8Y6QCX6YMJ2OELII46
5065.00000000
BARCLAYS CAPITAL, INC.
008-41342
000019714
AC28XWWI3WIBK2824319
5125.00000000
CitiGroup Global Markets Inc.
008-08177
000007059
MBNUM2BPBDO7JBLYG310
13685.00000000
J.P. Morgan Securities LLC
008-35008
000000079
ZBUT11V806EZRVTWT807
10976.00000000
RBC CAPITAL MARKETS, LLC
008-45411
000031194
549300LCO2FLSSVFFR64
6498.00000000
GOLDMAN SACHS & CO. LLC
008-00129
000000361
FOR8UP27PHTHYVLBNG30
6722.00000000
97808.00000000
BARCLAYS CAPITAL, INC.
008-41342
000019714
AC28XWWI3WIBK2824319
479140.00000000
BlackRock Liquidity Funds T-Fund
N/A
N/A
5493002L9DNZ83RX7V61
306016206.00000000
306495346.00000000
N
228272373.00000000
0.00000000
Committed
1750000000.00000000
N
N
N
N
BlackRock Technology Opportunities Fund
S000001510
549300ED38YSMGQKQY06
N
6
0
0
N/A
N
N
Y
N
N
BlackRock Investment Management, LLC
5493006MRTEZZ4S4CQ20
Y
N
Cash collateral reinvestment fee
Other
Revenue sharing split
Rebates paid to borrowers
210532360.00000000
11577126.00000000
Rule 12d1-1 (17 CFR 270.12d1-1)
Rule 32a-4 (17 CFR 270.32a-4)
Rule 22d-1 (17 CFR 270.22d-1)
Rule 12d1-4 (17 CFR 270.12d1-4)
Y
Y
N
N
BlackRock Advisors, LLC
801-47710
000106614
5493001LN9MRM6A35J74
N
BNY Mellon Investment Servicing (US) Inc.
084-01761
549300CFZQLI9QMJ1Z03
N
N
N
Intercontinental Exchange, Inc.
5493000F4ZO33MV32P92
N
N
The Hongkong and Shanghai Banking Corporation Limited, Australia Branch
2HI3YI5320L3RW6NJ957
AU
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Deutsche Bank (Malaysia) Berhad
529900DLWFR8HK7DR278
MY
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Skandinaviska Enskilda Banken AB
F3JS33DEI6XQ4ZBPTN86
SE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Citibank N.A., Brazilian Branch
1P0UUG7LC1S92QTNHG39
BR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Euroclear France
54930060MY6S68NEUP16
FR
N
Y
Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
The Hongkong and Shanghai Banking Corporation Limited
2HI3YI5320L3RW6NJ957
HK
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Skandinaviska Enskilda Banken AB, Oslo Branch
F3JS33DEI6XQ4ZBPTN86
NO
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Euroclear Nederland (Netherlands)
549300CBNW05DILT6870
NL
N
Y
Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
MUFG Bank, Ltd.
C3GTMMZIHMY46P4OIX74
JP
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
The Hongkong and Shanghai Banking Corporation Limited, Singapore Branch
2HI3YI5320L3RW6NJ957
SG
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Deutsche Bank AG, Indonesia Branch
254900XBQBHM0QPI0V70
ID
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Deutsche Bank AG, Manila Branch Philippines
7LTWFZYICNSX8D621K86
PH
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
The Standard Bank of South Africa Limited
QFC8ZCW3Q5PRXU1XTM60
ZA
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
The Hongkong and Shanghai Banking Corporation Limited, New Zealand Branch
2HI3YI5320L3RW6NJ957
NZ
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Euroclear Bank SA/NV (Belgium)
549300OZ46BRLZ8Y6F65
BE
N
Y
Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Citibank International Limited (Portugal)
31OGKFG0Y1795OV0AK56
PT
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
UBS Securities LLC
T6FIZBDPKLYJKFCRVK44
N
Y
Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Skandinaviska Enskilda Banken AB, Helsinki Branch
F3JS33DEI6XQ4ZBPTN86
FI
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
HSBC Bank (Taiwan) Limited
549300SG184IVNYDMN03
TW
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Euroclear UK & Ireland Limited
549300M5MYAD51WHJD55
GB
N
Y
Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
CLEARSTREAM BANKING AKTIENGESELLSCHAFT (Germany)
549300298FD7AS4PPU70
DE
N
Y
Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Citibank N.A., Argentina
579100KKDGKCFFKKF005
AR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
CIBC Mellon Trust Company
549300IYUUH221WBZ505
CA
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Bank Hapoalim B.M.
B6ARUI4946ST4S7WOU88
IL
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Citibanamex
5493004NLEXB8DK06353
MX
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
HSBC Shanghai
2CZOJRADNJXBLT55G526
CN
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Banco Bilbao Vizcaya Argentaria SA
K8MS7FD7N5Z2WQ51AZ71
ES
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Citibank Europe PLC, Hungarian Branch Office
N1FBEDJ5J41VKZLO2475
HU
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Deutsche Bank AG (South Korea)
529900BSQ2VSODGMGR72
KR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Skandinaviska Enskilda Banken AB, Copenhagen Branch
F3JS33DEI6XQ4ZBPTN86
DK
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Deutsche Bank AG (India)
529900XJG4R4MYZD2W75
IN
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
MONTE TITOLI S.P.A.
8156009CEEE1B8C7C646
IT
N
Y
Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Credit Suisse (Switzerland) Ltd.
549300CWR0W0BCS9Q144
CH
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
UniCredit Bank Austria AG
D1HEB8VEU6D9M8ZUXG17
AT
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
The Hongkong and Shanghai Banking Corporation Limited, Bangkok Branch
2HI3YI5320L3RW6NJ957
TH
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
PEKAO Bank Hipoteczny S.A.
259400XMADFBWNS6OM54
PL
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
BNP Paribas Securities Services (Athens)
549300WCGB70D06XZS54
GR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
The Bank of New York Mellon
HPFHU0OQ28E4N0NFVK49
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
HSBC Shenzhen
213800H3TEBTFHD5JR69
CN
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Y
Global Brokerage Services, Inc.
8-47763
SEC FILE NUMBER
N
N
Securities America, Inc.
8-26602
SEC FILE NUMBER
N
N
CapFinancial Securities, LLC
8-65870
SEC FILE NUMBER
N
N
LifeMark Securities Corp.
8-33478
SEC FILE NUMBER
N
N
Mesirow Financial, Inc.
549300BIV46SUHPOFE54
N
N
Teckmeyer Financial Services, L.L.C.
8-48501
SEC FILE NUMBER
N
N
Regulus Advisors, LLC
8-68275
SEC FILE NUMBER
N
N
Hazlett, Burt & Watson, Inc.
8-17737
SEC FILE NUMBER
N
N
Institutional Securities Corporation
2549007EJ1PSLA8XVA50
N
N
Planners Financial Services, Inc.
8-18027
SEC FILE NUMBER
N
N
Chapin Davis Inc
8-43485
SEC FILE NUMBER
N
N
R. Seelaus & Co., Inc.
2138004J7AJDLCOJYA06
N
N
Actinver Securities, Inc.
254900FT947VQZ1WHT28
N
N
Madison Avenue Securities, Inc.
8-40426
SEC FILE NUMBER
N
N
Nestlerode & Loy, Inc.
8-12629
SEC FILE NUMBER
N
N
Portfolio Resources Group, Inc.
549300TKCYL1XNXOL896
N
N
Sabadell Securities USA, Inc.
2549002UK8JK82ABGD45
N
N
SECU Brokerage Services
8-37927
SEC FILE NUMBER
N
N
United Planners' Financial Services of America A Limited Partner
8-38485
SEC FILE NUMBER
N
N
UBS AG, New York Branch
BFM8T61CT2L1QCEMIK50
N
N
American Financial Associates, Inc.
8-44065
SEC FILE NUMBER
N
N
The Tavenner Company
8-41206
SEC FILE NUMBER
N
N
Sunset Financial Services, Inc.
8-14148
SEC FILE NUMBER
N
N
Private Client Services, LLC
8-68183
SEC FILE NUMBER
N
N
Oak Tree Securities, Inc.
8-36138
SEC FILE NUMBER
N
N
NTB Financial Corporation
8-21884
SEC FILE NUMBER
N
N
CoreCap Investments, Inc.
8-47783
SEC FILE NUMBER
N
N
Arete Wealth Management, LLC
8-50854
SEC FILE NUMBER
N
N
SecureVest Financial Group
254900LG3HPQV4J0WH27
N
N
Cary Street Partners LLC
8-66085
SEC FILE NUMBER
N
N
Nationwide Financial Services, Inc.
5493001H7AZNDS6BKJ36
N
Y
J.D. Seibert & Company, Inc.
8-23604
SEC FILE NUMBER
N
N
Nations Financial Group, Inc.
8-50588
SEC FILE NUMBER
N
N
Midland Securities, Ltd.
8-40685
SEC FILE NUMBER
N
N
J.P. Morgan Institutional Investments Inc.
8-52182
SEC FILE NUMBER
N
N
Devenir, LLC
8-65837
SEC FILE NUMBER
N
N
Register Financial Associates, Inc.
8-45012
SEC FILE NUMBER
N
N
Transamerica Advisors Life Insurance Company
F1PLTWZ8OU4HQGZQAP31
N
N
L.S.Y., Inc.
8-17613
SEC FILE NUMBER
N
N
Goldman Sachs & Co. LLC
FOR8UP27PHTHYVLBNG30
N
N
MidWestern Securities Trading Company, LLC
8-52074
SEC FILE NUMBER
N
N
Verity Investments, Inc.
8-49474
SEC FILE NUMBER
N
N
Dominion Investor Services, Inc.
8-39029
SEC FILE NUMBER
N
N
Charles Schwab Bank
549300INFJ8TYNZ1G568
N
Y
Oriental Financial Services Corp.
8-44516
SEC FILE NUMBER
N
N
Axiom Capital Management, Inc.
254900WW7SK1IMK6NO54
N
N
First Republic Securities Company, LLC
5493000IMDFZDQYB2Q11
N
N
Cannon Securities, Inc.
8-68437
SEC FILE NUMBER
N
N
BCG Securities, Inc.
8-12680
SEC FILE NUMBER
N
N
BD4RIA, Inc.
8-70022
SEC FILE NUMBER
N
N
Conover Securities Corporation
8-35085
SEC FILE NUMBER
N
N
Lincoln Financial Advisors Corporation
8-14685
SEC FILE NUMBER
N
N
Inverness Securities, LLC
8-66278
SEC FILE NUMBER
N
N
Fiduciary Trust International
N1YKEWO2IYPRS4742F57
N
N
Lieblong & Associates, Inc.
8-49880
SEC FILE NUMBER
N
N
Charles Schwab & Co., Inc.
549300ZP8XN77GK5BS04
N
Y
Navaid Financial Services, Inc.
8-49897
SEC FILE NUMBER
N
N
Wall Street Access
549300Z0MOT47D6OQV22
N
N
Callaway Financial Services, Inc.
8-52474
SEC FILE NUMBER
N
N
Buckman, Buckman & Reid, Inc.
254900D688L15B5HJB06
N
N
VOYA Investments Distributors, LLC
8-48020
SEC FILE NUMBER
N
N
Benefit Trust Company
N/A
N
Y
NYLife Distributors LLC
8-46655
SEC FILE NUMBER
N
N
McClurg Capital Corporation
8-34473
SEC FILE NUMBER
N
N
Wells Fargo Bank, N.A.
KB1H1DSPRFMYMCUFXT09
N
N
UBATCO & Co.
N/A
N
Y
Leigh Baldwin & Co., LLC
8-48385
SEC FILE NUMBER
N
N
ACP Securities, LLC
254900GHLAGD9J81O211
N
N
World Equity Group, Inc.
25490078J1OM7KOXR686
N
N
Digital Retirement Solutions, Inc.
N/A
N
Y
Essex Securities LLC
8-51472
SEC FILE NUMBER
N
N
World Capital Brokerage, Inc.
8-06805
SEC FILE NUMBER
N
N
Avantax Wealth Management, Inc
8-29533
SEC FILE NUMBER
N
N
XP Securities, LLC
549300HDFLS7P433PO89
N
N
Shareholders Service Group, Inc.
8-65778
SEC FILE NUMBER
N
N
D.A. Davidson & Co.
549300094RQ5A7DYLF51
N
N
First Heartland Capital, Inc.
8-46008
SEC FILE NUMBER
N
N
Intercarolina Financial Services, Inc.
8-37519
SEC FILE NUMBER
N
N
Oppenheimer & Co. Inc.
254900VH02JQR2L8XD64
N
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Moloney Securities Co., Inc.
8-48326
SEC FILE NUMBER
N
N
Variable Investment Advisors, Inc.
8-50699
SEC FILE NUMBER
N
N
American United Life Insurance Company
549300T82H2DXU80LV98
N
Y
ICMA-RC Services, Inc.
8-40268
SEC FILE NUMBER
N
N
Davinci Capital Management Inc.
8-51580
SEC FILE NUMBER
N
N
Carty & Company, Inc.
8-19082
SEC FILE NUMBER
N
N
Morgan Stanley Smith Barney LLC
7PDDXEMZ0ZV0CEDU4D16
N
N
Brokers International Financial Services, LLC
8-67239
SEC FILE NUMBER
N
N
Founders Financial Securities LLC
8-67137
SEC FILE NUMBER
N
N
Lion Street Financial, LLC
8-69183
SEC FILE NUMBER
N
N
Tocqueville Securities L.P.
8-42223
SEC FILE NUMBER
N
N
Mutual Securities, Inc.
8-28580
SEC FILE NUMBER
N
N
Morris Group, Inc.
549300JWKS0KMDOX5G12
N
N
State Street Bank and Trust Company
571474TGEMMWANRLN572
N
N
Securian Financial Services, Inc.
8-31955
SEC FILE NUMBER
N
N
First Financial Equity Corporation
8-34082
SEC FILE NUMBER
N
N
Healthcare Community Securities Corporation
8-46981
SEC FILE NUMBER
N
N
Whitehall-Parker Securities, Inc.
8-27688
SEC FILE NUMBER
N
N
Glen Eagle Advisors LLC
8-65678
SEC FILE NUMBER
N
N
BFT Financial Group, LLC
8-53487
SEC FILE NUMBER
N
N
Tradition Securities and Derivatives Inc.
WRYEFMSVQCH0EMD08461
N
N
The Investment Center, Inc.
8-35826
SEC FILE NUMBER
N
N
Beaconsfield Financial Services, Inc.
8-30993
SEC FILE NUMBER
N
N
Great American Investors, Inc.
8-44380
SEC FILE NUMBER
N
N
Saturna Trust Company
N/A
N
Y
Capital Management Securities, Inc.
8-27779
SEC FILE NUMBER
N
N
PTS Brokerage, LLC
8-65173
SEC FILE NUMBER
N
N
Lincoln Douglas Investments LLC
8-68728
SEC FILE NUMBER
N
N
ViewTrade Securities, Inc.
549300CHLQDUD0NL5851
N
N
Joseph Gunnar & Co. LLC
2549001XBRI5XQ0ZDA12
N
N
Ascensus Broker Dealer Services, Inc.
8-47312
SEC FILE NUMBER
N
Y
TCFG Wealth Management, LLC
8-69089
SEC FILE NUMBER
N
N
Interactive Brokers LLC
50OBSE5T5521O6SMZR28
N
N
BNY Mellon Securities Corporation
8-13801
SEC FILE NUMBER
N
N
Mercer HR Services, LLC
N/A
N
Y
Logan Group Securities
8-48995
SEC FILE NUMBER
N
N
Chelsea Morgan Securities, Inc.
8-51916
SEC FILE NUMBER
N
N
SKA Securities, Inc.
8-53366
SEC FILE NUMBER
N
N
USA Financial Securities Corporation
8-52342
SEC FILE NUMBER
N
N
Vanguard Marketing Corporation
8-21570
SEC FILE NUMBER
N
N
Globalink Securities, Inc.
8-44509
SEC FILE NUMBER
N
N
Harbour Investments, Inc.
8-37373
SEC FILE NUMBER
N
N
CNR Securities LLC
8-36759
SEC FILE NUMBER
N
N
Peak Brokerage Services, LLC
8-68829
SEC FILE NUMBER
N
N
Ascensus Financial Services, LLC
8-67891
SEC FILE NUMBER
N
N
TD Ameritrade, Inc.
CWQYQU0TV2NLMLZKNB44
N
Y
IDB Capital Corp.
254900SH3QL0IL3S9R34
N
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McDonald Partners LLC
549300PEHG3UH7FAY193
N
N
Laidlaw & Company (UK) Ltd.
8-53731
SEC FILE NUMBER
GB
N
N
American Wealth Management
8-41807
SEC FILE NUMBER
N
N
Nationwide Securities, LLC
8-12500
SEC FILE NUMBER
N
N
Coker & Palmer, Inc.
254900V1KTPDN88TDS68
N
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Caldwell Securities, Inc.
549300ORF2FMHXODHJ66
N
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Money Concepts Capital Corp.
8-29671
SEC FILE NUMBER
N
N
Allegheny Investments, Ltd.
8-22183
SEC FILE NUMBER
N
N
Great Point Capital LLC
254900HN4IGCO53HDK23
N
N
Pershing Advisor Solutions, LLC
549300KTC63JRN36GZ84
N
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Lincoln Financial Distributors, Inc.
8-13431
SEC FILE NUMBER
N
N
Abacus International Capital Corp.
8-46418
SEC FILE NUMBER
N
N
DWS Distributors, Inc.
5299007T18XBURKJ1V64
N
N
Fairport Capital, Inc.
8-32162
SEC FILE NUMBER
N
N
Talcott Resolution Life Insurance Company
8CE7JPU9IU72L3PPD756
N
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Anovest Financial Services, Inc.
8-66742
SEC FILE NUMBER
N
N
Center Street Securities, Inc.
8-42786
SEC FILE NUMBER
N
N
PNC Capital Markets LLC
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N
N
Hancock Whitney Investment Services, Inc.
8-49106
SEC FILE NUMBER
N
N
Investment Security Corporation
8-51832
SEC FILE NUMBER
N
N
Cetera Investment Services, LLC
254900HBKNJ13M56N432
N
N
MWA Financial Services Inc.
8-53255
SEC FILE NUMBER
N
N
TIAA-CREF Individual & Institutional Services, LLC
8-44454
SEC FILE NUMBER
N
N
Prudential Investment Management Services LLC
8-36540
SEC FILE NUMBER
N
N
BTG Pactual US Capital, LLC
549300EUEDL5GKQW8U35
N
N
Sanctuary Securities, Inc.
2549007WBAL2Z578XQ34
N
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Blakeslee and Blakeslee Inc.
8-32071
SEC FILE NUMBER
N
N
Michigan Securities, Inc. (dba Broadstone Securities)
8-52094
SEC FILE NUMBER
N
N
Liberty Capital Investment Corporation
8-42051
SEC FILE NUMBER
N
N
The Lawrence D. Vitez Corp. DBA Consolidated Securities
8-48642
SEC FILE NUMBER
N
N
James I. Black & Company
8-12077
SEC FILE NUMBER
N
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Parkland Securities, LLC
8-53482
SEC FILE NUMBER
N
N
CFD Investments, Inc.
8-41727
SEC FILE NUMBER
N
N
First Citizens Investor Services, Inc.
8-50696
SEC FILE NUMBER
N
N
G. W. & Wade Asset Management Company, LLC
8-42013
SEC FILE NUMBER
N
N
Planmember Securities Corporation
8-25065
SEC FILE NUMBER
N
N
SWBC Investment Services, LLC
254900YIJJWABADWZ455
N
N
Folio Investments, Inc.
8-52009
SEC FILE NUMBER
N
N
Leumi Investment Services Inc.
5493005SJQ3VQ5DEE756
N
N
William Blair & Company L.L.C.
549300J0P7XYE8BMZ775
N
N
Woodbury Financial Services, Inc.
8-13846
SEC FILE NUMBER
N
N
Lincoln Financial Securities Corporation
8-14609
SEC FILE NUMBER
N
N
N.E. Private Client Advisors, Ltd.
8-66968
SEC FILE NUMBER
N
N
Teachers Insurance and Annuity Association of America
O06YD7BJ4EPYNABVFN69
N
Y
CIBC World Markets Corp.
549300445CON3DBMU275
N
N
Infinex Investments, Inc.
8-46661
SEC FILE NUMBER
N
N
BAC Florida Investments
254900CAF9OPVE8VT408
N
N
Cetera Advisors LLC
8-26892
SEC FILE NUMBER
N
N
Bruderman Brothers, LLC
8-51974
SEC FILE NUMBER
N
N
Morgan Stanley & Co. LLC
9R7GPTSO7KV3UQJZQ078
N
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T.R. Winston & Company, LLC
8-27519
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Northern Trust Securities, Inc.
3CHSO99JSPHD9HGNYJ46
N
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McLaughlin Ryder Investments, Inc.
8-67911
SEC FILE NUMBER
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International Assets Advisory, LLC
254900ARMOHQNS987S09
N
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Capitol Securities Management, Inc.
8-30353
SEC FILE NUMBER
N
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Uhlmann Price Securities, LLC
8-50041
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N
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Finance 500, Inc.
8-28302
SEC FILE NUMBER
N
N
Union Capital Company
8-53127
SEC FILE NUMBER
N
N
Family Investors Company
8-11190
SEC FILE NUMBER
N
N
Associated Investment Services, Inc.
8-00099
SEC FILE NUMBER
N
N
Fidelity Investments Life
54930024AKTQGTIV1P93
N
N
Investment Placement Group
5493005L3RL45FY4HR07
N
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Sovereign Legacy Securities, Inc.
8-00621
SEC FILE NUMBER
N
N
Woodmen Financial Services, Inc.
8-53592
SEC FILE NUMBER
N
N
Nest Investments BD, LLC
8-70117
SEC FILE NUMBER
N
N
JPMorgan Chase Bank, N.A.
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Thompson Davis & Co., Inc.
8-49386
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SunTrust Investment Services, Inc.
8-35355
SEC FILE NUMBER
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CGIS Securities LLC
254900GOI7SHVRZ5BG90
N
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PNC Investments, LLC
8-66195
SEC FILE NUMBER
N
N
GLP Investment Services
8-41868
SEC FILE NUMBER
N
N
BOK Financial Securities, Inc.
2Q57THMJB7JL1206V012
N
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First Manhattan Co.
549300NNJKVSO48I3G76
N
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Lantern Investments, Inc.
8-45285
SEC FILE NUMBER
N
N
Wintrust Investments, LLC
8-00484
SEC FILE NUMBER
N
N
Dempsey Lord Smith, LLC
8-67469
SEC FILE NUMBER
N
N
Itau International Securities, Inc.
54930086LDFU8Z86AH91
N
N
Allianz Life Financial Services, LLC
5493008TSI0TRWDDGW79
N
N
D.H. Hill Securities LLP
8-49475
SEC FILE NUMBER
N
N
Davenport & Company LLC
254900GN2SAXJGLMS075
N
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The GMS Group, LLC
254900OXZT27TA5CGU56
N
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Country Capital Management Company
8-12645
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American Century Investment Services, Inc.
8-35220
SEC FILE NUMBER
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Mid-Atlantic Securities, Inc.
8-36997
SEC FILE NUMBER
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FMN Capital Corporation
8-48082
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The Strategic Financial Alliance, Inc.
8-65885
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Next Financial Group, Inc.
8-51356
SEC FILE NUMBER
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Sorsby Financial Corp.
8-48718
SEC FILE NUMBER
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Santander Securities LLC
8-49571
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ADP Broker-Dealer, Inc.
8-47885
SEC FILE NUMBER
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Rhodes Securities, Inc.
8-37689
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Garden State Securities, Inc.
8-25790
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KCD Financial, Inc.
8-66005
SEC FILE NUMBER
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Camden Financial Services
8-37303
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International Money Management Group, Inc.
8-30417
SEC FILE NUMBER
N
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Lockton Financial Advisors, LLC
8-67090
SEC FILE NUMBER
N
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TD Ameritrade Trust Company
028-15163
SEC FILE NUMBER
N
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Kovack Securities Inc.
25490070RG17Z4I70I82
N
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American Independent Securities Group, LLC
8-66905
SEC FILE NUMBER
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Jack V. Butterfield Investment Company
8-12454
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Gold Coast Securities, Inc.
8-53148
SEC FILE NUMBER
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N
Client One Securities LLC
8-68494
SEC FILE NUMBER
N
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Empire Asset Management Company
8-67520
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Vanguard Group, Inc., The
5493002789CY3L0CJP65
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Hefren-Tillotson, Inc.
8-10646
SEC FILE NUMBER
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Calton & Associates, Inc.
254900TDJ7LH64ZKRY86
N
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Searle & Co.
8-28600
SEC FILE NUMBER
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Gradient Securities, LLC
8-66032
SEC FILE NUMBER
N
N
Prudential Insurance Company of America
Y574KRZ6V5A7UBU45C31
N
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S.L. Reed & Company
8-49178
SEC FILE NUMBER
N
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First Command Financial Planning, Inc.
8-07072
SEC FILE NUMBER
N
N
Guardian Insurance & Annuity Company, Inc., The
TGIU5N0SIMULU6I57R64
N
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USCA Securities LLC
254900GBMSP1Y45THR66
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Concorde Investment Services, LLC
8-68388
SEC FILE NUMBER
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Umpqua Investments, Inc.
8-02915
SEC FILE NUMBER
N
N
SFA Financial, LLC
8-68156
SEC FILE NUMBER
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Arive Capital Markets
8-43350
SEC FILE NUMBER
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Pensionmark Securities, LLC
8-69773
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Synovus Securities, Inc.
254900CM2K7N1E0JF171
N
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PTI Securities & Futures L.P.
8-44412
SEC FILE NUMBER
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Equitable Advisors, LLC
8-17883
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AE Financial Services, LLC
8-70214
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Perryman Securities, Inc.
8-53546
SEC FILE NUMBER
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Feltl & Company
8-18435
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Sunbelt Securities, Inc.
8-49748
SEC FILE NUMBER
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R. F. Lafferty & Co., Inc.
254900KLPTMWPBZWH264
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CFS Securities, Inc.
8-51330
SEC FILE NUMBER
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ACA/Prudent Investors Planning Corporation
8-51899
SEC FILE NUMBER
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Vision Financial Markets LLC
549300J0X8HK9GUADL55
N
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Capital Investment Group, Inc.
8-31225
SEC FILE NUMBER
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LPL Financial LLC
5493005NM7F0H1N3EQ39
N
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Commonwealth Equity Services, Inc.
8-24040
SEC FILE NUMBER
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L.O. Thomas & Co. Inc.
8-40875
SEC FILE NUMBER
N
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Hanson McClain Retirement Network, LP
8-52250
SEC FILE NUMBER
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Woodlands Securities Corporation
8-39700
SEC FILE NUMBER
N
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Ballew Investments, Inc.
8-45660
SEC FILE NUMBER
N
N
AssetMark Trust Company
N/A
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Janney Montgomery Scott LLC
549300QQRY1JCFQHYS08
N
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E. E. Powell & Company Inc.
8-01893
SEC FILE NUMBER
N
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Citigroup Global Markets Inc.
MBNUM2BPBDO7JBLYG310
N
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MML Investors Services, LLC
8-27250
SEC FILE NUMBER
N
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A.G.P/Alliance Global Partners
549300QJQ08RJGC7D885
N
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Wiley Bros.-Aintree Capital, LLC
8-03774
SEC FILE NUMBER
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Geneos Wealth Management, Inc.
8-65357
SEC FILE NUMBER
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American Heritage Securities, Inc.
8-44466
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Cardinal Investments, Inc.
8-47493
SEC FILE NUMBER
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Allstate Financial Services, LLC
8-36365
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Centennial Securities Company, LLC
8-23406
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Zions Direct, Inc.
8-35721
SEC FILE NUMBER
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Purshe Kaplan Sterling Investments
8-46844
SEC FILE NUMBER
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Westminster Financial Securities, Inc.
8-38426
SEC FILE NUMBER
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Invex, Inc.
NPOTUCXQYGXX5PO6VH74
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Wellington Shields & Co., LLC
8-68098
SEC FILE NUMBER
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Gladowsky Capital Management Corp.
8-51017
SEC FILE NUMBER
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Sorrento Pacific Financial, LLC
8-66046
SEC FILE NUMBER
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Benchmark Investments, Inc.
8-52280
SEC FILE NUMBER
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Bolton Securities Corp.
8-68187
SEC FILE NUMBER
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BestVest Investments, Ltd.
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B. Riley Wealth Management Holdings, Inc
8-31206
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Trade-PMR Inc.
8-51390
SEC FILE NUMBER
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B.B. Graham & Company, Inc.
8-49477
SEC FILE NUMBER
N
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Insigneo Securities, LLC
254900P4TTO6PU1VDH88
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Buell Securities Corp
8-22058
SEC FILE NUMBER
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Prospera Financial Services, Inc.
8-28164
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First Asset Financial, Inc.
8-67191
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Snowden Account Services, Inc.
254900WVSS0BX602UF45
N
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Advisory Group Equity Services, Ltd.
8-32155
SEC FILE NUMBER
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McNally Financial Services Corporation
8-65388
SEC FILE NUMBER
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Gregory J. Schwartz & Co., Inc.
8-20955
SEC FILE NUMBER
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Cape Securities Inc.
8-20747
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AqGen Ascensus, Inc.
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N
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Northland Securities, Inc.
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American Global Wealth Management, Inc.
8-21584
SEC FILE NUMBER
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OneAmerica Securities, Inc.
8-15009
SEC FILE NUMBER
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Ace Diversified Capital, Inc.
8-49555
SEC FILE NUMBER
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American Enterprise Investment Services Inc.
549300NT7GLLVGTH0249
N
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Hantz Financial Services, Inc.
8-51291
SEC FILE NUMBER
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Integrated Financial Planning Services
8-35120
SEC FILE NUMBER
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N
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Duncan-Williams, Inc.
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GRF Capital Investors, Inc.
8-41494
SEC FILE NUMBER
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St. Bernard Financial Services, Inc.
8-47566
SEC FILE NUMBER
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First Kentucky Securities Corporation
8-22224
SEC FILE NUMBER
N
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Investshares, Inc
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SEC FILE NUMBER
N
N
MMA Securities LLC
8-50591
SEC FILE NUMBER
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FSC Securities Corporation
8-21770
SEC FILE NUMBER
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Brighton Securities Corp.
8-14599
SEC FILE NUMBER
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Independence Capital Co., Inc.
8-41331
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First Allied Securities, Inc.
8-46167
SEC FILE NUMBER
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Feldstein Financial Group, LLC
8-53388
SEC FILE NUMBER
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Merrill Lynch, Pierce, Fenner & Smith Incorporated
8NAV47T0Y26Q87Y0QP81
N
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Lebenthal Financial Services, Inc
8-67140
SEC FILE NUMBER
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Nationwide Planning Associates Inc.
8-45310
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Hunter Associates, Inc.
8-44779
SEC FILE NUMBER
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Wright Investors' Service Distributors, Inc.
8-29579
SEC FILE NUMBER
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Broadridge Business Process Outsourcing, LLC
8-53412
SEC FILE NUMBER
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First Mercantile Trust Company
028-10498
SEC FILE NUMBER
N
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CBIZ Financial Solutions, Inc.
8-34205
SEC FILE NUMBER
N
N
Fifth Third Bank
QFROUN1UWUYU0DVIWD51
N
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First National Bank Alaska
25490089V5DJHFQMOA03
N
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Packerland Brokerage Services, Inc.
8-47572
SEC FILE NUMBER
N
N
Crown Capital Securities, L.P.
8-17264
SEC FILE NUMBER
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Dinosaur Financial Group, LLC
549300CCV3H232GBUN83
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H. Beck, Inc.
8-31165
SEC FILE NUMBER
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TCAdvisors Network Inc.
8-46909
SEC FILE NUMBER
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Coordinated Capital Securities, Inc.
8-31173
SEC FILE NUMBER
N
N
TradeStation Securities, Inc.
549300T08P71XXBYLW62
N
N
Fortune Financial Services, Inc.
8-49727
SEC FILE NUMBER
N
N
GWFS Equities, Inc.
8-33854
SEC FILE NUMBER
N
N
Western Growers Financial Services, Inc.
8-53458
SEC FILE NUMBER
N
N
ING Financial Markets LLC
KBVRJ5K57JZ3E2AVWX40
N
N
Valley National Investments, Inc.
8-34427
SEC FILE NUMBER
N
N
J.P. Morgan Securities LLC
ZBUT11V806EZRVTWT807
N
N
City National Bank
549300MEMKSF7703ZQ25
N
N
Sammons Retirement Solutions, Inc.
N/A
N
Y
Bley Investments Group, Inc.
8-42701
SEC FILE NUMBER
N
N
Benefit Plans Administrative Services, Inc.
N/A
N
Y
Country Club Financial Services, Inc.
8-44574
SEC FILE NUMBER
N
N
Folger Nolan Fleming Douglas Incorporated
8-03335
SEC FILE NUMBER
N
N
BNP Paribas Securities Corp
RCNB6OTYUAMMP879YW96
N
N
1st Discount Brokerage, Inc.
8-48557
SEC FILE NUMBER
N
N
New England Pension Plan Systems, LLC
N/A
N
Y
Omega Securities, Inc.
8-20225
SEC FILE NUMBER
N
N
Gardner Financial Services, Inc.
8-38631
SEC FILE NUMBER
N
N
Fieldpoint Private Securities, LLC
8-37105
SEC FILE NUMBER
N
N
Excel Securities & Associates, Inc.
8-34261
SEC FILE NUMBER
N
N
S.A. Stone Wealth Management
8-36638
SEC FILE NUMBER
N
N
Chalice Capital Partners, LLC
8-69967
SEC FILE NUMBER
N
N
Principal Securities, Inc.
8-13975
SEC FILE NUMBER
N
N
Access Financial Group, Inc.
8-46065
SEC FILE NUMBER
N
N
Omni Financial Securities
8-44034
SEC FILE NUMBER
N
N
First Bankers' Banc Securities, Inc.
549300XZ7YYT3Y0SU530
N
N
Polar Investment Counsel, Inc.
8-50039
SEC FILE NUMBER
N
N
National Financial Services, LLC
549300JRHF1MHHWUAW04
N
Y
Riversource Distributors, Inc.
8-67196
SEC FILE NUMBER
N
N
Nelson Ivest Brokerage Services, Inc.
8-26448
SEC FILE NUMBER
N
N
Barclays Capital Inc.
AC28XWWI3WIBK2824319
N
N
Mack Investment Securities, Inc.
8-35536
SEC FILE NUMBER
N
N
Rogan & Associates, Inc.
8-49995
SEC FILE NUMBER
N
N
Advanced Advisor Group, LLC
8-67313
SEC FILE NUMBER
N
N
Herbert J. Sims & Co. Inc.
254900SV6UESQBS8XP98
N
N
Western Equity Group, Inc.
8-66403
SEC FILE NUMBER
N
N
Classic LLC
8-68981
SEC FILE NUMBER
N
N
Avisen Securities, Inc.
8-65833
SEC FILE NUMBER
N
N
Ustocktrade Securities, Inc.
8-33132
SEC FILE NUMBER
N
N
Muriel Seibert & Co., Inc.
8-14900
SEC FILE NUMBER
N
N
Lincoln Investment Planning, Inc.
8-14354
SEC FILE NUMBER
N
N
BancWest Investment Services, Inc.
5493001GJYTESEZEBA51
N
N
Paradigm Equities, Inc.
8-45593
SEC FILE NUMBER
N
N
First Honolulu Securities, Inc.
8-23919
SEC FILE NUMBER
N
N
BBVA Securities Inc.
549300RJFN0Z663VE860
N
N
Xml Securities, LLC
8-67776
SEC FILE NUMBER
N
N
Cabot Lodge Securities, LLC
8-69009
SEC FILE NUMBER
N
N
Great Pacific Securities
254900QRZ90SUI8C4W84
N
N
Stephens Inc.
213800LH6T9XDYZCA534
N
N
NPB Financial Group, LLC
8-67113
SEC FILE NUMBER
N
N
Silver Oak Securities, Incorporated
8-51601
SEC FILE NUMBER
N
N
Quincy Cass Associates, Incorporated
8-05743
SEC FILE NUMBER
N
N
ValMark Securities, Inc.
8-45463
SEC FILE NUMBER
N
N
Principal Life Insurance Company
SDCMU2LVKGV2AF1KWP64
N
Y
Trustmont Financial Group, Inc.
8-36439
SEC FILE NUMBER
N
N
Standard Insurance Company
549300KVA8DBYKHPXO21
N
Y
UBS Financial Services Inc.
ETYRV6ORNFJB5NONI676
N
N
Alight Financial Solutions LLC
8-47344
SEC FILE NUMBER
N
N
Crescent Securities Group
8-53457
SEC FILE NUMBER
N
N
Comerica Securities, Inc.
5493009QV211JEW7ZV59
N
N
First Western Securities, Inc.
8-37613
SEC FILE NUMBER
N
N
Adcap Securities, LLC
254900EMZBEIM1FAO022
N
N
American Capital Partners, LLC
254900I8NH46ZJJ4Z956
N
N
Exeter Trust Company
028-04279
SEC FILE NUMBER
N
N
G.L.S. & Associates, Inc.
8-51808
SEC FILE NUMBER
N
N
Maxim Group LLC
254900OJ6JZO6SDMHQ83
N
N
Cresap, Inc.
8-42117
SEC FILE NUMBER
N
N
American Portfolios Financial Services, Inc.
8-37085
SEC FILE NUMBER
N
N
Southeast Investments, N.C., Inc.
8-50127
SEC FILE NUMBER
N
N
Marsco Investment Corporation
8-36754
SEC FILE NUMBER
N
N
The Huntington Investment Company
5493004MEJ6IU9SR1R78
N
N
RBC Capital Markets, LLC
549300LCO2FLSSVFFR64
N
Y
Ameritas Investment Corp.
549300913B54XKSRM258
N
N
Intervest International Equities Corporation
8-38156
SEC FILE NUMBER
N
N
Newport Group, Inc.
N/A
N
Y
Eagles Coast Capital
8-70137
SEC FILE NUMBER
N
N
Westport Resources Investment Services, Inc.
8-40904
SEC FILE NUMBER
N
N
Wescom Financial Services, LLC
8-66189
SEC FILE NUMBER
N
N
American National Trust And Investment Management Company
028-00344
SEC FILE NUMBER
N
N
Thurston, Springer, Miller, Herd & Titak, Inc.
8-25452
SEC FILE NUMBER
N
N
Allegiance Capital, L.L.C.
8-52978
SEC FILE NUMBER
N
N
Watermark Securities, Inc.
8-43902
SEC FILE NUMBER
N
N
H. C. Denison Co.
8-00044
SEC FILE NUMBER
N
N
Emerson Equity LLC
8-66296
SEC FILE NUMBER
N
N
G.A. Repple & Company
8-35315
SEC FILE NUMBER
N
N
VALIC Financial Advisors, Inc.
8-50018
SEC FILE NUMBER
N
N
Stifel, Nicolaus & Company, Incorporated
5WUVMA08EYG4KEUPW589
N
Y
Lombard Securities, Inc.
8-43340
SEC FILE NUMBER
N
N
Monex Securities, Inc.
254900VTZ3HYHNEJRX35
N
N
Sisung Securities Corporation
254900KJI3EYKKPWT989
N
N
Access Investments, Inc.
8-49750
SEC FILE NUMBER
N
N
WBB Securities, LLC
8-53660
SEC FILE NUMBER
N
N
Cetera Advisor Networks LLC
8-29577
SEC FILE NUMBER
N
N
Aufhaser Securities, Inc.
8-48786
SEC FILE NUMBER
N
N
Wells Fargo Securities, LLC
8-65876
SEC FILE NUMBER
N
N
T. Rowe Price Investment Services, Inc.
8-25130
SEC FILE NUMBER
N
N
VALIC Retirement Services Company
84-06057
SEC FILE NUMBER
N
N
Jacques Financial, LLC
8-52675
SEC FILE NUMBER
N
N
Deutsche Bank Securities Inc.
9J6MBOOO7BECTDTUZW19
N
N
USI Securities, Inc.
8-50429
SEC FILE NUMBER
N
N
SunTrust Bank
IYDOJBGJWY9T8XKCSX06
N
N
TFS Securities, Inc.
8-38377
SEC FILE NUMBER
N
N
Capital Synergy Partners, Inc.
8-68060
SEC FILE NUMBER
N
N
K. W. Chambers & CO.
8-10533
SEC FILE NUMBER
N
N
First Horizon Advisors, Inc.
8-35061
SEC FILE NUMBER
N
N
The Jeffrey Matthews Financial Group, L.L.C.
25490086M6MGMYYVOJ50
N
N
Sammons Financial Network, LLC
8-68905
SEC FILE NUMBER
N
N
Sunstreet Securities, LLC
8-67541
SEC FILE NUMBER
N
N
Ameriprise Financial Services, Inc.
8-16791
SEC FILE NUMBER
N
N
Corinthian Partners, L.L.C.
8-48461
SEC FILE NUMBER
N
N
MMC Securities Corp.
2549001ZA93O65N2ZM60
N
N
U.S. Bancorp Investments, Inc.
H85Z6XZP8B10ES0M2G89
N
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FMSBonds, Inc.
549300TUTBK58NSF2517
N
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The Leaders Group, Inc.
8-47639
SEC FILE NUMBER
N
N
Amuni Financial, Inc
8-25338
SEC FILE NUMBER
N
N
Titleist Asset Management, Ltd.
8-65859
SEC FILE NUMBER
N
N
Multiple Financial Services, Inc.
8-52017
SEC FILE NUMBER
N
N
Raymond James & Associates, Inc.
U4ONQX15J3RO8XCKE979
N
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J. Alden Associates, Inc.
8-48938
SEC FILE NUMBER
N
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Kestra Investment Services, LLC
8-49672
SEC FILE NUMBER
N
N
Ausdal Financial Partners, Inc.
8-24519
SEC FILE NUMBER
N
N
Syndicated Capital, Inc.
8-44162
SEC FILE NUMBER
N
N
Navy Federal Brokerage Services, LLC
8-67161
SEC FILE NUMBER
N
N
Mid Atlantic Capital Corporation
549300HJL2LPNSC0JX96
N
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World Choice Securities, Inc.
8-45235
SEC FILE NUMBER
N
N
TRG Advisors, Inc.
8-50449
SEC FILE NUMBER
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N
Chauner Securities, Inc.
8-33980
SEC FILE NUMBER
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Planned Financial Programs, Inc.
8-05727
SEC FILE NUMBER
N
N
Landaas & Company
8-51826
SEC FILE NUMBER
N
N
Rodgers Brothers, Inc.
8-33475
SEC FILE NUMBER
N
N
Maplewood Investment Advisors, Inc.
8-52221
SEC FILE NUMBER
N
N
Centaurus Financial, Inc.
8-45185
SEC FILE NUMBER
N
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FNBB Capital Markets, LLC
8-66553
SEC FILE NUMBER
N
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Moors & Cabot, Inc.
8-23060
SEC FILE NUMBER
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Mutual Funds Associates, Inc.
8-13026
SEC FILE NUMBER
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National Securities Corp.
8-164
SEC FILE NUMBER
N
N
Federated Securities, Inc.
8-15644
SEC FILE NUMBER
N
N
OFG Financial Services, Inc.
8-40770
SEC FILE NUMBER
N
N
David Lerner Associates, Inc.
8-20746
SEC FILE NUMBER
N
N
Bolton Global Capital
2549009M08YVOG46LO79
N
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Coldstream Securities, Inc.
8-51549
SEC FILE NUMBER
N
N
Henley & Company LLC
8-66463
SEC FILE NUMBER
N
N
Lesko Securities Inc.
8-26408
SEC FILE NUMBER
N
N
SG Americas Securities, LLC
549300F35UE0BOM1WJ55
N
N
Loria Financial Group, LLC
8-52128
SEC FILE NUMBER
N
N
T. Rowe Price Retirement Plan Services, Inc.
084-06219
SEC FILE NUMBER
N
Y
Alight Solutions LLC
084-01996
SEC FILE NUMBER
N
Y
Alexander Capital, L.P.
8-48957
SEC FILE NUMBER
N
N
First Southern, LLC
8-69733
SEC FILE NUMBER
N
N
UMB Financial Services, Inc.
254900GFVO9NGQ21JC37
N
N
Reliance Trust Company
549300NV8FSQRNOUQO50
N
Y
Boreal Capital Securities LLC
549300NMHK6HTSKCG696
N
N
Independent Brokerage Solutions LLC
8-68549
SEC FILE NUMBER
N
N
Genworth Life & Annuity Insurance Company
TAI340D9BWT9R77O0P03
N
N
Edward D. Jones & Co., L.P.
YZRCLX72FTV74B522G90
N
N
Investments For You, Inc.
8-44179
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N
N
D.M. Kelly & Company
8-48398
SEC FILE NUMBER
N
N
R.M. Stark & Co., Inc.
8-22543
SEC FILE NUMBER
N
N
Rockefeller Financial, LLC
8-70054
SEC FILE NUMBER
N
N
Pyramid Funds Corporation
8-12769
SEC FILE NUMBER
N
N
Berthel, Fisher & Company Financial Services, Inc.
8-29426
SEC FILE NUMBER
N
N
Middlegate Securities Ltd.
549300ZVONUQ845QCH95
N
N
American Financial Securities, Inc.
8-53205
SEC FILE NUMBER
N
N
Century Securities Associates, Inc.
8-43514
SEC FILE NUMBER
N
N
Profinancial, Inc.
8-32026
SEC FILE NUMBER
N
N
Liberty Partners Financial Services, LLC
8-66335
SEC FILE NUMBER
N
N
Calamar Financial Group
8-69777
SEC FILE NUMBER
N
N
Aventura Securities, LLC
8-67458
SEC FILE NUMBER
N
N
Western International Securities, Inc.
8-48572
SEC FILE NUMBER
N
N
White Mountain Capital, LLC
8-52572
SEC FILE NUMBER
N
N
VOYA Financial Advisors, LLC
8-46451
SEC FILE NUMBER
N
N
Northern Capital Securities Corporation
254900ZANH7XTB94LS53
N
N
Colorado Financial Service Corporation
8-52817
SEC FILE NUMBER
N
N
Raymond James Financial Services, Inc.
RGUZHJ05YTITL6D76949
N
N
Oberweis Securities, Inc.
5493008EZH6DO1631P71
N
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Akar Capital Management, Inc.
8-28026
SEC FILE NUMBER
N
N
B.C. Ziegler & Company
549300NLEOFP92P38Q71
N
N
Harvest Financial Corporation
8-26037
SEC FILE NUMBER
N
N
Proequities, Inc.
8-32590
SEC FILE NUMBER
N
N
FinTrust Brokerage Services, LLC
8-49514
SEC FILE NUMBER
N
N
NorthWestern Mutual Investment Services, LLC
CYO86L8D7HTXW9SOZX28
N
N
Citizens Bank
254900MFWISYMJ04ZE93
N
N
American Equity Investment Corporation
8-49078
SEC FILE NUMBER
N
N
IFP Securities
8-70150
SEC FILE NUMBER
N
N
Integral Financial LLC
2549000I2CBZTJRHG786
N
N
Fidelity Investments Institutional Operations Company, Inc.
549300XVSM8LN3LQOK63
N
Y
John Hancock Trust Company LLC
549300W205WZCFZS6R51
N
Y
MSEC, LLC
8-68627
SEC FILE NUMBER
N
N
Monere Investments, Inc.
8-52982
SEC FILE NUMBER
N
N
NBC Securities, Inc.
254900GIP7RJQGHH5S19
N
N
Capital City Securities, LLC
8-67771
SEC FILE NUMBER
N
N
Independent Financial Group, LLC
254900KYWXHSQ7RMNP09
N
N
Wells Fargo Clearing Services, LLC
88KRVSOEKUGQZJ3DKW55
N
Y
Cadaret, Grant & Co., Inc.
8-27844
SEC FILE NUMBER
N
N
E*Trade Savings Bank
549300DXPO50FJ75QA85
N
Y
Cetera Financial Specialists LLC
8-27082
SEC FILE NUMBER
N
N
Allen C Ewing & Co.
8-42393
SEC FILE NUMBER
N
N
Fifth Third Securities, Inc.
5493003IMO3TYX51WE43
N
N
KW Securities Corporation
8-24792
SEC FILE NUMBER
N
N
United States Life Insurance Company in the City of New York
549300C1JQGJ0MNUMG79
N
Y
SagePoint Financial, Inc.
8-66771
SEC FILE NUMBER
N
N
Robinson & Robinson, Inc.
8-17109
SEC FILE NUMBER
N
N
Smith, Moore & Co.
8-27480
SEC FILE NUMBER
N
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MML Distributors, LLC
8-48203
SEC FILE NUMBER
N
N
Consolidated Financial Investments, Inc.
8-37004
SEC FILE NUMBER
N
N
Nicol Investors Corporation
8-65566
SEC FILE NUMBER
N
N
CUNA Brokerage Services, Inc.
549300G6Y6BPF9ZL4706
N
N
LaBrunerie Financial Services, Inc.
8-47830
SEC FILE NUMBER
N
N
Carter, Terry & Company, Inc.
8-33797
SEC FILE NUMBER
N
N
Saturna Brokerage Services, Inc.
8-36558
SEC FILE NUMBER
N
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Arlington Securities, Inc.
8-38098
SEC FILE NUMBER
N
N
North South Capital, LLC
549300ODEKJCRN2AM859
N
N
Bankers Life Securities, Inc.
549300YBBLCDP5GDSH97
N
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Hilltop Securities, Inc.
549300IXU82PMU6XZT45
N
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Grant Williams L.P.
8-51249
SEC FILE NUMBER
N
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Cutter & Company Brokerage, Inc.
8-39590
SEC FILE NUMBER
N
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PNC Bank, N.A.
AD6GFRVSDT01YPT1CS68
N
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M Holdings Securities, Inc.
8-50214
SEC FILE NUMBER
N
N
Bankoh Investment Services, Inc.
8-44201
SEC FILE NUMBER
N
N
Park Avenue Securities LLC
8-51324
SEC FILE NUMBER
N
N
Symphonic Securities LLC
8-67220
SEC FILE NUMBER
N
N
J.W. Cole Financial, Inc.
8-65698
SEC FILE NUMBER
N
N
USAA Investment Management Company
549300VSPLQ1XBNPD479
N
N
Pershing, LLC
8-17574
SEC FILE NUMBER
N
Y
Rothschild Investment Corporation
8-16429
SEC FILE NUMBER
N
N
Voya Institutional Plan Services, LLC
N/A
N
N
DFPG Investments, Inc.
8-68730
SEC FILE NUMBER
N
N
Crews & Associates, Inc.
5493001BWSV3E82LZ446
N
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Harold W. Dance Inc.
8-12160
SEC FILE NUMBER
N
N
Portsmouth Financial Services
8-30097
SEC FILE NUMBER
N
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FSB Warner Financial, Inc.
8-44865
SEC FILE NUMBER
N
N
Wood (Arthur W.) Company, Inc.
8-03368
SEC FILE NUMBER
N
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Genworth Life Insurance Company of New York
E5VAS7I8GX5B0SDBX010
N
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TrustFirst, Inc.
8-48509
SEC FILE NUMBER
N
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Investment Network Inc.
8-66036
SEC FILE NUMBER
N
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JHW Financial Services Inc.
8-45304
SEC FILE NUMBER
N
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Invicta Capital, LLC
549300QY87LR84LRLL97
N
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Pruco Securities, LLC.
8-16402
SEC FILE NUMBER
N
N
Jefferies, LLC
58PU97L1C0WSRCWADL48
N
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Saxony Securities, Inc.
8-53490
SEC FILE NUMBER
N
N
Andbanc Brokerage, LLC
213800E4CWGFMCDQZ792
N
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E*Trade Securities
8-44112
SEC FILE NUMBER
N
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Principled Advisors, Inc.
8-66451
SEC FILE NUMBER
N
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Brooklight Place Securities, Inc.
8-32673
SEC FILE NUMBER
N
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APW Capital, Inc.
8-50433
SEC FILE NUMBER
N
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First Financial Securities of America, Inc.
8-29565
SEC FILE NUMBER
N
N
Neuberger Berman LLC
PWDS3JJ631D5N70JXG61
N
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Hancock Whitney Corporation
549300GRNBWY8HIICT41
N
N
Kalos Capital, Inc.
8-50630
SEC FILE NUMBER
N
N
Girard Investment Services, LLC
8-14145
SEC FILE NUMBER
N
N
Voya Retirement Insurance and Annuity Company
OK3MKCDYPD4NN6QDGK18
N
Y
Ni Advisors
8-66841
SEC FILE NUMBER
N
N
Capital Investment Brokerage, Inc.
8-49118
SEC FILE NUMBER
N
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Worth Financial Group Inc.
8-29827
SEC FILE NUMBER
N
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The Garbacz Group Inc.
8-42366
SEC FILE NUMBER
N
N
Northwest Investment Advisors, Inc.
8-65282
SEC FILE NUMBER
N
N
S.G. Long & Company
8-51816
SEC FILE NUMBER
N
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Spire Securities, LLC
8-67635
SEC FILE NUMBER
N
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Boenning & Scattergood, Inc.
2549005FER5A7K7II574
N
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Security Distributors, Inc.
8-10781
SEC FILE NUMBER
N
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BTS Securities Corporation
8-26818
SEC FILE NUMBER
N
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Somerset Securities, Inc.
8-11539
SEC FILE NUMBER
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Larson Financial Securities, LLC
8-68456
SEC FILE NUMBER
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Wesbanco Securities, Inc.
8-50220
SEC FILE NUMBER
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Place Trade Financial, Inc.
8-65915
SEC FILE NUMBER
N
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Securities Equity Group
8-51706
SEC FILE NUMBER
N
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Voya Financial Partners, LLC
8-13987
SEC FILE NUMBER
N
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Schlitt Investor Services, Inc.
8-34202
SEC FILE NUMBER
N
N
Signature Securities Group Corporation
8-52697
SEC FILE NUMBER
N
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TD Private Client Wealth LLC
8-69105
SEC FILE NUMBER
N
N
Thoroughbred Financial Services, LLC
8-51944
SEC FILE NUMBER
N
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Aon Benfield Securities, Inc.
5493002ME0O127QJJG03
N
N
Safra Securities LLC
E51AOUORNWWT747CBW71
N
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Innovation Partners LLC
549300IEQ78ON1HMTU71
N
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Alliant Securities, Inc. Turner, Nord, Kienbaum
8-23305
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N
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Hennion & Walsh, Inc.
8-41988
SEC FILE NUMBER
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Regions Bank
EQTWLK1G7ODGC2MGLV11
N
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Sentinel Securities, Inc.
8-53142
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Coastal Equities, Inc.
8-40822
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Hazard & Siegel, Inc.
8-13942
SEC FILE NUMBER
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People's Securities, Inc.
8-29667
SEC FILE NUMBER
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RNR Securities, L.L.C.
8-50366
SEC FILE NUMBER
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Capital Institutional Services, Inc.
54930061X8RDWFDJIS05
N
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MGO Securities Corp.
8-47814
SEC FILE NUMBER
N
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VectorGlobal WMG
254900K52VRYBHUGBC64
N
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TD Ameritrade Clearing, Inc.
MRK678VXOI09YSSN8X19
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Integrity Investments, Inc.
8-45302
SEC FILE NUMBER
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Stonecrest Capital Markets, Inc.
8-48754
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Impact U. Investments, LLC
8-65527
SEC FILE NUMBER
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Sage, Rutty & Co., Inc.
8-00533
SEC FILE NUMBER
N
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Apex Clearing Corporation
5493000418CITRF5BO80
N
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N.I.S. Financial Services, Inc.
8-15919
SEC FILE NUMBER
N
N
Conduent HR Services LLC
084-06035
SEC FILE NUMBER
N
Y
Arque Capital, Ltd.
8-65390
SEC FILE NUMBER
N
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M. S. Howells & Co.
8-52558
SEC FILE NUMBER
N
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The Oak Ridge Financial Services Group, Inc.
2549003647MDU9F6QN39
N
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Mutual of Omaha Investor Services, Inc.
8-47290
SEC FILE NUMBER
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General Securities Corp.
8-31654
SEC FILE NUMBER
N
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American Trust Investment Services, Inc.
8-14394
SEC FILE NUMBER
N
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Carl M. Hennig, Inc.
8-14509
SEC FILE NUMBER
N
N
VBC Securities, LLC
8-44141
SEC FILE NUMBER
N
N
Citizens Securities, Inc.
2138006RAPI5PE2ZGW36
N
N
Landolt Securities, Inc.
254900B2XEQ2HZGN7K90
N
N
Unionbanc Investment Services, LLC
254900Y9HI2TG6D79N41
N
N
Equity Services, Inc.
8-14286
SEC FILE NUMBER
N
N
Piper Jaffray & Co.
549300GRQCWQ3XGH0H10
N
N
Great-West Financial Retirement Plan Services, LLC
N/A
N
Y
Halliday Financial, LLC
8-45529
SEC FILE NUMBER
N
N
Capital Portfolio Management, Inc.
8-44225
SEC FILE NUMBER
N
N
John Hancock Life Insurance Company
QQ0OZ8J9C4B5QT1XDG31
CA
N
Y
Fidelity Brokerage Services LLC
549300OQFQ4NFIOD5695
N
Y
Buckram Securities LTD
8-65939
SEC FILE NUMBER
N
N
Smith, Brown & Groover, Inc.
8-13079
SEC FILE NUMBER
N
N
Westco Investment Corp.
8-38452
SEC FILE NUMBER
N
N
Amegy Investments, Inc. (Zions)
8-65399
SEC FILE NUMBER
N
N
Arvest Investments, Inc.
8-49677
SEC FILE NUMBER
N
N
Arkadios Capital
8-69729
SEC FILE NUMBER
N
N
Royal Alliance Associates, Inc.
8-40218
SEC FILE NUMBER
N
N
Financial Northeastern Securities, Inc.
549300QRRF2NAV5G3869
N
N
Insight Securities, Inc.
2549007I5MCG270G9341
N
N
Hudson Heritage Capital Management, Inc.
8-50648
SEC FILE NUMBER
N
N
Superior Financial Services, Inc.
549300BK1DNLS1A2MZ43
N
N
Avondale Partners, LLC
254900799PKXEPTDRJ40
N
N
The Windmill Group, Inc.
8-25280
SEC FILE NUMBER
N
N
Hartford Funds Management Company, LLC
801-77209
SEC FILE NUMBER
N
Y
John Hancock Life Insurance Company of New York
5493007RYG4GXIKSQI18
CA
N
Y
Hand Securities, Inc.
8-51001
SEC FILE NUMBER
N
N
The O.N. Equity Sales Company
8-14161
SEC FILE NUMBER
N
N
Diversified Resources, LLC
8-45497
SEC FILE NUMBER
N
N
Sanders Morris Harris Inc.
254900ZNPYV465D1NZ47
N
N
Ladenburg Thalman & Co. Inc.
2549000V3L2KK4L76W91
N
N
L. B. Fisher & Company
8-21023
SEC FILE NUMBER
N
N
TransAm Securities, Inc.
8-37065
SEC FILE NUMBER
N
N
Abacus Investments, Inc.
8-46571
SEC FILE NUMBER
N
N
San Blas Securities LLC
25490079436TZN10JD83
N
N
Veritas Independent Partners, LLC
8-69363
SEC FILE NUMBER
N
N
Triad Advisors, Inc.
8-42007
SEC FILE NUMBER
N
N
Harbor Investment Advisory, LLC
8-68334
SEC FILE NUMBER
N
N
Securities Research, Inc.
8-23699
SEC FILE NUMBER
N
N
Roberts & Ryan Investments Inc.
254900A6VIVO4DP1T126
N
N
Horace Mann Investors, Inc.
8--6082
SEC FILE NUMBER
N
N
Weston Securities Corporation
8-32664
SEC FILE NUMBER
N
N
Horan Securities, Inc.
8-49192
SEC FILE NUMBER
N
N
Rehmann Financial Network
8-69134
SEC FILE NUMBER
N
N
Hightower Securities, LLC
549300F189LKWDZLP954
N
N
Sigma Financial Corporation
8-30466
SEC FILE NUMBER
N
N
Heim, Young & Associates, Inc.
8-48500
SEC FILE NUMBER
N
N
Griffinest Asia Securities, LLC
8-66571
SEC FILE NUMBER
N
N
Gerwin Group, Inc.
8-40282
SEC FILE NUMBER
N
N
Darwood Associates Incorporated
8-16560
SEC FILE NUMBER
N
N
Mutual Trust Co. of America Securities
254900PUBUB7IS4GNY27
N
N
Keel Point Capital, LLC
8-22990
SEC FILE NUMBER
N
N
Coinbase Capital Markets Corporation
8-28032
SEC FILE NUMBER
N
N
Transamerica Financial Advisors, Inc.
549300JW32XCZSHI0878
N
N
SEI Private Trust Company
028-10625
SEC FILE NUMBER
N
Y
Huntleigh Securities Corporation
8-21893
SEC FILE NUMBER
N
N
Investors Brokerage of Texas, Ltd.
8-28644
SEC FILE NUMBER
N
N
NYLife Securities LLC
8-15517
SEC FILE NUMBER
N
N
DMK Advisor Group, Inc.
8-49279
SEC FILE NUMBER
N
N
Samuel A Ramirez & Co., Inc.
254900CBKVW7O2ENQA21
N
N
T.S. Phillips Investments, Inc.
8-65661
SEC FILE NUMBER
N
N
Commerce Brokerage Services, Inc.
8-35096
SEC FILE NUMBER
N
N
Intercam Securiteis, Inc.
8-67840
SEC FILE NUMBER
N
N
Oscar Gruss & Son Incorporated
549300V78DH9XCK5UI63
N
N
Gill Capital Partners, LLC
8-30563
SEC FILE NUMBER
N
N
M&T Securities, Inc.
254900VRUF9FN7AZI864
N
N
Pacific Financial Associates, Inc.
8-40712
SEC FILE NUMBER
N
N
Colliers Securities LLC
549300OD1C69R64IVC38
N
N
L.M. Kohn & Company
8-43303
SEC FILE NUMBER
N
N
GWN Securities Inc.
8-66185
SEC FILE NUMBER
N
N
United Brokerage Services, Inc.
8-48685
SEC FILE NUMBER
N
N
Robert W. Baird & Co. Incorporated
549300772UJAHRD6LO53
N
N
Investment Planners, Inc.
8-35642
SEC FILE NUMBER
N
N
Cuso Financial Services, L.P.
8-49711
SEC FILE NUMBER
N
N
Horace Mann Life Insurance Co.
5493000HR2JKKNH2FL09
N
N
Highlander Capital Group, Inc.
8-37169
SEC FILE NUMBER
N
N
Ceros Financial Services, Inc.
549300N2YQ0P5G0WE562
N
N
LaSalle St. Securities, L.L.C.
8-18860
SEC FILE NUMBER
N
N
Cantella & Co., Inc.
254900Z33Q34HCFGHO19
N
N
Vanderbilt Securities, LLC
8-16712
SEC FILE NUMBER
N
N
Key Investment Services LLC
8-66999
SEC FILE NUMBER
N
N
Herndon Plant Oakley, LTD
8-50912
SEC FILE NUMBER
N
N
Regal Securities, Inc.
8-21765
SEC FILE NUMBER
N
N
HSBC Securities (USA), Inc.
CYYGQCGNHMHPSMRL3R97
N
N
State Farm VP Management Corp
8-50128
SEC FILE NUMBER
N
N
Infinity Securities, Inc.
8-67647
SEC FILE NUMBER
N
N
Dorn & Co., Inc.
8-08707
SEC FILE NUMBER
N
N
Farmers Financial Solutions, LLC
8-52361
SEC FILE NUMBER
N
N
Sycamore Financial Group
8-30302
SEC FILE NUMBER
N
N
SCF Securities, Inc.
8-51760
SEC FILE NUMBER
N
N
Cambridge Investment Research, Inc.
8-48740
SEC FILE NUMBER
N
N
Signal Securities, Inc.
8-32948
SEC FILE NUMBER
N
N
Amerant Investments, Inc.
254900M8G8SSAIMHET60
N
N
Massachusetts Mutual Life Insurance Company
R6ZXK5P01NP6HXSY1S07
N
Y
Hornor, Townsend & Kent, Inc.
8-14715
SEC FILE NUMBER
N
N
TimeCapital Securities Corporation
8-18248
SEC FILE NUMBER
N
N
Mid-Atlantic Clearing & Settlement Corp.
8-47758
SEC FILE NUMBER
N
N
International Research Securities, Inc.
8-37954
SEC FILE NUMBER
N
N
Etico Partners, LLC
8-65500
SEC FILE NUMBER
N
N
Vorpahl Wing Securities
8-51823
SEC FILE NUMBER
N
N
Benjamin F. Edwards & Company, Inc.
8-68023
SEC FILE NUMBER
N
N
Y
BLACKROCK ADVISORS, LLC
5493001LN9MRM6A35J74
Y
N
BNY Mellon Investment Servicing (US) Inc.
549300CFZQLI9QMJ1Z03
N
Y
N
BLACKROCK INVESTMENTS, LLC
008-48436
000038642
54930061FBHCKXL2G714
0.00000000
BLACKROCK EXECUTION SERVICES
008-48719
000039438
549300HFCRQ0NT5KY652
0.00000000
BARCLAYS CAPITAL, INC.
008-41342
000019714
AC28XWWI3WIBK2824319
69805.00000000
BOFA SECURITIES, INC.
008-69787
000283942
549300HN4UKV1E2R3U73
191508.00000000
CITIGROUP GLOBAL MARKETS INC.
008-08177
000007059
MBNUM2BPBDO7JBLYG310
121365.00000000
JEFFERIES LLC
008-15074
000002347
58PU97L1C0WSRCWADL48
78567.00000000
SG AMERICAS SECURITIES LLC
008-66125
000128351
549300F35UE0BOM1WJ55
196052.00000000
GOLDMAN SACHS & CO. LLC
008-00129
000000361
FOR8UP27PHTHYVLBNG30
180941.00000000
CREDIT SUISSE SECURITIES (USA) LLC
008-00422
000000816
1V8Y6QCX6YMJ2OELII46
892603.00000000
J.P. Morgan Securities LLC
008-35008
000000079
ZBUT11V806EZRVTWT807
138102.00000000
UBS Securities LLC
008-22651
000007654
T6FIZBDPKLYJKFCRVK44
181097.00000000
MORGAN STANLEY & CO. LLC
008-15869
000008209
9R7GPTSO7KV3UQJZQ078
100146.00000000
2256214.00000000
J.P. Morgan Securities LLC
008-35008
000000079
ZBUT11V806EZRVTWT807
52194350.00000000
Joby Aviation, Inc.
N/A
N/A
N/A
24735240.00000000
MORGAN STANLEY & CO. LLC
008-15869
000008209
9R7GPTSO7KV3UQJZQ078
72256255.00000000
CITIGROUP GLOBAL MARKETS INC
008-08177
000007059
MBNUM2BPBDO7JBLYG310
26501117.00000000
GOLDMAN SACHS & CO. LLC
008-00129
000000361
FOR8UP27PHTHYVLBNG30
61131483.00000000
Grab Holdings Ltd.
N/A
N/A
N/A
SG
40000000.00000000
Microvast Holdings, Inc.
N/A
N/A
549300J4UX9OMHSTKS35
45000000.00000000
BlackRock Liquidity Funds T-Fund
N/A
N/A
5493002L9DNZ83RX7V61
3153301535.00000000
Rocket Lab USA, Inc.
N/A
N/A
N/A
24000000.00000000
Lucid Group, Inc.
N/A
N/A
N/A
50795580.00000000
3621272540.00000000
Y
7960367228.00000000
0.00000000
Committed
1750000000.00000000
N
N
N
N
BlackRock High Equity Income Fund
S000001509
5P4Q4JLCZIQPV2V8P740
N
4
0
2
N/A
N
N
Y
N
BlackRock Investment Management, LLC
5493006MRTEZZ4S4CQ20
Y
N
Cash collateral reinvestment fee
Other
Revenue sharing split
Rebates paid to borrowers
N/A
N/A
Rule 12d1-1 (17 CFR 270.12d1-1)
Rule 32a-4 (17 CFR 270.32a-4)
Rule 12d1-4 (17 CFR 270.12d1-4)
Rule 22d-1 (17 CFR 270.22d-1)
Y
Y
N
N
BlackRock Advisors, LLC
801-47710
000106614
5493001LN9MRM6A35J74
N
BNY Mellon Investment Servicing (US) Inc.
084-01761
549300CFZQLI9QMJ1Z03
N
N
N
Intercontinental Exchange, Inc.
5493000F4ZO33MV32P92
N
IHS Markit Ltd.
549300HLPTRASHS0E726
N
N
Skandinaviska Enskilda Banken AB, Copenhagen Branch
F3JS33DEI6XQ4ZBPTN86
DK
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Banco Bilbao Vizcaya Argentaria SA
K8MS7FD7N5Z2WQ51AZ71
ES
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
The Bank of New York Mellon
HPFHU0OQ28E4N0NFVK49
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
HSBC Bank Australia Limited
DY9DBNI4W8J63Z298033
AU
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Euroclear France
54930060MY6S68NEUP16
FR
N
Y
Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
MUFG Bank, Ltd.
C3GTMMZIHMY46P4OIX74
JP
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Goldman Sachs & Co. LLC
FOR8UP27PHTHYVLBNG30
N
Y
Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
HSBC Bank (Taiwan) Limited
549300SG184IVNYDMN03
TW
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
UBS Securities LLC
T6FIZBDPKLYJKFCRVK44
N
Y
Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Morgan Stanley & Co. LLC
9R7GPTSO7KV3UQJZQ078
N
Y
Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Credit Suisse Securities (USA) LLC
1V8Y6QCX6YMJ2OELII46
N
Y
Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Citigroup Global Markets Inc.
MBNUM2BPBDO7JBLYG310
N
Y
Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Barclays Capital Inc.
AC28XWWI3WIBK2824319
N
Y
Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Euroclear Nederland (Netherlands)
549300CBNW05DILT6870
NL
N
Y
Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
The Hongkong and Shanghai Banking Corporation Limited
2HI3YI5320L3RW6NJ957
HK
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Credit Suisse (Switzerland) Ltd.
549300CWR0W0BCS9Q144
CH
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Clearstream Banking AG
549300298FD7AS4PPU70
DE
N
Y
Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Euroclear UK & Ireland Limited
549300M5MYAD51WHJD55
GB
N
Y
Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Skandinaviska Enskilda Banken AB, Oslo Branch
F3JS33DEI6XQ4ZBPTN86
NO
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
CIBC Mellon Trust Company
549300IYUUH221WBZ505
CA
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Euroclear Bank SA/NV (Belgium)
549300OZ46BRLZ8Y6F65
BE
N
Y
Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Y
DMK Advisor Group, Inc.
8-49279
SEC FILE NUMBER
N
N
CFD Investments, Inc.
8-41727
SEC FILE NUMBER
N
N
Allen C Ewing & Co.
8-42393
SEC FILE NUMBER
N
N
State Farm VP Management Corp
8-50128
SEC FILE NUMBER
N
N
Transamerica Advisors Life Insurance Company
F1PLTWZ8OU4HQGZQAP31
N
N
Gregory J. Schwartz & Co., Inc.
8-20955
SEC FILE NUMBER
N
N
Veritas Independent Partners, LLC
8-69363
SEC FILE NUMBER
N
N
Nicol Investors Corporation
8-65566
SEC FILE NUMBER
N
N
R.M. Stark & Co., Inc.
8-22543
SEC FILE NUMBER
N
N
GWFS Equities, Inc.
8-33854
SEC FILE NUMBER
N
N
Talcott Resolution Life Insurance Company
8CE7JPU9IU72L3PPD756
N
Y
A.G.P/Alliance Global Partners
549300QJQ08RJGC7D885
N
N
J.D. Seibert & Company, Inc.
8-23604
SEC FILE NUMBER
N
N
Family Investors Company
8-11190
SEC FILE NUMBER
N
N
Great American Investors, Inc.
8-44380
SEC FILE NUMBER
N
N
Edward D. Jones & Co., L.P.
YZRCLX72FTV74B522G90
N
N
Caldwell Securities, Inc.
549300ORF2FMHXODHJ66
N
N
Integral Financial LLC
2549000I2CBZTJRHG786
N
N
Infinity Securities, Inc.
8-67647
SEC FILE NUMBER
N
N
Pershing, LLC
8-17574
SEC FILE NUMBER
N
Y
Western Growers Financial Services, Inc.
8-53458
SEC FILE NUMBER
N
N
Weston Securities Corporation
8-32664
SEC FILE NUMBER
N
N
Bruderman Brothers, LLC
8-51974
SEC FILE NUMBER
N
N
Invicta Capital, LLC
549300QY87LR84LRLL97
N
N
L.S.Y., Inc.
8-17613
SEC FILE NUMBER
N
N
Superior Financial Services, Inc.
549300BK1DNLS1A2MZ43
N
N
First Heartland Capital, Inc.
8-46008
SEC FILE NUMBER
N
N
Hancock Whitney Corporation
549300GRNBWY8HIICT41
N
N
Cetera Investment Services, LLC
254900HBKNJ13M56N432
N
N
TrustFirst, Inc.
8-48509
SEC FILE NUMBER
N
N
Vanguard Group, Inc., The
5493002789CY3L0CJP65
N
Y
Landaas & Company
8-51826
SEC FILE NUMBER
N
N
Harold W. Dance Inc.
8-12160
SEC FILE NUMBER
N
N
Massachusetts Mutual Life Insurance Company
R6ZXK5P01NP6HXSY1S07
N
Y
ICMA-RC Services, Inc.
8-40268
SEC FILE NUMBER
N
N
Amuni Financial, Inc
8-25338
SEC FILE NUMBER
N
N
Access Investments, Inc.
8-49750
SEC FILE NUMBER
N
N
M. S. Howells & Co.
8-52558
SEC FILE NUMBER
N
N
Apex Clearing Corporation
5493000418CITRF5BO80
N
N
The Leaders Group, Inc.
8-47639
SEC FILE NUMBER
N
N
AssetMark Trust Company
N/A
N
N
Feltl & Company
8-18435
SEC FILE NUMBER
N
N
Jack V. Butterfield Investment Company
8-12454
SEC FILE NUMBER
N
N
Grant Williams L.P.
8-51249
SEC FILE NUMBER
N
N
J.P. Morgan Institutional Investments Inc.
8-52182
SEC FILE NUMBER
N
N
Ni Advisors
8-66841
SEC FILE NUMBER
N
N
Trustmont Financial Group, Inc.
8-36439
SEC FILE NUMBER
N
N
Guardian Insurance & Annuity Company, Inc., The
TGIU5N0SIMULU6I57R64
N
Y
Advanced Advisor Group, LLC
8-67313
SEC FILE NUMBER
N
N
National Financial Services, LLC
549300JRHF1MHHWUAW04
N
Y
BBVA Securities Inc.
549300RJFN0Z663VE860
N
N
VALIC Retirement Services Company
84-06057
SEC FILE NUMBER
N
N
Zions Direct, Inc.
8-35721
SEC FILE NUMBER
N
N
American Portfolios Financial Services, Inc.
8-37085
SEC FILE NUMBER
N
N
Duncan-Williams, Inc.
25490045VHLUZ7H92Y27
N
N
Actinver Securities, Inc.
254900FT947VQZ1WHT28
N
N
Merrill Lynch, Pierce, Fenner & Smith Incorporated
8NAV47T0Y26Q87Y0QP81
N
N
Arlington Securities, Inc.
8-38098
SEC FILE NUMBER
N
N
The Tavenner Company
8-41206
SEC FILE NUMBER
N
N
Voya Institutional Plan Services, LLC
N/A
N
N
Liberty Capital Investment Corporation
8-42051
SEC FILE NUMBER
N
N
Mack Investment Securities, Inc.
8-35536
SEC FILE NUMBER
N
N
Mid-Atlantic Securities, Inc.
8-36997
SEC FILE NUMBER
N
N
Fidelity Investments Institutional Operations Company, Inc.
549300XVSM8LN3LQOK63
N
Y
BestVest Investments, Ltd.
254900SL6FW130BMS922
N
N
John Hancock Trust Company LLC
549300W205WZCFZS6R51
N
Y
Quincy Cass Associates, Incorporated
8-05743
SEC FILE NUMBER
N
N
Arvest Investments, Inc.
8-49677
SEC FILE NUMBER
N
N
Coordinated Capital Securities, Inc.
8-31173
SEC FILE NUMBER
N
N
Davinci Capital Management Inc.
8-51580
SEC FILE NUMBER
N
N
World Equity Group, Inc.
25490078J1OM7KOXR686
N
N
B.B. Graham & Company, Inc.
8-49477
SEC FILE NUMBER
N
N
USCA Securities LLC
254900GBMSP1Y45THR66
N
N
Northwest Investment Advisors, Inc.
8-65282
SEC FILE NUMBER
N
N
Smith, Moore & Co.
8-27480
SEC FILE NUMBER
N
N
Leigh Baldwin & Co., LLC
8-48385
SEC FILE NUMBER
N
N
Thompson Davis & Co., Inc.
8-49386
SEC FILE NUMBER
N
N
Avondale Partners, LLC
254900799PKXEPTDRJ40
N
N
Etico Partners, LLC
8-65500
SEC FILE NUMBER
N
N
OneAmerica Securities, Inc.
8-15009
SEC FILE NUMBER
N
N
First Manhattan Co.
549300NNJKVSO48I3G76
N
N
VBC Securities, LLC
8-44141
SEC FILE NUMBER
N
N
Wells Fargo Bank, N.A.
KB1H1DSPRFMYMCUFXT09
N
N
Rehmann Financial Network
8-69134
SEC FILE NUMBER
N
N
L. B. Fisher & Company
8-21023
SEC FILE NUMBER
N
N
Raymond James Financial Services, Inc.
RGUZHJ05YTITL6D76949
N
N
Genworth Life & Annuity Insurance Company
TAI340D9BWT9R77O0P03
N
N
D.H. Hill Securities LLP
8-49475
SEC FILE NUMBER
N
N
Lincoln Financial Distributors, Inc.
8-13431
SEC FILE NUMBER
N
N
Arkadios Capital
8-69729
SEC FILE NUMBER
N
N
Capital City Securities, LLC
8-67771
SEC FILE NUMBER
N
N
Akar Capital Management, Inc.
8-28026
SEC FILE NUMBER
N
N
U.S. Bancorp Investments, Inc.
H85Z6XZP8B10ES0M2G89
N
N
Parkland Securities, LLC
8-53482
SEC FILE NUMBER
N
N
Halliday Financial, LLC
8-45529
SEC FILE NUMBER
N
N
Aufhaser Securities, Inc.
8-48786
SEC FILE NUMBER
N
N
Brighton Securities Corp.
8-14599
SEC FILE NUMBER
N
N
Mid-Atlantic Clearing & Settlement Corp.
8-47758
SEC FILE NUMBER
N
N
Lion Street Financial, LLC
8-69183
SEC FILE NUMBER
N
N
MGO Securities Corp.
8-47814
SEC FILE NUMBER
N
N
T.R. Winston & Company, LLC
8-27519
SEC FILE NUMBER
N
N
Carter, Terry & Company, Inc.
8-33797
SEC FILE NUMBER
N
N
Lombard Securities, Inc.
8-43340
SEC FILE NUMBER
N
N
Citizens Securities, Inc.
2138006RAPI5PE2ZGW36
N
N
International Assets Advisory, LLC
254900ARMOHQNS987S09
N
N
First Citizens Investor Services, Inc.
8-50696
SEC FILE NUMBER
N
N
Sisung Securities Corporation
254900KJI3EYKKPWT989
N
N
IFP Securities
8-70150
SEC FILE NUMBER
N
N
Henley & Company LLC
8-66463
SEC FILE NUMBER
N
N
First Financial Securities of America, Inc.
8-29565
SEC FILE NUMBER
N
N
Ustocktrade Securities, Inc.
8-33132
SEC FILE NUMBER
N
N
Hazard & Siegel, Inc.
8-13942
SEC FILE NUMBER
N
N
H. Beck, Inc.
8-31165
SEC FILE NUMBER
N
N
L.O. Thomas & Co. Inc.
8-40875
SEC FILE NUMBER
N
N
First National Bank Alaska
25490089V5DJHFQMOA03
N
N
Blakeslee and Blakeslee Inc.
8-32071
SEC FILE NUMBER
N
N
Westminster Financial Securities, Inc.
8-38426
SEC FILE NUMBER
N
N
Morris Group, Inc.
549300JWKS0KMDOX5G12
N
N
Planners Financial Services, Inc.
8-18027
SEC FILE NUMBER
N
N
Nations Financial Group, Inc.
8-50588
SEC FILE NUMBER
N
N
Rockefeller Financial, LLC
8-70054
SEC FILE NUMBER
N
N
Huntleigh Securities Corporation
8-21893
SEC FILE NUMBER
N
N
Principal Life Insurance Company
SDCMU2LVKGV2AF1KWP64
N
Y
Stonecrest Capital Markets, Inc.
8-48754
SEC FILE NUMBER
N
N
The Huntington Investment Company
5493004MEJ6IU9SR1R78
N
N
Fifth Third Securities, Inc.
5493003IMO3TYX51WE43
N
N
Thurston, Springer, Miller, Herd & Titak, Inc.
8-25452
SEC FILE NUMBER
N
N
Oriental Financial Services Corp.
8-44516
SEC FILE NUMBER
N
N
Brokers International Financial Services, LLC
8-67239
SEC FILE NUMBER
N
N
Centennial Securities Company, LLC
8-23406
SEC FILE NUMBER
N
N
Hanson McClain Retirement Network, LP
8-52250
SEC FILE NUMBER
N
N
Advisory Group Equity Services, Ltd.
8-32155
SEC FILE NUMBER
N
N
SecureVest Financial Group
254900LG3HPQV4J0WH27
N
N
Bankoh Investment Services, Inc.
8-44201
SEC FILE NUMBER
N
N
TD Ameritrade, Inc.
CWQYQU0TV2NLMLZKNB44
N
Y
TD Ameritrade Trust Company
028-15163
SEC FILE NUMBER
N
N
Hightower Securities, LLC
549300F189LKWDZLP954
N
N
Country Capital Management Company
8-12645
SEC FILE NUMBER
N
N
American Financial Securities, Inc.
8-53205
SEC FILE NUMBER
N
N
Charles Schwab Bank
549300INFJ8TYNZ1G568
N
Y
The Investment Center, Inc.
8-35826
SEC FILE NUMBER
N
N
Buckman, Buckman & Reid, Inc.
254900D688L15B5HJB06
N
N
Lincoln Financial Securities Corporation
8-14609
SEC FILE NUMBER
N
N
Coker & Palmer, Inc.
254900V1KTPDN88TDS68
N
N
Pershing Advisor Solutions, LLC
549300KTC63JRN36GZ84
N
N
Hunter Associates, Inc.
8-44779
SEC FILE NUMBER
N
N
Morgan Stanley & Co. LLC
9R7GPTSO7KV3UQJZQ078
N
N
BNP Paribas Securities Corp
RCNB6OTYUAMMP879YW96
N
N
Securities Research, Inc.
8-23699
SEC FILE NUMBER
N
N
Ameritas Investment Corp.
549300913B54XKSRM258
N
N
Investment Network Inc.
8-66036
SEC FILE NUMBER
N
N
First Horizon Advisors, Inc.
8-35061
SEC FILE NUMBER
N
N
Carl M. Hennig, Inc.
8-14509
SEC FILE NUMBER
N
N
Regions Bank
EQTWLK1G7ODGC2MGLV11
N
N
Access Financial Group, Inc.
8-46065
SEC FILE NUMBER
N
N
Royal Alliance Associates, Inc.
8-40218
SEC FILE NUMBER
N
N
PTI Securities & Futures L.P.
8-44412
SEC FILE NUMBER
N
N
Herndon Plant Oakley, LTD
8-50912
SEC FILE NUMBER
N
N
DWS Distributors, Inc.
5299007T18XBURKJ1V64
N
N
NTB Financial Corporation
8-21884
SEC FILE NUMBER
N
N
Investment Planners, Inc.
8-35642
SEC FILE NUMBER
N
N
SEI Private Trust Company
028-10625
SEC FILE NUMBER
N
Y
Eagles Coast Capital
8-70137
SEC FILE NUMBER
N
N
Peak Brokerage Services, LLC
8-68829
SEC FILE NUMBER
N
N
Mid Atlantic Capital Corporation
549300HJL2LPNSC0JX96
N
N
Jefferies, LLC
58PU97L1C0WSRCWADL48
N
N
Cresap, Inc.
8-42117
SEC FILE NUMBER
N
N
E*Trade Savings Bank
549300DXPO50FJ75QA85
N
Y
Benchmark Investments, Inc.
8-52280
SEC FILE NUMBER
N
N
First Financial Equity Corporation
8-34082
SEC FILE NUMBER
N
N
Amegy Investments, Inc. (Zions)
8-65399
SEC FILE NUMBER
N
N
The Lawrence D. Vitez Corp. DBA Consolidated Securities
8-48642
SEC FILE NUMBER
N
N
D.M. Kelly & Company
8-48398
SEC FILE NUMBER
N
N
Bolton Securities Corp.
8-68187
SEC FILE NUMBER
N
N
The Oak Ridge Financial Services Group, Inc.
2549003647MDU9F6QN39
N
N
LaSalle St. Securities, L.L.C.
8-18860
SEC FILE NUMBER
N
N
Benjamin F. Edwards & Company, Inc.
8-68023
SEC FILE NUMBER
N
N
Coastal Equities, Inc.
8-40822
SEC FILE NUMBER
N
N
Wright Investors' Service Distributors, Inc.
8-29579
SEC FILE NUMBER
N
N
Reliance Trust Company
549300NV8FSQRNOUQO50
N
Y
Horace Mann Investors, Inc.
8--6082
SEC FILE NUMBER
N
N
Money Concepts Capital Corp.
8-29671
SEC FILE NUMBER
N
N
Hennion & Walsh, Inc.
8-41988
SEC FILE NUMBER
N
N
Searle & Co.
8-28600
SEC FILE NUMBER
N
N
McNally Financial Services Corporation
8-65388
SEC FILE NUMBER
N
N
Adcap Securities, LLC
254900EMZBEIM1FAO022
N
N
Capital Portfolio Management, Inc.
8-44225
SEC FILE NUMBER
N
N
M&T Securities, Inc.
254900VRUF9FN7AZI864
N
N
United Planners' Financial Services of America A Limited Partner
8-38485
SEC FILE NUMBER
N
N
SunTrust Bank
IYDOJBGJWY9T8XKCSX06
N
N
Sunbelt Securities, Inc.
8-49748
SEC FILE NUMBER
N
N
MSEC, LLC
8-68627
SEC FILE NUMBER
N
N
Vision Financial Markets LLC
549300J0X8HK9GUADL55
N
N
Signature Securities Group Corporation
8-52697
SEC FILE NUMBER
N
N
IDB Capital Corp.
254900SH3QL0IL3S9R34
N
N
First Asset Financial, Inc.
8-67191
SEC FILE NUMBER
N
N
KCD Financial, Inc.
8-66005
SEC FILE NUMBER
N
N
The Windmill Group, Inc.
8-25280
SEC FILE NUMBER
N
N
MML Distributors, LLC
8-48203
SEC FILE NUMBER
N
N
John Hancock Life Insurance Company
QQ0OZ8J9C4B5QT1XDG31
CA
N
Y
Gradient Securities, LLC
8-66032
SEC FILE NUMBER
N
N
VOYA Financial Advisors, LLC
8-46451
SEC FILE NUMBER
N
N
Itau International Securities, Inc.
54930086LDFU8Z86AH91
N
N
AE Financial Services, LLC
8-70214
SEC FILE NUMBER
N
N
American Financial Associates, Inc.
8-44065
SEC FILE NUMBER
N
N
J.W. Cole Financial, Inc.
8-65698
SEC FILE NUMBER
N
N
Mutual of Omaha Investor Services, Inc.
8-47290
SEC FILE NUMBER
N
N
TD Ameritrade Clearing, Inc.
MRK678VXOI09YSSN8X19
N
Y
Park Avenue Securities LLC
8-51324
SEC FILE NUMBER
N
N
R. F. Lafferty & Co., Inc.
254900KLPTMWPBZWH264
N
N
American National Trust And Investment Management Company
028-00344
SEC FILE NUMBER
N
N
Cantella & Co., Inc.
254900Z33Q34HCFGHO19
N
N
Innovation Partners LLC
549300IEQ78ON1HMTU71
N
N
American Capital Partners, LLC
254900I8NH46ZJJ4Z956
N
N
United States Life Insurance Company in the City of New York
549300C1JQGJ0MNUMG79
N
Y
Commonwealth Equity Services, Inc.
8-24040
SEC FILE NUMBER
N
N
Sycamore Financial Group
8-30302
SEC FILE NUMBER
N
N
First Southern, LLC
8-69733
SEC FILE NUMBER
N
N
FMN Capital Corporation
8-48082
SEC FILE NUMBER
N
N
B.C. Ziegler & Company
549300NLEOFP92P38Q71
N
N
Sunstreet Securities, LLC
8-67541
SEC FILE NUMBER
N
N
Intervest International Equities Corporation
8-38156
SEC FILE NUMBER
N
N
Newport Group, Inc.
N/A
N
Y
Glen Eagle Advisors LLC
8-65678
SEC FILE NUMBER
N
N
Wells Fargo Clearing Services, LLC
88KRVSOEKUGQZJ3DKW55
N
Y
Lockton Financial Advisors, LLC
8-67090
SEC FILE NUMBER
N
N
Conover Securities Corporation
8-35085
SEC FILE NUMBER
N
N
Leumi Investment Services Inc.
5493005SJQ3VQ5DEE756
N
N
American Enterprise Investment Services Inc.
549300NT7GLLVGTH0249
N
N
Omni Financial Securities
8-44034
SEC FILE NUMBER
N
N
USAA Investment Management Company
549300VSPLQ1XBNPD479
N
N
Berthel, Fisher & Company Financial Services, Inc.
8-29426
SEC FILE NUMBER
N
N
Arive Capital Markets
8-43350
SEC FILE NUMBER
N
N
Fortune Financial Services, Inc.
8-49727
SEC FILE NUMBER
N
N
BFT Financial Group, LLC
8-53487
SEC FILE NUMBER
N
N
Mutual Securities, Inc.
8-28580
SEC FILE NUMBER
N
N
Polar Investment Counsel, Inc.
8-50039
SEC FILE NUMBER
N
N
Pyramid Funds Corporation
8-12769
SEC FILE NUMBER
N
N
Client One Securities LLC
8-68494
SEC FILE NUMBER
N
N
Citigroup Global Markets Inc.
MBNUM2BPBDO7JBLYG310
N
N
Janney Montgomery Scott LLC
549300QQRY1JCFQHYS08
N
N
Independence Capital Co., Inc.
8-41331
SEC FILE NUMBER
N
N
CFS Securities, Inc.
8-51330
SEC FILE NUMBER
N
N
Folger Nolan Fleming Douglas Incorporated
8-03335
SEC FILE NUMBER
N
N
FinTrust Brokerage Services, LLC
8-49514
SEC FILE NUMBER
N
N
VectorGlobal WMG
254900K52VRYBHUGBC64
N
N
Vorpahl Wing Securities
8-51823
SEC FILE NUMBER
N
N
CUNA Brokerage Services, Inc.
549300G6Y6BPF9ZL4706
N
N
Buckram Securities LTD
8-65939
SEC FILE NUMBER
N
N
Triad Advisors, Inc.
8-42007
SEC FILE NUMBER
N
N
Synovus Securities, Inc.
254900CM2K7N1E0JF171
N
N
Cutter & Company Brokerage, Inc.
8-39590
SEC FILE NUMBER
N
N
Benefit Trust Company
N/A
N
Y
Somerset Securities, Inc.
8-11539
SEC FILE NUMBER
N
N
Marsco Investment Corporation
8-36754
SEC FILE NUMBER
N
N
UMB Financial Services, Inc.
254900GFVO9NGQ21JC37
N
N
Allegiance Capital, L.L.C.
8-52978
SEC FILE NUMBER
N
N
Mutual Trust Co. of America Securities
254900PUBUB7IS4GNY27
N
N
Boenning & Scattergood, Inc.
2549005FER5A7K7II574
N
N
Capital Investment Group, Inc.
8-31225
SEC FILE NUMBER
N
N
Saturna Trust Company
N/A
N
Y
Gerwin Group, Inc.
8-40282
SEC FILE NUMBER
N
N
Coldstream Securities, Inc.
8-51549
SEC FILE NUMBER
N
N
VALIC Financial Advisors, Inc.
8-50018
SEC FILE NUMBER
N
N
Anovest Financial Services, Inc.
8-66742
SEC FILE NUMBER
N
N
International Research Securities, Inc.
8-37954
SEC FILE NUMBER
N
N
Cuso Financial Services, L.P.
8-49711
SEC FILE NUMBER
N
N
TIAA-CREF Individual & Institutional Services, LLC
8-44454
SEC FILE NUMBER
N
N
S.A. Stone Wealth Management
8-36638
SEC FILE NUMBER
N
N
Horan Securities, Inc.
8-49192
SEC FILE NUMBER
N
N
Garden State Securities, Inc.
8-25790
SEC FILE NUMBER
N
N
Abacus Investments, Inc.
8-46571
SEC FILE NUMBER
N
N
Sentinel Securities, Inc.
8-53142
SEC FILE NUMBER
N
N
PTS Brokerage, LLC
8-65173
SEC FILE NUMBER
N
N
UBS AG, New York Branch
BFM8T61CT2L1QCEMIK50
N
N
Great Pacific Securities
254900QRZ90SUI8C4W84
N
N
Woodbury Financial Services, Inc.
8-13846
SEC FILE NUMBER
N
N
Smith, Brown & Groover, Inc.
8-13079
SEC FILE NUMBER
N
N
Ausdal Financial Partners, Inc.
8-24519
SEC FILE NUMBER
N
N
Intercam Securiteis, Inc.
8-67840
SEC FILE NUMBER
N
N
Abacus International Capital Corp.
8-46418
SEC FILE NUMBER
N
N
Sammons Retirement Solutions, Inc.
N/A
N
Y
Sorrento Pacific Financial, LLC
8-66046
SEC FILE NUMBER
N
N
Regulus Advisors, LLC
8-68275
SEC FILE NUMBER
N
N
Invex, Inc.
NPOTUCXQYGXX5PO6VH74
N
N
KW Securities Corporation
8-24792
SEC FILE NUMBER
N
N
NYLife Securities LLC
8-15517
SEC FILE NUMBER
N
N
Sabadell Securities USA, Inc.
2549002UK8JK82ABGD45
N
N
T.S. Phillips Investments, Inc.
8-65661
SEC FILE NUMBER
N
N
Principled Advisors, Inc.
8-66451
SEC FILE NUMBER
N
N
William Blair & Company L.L.C.
549300J0P7XYE8BMZ775
N
N
Middlegate Securities Ltd.
549300ZVONUQ845QCH95
N
N
Silver Oak Securities, Incorporated
8-51601
SEC FILE NUMBER
N
N
American Century Investment Services, Inc.
8-35220
SEC FILE NUMBER
N
N
SECU Brokerage Services
8-37927
SEC FILE NUMBER
N
N
Shareholders Service Group, Inc.
8-65778
SEC FILE NUMBER
N
N
WBB Securities, LLC
8-53660
SEC FILE NUMBER
N
N
Classic LLC
8-68981
SEC FILE NUMBER
N
N
Logan Group Securities
8-48995
SEC FILE NUMBER
N
N
Chelsea Morgan Securities, Inc.
8-51916
SEC FILE NUMBER
N
N
Charles Schwab & Co., Inc.
549300ZP8XN77GK5BS04
N
Y
Multiple Financial Services, Inc.
8-52017
SEC FILE NUMBER
N
N
Allegheny Investments, Ltd.
8-22183
SEC FILE NUMBER
N
N
First Western Securities, Inc.
8-37613
SEC FILE NUMBER
N
N
D.A. Davidson & Co.
549300094RQ5A7DYLF51
N
N
MMA Securities LLC
8-50591
SEC FILE NUMBER
N
N
Worth Financial Group Inc.
8-29827
SEC FILE NUMBER
N
N
Securian Financial Services, Inc.
8-31955
SEC FILE NUMBER
N
N
Digital Retirement Solutions, Inc.
N/A
N
Y
Dominion Investor Services, Inc.
8-39029
SEC FILE NUMBER
N
N
TimeCapital Securities Corporation
8-18248
SEC FILE NUMBER
N
N
E*Trade Securities
8-44112
SEC FILE NUMBER
N
N
Equitable Advisors, LLC
8-17883
SEC FILE NUMBER
N
N
Farmers Financial Solutions, LLC
8-52361
SEC FILE NUMBER
N
N
Wall Street Access
549300Z0MOT47D6OQV22
N
N
Horace Mann Life Insurance Co.
5493000HR2JKKNH2FL09
N
N
UBATCO & Co.
N/A
N
Y
Interactive Brokers LLC
50OBSE5T5521O6SMZR28
N
N
Great-West Financial Retirement Plan Services, LLC
N/A
N
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Chauner Securities, Inc.
8-33980
SEC FILE NUMBER
N
N
TFS Securities, Inc.
8-38377
SEC FILE NUMBER
N
N
Century Securities Associates, Inc.
8-43514
SEC FILE NUMBER
N
N
Muriel Seibert & Co., Inc.
8-14900
SEC FILE NUMBER
N
N
Healthcare Community Securities Corporation
8-46981
SEC FILE NUMBER
N
N
Samuel A Ramirez & Co., Inc.
254900CBKVW7O2ENQA21
N
N
Intercarolina Financial Services, Inc.
8-37519
SEC FILE NUMBER
N
N
Regal Securities, Inc.
8-21765
SEC FILE NUMBER
N
N
Sanders Morris Harris Inc.
254900ZNPYV465D1NZ47
N
N
Hand Securities, Inc.
8-51001
SEC FILE NUMBER
N
N
Investment Placement Group
5493005L3RL45FY4HR07
N
N
Maplewood Investment Advisors, Inc.
8-52221
SEC FILE NUMBER
N
N
1st Discount Brokerage, Inc.
8-48557
SEC FILE NUMBER
N
N
GWN Securities Inc.
8-66185
SEC FILE NUMBER
N
N
Griffinest Asia Securities, LLC
8-66571
SEC FILE NUMBER
N
N
Darwood Associates Incorporated
8-16560
SEC FILE NUMBER
N
N
Teckmeyer Financial Services, L.L.C.
8-48501
SEC FILE NUMBER
N
N
First Honolulu Securities, Inc.
8-23919
SEC FILE NUMBER
N
N
Rothschild Investment Corporation
8-16429
SEC FILE NUMBER
N
N
Hefren-Tillotson, Inc.
8-10646
SEC FILE NUMBER
N
N
Schlitt Investor Services, Inc.
8-34202
SEC FILE NUMBER
N
N
American United Life Insurance Company
549300T82H2DXU80LV98
N
Y
City National Bank
549300MEMKSF7703ZQ25
N
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Federated Securities, Inc.
8-15644
SEC FILE NUMBER
N
N
United Brokerage Services, Inc.
8-48685
SEC FILE NUMBER
N
N
FSB Warner Financial, Inc.
8-44865
SEC FILE NUMBER
N
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Comerica Securities, Inc.
5493009QV211JEW7ZV59
N
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Lincoln Investment Planning, Inc.
8-14354
SEC FILE NUMBER
N
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Safra Securities LLC
E51AOUORNWWT747CBW71
N
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Rodgers Brothers, Inc.
8-33475
SEC FILE NUMBER
N
N
CNR Securities LLC
8-36759
SEC FILE NUMBER
N
N
PNC Investments, LLC
8-66195
SEC FILE NUMBER
N
N
FSC Securities Corporation
8-21770
SEC FILE NUMBER
N
N
Harvest Financial Corporation
8-26037
SEC FILE NUMBER
N
N
Dempsey Lord Smith, LLC
8-67469
SEC FILE NUMBER
N
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Centaurus Financial, Inc.
8-45185
SEC FILE NUMBER
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Oak Tree Securities, Inc.
8-36138
SEC FILE NUMBER
N
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Santander Securities LLC
8-49571
SEC FILE NUMBER
N
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Saxony Securities, Inc.
8-53490
SEC FILE NUMBER
N
N
Packerland Brokerage Services, Inc.
8-47572
SEC FILE NUMBER
N
N
Chapin Davis Inc
8-43485
SEC FILE NUMBER
N
N
TCFG Wealth Management, LLC
8-69089
SEC FILE NUMBER
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Securities Equity Group
8-51706
SEC FILE NUMBER
N
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Avisen Securities, Inc.
8-65833
SEC FILE NUMBER
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Larson Financial Securities, LLC
8-68456
SEC FILE NUMBER
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Cardinal Investments, Inc.
8-47493
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N
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Midland Securities, Ltd.
8-40685
SEC FILE NUMBER
N
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Ladenburg Thalman & Co. Inc.
2549000V3L2KK4L76W91
N
N
Tocqueville Securities L.P.
8-42223
SEC FILE NUMBER
N
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H. C. Denison Co.
8-00044
SEC FILE NUMBER
N
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Securities America, Inc.
8-26602
SEC FILE NUMBER
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Moloney Securities Co., Inc.
8-48326
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USI Securities, Inc.
8-50429
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T. Rowe Price Investment Services, Inc.
8-25130
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Insight Securities, Inc.
2549007I5MCG270G9341
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Gold Coast Securities, Inc.
8-53148
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N
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Rhodes Securities, Inc.
8-37689
SEC FILE NUMBER
N
N
G. W. & Wade Asset Management Company, LLC
8-42013
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BAC Florida Investments
254900CAF9OPVE8VT408
N
N
CBIZ Financial Solutions, Inc.
8-34205
SEC FILE NUMBER
N
N
Vanguard Marketing Corporation
8-21570
SEC FILE NUMBER
N
N
Impact U. Investments, LLC
8-65527
SEC FILE NUMBER
N
N
American Equity Investment Corporation
8-49078
SEC FILE NUMBER
N
N
Crescent Securities Group
8-53457
SEC FILE NUMBER
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Hancock Whitney Investment Services, Inc.
8-49106
SEC FILE NUMBER
N
N
Vanderbilt Securities, LLC
8-16712
SEC FILE NUMBER
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Emerson Equity LLC
8-66296
SEC FILE NUMBER
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World Capital Brokerage, Inc.
8-06805
SEC FILE NUMBER
N
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Paradigm Equities, Inc.
8-45593
SEC FILE NUMBER
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Thoroughbred Financial Services, LLC
8-51944
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N
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Hilltop Securities, Inc.
549300IXU82PMU6XZT45
N
N
State Street Bank and Trust Company
571474TGEMMWANRLN572
N
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Spire Securities, LLC
8-67635
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N
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DFPG Investments, Inc.
8-68730
SEC FILE NUMBER
N
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Ascensus Broker Dealer Services, Inc.
8-47312
SEC FILE NUMBER
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Y
ACA/Prudent Investors Planning Corporation
8-51899
SEC FILE NUMBER
N
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Globalink Securities, Inc.
8-44509
SEC FILE NUMBER
N
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N.I.S. Financial Services, Inc.
8-15919
SEC FILE NUMBER
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Woodlands Securities Corporation
8-39700
SEC FILE NUMBER
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Western International Securities, Inc.
8-48572
SEC FILE NUMBER
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Sage, Rutty & Co., Inc.
8-00533
SEC FILE NUMBER
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Cambridge Investment Research, Inc.
8-48740
SEC FILE NUMBER
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Syndicated Capital, Inc.
8-44162
SEC FILE NUMBER
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Place Trade Financial, Inc.
8-65915
SEC FILE NUMBER
N
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Westco Investment Corp.
8-38452
SEC FILE NUMBER
N
N
Alliant Securities, Inc. Turner, Nord, Kienbaum
8-23305
SEC FILE NUMBER
N
N
SG Americas Securities, LLC
549300F35UE0BOM1WJ55
N
N
Whitehall-Parker Securities, Inc.
8-27688
SEC FILE NUMBER
N
N
Independent Brokerage Solutions LLC
8-68549
SEC FILE NUMBER
N
N
Pacific Financial Associates, Inc.
8-40712
SEC FILE NUMBER
N
N
Bolton Global Capital
2549009M08YVOG46LO79
N
N
Nestlerode & Loy, Inc.
8-12629
SEC FILE NUMBER
N
N
McClurg Capital Corporation
8-34473
SEC FILE NUMBER
N
N
Colliers Securities LLC
549300OD1C69R64IVC38
N
N
Goldman Sachs & Co. LLC
FOR8UP27PHTHYVLBNG30
N
N
Variable Investment Advisors, Inc.
8-50699
SEC FILE NUMBER
N
N
Monere Investments, Inc.
8-52982
SEC FILE NUMBER
N
N
Bankers Life Securities, Inc.
549300YBBLCDP5GDSH97
N
N
American Trust Investment Services, Inc.
8-14394
SEC FILE NUMBER
N
N
CapFinancial Securities, LLC
8-65870
SEC FILE NUMBER
N
N
LifeMark Securities Corp.
8-33478
SEC FILE NUMBER
N
N
SKA Securities, Inc.
8-53366
SEC FILE NUMBER
N
N
TransAm Securities, Inc.
8-37065
SEC FILE NUMBER
N
N
Titleist Asset Management, Ltd.
8-65859
SEC FILE NUMBER
N
N
Watermark Securities, Inc.
8-43902
SEC FILE NUMBER
N
N
Key Investment Services LLC
8-66999
SEC FILE NUMBER
N
N
Aon Benfield Securities, Inc.
5493002ME0O127QJJG03
N
N
MidWestern Securities Trading Company, LLC
8-52074
SEC FILE NUMBER
N
N
Westport Resources Investment Services, Inc.
8-40904
SEC FILE NUMBER
N
N
Keel Point Capital, LLC
8-22990
SEC FILE NUMBER
N
N
First Republic Securities Company, LLC
5493000IMDFZDQYB2Q11
N
N
World Choice Securities, Inc.
8-45235
SEC FILE NUMBER
N
N
Hantz Financial Services, Inc.
8-51291
SEC FILE NUMBER
N
N
Cabot Lodge Securities, LLC
8-69009
SEC FILE NUMBER
N
N
Verity Investments, Inc.
8-49474
SEC FILE NUMBER
N
N
J. Alden Associates, Inc.
8-48938
SEC FILE NUMBER
N
N
The O.N. Equity Sales Company
8-14161
SEC FILE NUMBER
N
N
Cetera Advisor Networks LLC
8-29577
SEC FILE NUMBER
N
N
BOK Financial Securities, Inc.
2Q57THMJB7JL1206V012
N
N
Sanctuary Securities, Inc.
2549007WBAL2Z578XQ34
N
N
Cetera Advisors LLC
8-26892
SEC FILE NUMBER
N
N
Landolt Securities, Inc.
254900B2XEQ2HZGN7K90
N
N
St. Bernard Financial Services, Inc.
8-47566
SEC FILE NUMBER
N
N
Private Client Services, LLC
8-68183
SEC FILE NUMBER
N
N
XP Securities, LLC
549300HDFLS7P433PO89
N
N
AqGen Ascensus, Inc.
549300K5MHNFPEU2RK82
N
Y
Great Point Capital LLC
254900HN4IGCO53HDK23
N
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The Strategic Financial Alliance, Inc.
8-65885
SEC FILE NUMBER
N
N
People's Securities, Inc.
8-29667
SEC FILE NUMBER
N
N
The Jeffrey Matthews Financial Group, L.L.C.
25490086M6MGMYYVOJ50
N
N
Colorado Financial Service Corporation
8-52817
SEC FILE NUMBER
N
N
Kovack Securities Inc.
25490070RG17Z4I70I82
N
N
Hornor, Townsend & Kent, Inc.
8-14715
SEC FILE NUMBER
N
N
ACP Securities, LLC
254900GHLAGD9J81O211
N
N
TD Private Client Wealth LLC
8-69105
SEC FILE NUMBER
N
N
ADP Broker-Dealer, Inc.
8-47885
SEC FILE NUMBER
N
Y
SagePoint Financial, Inc.
8-66771
SEC FILE NUMBER
N
N
NPB Financial Group, LLC
8-67113
SEC FILE NUMBER
N
N
CIBC World Markets Corp.
549300445CON3DBMU275
N
N
American Independent Securities Group, LLC
8-66905
SEC FILE NUMBER
N
N
Portfolio Resources Group, Inc.
549300TKCYL1XNXOL896
N
N
Calamar Financial Group
8-69777
SEC FILE NUMBER
N
N
Nationwide Financial Services, Inc.
5493001H7AZNDS6BKJ36
N
Y
BTS Securities Corporation
8-26818
SEC FILE NUMBER
N
N
Unionbanc Investment Services, LLC
254900Y9HI2TG6D79N41
N
N
ING Financial Markets LLC
KBVRJ5K57JZ3E2AVWX40
N
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Trade-PMR Inc.
8-51390
SEC FILE NUMBER
N
N
Saturna Brokerage Services, Inc.
8-36558
SEC FILE NUMBER
N
N
First Bankers' Banc Securities, Inc.
549300XZ7YYT3Y0SU530
N
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Riversource Distributors, Inc.
8-67196
SEC FILE NUMBER
N
N
Harbor Investment Advisory, LLC
8-68334
SEC FILE NUMBER
N
N
General Securities Corp.
8-31654
SEC FILE NUMBER
N
N
BancWest Investment Services, Inc.
5493001GJYTESEZEBA51
N
N
New England Pension Plan Systems, LLC
N/A
N
Y
Calton & Associates, Inc.
254900TDJ7LH64ZKRY86
N
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Perryman Securities, Inc.
8-53546
SEC FILE NUMBER
N
N
Center Street Securities, Inc.
8-42786
SEC FILE NUMBER
N
N
G.L.S. & Associates, Inc.
8-51808
SEC FILE NUMBER
N
N
Prudential Insurance Company of America
Y574KRZ6V5A7UBU45C31
N
Y
HSBC Securities (USA), Inc.
CYYGQCGNHMHPSMRL3R97
N
N
Davenport & Company LLC
254900GN2SAXJGLMS075
N
N
Fifth Third Bank
QFROUN1UWUYU0DVIWD51
N
N
Laidlaw & Company (UK) Ltd.
8-53731
SEC FILE NUMBER
GB
N
N
Teachers Insurance and Annuity Association of America
O06YD7BJ4EPYNABVFN69
N
Y
Profinancial, Inc.
8-32026
SEC FILE NUMBER
N
N
Excel Securities & Associates, Inc.
8-34261
SEC FILE NUMBER
N
N
Financial Northeastern Securities, Inc.
549300QRRF2NAV5G3869
N
N
ViewTrade Securities, Inc.
549300CHLQDUD0NL5851
N
N
GRF Capital Investors, Inc.
8-41494
SEC FILE NUMBER
N
N
Joseph Gunnar & Co. LLC
2549001XBRI5XQ0ZDA12
N
N
National Securities Corp.
8-164
SEC FILE NUMBER
N
N
Monex Securities, Inc.
254900VTZ3HYHNEJRX35
N
N
Mesirow Financial, Inc.
549300BIV46SUHPOFE54
N
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Lincoln Financial Advisors Corporation
8-14685
SEC FILE NUMBER
N
N
Proequities, Inc.
8-32590
SEC FILE NUMBER
N
N
Wellington Shields & Co., LLC
8-68098
SEC FILE NUMBER
N
N
Ballew Investments, Inc.
8-45660
SEC FILE NUMBER
N
N
Navy Federal Brokerage Services, LLC
8-67161
SEC FILE NUMBER
N
N
Insigneo Securities, LLC
254900P4TTO6PU1VDH88
N
N
Wescom Financial Services, LLC
8-66189
SEC FILE NUMBER
N
N
Sovereign Legacy Securities, Inc.
8-00621
SEC FILE NUMBER
N
N
LaBrunerie Financial Services, Inc.
8-47830
SEC FILE NUMBER
N
N
Allstate Financial Services, LLC
8-36365
SEC FILE NUMBER
N
N
Ameriprise Financial Services, Inc.
8-16791
SEC FILE NUMBER
N
N
Portsmouth Financial Services
8-30097
SEC FILE NUMBER
N
N
Capital Institutional Services, Inc.
54930061X8RDWFDJIS05
N
N
Oppenheimer & Co. Inc.
254900VH02JQR2L8XD64
N
N
UBS Financial Services Inc.
ETYRV6ORNFJB5NONI676
N
N
John Hancock Life Insurance Company of New York
5493007RYG4GXIKSQI18
CA
N
Y
N.E. Private Client Advisors, Ltd.
8-66968
SEC FILE NUMBER
N
N
Concorde Investment Services, LLC
8-68388
SEC FILE NUMBER
N
N
Alight Solutions LLC
084-01996
SEC FILE NUMBER
N
Y
Xml Securities, LLC
8-67776
SEC FILE NUMBER
N
N
Sammons Financial Network, LLC
8-68905
SEC FILE NUMBER
N
N
Finance 500, Inc.
8-28302
SEC FILE NUMBER
N
N
Investment Security Corporation
8-51832
SEC FILE NUMBER
N
N
American Global Wealth Management, Inc.
8-21584
SEC FILE NUMBER
N
N
Omega Securities, Inc.
8-20225
SEC FILE NUMBER
N
N
OFG Financial Services, Inc.
8-40770
SEC FILE NUMBER
N
N
Dinosaur Financial Group, LLC
549300CCV3H232GBUN83
N
N
VOYA Investments Distributors, LLC
8-48020
SEC FILE NUMBER
N
N
Coinbase Capital Markets Corporation
8-28032
SEC FILE NUMBER
N
N
James I. Black & Company
8-12077
SEC FILE NUMBER
N
N
Wells Fargo Securities, LLC
8-65876
SEC FILE NUMBER
N
N
Moors & Cabot, Inc.
8-23060
SEC FILE NUMBER
N
N
First Allied Securities, Inc.
8-46167
SEC FILE NUMBER
N
N
Benefit Plans Administrative Services, Inc.
N/A
N
Y
Citizens Bank
254900MFWISYMJ04ZE93
N
N
Madison Avenue Securities, Inc.
8-40426
SEC FILE NUMBER
N
N
Arete Wealth Management, LLC
8-50854
SEC FILE NUMBER
N
N
Voya Financial Partners, LLC
8-13987
SEC FILE NUMBER
N
N
Jacques Financial, LLC
8-52675
SEC FILE NUMBER
N
N
Infinex Investments, Inc.
8-46661
SEC FILE NUMBER
N
N
Girard Investment Services, LLC
8-14145
SEC FILE NUMBER
N
N
G.A. Repple & Company
8-35315
SEC FILE NUMBER
N
N
Voya Retirement Insurance and Annuity Company
OK3MKCDYPD4NN6QDGK18
N
Y
CGIS Securities LLC
254900GOI7SHVRZ5BG90
N
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Lantern Investments, Inc.
8-45285
SEC FILE NUMBER
N
N
Folio Investments, Inc.
8-52009
SEC FILE NUMBER
N
N
MMC Securities Corp.
2549001ZA93O65N2ZM60
N
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Gill Capital Partners, LLC
8-30563
SEC FILE NUMBER
N
N
Woodmen Financial Services, Inc.
8-53592
SEC FILE NUMBER
N
N
Piper Jaffray & Co.
549300GRQCWQ3XGH0H10
N
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Navaid Financial Services, Inc.
8-49897
SEC FILE NUMBER
N
N
Loria Financial Group, LLC
8-52128
SEC FILE NUMBER
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N
McLaughlin Ryder Investments, Inc.
8-67911
SEC FILE NUMBER
N
N
Kestra Investment Services, LLC
8-49672
SEC FILE NUMBER
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Ascensus Financial Services, LLC
8-67891
SEC FILE NUMBER
N
N
Uhlmann Price Securities, LLC
8-50041
SEC FILE NUMBER
N
N
Roberts & Ryan Investments Inc.
254900A6VIVO4DP1T126
N
N
Prudential Investment Management Services LLC
8-36540
SEC FILE NUMBER
N
N
LPL Financial LLC
5493005NM7F0H1N3EQ39
N
Y
S.L. Reed & Company
8-49178
SEC FILE NUMBER
N
N
Buell Securities Corp
8-22058
SEC FILE NUMBER
N
N
Wiley Bros.-Aintree Capital, LLC
8-03774
SEC FILE NUMBER
N
N
Cetera Financial Specialists LLC
8-27082
SEC FILE NUMBER
N
N
Allianz Life Financial Services, LLC
5493008TSI0TRWDDGW79
N
N
Alight Financial Solutions LLC
8-47344
SEC FILE NUMBER
N
N
Feldstein Financial Group, LLC
8-53388
SEC FILE NUMBER
N
N
Axiom Capital Management, Inc.
254900WW7SK1IMK6NO54
N
N
JHW Financial Services Inc.
8-45304
SEC FILE NUMBER
N
N
Diversified Resources, LLC
8-45497
SEC FILE NUMBER
N
N
Genworth Life Insurance Company of New York
E5VAS7I8GX5B0SDBX010
N
Y
Essex Securities LLC
8-51472
SEC FILE NUMBER
N
N
North South Capital, LLC
549300ODEKJCRN2AM859
N
N
Pensionmark Securities, LLC
8-69773
SEC FILE NUMBER
N
N
Umpqua Investments, Inc.
8-02915
SEC FILE NUMBER
N
N
Transamerica Financial Advisors, Inc.
549300JW32XCZSHI0878
N
N
The GMS Group, LLC
254900OXZT27TA5CGU56
N
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First Command Financial Planning, Inc.
8-07072
SEC FILE NUMBER
N
N
Alexander Capital, L.P.
8-48957
SEC FILE NUMBER
N
N
The Garbacz Group Inc.
8-42366
SEC FILE NUMBER
N
N
SCF Securities, Inc.
8-51760
SEC FILE NUMBER
N
N
SWBC Investment Services, LLC
254900YIJJWABADWZ455
N
N
Stifel, Nicolaus & Company, Incorporated
5WUVMA08EYG4KEUPW589
N
Y
SFA Financial, LLC
8-68156
SEC FILE NUMBER
N
N
Southeast Investments, N.C., Inc.
8-50127
SEC FILE NUMBER
N
N
Herbert J. Sims & Co. Inc.
254900SV6UESQBS8XP98
N
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Liberty Partners Financial Services, LLC
8-66335
SEC FILE NUMBER
N
N
L.M. Kohn & Company
8-43303
SEC FILE NUMBER
N
N
USA Financial Securities Corporation
8-52342
SEC FILE NUMBER
N
N
Cary Street Partners LLC
8-66085
SEC FILE NUMBER
N
N
JPMorgan Chase Bank, N.A.
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N
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Equity Services, Inc.
8-14286
SEC FILE NUMBER
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Country Club Financial Services, Inc.
8-44574
SEC FILE NUMBER
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ValMark Securities, Inc.
8-45463
SEC FILE NUMBER
N
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Sorsby Financial Corp.
8-48718
SEC FILE NUMBER
N
N
RNR Securities, L.L.C.
8-50366
SEC FILE NUMBER
N
N
Nationwide Securities, LLC
8-12500
SEC FILE NUMBER
N
N
First Kentucky Securities Corporation
8-22224
SEC FILE NUMBER
N
N
Robinson & Robinson, Inc.
8-17109
SEC FILE NUMBER
N
N
S.G. Long & Company
8-51816
SEC FILE NUMBER
N
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Ceros Financial Services, Inc.
549300N2YQ0P5G0WE562
N
N
Crown Capital Securities, L.P.
8-17264
SEC FILE NUMBER
N
N
Sigma Financial Corporation
8-30466
SEC FILE NUMBER
N
N
MML Investors Services, LLC
8-27250
SEC FILE NUMBER
N
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APW Capital, Inc.
8-50433
SEC FILE NUMBER
N
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Capital Investment Brokerage, Inc.
8-49118
SEC FILE NUMBER
N
N
Oscar Gruss & Son Incorporated
549300V78DH9XCK5UI63
N
N
Exeter Trust Company
028-04279
SEC FILE NUMBER
N
N
Chalice Capital Partners, LLC
8-69967
SEC FILE NUMBER
N
N
Gladowsky Capital Management Corp.
8-51017
SEC FILE NUMBER
N
N
B. Riley Wealth Management Holdings, Inc
8-31206
SEC FILE NUMBER
N
N
Devenir, LLC
8-65837
SEC FILE NUMBER
N
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Nest Investments BD, LLC
8-70117
SEC FILE NUMBER
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Maxim Group LLC
254900OJ6JZO6SDMHQ83
N
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Callaway Financial Services, Inc.
8-52474
SEC FILE NUMBER
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Gardner Financial Services, Inc.
8-38631
SEC FILE NUMBER
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Raymond James & Associates, Inc.
U4ONQX15J3RO8XCKE979
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Rogan & Associates, Inc.
8-49995
SEC FILE NUMBER
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Principal Securities, Inc.
8-13975
SEC FILE NUMBER
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Nationwide Planning Associates Inc.
8-45310
SEC FILE NUMBER
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Lebenthal Financial Services, Inc
8-67140
SEC FILE NUMBER
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Snowden Account Services, Inc.
254900WVSS0BX602UF45
N
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Crews & Associates, Inc.
5493001BWSV3E82LZ446
N
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Highlander Capital Group, Inc.
8-37169
SEC FILE NUMBER
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Barclays Capital Inc.
AC28XWWI3WIBK2824319
N
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Aventura Securities, LLC
8-67458
SEC FILE NUMBER
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Mercer HR Services, LLC
N/A
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Security Distributors, Inc.
8-10781
SEC FILE NUMBER
N
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Tradition Securities and Derivatives Inc.
WRYEFMSVQCH0EMD08461
N
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Northern Capital Securities Corporation
254900ZANH7XTB94LS53
N
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MWA Financial Services Inc.
8-53255
SEC FILE NUMBER
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Western Equity Group, Inc.
8-66403
SEC FILE NUMBER
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Dorn & Co., Inc.
8-08707
SEC FILE NUMBER
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E. E. Powell & Company Inc.
8-01893
SEC FILE NUMBER
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R. Seelaus & Co., Inc.
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Investors Brokerage of Texas, Ltd.
8-28644
SEC FILE NUMBER
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Valley National Investments, Inc.
8-34427
SEC FILE NUMBER
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Empire Asset Management Company
8-67520
SEC FILE NUMBER
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Brooklight Place Securities, Inc.
8-32673
SEC FILE NUMBER
N
N
Neuberger Berman LLC
PWDS3JJ631D5N70JXG61
N
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First Mercantile Trust Company
028-10498
SEC FILE NUMBER
N
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FMSBonds, Inc.
549300TUTBK58NSF2517
N
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Conduent HR Services LLC
084-06035
SEC FILE NUMBER
N
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Consolidated Financial Investments, Inc.
8-37004
SEC FILE NUMBER
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Fidelity Investments Life
54930024AKTQGTIV1P93
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Planned Financial Programs, Inc.
8-05727
SEC FILE NUMBER
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Register Financial Associates, Inc.
8-45012
SEC FILE NUMBER
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Fieldpoint Private Securities, LLC
8-37105
SEC FILE NUMBER
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NYLife Distributors LLC
8-46655
SEC FILE NUMBER
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Wood (Arthur W.) Company, Inc.
8-03368
SEC FILE NUMBER
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PNC Bank, N.A.
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N
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Arque Capital, Ltd.
8-65390
SEC FILE NUMBER
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Amerant Investments, Inc.
254900M8G8SSAIMHET60
N
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Associated Investment Services, Inc.
8-00099
SEC FILE NUMBER
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Investshares, Inc
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SEC FILE NUMBER
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Harbour Investments, Inc.
8-37373
SEC FILE NUMBER
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TRG Advisors, Inc.
8-50449
SEC FILE NUMBER
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Cannon Securities, Inc.
8-68437
SEC FILE NUMBER
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Morgan Stanley Smith Barney LLC
7PDDXEMZ0ZV0CEDU4D16
N
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Standard Insurance Company
549300KVA8DBYKHPXO21
N
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TCAdvisors Network Inc.
8-46909
SEC FILE NUMBER
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Inverness Securities, LLC
8-66278
SEC FILE NUMBER
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Prospera Financial Services, Inc.
8-28164
SEC FILE NUMBER
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Founders Financial Securities LLC
8-67137
SEC FILE NUMBER
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Signal Securities, Inc.
8-32948
SEC FILE NUMBER
N
N
Integrated Financial Planning Services
8-35120
SEC FILE NUMBER
DE
N
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Hartford Funds Management Company, LLC
801-77209
SEC FILE NUMBER
N
Y
Investments For You, Inc.
8-44179
SEC FILE NUMBER
N
N
Camden Financial Services
8-37303
SEC FILE NUMBER
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Lincoln Douglas Investments LLC
8-68728
SEC FILE NUMBER
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Nelson Ivest Brokerage Services, Inc.
8-26448
SEC FILE NUMBER
N
N
American Wealth Management
8-41807
SEC FILE NUMBER
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Boreal Capital Securities LLC
549300NMHK6HTSKCG696
N
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Hudson Heritage Capital Management, Inc.
8-50648
SEC FILE NUMBER
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NBC Securities, Inc.
254900GIP7RJQGHH5S19
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Lesko Securities Inc.
8-26408
SEC FILE NUMBER
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BCG Securities, Inc.
8-12680
SEC FILE NUMBER
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Fidelity Brokerage Services LLC
549300OQFQ4NFIOD5695
N
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Union Capital Company
8-53127
SEC FILE NUMBER
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Bley Investments Group, Inc.
8-42701
SEC FILE NUMBER
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M Holdings Securities, Inc.
8-50214
SEC FILE NUMBER
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Capital Synergy Partners, Inc.
8-68060
SEC FILE NUMBER
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International Money Management Group, Inc.
8-30417
SEC FILE NUMBER
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BNY Mellon Securities Corporation
8-13801
SEC FILE NUMBER
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McDonald Partners LLC
549300PEHG3UH7FAY193
N
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Next Financial Group, Inc.
8-51356
SEC FILE NUMBER
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Hazlett, Burt & Watson, Inc.
8-17737
SEC FILE NUMBER
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K. W. Chambers & CO.
8-10533
SEC FILE NUMBER
N
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San Blas Securities LLC
25490079436TZN10JD83
N
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Planmember Securities Corporation
8-25065
SEC FILE NUMBER
N
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Beaconsfield Financial Services, Inc.
8-30993
SEC FILE NUMBER
N
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Fiduciary Trust International
N1YKEWO2IYPRS4742F57
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Avantax Wealth Management, Inc
8-29533
SEC FILE NUMBER
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Ace Diversified Capital, Inc.
8-49555
SEC FILE NUMBER
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Commerce Brokerage Services, Inc.
8-35096
SEC FILE NUMBER
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Northland Securities, Inc.
254900ZIK4MLVQAWLS15
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Wintrust Investments, LLC
8-00484
SEC FILE NUMBER
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TradeStation Securities, Inc.
549300T08P71XXBYLW62
N
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CoreCap Investments, Inc.
8-47783
SEC FILE NUMBER
N
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Stephens Inc.
213800LH6T9XDYZCA534
N
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Independent Financial Group, LLC
254900KYWXHSQ7RMNP09
N
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Purshe Kaplan Sterling Investments
8-46844
SEC FILE NUMBER
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RBC Capital Markets, LLC
549300LCO2FLSSVFFR64
N
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Capitol Securities Management, Inc.
8-30353
SEC FILE NUMBER
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BD4RIA, Inc.
8-70022
SEC FILE NUMBER
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Deutsche Bank Securities Inc.
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N
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Capital Management Securities, Inc.
8-27779
SEC FILE NUMBER
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Lieblong & Associates, Inc.
8-49880
SEC FILE NUMBER
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NorthWestern Mutual Investment Services, LLC
CYO86L8D7HTXW9SOZX28
N
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Symphonic Securities LLC
8-67220
SEC FILE NUMBER
N
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Sunset Financial Services, Inc.
8-14148
SEC FILE NUMBER
N
N
Robert W. Baird & Co. Incorporated
549300772UJAHRD6LO53
N
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Broadridge Business Process Outsourcing, LLC
8-53412
SEC FILE NUMBER
N
Y
Carty & Company, Inc.
8-19082
SEC FILE NUMBER
N
N
PNC Capital Markets LLC
7OGNSSLOQJ8U3B9Y5F18
N
N
Oberweis Securities, Inc.
5493008EZH6DO1631P71
N
N
Geneos Wealth Management, Inc.
8-65357
SEC FILE NUMBER
N
N
Kalos Capital, Inc.
8-50630
SEC FILE NUMBER
N
N
Northern Trust Securities, Inc.
3CHSO99JSPHD9HGNYJ46
N
N
Andbanc Brokerage, LLC
213800E4CWGFMCDQZ792
N
N
Cadaret, Grant & Co., Inc.
8-27844
SEC FILE NUMBER
N
N
Michigan Securities, Inc. (dba Broadstone Securities)
8-52094
SEC FILE NUMBER
N
N
J.P. Morgan Securities LLC
ZBUT11V806EZRVTWT807
N
N
Fairport Capital, Inc.
8-32162
SEC FILE NUMBER
N
N
American Heritage Securities, Inc.
8-44466
SEC FILE NUMBER
N
N
White Mountain Capital, LLC
8-52572
SEC FILE NUMBER
N
N
Pruco Securities, LLC.
8-16402
SEC FILE NUMBER
N
N
Cape Securities Inc.
8-20747
SEC FILE NUMBER
N
N
Institutional Securities Corporation
2549007EJ1PSLA8XVA50
N
N
David Lerner Associates, Inc.
8-20746
SEC FILE NUMBER
N
N
GLP Investment Services
8-41868
SEC FILE NUMBER
N
N
Corinthian Partners, L.L.C.
8-48461
SEC FILE NUMBER
N
N
Wesbanco Securities, Inc.
8-50220
SEC FILE NUMBER
N
N
T. Rowe Price Retirement Plan Services, Inc.
084-06219
SEC FILE NUMBER
N
Y
BTG Pactual US Capital, LLC
549300EUEDL5GKQW8U35
N
N
SunTrust Investment Services, Inc.
8-35355
SEC FILE NUMBER
N
N
Global Brokerage Services, Inc.
8-47763
SEC FILE NUMBER
N
N
Heim, Young & Associates, Inc.
8-48500
SEC FILE NUMBER
N
N
Integrity Investments, Inc.
8-45302
SEC FILE NUMBER
N
N
Mutual Funds Associates, Inc.
8-13026
SEC FILE NUMBER
N
N
FNBB Capital Markets, LLC
8-66553
SEC FILE NUMBER
N
N
Y
BLACKROCK ADVISORS, LLC
5493001LN9MRM6A35J74
Y
N
BNY Mellon Investment Servicing (US) Inc.
549300CFZQLI9QMJ1Z03
N
Y
N
BLACKROCK INVESTMENTS, LLC
008-48436
000038642
54930061FBHCKXL2G714
0.00000000
BLACKROCK EXECUTION SERVICES
008-48719
000039438
549300HFCRQ0NT5KY652
0.00000000
BOFA SECURITIES, INC.
008-69787
000283942
549300HN4UKV1E2R3U73
58767.00000000
SG AMERICAS SECURITIES LLC
008-66125
000128351
549300F35UE0BOM1WJ55
39323.00000000
UBS Securities LLC
008-22651
000007654
T6FIZBDPKLYJKFCRVK44
25122.00000000
BARCLAYS CAPITAL, INC.
008-41342
000019714
AC28XWWI3WIBK2824319
21204.00000000
JEFFERIES LLC
008-15074
000002347
58PU97L1C0WSRCWADL48
37180.00000000
GUZMAN & COMPANY
008-38646
000021013
549300E7R8O8EHE8SN83
24879.00000000
J.P. Morgan Securities LLC
008-35008
000000079
ZBUT11V806EZRVTWT807
79488.00000000
MORGAN STANLEY & CO. LLC
008-15869
000008209
9R7GPTSO7KV3UQJZQ078
41023.00000000
CREDIT SUISSE SECURITIES (USA) LLC
008-00422
000000816
1V8Y6QCX6YMJ2OELII46
41932.00000000
CITIGROUP GLOBAL MARKETS INC.
008-08177
000007059
MBNUM2BPBDO7JBLYG310
94226.00000000
531864.00000000
J.P. Morgan Securities LLC
008-35008
000000079
ZBUT11V806EZRVTWT807
358196966.00000000
BMO CAPITAL MARKETS CORP.
008-34344
000016686
RUC0QBLBRPRCU4W1NE59
240899897.00000000
BARCLAYS CAPITAL, INC.
008-41342
000019714
AC28XWWI3WIBK2824319
327138936.00000000
BlackRock Liquidity Funds T-Fund
N/A
N/A
5493002L9DNZ83RX7V61
2565144087.00000000
TD SECURITIES (USA) LLC
008-36747
000018476
SUVUFHICNZMP2WKHG940
196728379.00000000
RBC CAPITAL MARKETS LLC
008-45411
000031194
549300LCO2FLSSVFFR64
505072190.00000000
GOLDMAN SACHS & CO. LLC
008-00129
000000361
FOR8UP27PHTHYVLBNG30
359754786.00000000
CREDIT SUISSE SECURITIES (USA) LLC
008-00422
000000816
1V8Y6QCX6YMJ2OELII46
409260156.00000000
BNP PARIBAS SECURITIES CORP.
008-32682
000015794
RCNB6OTYUAMMP879YW96
413808435.00000000
SG AMERICAS SECURITIES, LLC
008-66125
000128351
549300V79250T2WT2F29
386272582.00000000
6190885648.00000000
Y
736797353.00000000
0.00000000
Committed
1750000000.00000000
N
N
N
N
BlackRock Advantage International Fund
S000008399
6B2DG15MO7JVCQHOAI53
N
5
0
1
N/A
N
N
Y
N
N
BlackRock Investment Management, LLC
5493006MRTEZZ4S4CQ20
Y
N
Other
Revenue sharing split
Cash collateral reinvestment fee
Rebates paid to borrowers
2797982.00000000
25182.00000000
Rule 12d1-1 (17 CFR 270.12d1-1)
Rule 32a-4 (17 CFR 270.32a-4)
Rule 17a-7 (17 CFR 270.17a-7)
Rule 12d1-4 (17 CFR 270.12d1-4)
Rule 22d-1 (17 CFR 270.22d-1)
Y
Y
N
N
BlackRock Advisors, LLC
801-47710
000106614
5493001LN9MRM6A35J74
N
BNY Mellon Investment Servicing (US) Inc.
084-01761
549300CFZQLI9QMJ1Z03
N
N
N
Intercontinental Exchange, Inc.
5493000F4ZO33MV32P92
N
Bloomberg Finance L.P.
5493001KJTIIGC8Y1R12
N
N
MONTE TITOLI S.P.A.
8156009CEEE1B8C7C646
IT
N
Y
Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Citibanamex
5493004NLEXB8DK06353
MX
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
BNP Paribas Securities Services (Athens)
549300WCGB70D06XZS54
GR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Credit Suisse Securities (USA) LLC
1V8Y6QCX6YMJ2OELII46
N
Y
Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
HSBC Shenzhen
213800H3TEBTFHD5JR69
CN
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
MUFG Bank, Ltd.
C3GTMMZIHMY46P4OIX74
JP
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Citibank Europe plc, pobocka zahranicnej banky
N1FBEDJ5J41VKZLO2475
SK
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
CIBC Mellon Trust Company
549300IYUUH221WBZ505
CA
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Skandinaviska Enskilda Banken AB, Helsinki Branch
F3JS33DEI6XQ4ZBPTN86
FI
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
HSBC Bank (Taiwan) Limited
549300SG184IVNYDMN03
TW
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Barclays Capital Inc.
AC28XWWI3WIBK2824319
N
Y
Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Banco Bilbao Vizcaya Argentaria SA
K8MS7FD7N5Z2WQ51AZ71
ES
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Skandinaviska Enskilda Banken AB
F3JS33DEI6XQ4ZBPTN86
SE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Citibank Europe PLC, Hungarian Branch Office
N1FBEDJ5J41VKZLO2475
HU
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Bank Hapoalim B.M.
B6ARUI4946ST4S7WOU88
IL
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
The Standard Bank of South Africa Limited
QFC8ZCW3Q5PRXU1XTM60
ZA
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Cititrust Colombia S A Sociedad Fiduciaria
549300242J3IJCOSGI49
CO
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Deutsche Bank AG, Jakarta
N/A
ID
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
DBS Bank Ltd, Singapore
ATUEL7OJR5057F2PV266
SG
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
The Hongkong and Shanghai Banking Corporation Limited, Australia Branch
2HI3YI5320L3RW6NJ957
AU
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
CLEARSTREAM BANKING AKTIENGESELLSCHAFT (Germany)
549300298FD7AS4PPU70
DE
N
Y
Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Skandinaviska Enskilda Banken AB, Oslo Branch
F3JS33DEI6XQ4ZBPTN86
NO
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Goldman Sachs & Co. LLC
FOR8UP27PHTHYVLBNG30
N
Y
Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Euroclear UK & Ireland Limited
549300M5MYAD51WHJD55
GB
N
Y
Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Skandinaviska Enskilda Banken AB, Copenhagen Branch
F3JS33DEI6XQ4ZBPTN86
DK
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Banco de Chile
8B4EZFY8IHJC44TT2K84
CL
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Citibank N.A., Brazilian Branch
N/A
BR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Euroclear Nederland (Netherlands)
549300CBNW05DILT6870
NL
N
Y
Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Morgan Stanley & Co. LLC
9R7GPTSO7KV3UQJZQ078
N
Y
Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
ESES FRANCE BEARER
54930060MY6S68NEUP16
FR
N
Y
Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
HSBC Shanghai
2CZOJRADNJXBLT55G526
CN
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
The Hongkong and Shanghai Banking Corporation Limited, New Zealand Branch
2HI3YI5320L3RW6NJ957
NZ
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Euroclear Bank SA/NV (Belgium)
549300OZ46BRLZ8Y6F65
BE
N
Y
Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
ESES Belgium
N/A
BE
N
Y
Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Citibank International Limited (Portugal)
31OGKFG0Y1795OV0AK56
PT
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Deutsche Bank (Malaysia) Berhad
529900DLWFR8HK7DR278
MY
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
The Bank of New York Mellon
HPFHU0OQ28E4N0NFVK49
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
UBS Securities LLC
T6FIZBDPKLYJKFCRVK44
N
Y
Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Citigroup Global Markets Inc.
MBNUM2BPBDO7JBLYG310
N
Y
Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
The Hongkong and Shanghai Banking Corporation Limited
2HI3YI5320L3RW6NJ957
HK
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Bank Polska Kasa Opieki S.A.
5493000LKS7B3UTF7H35
PL
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Credit Suisse (Switzerland) Ltd.
549300CWR0W0BCS9Q144
CH
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
The Hongkong and Shanghai Banking Corporation Limited, Bangkok Branch
2HI3YI5320L3RW6NJ957
TH
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Deutsche Bank A.S. (Turkey)
789000N5SE3LWDK7OI11
TR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Citibank Europe PLC (Czech Republic)
N1FBEDJ5J41VKZLO2475
CZ
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
UniCredit Bank Austria AG
D1HEB8VEU6D9M8ZUXG17
AT
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Deutsche Bank AG, Manila Branch
N/A
PH
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Citibank N.A., Argentina
579100KKDGKCFFKKF005
AR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Deutsche Bank AG, Seoul Branch
N/A
KR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Y
LaSalle St. Securities, L.L.C.
8-18860
SEC FILE NUMBER
N
N
Principal Life Insurance Company
SDCMU2LVKGV2AF1KWP64
N
Y
Ceros Financial Services, Inc.
549300N2YQ0P5G0WE562
N
N
Packerland Brokerage Services, Inc.
8-47572
SEC FILE NUMBER
N
N
Capital Synergy Partners, Inc.
8-68060
SEC FILE NUMBER
N
N
J.P. Morgan Institutional Investments Inc.
8-52182
SEC FILE NUMBER
N
N
Avondale Partners, LLC
254900799PKXEPTDRJ40
N
N
BestVest Investments, Ltd.
254900SL6FW130BMS922
N
N
Planmember Securities Corporation
8-25065
SEC FILE NUMBER
N
N
International Assets Advisory, LLC
254900ARMOHQNS987S09
N
N
Western Equity Group, Inc.
8-66403
SEC FILE NUMBER
N
N
Alight Financial Solutions LLC
8-47344
SEC FILE NUMBER
N
N
MMA Securities LLC
8-50591
SEC FILE NUMBER
N
N
Mesirow Financial, Inc.
549300BIV46SUHPOFE54
N
N
Loria Financial Group, LLC
8-52128
SEC FILE NUMBER
N
N
Allen C Ewing & Co.
8-42393
SEC FILE NUMBER
N
N
Joseph Gunnar & Co. LLC
2549001XBRI5XQ0ZDA12
N
N
Arvest Investments, Inc.
8-49677
SEC FILE NUMBER
N
N
M&T Securities, Inc.
254900VRUF9FN7AZI864
N
N
Ballew Investments, Inc.
8-45660
SEC FILE NUMBER
N
N
Bley Investments Group, Inc.
8-42701
SEC FILE NUMBER
N
N
TCFG Wealth Management, LLC
8-69089
SEC FILE NUMBER
N
N
Itau International Securities, Inc.
54930086LDFU8Z86AH91
N
N
Conduent HR Services LLC
084-06035
SEC FILE NUMBER
N
Y
ViewTrade Securities, Inc.
549300CHLQDUD0NL5851
N
N
Wesbanco Securities, Inc.
8-50220
SEC FILE NUMBER
N
N
WBB Securities, LLC
8-53660
SEC FILE NUMBER
N
N
Leumi Investment Services Inc.
5493005SJQ3VQ5DEE756
N
N
VOYA Financial Advisors, LLC
8-46451
SEC FILE NUMBER
N
N
Teckmeyer Financial Services, L.L.C.
8-48501
SEC FILE NUMBER
N
N
Dominion Investor Services, Inc.
8-39029
SEC FILE NUMBER
N
N
United States Life Insurance Company in the City of New York
549300C1JQGJ0MNUMG79
N
Y
Innovation Partners LLC
549300IEQ78ON1HMTU71
N
N
Concorde Investment Services, LLC
8-68388
SEC FILE NUMBER
N
N
Portfolio Resources Group, Inc.
549300TKCYL1XNXOL896
N
N
American Wealth Management
8-41807
SEC FILE NUMBER
N
N
Great American Investors, Inc.
8-44380
SEC FILE NUMBER
N
N
Harold W. Dance Inc.
8-12160
SEC FILE NUMBER
N
N
Moloney Securities Co., Inc.
8-48326
SEC FILE NUMBER
N
N
Laidlaw & Company (UK) Ltd.
8-53731
SEC FILE NUMBER
GB
N
N
Invex, Inc.
NPOTUCXQYGXX5PO6VH74
N
N
Prospera Financial Services, Inc.
8-28164
SEC FILE NUMBER
N
N
Huntleigh Securities Corporation
8-21893
SEC FILE NUMBER
N
N
ADP Broker-Dealer, Inc.
8-47885
SEC FILE NUMBER
N
Y
MML Investors Services, LLC
8-27250
SEC FILE NUMBER
N
N
Corinthian Partners, L.L.C.
8-48461
SEC FILE NUMBER
N
N
CGIS Securities LLC
254900GOI7SHVRZ5BG90
N
N
John Hancock Life Insurance Company
QQ0OZ8J9C4B5QT1XDG31
CA
N
Y
TimeCapital Securities Corporation
8-18248
SEC FILE NUMBER
N
N
Buckman, Buckman & Reid, Inc.
254900D688L15B5HJB06
N
N
Transamerica Financial Advisors, Inc.
549300JW32XCZSHI0878
N
N
LPL Financial LLC
5493005NM7F0H1N3EQ39
N
Y
Weston Securities Corporation
8-32664
SEC FILE NUMBER
N
N
Feldstein Financial Group, LLC
8-53388
SEC FILE NUMBER
N
N
GRF Capital Investors, Inc.
8-41494
SEC FILE NUMBER
N
N
Wood (Arthur W.) Company, Inc.
8-03368
SEC FILE NUMBER
N
N
CIBC World Markets Corp.
549300445CON3DBMU275
N
N
Southeast Investments, N.C., Inc.
8-50127
SEC FILE NUMBER
N
N
UBATCO & Co.
N/A
N
Y
CFS Securities, Inc.
8-51330
SEC FILE NUMBER
N
N
The Strategic Financial Alliance, Inc.
8-65885
SEC FILE NUMBER
N
N
Maplewood Investment Advisors, Inc.
8-52221
SEC FILE NUMBER
N
N
Titleist Asset Management, Ltd.
8-65859
SEC FILE NUMBER
N
N
Ace Diversified Capital, Inc.
8-49555
SEC FILE NUMBER
N
N
GLP Investment Services
8-41868
SEC FILE NUMBER
N
N
Great Point Capital LLC
254900HN4IGCO53HDK23
N
N
Horace Mann Life Insurance Co.
5493000HR2JKKNH2FL09
N
N
Nations Financial Group, Inc.
8-50588
SEC FILE NUMBER
N
N
Hanson McClain Retirement Network, LP
8-52250
SEC FILE NUMBER
N
N
First Financial Equity Corporation
8-34082
SEC FILE NUMBER
N
N
Independent Financial Group, LLC
254900KYWXHSQ7RMNP09
N
N
Cuso Financial Services, L.P.
8-49711
SEC FILE NUMBER
N
N
GWFS Equities, Inc.
8-33854
SEC FILE NUMBER
N
N
S.L. Reed & Company
8-49178
SEC FILE NUMBER
N
N
First Southern, LLC
8-69733
SEC FILE NUMBER
N
N
American Century Investment Services, Inc.
8-35220
SEC FILE NUMBER
N
N
ValMark Securities, Inc.
8-45463
SEC FILE NUMBER
N
N
Thurston, Springer, Miller, Herd & Titak, Inc.
8-25452
SEC FILE NUMBER
N
N
Berthel, Fisher & Company Financial Services, Inc.
8-29426
SEC FILE NUMBER
N
N
Equitable Advisors, LLC
8-17883
SEC FILE NUMBER
N
N
Lincoln Financial Securities Corporation
8-14609
SEC FILE NUMBER
N
N
Ascensus Broker Dealer Services, Inc.
8-47312
SEC FILE NUMBER
N
Y
David Lerner Associates, Inc.
8-20746
SEC FILE NUMBER
N
N
TD Ameritrade Clearing, Inc.
MRK678VXOI09YSSN8X19
N
Y
Sage, Rutty & Co., Inc.
8-00533
SEC FILE NUMBER
N
N
Benefit Trust Company
N/A
N
Y
Pyramid Funds Corporation
8-12769
SEC FILE NUMBER
N
N
Cambridge Investment Research, Inc.
8-48740
SEC FILE NUMBER
N
N
MWA Financial Services Inc.
8-53255
SEC FILE NUMBER
N
N
Sigma Financial Corporation
8-30466
SEC FILE NUMBER
N
N
Teachers Insurance and Annuity Association of America
O06YD7BJ4EPYNABVFN69
N
Y
Capital Investment Brokerage, Inc.
8-49118
SEC FILE NUMBER
N
N
Hudson Heritage Capital Management, Inc.
8-50648
SEC FILE NUMBER
N
N
Eagles Coast Capital
8-70137
SEC FILE NUMBER
N
N
SECU Brokerage Services
8-37927
SEC FILE NUMBER
N
N
Smith, Brown & Groover, Inc.
8-13079
SEC FILE NUMBER
N
N
Lincoln Financial Distributors, Inc.
8-13431
SEC FILE NUMBER
N
N
Securian Financial Services, Inc.
8-31955
SEC FILE NUMBER
N
N
Adcap Securities, LLC
254900EMZBEIM1FAO022
N
N
Valley National Investments, Inc.
8-34427
SEC FILE NUMBER
N
N
Schlitt Investor Services, Inc.
8-34202
SEC FILE NUMBER
N
N
Globalink Securities, Inc.
8-44509
SEC FILE NUMBER
N
N
Lombard Securities, Inc.
8-43340
SEC FILE NUMBER
N
N
Lincoln Financial Advisors Corporation
8-14685
SEC FILE NUMBER
N
N
L.O. Thomas & Co. Inc.
8-40875
SEC FILE NUMBER
N
N
B.C. Ziegler & Company
549300NLEOFP92P38Q71
N
N
Client One Securities LLC
8-68494
SEC FILE NUMBER
N
N
Avisen Securities, Inc.
8-65833
SEC FILE NUMBER
N
N
TD Ameritrade, Inc.
CWQYQU0TV2NLMLZKNB44
N
Y
Investshares, Inc
8-68365
SEC FILE NUMBER
N
N
Lion Street Financial, LLC
8-69183
SEC FILE NUMBER
N
N
DMK Advisor Group, Inc.
8-49279
SEC FILE NUMBER
N
N
NYLife Distributors LLC
8-46655
SEC FILE NUMBER
N
N
Hand Securities, Inc.
8-51001
SEC FILE NUMBER
N
N
The Windmill Group, Inc.
8-25280
SEC FILE NUMBER
N
N
Roberts & Ryan Investments Inc.
254900A6VIVO4DP1T126
N
N
Brighton Securities Corp.
8-14599
SEC FILE NUMBER
N
N
St. Bernard Financial Services, Inc.
8-47566
SEC FILE NUMBER
N
N
Colliers Securities LLC
549300OD1C69R64IVC38
N
N
Trustmont Financial Group, Inc.
8-36439
SEC FILE NUMBER
N
N
Alliant Securities, Inc. Turner, Nord, Kienbaum
8-23305
SEC FILE NUMBER
N
N
VALIC Retirement Services Company
84-06057
SEC FILE NUMBER
N
N
Fiduciary Trust International
N1YKEWO2IYPRS4742F57
N
N
Worth Financial Group Inc.
8-29827
SEC FILE NUMBER
N
N
Rodgers Brothers, Inc.
8-33475
SEC FILE NUMBER
N
N
BTS Securities Corporation
8-26818
SEC FILE NUMBER
N
N
Kovack Securities Inc.
25490070RG17Z4I70I82
N
N
NBC Securities, Inc.
254900GIP7RJQGHH5S19
N
N
Federated Securities, Inc.
8-15644
SEC FILE NUMBER
N
N
Purshe Kaplan Sterling Investments
8-46844
SEC FILE NUMBER
N
N
Emerson Equity LLC
8-66296
SEC FILE NUMBER
N
N
G.L.S. & Associates, Inc.
8-51808
SEC FILE NUMBER
N
N
Folio Investments, Inc.
8-52009
SEC FILE NUMBER
N
N
N.E. Private Client Advisors, Ltd.
8-66968
SEC FILE NUMBER
N
N
Mutual of Omaha Investor Services, Inc.
8-47290
SEC FILE NUMBER
N
N
VALIC Financial Advisors, Inc.
8-50018
SEC FILE NUMBER
N
N
Dorn & Co., Inc.
8-08707
SEC FILE NUMBER
N
N
Integral Financial LLC
2549000I2CBZTJRHG786
N
N
Investment Network Inc.
8-66036
SEC FILE NUMBER
N
N
Somerset Securities, Inc.
8-11539
SEC FILE NUMBER
N
N
Bankers Life Securities, Inc.
549300YBBLCDP5GDSH97
N
N
Securities Research, Inc.
8-23699
SEC FILE NUMBER
N
N
Amerant Investments, Inc.
254900M8G8SSAIMHET60
N
N
Oak Tree Securities, Inc.
8-36138
SEC FILE NUMBER
N
N
Private Client Services, LLC
8-68183
SEC FILE NUMBER
N
N
Excel Securities & Associates, Inc.
8-34261
SEC FILE NUMBER
N
N
Cetera Investment Services, LLC
254900HBKNJ13M56N432
N
N
The GMS Group, LLC
254900OXZT27TA5CGU56
N
N
Mid-Atlantic Securities, Inc.
8-36997
SEC FILE NUMBER
N
N
Lesko Securities Inc.
8-26408
SEC FILE NUMBER
N
N
Empire Asset Management Company
8-67520
SEC FILE NUMBER
N
N
Santander Securities LLC
8-49571
SEC FILE NUMBER
N
N
Geneos Wealth Management, Inc.
8-65357
SEC FILE NUMBER
N
N
Gradient Securities, LLC
8-66032
SEC FILE NUMBER
N
N
Leigh Baldwin & Co., LLC
8-48385
SEC FILE NUMBER
N
N
Gladowsky Capital Management Corp.
8-51017
SEC FILE NUMBER
N
N
Hazlett, Burt & Watson, Inc.
8-17737
SEC FILE NUMBER
N
N
American Heritage Securities, Inc.
8-44466
SEC FILE NUMBER
N
N
First Command Financial Planning, Inc.
8-07072
SEC FILE NUMBER
N
N
Aon Benfield Securities, Inc.
5493002ME0O127QJJG03
N
N
John Hancock Life Insurance Company of New York
5493007RYG4GXIKSQI18
CA
N
Y
BancWest Investment Services, Inc.
5493001GJYTESEZEBA51
N
N
OFG Financial Services, Inc.
8-40770
SEC FILE NUMBER
N
N
Massachusetts Mutual Life Insurance Company
R6ZXK5P01NP6HXSY1S07
N
Y
VBC Securities, LLC
8-44141
SEC FILE NUMBER
N
N
Sunstreet Securities, LLC
8-67541
SEC FILE NUMBER
N
N
Morgan Stanley Smith Barney LLC
7PDDXEMZ0ZV0CEDU4D16
N
N
Centaurus Financial, Inc.
8-45185
SEC FILE NUMBER
N
N
Alexander Capital, L.P.
8-48957
SEC FILE NUMBER
N
N
Western Growers Financial Services, Inc.
8-53458
SEC FILE NUMBER
N
N
International Money Management Group, Inc.
8-30417
SEC FILE NUMBER
N
N
Westport Resources Investment Services, Inc.
8-40904
SEC FILE NUMBER
N
N
Beaconsfield Financial Services, Inc.
8-30993
SEC FILE NUMBER
N
N
NYLife Securities LLC
8-15517
SEC FILE NUMBER
N
N
Equity Services, Inc.
8-14286
SEC FILE NUMBER
N
N
Talcott Resolution Life Insurance Company
8CE7JPU9IU72L3PPD756
N
Y
Coldstream Securities, Inc.
8-51549
SEC FILE NUMBER
N
N
MGO Securities Corp.
8-47814
SEC FILE NUMBER
N
N
Superior Financial Services, Inc.
549300BK1DNLS1A2MZ43
N
N
Boreal Capital Securities LLC
549300NMHK6HTSKCG696
N
N
BAC Florida Investments
254900CAF9OPVE8VT408
N
N
Allegheny Investments, Ltd.
8-22183
SEC FILE NUMBER
N
N
Westco Investment Corp.
8-38452
SEC FILE NUMBER
N
N
Ausdal Financial Partners, Inc.
8-24519
SEC FILE NUMBER
N
N
Healthcare Community Securities Corporation
8-46981
SEC FILE NUMBER
N
N
Northern Capital Securities Corporation
254900ZANH7XTB94LS53
N
N
IFP Securities
8-70150
SEC FILE NUMBER
N
N
Avantax Wealth Management, Inc
8-29533
SEC FILE NUMBER
N
N
Amuni Financial, Inc
8-25338
SEC FILE NUMBER
N
N
CBIZ Financial Solutions, Inc.
8-34205
SEC FILE NUMBER
N
N
First Honolulu Securities, Inc.
8-23919
SEC FILE NUMBER
N
N
State Farm VP Management Corp
8-50128
SEC FILE NUMBER
N
N
New England Pension Plan Systems, LLC
N/A
N
Y
Vorpahl Wing Securities
8-51823
SEC FILE NUMBER
N
N
Proequities, Inc.
8-32590
SEC FILE NUMBER
N
N
Security Distributors, Inc.
8-10781
SEC FILE NUMBER
N
N
Halliday Financial, LLC
8-45529
SEC FILE NUMBER
N
N
First Western Securities, Inc.
8-37613
SEC FILE NUMBER
N
N
Harbour Investments, Inc.
8-37373
SEC FILE NUMBER
N
N
S.A. Stone Wealth Management
8-36638
SEC FILE NUMBER
N
N
Ustocktrade Securities, Inc.
8-33132
SEC FILE NUMBER
N
N
UBS AG, New York Branch
BFM8T61CT2L1QCEMIK50
N
N
Snowden Account Services, Inc.
254900WVSS0BX602UF45
N
N
D.A. Davidson & Co.
549300094RQ5A7DYLF51
N
N
Advisory Group Equity Services, Ltd.
8-32155
SEC FILE NUMBER
N
N
Davinci Capital Management Inc.
8-51580
SEC FILE NUMBER
N
N
San Blas Securities LLC
25490079436TZN10JD83
N
N
M Holdings Securities, Inc.
8-50214
SEC FILE NUMBER
N
N
Prudential Insurance Company of America
Y574KRZ6V5A7UBU45C31
N
Y
Horace Mann Investors, Inc.
8--6082
SEC FILE NUMBER
N
N
Northern Trust Securities, Inc.
3CHSO99JSPHD9HGNYJ46
N
N
Navy Federal Brokerage Services, LLC
8-67161
SEC FILE NUMBER
N
N
Heim, Young & Associates, Inc.
8-48500
SEC FILE NUMBER
N
N
Smith, Moore & Co.
8-27480
SEC FILE NUMBER
N
N
Chalice Capital Partners, LLC
8-69967
SEC FILE NUMBER
N
N
KCD Financial, Inc.
8-66005
SEC FILE NUMBER
N
N
Digital Retirement Solutions, Inc.
N/A
N
Y
Exeter Trust Company
028-04279
SEC FILE NUMBER
N
N
Riversource Distributors, Inc.
8-67196
SEC FILE NUMBER
N
N
XP Securities, LLC
549300HDFLS7P433PO89
N
N
The Tavenner Company
8-41206
SEC FILE NUMBER
N
N
FMSBonds, Inc.
549300TUTBK58NSF2517
N
N
TCAdvisors Network Inc.
8-46909
SEC FILE NUMBER
N
N
K. W. Chambers & CO.
8-10533
SEC FILE NUMBER
N
N
E. E. Powell & Company Inc.
8-01893
SEC FILE NUMBER
N
N
Consolidated Financial Investments, Inc.
8-37004
SEC FILE NUMBER
N
N
Cantella & Co., Inc.
254900Z33Q34HCFGHO19
N
N
Sovereign Legacy Securities, Inc.
8-00621
SEC FILE NUMBER
N
N
Verity Investments, Inc.
8-49474
SEC FILE NUMBER
N
N
BOK Financial Securities, Inc.
2Q57THMJB7JL1206V012
N
N
Cadaret, Grant & Co., Inc.
8-27844
SEC FILE NUMBER
N
N
Newport Group, Inc.
N/A
N
Y
Maxim Group LLC
254900OJ6JZO6SDMHQ83
N
N
Symphonic Securities LLC
8-67220
SEC FILE NUMBER
N
N
Fidelity Brokerage Services LLC
549300OQFQ4NFIOD5695
N
Y
Calton & Associates, Inc.
254900TDJ7LH64ZKRY86
N
N
Glen Eagle Advisors LLC
8-65678
SEC FILE NUMBER
N
N
Akar Capital Management, Inc.
8-28026
SEC FILE NUMBER
N
N
Vanderbilt Securities, LLC
8-16712
SEC FILE NUMBER
N
N
MSEC, LLC
8-68627
SEC FILE NUMBER
N
N
Omega Securities, Inc.
8-20225
SEC FILE NUMBER
N
N
Buckram Securities LTD
8-65939
SEC FILE NUMBER
N
N
Veritas Independent Partners, LLC
8-69363
SEC FILE NUMBER
N
N
Cresap, Inc.
8-42117
SEC FILE NUMBER
N
N
Investment Security Corporation
8-51832
SEC FILE NUMBER
N
N
USA Financial Securities Corporation
8-52342
SEC FILE NUMBER
N
N
Janney Montgomery Scott LLC
549300QQRY1JCFQHYS08
N
N
Folger Nolan Fleming Douglas Incorporated
8-03335
SEC FILE NUMBER
N
N
Capitol Securities Management, Inc.
8-30353
SEC FILE NUMBER
N
N
Interactive Brokers LLC
50OBSE5T5521O6SMZR28
N
N
Lincoln Douglas Investments LLC
8-68728
SEC FILE NUMBER
N
N
First Heartland Capital, Inc.
8-46008
SEC FILE NUMBER
N
N
Access Financial Group, Inc.
8-46065
SEC FILE NUMBER
N
N
Farmers Financial Solutions, LLC
8-52361
SEC FILE NUMBER
N
N
Devenir, LLC
8-65837
SEC FILE NUMBER
N
N
Oppenheimer & Co. Inc.
254900VH02JQR2L8XD64
N
N
Crescent Securities Group
8-53457
SEC FILE NUMBER
N
N
Center Street Securities, Inc.
8-42786
SEC FILE NUMBER
N
N
Inverness Securities, LLC
8-66278
SEC FILE NUMBER
N
N
Benefit Plans Administrative Services, Inc.
N/A
N
Y
Pacific Financial Associates, Inc.
8-40712
SEC FILE NUMBER
N
N
Muriel Seibert & Co., Inc.
8-14900
SEC FILE NUMBER
N
N
SecureVest Financial Group
254900LG3HPQV4J0WH27
N
N
Ameritas Investment Corp.
549300913B54XKSRM258
N
N
Coordinated Capital Securities, Inc.
8-31173
SEC FILE NUMBER
N
N
Cetera Financial Specialists LLC
8-27082
SEC FILE NUMBER
N
N
Associated Investment Services, Inc.
8-00099
SEC FILE NUMBER
N
N
D.H. Hill Securities LLP
8-49475
SEC FILE NUMBER
N
N
RNR Securities, L.L.C.
8-50366
SEC FILE NUMBER
N
N
Omni Financial Securities
8-44034
SEC FILE NUMBER
N
N
Tradition Securities and Derivatives Inc.
WRYEFMSVQCH0EMD08461
N
N
National Financial Services, LLC
549300JRHF1MHHWUAW04
N
Y
Century Securities Associates, Inc.
8-43514
SEC FILE NUMBER
N
N
Alight Solutions LLC
084-01996
SEC FILE NUMBER
N
Y
AssetMark Trust Company
N/A
N
N
Finance 500, Inc.
8-28302
SEC FILE NUMBER
N
N
Jack V. Butterfield Investment Company
8-12454
SEC FILE NUMBER
N
N
PNC Capital Markets LLC
7OGNSSLOQJ8U3B9Y5F18
N
N
Whitehall-Parker Securities, Inc.
8-27688
SEC FILE NUMBER
N
N
Rockefeller Financial, LLC
8-70054
SEC FILE NUMBER
N
N
Wells Fargo Bank, N.A.
KB1H1DSPRFMYMCUFXT09
N
N
E*Trade Savings Bank
549300DXPO50FJ75QA85
N
Y
Carty & Company, Inc.
8-19082
SEC FILE NUMBER
N
N
Gold Coast Securities, Inc.
8-53148
SEC FILE NUMBER
N
N
SG Americas Securities, LLC
549300F35UE0BOM1WJ55
N
N
Park Avenue Securities LLC
8-51324
SEC FILE NUMBER
N
N
Allstate Financial Services, LLC
8-36365
SEC FILE NUMBER
N
N
Sycamore Financial Group
8-30302
SEC FILE NUMBER
N
N
Country Club Financial Services, Inc.
8-44574
SEC FILE NUMBER
N
N
Sanders Morris Harris Inc.
254900ZNPYV465D1NZ47
N
N
Fortune Financial Services, Inc.
8-49727
SEC FILE NUMBER
N
N
Gregory J. Schwartz & Co., Inc.
8-20955
SEC FILE NUMBER
N
N
National Securities Corp.
8-164
SEC FILE NUMBER
N
N
Sabadell Securities USA, Inc.
2549002UK8JK82ABGD45
N
N
Classic LLC
8-68981
SEC FILE NUMBER
N
N
United Brokerage Services, Inc.
8-48685
SEC FILE NUMBER
N
N
L.M. Kohn & Company
8-43303
SEC FILE NUMBER
N
N
Robinson & Robinson, Inc.
8-17109
SEC FILE NUMBER
N
N
Integrity Investments, Inc.
8-45302
SEC FILE NUMBER
N
N
Family Investors Company
8-11190
SEC FILE NUMBER
N
N
Nationwide Securities, LLC
8-12500
SEC FILE NUMBER
N
N
Regions Bank
EQTWLK1G7ODGC2MGLV11
N
N
Peak Brokerage Services, LLC
8-68829
SEC FILE NUMBER
N
N
CoreCap Investments, Inc.
8-47783
SEC FILE NUMBER
N
N
Hantz Financial Services, Inc.
8-51291
SEC FILE NUMBER
N
N
First Kentucky Securities Corporation
8-22224
SEC FILE NUMBER
N
N
Arete Wealth Management, LLC
8-50854
SEC FILE NUMBER
N
N
Liberty Partners Financial Services, LLC
8-66335
SEC FILE NUMBER
N
N
Grant Williams L.P.
8-51249
SEC FILE NUMBER
N
N
Mack Investment Securities, Inc.
8-35536
SEC FILE NUMBER
N
N
Fifth Third Bank
QFROUN1UWUYU0DVIWD51
N
N
Raymond James & Associates, Inc.
U4ONQX15J3RO8XCKE979
N
N
Duncan-Williams, Inc.
25490045VHLUZ7H92Y27
N
N
Parkland Securities, LLC
8-53482
SEC FILE NUMBER
N
N
Invicta Capital, LLC
549300QY87LR84LRLL97
N
N
Hartford Funds Management Company, LLC
801-77209
SEC FILE NUMBER
N
Y
Allianz Life Financial Services, LLC
5493008TSI0TRWDDGW79
N
N
American National Trust And Investment Management Company
028-00344
SEC FILE NUMBER
N
N
The Huntington Investment Company
5493004MEJ6IU9SR1R78
N
N
Standard Insurance Company
549300KVA8DBYKHPXO21
N
Y
Great-West Financial Retirement Plan Services, LLC
N/A
N
Y
Commerce Brokerage Services, Inc.
8-35096
SEC FILE NUMBER
N
N
TRG Advisors, Inc.
8-50449
SEC FILE NUMBER
N
N
AE Financial Services, LLC
8-70214
SEC FILE NUMBER
N
N
Infinex Investments, Inc.
8-46661
SEC FILE NUMBER
N
N
Insigneo Securities, LLC
254900P4TTO6PU1VDH88
N
N
R. Seelaus & Co., Inc.
2138004J7AJDLCOJYA06
N
N
BTG Pactual US Capital, LLC
549300EUEDL5GKQW8U35
N
N
Variable Investment Advisors, Inc.
8-50699
SEC FILE NUMBER
N
N
Westminster Financial Securities, Inc.
8-38426
SEC FILE NUMBER
N
N
Mid Atlantic Capital Corporation
549300HJL2LPNSC0JX96
N
N
Feltl & Company
8-18435
SEC FILE NUMBER
N
N
Wiley Bros.-Aintree Capital, LLC
8-03774
SEC FILE NUMBER
N
N
U.S. Bancorp Investments, Inc.
H85Z6XZP8B10ES0M2G89
N
N
Nelson Ivest Brokerage Services, Inc.
8-26448
SEC FILE NUMBER
N
N
Marsco Investment Corporation
8-36754
SEC FILE NUMBER
N
N
Garden State Securities, Inc.
8-25790
SEC FILE NUMBER
N
N
American Equity Investment Corporation
8-49078
SEC FILE NUMBER
N
N
L. B. Fisher & Company
8-21023
SEC FILE NUMBER
N
N
United Planners' Financial Services of America A Limited Partner
8-38485
SEC FILE NUMBER
N
N
Michigan Securities, Inc. (dba Broadstone Securities)
8-52094
SEC FILE NUMBER
N
N
First Manhattan Co.
549300NNJKVSO48I3G76
N
N
First Allied Securities, Inc.
8-46167
SEC FILE NUMBER
N
N
Dinosaur Financial Group, LLC
549300CCV3H232GBUN83
N
N
Arque Capital, Ltd.
8-65390
SEC FILE NUMBER
N
N
VOYA Investments Distributors, LLC
8-48020
SEC FILE NUMBER
N
N
Arkadios Capital
8-69729
SEC FILE NUMBER
N
N
Portsmouth Financial Services
8-30097
SEC FILE NUMBER
N
N
Ladenburg Thalman & Co. Inc.
2549000V3L2KK4L76W91
N
N
American Trust Investment Services, Inc.
8-14394
SEC FILE NUMBER
N
N
Carl M. Hennig, Inc.
8-14509
SEC FILE NUMBER
N
N
FSC Securities Corporation
8-21770
SEC FILE NUMBER
N
N
Saturna Trust Company
N/A
N
Y
Lockton Financial Advisors, LLC
8-67090
SEC FILE NUMBER
N
N
1st Discount Brokerage, Inc.
8-48557
SEC FILE NUMBER
N
N
Merrill Lynch, Pierce, Fenner & Smith Incorporated
8NAV47T0Y26Q87Y0QP81
N
N
Barclays Capital Inc.
AC28XWWI3WIBK2824319
N
N
Coastal Equities, Inc.
8-40822
SEC FILE NUMBER
N
N
Bruderman Brothers, LLC
8-51974
SEC FILE NUMBER
N
N
Voya Institutional Plan Services, LLC
N/A
N
N
Thompson Davis & Co., Inc.
8-49386
SEC FILE NUMBER
N
N
Amegy Investments, Inc. (Zions)
8-65399
SEC FILE NUMBER
N
N
Navaid Financial Services, Inc.
8-49897
SEC FILE NUMBER
N
N
Fidelity Investments Institutional Operations Company, Inc.
549300XVSM8LN3LQOK63
N
Y
A.G.P/Alliance Global Partners
549300QJQ08RJGC7D885
N
N
Cardinal Investments, Inc.
8-47493
SEC FILE NUMBER
N
N
USI Securities, Inc.
8-50429
SEC FILE NUMBER
N
N
Landaas & Company
8-51826
SEC FILE NUMBER
N
N
City National Bank
549300MEMKSF7703ZQ25
N
N
North South Capital, LLC
549300ODEKJCRN2AM859
N
N
American Independent Securities Group, LLC
8-66905
SEC FILE NUMBER
N
N
Pensionmark Securities, LLC
8-69773
SEC FILE NUMBER
N
N
Planned Financial Programs, Inc.
8-05727
SEC FILE NUMBER
N
N
Mid-Atlantic Clearing & Settlement Corp.
8-47758
SEC FILE NUMBER
N
N
Unionbanc Investment Services, LLC
254900Y9HI2TG6D79N41
N
N
Watermark Securities, Inc.
8-43902
SEC FILE NUMBER
N
N
Piper Jaffray & Co.
549300GRQCWQ3XGH0H10
N
N
Morris Group, Inc.
549300JWKS0KMDOX5G12
N
N
First Citizens Investor Services, Inc.
8-50696
SEC FILE NUMBER
N
N
International Research Securities, Inc.
8-37954
SEC FILE NUMBER
N
N
SagePoint Financial, Inc.
8-66771
SEC FILE NUMBER
N
N
Harvest Financial Corporation
8-26037
SEC FILE NUMBER
N
N
Ni Advisors
8-66841
SEC FILE NUMBER
N
N
McDonald Partners LLC
549300PEHG3UH7FAY193
N
N
PTS Brokerage, LLC
8-65173
SEC FILE NUMBER
N
N
Principal Securities, Inc.
8-13975
SEC FILE NUMBER
N
N
Financial Northeastern Securities, Inc.
549300QRRF2NAV5G3869
N
N
VectorGlobal WMG
254900K52VRYBHUGBC64
N
N
DFPG Investments, Inc.
8-68730
SEC FILE NUMBER
N
N
Tocqueville Securities L.P.
8-42223
SEC FILE NUMBER
N
N
Sunset Financial Services, Inc.
8-14148
SEC FILE NUMBER
N
N
TradeStation Securities, Inc.
549300T08P71XXBYLW62
N
N
Charles Schwab & Co., Inc.
549300ZP8XN77GK5BS04
N
Y
Bolton Securities Corp.
8-68187
SEC FILE NUMBER
N
N
Brokers International Financial Services, LLC
8-67239
SEC FILE NUMBER
N
N
American Portfolios Financial Services, Inc.
8-37085
SEC FILE NUMBER
N
N
Genworth Life Insurance Company of New York
E5VAS7I8GX5B0SDBX010
N
Y
Camden Financial Services
8-37303
SEC FILE NUMBER
N
N
Saxony Securities, Inc.
8-53490
SEC FILE NUMBER
N
N
FSB Warner Financial, Inc.
8-44865
SEC FILE NUMBER
N
N
Sorsby Financial Corp.
8-48718
SEC FILE NUMBER
N
N
TrustFirst, Inc.
8-48509
SEC FILE NUMBER
N
N
Herbert J. Sims & Co. Inc.
254900SV6UESQBS8XP98
N
N
ICMA-RC Services, Inc.
8-40268
SEC FILE NUMBER
N
N
Saturna Brokerage Services, Inc.
8-36558
SEC FILE NUMBER
N
N
Insight Securities, Inc.
2549007I5MCG270G9341
N
N
Lieblong & Associates, Inc.
8-49880
SEC FILE NUMBER
N
N
Etico Partners, LLC
8-65500
SEC FILE NUMBER
N
N
First Financial Securities of America, Inc.
8-29565
SEC FILE NUMBER
N
N
Union Capital Company
8-53127
SEC FILE NUMBER
N
N
Highlander Capital Group, Inc.
8-37169
SEC FILE NUMBER
N
N
MMC Securities Corp.
2549001ZA93O65N2ZM60
N
N
Regulus Advisors, LLC
8-68275
SEC FILE NUMBER
N
N
Lincoln Investment Planning, Inc.
8-14354
SEC FILE NUMBER
N
N
E*Trade Securities
8-44112
SEC FILE NUMBER
N
N
TransAm Securities, Inc.
8-37065
SEC FILE NUMBER
N
N
Madison Avenue Securities, Inc.
8-40426
SEC FILE NUMBER
N
N
Northwest Investment Advisors, Inc.
8-65282
SEC FILE NUMBER
N
N
TIAA-CREF Individual & Institutional Services, LLC
8-44454
SEC FILE NUMBER
N
N
Brooklight Place Securities, Inc.
8-32673
SEC FILE NUMBER
N
N
H. C. Denison Co.
8-00044
SEC FILE NUMBER
N
N
Impact U. Investments, LLC
8-65527
SEC FILE NUMBER
N
N
JPMorgan Chase Bank, N.A.
7H6GLYDRUGQFU57RNE97
N
N
IDB Capital Corp.
254900SH3QL0IL3S9R34
N
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Next Financial Group, Inc.
8-51356
SEC FILE NUMBER
N
N
Shareholders Service Group, Inc.
8-65778
SEC FILE NUMBER
N
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Northland Securities, Inc.
254900ZIK4MLVQAWLS15
N
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Cabot Lodge Securities, LLC
8-69009
SEC FILE NUMBER
N
N
Anovest Financial Services, Inc.
8-66742
SEC FILE NUMBER
N
N
OneAmerica Securities, Inc.
8-15009
SEC FILE NUMBER
N
N
USCA Securities LLC
254900GBMSP1Y45THR66
N
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TD Private Client Wealth LLC
8-69105
SEC FILE NUMBER
N
N
Nationwide Financial Services, Inc.
5493001H7AZNDS6BKJ36
N
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Independence Capital Co., Inc.
8-41331
SEC FILE NUMBER
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McLaughlin Ryder Investments, Inc.
8-67911
SEC FILE NUMBER
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Abacus International Capital Corp.
8-46418
SEC FILE NUMBER
N
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Henley & Company LLC
8-66463
SEC FILE NUMBER
N
N
Key Investment Services LLC
8-66999
SEC FILE NUMBER
N
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Herndon Plant Oakley, LTD
8-50912
SEC FILE NUMBER
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Blakeslee and Blakeslee Inc.
8-32071
SEC FILE NUMBER
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Commonwealth Equity Services, Inc.
8-24040
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Mutual Securities, Inc.
8-28580
SEC FILE NUMBER
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PTI Securities & Futures L.P.
8-44412
SEC FILE NUMBER
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TD Ameritrade Trust Company
028-15163
SEC FILE NUMBER
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UMB Financial Services, Inc.
254900GFVO9NGQ21JC37
N
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SEI Private Trust Company
028-10625
SEC FILE NUMBER
N
Y
Woodmen Financial Services, Inc.
8-53592
SEC FILE NUMBER
N
N
Investment Placement Group
5493005L3RL45FY4HR07
N
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Wellington Shields & Co., LLC
8-68098
SEC FILE NUMBER
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The Garbacz Group Inc.
8-42366
SEC FILE NUMBER
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Register Financial Associates, Inc.
8-45012
SEC FILE NUMBER
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Charles Schwab Bank
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N
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Hefren-Tillotson, Inc.
8-10646
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Axiom Capital Management, Inc.
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N
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Aufhaser Securities, Inc.
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SEC FILE NUMBER
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AqGen Ascensus, Inc.
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N
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Sanctuary Securities, Inc.
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N
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Rhodes Securities, Inc.
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SEC FILE NUMBER
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World Equity Group, Inc.
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N
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Investors Brokerage of Texas, Ltd.
8-28644
SEC FILE NUMBER
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Benjamin F. Edwards & Company, Inc.
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SEC FILE NUMBER
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Crews & Associates, Inc.
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NPB Financial Group, LLC
8-67113
SEC FILE NUMBER
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Profinancial, Inc.
8-32026
SEC FILE NUMBER
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Wells Fargo Securities, LLC
8-65876
SEC FILE NUMBER
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Darwood Associates Incorporated
8-16560
SEC FILE NUMBER
N
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B.B. Graham & Company, Inc.
8-49477
SEC FILE NUMBER
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Bolton Global Capital
2549009M08YVOG46LO79
N
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Syndicated Capital, Inc.
8-44162
SEC FILE NUMBER
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American United Life Insurance Company
549300T82H2DXU80LV98
N
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Cape Securities Inc.
8-20747
SEC FILE NUMBER
N
N
Oriental Financial Services Corp.
8-44516
SEC FILE NUMBER
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Independent Brokerage Solutions LLC
8-68549
SEC FILE NUMBER
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Spire Securities, LLC
8-67635
SEC FILE NUMBER
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Woodbury Financial Services, Inc.
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SEC FILE NUMBER
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CFD Investments, Inc.
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SEC FILE NUMBER
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Monex Securities, Inc.
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Hancock Whitney Corporation
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Pruco Securities, LLC.
8-16402
SEC FILE NUMBER
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Raymond James Financial Services, Inc.
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Wintrust Investments, LLC
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Landolt Securities, Inc.
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Monere Investments, Inc.
8-52982
SEC FILE NUMBER
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James I. Black & Company
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SEC FILE NUMBER
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FMN Capital Corporation
8-48082
SEC FILE NUMBER
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Diversified Resources, LLC
8-45497
SEC FILE NUMBER
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Hornor, Townsend & Kent, Inc.
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SEC FILE NUMBER
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Cetera Advisors LLC
8-26892
SEC FILE NUMBER
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Citigroup Global Markets Inc.
MBNUM2BPBDO7JBLYG310
N
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Genworth Life & Annuity Insurance Company
TAI340D9BWT9R77O0P03
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Great Pacific Securities
254900QRZ90SUI8C4W84
N
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BFT Financial Group, LLC
8-53487
SEC FILE NUMBER
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Quincy Cass Associates, Incorporated
8-05743
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Nestlerode & Loy, Inc.
8-12629
SEC FILE NUMBER
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BBVA Securities Inc.
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Signal Securities, Inc.
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8-49995
SEC FILE NUMBER
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NTB Financial Corporation
8-21884
SEC FILE NUMBER
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MML Distributors, LLC
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SEC FILE NUMBER
N
N
Fidelity Investments Life
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N
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ACA/Prudent Investors Planning Corporation
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Place Trade Financial, Inc.
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8-46571
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Prudential Investment Management Services LLC
8-36540
SEC FILE NUMBER
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Larson Financial Securities, LLC
8-68456
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Wells Fargo Clearing Services, LLC
88KRVSOEKUGQZJ3DKW55
N
Y
HSBC Securities (USA), Inc.
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SunTrust Investment Services, Inc.
8-35355
SEC FILE NUMBER
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Deutsche Bank Securities Inc.
9J6MBOOO7BECTDTUZW19
N
N
Voya Retirement Insurance and Annuity Company
OK3MKCDYPD4NN6QDGK18
N
Y
Jacques Financial, LLC
8-52675
SEC FILE NUMBER
N
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Crown Capital Securities, L.P.
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SEC FILE NUMBER
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Reliance Trust Company
549300NV8FSQRNOUQO50
N
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Hilltop Securities, Inc.
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World Choice Securities, Inc.
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8-21765
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Neuberger Berman LLC
PWDS3JJ631D5N70JXG61
N
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USAA Investment Management Company
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Nationwide Planning Associates Inc.
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American Enterprise Investment Services Inc.
549300NT7GLLVGTH0249
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RBC Capital Markets, LLC
549300LCO2FLSSVFFR64
N
Y
Vanguard Marketing Corporation
8-21570
SEC FILE NUMBER
N
N
Capital City Securities, LLC
8-67771
SEC FILE NUMBER
N
N
Coinbase Capital Markets Corporation
8-28032
SEC FILE NUMBER
N
N
Goldman Sachs & Co. LLC
FOR8UP27PHTHYVLBNG30
N
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Rehmann Financial Network
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Jefferies, LLC
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Synovus Securities, Inc.
254900CM2K7N1E0JF171
N
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Thoroughbred Financial Services, LLC
8-51944
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Liberty Capital Investment Corporation
8-42051
SEC FILE NUMBER
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Vanguard Group, Inc., The
5493002789CY3L0CJP65
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Colorado Financial Service Corporation
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Fifth Third Securities, Inc.
5493003IMO3TYX51WE43
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Triad Advisors, Inc.
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Rothschild Investment Corporation
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SEC FILE NUMBER
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Citizens Bank
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SunTrust Bank
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Chapin Davis Inc
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SEC FILE NUMBER
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Cary Street Partners LLC
8-66085
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8-50630
SEC FILE NUMBER
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Mutual Trust Co. of America Securities
254900PUBUB7IS4GNY27
N
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S.G. Long & Company
8-51816
SEC FILE NUMBER
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Essex Securities LLC
8-51472
SEC FILE NUMBER
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Middlegate Securities Ltd.
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N
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Broadridge Business Process Outsourcing, LLC
8-53412
SEC FILE NUMBER
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CUNA Brokerage Services, Inc.
549300G6Y6BPF9ZL4706
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Sisung Securities Corporation
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Cutter & Company Brokerage, Inc.
8-39590
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8-45593
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Girard Investment Services, LLC
8-14145
SEC FILE NUMBER
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Davenport & Company LLC
254900GN2SAXJGLMS075
N
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Mercer HR Services, LLC
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Principled Advisors, Inc.
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Aventura Securities, LLC
8-67458
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Midland Securities, Ltd.
8-40685
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Caldwell Securities, Inc.
549300ORF2FMHXODHJ66
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FNBB Capital Markets, LLC
8-66553
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Morgan Stanley & Co. LLC
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Wescom Financial Services, LLC
8-66189
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Signature Securities Group Corporation
8-52697
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Infinity Securities, Inc.
8-67647
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First Mercantile Trust Company
028-10498
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Capital Institutional Services, Inc.
54930061X8RDWFDJIS05
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First Bankers' Banc Securities, Inc.
549300XZ7YYT3Y0SU530
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M. S. Howells & Co.
8-52558
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LifeMark Securities Corp.
8-33478
SEC FILE NUMBER
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BNY Mellon Securities Corporation
8-13801
SEC FILE NUMBER
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Nicol Investors Corporation
8-65566
SEC FILE NUMBER
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FinTrust Brokerage Services, LLC
8-49514
SEC FILE NUMBER
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Pershing, LLC
8-17574
SEC FILE NUMBER
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Lebenthal Financial Services, Inc
8-67140
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ING Financial Markets LLC
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Arlington Securities, Inc.
8-38098
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NorthWestern Mutual Investment Services, LLC
CYO86L8D7HTXW9SOZX28
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Securities Equity Group
8-51706
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First Asset Financial, Inc.
8-67191
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Benchmark Investments, Inc.
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Comerica Securities, Inc.
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8-52474
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Polar Investment Counsel, Inc.
8-50039
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DWS Distributors, Inc.
5299007T18XBURKJ1V64
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Founders Financial Securities LLC
8-67137
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Oscar Gruss & Son Incorporated
549300V78DH9XCK5UI63
N
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Centennial Securities Company, LLC
8-23406
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T. Rowe Price Retirement Plan Services, Inc.
084-06219
SEC FILE NUMBER
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Sammons Retirement Solutions, Inc.
N/A
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KW Securities Corporation
8-24792
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BNP Paribas Securities Corp
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Searle & Co.
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8-37519
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Stephens Inc.
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Country Capital Management Company
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SEC FILE NUMBER
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Integrated Financial Planning Services
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Institutional Securities Corporation
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First Horizon Advisors, Inc.
8-35061
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Fieldpoint Private Securities, LLC
8-37105
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Lantern Investments, Inc.
8-45285
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MidWestern Securities Trading Company, LLC
8-52074
SEC FILE NUMBER
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The O.N. Equity Sales Company
8-14161
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Allegiance Capital, L.L.C.
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8-12680
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American Financial Associates, Inc.
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SEC FILE NUMBER
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First National Bank Alaska
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The Investment Center, Inc.
8-35826
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World Capital Brokerage, Inc.
8-06805
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Keel Point Capital, LLC
8-22990
SEC FILE NUMBER
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Dempsey Lord Smith, LLC
8-67469
SEC FILE NUMBER
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PNC Investments, LLC
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State Street Bank and Trust Company
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Hazard & Siegel, Inc.
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Multiple Financial Services, Inc.
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8-49750
SEC FILE NUMBER
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Cetera Advisor Networks LLC
8-29577
SEC FILE NUMBER
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Xml Securities, LLC
8-67776
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The Jeffrey Matthews Financial Group, L.L.C.
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Oberweis Securities, Inc.
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Capital Portfolio Management, Inc.
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SEC FILE NUMBER
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SCF Securities, Inc.
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American Financial Securities, Inc.
8-53205
SEC FILE NUMBER
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Arive Capital Markets
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SEC FILE NUMBER
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SEC FILE NUMBER
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UBS Financial Services Inc.
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Sentinel Securities, Inc.
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Royal Alliance Associates, Inc.
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SEC FILE NUMBER
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Edward D. Jones & Co., L.P.
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Hennion & Walsh, Inc.
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B. Riley Wealth Management Holdings, Inc
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Gill Capital Partners, LLC
8-30563
SEC FILE NUMBER
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Investment Planners, Inc.
8-35642
SEC FILE NUMBER
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ACP Securities, LLC
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Buell Securities Corp
8-22058
SEC FILE NUMBER
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Pershing Advisor Solutions, LLC
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Nest Investments BD, LLC
8-70117
SEC FILE NUMBER
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Citizens Securities, Inc.
2138006RAPI5PE2ZGW36
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Vision Financial Markets LLC
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John Hancock Trust Company LLC
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The Leaders Group, Inc.
8-47639
SEC FILE NUMBER
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Hightower Securities, LLC
549300F189LKWDZLP954
N
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Safra Securities LLC
E51AOUORNWWT747CBW71
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William Blair & Company L.L.C.
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N.I.S. Financial Services, Inc.
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Samuel A Ramirez & Co., Inc.
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PNC Bank, N.A.
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Global Brokerage Services, Inc.
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Western International Securities, Inc.
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SEC FILE NUMBER
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SWBC Investment Services, LLC
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Fairport Capital, Inc.
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SEC FILE NUMBER
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Kestra Investment Services, LLC
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Money Concepts Capital Corp.
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Investments For You, Inc.
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Perryman Securities, Inc.
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People's Securities, Inc.
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SEC FILE NUMBER
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White Mountain Capital, LLC
8-52572
SEC FILE NUMBER
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Harbor Investment Advisory, LLC
8-68334
SEC FILE NUMBER
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Transamerica Advisors Life Insurance Company
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The Oak Ridge Financial Services Group, Inc.
2549003647MDU9F6QN39
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Cannon Securities, Inc.
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Griffinest Asia Securities, LLC
8-66571
SEC FILE NUMBER
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Hancock Whitney Investment Services, Inc.
8-49106
SEC FILE NUMBER
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Stifel, Nicolaus & Company, Incorporated
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Capital Investment Group, Inc.
8-31225
SEC FILE NUMBER
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Robert W. Baird & Co. Incorporated
549300772UJAHRD6LO53
N
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American Capital Partners, LLC
254900I8NH46ZJJ4Z956
N
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Voya Financial Partners, LLC
8-13987
SEC FILE NUMBER
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Conover Securities Corporation
8-35085
SEC FILE NUMBER
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TFS Securities, Inc.
8-38377
SEC FILE NUMBER
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CapFinancial Securities, LLC
8-65870
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Actinver Securities, Inc.
254900FT947VQZ1WHT28
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McNally Financial Services Corporation
8-65388
SEC FILE NUMBER
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Wall Street Access
549300Z0MOT47D6OQV22
N
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J.P. Morgan Securities LLC
ZBUT11V806EZRVTWT807
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CNR Securities LLC
8-36759
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Boenning & Scattergood, Inc.
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Carter, Terry & Company, Inc.
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SEC FILE NUMBER
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Ameriprise Financial Services, Inc.
8-16791
SEC FILE NUMBER
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D.M. Kelly & Company
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SEC FILE NUMBER
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Umpqua Investments, Inc.
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Sunbelt Securities, Inc.
8-49748
SEC FILE NUMBER
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Moors & Cabot, Inc.
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SEC FILE NUMBER
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Logan Group Securities
8-48995
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Coker & Palmer, Inc.
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J.W. Cole Financial, Inc.
8-65698
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JHW Financial Services Inc.
8-45304
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Capital Management Securities, Inc.
8-27779
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Stonecrest Capital Markets, Inc.
8-48754
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Guardian Insurance & Annuity Company, Inc., The
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Ascensus Financial Services, LLC
8-67891
SEC FILE NUMBER
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G.A. Repple & Company
8-35315
SEC FILE NUMBER
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General Securities Corp.
8-31654
SEC FILE NUMBER
N
N
SFA Financial, LLC
8-68156
SEC FILE NUMBER
N
N
R. F. Lafferty & Co., Inc.
254900KLPTMWPBZWH264
N
N
Bankoh Investment Services, Inc.
8-44201
SEC FILE NUMBER
N
N
J. Alden Associates, Inc.
8-48938
SEC FILE NUMBER
N
N
Sammons Financial Network, LLC
8-68905
SEC FILE NUMBER
N
N
LaBrunerie Financial Services, Inc.
8-47830
SEC FILE NUMBER
N
N
Apex Clearing Corporation
5493000418CITRF5BO80
N
N
Uhlmann Price Securities, LLC
8-50041
SEC FILE NUMBER
N
N
Silver Oak Securities, Incorporated
8-51601
SEC FILE NUMBER
N
N
The Lawrence D. Vitez Corp. DBA Consolidated Securities
8-48642
SEC FILE NUMBER
N
N
Intercam Securiteis, Inc.
8-67840
SEC FILE NUMBER
N
N
Advanced Advisor Group, LLC
8-67313
SEC FILE NUMBER
N
N
G. W. & Wade Asset Management Company, LLC
8-42013
SEC FILE NUMBER
N
N
First Republic Securities Company, LLC
5493000IMDFZDQYB2Q11
N
N
Calamar Financial Group
8-69777
SEC FILE NUMBER
N
N
Y
BLACKROCK ADVISORS, LLC
5493001LN9MRM6A35J74
Y
N
BNY Mellon Investment Servicing (US) Inc.
549300CFZQLI9QMJ1Z03
N
Y
N
BLACKROCK INVESTMENTS, LLC
008-48436
000038642
54930061FBHCKXL2G714
0.00000000
BLACKROCK EXECUTION SERVICES
008-48719
000039438
549300HFCRQ0NT5KY652
0.00000000
MORGAN STANLEY & CO. LLC
008-15869
000008209
9R7GPTSO7KV3UQJZQ078
86365.19000000
UBS Securities LLC
008-22651
000007654
T6FIZBDPKLYJKFCRVK44
73333.14000000
J.P. Morgan Securities LLC
008-35008
000000079
ZBUT11V806EZRVTWT807
50156.38000000
BARCLAYS CAPITAL, INC.
008-41342
000019714
AC28XWWI3WIBK2824319
27021.19000000
KEPLER CAPITAL MARKETS, INC.
008-67194
000139148
254900VCHS9DMDUVZN16
34426.41000000
GOLDMAN SACHS & CO. LLC
008-00129
000000361
FOR8UP27PHTHYVLBNG30
55155.24000000
CREDIT SUISSE SECURITIES (USA) LLC
008-00422
000000816
1V8Y6QCX6YMJ2OELII46
81403.00000000
EXANE, INC.
008-49569
000041784
6SDWK6FV8H98XAGSYS75
28139.85000000
CitiGroup Global Markets Inc.
008-08177
000007059
MBNUM2BPBDO7JBLYG310
43674.82000000
BOFA SECURITIES, INC.
008-69787
000283942
549300HN4UKV1E2R3U73
42722.10000000
624292.00000000
GOLDMAN SACHS & CO. LLC
008-00129
000000361
FOR8UP27PHTHYVLBNG30
33.00000000
UBS SECURITIES LLC
008-22651
000007654
T6FIZBDPKLYJKFCRVK44
26.00000000
BlackRock Liquidity Funds T-Fund
N/A
N/A
5493002L9DNZ83RX7V61
269530301.00000000
269530360.00000000
Y
1134809734.00000000
0.00000000
Committed
1750000000.00000000
N
N
N
N
BlackRock Advantage Large Cap Growth Fund
S000001871
EVCJKT79X4HLD4TDG380
N
5
0
1
N/A
N
N
Y
N
N
BlackRock Investment Management, LLC
5493006MRTEZZ4S4CQ20
Y
N
Revenue sharing split
Other
Cash collateral reinvestment fee
Rebates paid to borrowers
1801477.00000000
36657.00000000
Rule 22d-1 (17 CFR 270.22d-1)
Rule 17a-7 (17 CFR 270.17a-7)
Rule 32a-4 (17 CFR 270.32a-4)
Rule 12d1-1 (17 CFR 270.12d1-1)
Rule 12d1-4 (17 CFR 270.12d1-4)
Y
Y
N
N
BlackRock Advisors, LLC
801-47710
000106614
5493001LN9MRM6A35J74
N
BNY Mellon Investment Servicing (US) Inc.
084-01761
549300CFZQLI9QMJ1Z03
N
N
N
Intercontinental Exchange, Inc.
5493000F4ZO33MV32P92
N
Bloomberg Finance L.P.
5493001KJTIIGC8Y1R12
N
N
The Bank of New York Mellon
HPFHU0OQ28E4N0NFVK49
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Deutsche Bank AG, Manila Branch
N/A
PH
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Citibank N.A., Argentina
579100KKDGKCFFKKF005
AR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
MUFG Bank, Ltd.
C3GTMMZIHMY46P4OIX74
JP
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Citigroup Global Markets Inc.
MBNUM2BPBDO7JBLYG310
N
Y
Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Deutsche Bank A.S. (Turkey)
789000N5SE3LWDK7OI11
TR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
The Hongkong and Shanghai Banking Corporation Limited, New Zealand Branch
2HI3YI5320L3RW6NJ957
NZ
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Citibanamex
5493004NLEXB8DK06353
MX
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
UBS Securities LLC
T6FIZBDPKLYJKFCRVK44
N
Y
Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
HSBC Bank (Taiwan) Limited
549300SG184IVNYDMN03
TW
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Citibank International Limited (Portugal)
31OGKFG0Y1795OV0AK56
PT
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
The Hongkong and Shanghai Banking Corporation Limited
2HI3YI5320L3RW6NJ957
HK
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
BNP Paribas Securities Services (Athens)
549300WCGB70D06XZS54
GR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Deutsche Bank AG, Seoul Branch
N/A
KR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Credit Suisse Securities (USA) LLC
1V8Y6QCX6YMJ2OELII46
N
Y
Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Goldman Sachs & Co. LLC
FOR8UP27PHTHYVLBNG30
N
Y
Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Euroclear UK & Ireland Limited
549300M5MYAD51WHJD55
GB
N
Y
Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
CLEARSTREAM BANKING AKTIENGESELLSCHAFT (Germany)
549300298FD7AS4PPU70
DE
N
Y
Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
The Standard Bank of South Africa Limited
QFC8ZCW3Q5PRXU1XTM60
ZA
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
MONTE TITOLI S.P.A.
8156009CEEE1B8C7C646
IT
N
Y
Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Bank Polska Kasa Opieki S.A.
5493000LKS7B3UTF7H35
PL
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Deutsche Bank (Malaysia) Berhad
529900DLWFR8HK7DR278
MY
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Morgan Stanley & Co. LLC
9R7GPTSO7KV3UQJZQ078
N
Y
Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Skandinaviska Enskilda Banken AB
F3JS33DEI6XQ4ZBPTN86
SE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Euroclear Nederland (Netherlands)
549300CBNW05DILT6870
NL
N
Y
Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
DBS Bank Ltd, Singapore
ATUEL7OJR5057F2PV266
SG
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Banco Bilbao Vizcaya Argentaria SA
K8MS7FD7N5Z2WQ51AZ71
ES
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
The Hongkong and Shanghai Banking Corporation Limited, Bangkok Branch
2HI3YI5320L3RW6NJ957
TH
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Barclays Capital Inc.
AC28XWWI3WIBK2824319
N
Y
Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Y
Beaconsfield Financial Services, Inc.
8-30993
SEC FILE NUMBER
N
N
Teckmeyer Financial Services, L.L.C.
8-48501
SEC FILE NUMBER
N
N
Boenning & Scattergood, Inc.
2549005FER5A7K7II574
N
N
Amerant Investments, Inc.
254900M8G8SSAIMHET60
N
N
First Republic Securities Company, LLC
5493000IMDFZDQYB2Q11
N
N
Chelsea Morgan Securities, Inc.
8-51916
SEC FILE NUMBER
N
N
International Assets Advisory, LLC
254900ARMOHQNS987S09
N
N
D.M. Kelly & Company
8-48398
SEC FILE NUMBER
N
N
Akar Capital Management, Inc.
8-28026
SEC FILE NUMBER
N
N
Transamerica Financial Advisors, Inc.
549300JW32XCZSHI0878
N
N
Portfolio Resources Group, Inc.
549300TKCYL1XNXOL896
N
N
TCAdvisors Network Inc.
8-46909
SEC FILE NUMBER
N
N
LaBrunerie Financial Services, Inc.
8-47830
SEC FILE NUMBER
N
N
Laidlaw & Company (UK) Ltd.
8-53731
SEC FILE NUMBER
GB
N
N
Sage, Rutty & Co., Inc.
8-00533
SEC FILE NUMBER
N
N
Infinex Investments, Inc.
8-46661
SEC FILE NUMBER
N
N
G.L.S. & Associates, Inc.
8-51808
SEC FILE NUMBER
N
N
TradeStation Securities, Inc.
549300T08P71XXBYLW62
N
N
Berthel, Fisher & Company Financial Services, Inc.
8-29426
SEC FILE NUMBER
N
N
First Command Financial Planning, Inc.
8-07072
SEC FILE NUMBER
N
N
Trade-PMR Inc.
8-51390
SEC FILE NUMBER
N
N
World Equity Group, Inc.
25490078J1OM7KOXR686
N
N
BFT Financial Group, LLC
8-53487
SEC FILE NUMBER
N
N
Sanders Morris Harris Inc.
254900ZNPYV465D1NZ47
N
N
Gerwin Group, Inc.
8-40282
SEC FILE NUMBER
N
N
Teachers Insurance and Annuity Association of America
O06YD7BJ4EPYNABVFN69
N
Y
Westminster Financial Securities, Inc.
8-38426
SEC FILE NUMBER
N
N
Cetera Investment Services, LLC
254900HBKNJ13M56N432
N
N
Bankoh Investment Services, Inc.
8-44201
SEC FILE NUMBER
N
N
Western International Securities, Inc.
8-48572
SEC FILE NUMBER
N
N
Global Brokerage Services, Inc.
8-47763
SEC FILE NUMBER
N
N
Ameriprise Financial Services, Inc.
8-16791
SEC FILE NUMBER
N
N
MWA Financial Services Inc.
8-53255
SEC FILE NUMBER
N
N
BTG Pactual US Capital, LLC
549300EUEDL5GKQW8U35
N
N
First Financial Equity Corporation
8-34082
SEC FILE NUMBER
N
N
McLaughlin Ryder Investments, Inc.
8-67911
SEC FILE NUMBER
N
N
World Capital Brokerage, Inc.
8-06805
SEC FILE NUMBER
N
N
Unionbanc Investment Services, LLC
254900Y9HI2TG6D79N41
N
N
TimeCapital Securities Corporation
8-18248
SEC FILE NUMBER
N
N
Whitehall-Parker Securities, Inc.
8-27688
SEC FILE NUMBER
N
N
Liberty Capital Investment Corporation
8-42051
SEC FILE NUMBER
N
N
Financial Northeastern Securities, Inc.
549300QRRF2NAV5G3869
N
N
First Bankers' Banc Securities, Inc.
549300XZ7YYT3Y0SU530
N
N
MidWestern Securities Trading Company, LLC
8-52074
SEC FILE NUMBER
N
N
Zions Direct, Inc.
8-35721
SEC FILE NUMBER
N
N
GLP Investment Services
8-41868
SEC FILE NUMBER
N
N
Integral Financial LLC
2549000I2CBZTJRHG786
N
N
UBATCO & Co.
N/A
N
Y
LifeMark Securities Corp.
8-33478
SEC FILE NUMBER
N
N
Bolton Securities Corp.
8-68187
SEC FILE NUMBER
N
N
Park Avenue Securities LLC
8-51324
SEC FILE NUMBER
N
N
NYLife Distributors LLC
8-46655
SEC FILE NUMBER
N
N
AqGen Ascensus, Inc.
549300K5MHNFPEU2RK82
N
Y
Rodgers Brothers, Inc.
8-33475
SEC FILE NUMBER
N
N
Saturna Trust Company
N/A
N
Y
BTS Securities Corporation
8-26818
SEC FILE NUMBER
N
N
American Financial Securities, Inc.
8-53205
SEC FILE NUMBER
N
N
Woodbury Financial Services, Inc.
8-13846
SEC FILE NUMBER
N
N
Horace Mann Investors, Inc.
8--6082
SEC FILE NUMBER
N
N
Integrated Financial Planning Services
8-35120
SEC FILE NUMBER
DE
N
N
Morgan Stanley Smith Barney LLC
7PDDXEMZ0ZV0CEDU4D16
N
N
Fidelity Investments Institutional Operations Company, Inc.
549300XVSM8LN3LQOK63
N
Y
Cannon Securities, Inc.
8-68437
SEC FILE NUMBER
N
N
Genworth Life & Annuity Insurance Company
TAI340D9BWT9R77O0P03
N
N
JPMorgan Chase Bank, N.A.
7H6GLYDRUGQFU57RNE97
N
N
Allianz Life Financial Services, LLC
5493008TSI0TRWDDGW79
N
N
Gardner Financial Services, Inc.
8-38631
SEC FILE NUMBER
N
N
Thompson Davis & Co., Inc.
8-49386
SEC FILE NUMBER
N
N
A.G.P/Alliance Global Partners
549300QJQ08RJGC7D885
N
N
Brokers International Financial Services, LLC
8-67239
SEC FILE NUMBER
N
N
McDonald Partners LLC
549300PEHG3UH7FAY193
N
N
SWBC Investment Services, LLC
254900YIJJWABADWZ455
N
N
MSEC, LLC
8-68627
SEC FILE NUMBER
N
N
Bankers Life Securities, Inc.
549300YBBLCDP5GDSH97
N
N
Proequities, Inc.
8-32590
SEC FILE NUMBER
N
N
Planned Financial Programs, Inc.
8-05727
SEC FILE NUMBER
N
N
Moors & Cabot, Inc.
8-23060
SEC FILE NUMBER
N
N
Nest Investments BD, LLC
8-70117
SEC FILE NUMBER
N
N
Cadaret, Grant & Co., Inc.
8-27844
SEC FILE NUMBER
N
N
Security Distributors, Inc.
8-10781
SEC FILE NUMBER
N
N
Logan Group Securities
8-48995
SEC FILE NUMBER
N
N
Ni Advisors
8-66841
SEC FILE NUMBER
N
N
Charles Schwab & Co., Inc.
549300ZP8XN77GK5BS04
N
Y
Huntleigh Securities Corporation
8-21893
SEC FILE NUMBER
N
N
Monex Securities, Inc.
254900VTZ3HYHNEJRX35
N
N
Harold W. Dance Inc.
8-12160
SEC FILE NUMBER
N
N
Gill Capital Partners, LLC
8-30563
SEC FILE NUMBER
N
N
Spire Securities, LLC
8-67635
SEC FILE NUMBER
N
N
Centaurus Financial, Inc.
8-45185
SEC FILE NUMBER
N
N
World Choice Securities, Inc.
8-45235
SEC FILE NUMBER
N
N
Avantax Wealth Management, Inc
8-29533
SEC FILE NUMBER
N
N
Great-West Financial Retirement Plan Services, LLC
N/A
N
Y
Nations Financial Group, Inc.
8-50588
SEC FILE NUMBER
N
N
Devenir, LLC
8-65837
SEC FILE NUMBER
N
N
VALIC Retirement Services Company
84-06057
SEC FILE NUMBER
N
N
Talcott Resolution Life Insurance Company
8CE7JPU9IU72L3PPD756
N
Y
J.W. Cole Financial, Inc.
8-65698
SEC FILE NUMBER
N
N
Dorn & Co., Inc.
8-08707
SEC FILE NUMBER
N
N
J.D. Seibert & Company, Inc.
8-23604
SEC FILE NUMBER
N
N
Stephens Inc.
213800LH6T9XDYZCA534
N
N
Cresap, Inc.
8-42117
SEC FILE NUMBER
N
N
VOYA Financial Advisors, LLC
8-46451
SEC FILE NUMBER
N
N
Stifel, Nicolaus & Company, Incorporated
5WUVMA08EYG4KEUPW589
N
Y
Marsco Investment Corporation
8-36754
SEC FILE NUMBER
N
N
Concorde Investment Services, LLC
8-68388
SEC FILE NUMBER
N
N
Inverness Securities, LLC
8-66278
SEC FILE NUMBER
N
N
Morgan Stanley & Co. LLC
9R7GPTSO7KV3UQJZQ078
N
N
Healthcare Community Securities Corporation
8-46981
SEC FILE NUMBER
N
N
1st Discount Brokerage, Inc.
8-48557
SEC FILE NUMBER
N
N
Royal Alliance Associates, Inc.
8-40218
SEC FILE NUMBER
N
N
B.B. Graham & Company, Inc.
8-49477
SEC FILE NUMBER
N
N
Fidelity Investments Life
54930024AKTQGTIV1P93
N
N
Money Concepts Capital Corp.
8-29671
SEC FILE NUMBER
N
N
Sabadell Securities USA, Inc.
2549002UK8JK82ABGD45
N
N
Santander Securities LLC
8-49571
SEC FILE NUMBER
N
N
RBC Capital Markets, LLC
549300LCO2FLSSVFFR64
N
Y
First Horizon Advisors, Inc.
8-35061
SEC FILE NUMBER
N
N
Wells Fargo Clearing Services, LLC
88KRVSOEKUGQZJ3DKW55
N
Y
TD Ameritrade, Inc.
CWQYQU0TV2NLMLZKNB44
N
Y
Wood (Arthur W.) Company, Inc.
8-03368
SEC FILE NUMBER
N
N
McNally Financial Services Corporation
8-65388
SEC FILE NUMBER
N
N
International Money Management Group, Inc.
8-30417
SEC FILE NUMBER
N
N
Bruderman Brothers, LLC
8-51974
SEC FILE NUMBER
N
N
James I. Black & Company
8-12077
SEC FILE NUMBER
N
N
Maxim Group LLC
254900OJ6JZO6SDMHQ83
N
N
SFA Financial, LLC
8-68156
SEC FILE NUMBER
N
N
Fortune Financial Services, Inc.
8-49727
SEC FILE NUMBER
N
N
Rehmann Financial Network
8-69134
SEC FILE NUMBER
N
N
Oppenheimer & Co. Inc.
254900VH02JQR2L8XD64
N
N
Hancock Whitney Corporation
549300GRNBWY8HIICT41
N
N
Avondale Partners, LLC
254900799PKXEPTDRJ40
N
N
PNC Investments, LLC
8-66195
SEC FILE NUMBER
N
N
FSC Securities Corporation
8-21770
SEC FILE NUMBER
N
N
SEI Private Trust Company
028-10625
SEC FILE NUMBER
N
Y
Equitable Advisors, LLC
8-17883
SEC FILE NUMBER
N
N
MML Distributors, LLC
8-48203
SEC FILE NUMBER
N
N
Ameritas Investment Corp.
549300913B54XKSRM258
N
N
Century Securities Associates, Inc.
8-43514
SEC FILE NUMBER
N
N
Northland Securities, Inc.
254900ZIK4MLVQAWLS15
N
N
Gold Coast Securities, Inc.
8-53148
SEC FILE NUMBER
N
N
Cetera Financial Specialists LLC
8-27082
SEC FILE NUMBER
N
N
Country Capital Management Company
8-12645
SEC FILE NUMBER
N
N
State Street Bank and Trust Company
571474TGEMMWANRLN572
N
N
BestVest Investments, Ltd.
254900SL6FW130BMS922
N
N
Henley & Company LLC
8-66463
SEC FILE NUMBER
N
N
B. Riley Wealth Management Holdings, Inc
8-31206
SEC FILE NUMBER
N
N
St. Bernard Financial Services, Inc.
8-47566
SEC FILE NUMBER
N
N
Smith, Brown & Groover, Inc.
8-13079
SEC FILE NUMBER
N
N
Leigh Baldwin & Co., LLC
8-48385
SEC FILE NUMBER
N
N
Lincoln Financial Securities Corporation
8-14609
SEC FILE NUMBER
N
N
The Leaders Group, Inc.
8-47639
SEC FILE NUMBER
N
N
Mid Atlantic Capital Corporation
549300HJL2LPNSC0JX96
N
N
Benjamin F. Edwards & Company, Inc.
8-68023
SEC FILE NUMBER
N
N
Arkadios Capital
8-69729
SEC FILE NUMBER
N
N
Sammons Financial Network, LLC
8-68905
SEC FILE NUMBER
N
N
Fifth Third Bank
QFROUN1UWUYU0DVIWD51
N
N
Kovack Securities Inc.
25490070RG17Z4I70I82
N
N
Apex Clearing Corporation
5493000418CITRF5BO80
N
N
Liberty Partners Financial Services, LLC
8-66335
SEC FILE NUMBER
N
N
Quincy Cass Associates, Incorporated
8-05743
SEC FILE NUMBER
N
N
G.A. Repple & Company
8-35315
SEC FILE NUMBER
N
N
Calamar Financial Group
8-69777
SEC FILE NUMBER
N
N
NYLife Securities LLC
8-15517
SEC FILE NUMBER
N
N
National Securities Corp.
8-164
SEC FILE NUMBER
N
N
Dominion Investor Services, Inc.
8-39029
SEC FILE NUMBER
N
N
John Hancock Life Insurance Company of New York
5493007RYG4GXIKSQI18
CA
N
Y
NPB Financial Group, LLC
8-67113
SEC FILE NUMBER
N
N
Smith, Moore & Co.
8-27480
SEC FILE NUMBER
N
N
Boreal Capital Securities LLC
549300NMHK6HTSKCG696
N
N
Insigneo Securities, LLC
254900P4TTO6PU1VDH88
N
N
Conover Securities Corporation
8-35085
SEC FILE NUMBER
N
N
Aon Benfield Securities, Inc.
5493002ME0O127QJJG03
N
N
Wells Fargo Bank, N.A.
KB1H1DSPRFMYMCUFXT09
N
N
Mutual Trust Co. of America Securities
254900PUBUB7IS4GNY27
N
N
Colorado Financial Service Corporation
8-52817
SEC FILE NUMBER
N
N
Horan Securities, Inc.
8-49192
SEC FILE NUMBER
N
N
Amuni Financial, Inc
8-25338
SEC FILE NUMBER
N
N
Joseph Gunnar & Co. LLC
2549001XBRI5XQ0ZDA12
N
N
Hudson Heritage Capital Management, Inc.
8-50648
SEC FILE NUMBER
N
N
J.P. Morgan Institutional Investments Inc.
8-52182
SEC FILE NUMBER
N
N
Ladenburg Thalman & Co. Inc.
2549000V3L2KK4L76W91
N
N
ACA/Prudent Investors Planning Corporation
8-51899
SEC FILE NUMBER
N
N
Infinity Securities, Inc.
8-67647
SEC FILE NUMBER
N
N
Founders Financial Securities LLC
8-67137
SEC FILE NUMBER
N
N
Bley Investments Group, Inc.
8-42701
SEC FILE NUMBER
N
N
Globalink Securities, Inc.
8-44509
SEC FILE NUMBER
N
N
MGO Securities Corp.
8-47814
SEC FILE NUMBER
N
N
Horace Mann Life Insurance Co.
5493000HR2JKKNH2FL09
N
N
Capital Institutional Services, Inc.
54930061X8RDWFDJIS05
N
N
Guardian Insurance & Annuity Company, Inc., The
TGIU5N0SIMULU6I57R64
N
Y
First Honolulu Securities, Inc.
8-23919
SEC FILE NUMBER
N
N
Lion Street Financial, LLC
8-69183
SEC FILE NUMBER
N
N
Nicol Investors Corporation
8-65566
SEC FILE NUMBER
N
N
Landaas & Company
8-51826
SEC FILE NUMBER
N
N
Digital Retirement Solutions, Inc.
N/A
N
Y
Jefferies, LLC
58PU97L1C0WSRCWADL48
N
N
Herndon Plant Oakley, LTD
8-50912
SEC FILE NUMBER
N
N
McClurg Capital Corporation
8-34473
SEC FILE NUMBER
N
N
Access Investments, Inc.
8-49750
SEC FILE NUMBER
N
N
FinTrust Brokerage Services, LLC
8-49514
SEC FILE NUMBER
N
N
Paradigm Equities, Inc.
8-45593
SEC FILE NUMBER
N
N
Hornor, Townsend & Kent, Inc.
8-14715
SEC FILE NUMBER
N
N
Itau International Securities, Inc.
54930086LDFU8Z86AH91
N
N
GWN Securities Inc.
8-66185
SEC FILE NUMBER
N
N
E. E. Powell & Company Inc.
8-01893
SEC FILE NUMBER
N
N
BD4RIA, Inc.
8-70022
SEC FILE NUMBER
N
N
Carty & Company, Inc.
8-19082
SEC FILE NUMBER
N
N
Jacques Financial, LLC
8-52675
SEC FILE NUMBER
N
N
Goldman Sachs & Co. LLC
FOR8UP27PHTHYVLBNG30
N
N
BNP Paribas Securities Corp
RCNB6OTYUAMMP879YW96
N
N
Westport Resources Investment Services, Inc.
8-40904
SEC FILE NUMBER
N
N
Key Investment Services LLC
8-66999
SEC FILE NUMBER
N
N
R. F. Lafferty & Co., Inc.
254900KLPTMWPBZWH264
N
N
Integrity Investments, Inc.
8-45302
SEC FILE NUMBER
N
N
The Oak Ridge Financial Services Group, Inc.
2549003647MDU9F6QN39
N
N
Mesirow Financial, Inc.
549300BIV46SUHPOFE54
N
N
Register Financial Associates, Inc.
8-45012
SEC FILE NUMBER
N
N
XP Securities, LLC
549300HDFLS7P433PO89
N
N
Lieblong & Associates, Inc.
8-49880
SEC FILE NUMBER
N
N
United Brokerage Services, Inc.
8-48685
SEC FILE NUMBER
N
N
Cardinal Investments, Inc.
8-47493
SEC FILE NUMBER
N
N
UBS AG, New York Branch
BFM8T61CT2L1QCEMIK50
N
N
FNBB Capital Markets, LLC
8-66553
SEC FILE NUMBER
N
N
Merrill Lynch, Pierce, Fenner & Smith Incorporated
8NAV47T0Y26Q87Y0QP81
N
N
TIAA-CREF Individual & Institutional Services, LLC
8-44454
SEC FILE NUMBER
N
N
First Citizens Investor Services, Inc.
8-50696
SEC FILE NUMBER
N
N
American Global Wealth Management, Inc.
8-21584
SEC FILE NUMBER
N
N
Charles Schwab Bank
549300INFJ8TYNZ1G568
N
Y
Peak Brokerage Services, LLC
8-68829
SEC FILE NUMBER
N
N
Callaway Financial Services, Inc.
8-52474
SEC FILE NUMBER
N
N
Associated Investment Services, Inc.
8-00099
SEC FILE NUMBER
N
N
TRG Advisors, Inc.
8-50449
SEC FILE NUMBER
N
N
DWS Distributors, Inc.
5299007T18XBURKJ1V64
N
N
Multiple Financial Services, Inc.
8-52017
SEC FILE NUMBER
N
N
Trustmont Financial Group, Inc.
8-36439
SEC FILE NUMBER
N
N
Northern Capital Securities Corporation
254900ZANH7XTB94LS53
N
N
Xml Securities, LLC
8-67776
SEC FILE NUMBER
N
N
Lebenthal Financial Services, Inc
8-67140
SEC FILE NUMBER
N
N
OFG Financial Services, Inc.
8-40770
SEC FILE NUMBER
N
N
Aventura Securities, LLC
8-67458
SEC FILE NUMBER
N
N
American Capital Partners, LLC
254900I8NH46ZJJ4Z956
N
N
Lantern Investments, Inc.
8-45285
SEC FILE NUMBER
N
N
Abacus Investments, Inc.
8-46571
SEC FILE NUMBER
N
N
JHW Financial Services Inc.
8-45304
SEC FILE NUMBER
N
N
Allen C Ewing & Co.
8-42393
SEC FILE NUMBER
N
N
United Planners' Financial Services of America A Limited Partner
8-38485
SEC FILE NUMBER
N
N
Omni Financial Securities
8-44034
SEC FILE NUMBER
N
N
Bolton Global Capital
2549009M08YVOG46LO79
N
N
Sunstreet Securities, LLC
8-67541
SEC FILE NUMBER
N
N
Jack V. Butterfield Investment Company
8-12454
SEC FILE NUMBER
N
N
Ascensus Broker Dealer Services, Inc.
8-47312
SEC FILE NUMBER
N
Y
NTB Financial Corporation
8-21884
SEC FILE NUMBER
N
N
Cabot Lodge Securities, LLC
8-69009
SEC FILE NUMBER
N
N
American Wealth Management
8-41807
SEC FILE NUMBER
N
N
American Trust Investment Services, Inc.
8-14394
SEC FILE NUMBER
N
N
Nationwide Securities, LLC
8-12500
SEC FILE NUMBER
N
N
Harvest Financial Corporation
8-26037
SEC FILE NUMBER
N
N
Western Growers Financial Services, Inc.
8-53458
SEC FILE NUMBER
N
N
International Research Securities, Inc.
8-37954
SEC FILE NUMBER
N
N
Pacific Financial Associates, Inc.
8-40712
SEC FILE NUMBER
N
N
TD Ameritrade Trust Company
028-15163
SEC FILE NUMBER
N
N
SCF Securities, Inc.
8-51760
SEC FILE NUMBER
N
N
Lincoln Douglas Investments LLC
8-68728
SEC FILE NUMBER
N
N
IFP Securities
8-70150
SEC FILE NUMBER
N
N
VBC Securities, LLC
8-44141
SEC FILE NUMBER
N
N
American Independent Securities Group, LLC
8-66905
SEC FILE NUMBER
N
N
E*Trade Securities
8-44112
SEC FILE NUMBER
N
N
Adcap Securities, LLC
254900EMZBEIM1FAO022
N
N
Davinci Capital Management Inc.
8-51580
SEC FILE NUMBER
N
N
Moloney Securities Co., Inc.
8-48326
SEC FILE NUMBER
N
N
Thurston, Springer, Miller, Herd & Titak, Inc.
8-25452
SEC FILE NUMBER
N
N
Deutsche Bank Securities Inc.
9J6MBOOO7BECTDTUZW19
N
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HSBC Securities (USA), Inc.
CYYGQCGNHMHPSMRL3R97
N
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Place Trade Financial, Inc.
8-65915
SEC FILE NUMBER
N
N
B.C. Ziegler & Company
549300NLEOFP92P38Q71
N
N
Garden State Securities, Inc.
8-25790
SEC FILE NUMBER
N
N
Edward D. Jones & Co., L.P.
YZRCLX72FTV74B522G90
N
N
Oriental Financial Services Corp.
8-44516
SEC FILE NUMBER
N
N
The Jeffrey Matthews Financial Group, L.L.C.
25490086M6MGMYYVOJ50
N
N
Lincoln Investment Planning, Inc.
8-14354
SEC FILE NUMBER
N
N
Carl M. Hennig, Inc.
8-14509
SEC FILE NUMBER
N
N
Mercer HR Services, LLC
N/A
N
Y
Etico Partners, LLC
8-65500
SEC FILE NUMBER
N
N
First Mercantile Trust Company
028-10498
SEC FILE NUMBER
N
Y
Capital Investment Brokerage, Inc.
8-49118
SEC FILE NUMBER
N
N
CIBC World Markets Corp.
549300445CON3DBMU275
N
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Securian Financial Services, Inc.
8-31955
SEC FILE NUMBER
N
N
Keel Point Capital, LLC
8-22990
SEC FILE NUMBER
N
N
Alliant Securities, Inc. Turner, Nord, Kienbaum
8-23305
SEC FILE NUMBER
N
N
Cary Street Partners LLC
8-66085
SEC FILE NUMBER
N
N
Parkland Securities, LLC
8-53482
SEC FILE NUMBER
N
N
Voya Retirement Insurance and Annuity Company
OK3MKCDYPD4NN6QDGK18
N
Y
Coinbase Capital Markets Corporation
8-28032
SEC FILE NUMBER
N
N
Carter, Terry & Company, Inc.
8-33797
SEC FILE NUMBER
N
N
Lesko Securities Inc.
8-26408
SEC FILE NUMBER
N
N
Oscar Gruss & Son Incorporated
549300V78DH9XCK5UI63
N
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Hazard & Siegel, Inc.
8-13942
SEC FILE NUMBER
N
N
Hefren-Tillotson, Inc.
8-10646
SEC FILE NUMBER
N
N
Investors Brokerage of Texas, Ltd.
8-28644
SEC FILE NUMBER
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N
Monere Investments, Inc.
8-52982
SEC FILE NUMBER
N
N
LaSalle St. Securities, L.L.C.
8-18860
SEC FILE NUMBER
N
N
Classic LLC
8-68981
SEC FILE NUMBER
N
N
Transamerica Advisors Life Insurance Company
F1PLTWZ8OU4HQGZQAP31
N
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SG Americas Securities, LLC
549300F35UE0BOM1WJ55
N
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Avisen Securities, Inc.
8-65833
SEC FILE NUMBER
N
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H. Beck, Inc.
8-31165
SEC FILE NUMBER
N
N
Snowden Account Services, Inc.
254900WVSS0BX602UF45
N
N
Crown Capital Securities, L.P.
8-17264
SEC FILE NUMBER
N
N
SecureVest Financial Group
254900LG3HPQV4J0WH27
N
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Polar Investment Counsel, Inc.
8-50039
SEC FILE NUMBER
N
N
Lincoln Financial Advisors Corporation
8-14685
SEC FILE NUMBER
N
N
Wesbanco Securities, Inc.
8-50220
SEC FILE NUMBER
N
N
RNR Securities, L.L.C.
8-50366
SEC FILE NUMBER
N
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First Heartland Capital, Inc.
8-46008
SEC FILE NUMBER
N
N
Dinosaur Financial Group, LLC
549300CCV3H232GBUN83
N
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ViewTrade Securities, Inc.
549300CHLQDUD0NL5851
N
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Genworth Life Insurance Company of New York
E5VAS7I8GX5B0SDBX010
N
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Navaid Financial Services, Inc.
8-49897
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First Financial Securities of America, Inc.
8-29565
SEC FILE NUMBER
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Next Financial Group, Inc.
8-51356
SEC FILE NUMBER
N
N
Northwest Investment Advisors, Inc.
8-65282
SEC FILE NUMBER
N
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North South Capital, LLC
549300ODEKJCRN2AM859
N
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Stonecrest Capital Markets, Inc.
8-48754
SEC FILE NUMBER
N
N
David Lerner Associates, Inc.
8-20746
SEC FILE NUMBER
N
N
Fifth Third Securities, Inc.
5493003IMO3TYX51WE43
N
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Fidelity Brokerage Services LLC
549300OQFQ4NFIOD5695
N
Y
Cape Securities Inc.
8-20747
SEC FILE NUMBER
N
N
Pershing Advisor Solutions, LLC
549300KTC63JRN36GZ84
N
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BBVA Securities Inc.
549300RJFN0Z663VE860
N
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Brooklight Place Securities, Inc.
8-32673
SEC FILE NUMBER
N
N
Emerson Equity LLC
8-66296
SEC FILE NUMBER
N
N
Lincoln Financial Distributors, Inc.
8-13431
SEC FILE NUMBER
N
N
Portsmouth Financial Services
8-30097
SEC FILE NUMBER
N
N
M. S. Howells & Co.
8-52558
SEC FILE NUMBER
N
N
MML Investors Services, LLC
8-27250
SEC FILE NUMBER
N
N
Alight Solutions LLC
084-01996
SEC FILE NUMBER
N
Y
American Portfolios Financial Services, Inc.
8-37085
SEC FILE NUMBER
N
N
Northern Trust Securities, Inc.
3CHSO99JSPHD9HGNYJ46
N
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Citizens Securities, Inc.
2138006RAPI5PE2ZGW36
N
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American Century Investment Services, Inc.
8-35220
SEC FILE NUMBER
N
N
First Kentucky Securities Corporation
8-22224
SEC FILE NUMBER
N
N
Prospera Financial Services, Inc.
8-28164
SEC FILE NUMBER
N
N
Arque Capital, Ltd.
8-65390
SEC FILE NUMBER
N
N
The GMS Group, LLC
254900OXZT27TA5CGU56
N
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Actinver Securities, Inc.
254900FT947VQZ1WHT28
N
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Finance 500, Inc.
8-28302
SEC FILE NUMBER
N
N
T. Rowe Price Retirement Plan Services, Inc.
084-06219
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Y
APW Capital, Inc.
8-50433
SEC FILE NUMBER
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Coordinated Capital Securities, Inc.
8-31173
SEC FILE NUMBER
N
N
CapFinancial Securities, LLC
8-65870
SEC FILE NUMBER
N
N
American Equity Investment Corporation
8-49078
SEC FILE NUMBER
N
N
Purshe Kaplan Sterling Investments
8-46844
SEC FILE NUMBER
N
N
Rogan & Associates, Inc.
8-49995
SEC FILE NUMBER
N
N
Nationwide Planning Associates Inc.
8-45310
SEC FILE NUMBER
N
N
K. W. Chambers & CO.
8-10533
SEC FILE NUMBER
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Sanctuary Securities, Inc.
2549007WBAL2Z578XQ34
N
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Centennial Securities Company, LLC
8-23406
SEC FILE NUMBER
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Vision Financial Markets LLC
549300J0X8HK9GUADL55
N
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Geneos Wealth Management, Inc.
8-65357
SEC FILE NUMBER
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Davenport & Company LLC
254900GN2SAXJGLMS075
N
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Sunbelt Securities, Inc.
8-49748
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N
N
Hand Securities, Inc.
8-51001
SEC FILE NUMBER
N
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Wintrust Investments, LLC
8-00484
SEC FILE NUMBER
N
N
Roberts & Ryan Investments Inc.
254900A6VIVO4DP1T126
N
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Ceros Financial Services, Inc.
549300N2YQ0P5G0WE562
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Nestlerode & Loy, Inc.
8-12629
SEC FILE NUMBER
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Synovus Securities, Inc.
254900CM2K7N1E0JF171
N
N
Exeter Trust Company
028-04279
SEC FILE NUMBER
N
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TD Private Client Wealth LLC
8-69105
SEC FILE NUMBER
N
N
BAC Florida Investments
254900CAF9OPVE8VT408
N
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Pruco Securities, LLC.
8-16402
SEC FILE NUMBER
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N
Institutional Securities Corporation
2549007EJ1PSLA8XVA50
N
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Raymond James Financial Services, Inc.
RGUZHJ05YTITL6D76949
N
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Sovereign Legacy Securities, Inc.
8-00621
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Chapin Davis Inc
8-43485
SEC FILE NUMBER
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White Mountain Capital, LLC
8-52572
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Amegy Investments, Inc. (Zions)
8-65399
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NBC Securities, Inc.
254900GIP7RJQGHH5S19
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Arlington Securities, Inc.
8-38098
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CNR Securities LLC
8-36759
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Access Financial Group, Inc.
8-46065
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Allegiance Capital, L.L.C.
8-52978
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FMSBonds, Inc.
549300TUTBK58NSF2517
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Intercam Securiteis, Inc.
8-67840
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ADP Broker-Dealer, Inc.
8-47885
SEC FILE NUMBER
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Veritas Independent Partners, LLC
8-69363
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BNY Mellon Securities Corporation
8-13801
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Triad Advisors, Inc.
8-42007
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Herbert J. Sims & Co. Inc.
254900SV6UESQBS8XP98
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Center Street Securities, Inc.
8-42786
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Robert W. Baird & Co. Incorporated
549300772UJAHRD6LO53
N
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People's Securities, Inc.
8-29667
SEC FILE NUMBER
N
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Fiduciary Trust International
N1YKEWO2IYPRS4742F57
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USI Securities, Inc.
8-50429
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T.S. Phillips Investments, Inc.
8-65661
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N
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D.H. Hill Securities LLP
8-49475
SEC FILE NUMBER
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Crescent Securities Group
8-53457
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Madison Avenue Securities, Inc.
8-40426
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CoreCap Investments, Inc.
8-47783
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Broadridge Business Process Outsourcing, LLC
8-53412
SEC FILE NUMBER
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Y
Raymond James & Associates, Inc.
U4ONQX15J3RO8XCKE979
N
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Advisory Group Equity Services, Ltd.
8-32155
SEC FILE NUMBER
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Maplewood Investment Advisors, Inc.
8-52221
SEC FILE NUMBER
N
N
Cuso Financial Services, L.P.
8-49711
SEC FILE NUMBER
N
N
TCFG Wealth Management, LLC
8-69089
SEC FILE NUMBER
N
N
Ascensus Financial Services, LLC
8-67891
SEC FILE NUMBER
N
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NorthWestern Mutual Investment Services, LLC
CYO86L8D7HTXW9SOZX28
N
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Saxony Securities, Inc.
8-53490
SEC FILE NUMBER
N
N
William Blair & Company L.L.C.
549300J0P7XYE8BMZ775
N
N
Eagles Coast Capital
8-70137
SEC FILE NUMBER
N
N
L.M. Kohn & Company
8-43303
SEC FILE NUMBER
N
N
Lockton Financial Advisors, LLC
8-67090
SEC FILE NUMBER
N
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Voya Institutional Plan Services, LLC
N/A
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Signal Securities, Inc.
8-32948
SEC FILE NUMBER
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AE Financial Services, LLC
8-70214
SEC FILE NUMBER
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CUNA Brokerage Services, Inc.
549300G6Y6BPF9ZL4706
N
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Oak Tree Securities, Inc.
8-36138
SEC FILE NUMBER
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Leumi Investment Services Inc.
5493005SJQ3VQ5DEE756
N
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M Holdings Securities, Inc.
8-50214
SEC FILE NUMBER
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Fieldpoint Private Securities, LLC
8-37105
SEC FILE NUMBER
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Allegheny Investments, Ltd.
8-22183
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Coldstream Securities, Inc.
8-51549
SEC FILE NUMBER
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Ace Diversified Capital, Inc.
8-49555
SEC FILE NUMBER
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First Southern, LLC
8-69733
SEC FILE NUMBER
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Schlitt Investor Services, Inc.
8-34202
SEC FILE NUMBER
N
N
Girard Investment Services, LLC
8-14145
SEC FILE NUMBER
N
N
Safra Securities LLC
E51AOUORNWWT747CBW71
N
N
Griffinest Asia Securities, LLC
8-66571
SEC FILE NUMBER
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N
KW Securities Corporation
8-24792
SEC FILE NUMBER
N
N
Midland Securities, Ltd.
8-40685
SEC FILE NUMBER
N
N
SagePoint Financial, Inc.
8-66771
SEC FILE NUMBER
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Glen Eagle Advisors LLC
8-65678
SEC FILE NUMBER
N
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CBIZ Financial Solutions, Inc.
8-34205
SEC FILE NUMBER
N
N
American Heritage Securities, Inc.
8-44466
SEC FILE NUMBER
N
N
Principal Life Insurance Company
SDCMU2LVKGV2AF1KWP64
N
Y
Thoroughbred Financial Services, LLC
8-51944
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N
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The Garbacz Group Inc.
8-42366
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Cutter & Company Brokerage, Inc.
8-39590
SEC FILE NUMBER
N
N
Brighton Securities Corp.
8-14599
SEC FILE NUMBER
N
N
Securities Equity Group
8-51706
SEC FILE NUMBER
N
N
Private Client Services, LLC
8-68183
SEC FILE NUMBER
N
N
Pyramid Funds Corporation
8-12769
SEC FILE NUMBER
N
N
Client One Securities LLC
8-68494
SEC FILE NUMBER
N
N
Hartford Funds Management Company, LLC
801-77209
SEC FILE NUMBER
N
Y
Regulus Advisors, LLC
8-68275
SEC FILE NUMBER
N
N
Allstate Financial Services, LLC
8-36365
SEC FILE NUMBER
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Empire Asset Management Company
8-67520
SEC FILE NUMBER
N
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Investments For You, Inc.
8-44179
SEC FILE NUMBER
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Hilltop Securities, Inc.
549300IXU82PMU6XZT45
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ValMark Securities, Inc.
8-45463
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Mack Investment Securities, Inc.
8-35536
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Chauner Securities, Inc.
8-33980
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Neuberger Berman LLC
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N
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ICMA-RC Services, Inc.
8-40268
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Pershing, LLC
8-17574
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Omega Securities, Inc.
8-20225
SEC FILE NUMBER
N
N
Buckman, Buckman & Reid, Inc.
254900D688L15B5HJB06
N
N
Intervest International Equities Corporation
8-38156
SEC FILE NUMBER
N
N
Wall Street Access
549300Z0MOT47D6OQV22
N
N
PNC Capital Markets LLC
7OGNSSLOQJ8U3B9Y5F18
N
N
USA Financial Securities Corporation
8-52342
SEC FILE NUMBER
N
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PTS Brokerage, LLC
8-65173
SEC FILE NUMBER
N
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SunTrust Investment Services, Inc.
8-35355
SEC FILE NUMBER
N
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Variable Investment Advisors, Inc.
8-50699
SEC FILE NUMBER
N
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Benefit Plans Administrative Services, Inc.
N/A
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Y
Dempsey Lord Smith, LLC
8-67469
SEC FILE NUMBER
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BCG Securities, Inc.
8-12680
SEC FILE NUMBER
N
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Perryman Securities, Inc.
8-53546
SEC FILE NUMBER
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N
Buell Securities Corp
8-22058
SEC FILE NUMBER
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Alight Financial Solutions LLC
8-47344
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N
Cambridge Investment Research, Inc.
8-48740
SEC FILE NUMBER
N
N
Tocqueville Securities L.P.
8-42223
SEC FILE NUMBER
N
N
Navy Federal Brokerage Services, LLC
8-67161
SEC FILE NUMBER
N
N
Prudential Insurance Company of America
Y574KRZ6V5A7UBU45C31
N
Y
Massachusetts Mutual Life Insurance Company
R6ZXK5P01NP6HXSY1S07
N
Y
Rothschild Investment Corporation
8-16429
SEC FILE NUMBER
N
N
Coastal Equities, Inc.
8-40822
SEC FILE NUMBER
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Kalos Capital, Inc.
8-50630
SEC FILE NUMBER
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Anovest Financial Services, Inc.
8-66742
SEC FILE NUMBER
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Securities America, Inc.
8-26602
SEC FILE NUMBER
N
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Great American Investors, Inc.
8-44380
SEC FILE NUMBER
N
N
John Hancock Life Insurance Company
QQ0OZ8J9C4B5QT1XDG31
CA
N
Y
Oberweis Securities, Inc.
5493008EZH6DO1631P71
N
N
Alexander Capital, L.P.
8-48957
SEC FILE NUMBER
N
N
Somerset Securities, Inc.
8-11539
SEC FILE NUMBER
N
N
Westco Investment Corp.
8-38452
SEC FILE NUMBER
N
N
Investment Planners, Inc.
8-35642
SEC FILE NUMBER
N
N
The Investment Center, Inc.
8-35826
SEC FILE NUMBER
N
N
Mid-Atlantic Clearing & Settlement Corp.
8-47758
SEC FILE NUMBER
N
N
Titleist Asset Management, Ltd.
8-65859
SEC FILE NUMBER
N
N
Diversified Resources, LLC
8-45497
SEC FILE NUMBER
N
N
Sorrento Pacific Financial, LLC
8-66046
SEC FILE NUMBER
N
N
Commonwealth Equity Services, Inc.
8-24040
SEC FILE NUMBER
N
N
Watermark Securities, Inc.
8-43902
SEC FILE NUMBER
N
N
Independence Capital Co., Inc.
8-41331
SEC FILE NUMBER
N
N
TFS Securities, Inc.
8-38377
SEC FILE NUMBER
N
N
Superior Financial Services, Inc.
549300BK1DNLS1A2MZ43
N
N
Ballew Investments, Inc.
8-45660
SEC FILE NUMBER
N
N
TrustFirst, Inc.
8-48509
SEC FILE NUMBER
N
N
Silver Oak Securities, Incorporated
8-51601
SEC FILE NUMBER
N
N
Rhodes Securities, Inc.
8-37689
SEC FILE NUMBER
N
N
City National Bank
549300MEMKSF7703ZQ25
N
N
Andbanc Brokerage, LLC
213800E4CWGFMCDQZ792
N
N
American Enterprise Investment Services Inc.
549300NT7GLLVGTH0249
N
N
Folger Nolan Fleming Douglas Incorporated
8-03335
SEC FILE NUMBER
N
N
Hennion & Walsh, Inc.
8-41988
SEC FILE NUMBER
N
N
Hanson McClain Retirement Network, LP
8-52250
SEC FILE NUMBER
N
N
UMB Financial Services, Inc.
254900GFVO9NGQ21JC37
N
N
Feltl & Company
8-18435
SEC FILE NUMBER
N
N
Fairport Capital, Inc.
8-32162
SEC FILE NUMBER
N
N
The O.N. Equity Sales Company
8-14161
SEC FILE NUMBER
N
N
R.M. Stark & Co., Inc.
8-22543
SEC FILE NUMBER
N
N
Woodmen Financial Services, Inc.
8-53592
SEC FILE NUMBER
N
N
Consolidated Financial Investments, Inc.
8-37004
SEC FILE NUMBER
N
N
IDB Capital Corp.
254900SH3QL0IL3S9R34
N
N
State Farm VP Management Corp
8-50128
SEC FILE NUMBER
N
N
Southeast Investments, N.C., Inc.
8-50127
SEC FILE NUMBER
N
N
American National Trust And Investment Management Company
028-00344
SEC FILE NUMBER
N
N
Ustocktrade Securities, Inc.
8-33132
SEC FILE NUMBER
N
N
Arvest Investments, Inc.
8-49677
SEC FILE NUMBER
N
N
Gradient Securities, LLC
8-66032
SEC FILE NUMBER
N
N
Vanguard Group, Inc., The
5493002789CY3L0CJP65
N
Y
Advanced Advisor Group, LLC
8-67313
SEC FILE NUMBER
N
N
Halliday Financial, LLC
8-45529
SEC FILE NUMBER
N
N
Impact U. Investments, LLC
8-65527
SEC FILE NUMBER
N
N
Axiom Capital Management, Inc.
254900WW7SK1IMK6NO54
N
N
Kestra Investment Services, LLC
8-49672
SEC FILE NUMBER
N
N
Tradition Securities and Derivatives Inc.
WRYEFMSVQCH0EMD08461
N
N
Independent Brokerage Solutions LLC
8-68549
SEC FILE NUMBER
N
N
LPL Financial LLC
5493005NM7F0H1N3EQ39
N
Y
Nelson Ivest Brokerage Services, Inc.
8-26448
SEC FILE NUMBER
N
N
Searle & Co.
8-28600
SEC FILE NUMBER
N
N
Standard Insurance Company
549300KVA8DBYKHPXO21
N
Y
Investment Network Inc.
8-66036
SEC FILE NUMBER
N
N
General Securities Corp.
8-31654
SEC FILE NUMBER
N
N
Aufhaser Securities, Inc.
8-48786
SEC FILE NUMBER
N
N
GWFS Equities, Inc.
8-33854
SEC FILE NUMBER
N
N
First Allied Securities, Inc.
8-46167
SEC FILE NUMBER
N
N
Verity Investments, Inc.
8-49474
SEC FILE NUMBER
N
N
Cetera Advisor Networks LLC
8-29577
SEC FILE NUMBER
N
N
Larson Financial Securities, LLC
8-68456
SEC FILE NUMBER
N
N
Newport Group, Inc.
N/A
N
Y
FMN Capital Corporation
8-48082
SEC FILE NUMBER
N
N
Cantella & Co., Inc.
254900Z33Q34HCFGHO19
N
N
Conduent HR Services LLC
084-06035
SEC FILE NUMBER
N
Y
S.L. Reed & Company
8-49178
SEC FILE NUMBER
N
N
First Manhattan Co.
549300NNJKVSO48I3G76
N
N
CFD Investments, Inc.
8-41727
SEC FILE NUMBER
N
N
Pensionmark Securities, LLC
8-69773
SEC FILE NUMBER
N
N
First National Bank Alaska
25490089V5DJHFQMOA03
N
N
TD Ameritrade Clearing, Inc.
MRK678VXOI09YSSN8X19
N
Y
L. B. Fisher & Company
8-21023
SEC FILE NUMBER
N
N
N.E. Private Client Advisors, Ltd.
8-66968
SEC FILE NUMBER
N
N
Sentinel Securities, Inc.
8-53142
SEC FILE NUMBER
N
N
National Financial Services, LLC
549300JRHF1MHHWUAW04
N
Y
Investment Security Corporation
8-51832
SEC FILE NUMBER
N
N
New England Pension Plan Systems, LLC
N/A
N
Y
R. Seelaus & Co., Inc.
2138004J7AJDLCOJYA06
N
N
Country Club Financial Services, Inc.
8-44574
SEC FILE NUMBER
N
N
Ausdal Financial Partners, Inc.
8-24519
SEC FILE NUMBER
N
N
Harbor Investment Advisory, LLC
8-68334
SEC FILE NUMBER
N
N
Capital City Securities, LLC
8-67771
SEC FILE NUMBER
N
N
H. C. Denison Co.
8-00044
SEC FILE NUMBER
N
N
E*Trade Savings Bank
549300DXPO50FJ75QA85
N
Y
Planners Financial Services, Inc.
8-18027
SEC FILE NUMBER
N
N
Sunset Financial Services, Inc.
8-14148
SEC FILE NUMBER
N
N
Investshares, Inc
8-68365
SEC FILE NUMBER
N
N
Coker & Palmer, Inc.
254900V1KTPDN88TDS68
N
N
Gregory J. Schwartz & Co., Inc.
8-20955
SEC FILE NUMBER
N
N
Sorsby Financial Corp.
8-48718
SEC FILE NUMBER
N
N
Reliance Trust Company
549300NV8FSQRNOUQO50
N
Y
Blakeslee and Blakeslee Inc.
8-32071
SEC FILE NUMBER
N
N
Cetera Advisors LLC
8-26892
SEC FILE NUMBER
N
N
Principal Securities, Inc.
8-13975
SEC FILE NUMBER
N
N
Grant Williams L.P.
8-51249
SEC FILE NUMBER
N
N
The Huntington Investment Company
5493004MEJ6IU9SR1R78
N
N
Family Investors Company
8-11190
SEC FILE NUMBER
N
N
Packerland Brokerage Services, Inc.
8-47572
SEC FILE NUMBER
N
N
Umpqua Investments, Inc.
8-02915
SEC FILE NUMBER
N
N
VectorGlobal WMG
254900K52VRYBHUGBC64
N
N
Capital Portfolio Management, Inc.
8-44225
SEC FILE NUMBER
N
N
Hazlett, Burt & Watson, Inc.
8-17737
SEC FILE NUMBER
N
N
Vorpahl Wing Securities
8-51823
SEC FILE NUMBER
N
N
Darwood Associates Incorporated
8-16560
SEC FILE NUMBER
N
N
Harbour Investments, Inc.
8-37373
SEC FILE NUMBER
N
N
Buckram Securities LTD
8-65939
SEC FILE NUMBER
N
N
UBS Financial Services Inc.
ETYRV6ORNFJB5NONI676
N
N
Middlegate Securities Ltd.
549300ZVONUQ845QCH95
N
N
J.P. Morgan Securities LLC
ZBUT11V806EZRVTWT807
N
N
Interactive Brokers LLC
50OBSE5T5521O6SMZR28
N
N
J. Alden Associates, Inc.
8-48938
SEC FILE NUMBER
N
N
Folio Investments, Inc.
8-52009
SEC FILE NUMBER
N
N
John Hancock Trust Company LLC
549300W205WZCFZS6R51
N
Y
Capital Investment Group, Inc.
8-31225
SEC FILE NUMBER
N
N
Great Point Capital LLC
254900HN4IGCO53HDK23
N
N
Wescom Financial Services, LLC
8-66189
SEC FILE NUMBER
N
N
FSB Warner Financial, Inc.
8-44865
SEC FILE NUMBER
N
N
Citizens Bank
254900MFWISYMJ04ZE93
N
N
Janney Montgomery Scott LLC
549300QQRY1JCFQHYS08
N
N
S.A. Stone Wealth Management
8-36638
SEC FILE NUMBER
N
N
Hunter Associates, Inc.
8-44779
SEC FILE NUMBER
N
N
The Lawrence D. Vitez Corp. DBA Consolidated Securities
8-48642
SEC FILE NUMBER
N
N
PNC Bank, N.A.
AD6GFRVSDT01YPT1CS68
N
N
Gladowsky Capital Management Corp.
8-51017
SEC FILE NUMBER
N
N
Wellington Shields & Co., LLC
8-68098
SEC FILE NUMBER
N
N
Chalice Capital Partners, LLC
8-69967
SEC FILE NUMBER
N
N
Western Equity Group, Inc.
8-66403
SEC FILE NUMBER
N
N
Equity Services, Inc.
8-14286
SEC FILE NUMBER
N
N
MMA Securities LLC
8-50591
SEC FILE NUMBER
N
N
SKA Securities, Inc.
8-53366
SEC FILE NUMBER
N
N
Corinthian Partners, L.L.C.
8-48461
SEC FILE NUMBER
N
N
Lombard Securities, Inc.
8-43340
SEC FILE NUMBER
N
N
Intercarolina Financial Services, Inc.
8-37519
SEC FILE NUMBER
N
N
Feldstein Financial Group, LLC
8-53388
SEC FILE NUMBER
N
N
DMK Advisor Group, Inc.
8-49279
SEC FILE NUMBER
N
N
Insight Securities, Inc.
2549007I5MCG270G9341
N
N
First Asset Financial, Inc.
8-67191
SEC FILE NUMBER
N
N
Woodlands Securities Corporation
8-39700
SEC FILE NUMBER
N
N
D.A. Davidson & Co.
549300094RQ5A7DYLF51
N
N
Profinancial, Inc.
8-32026
SEC FILE NUMBER
N
N
Symphonic Securities LLC
8-67220
SEC FILE NUMBER
N
N
Barclays Capital Inc.
AC28XWWI3WIBK2824319
N
N
ING Financial Markets LLC
KBVRJ5K57JZ3E2AVWX40
N
N
San Blas Securities LLC
25490079436TZN10JD83
N
N
M&T Securities, Inc.
254900VRUF9FN7AZI864
N
N
Citigroup Global Markets Inc.
MBNUM2BPBDO7JBLYG310
N
N
Samuel A Ramirez & Co., Inc.
254900CBKVW7O2ENQA21
N
N
Great Pacific Securities
254900QRZ90SUI8C4W84
N
N
USCA Securities LLC
254900GBMSP1Y45THR66
N
N
Robinson & Robinson, Inc.
8-17109
SEC FILE NUMBER
N
N
Saturna Brokerage Services, Inc.
8-36558
SEC FILE NUMBER
N
N
N.I.S. Financial Services, Inc.
8-15919
SEC FILE NUMBER
N
N
United States Life Insurance Company in the City of New York
549300C1JQGJ0MNUMG79
N
Y
CFS Securities, Inc.
8-51330
SEC FILE NUMBER
N
N
Excel Securities & Associates, Inc.
8-34261
SEC FILE NUMBER
N
N
Invex, Inc.
NPOTUCXQYGXX5PO6VH74
N
N
CGIS Securities LLC
254900GOI7SHVRZ5BG90
N
N
Hightower Securities, LLC
549300F189LKWDZLP954
N
N
Riversource Distributors, Inc.
8-67196
SEC FILE NUMBER
N
N
Investment Placement Group
5493005L3RL45FY4HR07
N
N
Abacus International Capital Corp.
8-46418
SEC FILE NUMBER
N
N
ACP Securities, LLC
254900GHLAGD9J81O211
N
N
Benchmark Investments, Inc.
8-52280
SEC FILE NUMBER
N
N
Union Capital Company
8-53127
SEC FILE NUMBER
N
N
SunTrust Bank
IYDOJBGJWY9T8XKCSX06
N
N
Highlander Capital Group, Inc.
8-37169
SEC FILE NUMBER
N
N
PTI Securities & Futures L.P.
8-44412
SEC FILE NUMBER
N
N
Sycamore Financial Group
8-30302
SEC FILE NUMBER
N
N
Calton & Associates, Inc.
254900TDJ7LH64ZKRY86
N
N
S.G. Long & Company
8-51816
SEC FILE NUMBER
N
N
WBB Securities, LLC
8-53660
SEC FILE NUMBER
N
N
Morris Group, Inc.
549300JWKS0KMDOX5G12
N
N
The Tavenner Company
8-41206
SEC FILE NUMBER
N
N
L.O. Thomas & Co. Inc.
8-40875
SEC FILE NUMBER
N
N
Camden Financial Services
8-37303
SEC FILE NUMBER
N
N
Uhlmann Price Securities, LLC
8-50041
SEC FILE NUMBER
N
N
Arete Wealth Management, LLC
8-50854
SEC FILE NUMBER
N
N
Regions Bank
EQTWLK1G7ODGC2MGLV11
N
N
G. W. & Wade Asset Management Company, LLC
8-42013
SEC FILE NUMBER
N
N
Securities Research, Inc.
8-23699
SEC FILE NUMBER
N
N
The Windmill Group, Inc.
8-25280
SEC FILE NUMBER
N
N
Syndicated Capital, Inc.
8-44162
SEC FILE NUMBER
N
N
Wells Fargo Securities, LLC
8-65876
SEC FILE NUMBER
N
N
Muriel Seibert & Co., Inc.
8-14900
SEC FILE NUMBER
N
N
Sigma Financial Corporation
8-30466
SEC FILE NUMBER
N
N
KCD Financial, Inc.
8-66005
SEC FILE NUMBER
N
N
VOYA Investments Distributors, LLC
8-48020
SEC FILE NUMBER
N
N
AssetMark Trust Company
N/A
N
N
American United Life Insurance Company
549300T82H2DXU80LV98
N
Y
Mid-Atlantic Securities, Inc.
8-36997
SEC FILE NUMBER
N
N
VALIC Financial Advisors, Inc.
8-50018
SEC FILE NUMBER
N
N
Capital Management Securities, Inc.
8-27779
SEC FILE NUMBER
N
N
Weston Securities Corporation
8-32664
SEC FILE NUMBER
N
N
Mutual Funds Associates, Inc.
8-13026
SEC FILE NUMBER
N
N
Voya Financial Partners, LLC
8-13987
SEC FILE NUMBER
N
N
Shareholders Service Group, Inc.
8-65778
SEC FILE NUMBER
N
N
Capital Synergy Partners, Inc.
8-68060
SEC FILE NUMBER
N
N
American Financial Associates, Inc.
8-44065
SEC FILE NUMBER
N
N
DFPG Investments, Inc.
8-68730
SEC FILE NUMBER
N
N
Wiley Bros.-Aintree Capital, LLC
8-03774
SEC FILE NUMBER
N
N
Planmember Securities Corporation
8-25065
SEC FILE NUMBER
N
N
T.R. Winston & Company, LLC
8-27519
SEC FILE NUMBER
N
N
Commerce Brokerage Services, Inc.
8-35096
SEC FILE NUMBER
N
N
OneAmerica Securities, Inc.
8-15009
SEC FILE NUMBER
N
N
Michigan Securities, Inc. (dba Broadstone Securities)
8-52094
SEC FILE NUMBER
N
N
Valley National Investments, Inc.
8-34427
SEC FILE NUMBER
N
N
Farmers Financial Solutions, LLC
8-52361
SEC FILE NUMBER
N
N
Hantz Financial Services, Inc.
8-51291
SEC FILE NUMBER
N
N
Piper Jaffray & Co.
549300GRQCWQ3XGH0H10
N
N
Rockefeller Financial, LLC
8-70054
SEC FILE NUMBER
N
N
Prudential Investment Management Services LLC
8-36540
SEC FILE NUMBER
N
N
SECU Brokerage Services
8-37927
SEC FILE NUMBER
N
N
The Strategic Financial Alliance, Inc.
8-65885
SEC FILE NUMBER
N
N
Worth Financial Group Inc.
8-29827
SEC FILE NUMBER
N
N
Sammons Retirement Solutions, Inc.
N/A
N
Y
Caldwell Securities, Inc.
549300ORF2FMHXODHJ66
N
N
Duncan-Williams, Inc.
25490045VHLUZ7H92Y27
N
N
Wright Investors' Service Distributors, Inc.
8-29579
SEC FILE NUMBER
N
N
Landolt Securities, Inc.
254900B2XEQ2HZGN7K90
N
N
Colliers Securities LLC
549300OD1C69R64IVC38
N
N
Nationwide Financial Services, Inc.
5493001H7AZNDS6BKJ36
N
Y
Arive Capital Markets
8-43350
SEC FILE NUMBER
N
N
Comerica Securities, Inc.
5493009QV211JEW7ZV59
N
N
BancWest Investment Services, Inc.
5493001GJYTESEZEBA51
N
N
Vanguard Marketing Corporation
8-21570
SEC FILE NUMBER
N
N
USAA Investment Management Company
549300VSPLQ1XBNPD479
N
N
MMC Securities Corp.
2549001ZA93O65N2ZM60
N
N
Hancock Whitney Investment Services, Inc.
8-49106
SEC FILE NUMBER
N
N
TransAm Securities, Inc.
8-37065
SEC FILE NUMBER
N
N
Federated Securities, Inc.
8-15644
SEC FILE NUMBER
N
N
U.S. Bancorp Investments, Inc.
H85Z6XZP8B10ES0M2G89
N
N
First Western Securities, Inc.
8-37613
SEC FILE NUMBER
N
N
Capitol Securities Management, Inc.
8-30353
SEC FILE NUMBER
N
N
Regal Securities, Inc.
8-21765
SEC FILE NUMBER
N
N
Benefit Trust Company
N/A
N
Y
Innovation Partners LLC
549300IEQ78ON1HMTU71
N
N
GRF Capital Investors, Inc.
8-41494
SEC FILE NUMBER
N
N
T. Rowe Price Investment Services, Inc.
8-25130
SEC FILE NUMBER
N
N
Heim, Young & Associates, Inc.
8-48500
SEC FILE NUMBER
N
N
Vanderbilt Securities, LLC
8-16712
SEC FILE NUMBER
N
N
Crews & Associates, Inc.
5493001BWSV3E82LZ446
N
N
L.S.Y., Inc.
8-17613
SEC FILE NUMBER
N
N
Loria Financial Group, LLC
8-52128
SEC FILE NUMBER
N
N
Mutual Securities, Inc.
8-28580
SEC FILE NUMBER
N
N
Principled Advisors, Inc.
8-66451
SEC FILE NUMBER
N
N
Signature Securities Group Corporation
8-52697
SEC FILE NUMBER
N
N
Independent Financial Group, LLC
254900KYWXHSQ7RMNP09
N
N
Invicta Capital, LLC
549300QY87LR84LRLL97
N
N
Sisung Securities Corporation
254900KJI3EYKKPWT989
N
N
BOK Financial Securities, Inc.
2Q57THMJB7JL1206V012
N
N
Essex Securities LLC
8-51472
SEC FILE NUMBER
N
N
Mutual of Omaha Investor Services, Inc.
8-47290
SEC FILE NUMBER
N
N
Y
BNY Mellon Investment Servicing (US) Inc.
549300CFZQLI9QMJ1Z03
N
Y
BLACKROCK ADVISORS, LLC
5493001LN9MRM6A35J74
Y
N
N
BLACKROCK EXECUTION SERVICES
008-48719
000039438
549300HFCRQ0NT5KY652
0.00000000
BLACKROCK INVESTMENTS, LLC
008-48436
000038642
54930061FBHCKXL2G714
0.00000000
JEFFERIES LLC
008-15074
000002347
58PU97L1C0WSRCWADL48
16244.00000000
BOFA SECURITIES, INC.
008-69787
000283942
549300HN4UKV1E2R3U73
10532.00000000
GOLDMAN SACHS & CO. LLC
008-00129
000000361
FOR8UP27PHTHYVLBNG30
10360.00000000
WELLS FARGO SECURITIES, LLC
008-65876
000126292
VYVVCKR63DVZZN70PB21
11356.00000000
CitiGroup Global Markets Inc.
008-08177
000007059
MBNUM2BPBDO7JBLYG310
13474.00000000
CREDIT SUISSE SECURITIES (USA) LLC
008-00422
000000816
1V8Y6QCX6YMJ2OELII46
18565.00000000
UBS Securities LLC
008-22651
000007654
T6FIZBDPKLYJKFCRVK44
23372.00000000
J.P. Morgan Securities LLC
008-35008
000000079
ZBUT11V806EZRVTWT807
12869.00000000
MORGAN STANLEY & CO. LLC
008-15869
000008209
9R7GPTSO7KV3UQJZQ078
18508.00000000
BMO Nesbitt Burns Securities Ltd.
008-50538
000044057
54JEJPF5RL5INKZRDO43
CA
11801.00000000
262896.00000000
GOLDMAN SACHS & CO. LLC
008-00129
000000361
FOR8UP27PHTHYVLBNG30
405240.00000000
BlackRock Liquidity Funds T-Fund
N/A
N/A
5493002L9DNZ83RX7V61
216111967.00000000
MORGAN STANLEY & CO. LLC
008-15869
000008209
9R7GPTSO7KV3UQJZQ078
2844364.00000000
219361571.00000000
Y
1073376043.00000000
0.00000000
Committed
1750000000.00000000
N
N
N
N
BlackRock SMID-Cap Growth Equity Fund
S000072352
5493009D7F3YTZW02T35
Y
3
0
0
N/A
N
N
Y
N
N
BlackRock Investment Management, LLC
5493006MRTEZZ4S4CQ20
Y
N
Revenue sharing split
Other
Cash collateral reinvestment fee
Rebates paid to borrowers
223422.00000000
7320.00000000
Rule 12d1-1 (17 CFR 270.12d1-1)
Rule 12d1-4 (17 CFR 270.12d1-4)
Rule 22d-1 (17 CFR 270.22d-1)
Rule 32a-4 (17 CFR 270.32a-4)
Y
Y
N
N
BlackRock Advisors, LLC
801-47710
000106614
5493001LN9MRM6A35J74
N
BNY Mellon Investment Servicing (US) Inc.
084-01761
549300CFZQLI9QMJ1Z03
N
N
N
Intercontinental Exchange, Inc.
5493000F4ZO33MV32P92
N/A
N
Bloomberg Finance L.P.
5493001KJTIIGC8Y1R12
N
N
EUROCLEAR BANK SA/NV
549300OZ46BRLZ8Y6F65
BE
N
Y
Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Banco Bilbao Vizcaya Argentaria SA, Madrid
K8MS7FD7N5Z2WQ51AZ71
ES
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Euroclear UK & Ireland Limited
549300M5MYAD51WHJD55
GB
N
Y
Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
CIBC Mellon Trust Company
549300IYUUH221WBZ505
CA
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Hongkong and Shanghai Banking Corporation
2HI3YI5320L3RW6NJ957
HK
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
MUFG Bank, Ltd.
C3GTMMZIHMY46P4OIX74
JP
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
MONTE TITOLI S.P.A.
8156009CEEE1B8C7C646
IT
N
Y
Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Bank Hapoalim B.M.
B6ARUI4946ST4S7WOU88
IL
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Skandinaviska Enskilda Banken AB, Stockholm
F3JS33DEI6XQ4ZBPTN86
SE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
The Hongkong and Shanghai Banking Corporation Limited, Australia Branch
2HI3YI5320L3RW6NJ957
AU
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Euroclear Nederland (Netherlands)
549300CBNW05DILT6870
NL
N
Y
Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
The Bank of New York Mellon
HPFHU0OQ28E4N0NFVK49
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
SG Americas Securities, LLC
549300F35UE0BOM1WJ55
N
Y
Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
UBS Group AG
549300SZJ9VS8SGXAN81
CH
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
The Hongkong and Shanghai Banking Corporation Limited, New Zealand Branch
2HI3YI5320L3RW6NJ957
NZ
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Clearstream Banking AG
549300298FD7AS4PPU70
DE
N
Y
Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Deutsche Bank AG (India)
529900XJG4R4MYZD2W75
IN
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Euroclear France
54930060MY6S68NEUP16
FR
N
Y
Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Skandinaviska Enskilda Banken AB, Oslo Branch
F3JS33DEI6XQ4ZBPTN86
NO
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Citibank N.A., Brazilian Branch
1P0UUG7LC1S92QTNHG39
BR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Citibank N.A., Argentina
579100KKDGKCFFKKF005
AR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
N
Navy Federal Brokerage Services, LLC
8-67161
SEC FILE NUMBER
N
N
Stifel, Nicolaus & Company, Incorporated
5WUVMA08EYG4KEUPW589
N
Y
American Wealth Management
8-41807
SEC FILE NUMBER
N
N
Country Capital Management Company
8-12645
SEC FILE NUMBER
N
N
Dorn & Co., Inc.
8-08707
SEC FILE NUMBER
N
N
Nationwide Securities, LLC
8-12500
SEC FILE NUMBER
N
N
Superior Financial Services, Inc.
549300BK1DNLS1A2MZ43
N
N
Healthcare Community Securities Corporation
8-46981
SEC FILE NUMBER
N
N
Capital Investment Group, Inc.
8-31225
SEC FILE NUMBER
N
N
Arkadios Capital
8-69729
SEC FILE NUMBER
N
N
Northern Capital Securities Corporation
254900ZANH7XTB94LS53
N
N
Fortune Financial Services, Inc.
8-49727
SEC FILE NUMBER
N
N
Planned Financial Programs, Inc.
8-05727
SEC FILE NUMBER
N
N
FinTrust Brokerage Services, LLC
8-49514
SEC FILE NUMBER
N
N
TD Ameritrade Trust Company
028-15163
SEC FILE NUMBER
N
N
Nationwide Financial Services, Inc.
5493001H7AZNDS6BKJ36
N
Y
Lesko Securities Inc.
8-26408
SEC FILE NUMBER
N
N
UMB Financial Services, Inc.
254900GFVO9NGQ21JC37
N
N
Register Financial Associates, Inc.
8-45012
SEC FILE NUMBER
N
N
Comerica Securities, Inc.
5493009QV211JEW7ZV59
N
N
Cardinal Investments, Inc.
8-47493
SEC FILE NUMBER
N
N
First National Bank Alaska
25490089V5DJHFQMOA03
N
N
Center Street Securities, Inc.
8-42786
SEC FILE NUMBER
N
N
Maplewood Investment Advisors, Inc.
8-52221
SEC FILE NUMBER
N
N
Muriel Seibert & Co., Inc.
8-14900
SEC FILE NUMBER
N
N
Corinthian Partners, L.L.C.
8-48461
SEC FILE NUMBER
N
N
Prospera Financial Services, Inc.
8-28164
SEC FILE NUMBER
N
N
Rodgers Brothers, Inc.
8-33475
SEC FILE NUMBER
N
N
Heim, Young & Associates, Inc.
8-48500
SEC FILE NUMBER
N
N
Regulus Advisors, LLC
8-68275
SEC FILE NUMBER
N
N
First Bankers' Banc Securities, Inc.
549300XZ7YYT3Y0SU530
N
N
Equitable Advisors, LLC
8-17883
SEC FILE NUMBER
N
N
S.A. Stone Wealth Management
8-36638
SEC FILE NUMBER
N
N
American Financial Associates, Inc.
8-44065
SEC FILE NUMBER
N
N
SG Americas Securities, LLC
549300F35UE0BOM1WJ55
N
N
Triad Advisors, Inc.
8-42007
SEC FILE NUMBER
N
N
Northland Securities, Inc.
254900ZIK4MLVQAWLS15
N
N
William Blair & Company L.L.C.
549300J0P7XYE8BMZ775
N
N
Charles Schwab Bank
549300INFJ8TYNZ1G568
N
Y
FMSBonds, Inc.
549300TUTBK58NSF2517
N
N
The Lawrence D. Vitez Corp. DBA Consolidated Securities
8-48642
SEC FILE NUMBER
N
N
Santander Securities LLC
8-49571
SEC FILE NUMBER
N
N
Madison Avenue Securities, Inc.
8-40426
SEC FILE NUMBER
N
N
Associated Investment Services, Inc.
8-00099
SEC FILE NUMBER
N
N
Chelsea Morgan Securities, Inc.
8-51916
SEC FILE NUMBER
N
N
American National Trust And Investment Management Company
028-00344
SEC FILE NUMBER
N
N
K. W. Chambers & CO.
8-10533
SEC FILE NUMBER
N
N
USAA Investment Management Company
549300VSPLQ1XBNPD479
N
N
Herbert J. Sims & Co. Inc.
254900SV6UESQBS8XP98
N
N
Capital Synergy Partners, Inc.
8-68060
SEC FILE NUMBER
N
N
UBS AG, New York Branch
BFM8T61CT2L1QCEMIK50
N
N
Oriental Financial Services Corp.
8-44516
SEC FILE NUMBER
N
N
Intercarolina Financial Services, Inc.
8-37519
SEC FILE NUMBER
N
N
American Global Wealth Management, Inc.
8-21584
SEC FILE NUMBER
N
N
Variable Investment Advisors, Inc.
8-50699
SEC FILE NUMBER
N
N
Camden Financial Services
8-37303
SEC FILE NUMBER
N
N
SFA Financial, LLC
8-68156
SEC FILE NUMBER
N
N
JPMorgan Chase Bank, N.A.
7H6GLYDRUGQFU57RNE97
N
N
Hazlett, Burt & Watson, Inc.
8-17737
SEC FILE NUMBER
N
N
Laidlaw & Company (UK) Ltd.
8-53731
SEC FILE NUMBER
GB
N
N
Blakeslee and Blakeslee Inc.
8-32071
SEC FILE NUMBER
N
N
B.B. Graham & Company, Inc.
8-49477
SEC FILE NUMBER
N
N
Keel Point Capital, LLC
8-22990
SEC FILE NUMBER
N
N
GRF Capital Investors, Inc.
8-41494
SEC FILE NUMBER
N
N
T.S. Phillips Investments, Inc.
8-65661
SEC FILE NUMBER
N
N
VBC Securities, LLC
8-44141
SEC FILE NUMBER
N
N
Hunter Associates, Inc.
8-44779
SEC FILE NUMBER
N
N
S.L. Reed & Company
8-49178
SEC FILE NUMBER
N
N
Marsco Investment Corporation
8-36754
SEC FILE NUMBER
N
N
World Equity Group, Inc.
25490078J1OM7KOXR686
N
N
Oberweis Securities, Inc.
5493008EZH6DO1631P71
N
N
AqGen Ascensus, Inc.
549300K5MHNFPEU2RK82
N
Y
McDonald Partners LLC
549300PEHG3UH7FAY193
N
N
CNR Securities LLC
8-36759
SEC FILE NUMBER
N
N
Hornor, Townsend & Kent, Inc.
8-14715
SEC FILE NUMBER
N
N
Hightower Securities, LLC
549300F189LKWDZLP954
N
N
Prudential Investment Management Services LLC
8-36540
SEC FILE NUMBER
N
N
GLP Investment Services
8-41868
SEC FILE NUMBER
N
N
United Brokerage Services, Inc.
8-48685
SEC FILE NUMBER
N
N
WBB Securities, LLC
8-53660
SEC FILE NUMBER
N
N
L.S.Y., Inc.
8-17613
SEC FILE NUMBER
N
N
Planmember Securities Corporation
8-25065
SEC FILE NUMBER
N
N
Bley Investments Group, Inc.
8-42701
SEC FILE NUMBER
N
N
Rogan & Associates, Inc.
8-49995
SEC FILE NUMBER
N
N
Schlitt Investor Services, Inc.
8-34202
SEC FILE NUMBER
N
N
Charles Schwab & Co., Inc.
549300ZP8XN77GK5BS04
N
Y
First Financial Equity Corporation
8-34082
SEC FILE NUMBER
N
N
Folio Investments, Inc.
8-52009
SEC FILE NUMBER
N
N
Infinex Investments, Inc.
8-46661
SEC FILE NUMBER
N
N
Cetera Advisors LLC
8-26892
SEC FILE NUMBER
N
N
B. Riley Wealth Management Holdings, Inc
8-31206
SEC FILE NUMBER
N
N
Monere Investments, Inc.
8-52982
SEC FILE NUMBER
N
N
PNC Investments, LLC
8-66195
SEC FILE NUMBER
N
N
Wellington Shields & Co., LLC
8-68098
SEC FILE NUMBER
N
N
Mutual of Omaha Investor Services, Inc.
8-47290
SEC FILE NUMBER
N
N
First Allied Securities, Inc.
8-46167
SEC FILE NUMBER
N
N
Park Avenue Securities LLC
8-51324
SEC FILE NUMBER
N
N
CFS Securities, Inc.
8-51330
SEC FILE NUMBER
N
N
Sammons Financial Network, LLC
8-68905
SEC FILE NUMBER
N
N
DWS Distributors, Inc.
5299007T18XBURKJ1V64
N
N
Global Brokerage Services, Inc.
8-47763
SEC FILE NUMBER
N
N
St. Bernard Financial Services, Inc.
8-47566
SEC FILE NUMBER
N
N
Nicol Investors Corporation
8-65566
SEC FILE NUMBER
N
N
NPB Financial Group, LLC
8-67113
SEC FILE NUMBER
N
N
Arive Capital Markets
8-43350
SEC FILE NUMBER
N
N
Sovereign Legacy Securities, Inc.
8-00621
SEC FILE NUMBER
N
N
Excel Securities & Associates, Inc.
8-34261
SEC FILE NUMBER
N
N
Oak Tree Securities, Inc.
8-36138
SEC FILE NUMBER
N
N
Harbor Investment Advisory, LLC
8-68334
SEC FILE NUMBER
N
N
M&T Securities, Inc.
254900VRUF9FN7AZI864
N
N
Dempsey Lord Smith, LLC
8-67469
SEC FILE NUMBER
N
N
Kestra Investment Services, LLC
8-49672
SEC FILE NUMBER
N
N
N.I.S. Financial Services, Inc.
8-15919
SEC FILE NUMBER
N
N
Halliday Financial, LLC
8-45529
SEC FILE NUMBER
N
N
Unionbanc Investment Services, LLC
254900Y9HI2TG6D79N41
N
N
Buckman, Buckman & Reid, Inc.
254900D688L15B5HJB06
N
N
D.M. Kelly & Company
8-48398
SEC FILE NUMBER
N
N
Westco Investment Corp.
8-38452
SEC FILE NUMBER
N
N
Mutual Funds Associates, Inc.
8-13026
SEC FILE NUMBER
N
N
Quincy Cass Associates, Incorporated
8-05743
SEC FILE NUMBER
N
N
G. W. & Wade Asset Management Company, LLC
8-42013
SEC FILE NUMBER
N
N
Conduent HR Services LLC
084-06035
SEC FILE NUMBER
N
Y
International Money Management Group, Inc.
8-30417
SEC FILE NUMBER
N
N
NBC Securities, Inc.
254900GIP7RJQGHH5S19
N
N
MMA Securities LLC
8-50591
SEC FILE NUMBER
N
N
Benjamin F. Edwards & Company, Inc.
8-68023
SEC FILE NUMBER
N
N
CGIS Securities LLC
254900GOI7SHVRZ5BG90
N
N
First Heartland Capital, Inc.
8-46008
SEC FILE NUMBER
N
N
Feltl & Company
8-18435
SEC FILE NUMBER
N
N
Interactive Brokers LLC
50OBSE5T5521O6SMZR28
N
N
Axiom Capital Management, Inc.
254900WW7SK1IMK6NO54
N
N
LifeMark Securities Corp.
8-33478
SEC FILE NUMBER
N
N
Capital Portfolio Management, Inc.
8-44225
SEC FILE NUMBER
N
N
BCG Securities, Inc.
8-12680
SEC FILE NUMBER
N
N
Titleist Asset Management, Ltd.
8-65859
SEC FILE NUMBER
N
N
Jacques Financial, LLC
8-52675
SEC FILE NUMBER
N
N
Bruderman Brothers, LLC
8-51974
SEC FILE NUMBER
N
N
BD4RIA, Inc.
8-70022
SEC FILE NUMBER
N
N
DFPG Investments, Inc.
8-68730
SEC FILE NUMBER
N
N
Harold W. Dance Inc.
8-12160
SEC FILE NUMBER
N
N
Multiple Financial Services, Inc.
8-52017
SEC FILE NUMBER
N
N
Coldstream Securities, Inc.
8-51549
SEC FILE NUMBER
N
N
Sunset Financial Services, Inc.
8-14148
SEC FILE NUMBER
N
N
Buckram Securities LTD
8-65939
SEC FILE NUMBER
N
N
First Financial Securities of America, Inc.
8-29565
SEC FILE NUMBER
N
N
Investment Security Corporation
8-51832
SEC FILE NUMBER
N
N
Western Growers Financial Services, Inc.
8-53458
SEC FILE NUMBER
N
N
Sisung Securities Corporation
254900KJI3EYKKPWT989
N
N
Cambridge Investment Research, Inc.
8-48740
SEC FILE NUMBER
N
N
Security Distributors, Inc.
8-10781
SEC FILE NUMBER
N
N
SECU Brokerage Services
8-37927
SEC FILE NUMBER
N
N
First Citizens Investor Services, Inc.
8-50696
SEC FILE NUMBER
N
N
LaSalle St. Securities, L.L.C.
8-18860
SEC FILE NUMBER
N
N
BTG Pactual US Capital, LLC
549300EUEDL5GKQW8U35
N
N
Transamerica Advisors Life Insurance Company
F1PLTWZ8OU4HQGZQAP31
N
N
E. E. Powell & Company Inc.
8-01893
SEC FILE NUMBER
N
N
Hennion & Walsh, Inc.
8-41988
SEC FILE NUMBER
N
N
Liberty Capital Investment Corporation
8-42051
SEC FILE NUMBER
N
N
PNC Capital Markets LLC
7OGNSSLOQJ8U3B9Y5F18
N
N
NYLife Securities LLC
8-15517
SEC FILE NUMBER
N
N
Wesbanco Securities, Inc.
8-50220
SEC FILE NUMBER
N
N
Investments For You, Inc.
8-44179
SEC FILE NUMBER
N
N
Rothschild Investment Corporation
8-16429
SEC FILE NUMBER
N
N
Key Investment Services LLC
8-66999
SEC FILE NUMBER
N
N
KW Securities Corporation
8-24792
SEC FILE NUMBER
N
N
Goldman Sachs & Co. LLC
FOR8UP27PHTHYVLBNG30
N
N
SEI Private Trust Company
028-10625
SEC FILE NUMBER
N
Y
Bolton Global Capital
2549009M08YVOG46LO79
N
N
TIAA-CREF Individual & Institutional Services, LLC
8-44454
SEC FILE NUMBER
N
N
Lantern Investments, Inc.
8-45285
SEC FILE NUMBER
N
N
Avondale Partners, LLC
254900799PKXEPTDRJ40
N
N
Fairport Capital, Inc.
8-32162
SEC FILE NUMBER
N
N
R.M. Stark & Co., Inc.
8-22543
SEC FILE NUMBER
N
N
Ballew Investments, Inc.
8-45660
SEC FILE NUMBER
N
N
Investshares, Inc
8-68365
SEC FILE NUMBER
N
N
Calamar Financial Group
8-69777
SEC FILE NUMBER
N
N
Saxony Securities, Inc.
8-53490
SEC FILE NUMBER
N
N
Polar Investment Counsel, Inc.
8-50039
SEC FILE NUMBER
N
N
Coastal Equities, Inc.
8-40822
SEC FILE NUMBER
N
N
UBATCO & Co.
N/A
N
Y
RNR Securities, L.L.C.
8-50366
SEC FILE NUMBER
N
N
Emerson Equity LLC
8-66296
SEC FILE NUMBER
N
N
USI Securities, Inc.
8-50429
SEC FILE NUMBER
N
N
Voya Institutional Plan Services, LLC
N/A
N
N
J.P. Morgan Securities LLC
ZBUT11V806EZRVTWT807
N
N
FSB Warner Financial, Inc.
8-44865
SEC FILE NUMBER
N
N
MWA Financial Services Inc.
8-53255
SEC FILE NUMBER
N
N
Lincoln Investment Planning, Inc.
8-14354
SEC FILE NUMBER
N
N
G.L.S. & Associates, Inc.
8-51808
SEC FILE NUMBER
N
N
Devenir, LLC
8-65837
SEC FILE NUMBER
N
N
Lincoln Douglas Investments LLC
8-68728
SEC FILE NUMBER
N
N
CBIZ Financial Solutions, Inc.
8-34205
SEC FILE NUMBER
N
N
Rockefeller Financial, LLC
8-70054
SEC FILE NUMBER
N
N
American Capital Partners, LLC
254900I8NH46ZJJ4Z956
N
N
Sammons Retirement Solutions, Inc.
N/A
N
Y
Darwood Associates Incorporated
8-16560
SEC FILE NUMBER
N
N
Essex Securities LLC
8-51472
SEC FILE NUMBER
N
N
J.P. Morgan Institutional Investments Inc.
8-52182
SEC FILE NUMBER
N
N
J.W. Cole Financial, Inc.
8-65698
SEC FILE NUMBER
N
N
Gill Capital Partners, LLC
8-30563
SEC FILE NUMBER
N
N
Nelson Ivest Brokerage Services, Inc.
8-26448
SEC FILE NUMBER
N
N
Cannon Securities, Inc.
8-68437
SEC FILE NUMBER
N
N
Woodbury Financial Services, Inc.
8-13846
SEC FILE NUMBER
N
N
American Equity Investment Corporation
8-49078
SEC FILE NUMBER
N
N
Thoroughbred Financial Services, LLC
8-51944
SEC FILE NUMBER
N
N
Adcap Securities, LLC
254900EMZBEIM1FAO022
N
N
Hand Securities, Inc.
8-51001
SEC FILE NUMBER
N
N
Principal Securities, Inc.
8-13975
SEC FILE NUMBER
N
N
Edward D. Jones & Co., L.P.
YZRCLX72FTV74B522G90
N
N
Investment Placement Group
5493005L3RL45FY4HR07
N
N
Amegy Investments, Inc. (Zions)
8-65399
SEC FILE NUMBER
N
N
Girard Investment Services, LLC
8-14145
SEC FILE NUMBER
N
N
FNBB Capital Markets, LLC
8-66553
SEC FILE NUMBER
N
N
Carl M. Hennig, Inc.
8-14509
SEC FILE NUMBER
N
N
Digital Retirement Solutions, Inc.
N/A
N
Y
Wall Street Access
549300Z0MOT47D6OQV22
N
N
Avantax Wealth Management, Inc
8-29533
SEC FILE NUMBER
N
N
The Huntington Investment Company
5493004MEJ6IU9SR1R78
N
N
SagePoint Financial, Inc.
8-66771
SEC FILE NUMBER
N
N
David Lerner Associates, Inc.
8-20746
SEC FILE NUMBER
N
N
T. Rowe Price Retirement Plan Services, Inc.
084-06219
SEC FILE NUMBER
N
Y
Nationwide Planning Associates Inc.
8-45310
SEC FILE NUMBER
N
N
First Mercantile Trust Company
028-10498
SEC FILE NUMBER
N
Y
Benefit Plans Administrative Services, Inc.
N/A
N
Y
E*Trade Securities
8-44112
SEC FILE NUMBER
N
N
First Southern, LLC
8-69733
SEC FILE NUMBER
N
N
First Command Financial Planning, Inc.
8-07072
SEC FILE NUMBER
N
N
G.A. Repple & Company
8-35315
SEC FILE NUMBER
N
N
Northwest Investment Advisors, Inc.
8-65282
SEC FILE NUMBER
N
N
Benefit Trust Company
N/A
N
Y
Wells Fargo Bank, N.A.
KB1H1DSPRFMYMCUFXT09
N
N
Amerant Investments, Inc.
254900M8G8SSAIMHET60
N
N
American Enterprise Investment Services Inc.
549300NT7GLLVGTH0249
N
N
IDB Capital Corp.
254900SH3QL0IL3S9R34
N
N
R. F. Lafferty & Co., Inc.
254900KLPTMWPBZWH264
N
N
Sentinel Securities, Inc.
8-53142
SEC FILE NUMBER
N
N
Buell Securities Corp
8-22058
SEC FILE NUMBER
N
N
Janney Montgomery Scott LLC
549300QQRY1JCFQHYS08
N
N
North South Capital, LLC
549300ODEKJCRN2AM859
N
N
Leumi Investment Services Inc.
5493005SJQ3VQ5DEE756
N
N
American Independent Securities Group, LLC
8-66905
SEC FILE NUMBER
N
N
PNC Bank, N.A.
AD6GFRVSDT01YPT1CS68
N
N
Vorpahl Wing Securities
8-51823
SEC FILE NUMBER
N
N
Ascensus Broker Dealer Services, Inc.
8-47312
SEC FILE NUMBER
N
Y
CoreCap Investments, Inc.
8-47783
SEC FILE NUMBER
N
N
Whitehall-Parker Securities, Inc.
8-27688
SEC FILE NUMBER
N
N
Landaas & Company
8-51826
SEC FILE NUMBER
N
N
Pershing, LLC
8-17574
SEC FILE NUMBER
N
Y
Cadaret, Grant & Co., Inc.
8-27844
SEC FILE NUMBER
N
N
Barclays Capital Inc.
AC28XWWI3WIBK2824319
N
N
Alight Financial Solutions LLC
8-47344
SEC FILE NUMBER
N
N
U.S. Bancorp Investments, Inc.
H85Z6XZP8B10ES0M2G89
N
N
Horace Mann Investors, Inc.
8--6082
SEC FILE NUMBER
N
N
Henley & Company LLC
8-66463
SEC FILE NUMBER
N
N
Great American Investors, Inc.
8-44380
SEC FILE NUMBER
N
N
Invicta Capital, LLC
549300QY87LR84LRLL97
N
N
The Strategic Financial Alliance, Inc.
8-65885
SEC FILE NUMBER
N
N
Next Financial Group, Inc.
8-51356
SEC FILE NUMBER
N
N
Fidelity Investments Life
54930024AKTQGTIV1P93
N
N
Investors Brokerage of Texas, Ltd.
8-28644
SEC FILE NUMBER
N
N
Etico Partners, LLC
8-65500
SEC FILE NUMBER
N
N
Vanguard Marketing Corporation
8-21570
SEC FILE NUMBER
N
N
Cetera Investment Services, LLC
254900HBKNJ13M56N432
N
N
Larson Financial Securities, LLC
8-68456
SEC FILE NUMBER
N
N
Monex Securities, Inc.
254900VTZ3HYHNEJRX35
N
N
Fidelity Investments Institutional Operations Company, Inc.
549300XVSM8LN3LQOK63
N
Y
Thurston, Springer, Miller, Herd & Titak, Inc.
8-25452
SEC FILE NUMBER
N
N
TRG Advisors, Inc.
8-50449
SEC FILE NUMBER
N
N
Beaconsfield Financial Services, Inc.
8-30993
SEC FILE NUMBER
N
N
Family Investors Company
8-11190
SEC FILE NUMBER
N
N
MSEC, LLC
8-68627
SEC FILE NUMBER
N
N
Pensionmark Securities, LLC
8-69773
SEC FILE NUMBER
N
N
Westport Resources Investment Services, Inc.
8-40904
SEC FILE NUMBER
N
N
People's Securities, Inc.
8-29667
SEC FILE NUMBER
N
N
A.G.P/Alliance Global Partners
549300QJQ08RJGC7D885
N
N
Securities Equity Group
8-51706
SEC FILE NUMBER
N
N
First Republic Securities Company, LLC
5493000IMDFZDQYB2Q11
N
N
Boenning & Scattergood, Inc.
2549005FER5A7K7II574
N
N
TrustFirst, Inc.
8-48509
SEC FILE NUMBER
N
N
Conover Securities Corporation
8-35085
SEC FILE NUMBER
N
N
The Jeffrey Matthews Financial Group, L.L.C.
25490086M6MGMYYVOJ50
N
N
Citizens Bank
254900MFWISYMJ04ZE93
N
N
Moors & Cabot, Inc.
8-23060
SEC FILE NUMBER
N
N
Kovack Securities Inc.
25490070RG17Z4I70I82
N
N
Saturna Trust Company
N/A
N
Y
Merrill Lynch, Pierce, Fenner & Smith Incorporated
8NAV47T0Y26Q87Y0QP81
N
N
Folger Nolan Fleming Douglas Incorporated
8-03335
SEC FILE NUMBER
N
N
Veritas Independent Partners, LLC
8-69363
SEC FILE NUMBER
N
N
Vanderbilt Securities, LLC
8-16712
SEC FILE NUMBER
N
N
The Investment Center, Inc.
8-35826
SEC FILE NUMBER
N
N
Chapin Davis Inc
8-43485
SEC FILE NUMBER
N
N
VOYA Financial Advisors, LLC
8-46451
SEC FILE NUMBER
N
N
Brokers International Financial Services, LLC
8-67239
SEC FILE NUMBER
N
N
Profinancial, Inc.
8-32026
SEC FILE NUMBER
N
N
Geneos Wealth Management, Inc.
8-65357
SEC FILE NUMBER
N
N
Searle & Co.
8-28600
SEC FILE NUMBER
N
N
Access Financial Group, Inc.
8-46065
SEC FILE NUMBER
N
N
Fieldpoint Private Securities, LLC
8-37105
SEC FILE NUMBER
N
N
AssetMark Trust Company
N/A
N
N
Brighton Securities Corp.
8-14599
SEC FILE NUMBER
N
N
Union Capital Company
8-53127
SEC FILE NUMBER
N
N
John Hancock Life Insurance Company
QQ0OZ8J9C4B5QT1XDG31
CA
N
Y
State Farm VP Management Corp
8-50128
SEC FILE NUMBER
N
N
Joseph Gunnar & Co. LLC
2549001XBRI5XQ0ZDA12
N
N
Western International Securities, Inc.
8-48572
SEC FILE NUMBER
N
N
Country Club Financial Services, Inc.
8-44574
SEC FILE NUMBER
N
N
TCFG Wealth Management, LLC
8-69089
SEC FILE NUMBER
N
N
Purshe Kaplan Sterling Investments
8-46844
SEC FILE NUMBER
N
N
Loria Financial Group, LLC
8-52128
SEC FILE NUMBER
N
N
Worth Financial Group Inc.
8-29827
SEC FILE NUMBER
N
N
Smith, Brown & Groover, Inc.
8-13079
SEC FILE NUMBER
N
N
Navaid Financial Services, Inc.
8-49897
SEC FILE NUMBER
N
N
Cabot Lodge Securities, LLC
8-69009
SEC FILE NUMBER
N
N
MMC Securities Corp.
2549001ZA93O65N2ZM60
N
N
Prudential Insurance Company of America
Y574KRZ6V5A7UBU45C31
N
Y
Omega Securities, Inc.
8-20225
SEC FILE NUMBER
N
N
Lincoln Financial Distributors, Inc.
8-13431
SEC FILE NUMBER
N
N
TransAm Securities, Inc.
8-37065
SEC FILE NUMBER
N
N
Dominion Investor Services, Inc.
8-39029
SEC FILE NUMBER
N
N
Investment Network Inc.
8-66036
SEC FILE NUMBER
N
N
Robinson & Robinson, Inc.
8-17109
SEC FILE NUMBER
N
N
Genworth Life & Annuity Insurance Company
TAI340D9BWT9R77O0P03
N
N
Aon Benfield Securities, Inc.
5493002ME0O127QJJG03
N
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McNally Financial Services Corporation
8-65388
SEC FILE NUMBER
N
N
World Capital Brokerage, Inc.
8-06805
SEC FILE NUMBER
N
N
Cetera Advisor Networks LLC
8-29577
SEC FILE NUMBER
N
N
Cetera Financial Specialists LLC
8-27082
SEC FILE NUMBER
N
N
Eagles Coast Capital
8-70137
SEC FILE NUMBER
N
N
D.H. Hill Securities LLP
8-49475
SEC FILE NUMBER
N
N
Chauner Securities, Inc.
8-33980
SEC FILE NUMBER
N
N
Harbour Investments, Inc.
8-37373
SEC FILE NUMBER
N
N
Arvest Investments, Inc.
8-49677
SEC FILE NUMBER
N
N
Concorde Investment Services, LLC
8-68388
SEC FILE NUMBER
N
N
First Kentucky Securities Corporation
8-22224
SEC FILE NUMBER
N
N
Allen C Ewing & Co.
8-42393
SEC FILE NUMBER
N
N
PTS Brokerage, LLC
8-65173
SEC FILE NUMBER
N
N
USA Financial Securities Corporation
8-52342
SEC FILE NUMBER
N
N
Hancock Whitney Corporation
549300GRNBWY8HIICT41
N
N
Avisen Securities, Inc.
8-65833
SEC FILE NUMBER
N
N
MidWestern Securities Trading Company, LLC
8-52074
SEC FILE NUMBER
N
N
City National Bank
549300MEMKSF7703ZQ25
N
N
GWFS Equities, Inc.
8-33854
SEC FILE NUMBER
N
N
Equity Services, Inc.
8-14286
SEC FILE NUMBER
N
N
B.C. Ziegler & Company
549300NLEOFP92P38Q71
N
N
Safra Securities LLC
E51AOUORNWWT747CBW71
N
N
Pruco Securities, LLC.
8-16402
SEC FILE NUMBER
N
N
Feldstein Financial Group, LLC
8-53388
SEC FILE NUMBER
N
N
Hartford Funds Management Company, LLC
801-77209
SEC FILE NUMBER
N
Y
Griffinest Asia Securities, LLC
8-66571
SEC FILE NUMBER
N
N
Horan Securities, Inc.
8-49192
SEC FILE NUMBER
N
N
XP Securities, LLC
549300HDFLS7P433PO89
N
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Moloney Securities Co., Inc.
8-48326
SEC FILE NUMBER
N
N
NYLife Distributors LLC
8-46655
SEC FILE NUMBER
N
N
The Garbacz Group Inc.
8-42366
SEC FILE NUMBER
N
N
Davenport & Company LLC
254900GN2SAXJGLMS075
N
N
Roberts & Ryan Investments Inc.
254900A6VIVO4DP1T126
N
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Intercam Securiteis, Inc.
8-67840
SEC FILE NUMBER
N
N
Commonwealth Equity Services, Inc.
8-24040
SEC FILE NUMBER
N
N
BFT Financial Group, LLC
8-53487
SEC FILE NUMBER
N
N
Wells Fargo Securities, LLC
8-65876
SEC FILE NUMBER
N
N
CapFinancial Securities, LLC
8-65870
SEC FILE NUMBER
N
N
American Portfolios Financial Services, Inc.
8-37085
SEC FILE NUMBER
N
N
Hudson Heritage Capital Management, Inc.
8-50648
SEC FILE NUMBER
N
N
Parkland Securities, LLC
8-53482
SEC FILE NUMBER
N
N
The Windmill Group, Inc.
8-25280
SEC FILE NUMBER
N
N
Mercer HR Services, LLC
N/A
N
Y
Bankoh Investment Services, Inc.
8-44201
SEC FILE NUMBER
N
N
Mesirow Financial, Inc.
549300BIV46SUHPOFE54
N
N
Empire Asset Management Company
8-67520
SEC FILE NUMBER
N
N
Apex Clearing Corporation
5493000418CITRF5BO80
N
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Thompson Davis & Co., Inc.
8-49386
SEC FILE NUMBER
N
N
BOK Financial Securities, Inc.
2Q57THMJB7JL1206V012
N
N
ACP Securities, LLC
254900GHLAGD9J81O211
N
N
Glen Eagle Advisors LLC
8-65678
SEC FILE NUMBER
N
N
Independent Financial Group, LLC
254900KYWXHSQ7RMNP09
N
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Garden State Securities, Inc.
8-25790
SEC FILE NUMBER
N
N
TD Ameritrade Clearing, Inc.
MRK678VXOI09YSSN8X19
N
Y
Morgan Stanley & Co. LLC
9R7GPTSO7KV3UQJZQ078
N
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Weston Securities Corporation
8-32664
SEC FILE NUMBER
N
N
Commerce Brokerage Services, Inc.
8-35096
SEC FILE NUMBER
N
N
Benchmark Investments, Inc.
8-52280
SEC FILE NUMBER
N
N
First Horizon Advisors, Inc.
8-35061
SEC FILE NUMBER
N
N
ACA/Prudent Investors Planning Corporation
8-51899
SEC FILE NUMBER
N
N
LPL Financial LLC
5493005NM7F0H1N3EQ39
N
Y
Institutional Securities Corporation
2549007EJ1PSLA8XVA50
N
N
Sigma Financial Corporation
8-30466
SEC FILE NUMBER
N
N
FMN Capital Corporation
8-48082
SEC FILE NUMBER
N
N
Vanguard Group, Inc., The
5493002789CY3L0CJP65
N
Y
HSBC Securities (USA), Inc.
CYYGQCGNHMHPSMRL3R97
N
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Woodlands Securities Corporation
8-39700
SEC FILE NUMBER
N
N
Piper Jaffray & Co.
549300GRQCWQ3XGH0H10
N
N
Centennial Securities Company, LLC
8-23406
SEC FILE NUMBER
N
N
Itau International Securities, Inc.
54930086LDFU8Z86AH91
N
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Hefren-Tillotson, Inc.
8-10646
SEC FILE NUMBER
N
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Arlington Securities, Inc.
8-38098
SEC FILE NUMBER
N
N
Coinbase Capital Markets Corporation
8-28032
SEC FILE NUMBER
N
N
Carter, Terry & Company, Inc.
8-33797
SEC FILE NUMBER
N
N
L. B. Fisher & Company
8-21023
SEC FILE NUMBER
N
N
Horace Mann Life Insurance Co.
5493000HR2JKKNH2FL09
N
N
White Mountain Capital, LLC
8-52572
SEC FILE NUMBER
N
N
Sorrento Pacific Financial, LLC
8-66046
SEC FILE NUMBER
N
N
Allegiance Capital, L.L.C.
8-52978
SEC FILE NUMBER
N
N
Michigan Securities, Inc. (dba Broadstone Securities)
8-52094
SEC FILE NUMBER
N
N
Ace Diversified Capital, Inc.
8-49555
SEC FILE NUMBER
N
N
Allegheny Investments, Ltd.
8-22183
SEC FILE NUMBER
N
N
Farmers Financial Solutions, LLC
8-52361
SEC FILE NUMBER
N
N
T. Rowe Price Investment Services, Inc.
8-25130
SEC FILE NUMBER
N
N
Boreal Capital Securities LLC
549300NMHK6HTSKCG696
N
N
Colorado Financial Service Corporation
8-52817
SEC FILE NUMBER
N
N
Chalice Capital Partners, LLC
8-69967
SEC FILE NUMBER
N
N
The O.N. Equity Sales Company
8-14161
SEC FILE NUMBER
N
N
Centaurus Financial, Inc.
8-45185
SEC FILE NUMBER
N
N
Spire Securities, LLC
8-67635
SEC FILE NUMBER
N
N
Crescent Securities Group
8-53457
SEC FILE NUMBER
N
N
1st Discount Brokerage, Inc.
8-48557
SEC FILE NUMBER
N
N
Berthel, Fisher & Company Financial Services, Inc.
8-29426
SEC FILE NUMBER
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Classic LLC
8-68981
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Nations Financial Group, Inc.
8-50588
SEC FILE NUMBER
N
N
Liberty Partners Financial Services, LLC
8-66335
SEC FILE NUMBER
N
N
Midland Securities, Ltd.
8-40685
SEC FILE NUMBER
N
N
Raymond James & Associates, Inc.
U4ONQX15J3RO8XCKE979
N
N
TD Private Client Wealth LLC
8-69105
SEC FILE NUMBER
N
N
Talcott Resolution Life Insurance Company
8CE7JPU9IU72L3PPD756
N
Y
Lincoln Financial Securities Corporation
8-14609
SEC FILE NUMBER
N
N
MML Investors Services, LLC
8-27250
SEC FILE NUMBER
N
N
Morgan Stanley Smith Barney LLC
7PDDXEMZ0ZV0CEDU4D16
N
N
Colliers Securities LLC
549300OD1C69R64IVC38
N
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S.G. Long & Company
8-51816
SEC FILE NUMBER
N
N
ICMA-RC Services, Inc.
8-40268
SEC FILE NUMBER
N
N
USCA Securities LLC
254900GBMSP1Y45THR66
N
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J.D. Seibert & Company, Inc.
8-23604
SEC FILE NUMBER
N
N
ING Financial Markets LLC
KBVRJ5K57JZ3E2AVWX40
N
N
BNP Paribas Securities Corp
RCNB6OTYUAMMP879YW96
N
N
James I. Black & Company
8-12077
SEC FILE NUMBER
N
N
New England Pension Plan Systems, LLC
N/A
N
Y
NTB Financial Corporation
8-21884
SEC FILE NUMBER
N
N
Sage, Rutty & Co., Inc.
8-00533
SEC FILE NUMBER
N
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SunTrust Investment Services, Inc.
8-35355
SEC FILE NUMBER
N
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Davinci Capital Management Inc.
8-51580
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N
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TD Ameritrade, Inc.
CWQYQU0TV2NLMLZKNB44
N
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Hazard & Siegel, Inc.
8-13942
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Smith, Moore & Co.
8-27480
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First Asset Financial, Inc.
8-67191
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N
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Fiduciary Trust International
N1YKEWO2IYPRS4742F57
N
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Anovest Financial Services, Inc.
8-66742
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N
N
Guardian Insurance & Annuity Company, Inc., The
TGIU5N0SIMULU6I57R64
N
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Client One Securities LLC
8-68494
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H. Beck, Inc.
8-31165
SEC FILE NUMBER
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Securian Financial Services, Inc.
8-31955
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Genworth Life Insurance Company of New York
E5VAS7I8GX5B0SDBX010
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Newport Group, Inc.
N/A
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Sunstreet Securities, LLC
8-67541
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H. C. Denison Co.
8-00044
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Securities America, Inc.
8-26602
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OneAmerica Securities, Inc.
8-15009
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N
Reliance Trust Company
549300NV8FSQRNOUQO50
N
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John Hancock Life Insurance Company of New York
5493007RYG4GXIKSQI18
CA
N
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Sanders Morris Harris Inc.
254900ZNPYV465D1NZ47
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M Holdings Securities, Inc.
8-50214
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National Securities Corp.
8-164
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Southeast Investments, N.C., Inc.
8-50127
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Shareholders Service Group, Inc.
8-65778
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Proequities, Inc.
8-32590
SEC FILE NUMBER
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Voya Retirement Insurance and Annuity Company
OK3MKCDYPD4NN6QDGK18
N
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Cutter & Company Brokerage, Inc.
8-39590
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Gladowsky Capital Management Corp.
8-51017
SEC FILE NUMBER
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Pacific Financial Associates, Inc.
8-40712
SEC FILE NUMBER
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Consolidated Financial Investments, Inc.
8-37004
SEC FILE NUMBER
N
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SecureVest Financial Group
254900LG3HPQV4J0WH27
N
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Fifth Third Bank
QFROUN1UWUYU0DVIWD51
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Rhodes Securities, Inc.
8-37689
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American Heritage Securities, Inc.
8-44466
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SKA Securities, Inc.
8-53366
SEC FILE NUMBER
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NorthWestern Mutual Investment Services, LLC
CYO86L8D7HTXW9SOZX28
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Signature Securities Group Corporation
8-52697
SEC FILE NUMBER
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American Century Investment Services, Inc.
8-35220
SEC FILE NUMBER
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Coker & Palmer, Inc.
254900V1KTPDN88TDS68
N
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General Securities Corp.
8-31654
SEC FILE NUMBER
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Ceros Financial Services, Inc.
549300N2YQ0P5G0WE562
N
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Ni Advisors
8-66841
SEC FILE NUMBER
N
N
Jefferies, LLC
58PU97L1C0WSRCWADL48
N
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Massachusetts Mutual Life Insurance Company
R6ZXK5P01NP6HXSY1S07
N
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CFD Investments, Inc.
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SEC FILE NUMBER
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Herndon Plant Oakley, LTD
8-50912
SEC FILE NUMBER
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Landolt Securities, Inc.
254900B2XEQ2HZGN7K90
N
N
Great Point Capital LLC
254900HN4IGCO53HDK23
N
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United Planners' Financial Services of America A Limited Partner
8-38485
SEC FILE NUMBER
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Verity Investments, Inc.
8-49474
SEC FILE NUMBER
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Voya Financial Partners, LLC
8-13987
SEC FILE NUMBER
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Independence Capital Co., Inc.
8-41331
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Brooklight Place Securities, Inc.
8-32673
SEC FILE NUMBER
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Paradigm Equities, Inc.
8-45593
SEC FILE NUMBER
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Highlander Capital Group, Inc.
8-37169
SEC FILE NUMBER
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TCAdvisors Network Inc.
8-46909
SEC FILE NUMBER
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Insigneo Securities, LLC
254900P4TTO6PU1VDH88
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Private Client Services, LLC
8-68183
SEC FILE NUMBER
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Mutual Securities, Inc.
8-28580
SEC FILE NUMBER
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Royal Alliance Associates, Inc.
8-40218
SEC FILE NUMBER
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LaBrunerie Financial Services, Inc.
8-47830
SEC FILE NUMBER
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Umpqua Investments, Inc.
8-02915
SEC FILE NUMBER
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The Leaders Group, Inc.
8-47639
SEC FILE NUMBER
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McClurg Capital Corporation
8-34473
SEC FILE NUMBER
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Sorsby Financial Corp.
8-48718
SEC FILE NUMBER
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Xml Securities, LLC
8-67776
SEC FILE NUMBER
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Aufhaser Securities, Inc.
8-48786
SEC FILE NUMBER
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Gerwin Group, Inc.
8-40282
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Regal Securities, Inc.
8-21765
SEC FILE NUMBER
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Uhlmann Price Securities, LLC
8-50041
SEC FILE NUMBER
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N.E. Private Client Advisors, Ltd.
8-66968
SEC FILE NUMBER
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Inverness Securities, LLC
8-66278
SEC FILE NUMBER
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Planners Financial Services, Inc.
8-18027
SEC FILE NUMBER
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Impact U. Investments, LLC
8-65527
SEC FILE NUMBER
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Wintrust Investments, LLC
8-00484
SEC FILE NUMBER
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Syndicated Capital, Inc.
8-44162
SEC FILE NUMBER
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Ascensus Financial Services, LLC
8-67891
SEC FILE NUMBER
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Alliant Securities, Inc. Turner, Nord, Kienbaum
8-23305
SEC FILE NUMBER
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Zions Direct, Inc.
8-35721
SEC FILE NUMBER
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Wright Investors' Service Distributors, Inc.
8-29579
SEC FILE NUMBER
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BBVA Securities Inc.
549300RJFN0Z663VE860
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Aventura Securities, LLC
8-67458
SEC FILE NUMBER
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Federated Securities, Inc.
8-15644
SEC FILE NUMBER
N
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Actinver Securities, Inc.
254900FT947VQZ1WHT28
N
N
Neuberger Berman LLC
PWDS3JJ631D5N70JXG61
N
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Principal Life Insurance Company
SDCMU2LVKGV2AF1KWP64
N
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Wells Fargo Clearing Services, LLC
88KRVSOEKUGQZJ3DKW55
N
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Abacus Investments, Inc.
8-46571
SEC FILE NUMBER
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Integrity Investments, Inc.
8-45302
SEC FILE NUMBER
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Mid-Atlantic Clearing & Settlement Corp.
8-47758
SEC FILE NUMBER
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ADP Broker-Dealer, Inc.
8-47885
SEC FILE NUMBER
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VALIC Financial Advisors, Inc.
8-50018
SEC FILE NUMBER
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Fifth Third Securities, Inc.
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N
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Lockton Financial Advisors, LLC
8-67090
SEC FILE NUMBER
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Trade-PMR Inc.
8-51390
SEC FILE NUMBER
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Advanced Advisor Group, LLC
8-67313
SEC FILE NUMBER
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Trustmont Financial Group, Inc.
8-36439
SEC FILE NUMBER
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Perryman Securities, Inc.
8-53546
SEC FILE NUMBER
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Stonecrest Capital Markets, Inc.
8-48754
SEC FILE NUMBER
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Abacus International Capital Corp.
8-46418
SEC FILE NUMBER
N
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Ameritas Investment Corp.
549300913B54XKSRM258
N
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First Manhattan Co.
549300NNJKVSO48I3G76
N
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American Financial Securities, Inc.
8-53205
SEC FILE NUMBER
N
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Samuel A Ramirez & Co., Inc.
254900CBKVW7O2ENQA21
N
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Exeter Trust Company
028-04279
SEC FILE NUMBER
N
N
The Tavenner Company
8-41206
SEC FILE NUMBER
N
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Fidelity Brokerage Services LLC
549300OQFQ4NFIOD5695
N
Y
Bolton Securities Corp.
8-68187
SEC FILE NUMBER
N
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BestVest Investments, Ltd.
254900SL6FW130BMS922
N
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Somerset Securities, Inc.
8-11539
SEC FILE NUMBER
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Innovation Partners LLC
549300IEQ78ON1HMTU71
N
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Finance 500, Inc.
8-28302
SEC FILE NUMBER
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Sycamore Financial Group
8-30302
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Raymond James Financial Services, Inc.
RGUZHJ05YTITL6D76949
N
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International Research Securities, Inc.
8-37954
SEC FILE NUMBER
N
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Founders Financial Securities LLC
8-67137
SEC FILE NUMBER
N
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TimeCapital Securities Corporation
8-18248
SEC FILE NUMBER
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Capital City Securities, LLC
8-67771
SEC FILE NUMBER
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Capitol Securities Management, Inc.
8-30353
SEC FILE NUMBER
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GWN Securities Inc.
8-66185
SEC FILE NUMBER
N
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Crews & Associates, Inc.
5493001BWSV3E82LZ446
N
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SWBC Investment Services, LLC
254900YIJJWABADWZ455
N
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BTS Securities Corporation
8-26818
SEC FILE NUMBER
N
N
Western Equity Group, Inc.
8-66403
SEC FILE NUMBER
N
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Independent Brokerage Solutions LLC
8-68549
SEC FILE NUMBER
N
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First Honolulu Securities, Inc.
8-23919
SEC FILE NUMBER
N
N
San Blas Securities LLC
25490079436TZN10JD83
N
N
Leigh Baldwin & Co., LLC
8-48385
SEC FILE NUMBER
N
N
D.A. Davidson & Co.
549300094RQ5A7DYLF51
N
N
AE Financial Services, LLC
8-70214
SEC FILE NUMBER
N
N
L.O. Thomas & Co. Inc.
8-40875
SEC FILE NUMBER
N
N
Hilltop Securities, Inc.
549300IXU82PMU6XZT45
N
N
Stephens Inc.
213800LH6T9XDYZCA534
N
N
American Trust Investment Services, Inc.
8-14394
SEC FILE NUMBER
N
N
Sabadell Securities USA, Inc.
2549002UK8JK82ABGD45
N
N
Tocqueville Securities L.P.
8-42223
SEC FILE NUMBER
N
N
Caldwell Securities, Inc.
549300ORF2FMHXODHJ66
N
N
Valley National Investments, Inc.
8-34427
SEC FILE NUMBER
N
N
Tradition Securities and Derivatives Inc.
WRYEFMSVQCH0EMD08461
N
N
Lincoln Financial Advisors Corporation
8-14685
SEC FILE NUMBER
N
N
Bankers Life Securities, Inc.
549300YBBLCDP5GDSH97
N
N
Securities Research, Inc.
8-23699
SEC FILE NUMBER
N
N
Deutsche Bank Securities Inc.
9J6MBOOO7BECTDTUZW19
N
N
OFG Financial Services, Inc.
8-40770
SEC FILE NUMBER
N
N
Packerland Brokerage Services, Inc.
8-47572
SEC FILE NUMBER
N
N
Cuso Financial Services, L.P.
8-49711
SEC FILE NUMBER
N
N
Broadridge Business Process Outsourcing, LLC
8-53412
SEC FILE NUMBER
N
Y
Kalos Capital, Inc.
8-50630
SEC FILE NUMBER
N
N
Westminster Financial Securities, Inc.
8-38426
SEC FILE NUMBER
N
N
Synovus Securities, Inc.
254900CM2K7N1E0JF171
N
N
Teckmeyer Financial Services, L.L.C.
8-48501
SEC FILE NUMBER
N
N
McLaughlin Ryder Investments, Inc.
8-67911
SEC FILE NUMBER
N
N
Intervest International Equities Corporation
8-38156
SEC FILE NUMBER
N
N
VectorGlobal WMG
254900K52VRYBHUGBC64
N
N
Watermark Securities, Inc.
8-43902
SEC FILE NUMBER
N
N
Hantz Financial Services, Inc.
8-51291
SEC FILE NUMBER
N
N
MGO Securities Corp.
8-47814
SEC FILE NUMBER
N
N
Mid Atlantic Capital Corporation
549300HJL2LPNSC0JX96
N
N
International Assets Advisory, LLC
254900ARMOHQNS987S09
N
N
Mid-Atlantic Securities, Inc.
8-36997
SEC FILE NUMBER
N
N
Diversified Resources, LLC
8-45497
SEC FILE NUMBER
N
N
Infinity Securities, Inc.
8-67647
SEC FILE NUMBER
N
N
Riversource Distributors, Inc.
8-67196
SEC FILE NUMBER
N
N
Cape Securities Inc.
8-20747
SEC FILE NUMBER
N
N
CIBC World Markets Corp.
549300445CON3DBMU275
N
N
APW Capital, Inc.
8-50433
SEC FILE NUMBER
N
N
Rehmann Financial Network
8-69134
SEC FILE NUMBER
N
N
E*Trade Savings Bank
549300DXPO50FJ75QA85
N
Y
Standard Insurance Company
549300KVA8DBYKHPXO21
N
Y
Alexander Capital, L.P.
8-48957
SEC FILE NUMBER
N
N
ViewTrade Securities, Inc.
549300CHLQDUD0NL5851
N
N
Insight Securities, Inc.
2549007I5MCG270G9341
N
N
Robert W. Baird & Co. Incorporated
549300772UJAHRD6LO53
N
N
Place Trade Financial, Inc.
8-65915
SEC FILE NUMBER
N
N
PTI Securities & Futures L.P.
8-44412
SEC FILE NUMBER
N
N
DMK Advisor Group, Inc.
8-49279
SEC FILE NUMBER
N
N
Great Pacific Securities
254900QRZ90SUI8C4W84
N
N
Nest Investments BD, LLC
8-70117
SEC FILE NUMBER
N
N
Gradient Securities, LLC
8-66032
SEC FILE NUMBER
N
N
TradeStation Securities, Inc.
549300T08P71XXBYLW62
N
N
John Hancock Trust Company LLC
549300W205WZCFZS6R51
N
Y
Lieblong & Associates, Inc.
8-49880
SEC FILE NUMBER
N
N
T.R. Winston & Company, LLC
8-27519
SEC FILE NUMBER
N
N
Wood (Arthur W.) Company, Inc.
8-03368
SEC FILE NUMBER
N
N
Grant Williams L.P.
8-51249
SEC FILE NUMBER
N
N
Cresap, Inc.
8-42117
SEC FILE NUMBER
N
N
National Financial Services, LLC
549300JRHF1MHHWUAW04
N
Y
Pershing Advisor Solutions, LLC
549300KTC63JRN36GZ84
N
N
Wescom Financial Services, LLC
8-66189
SEC FILE NUMBER
N
N
Cary Street Partners LLC
8-66085
SEC FILE NUMBER
N
N
SCF Securities, Inc.
8-51760
SEC FILE NUMBER
N
N
Nestlerode & Loy, Inc.
8-12629
SEC FILE NUMBER
N
N
Capital Management Securities, Inc.
8-27779
SEC FILE NUMBER
N
N
BAC Florida Investments
254900CAF9OPVE8VT408
N
N
Great-West Financial Retirement Plan Services, LLC
N/A
N
Y
Northern Trust Securities, Inc.
3CHSO99JSPHD9HGNYJ46
N
N
Pyramid Funds Corporation
8-12769
SEC FILE NUMBER
N
N
Cantella & Co., Inc.
254900Z33Q34HCFGHO19
N
N
Harvest Financial Corporation
8-26037
SEC FILE NUMBER
N
N
UBS Financial Services Inc.
ETYRV6ORNFJB5NONI676
N
N
Access Investments, Inc.
8-49750
SEC FILE NUMBER
N
N
Hancock Whitney Investment Services, Inc.
8-49106
SEC FILE NUMBER
N
N
Financial Northeastern Securities, Inc.
549300QRRF2NAV5G3869
N
N
Calton & Associates, Inc.
254900TDJ7LH64ZKRY86
N
N
Sanctuary Securities, Inc.
2549007WBAL2Z578XQ34
N
N
Wiley Bros.-Aintree Capital, LLC
8-03774
SEC FILE NUMBER
N
N
Teachers Insurance and Annuity Association of America
O06YD7BJ4EPYNABVFN69
N
Y
Duncan-Williams, Inc.
25490045VHLUZ7H92Y27
N
N
Globalink Securities, Inc.
8-44509
SEC FILE NUMBER
N
N
Arete Wealth Management, LLC
8-50854
SEC FILE NUMBER
N
N
Gold Coast Securities, Inc.
8-53148
SEC FILE NUMBER
N
N
Transamerica Financial Advisors, Inc.
549300JW32XCZSHI0878
N
N
Andbanc Brokerage, LLC
213800E4CWGFMCDQZ792
N
N
Integrated Financial Planning Services
8-35120
SEC FILE NUMBER
DE
N
N
Portsmouth Financial Services
8-30097
SEC FILE NUMBER
N
N
Logan Group Securities
8-48995
SEC FILE NUMBER
N
N
SunTrust Bank
IYDOJBGJWY9T8XKCSX06
N
N
Citizens Securities, Inc.
2138006RAPI5PE2ZGW36
N
N
Lebenthal Financial Services, Inc
8-67140
SEC FILE NUMBER
N
N
Dinosaur Financial Group, LLC
549300CCV3H232GBUN83
N
N
Maxim Group LLC
254900OJ6JZO6SDMHQ83
N
N
J. Alden Associates, Inc.
8-48938
SEC FILE NUMBER
N
N
Capital Institutional Services, Inc.
54930061X8RDWFDJIS05
N
N
VOYA Investments Distributors, LLC
8-48020
SEC FILE NUMBER
N
N
Gregory J. Schwartz & Co., Inc.
8-20955
SEC FILE NUMBER
N
N
Vision Financial Markets LLC
549300J0X8HK9GUADL55
N
N
Capital Investment Brokerage, Inc.
8-49118
SEC FILE NUMBER
N
N
Callaway Financial Services, Inc.
8-52474
SEC FILE NUMBER
N
N
Akar Capital Management, Inc.
8-28026
SEC FILE NUMBER
N
N
Oppenheimer & Co. Inc.
254900VH02JQR2L8XD64
N
N
BancWest Investment Services, Inc.
5493001GJYTESEZEBA51
N
N
Mutual Trust Co. of America Securities
254900PUBUB7IS4GNY27
N
N
JHW Financial Services Inc.
8-45304
SEC FILE NUMBER
N
N
Middlegate Securities Ltd.
549300ZVONUQ845QCH95
N
N
FSC Securities Corporation
8-21770
SEC FILE NUMBER
N
N
Citigroup Global Markets Inc.
MBNUM2BPBDO7JBLYG310
N
N
Advisory Group Equity Services, Ltd.
8-32155
SEC FILE NUMBER
N
N
TFS Securities, Inc.
8-38377
SEC FILE NUMBER
N
N
Woodmen Financial Services, Inc.
8-53592
SEC FILE NUMBER
N
N
Omni Financial Securities
8-44034
SEC FILE NUMBER
N
N
VALIC Retirement Services Company
84-06057
SEC FILE NUMBER
N
N
Carty & Company, Inc.
8-19082
SEC FILE NUMBER
N
N
CUNA Brokerage Services, Inc.
549300G6Y6BPF9ZL4706
N
N
KCD Financial, Inc.
8-66005
SEC FILE NUMBER
N
N
Morris Group, Inc.
549300JWKS0KMDOX5G12
N
N
M. S. Howells & Co.
8-52558
SEC FILE NUMBER
N
N
RBC Capital Markets, LLC
549300LCO2FLSSVFFR64
N
Y
Hanson McClain Retirement Network, LP
8-52250
SEC FILE NUMBER
N
N
Oscar Gruss & Son Incorporated
549300V78DH9XCK5UI63
N
N
The GMS Group, LLC
254900OXZT27TA5CGU56
N
N
Ausdal Financial Partners, Inc.
8-24519
SEC FILE NUMBER
N
N
Arque Capital, Ltd.
8-65390
SEC FILE NUMBER
N
N
Allianz Life Financial Services, LLC
5493008TSI0TRWDDGW79
N
N
Jack V. Butterfield Investment Company
8-12454
SEC FILE NUMBER
N
N
Symphonic Securities LLC
8-67220
SEC FILE NUMBER
N
N
IFP Securities
8-70150
SEC FILE NUMBER
N
N
American United Life Insurance Company
549300T82H2DXU80LV98
N
Y
ValMark Securities, Inc.
8-45463
SEC FILE NUMBER
N
N
Portfolio Resources Group, Inc.
549300TKCYL1XNXOL896
N
N
Sunbelt Securities, Inc.
8-49748
SEC FILE NUMBER
N
N
Lion Street Financial, LLC
8-69183
SEC FILE NUMBER
N
N
Regions Bank
EQTWLK1G7ODGC2MGLV11
N
N
Ameriprise Financial Services, Inc.
8-16791
SEC FILE NUMBER
N
N
MML Distributors, LLC
8-48203
SEC FILE NUMBER
N
N
Integral Financial LLC
2549000I2CBZTJRHG786
N
N
Huntleigh Securities Corporation
8-21893
SEC FILE NUMBER
N
N
First Western Securities, Inc.
8-37613
SEC FILE NUMBER
N
N
Century Securities Associates, Inc.
8-43514
SEC FILE NUMBER
N
N
Invex, Inc.
NPOTUCXQYGXX5PO6VH74
N
N
Investment Planners, Inc.
8-35642
SEC FILE NUMBER
N
N
Gardner Financial Services, Inc.
8-38631
SEC FILE NUMBER
N
N
Snowden Account Services, Inc.
254900WVSS0BX602UF45
N
N
Ladenburg Thalman & Co. Inc.
2549000V3L2KK4L76W91
N
N
Coordinated Capital Securities, Inc.
8-31173
SEC FILE NUMBER
N
N
Principled Advisors, Inc.
8-66451
SEC FILE NUMBER
N
N
L.M. Kohn & Company
8-43303
SEC FILE NUMBER
N
N
R. Seelaus & Co., Inc.
2138004J7AJDLCOJYA06
N
N
Alight Solutions LLC
084-01996
SEC FILE NUMBER
N
Y
Saturna Brokerage Services, Inc.
8-36558
SEC FILE NUMBER
N
N
Allstate Financial Services, LLC
8-36365
SEC FILE NUMBER
N
N
Amuni Financial, Inc
8-25338
SEC FILE NUMBER
N
N
Signal Securities, Inc.
8-32948
SEC FILE NUMBER
N
N
The Oak Ridge Financial Services Group, Inc.
2549003647MDU9F6QN39
N
N
World Choice Securities, Inc.
8-45235
SEC FILE NUMBER
N
N
Money Concepts Capital Corp.
8-29671
SEC FILE NUMBER
N
N
United States Life Insurance Company in the City of New York
549300C1JQGJ0MNUMG79
N
Y
Silver Oak Securities, Incorporated
8-51601
SEC FILE NUMBER
N
N
BNY Mellon Securities Corporation
8-13801
SEC FILE NUMBER
N
N
Lombard Securities, Inc.
8-43340
SEC FILE NUMBER
N
N
Crown Capital Securities, L.P.
8-17264
SEC FILE NUMBER
N
N
Ustocktrade Securities, Inc.
8-33132
SEC FILE NUMBER
N
N
State Street Bank and Trust Company
571474TGEMMWANRLN572
N
N
Peak Brokerage Services, LLC
8-68829
SEC FILE NUMBER
N
N
Mack Investment Securities, Inc.
8-35536
SEC FILE NUMBER
N
N
Y
BNY Mellon Investment Servicing (US) Inc.
549300CFZQLI9QMJ1Z03
N
Y
BLACKROCK ADVISORS, LLC
5493001LN9MRM6A35J74
Y
N
N
BLACKROCK EXECUTION SERVICES
008-48719
000039438
549300HFCRQ0NT5KY652
0.00000000
BLACKROCK INVESTMENTS, LLC
008-48436
000038642
54930061FBHCKXL2G714
0.00000000
VIRTU AMERICAS LLC
008-68193
000149823
549300RA02N3BNSWBV74
943.00000000
MORGAN STANLEY & CO. LLC
008-15869
000008209
9R7GPTSO7KV3UQJZQ078
1638.00000000
J.P. Morgan Securities LLC
008-35008
000000079
ZBUT11V806EZRVTWT807
1917.00000000
UBS Securities LLC
008-22651
000007654
T6FIZBDPKLYJKFCRVK44
781.00000000
CREDIT SUISSE SECURITIES (USA) LLC
008-00422
000000816
1V8Y6QCX6YMJ2OELII46
1218.00000000
BOFA SECURITIES, INC.
008-69787
000283942
549300HN4UKV1E2R3U73
735.00000000
JEFFERIES LLC
008-15074
000002347
58PU97L1C0WSRCWADL48
747.00000000
GOLDMAN SACHS & CO. LLC
008-00129
000000361
FOR8UP27PHTHYVLBNG30
2270.00000000
CitiGroup Global Markets Inc.
008-08177
000007059
MBNUM2BPBDO7JBLYG310
666.00000000
SG AMERICAS SECURITIES LLC
008-66125
000128351
549300F35UE0BOM1WJ55
698.00000000
12410.00000000
MORGAN STANLEY & CO. LLC
008-15869
000008209
9R7GPTSO7KV3UQJZQ078
33726.00000000
BlackRock Liquidity Funds T-Fund
N/A
N/A
5493002L9DNZ83RX7V61
32985366.00000000
CitiGroup Global Markets Inc.
008-08177
000007059
MBNUM2BPBDO7JBLYG310
85315.00000000
BOFA SECURITIES, INC.
008-69787
000283942
549300HN4UKV1E2R3U73
20606.00000000
GOLDMAN SACHS & CO. LLC
008-00129
000000361
FOR8UP27PHTHYVLBNG30
242327.00000000
33367340.00000000
Y
12963376.00000000
0.00000000
Committed
1750000000.00000000
N
N
N
N
BlackRock Health Sciences Opportunities Portfolio
S000001877
VN6DJGBO8DKY0GTM4883
N
6
0
0
N/A
N
N
Y
N
N
BlackRock Investment Management, LLC
5493006MRTEZZ4S4CQ20
Y
N
Cash collateral reinvestment fee
Revenue sharing split
Other
Rebates paid to borrowers
129015370.00000000
780942.00000000
Rule 32a-4 (17 CFR 270.32a-4)
Rule 12d1-1 (17 CFR 270.12d1-1)
Rule 12d1-4 (17 CFR 270.12d1-4)
Rule 22d-1 (17 CFR 270.22d-1)
Rule 17a-6 (17 CFR 270.17a-6)
Y
Y
N
N
BlackRock Advisors, LLC
801-47710
000106614
5493001LN9MRM6A35J74
N
BNY Mellon Investment Servicing (US) Inc.
084-01761
549300CFZQLI9QMJ1Z03
N
N
N
Intercontinental Exchange, Inc.
5493000F4ZO33MV32P92
N
N
CLEARSTREAM BANKING AKTIENGESELLSCHAFT (Germany)
549300298FD7AS4PPU70
DE
N
Y
Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Skandinaviska Enskilda Banken AB, Vilniaus Bankas
F3JS33DEI6XQ4ZBPTN86
LT
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Citibank Europe PLC, Hungarian Branch Office
N1FBEDJ5J41VKZLO2475
HU
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Bank Hapoalim B.M.
B6ARUI4946ST4S7WOU88
IL
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
UBS Securities LLC
T6FIZBDPKLYJKFCRVK44
N
Y
Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Euroclear Nederland (Netherlands)
549300CBNW05DILT6870
NL
N
Y
Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Deutsche Bank AG (India)
529900XJG4R4MYZD2W75
IN
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Skandinaviska Enskilda Banken AB
F3JS33DEI6XQ4ZBPTN86
SE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
The Hongkong and Shanghai Banking Corporation Limited
2HI3YI5320L3RW6NJ957
HK
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Euroclear France
54930060MY6S68NEUP16
FR
N
Y
Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Goldman Sachs & Co. LLC
FOR8UP27PHTHYVLBNG30
N
Y
Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
The Bank of New York Mellon
HPFHU0OQ28E4N0NFVK49
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Euroclear Bank SA/NV (Belgium)
549300OZ46BRLZ8Y6F65
BE
N
Y
Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Skandinaviska Enskilda Banken AB, Oslo Branch
F3JS33DEI6XQ4ZBPTN86
NO
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Banco Bilbao Vizcaya Argentaria SA
K8MS7FD7N5Z2WQ51AZ71
ES
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Citibank Europe Plc, Sucursal em Portugal
N1FBEDJ5J41VKZLO2475
PT
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Deutsche Bank AG (South Korea)
529900BSQ2VSODGMGR72
KR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
The Hongkong and Shanghai Banking Corporation Limited, New Zealand Branch
2HI3YI5320L3RW6NJ957
NZ
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
MONTE TITOLI S.P.A.
8156009CEEE1B8C7C646
IT
N
Y
Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Skandinaviska Enskilda Banken AB, Copenhagen Branch
F3JS33DEI6XQ4ZBPTN86
DK
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Barclays Capital Inc.
AC28XWWI3WIBK2824319
N
Y
Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Skandinaviska Enskilda Banken AB, Helsinki Branch
F3JS33DEI6XQ4ZBPTN86
FI
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
HSBC Shanghai
2CZOJRADNJXBLT55G526
CN
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Credit Suisse Securities (USA) LLC
1V8Y6QCX6YMJ2OELII46
N
Y
Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
The Standard Bank of South Africa Limited
QFC8ZCW3Q5PRXU1XTM60
ZA
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Morgan Stanley & Co. LLC
9R7GPTSO7KV3UQJZQ078
N
Y
Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
CIBC Mellon Trust Company
549300IYUUH221WBZ505
CA
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
MUFG Bank, Ltd.
C3GTMMZIHMY46P4OIX74
JP
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Citibank N.A., Brazilian Branch
1P0UUG7LC1S92QTNHG39
BR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
HSBC Shenzhen
213800H3TEBTFHD5JR69
CN
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Citibanamex
5493004NLEXB8DK06353
MX
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
UniCredit Bank Austria AG
D1HEB8VEU6D9M8ZUXG17
AT
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
BNP Paribas Securities Services (Athens)
549300WCGB70D06XZS54
GR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Credit Suisse (Switzerland) Ltd.
549300CWR0W0BCS9Q144
CH
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Euroclear UK & Ireland Limited
549300M5MYAD51WHJD55
GB
N
Y
Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
The Hongkong and Shanghai Banking Corporation Limited, Australia Branch
2HI3YI5320L3RW6NJ957
AU
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Citigroup Global Markets Inc.
MBNUM2BPBDO7JBLYG310
N
Y
Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
The Hongkong and Shanghai Banking Corporation Limited, Singapore Branch
2HI3YI5320L3RW6NJ957
SG
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Y
Coinbase Capital Markets Corporation
8-28032
SEC FILE NUMBER
N
N
North South Capital, LLC
549300ODEKJCRN2AM859
N
N
PNC Capital Markets LLC
7OGNSSLOQJ8U3B9Y5F18
N
N
SECU Brokerage Services
8-37927
SEC FILE NUMBER
N
N
Lombard Securities, Inc.
8-43340
SEC FILE NUMBER
N
N
Multiple Financial Services, Inc.
8-52017
SEC FILE NUMBER
N
N
Allegheny Investments, Ltd.
8-22183
SEC FILE NUMBER
N
N
Park Avenue Securities LLC
8-51324
SEC FILE NUMBER
N
N
Gradient Securities, LLC
8-66032
SEC FILE NUMBER
N
N
Lincoln Douglas Investments LLC
8-68728
SEC FILE NUMBER
N
N
TFS Securities, Inc.
8-38377
SEC FILE NUMBER
N
N
Capital Synergy Partners, Inc.
8-68060
SEC FILE NUMBER
N
N
Transamerica Advisors Life Insurance Company
F1PLTWZ8OU4HQGZQAP31
N
N
Securian Financial Services, Inc.
8-31955
SEC FILE NUMBER
N
N
Finance 500, Inc.
8-28302
SEC FILE NUMBER
N
N
Packerland Brokerage Services, Inc.
8-47572
SEC FILE NUMBER
N
N
Rogan & Associates, Inc.
8-49995
SEC FILE NUMBER
N
N
Somerset Securities, Inc.
8-11539
SEC FILE NUMBER
N
N
Dempsey Lord Smith, LLC
8-67469
SEC FILE NUMBER
N
N
Kovack Securities Inc.
25490070RG17Z4I70I82
N
N
BTG Pactual US Capital, LLC
549300EUEDL5GKQW8U35
N
N
Wiley Bros.-Aintree Capital, LLC
8-03774
SEC FILE NUMBER
N
N
PNC Bank, N.A.
AD6GFRVSDT01YPT1CS68
N
N
Gerwin Group, Inc.
8-40282
SEC FILE NUMBER
N
N
Nest Investments BD, LLC
8-70117
SEC FILE NUMBER
N
N
Geneos Wealth Management, Inc.
8-65357
SEC FILE NUMBER
N
N
Carty & Company, Inc.
8-19082
SEC FILE NUMBER
N
N
Comerica Securities, Inc.
5493009QV211JEW7ZV59
N
N
Access Investments, Inc.
8-49750
SEC FILE NUMBER
N
N
Crescent Securities Group
8-53457
SEC FILE NUMBER
N
N
World Capital Brokerage, Inc.
8-06805
SEC FILE NUMBER
N
N
James I. Black & Company
8-12077
SEC FILE NUMBER
N
N
Fieldpoint Private Securities, LLC
8-37105
SEC FILE NUMBER
N
N
B.C. Ziegler & Company
549300NLEOFP92P38Q71
N
N
Rothschild Investment Corporation
8-16429
SEC FILE NUMBER
N
N
Broadridge Business Process Outsourcing, LLC
8-53412
SEC FILE NUMBER
N
Y
Ausdal Financial Partners, Inc.
8-24519
SEC FILE NUMBER
N
N
State Farm VP Management Corp
8-50128
SEC FILE NUMBER
N
N
Intercam Securiteis, Inc.
8-67840
SEC FILE NUMBER
N
N
Investment Security Corporation
8-51832
SEC FILE NUMBER
N
N
Mutual Trust Co. of America Securities
254900PUBUB7IS4GNY27
N
N
SFA Financial, LLC
8-68156
SEC FILE NUMBER
N
N
Actinver Securities, Inc.
254900FT947VQZ1WHT28
N
N
Pershing, LLC
8-17574
SEC FILE NUMBER
N
Y
Arive Capital Markets
8-43350
SEC FILE NUMBER
N
N
Lincoln Financial Distributors, Inc.
8-13431
SEC FILE NUMBER
N
N
Amerant Investments, Inc.
254900M8G8SSAIMHET60
N
N
Santander Securities LLC
8-49571
SEC FILE NUMBER
N
N
Adcap Securities, LLC
254900EMZBEIM1FAO022
N
N
Stonecrest Capital Markets, Inc.
8-48754
SEC FILE NUMBER
N
N
Rhodes Securities, Inc.
8-37689
SEC FILE NUMBER
N
N
Stifel, Nicolaus & Company, Incorporated
5WUVMA08EYG4KEUPW589
N
Y
BestVest Investments, Ltd.
254900SL6FW130BMS922
N
N
Western International Securities, Inc.
8-48572
SEC FILE NUMBER
N
N
Saturna Trust Company
N/A
N
Y
Essex Securities LLC
8-51472
SEC FILE NUMBER
N
N
L.S.Y., Inc.
8-17613
SEC FILE NUMBER
N
N
Darwood Associates Incorporated
8-16560
SEC FILE NUMBER
N
N
Mesirow Financial, Inc.
549300BIV46SUHPOFE54
N
N
Rehmann Financial Network
8-69134
SEC FILE NUMBER
N
N
American Century Investment Services, Inc.
8-35220
SEC FILE NUMBER
N
N
Alliant Securities, Inc. Turner, Nord, Kienbaum
8-23305
SEC FILE NUMBER
N
N
Hightower Securities, LLC
549300F189LKWDZLP954
N
N
Horace Mann Investors, Inc.
8--6082
SEC FILE NUMBER
N
N
Concorde Investment Services, LLC
8-68388
SEC FILE NUMBER
N
N
Southeast Investments, N.C., Inc.
8-50127
SEC FILE NUMBER
N
N
Barclays Capital Inc.
AC28XWWI3WIBK2824319
N
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Cambridge Investment Research, Inc.
8-48740
SEC FILE NUMBER
N
N
Riversource Distributors, Inc.
8-67196
SEC FILE NUMBER
N
N
Sorsby Financial Corp.
8-48718
SEC FILE NUMBER
N
N
Chalice Capital Partners, LLC
8-69967
SEC FILE NUMBER
N
N
Purshe Kaplan Sterling Investments
8-46844
SEC FILE NUMBER
N
N
Morgan Stanley & Co. LLC
9R7GPTSO7KV3UQJZQ078
N
N
Northwest Investment Advisors, Inc.
8-65282
SEC FILE NUMBER
N
N
Jack V. Butterfield Investment Company
8-12454
SEC FILE NUMBER
N
N
Teckmeyer Financial Services, L.L.C.
8-48501
SEC FILE NUMBER
N
N
ViewTrade Securities, Inc.
549300CHLQDUD0NL5851
N
N
Loria Financial Group, LLC
8-52128
SEC FILE NUMBER
N
N
McClurg Capital Corporation
8-34473
SEC FILE NUMBER
N
N
Monere Investments, Inc.
8-52982
SEC FILE NUMBER
N
N
American Financial Associates, Inc.
8-44065
SEC FILE NUMBER
N
N
Intervest International Equities Corporation
8-38156
SEC FILE NUMBER
N
N
CFS Securities, Inc.
8-51330
SEC FILE NUMBER
N
N
Carter, Terry & Company, Inc.
8-33797
SEC FILE NUMBER
N
N
Moloney Securities Co., Inc.
8-48326
SEC FILE NUMBER
N
N
Fidelity Investments Institutional Operations Company, Inc.
549300XVSM8LN3LQOK63
N
Y
Vision Financial Markets LLC
549300J0X8HK9GUADL55
N
N
Superior Financial Services, Inc.
549300BK1DNLS1A2MZ43
N
N
First Kentucky Securities Corporation
8-22224
SEC FILE NUMBER
N
N
Classic LLC
8-68981
SEC FILE NUMBER
N
N
Westminster Financial Securities, Inc.
8-38426
SEC FILE NUMBER
N
N
Sorrento Pacific Financial, LLC
8-66046
SEC FILE NUMBER
N
N
Capital Portfolio Management, Inc.
8-44225
SEC FILE NUMBER
N
N
Huntleigh Securities Corporation
8-21893
SEC FILE NUMBER
N
N
Itau International Securities, Inc.
54930086LDFU8Z86AH91
N
N
Marsco Investment Corporation
8-36754
SEC FILE NUMBER
N
N
Ladenburg Thalman & Co. Inc.
2549000V3L2KK4L76W91
N
N
TRG Advisors, Inc.
8-50449
SEC FILE NUMBER
N
N
Charles Schwab Bank
549300INFJ8TYNZ1G568
N
Y
Fidelity Brokerage Services LLC
549300OQFQ4NFIOD5695
N
Y
Kalos Capital, Inc.
8-50630
SEC FILE NUMBER
N
N
Sisung Securities Corporation
254900KJI3EYKKPWT989
N
N
Family Investors Company
8-11190
SEC FILE NUMBER
N
N
The Lawrence D. Vitez Corp. DBA Consolidated Securities
8-48642
SEC FILE NUMBER
N
N
Leigh Baldwin & Co., LLC
8-48385
SEC FILE NUMBER
N
N
A.G.P/Alliance Global Partners
549300QJQ08RJGC7D885
N
N
Chapin Davis Inc
8-43485
SEC FILE NUMBER
N
N
Piper Jaffray & Co.
549300GRQCWQ3XGH0H10
N
N
Signature Securities Group Corporation
8-52697
SEC FILE NUMBER
N
N
MML Distributors, LLC
8-48203
SEC FILE NUMBER
N
N
GRF Capital Investors, Inc.
8-41494
SEC FILE NUMBER
N
N
Independent Brokerage Solutions LLC
8-68549
SEC FILE NUMBER
N
N
American Trust Investment Services, Inc.
8-14394
SEC FILE NUMBER
N
N
Regulus Advisors, LLC
8-68275
SEC FILE NUMBER
N
N
AE Financial Services, LLC
8-70214
SEC FILE NUMBER
N
N
Coastal Equities, Inc.
8-40822
SEC FILE NUMBER
N
N
Cresap, Inc.
8-42117
SEC FILE NUMBER
N
N
Nicol Investors Corporation
8-65566
SEC FILE NUMBER
N
N
First Manhattan Co.
549300NNJKVSO48I3G76
N
N
Lockton Financial Advisors, LLC
8-67090
SEC FILE NUMBER
N
N
Innovation Partners LLC
549300IEQ78ON1HMTU71
N
N
Aventura Securities, LLC
8-67458
SEC FILE NUMBER
N
N
TrustFirst, Inc.
8-48509
SEC FILE NUMBER
N
N
American National Trust And Investment Management Company
028-00344
SEC FILE NUMBER
N
N
Allegiance Capital, L.L.C.
8-52978
SEC FILE NUMBER
N
N
Benefit Trust Company
N/A
N
Y
DFPG Investments, Inc.
8-68730
SEC FILE NUMBER
N
N
Money Concepts Capital Corp.
8-29671
SEC FILE NUMBER
N
N
Woodbury Financial Services, Inc.
8-13846
SEC FILE NUMBER
N
N
J.W. Cole Financial, Inc.
8-65698
SEC FILE NUMBER
N
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Landolt Securities, Inc.
254900B2XEQ2HZGN7K90
N
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CapFinancial Securities, LLC
8-65870
SEC FILE NUMBER
N
N
Financial Northeastern Securities, Inc.
549300QRRF2NAV5G3869
N
N
Pacific Financial Associates, Inc.
8-40712
SEC FILE NUMBER
N
N
Hartford Funds Management Company, LLC
801-77209
SEC FILE NUMBER
N
Y
Ameriprise Financial Services, Inc.
8-16791
SEC FILE NUMBER
N
N
Conduent HR Services LLC
084-06035
SEC FILE NUMBER
N
Y
PNC Investments, LLC
8-66195
SEC FILE NUMBER
N
N
ACP Securities, LLC
254900GHLAGD9J81O211
N
N
Chelsea Morgan Securities, Inc.
8-51916
SEC FILE NUMBER
N
N
NTB Financial Corporation
8-21884
SEC FILE NUMBER
N
N
Voya Financial Partners, LLC
8-13987
SEC FILE NUMBER
N
N
Equitable Advisors, LLC
8-17883
SEC FILE NUMBER
N
N
Avondale Partners, LLC
254900799PKXEPTDRJ40
N
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First Citizens Investor Services, Inc.
8-50696
SEC FILE NUMBER
N
N
RBC Capital Markets, LLC
549300LCO2FLSSVFFR64
N
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International Research Securities, Inc.
8-37954
SEC FILE NUMBER
N
N
Commonwealth Equity Services, Inc.
8-24040
SEC FILE NUMBER
N
N
FMN Capital Corporation
8-48082
SEC FILE NUMBER
N
N
Farmers Financial Solutions, LLC
8-52361
SEC FILE NUMBER
N
N
Bolton Securities Corp.
8-68187
SEC FILE NUMBER
N
N
Northern Capital Securities Corporation
254900ZANH7XTB94LS53
N
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Cardinal Investments, Inc.
8-47493
SEC FILE NUMBER
N
N
VALIC Financial Advisors, Inc.
8-50018
SEC FILE NUMBER
N
N
Perryman Securities, Inc.
8-53546
SEC FILE NUMBER
N
N
UMB Financial Services, Inc.
254900GFVO9NGQ21JC37
N
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BNY Mellon Securities Corporation
8-13801
SEC FILE NUMBER
N
N
CFD Investments, Inc.
8-41727
SEC FILE NUMBER
N
N
The Leaders Group, Inc.
8-47639
SEC FILE NUMBER
N
N
Weston Securities Corporation
8-32664
SEC FILE NUMBER
N
N
Calamar Financial Group
8-69777
SEC FILE NUMBER
N
N
Syndicated Capital, Inc.
8-44162
SEC FILE NUMBER
N
N
Benefit Plans Administrative Services, Inc.
N/A
N
Y
Proequities, Inc.
8-32590
SEC FILE NUMBER
N
N
Oppenheimer & Co. Inc.
254900VH02JQR2L8XD64
N
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Akar Capital Management, Inc.
8-28026
SEC FILE NUMBER
N
N
Navy Federal Brokerage Services, LLC
8-67161
SEC FILE NUMBER
N
N
Reliance Trust Company
549300NV8FSQRNOUQO50
N
Y
Hanson McClain Retirement Network, LP
8-52250
SEC FILE NUMBER
N
N
McNally Financial Services Corporation
8-65388
SEC FILE NUMBER
N
N
Whitehall-Parker Securities, Inc.
8-27688
SEC FILE NUMBER
N
N
TD Ameritrade Clearing, Inc.
MRK678VXOI09YSSN8X19
N
Y
Smith, Moore & Co.
8-27480
SEC FILE NUMBER
N
N
Larson Financial Securities, LLC
8-68456
SEC FILE NUMBER
N
N
TimeCapital Securities Corporation
8-18248
SEC FILE NUMBER
N
N
BTS Securities Corporation
8-26818
SEC FILE NUMBER
N
N
Navaid Financial Services, Inc.
8-49897
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N
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Cadaret, Grant & Co., Inc.
8-27844
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N
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SunTrust Investment Services, Inc.
8-35355
SEC FILE NUMBER
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Tocqueville Securities L.P.
8-42223
SEC FILE NUMBER
N
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Fairport Capital, Inc.
8-32162
SEC FILE NUMBER
N
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Spire Securities, LLC
8-67635
SEC FILE NUMBER
N
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Global Brokerage Services, Inc.
8-47763
SEC FILE NUMBER
N
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S.A. Stone Wealth Management
8-36638
SEC FILE NUMBER
N
N
MWA Financial Services Inc.
8-53255
SEC FILE NUMBER
N
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Mid Atlantic Capital Corporation
549300HJL2LPNSC0JX96
N
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ADP Broker-Dealer, Inc.
8-47885
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Excel Securities & Associates, Inc.
8-34261
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Federated Securities, Inc.
8-15644
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OFG Financial Services, Inc.
8-40770
SEC FILE NUMBER
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B. Riley Wealth Management Holdings, Inc
8-31206
SEC FILE NUMBER
N
N
Arkadios Capital
8-69729
SEC FILE NUMBER
N
N
Genworth Life Insurance Company of New York
E5VAS7I8GX5B0SDBX010
N
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Arete Wealth Management, LLC
8-50854
SEC FILE NUMBER
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LaBrunerie Financial Services, Inc.
8-47830
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Coker & Palmer, Inc.
254900V1KTPDN88TDS68
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Allstate Financial Services, LLC
8-36365
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Bankoh Investment Services, Inc.
8-44201
SEC FILE NUMBER
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N
Gill Capital Partners, LLC
8-30563
SEC FILE NUMBER
N
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American Wealth Management
8-41807
SEC FILE NUMBER
N
N
Nationwide Planning Associates Inc.
8-45310
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N
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LaSalle St. Securities, L.L.C.
8-18860
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Dorn & Co., Inc.
8-08707
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Horan Securities, Inc.
8-49192
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Abacus Investments, Inc.
8-46571
SEC FILE NUMBER
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FSC Securities Corporation
8-21770
SEC FILE NUMBER
N
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Hudson Heritage Capital Management, Inc.
8-50648
SEC FILE NUMBER
N
N
CNR Securities LLC
8-36759
SEC FILE NUMBER
N
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IFP Securities
8-70150
SEC FILE NUMBER
N
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Halliday Financial, LLC
8-45529
SEC FILE NUMBER
N
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Laidlaw & Company (UK) Ltd.
8-53731
SEC FILE NUMBER
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N
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Harold W. Dance Inc.
8-12160
SEC FILE NUMBER
N
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CIBC World Markets Corp.
549300445CON3DBMU275
N
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Conover Securities Corporation
8-35085
SEC FILE NUMBER
N
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Lantern Investments, Inc.
8-45285
SEC FILE NUMBER
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U.S. Bancorp Investments, Inc.
H85Z6XZP8B10ES0M2G89
N
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Benjamin F. Edwards & Company, Inc.
8-68023
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Saxony Securities, Inc.
8-53490
SEC FILE NUMBER
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Axiom Capital Management, Inc.
254900WW7SK1IMK6NO54
N
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Callaway Financial Services, Inc.
8-52474
SEC FILE NUMBER
N
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Deutsche Bank Securities Inc.
9J6MBOOO7BECTDTUZW19
N
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Securities Research, Inc.
8-23699
SEC FILE NUMBER
N
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MMC Securities Corp.
2549001ZA93O65N2ZM60
N
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Nationwide Securities, LLC
8-12500
SEC FILE NUMBER
N
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T.R. Winston & Company, LLC
8-27519
SEC FILE NUMBER
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Feldstein Financial Group, LLC
8-53388
SEC FILE NUMBER
N
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Lesko Securities Inc.
8-26408
SEC FILE NUMBER
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Zions Direct, Inc.
8-35721
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Verity Investments, Inc.
8-49474
SEC FILE NUMBER
N
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Eagles Coast Capital
8-70137
SEC FILE NUMBER
N
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Ascensus Financial Services, LLC
8-67891
SEC FILE NUMBER
N
N
Great Pacific Securities
254900QRZ90SUI8C4W84
N
N
The Huntington Investment Company
5493004MEJ6IU9SR1R78
N
N
Insigneo Securities, LLC
254900P4TTO6PU1VDH88
N
N
KW Securities Corporation
8-24792
SEC FILE NUMBER
N
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Cuso Financial Services, L.P.
8-49711
SEC FILE NUMBER
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Heim, Young & Associates, Inc.
8-48500
SEC FILE NUMBER
N
N
Cetera Advisor Networks LLC
8-29577
SEC FILE NUMBER
N
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Cetera Advisors LLC
8-26892
SEC FILE NUMBER
N
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Omni Financial Securities
8-44034
SEC FILE NUMBER
N
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Umpqua Investments, Inc.
8-02915
SEC FILE NUMBER
N
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Thurston, Springer, Miller, Herd & Titak, Inc.
8-25452
SEC FILE NUMBER
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Center Street Securities, Inc.
8-42786
SEC FILE NUMBER
N
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Teachers Insurance and Annuity Association of America
O06YD7BJ4EPYNABVFN69
N
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Variable Investment Advisors, Inc.
8-50699
SEC FILE NUMBER
N
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Arvest Investments, Inc.
8-49677
SEC FILE NUMBER
N
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Infinex Investments, Inc.
8-46661
SEC FILE NUMBER
N
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UBS AG, New York Branch
BFM8T61CT2L1QCEMIK50
N
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Neuberger Berman LLC
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Northland Securities, Inc.
254900ZIK4MLVQAWLS15
N
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Boreal Capital Securities LLC
549300NMHK6HTSKCG696
N
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MML Investors Services, LLC
8-27250
SEC FILE NUMBER
N
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D.A. Davidson & Co.
549300094RQ5A7DYLF51
N
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Madison Avenue Securities, Inc.
8-40426
SEC FILE NUMBER
N
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ACA/Prudent Investors Planning Corporation
8-51899
SEC FILE NUMBER
N
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Bankers Life Securities, Inc.
549300YBBLCDP5GDSH97
N
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John Hancock Life Insurance Company of New York
5493007RYG4GXIKSQI18
CA
N
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Hefren-Tillotson, Inc.
8-10646
SEC FILE NUMBER
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Harbor Investment Advisory, LLC
8-68334
SEC FILE NUMBER
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Smith, Brown & Groover, Inc.
8-13079
SEC FILE NUMBER
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Dominion Investor Services, Inc.
8-39029
SEC FILE NUMBER
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Planned Financial Programs, Inc.
8-05727
SEC FILE NUMBER
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Capitol Securities Management, Inc.
8-30353
SEC FILE NUMBER
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Anovest Financial Services, Inc.
8-66742
SEC FILE NUMBER
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XP Securities, LLC
549300HDFLS7P433PO89
N
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Triad Advisors, Inc.
8-42007
SEC FILE NUMBER
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BFT Financial Group, LLC
8-53487
SEC FILE NUMBER
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Morris Group, Inc.
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Henley & Company LLC
8-66463
SEC FILE NUMBER
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Caldwell Securities, Inc.
549300ORF2FMHXODHJ66
N
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General Securities Corp.
8-31654
SEC FILE NUMBER
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M. S. Howells & Co.
8-52558
SEC FILE NUMBER
N
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Fortune Financial Services, Inc.
8-49727
SEC FILE NUMBER
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American United Life Insurance Company
549300T82H2DXU80LV98
N
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Beaconsfield Financial Services, Inc.
8-30993
SEC FILE NUMBER
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OneAmerica Securities, Inc.
8-15009
SEC FILE NUMBER
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Client One Securities LLC
8-68494
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Royal Alliance Associates, Inc.
8-40218
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Capital Management Securities, Inc.
8-27779
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Securities America, Inc.
8-26602
SEC FILE NUMBER
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Planmember Securities Corporation
8-25065
SEC FILE NUMBER
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American Portfolios Financial Services, Inc.
8-37085
SEC FILE NUMBER
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Inverness Securities, LLC
8-66278
SEC FILE NUMBER
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First Southern, LLC
8-69733
SEC FILE NUMBER
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Highlander Capital Group, Inc.
8-37169
SEC FILE NUMBER
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Tradition Securities and Derivatives Inc.
WRYEFMSVQCH0EMD08461
N
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Nelson Ivest Brokerage Services, Inc.
8-26448
SEC FILE NUMBER
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R. Seelaus & Co., Inc.
2138004J7AJDLCOJYA06
N
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Alight Solutions LLC
084-01996
SEC FILE NUMBER
N
Y
Great-West Financial Retirement Plan Services, LLC
N/A
N
Y
Cetera Investment Services, LLC
254900HBKNJ13M56N432
N
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Crown Capital Securities, L.P.
8-17264
SEC FILE NUMBER
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Sammons Financial Network, LLC
8-68905
SEC FILE NUMBER
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Integrity Investments, Inc.
8-45302
SEC FILE NUMBER
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Hand Securities, Inc.
8-51001
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Country Club Financial Services, Inc.
8-44574
SEC FILE NUMBER
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G.L.S. & Associates, Inc.
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SEC FILE NUMBER
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Boenning & Scattergood, Inc.
2549005FER5A7K7II574
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Consolidated Financial Investments, Inc.
8-37004
SEC FILE NUMBER
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First Bankers' Banc Securities, Inc.
549300XZ7YYT3Y0SU530
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Muriel Seibert & Co., Inc.
8-14900
SEC FILE NUMBER
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USAA Investment Management Company
549300VSPLQ1XBNPD479
N
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Advisory Group Equity Services, Ltd.
8-32155
SEC FILE NUMBER
N
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VectorGlobal WMG
254900K52VRYBHUGBC64
N
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BancWest Investment Services, Inc.
5493001GJYTESEZEBA51
N
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Raymond James & Associates, Inc.
U4ONQX15J3RO8XCKE979
N
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Sycamore Financial Group
8-30302
SEC FILE NUMBER
N
N
BCG Securities, Inc.
8-12680
SEC FILE NUMBER
N
N
Amuni Financial, Inc
8-25338
SEC FILE NUMBER
N
N
Profinancial, Inc.
8-32026
SEC FILE NUMBER
N
N
Advanced Advisor Group, LLC
8-67313
SEC FILE NUMBER
N
N
Regions Bank
EQTWLK1G7ODGC2MGLV11
N
N
Cantella & Co., Inc.
254900Z33Q34HCFGHO19
N
N
Aufhaser Securities, Inc.
8-48786
SEC FILE NUMBER
N
N
Brokers International Financial Services, LLC
8-67239
SEC FILE NUMBER
N
N
J. Alden Associates, Inc.
8-48938
SEC FILE NUMBER
N
N
American Heritage Securities, Inc.
8-44466
SEC FILE NUMBER
N
N
Pershing Advisor Solutions, LLC
549300KTC63JRN36GZ84
N
N
Wells Fargo Bank, N.A.
KB1H1DSPRFMYMCUFXT09
N
N
Newport Group, Inc.
N/A
N
Y
Dinosaur Financial Group, LLC
549300CCV3H232GBUN83
N
N
ValMark Securities, Inc.
8-45463
SEC FILE NUMBER
N
N
Hancock Whitney Corporation
549300GRNBWY8HIICT41
N
N
Commerce Brokerage Services, Inc.
8-35096
SEC FILE NUMBER
N
N
B.B. Graham & Company, Inc.
8-49477
SEC FILE NUMBER
N
N
L. B. Fisher & Company
8-21023
SEC FILE NUMBER
N
N
M Holdings Securities, Inc.
8-50214
SEC FILE NUMBER
N
N
Stephens Inc.
213800LH6T9XDYZCA534
N
N
Pruco Securities, LLC.
8-16402
SEC FILE NUMBER
N
N
Pyramid Funds Corporation
8-12769
SEC FILE NUMBER
N
N
N.I.S. Financial Services, Inc.
8-15919
SEC FILE NUMBER
N
N
Lion Street Financial, LLC
8-69183
SEC FILE NUMBER
N
N
Oriental Financial Services Corp.
8-44516
SEC FILE NUMBER
N
N
Transamerica Financial Advisors, Inc.
549300JW32XCZSHI0878
N
N
Security Distributors, Inc.
8-10781
SEC FILE NUMBER
N
N
BNP Paribas Securities Corp
RCNB6OTYUAMMP879YW96
N
N
The Jeffrey Matthews Financial Group, L.L.C.
25490086M6MGMYYVOJ50
N
N
First Financial Equity Corporation
8-34082
SEC FILE NUMBER
N
N
Jacques Financial, LLC
8-52675
SEC FILE NUMBER
N
N
Voya Institutional Plan Services, LLC
N/A
N
N
Lincoln Financial Securities Corporation
8-14609
SEC FILE NUMBER
N
N
Polar Investment Counsel, Inc.
8-50039
SEC FILE NUMBER
N
N
Harbour Investments, Inc.
8-37373
SEC FILE NUMBER
N
N
Hantz Financial Services, Inc.
8-51291
SEC FILE NUMBER
N
N
Sunset Financial Services, Inc.
8-14148
SEC FILE NUMBER
N
N
Mutual Securities, Inc.
8-28580
SEC FILE NUMBER
N
N
Capital Investment Group, Inc.
8-31225
SEC FILE NUMBER
N
N
Raymond James Financial Services, Inc.
RGUZHJ05YTITL6D76949
N
N
Sanctuary Securities, Inc.
2549007WBAL2Z578XQ34
N
N
Crews & Associates, Inc.
5493001BWSV3E82LZ446
N
N
Gold Coast Securities, Inc.
8-53148
SEC FILE NUMBER
N
N
Cary Street Partners LLC
8-66085
SEC FILE NUMBER
N
N
Wall Street Access
549300Z0MOT47D6OQV22
N
N
TransAm Securities, Inc.
8-37065
SEC FILE NUMBER
N
N
RNR Securities, L.L.C.
8-50366
SEC FILE NUMBER
N
N
Schlitt Investor Services, Inc.
8-34202
SEC FILE NUMBER
N
N
Register Financial Associates, Inc.
8-45012
SEC FILE NUMBER
N
N
Moors & Cabot, Inc.
8-23060
SEC FILE NUMBER
N
N
The Windmill Group, Inc.
8-25280
SEC FILE NUMBER
N
N
TD Private Client Wealth LLC
8-69105
SEC FILE NUMBER
N
N
The Tavenner Company
8-41206
SEC FILE NUMBER
N
N
First Asset Financial, Inc.
8-67191
SEC FILE NUMBER
N
N
Sanders Morris Harris Inc.
254900ZNPYV465D1NZ47
N
N
Voya Retirement Insurance and Annuity Company
OK3MKCDYPD4NN6QDGK18
N
Y
Citigroup Global Markets Inc.
MBNUM2BPBDO7JBLYG310
N
N
Bruderman Brothers, LLC
8-51974
SEC FILE NUMBER
N
N
NYLife Distributors LLC
8-46655
SEC FILE NUMBER
N
N
E. E. Powell & Company Inc.
8-01893
SEC FILE NUMBER
N
N
Leumi Investment Services Inc.
5493005SJQ3VQ5DEE756
N
N
NBC Securities, Inc.
254900GIP7RJQGHH5S19
N
N
Folio Investments, Inc.
8-52009
SEC FILE NUMBER
N
N
Janney Montgomery Scott LLC
549300QQRY1JCFQHYS08
N
N
Regal Securities, Inc.
8-21765
SEC FILE NUMBER
N
N
Chauner Securities, Inc.
8-33980
SEC FILE NUMBER
N
N
Peak Brokerage Services, LLC
8-68829
SEC FILE NUMBER
N
N
Oscar Gruss & Son Incorporated
549300V78DH9XCK5UI63
N
N
Wellington Shields & Co., LLC
8-68098
SEC FILE NUMBER
N
N
Cape Securities Inc.
8-20747
SEC FILE NUMBER
N
N
Synovus Securities, Inc.
254900CM2K7N1E0JF171
N
N
National Securities Corp.
8-164
SEC FILE NUMBER
N
N
Interactive Brokers LLC
50OBSE5T5521O6SMZR28
N
N
APW Capital, Inc.
8-50433
SEC FILE NUMBER
N
N
T. Rowe Price Investment Services, Inc.
8-25130
SEC FILE NUMBER
N
N
E*Trade Savings Bank
549300DXPO50FJ75QA85
N
Y
Samuel A Ramirez & Co., Inc.
254900CBKVW7O2ENQA21
N
N
Hunter Associates, Inc.
8-44779
SEC FILE NUMBER
N
N
Ni Advisors
8-66841
SEC FILE NUMBER
N
N
Bley Investments Group, Inc.
8-42701
SEC FILE NUMBER
N
N
First Republic Securities Company, LLC
5493000IMDFZDQYB2Q11
N
N
Apex Clearing Corporation
5493000418CITRF5BO80
N
N
Investment Network Inc.
8-66036
SEC FILE NUMBER
N
N
Watermark Securities, Inc.
8-43902
SEC FILE NUMBER
N
N
Xml Securities, LLC
8-67776
SEC FILE NUMBER
N
N
Morgan Stanley Smith Barney LLC
7PDDXEMZ0ZV0CEDU4D16
N
N
D.H. Hill Securities LLP
8-49475
SEC FILE NUMBER
N
N
Investment Placement Group
5493005L3RL45FY4HR07
N
N
Jefferies, LLC
58PU97L1C0WSRCWADL48
N
N
Sammons Retirement Solutions, Inc.
N/A
N
Y
Ace Diversified Capital, Inc.
8-49555
SEC FILE NUMBER
N
N
FMSBonds, Inc.
549300TUTBK58NSF2517
N
N
Sovereign Legacy Securities, Inc.
8-00621
SEC FILE NUMBER
N
N
Diversified Resources, LLC
8-45497
SEC FILE NUMBER
N
N
Pensionmark Securities, LLC
8-69773
SEC FILE NUMBER
N
N
Principal Life Insurance Company
SDCMU2LVKGV2AF1KWP64
N
Y
Ballew Investments, Inc.
8-45660
SEC FILE NUMBER
N
N
World Choice Securities, Inc.
8-45235
SEC FILE NUMBER
N
N
S.G. Long & Company
8-51816
SEC FILE NUMBER
N
N
Harvest Financial Corporation
8-26037
SEC FILE NUMBER
N
N
Maplewood Investment Advisors, Inc.
8-52221
SEC FILE NUMBER
N
N
Colorado Financial Service Corporation
8-52817
SEC FILE NUMBER
N
N
Monex Securities, Inc.
254900VTZ3HYHNEJRX35
N
N
Woodlands Securities Corporation
8-39700
SEC FILE NUMBER
N
N
First Mercantile Trust Company
028-10498
SEC FILE NUMBER
N
Y
Digital Retirement Solutions, Inc.
N/A
N
Y
Liberty Capital Investment Corporation
8-42051
SEC FILE NUMBER
N
N
Exeter Trust Company
028-04279
SEC FILE NUMBER
N
N
Herbert J. Sims & Co. Inc.
254900SV6UESQBS8XP98
N
N
State Street Bank and Trust Company
571474TGEMMWANRLN572
N
N
Portfolio Resources Group, Inc.
549300TKCYL1XNXOL896
N
N
First National Bank Alaska
25490089V5DJHFQMOA03
N
N
J.P. Morgan Institutional Investments Inc.
8-52182
SEC FILE NUMBER
N
N
Hennion & Walsh, Inc.
8-41988
SEC FILE NUMBER
N
N
Next Financial Group, Inc.
8-51356
SEC FILE NUMBER
N
N
Edward D. Jones & Co., L.P.
YZRCLX72FTV74B522G90
N
N
Bolton Global Capital
2549009M08YVOG46LO79
N
N
Carl M. Hennig, Inc.
8-14509
SEC FILE NUMBER
N
N
SEI Private Trust Company
028-10625
SEC FILE NUMBER
N
Y
Emerson Equity LLC
8-66296
SEC FILE NUMBER
N
N
DMK Advisor Group, Inc.
8-49279
SEC FILE NUMBER
N
N
Portsmouth Financial Services
8-30097
SEC FILE NUMBER
N
N
Ceros Financial Services, Inc.
549300N2YQ0P5G0WE562
N
N
Feltl & Company
8-18435
SEC FILE NUMBER
N
N
Globalink Securities, Inc.
8-44509
SEC FILE NUMBER
N
N
Landaas & Company
8-51826
SEC FILE NUMBER
N
N
Brighton Securities Corp.
8-14599
SEC FILE NUMBER
N
N
Keel Point Capital, LLC
8-22990
SEC FILE NUMBER
N
N
ICMA-RC Services, Inc.
8-40268
SEC FILE NUMBER
N
N
Capital City Securities, LLC
8-67771
SEC FILE NUMBER
N
N
Buell Securities Corp
8-22058
SEC FILE NUMBER
N
N
Independent Financial Group, LLC
254900KYWXHSQ7RMNP09
N
N
Principled Advisors, Inc.
8-66451
SEC FILE NUMBER
N
N
E*Trade Securities
8-44112
SEC FILE NUMBER
N
N
Centaurus Financial, Inc.
8-45185
SEC FILE NUMBER
N
N
Cannon Securities, Inc.
8-68437
SEC FILE NUMBER
N
N
Principal Securities, Inc.
8-13975
SEC FILE NUMBER
N
N
United Planners' Financial Services of America A Limited Partner
8-38485
SEC FILE NUMBER
N
N
Allen C Ewing & Co.
8-42393
SEC FILE NUMBER
N
N
MGO Securities Corp.
8-47814
SEC FILE NUMBER
N
N
Middlegate Securities Ltd.
549300ZVONUQ845QCH95
N
N
Mid-Atlantic Securities, Inc.
8-36997
SEC FILE NUMBER
N
N
BAC Florida Investments
254900CAF9OPVE8VT408
N
N
Founders Financial Securities LLC
8-67137
SEC FILE NUMBER
N
N
SCF Securities, Inc.
8-51760
SEC FILE NUMBER
N
N
Omega Securities, Inc.
8-20225
SEC FILE NUMBER
N
N
BD4RIA, Inc.
8-70022
SEC FILE NUMBER
N
N
Paradigm Equities, Inc.
8-45593
SEC FILE NUMBER
N
N
First Horizon Advisors, Inc.
8-35061
SEC FILE NUMBER
N
N
First Allied Securities, Inc.
8-46167
SEC FILE NUMBER
N
N
Nationwide Financial Services, Inc.
5493001H7AZNDS6BKJ36
N
Y
HSBC Securities (USA), Inc.
CYYGQCGNHMHPSMRL3R97
N
N
Infinity Securities, Inc.
8-67647
SEC FILE NUMBER
N
N
Country Capital Management Company
8-12645
SEC FILE NUMBER
N
N
Arlington Securities, Inc.
8-38098
SEC FILE NUMBER
N
N
White Mountain Capital, LLC
8-52572
SEC FILE NUMBER
N
N
American Global Wealth Management, Inc.
8-21584
SEC FILE NUMBER
N
N
Alexander Capital, L.P.
8-48957
SEC FILE NUMBER
N
N
TradeStation Securities, Inc.
549300T08P71XXBYLW62
N
N
Ascensus Broker Dealer Services, Inc.
8-47312
SEC FILE NUMBER
N
Y
Great Point Capital LLC
254900HN4IGCO53HDK23
N
N
GWFS Equities, Inc.
8-33854
SEC FILE NUMBER
N
N
L.M. Kohn & Company
8-43303
SEC FILE NUMBER
N
N
First Financial Securities of America, Inc.
8-29565
SEC FILE NUMBER
N
N
Gardner Financial Services, Inc.
8-38631
SEC FILE NUMBER
N
N
Wescom Financial Services, LLC
8-66189
SEC FILE NUMBER
N
N
Gladowsky Capital Management Corp.
8-51017
SEC FILE NUMBER
N
N
International Money Management Group, Inc.
8-30417
SEC FILE NUMBER
N
N
Thoroughbred Financial Services, LLC
8-51944
SEC FILE NUMBER
N
N
Valley National Investments, Inc.
8-34427
SEC FILE NUMBER
N
N
TCFG Wealth Management, LLC
8-69089
SEC FILE NUMBER
N
N
Intercarolina Financial Services, Inc.
8-37519
SEC FILE NUMBER
N
N
World Equity Group, Inc.
25490078J1OM7KOXR686
N
N
Westco Investment Corp.
8-38452
SEC FILE NUMBER
N
N
MMA Securities LLC
8-50591
SEC FILE NUMBER
N
N
Citizens Securities, Inc.
2138006RAPI5PE2ZGW36
N
N
Westport Resources Investment Services, Inc.
8-40904
SEC FILE NUMBER
N
N
Allianz Life Financial Services, LLC
5493008TSI0TRWDDGW79
N
N
First Heartland Capital, Inc.
8-46008
SEC FILE NUMBER
N
N
H. C. Denison Co.
8-00044
SEC FILE NUMBER
N
N
Safra Securities LLC
E51AOUORNWWT747CBW71
N
N
Ustocktrade Securities, Inc.
8-33132
SEC FILE NUMBER
N
N
Silver Oak Securities, Incorporated
8-51601
SEC FILE NUMBER
N
N
Glen Eagle Advisors LLC
8-65678
SEC FILE NUMBER
N
N
Access Financial Group, Inc.
8-46065
SEC FILE NUMBER
N
N
Symphonic Securities LLC
8-67220
SEC FILE NUMBER
N
N
Mack Investment Securities, Inc.
8-35536
SEC FILE NUMBER
N
N
Berthel, Fisher & Company Financial Services, Inc.
8-29426
SEC FILE NUMBER
N
N
Worth Financial Group Inc.
8-29827
SEC FILE NUMBER
N
N
Merrill Lynch, Pierce, Fenner & Smith Incorporated
8NAV47T0Y26Q87Y0QP81
N
N
First Command Financial Planning, Inc.
8-07072
SEC FILE NUMBER
N
N
The Oak Ridge Financial Services Group, Inc.
2549003647MDU9F6QN39
N
N
McDonald Partners LLC
549300PEHG3UH7FAY193
N
N
Midland Securities, Ltd.
8-40685
SEC FILE NUMBER
N
N
William Blair & Company L.L.C.
549300J0P7XYE8BMZ775
N
N
USI Securities, Inc.
8-50429
SEC FILE NUMBER
N
N
The O.N. Equity Sales Company
8-14161
SEC FILE NUMBER
N
N
John Hancock Trust Company LLC
549300W205WZCFZS6R51
N
Y
SG Americas Securities, LLC
549300F35UE0BOM1WJ55
N
N
USCA Securities LLC
254900GBMSP1Y45THR66
N
N
The Investment Center, Inc.
8-35826
SEC FILE NUMBER
N
N
United States Life Insurance Company in the City of New York
549300C1JQGJ0MNUMG79
N
Y
USA Financial Securities Corporation
8-52342
SEC FILE NUMBER
N
N
Genworth Life & Annuity Insurance Company
TAI340D9BWT9R77O0P03
N
N
Wesbanco Securities, Inc.
8-50220
SEC FILE NUMBER
N
N
Equity Services, Inc.
8-14286
SEC FILE NUMBER
N
N
New England Pension Plan Systems, LLC
N/A
N
Y
DWS Distributors, Inc.
5299007T18XBURKJ1V64
N
N
BOK Financial Securities, Inc.
2Q57THMJB7JL1206V012
N
N
Hilltop Securities, Inc.
549300IXU82PMU6XZT45
N
N
Trustmont Financial Group, Inc.
8-36439
SEC FILE NUMBER
N
N
Andbanc Brokerage, LLC
213800E4CWGFMCDQZ792
N
N
R. F. Lafferty & Co., Inc.
254900KLPTMWPBZWH264
N
N
AqGen Ascensus, Inc.
549300K5MHNFPEU2RK82
N
Y
CBIZ Financial Solutions, Inc.
8-34205
SEC FILE NUMBER
N
N
Place Trade Financial, Inc.
8-65915
SEC FILE NUMBER
N
N
Nestlerode & Loy, Inc.
8-12629
SEC FILE NUMBER
N
N
Alight Financial Solutions LLC
8-47344
SEC FILE NUMBER
N
N
The Garbacz Group Inc.
8-42366
SEC FILE NUMBER
N
N
City National Bank
549300MEMKSF7703ZQ25
N
N
Wintrust Investments, LLC
8-00484
SEC FILE NUMBER
N
N
Quincy Cass Associates, Incorporated
8-05743
SEC FILE NUMBER
N
N
Coldstream Securities, Inc.
8-51549
SEC FILE NUMBER
N
N
Lincoln Financial Advisors Corporation
8-14685
SEC FILE NUMBER
N
N
UBATCO & Co.
N/A
N
Y
Parkland Securities, LLC
8-53482
SEC FILE NUMBER
N
N
ING Financial Markets LLC
KBVRJ5K57JZ3E2AVWX40
N
N
Buckman, Buckman & Reid, Inc.
254900D688L15B5HJB06
N
N
Investshares, Inc
8-68365
SEC FILE NUMBER
N
N
H. Beck, Inc.
8-31165
SEC FILE NUMBER
N
N
Grant Williams L.P.
8-51249
SEC FILE NUMBER
N
N
Investors Brokerage of Texas, Ltd.
8-28644
SEC FILE NUMBER
N
N
Wells Fargo Clearing Services, LLC
88KRVSOEKUGQZJ3DKW55
N
Y
Prudential Insurance Company of America
Y574KRZ6V5A7UBU45C31
N
Y
Trade-PMR Inc.
8-51390
SEC FILE NUMBER
N
N
The Strategic Financial Alliance, Inc.
8-65885
SEC FILE NUMBER
N
N
Corinthian Partners, L.L.C.
8-48461
SEC FILE NUMBER
N
N
Investment Planners, Inc.
8-35642
SEC FILE NUMBER
N
N
Mutual Funds Associates, Inc.
8-13026
SEC FILE NUMBER
N
N
Buckram Securities LTD
8-65939
SEC FILE NUMBER
N
N
Vanderbilt Securities, LLC
8-16712
SEC FILE NUMBER
N
N
Shareholders Service Group, Inc.
8-65778
SEC FILE NUMBER
N
N
Thompson Davis & Co., Inc.
8-49386
SEC FILE NUMBER
N
N
Michigan Securities, Inc. (dba Broadstone Securities)
8-52094
SEC FILE NUMBER
N
N
GWN Securities Inc.
8-66185
SEC FILE NUMBER
N
N
Gregory J. Schwartz & Co., Inc.
8-20955
SEC FILE NUMBER
N
N
Sunbelt Securities, Inc.
8-49748
SEC FILE NUMBER
N
N
Northern Trust Securities, Inc.
3CHSO99JSPHD9HGNYJ46
N
N
Charles Schwab & Co., Inc.
549300ZP8XN77GK5BS04
N
Y
Great American Investors, Inc.
8-44380
SEC FILE NUMBER
N
N
Goldman Sachs & Co. LLC
FOR8UP27PHTHYVLBNG30
N
N
Signal Securities, Inc.
8-32948
SEC FILE NUMBER
N
N
People's Securities, Inc.
8-29667
SEC FILE NUMBER
N
N
Duncan-Williams, Inc.
25490045VHLUZ7H92Y27
N
N
National Financial Services, LLC
549300JRHF1MHHWUAW04
N
Y
Healthcare Community Securities Corporation
8-46981
SEC FILE NUMBER
N
N
Cutter & Company Brokerage, Inc.
8-39590
SEC FILE NUMBER
N
N
Hazard & Siegel, Inc.
8-13942
SEC FILE NUMBER
N
N
JPMorgan Chase Bank, N.A.
7H6GLYDRUGQFU57RNE97
N
N
Nations Financial Group, Inc.
8-50588
SEC FILE NUMBER
N
N
Sigma Financial Corporation
8-30466
SEC FILE NUMBER
N
N
Citizens Bank
254900MFWISYMJ04ZE93
N
N
Amegy Investments, Inc. (Zions)
8-65399
SEC FILE NUMBER
N
N
TD Ameritrade Trust Company
028-15163
SEC FILE NUMBER
N
N
Logan Group Securities
8-48995
SEC FILE NUMBER
N
N
St. Bernard Financial Services, Inc.
8-47566
SEC FILE NUMBER
N
N
Rockefeller Financial, LLC
8-70054
SEC FILE NUMBER
N
N
Kestra Investment Services, LLC
8-49672
SEC FILE NUMBER
N
N
Arque Capital, Ltd.
8-65390
SEC FILE NUMBER
N
N
NYLife Securities LLC
8-15517
SEC FILE NUMBER
N
N
Wells Fargo Securities, LLC
8-65876
SEC FILE NUMBER
N
N
N.E. Private Client Advisors, Ltd.
8-66968
SEC FILE NUMBER
N
N
Sunstreet Securities, LLC
8-67541
SEC FILE NUMBER
N
N
WBB Securities, LLC
8-53660
SEC FILE NUMBER
N
N
FNBB Capital Markets, LLC
8-66553
SEC FILE NUMBER
N
N
CGIS Securities LLC
254900GOI7SHVRZ5BG90
N
N
Vanguard Group, Inc., The
5493002789CY3L0CJP65
N
Y
Vanguard Marketing Corporation
8-21570
SEC FILE NUMBER
N
N
AssetMark Trust Company
N/A
N
N
Lincoln Investment Planning, Inc.
8-14354
SEC FILE NUMBER
N
N
Maxim Group LLC
254900OJ6JZO6SDMHQ83
N
N
United Brokerage Services, Inc.
8-48685
SEC FILE NUMBER
N
N
First Western Securities, Inc.
8-37613
SEC FILE NUMBER
N
N
Fifth Third Securities, Inc.
5493003IMO3TYX51WE43
N
N
American Enterprise Investment Services Inc.
549300NT7GLLVGTH0249
N
N
American Financial Securities, Inc.
8-53205
SEC FILE NUMBER
N
N
Aon Benfield Securities, Inc.
5493002ME0O127QJJG03
N
N
Calton & Associates, Inc.
254900TDJ7LH64ZKRY86
N
N
PTI Securities & Futures L.P.
8-44412
SEC FILE NUMBER
N
N
Robinson & Robinson, Inc.
8-17109
SEC FILE NUMBER
N
N
Invex, Inc.
NPOTUCXQYGXX5PO6VH74
N
N
Oak Tree Securities, Inc.
8-36138
SEC FILE NUMBER
N
N
Investments For You, Inc.
8-44179
SEC FILE NUMBER
N
N
M&T Securities, Inc.
254900VRUF9FN7AZI864
N
N
Integral Financial LLC
2549000I2CBZTJRHG786
N
N
IDB Capital Corp.
254900SH3QL0IL3S9R34
N
N
Brooklight Place Securities, Inc.
8-32673
SEC FILE NUMBER
N
N
Blakeslee and Blakeslee Inc.
8-32071
SEC FILE NUMBER
N
N
Fifth Third Bank
QFROUN1UWUYU0DVIWD51
N
N
Century Securities Associates, Inc.
8-43514
SEC FILE NUMBER
N
N
VBC Securities, LLC
8-44141
SEC FILE NUMBER
N
N
Planners Financial Services, Inc.
8-18027
SEC FILE NUMBER
N
N
T.S. Phillips Investments, Inc.
8-65661
SEC FILE NUMBER
N
N
Colliers Securities LLC
549300OD1C69R64IVC38
N
N
BBVA Securities Inc.
549300RJFN0Z663VE860
N
N
Oberweis Securities, Inc.
5493008EZH6DO1631P71
N
N
CUNA Brokerage Services, Inc.
549300G6Y6BPF9ZL4706
N
N
NorthWestern Mutual Investment Services, LLC
CYO86L8D7HTXW9SOZX28
N
N
Centennial Securities Company, LLC
8-23406
SEC FILE NUMBER
N
N
Empire Asset Management Company
8-67520
SEC FILE NUMBER
N
N
PTS Brokerage, LLC
8-65173
SEC FILE NUMBER
N
N
Guardian Insurance & Annuity Company, Inc., The
TGIU5N0SIMULU6I57R64
N
Y
Mutual of Omaha Investor Services, Inc.
8-47290
SEC FILE NUMBER
N
N
Mid-Atlantic Clearing & Settlement Corp.
8-47758
SEC FILE NUMBER
N
N
VOYA Financial Advisors, LLC
8-46451
SEC FILE NUMBER
N
N
Cetera Financial Specialists LLC
8-27082
SEC FILE NUMBER
N
N
T. Rowe Price Retirement Plan Services, Inc.
084-06219
SEC FILE NUMBER
N
Y
Benchmark Investments, Inc.
8-52280
SEC FILE NUMBER
N
N
Sentinel Securities, Inc.
8-53142
SEC FILE NUMBER
N
N
Lebenthal Financial Services, Inc
8-67140
SEC FILE NUMBER
N
N
SagePoint Financial, Inc.
8-66771
SEC FILE NUMBER
N
N
Avisen Securities, Inc.
8-65833
SEC FILE NUMBER
N
N
Saturna Brokerage Services, Inc.
8-36558
SEC FILE NUMBER
N
N
Private Client Services, LLC
8-68183
SEC FILE NUMBER
N
N
Snowden Account Services, Inc.
254900WVSS0BX602UF45
N
N
Davenport & Company LLC
254900GN2SAXJGLMS075
N
N
VALIC Retirement Services Company
84-06057
SEC FILE NUMBER
N
N
Talcott Resolution Life Insurance Company
8CE7JPU9IU72L3PPD756
N
Y
Massachusetts Mutual Life Insurance Company
R6ZXK5P01NP6HXSY1S07
N
Y
Securities Equity Group
8-51706
SEC FILE NUMBER
N
N
L.O. Thomas & Co. Inc.
8-40875
SEC FILE NUMBER
N
N
Rodgers Brothers, Inc.
8-33475
SEC FILE NUMBER
N
N
Herndon Plant Oakley, LTD
8-50912
SEC FILE NUMBER
N
N
Devenir, LLC
8-65837
SEC FILE NUMBER
N
N
Capital Investment Brokerage, Inc.
8-49118
SEC FILE NUMBER
N
N
American Independent Securities Group, LLC
8-66905
SEC FILE NUMBER
N
N
Sabadell Securities USA, Inc.
2549002UK8JK82ABGD45
N
N
Fidelity Investments Life
54930024AKTQGTIV1P93
N
N
SunTrust Bank
IYDOJBGJWY9T8XKCSX06
N
N
Woodmen Financial Services, Inc.
8-53592
SEC FILE NUMBER
N
N
Invicta Capital, LLC
549300QY87LR84LRLL97
N
N
1st Discount Brokerage, Inc.
8-48557
SEC FILE NUMBER
N
N
Girard Investment Services, LLC
8-14145
SEC FILE NUMBER
N
N
LifeMark Securities Corp.
8-33478
SEC FILE NUMBER
N
N
Hazlett, Burt & Watson, Inc.
8-17737
SEC FILE NUMBER
N
N
John Hancock Life Insurance Company
QQ0OZ8J9C4B5QT1XDG31
CA
N
Y
FinTrust Brokerage Services, LLC
8-49514
SEC FILE NUMBER
N
N
Integrated Financial Planning Services
8-35120
SEC FILE NUMBER
DE
N
N
Insight Securities, Inc.
2549007I5MCG270G9341
N
N
Joseph Gunnar & Co. LLC
2549001XBRI5XQ0ZDA12
N
N
Prudential Investment Management Services LLC
8-36540
SEC FILE NUMBER
N
N
Western Equity Group, Inc.
8-66403
SEC FILE NUMBER
N
N
Associated Investment Services, Inc.
8-00099
SEC FILE NUMBER
N
N
D.M. Kelly & Company
8-48398
SEC FILE NUMBER
N
N
S.L. Reed & Company
8-49178
SEC FILE NUMBER
N
N
LPL Financial LLC
5493005NM7F0H1N3EQ39
N
Y
Wood (Arthur W.) Company, Inc.
8-03368
SEC FILE NUMBER
N
N
Fiduciary Trust International
N1YKEWO2IYPRS4742F57
N
N
K. W. Chambers & CO.
8-10533
SEC FILE NUMBER
N
N
Hornor, Townsend & Kent, Inc.
8-14715
SEC FILE NUMBER
N
N
J.P. Morgan Securities LLC
ZBUT11V806EZRVTWT807
N
N
Impact U. Investments, LLC
8-65527
SEC FILE NUMBER
N
N
MSEC, LLC
8-68627
SEC FILE NUMBER
N
N
Institutional Securities Corporation
2549007EJ1PSLA8XVA50
N
N
Ameritas Investment Corp.
549300913B54XKSRM258
N
N
American Capital Partners, LLC
254900I8NH46ZJJ4Z956
N
N
FSB Warner Financial, Inc.
8-44865
SEC FILE NUMBER
N
N
Hancock Whitney Investment Services, Inc.
8-49106
SEC FILE NUMBER
N
N
Camden Financial Services
8-37303
SEC FILE NUMBER
N
N
TCAdvisors Network Inc.
8-46909
SEC FILE NUMBER
N
N
Etico Partners, LLC
8-65500
SEC FILE NUMBER
N
N
Vorpahl Wing Securities
8-51823
SEC FILE NUMBER
N
N
SKA Securities, Inc.
8-53366
SEC FILE NUMBER
N
N
Prospera Financial Services, Inc.
8-28164
SEC FILE NUMBER
N
N
David Lerner Associates, Inc.
8-20746
SEC FILE NUMBER
N
N
First Honolulu Securities, Inc.
8-23919
SEC FILE NUMBER
N
N
Unionbanc Investment Services, LLC
254900Y9HI2TG6D79N41
N
N
Horace Mann Life Insurance Co.
5493000HR2JKKNH2FL09
N
N
Uhlmann Price Securities, LLC
8-50041
SEC FILE NUMBER
N
N
CoreCap Investments, Inc.
8-47783
SEC FILE NUMBER
N
N
Sage, Rutty & Co., Inc.
8-00533
SEC FILE NUMBER
N
N
The GMS Group, LLC
254900OXZT27TA5CGU56
N
N
GLP Investment Services
8-41868
SEC FILE NUMBER
N
N
Garden State Securities, Inc.
8-25790
SEC FILE NUMBER
N
N
TIAA-CREF Individual & Institutional Services, LLC
8-44454
SEC FILE NUMBER
N
N
R.M. Stark & Co., Inc.
8-22543
SEC FILE NUMBER
N
N
G. W. & Wade Asset Management Company, LLC
8-42013
SEC FILE NUMBER
N
N
International Assets Advisory, LLC
254900ARMOHQNS987S09
N
N
MidWestern Securities Trading Company, LLC
8-52074
SEC FILE NUMBER
N
N
Robert W. Baird & Co. Incorporated
549300772UJAHRD6LO53
N
N
Avantax Wealth Management, Inc
8-29533
SEC FILE NUMBER
N
N
McLaughlin Ryder Investments, Inc.
8-67911
SEC FILE NUMBER
N
N
G.A. Repple & Company
8-35315
SEC FILE NUMBER
N
N
Liberty Partners Financial Services, LLC
8-66335
SEC FILE NUMBER
N
N
J.D. Seibert & Company, Inc.
8-23604
SEC FILE NUMBER
N
N
Titleist Asset Management, Ltd.
8-65859
SEC FILE NUMBER
N
N
SWBC Investment Services, LLC
254900YIJJWABADWZ455
N
N
VOYA Investments Distributors, LLC
8-48020
SEC FILE NUMBER
N
N
Griffinest Asia Securities, LLC
8-66571
SEC FILE NUMBER
N
N
Mercer HR Services, LLC
N/A
N
Y
Folger Nolan Fleming Douglas Incorporated
8-03335
SEC FILE NUMBER
N
N
Cabot Lodge Securities, LLC
8-69009
SEC FILE NUMBER
N
N
Western Growers Financial Services, Inc.
8-53458
SEC FILE NUMBER
N
N
Union Capital Company
8-53127
SEC FILE NUMBER
N
N
Wright Investors' Service Distributors, Inc.
8-29579
SEC FILE NUMBER
N
N
Abacus International Capital Corp.
8-46418
SEC FILE NUMBER
N
N
American Equity Investment Corporation
8-49078
SEC FILE NUMBER
N
N
SecureVest Financial Group
254900LG3HPQV4J0WH27
N
N
UBS Financial Services Inc.
ETYRV6ORNFJB5NONI676
N
N
Veritas Independent Partners, LLC
8-69363
SEC FILE NUMBER
N
N
JHW Financial Services Inc.
8-45304
SEC FILE NUMBER
N
N
Capital Institutional Services, Inc.
54930061X8RDWFDJIS05
N
N
San Blas Securities LLC
25490079436TZN10JD83
N
N
Standard Insurance Company
549300KVA8DBYKHPXO21
N
Y
Coordinated Capital Securities, Inc.
8-31173
SEC FILE NUMBER
N
N
Searle & Co.
8-28600
SEC FILE NUMBER
N
N
Independence Capital Co., Inc.
8-41331
SEC FILE NUMBER
N
N
NPB Financial Group, LLC
8-67113
SEC FILE NUMBER
N
N
Key Investment Services LLC
8-66999
SEC FILE NUMBER
N
N
Lieblong & Associates, Inc.
8-49880
SEC FILE NUMBER
N
N
KCD Financial, Inc.
8-66005
SEC FILE NUMBER
N
N
Roberts & Ryan Investments Inc.
254900A6VIVO4DP1T126
N
N
TD Ameritrade, Inc.
CWQYQU0TV2NLMLZKNB44
N
Y
Davinci Capital Management Inc.
8-51580
SEC FILE NUMBER
N
N
Y
BLACKROCK ADVISORS, LLC
5493001LN9MRM6A35J74
Y
N
BNY Mellon Investment Servicing (US) Inc.
549300CFZQLI9QMJ1Z03
N
Y
N
BLACKROCK INVESTMENTS, LLC
008-48436
000038642
54930061FBHCKXL2G714
0.00000000
BLACKROCK EXECUTION SERVICES
008-48719
000039438
549300HFCRQ0NT5KY652
0.00000000
BOFA SECURITIES, INC.
008-69787
000283942
549300HN4UKV1E2R3U73
164888.00000000
CREDIT SUISSE SECURITIES (USA) LLC
008-00422
000000816
1V8Y6QCX6YMJ2OELII46
178839.00000000
J.P. Morgan Securities LLC
008-35008
000000079
ZBUT11V806EZRVTWT807
314171.00000000
GOLDMAN SACHS & CO. LLC
008-00129
000000361
FOR8UP27PHTHYVLBNG30
591614.00000000
WELLS FARGO SECURITIES, LLC
008-65876
000126292
VYVVCKR63DVZZN70PB21
76161.00000000
JEFFERIES LLC
008-15074
000002347
58PU97L1C0WSRCWADL48
166704.00000000
VIRTU AMERICAS LLC
008-68193
000149823
549300RA02N3BNSWBV74
119981.00000000
UBS Securities LLC
008-22651
000007654
T6FIZBDPKLYJKFCRVK44
203474.00000000
BARCLAYS CAPITAL, INC.
008-41342
000019714
AC28XWWI3WIBK2824319
316508.00000000
MORGAN STANLEY & CO. LLC
008-15869
000008209
9R7GPTSO7KV3UQJZQ078
314852.00000000
2771799.00000000
J.P. Morgan Securities LLC
008-35008
000000079
ZBUT11V806EZRVTWT807
17687577.00000000
JEFFERIES LLC
008-15074
000002347
58PU97L1C0WSRCWADL48
12338067.00000000
Cano Health, Inc.
N/A
N/A
N/A
29000000.00000000
Exo Imaging, Inc.
N/A
N/A
N/A
11178997.00000000
BlackRock Liquidity Funds T-Fund
N/A
N/A
5493002L9DNZ83RX7V61
5552642654.00000000
VIRTU AMERICAS LLC
008-68193
000149823
549300RA02N3BNSWBV74
64734835.00000000
Carbon Health Technologies, Inc.
N/A
N/A
N/A
16855000.00000000
BOFA SECURITIES, INC.
008-69787
000283942
549300HN4UKV1E2R3U73
12357008.00000000
GOLDMAN SACHS & CO. LLC
008-00129
000000361
FOR8UP27PHTHYVLBNG30
25543232.00000000
MORGAN STANLEY & CO. LLC
008-15869
000008209
9R7GPTSO7KV3UQJZQ078
104272332.00000000
5891972466.00000000
Y
10573880302.00000000
0.00000000
Committed
1750000000.00000000
N
N
N
N
false
false
true
false
false
false