This is a complete list of all broker-dealers registered with the MSRB as of 10/23/2014 9:03:17 AM Eastern.

 


MSRB Number Company Name State Registrant Type
A2205 Trevor, Cole, Reid & Monroe,Inc. NY Broker Dealer
A4779 1st Discount Brokerage, Inc. FL Broker Dealer
A4432 1st Global Capital Corp TX Broker Dealer
A4892 A. BRIDGE - Realvest Securities Corp. NJ Broker Dealer/Municipal Advisor
A6373 A.P. Securities, Inc. NY Broker Dealer
A4327 Abacus International Capital NY Broker Dealer
A4454 Abacus Investments, Inc. WI Broker Dealer
A3048 Abel/Noser Corp. NY Broker Dealer
A0005 Abner, Herrman & Brock, LLC NJ Broker Dealer
A3750 Abramenko & Company, Inc. NJ Broker Dealer
A6717 Abramson Financial, LLC NJ Broker Dealer
A6224 ACA/Prudent Investors Planning Corporation NJ Broker Dealer
A3858 Academy Securities, Inc. NY Broker Dealer/Municipal Advisor
A5929 Accelerated Capital Group CA Broker Dealer
A4335 Access Financial Group, Inc. IL Broker Dealer
A5363 ACGM, Inc. NY Broker Dealer
A6746 ACP Securities, LLC FL Broker Dealer
A7076 Actinver Securities, Inc. TX Broker Dealer
A5605 Adirondack Trading Group LLC NY Broker Dealer
A6131 Advance Capital Services, Inc. MI Broker Dealer
A6783 Advanced Advisor Group,LLC MN Broker Dealer
A6855 Advantage Securities LLC IL Broker Dealer
A5434 Advisors Asset Management, Inc. CO Broker Dealer
A6867 Advisors Clearing Network, Inc. CA Broker Dealer
A5235 Advisory Group Equity Svcs Ltd MA Broker Dealer
A3490 Aegis Capital Corp. NY Broker Dealer
A4951 AG BD LLC NY Broker Dealer
A7017 Agency Trading Group, Inc. MN Broker Dealer
A7015 AK Capital LLC NY Broker Dealer
A3686 Alamo Capital CA Broker Dealer/Municipal Advisor
A0538 Albert Fried & Co. NY Broker Dealer
A4524 Alerus Securities ND Broker Dealer
A6968 Alexander Capital, L.P. NY Broker Dealer
A6379 Alexander Investment Services Co. KY Broker Dealer
A0022 Allegheny Investments, Ltd. PA Broker Dealer
A5754 Allegiance Capital, LLC, DBA Richard Brothers, Financial Advisors ME Broker Dealer
A7382 Allegis Investment Services, LLC ID Broker Dealer
A0024 Allen & Company LLC NY Broker Dealer/Municipal Advisor
A0025 Allen & Company of Florida,Inc FL Broker Dealer
A6805 Allen, Mooney & Barnes Brokerage Srvs, LLC GA Broker Dealer
A3906 Alliance Financial Group, Inc. TX Broker Dealer
A5694 AllianceBernstein Investments, Inc. NY Broker Dealer
A0166 Alliant Securities Inc. WA Broker Dealer
A5968 Allianz Global Investors Distributors LLC NY Broker Dealer
A3439 Allied Asset Management, Inc. WA Broker Dealer
A5706 Allstate Financial Svcs., LLC NE Broker Dealer
A6857 Alluvion Securities, LLC TN Broker Dealer/Municipal Advisor
B0502 AloStar Bank of Commerce AL Bank Dealer
A4840 Alton Securities Group IL Broker Dealer
A6833 Ambassador Financial Group, Inc. PA Broker Dealer
A6174 Amegy Investments, Inc. TX Broker Dealer
A7275 AmericaFirst Securities Inc. CA Broker Dealer
A6006 American Capital Partners, LLC NY Broker Dealer
A6158 American Century Investment Services, Inc. MO Broker Dealer
A5618 American Diversified Fin'l Grp IN Broker Dealer
A3666 AMERICAN ENTERPRISE INVESTMENT SERVICES INC. MN Broker Dealer
A7079 American Equity Investment Corporation IN Broker Dealer
A6233 American Financial Associates, Inc. PA Broker Dealer
A6327 American Financial Securities, Inc. IA Broker Dealer
A5979 American Fund Distributors, Inc. CA Broker Dealer
A4167 American Heritage Secs., Inc. OH Broker Dealer
A6672 American Independent Securities Grp,LLC ID Broker Dealer
A0036 American Investors Company CA Broker Dealer
A0039 American Municipal Securities Inc. FL Broker Dealer
A1817 American Network Securities AZ Broker Dealer
A4944 American Portfolios Financial Services, Inc. NY Broker Dealer
A6446 American Trust Investment Services IN Broker Dealer
A3901 American Wealth Management Inc GA Broker Dealer
A2663 Ameriprise Financial Services, Inc. MN Broker Dealer/Municipal Advisor
A2110 Ameritas Investment Corp. NE Broker Dealer/Municipal Advisor
A7312 Amherst Pierpont Securities LLC CT Broker Dealer
A6521 Anchor Bay Securities, LLC CA Broker Dealer
A2238 Ancora Securities, Inc. OH Broker Dealer
A6670 Andes Capital Group, LLC IL Broker Dealer
A4131 Andrew Garrett Inc. NY Broker Dealer
A6646 Anovest Financial Services, Inc. GA Broker Dealer
A6138 Aon Benfield Securities, Inc. IL Broker Dealer
A6577 AOS, Inc. IL Broker Dealer
A7272 Apex Clearing Corporation TX Broker Dealer
A1264 AR Schmeidler & Co., Inc. NY Broker Dealer
A7075 Arbor Research & Trading, LLC IL Broker Dealer
A7133 ARCA Capital Investments, Inc. FL Broker Dealer
A7381 ARCADIA SECURITIES LLC NY Broker Dealer
A6182 Ardour Capital Investments, LLC NY Broker Dealer
A6910 Arete Wealth Management, LLC IL Broker Dealer
A1178 Arive Capital Markets LLC MN Broker Dealer
A6853 Arjent LLC NY Broker Dealer
A5294 Arlington Securities Inc. MO Broker Dealer
A6770 Arque Capital, Ltd. AZ Broker Dealer
A0758 Arthur W Wood Company MA Broker Dealer
A5030 Arvest Asset Management AR Broker Dealer
A5709 Ascensus Broker Dealer Services, Inc. MA Broker Dealer
A4307 Asia Pacific Financial Management Group, Inc. GU Broker Dealer
A7207 Aspen Equity Partners, LLC. TX Broker Dealer
A4282 Associated Bond Brokers, Inc. TX Broker Dealer
A0277 Associated Investment Services WI Broker Dealer
A6984 ATIS, Inc. IN Broker Dealer
A7231 Auriga USA, LLC NY Broker Dealer
A5380 Aurora Capital LLC NY Broker Dealer
A7175 Aurora Securities IN Broker Dealer
A0069 Ausdal Financial Partners, Inc. IA Broker Dealer
A6215 Avalon Investment & Securities Group, Inc. AL Broker Dealer
A7184 Avatar Capital Group LLC NY Broker Dealer
A7193 Avenir Financial Group, Inc. NY Broker Dealer
A6808 Aventura Securities, LLC FL Broker Dealer
A6362 Avisen Securities, Inc. CA Broker Dealer
A6194 AVM, L.P. FL Broker Dealer/Municipal Advisor
A6722 Avondale Partners, LLC TN Broker Dealer
A2690 AXA Advisors LLC. NY Broker Dealer
A3696 Axiom Capital Management, Inc. NY Broker Dealer
A5498 B. B. Graham & Co., Inc. CA Broker Dealer
A6298 Backstrom McCarley Berry & Co., LLC CA Broker Dealer/Municipal Advisor
A0082 Baker & Co., Incorporated OH Broker Dealer
A6069 Baker Tilly Capital, LLC WI Broker Dealer
A4301 Ballew Investments, Inc. MS Broker Dealer
A5394 BancWest Investment Svcs. Inc. NE Broker Dealer
A7322 Bank Fund Equities, Inc. VA Broker Dealer
B0019 Bank of America, NA NC Bank Dealer
B0027 Bank of Oklahoma, N.A. OK Bank Dealer/Municipal Advisor
B0467 Bank of the West CA Bank Dealer
A0089 Bankers & Investors Co. KS Broker Dealer
B0368 Bankers' Bank Investment Dept. WI Bank Dealer
A3988 Bankoh Investment Services, Inc. HI Broker Dealer
A6604 Banorte-Ixe Securities International Ltd. NY Broker Dealer
A7109 Barclay Investments, Inc NY Broker Dealer
A6566 Barclays Capital Inc. NY Broker Dealer/Municipal Advisor
A0097 Barrett & Company RI Broker Dealer
A6395 Barrington Research Associates, Inc. IL Broker Dealer
A6121 Bates Securities, Inc. IL Broker Dealer
A6589 Bay Mutual Financial, LLC CA Broker Dealer
A4350 BB & T Investment Services,Inc NC Broker Dealer
A6823 BB&T Securities, LLC VA Broker Dealer/Municipal Advisor
A7035 BBVA Securities Inc. NY Broker Dealer
A0775 BC Ziegler and Company IL Broker Dealer/Municipal Advisor
A0085 BCG Securities, Inc. NJ Broker Dealer
A1809 Beaconsfield Financial Services, Inc. PA Broker Dealer
A6759 Bear Creek Securities, LLC CO Broker Dealer
A5863 Beard Financial Services, Inc OH Broker Dealer
A4845 Bedminster Financial Group, PA Broker Dealer
A1572 BedRok Securities LLC NY Broker Dealer
A3445 Beech Hill Securities NY Broker Dealer
A4477 Beekman Securities, Inc. NY Broker Dealer/Municipal Advisor
A6669 Bel Air Securities LLC CA Broker Dealer
A3977 Belle Haven Investments, LP NY Broker Dealer
A6574 Benchmark Investments, Inc. AR Broker Dealer
A7242 Benchmark Securities LLC FL Broker Dealer
A7343 Benjamin & Jerold Brokerage I LLC NY Broker Dealer
A6963 Benjamin F. Edwards & Company MO Broker Dealer/Municipal Advisor
A0118 Benjamin Securities, Inc. NY Broker Dealer
A0121 Berghoff & Co., Inc. IL Broker Dealer
A0647 Bernard Herold & Co., Inc. NY Broker Dealer
A2043 Bernardi Securities, Inc. IL Broker Dealer
A1765 Berthel Fisher & Co.Fin.Serv. IA Broker Dealer
A4867 BestVest Investments, Ltd. PA Broker Dealer
A6568 Beta Capital Management, L.P. FL Broker Dealer
A1784 Bettinger & Leech Financial Co NJ Broker Dealer
A6253 BFT Financial Group, LLC TX Broker Dealer
A7021 BGC Financial, LP NY Broker Dealer
A6680 BHK Securities, LLC AL Broker Dealer
A4991 Bill Few Securities, Inc. PA Broker Dealer
A6520 Biondo Asset Management LLC PA Broker Dealer
A0133 Bishop, Rosen & Co., Inc. NY Broker Dealer
A7038 BlackRock Investments, LLC NY Broker Dealer
A3616 Blakeslee & Blakeslee Inc. CA Broker Dealer
A6906 Blaylock Beal Van, LLC NY Broker Dealer
A4229 Bley Investment Group, Inc. TX Broker Dealer
A6518 Blue Creek Securities, LLC AL Broker Dealer
A7302 Blue Tiger Wealth Management CO Broker Dealer
A7103 BMA Securities CA Broker Dealer
A7261 BMO Capital Markets Corp. NY Broker Dealer
A0593 BMO Capital Markets GKST Inc. IL Broker Dealer
A6696 BMO Harris Financial Advisors, Inc. IL Broker Dealer
A7320 BNP PARIBAS PRIME BROKERAGE, INC. NY Broker Dealer
A6172 BNP Paribas Securities Corp NY Broker Dealer
A4685 BNY Mellon Capital Markets, LLC NY Broker Dealer/Municipal Advisor
A0155 Bodell Overcash Anderson & Co. NY Broker Dealer
A0156 Boenning & Scattergood, Inc. PA Broker Dealer/Municipal Advisor
A4603 Bolton Global Capital MA Broker Dealer
A7013 Bolton Securities MA Broker Dealer
A7383 Bondcube Inc. CT Broker Dealer
A6885 BONDS.com, Inc. NY Broker Dealer
A7284 Bonwick Capital Partners, LLC NY Broker Dealer
A4700 BOSC, Inc. OK Broker Dealer/Municipal Advisor
A6749 Bostonia Global Securities LLC MA Broker Dealer
A2288 BPU Investment Management, Inc. PA Broker Dealer
A6198 Brandis Tallman LLC CA Broker Dealer
A6398 Brandt, Kelly & Simmons Securities, LLC MI Broker Dealer
A6320 Braymen, Lambert and Noel Securities, Ltd. TX Broker Dealer
A6430 Brazos Securities, Inc. TX Broker Dealer
A3814 Brean Capital, LLC. NY Broker Dealer
K0583 Bridgeport Partners, LLC IL Broker Dealer/Municipal Advisor
A0174 Brighton Securities Corp. NY Broker Dealer
A2694 Brill Securities, Inc. NY Broker Dealer
A5343 Brinker Cap. Securities, Inc. PA Broker Dealer
A6731 Bristol Financial Services, Inc. NY Broker Dealer
A3998 Broker Dealer Fin. Serv. Corp. IA Broker Dealer
A6990 BrokerageSelect NY Broker Dealer
A6776 Brokers International Financial Services, LLC IA Broker Dealer
A2362 Brooklight Place Securities, Inc. IL Broker Dealer
A2125 Brown & Brown Securities, Inc. TX Broker Dealer
A6164 Brown Advisory Securities, LLC MD Broker Dealer
A0189 Brown Associates, Inc. TN Broker Dealer
A4182 Brown, Gibbons, Lang & Company Securities, Inc. OH Broker Dealer
A0196 Brown, Lisle/Cummings, Inc. RI Broker Dealer
A7236 Brownstone Investment Group, LLC NY Broker Dealer
A5860 Bruce A. Lefavi Securities, Inc. UT Broker Dealer
B0510 Bryant Bank Capital Markets Division AL Bank Dealer
A7098 BTIG LLC CA Broker Dealer
A7198 BTMU Securities, Inc. NY Broker Dealer
A6127 BTS Securities Corporation MA Broker Dealer
A3317 Buckman, Buckman & Reid, Inc. NJ Broker Dealer
A6410 Buckram Securities Ltd. NY Broker Dealer
A0198 Buell Securities Corp. CT Broker Dealer
A6336 Bull & Bear Brokerage Services, Inc. FL Broker Dealer
A0205 Burke, Lawton,Brewer & Burke LLC PA Broker Dealer
A3573 Burnham Securities, Inc. NY Broker Dealer
A0212 Butler Muni LLC CA Broker Dealer
A3743 Buttonwood Partners, Inc. WI Broker Dealer
A6339 C.G. Menk & Associates, Inc. MD Broker Dealer
A0165 CA Botzum & Co. CA Broker Dealer
A7244 Cabot Lodge Securities LLC NY Broker Dealer
A4470 Cabrera Capital Markets, LLC IL Broker Dealer/Municipal Advisor
A1558 Cadaret, Grant & Co., Inc. NY Broker Dealer
A7256 Cadwyn Point Partners, LLC CT Broker Dealer
A1793 Cain Brothers & Co. NY Broker Dealer/Municipal Advisor
A5715 Caldwell Intn'l Securities Cor TX Broker Dealer
A7050 Caldwell Securities, Inc. CA Broker Dealer
A6077 Callaway Financial Services, Inc. TX Broker Dealer
A2912 Calton & Associates, Inc. FL Broker Dealer/Municipal Advisor
A6209 Calvert Investment Distributors, Inc. MD Broker Dealer
A6947 Cambria Capital UT Broker Dealer
A6582 Cambridge International Securities, Inc. CT Broker Dealer
A4785 Cambridge Investment Research IA Broker Dealer
A7262 Camden Financial Services CA Broker Dealer
A7287 Canaccord Genuity Inc. NY Broker Dealer
A0230 Cantella & Co., Inc. MA Broker Dealer
A3664 Cantone Research, Inc. NJ Broker Dealer
A6429 Cantor Fitzgerald & Co. NY Broker Dealer/Municipal Advisor
A7178 Cape Fear Securities, Inc NC Broker Dealer
A0232 Cape Securities, Inc. GA Broker Dealer
A6854 Capital & Credit International, Inc. FL Broker Dealer
A6913 Capital City Securities, LLC OH Broker Dealer
A4639 Capital Financial Services,Inc ND Broker Dealer
A6733 Capital Guardian, LLC NC Broker Dealer
A0236 Capital Institutional Services, Inc. TX Broker Dealer
A5064 Capital Investment Brokerage NC Broker Dealer
A3355 Capital Investment Group, Inc. NC Broker Dealer
A0231 Capital Management Securities, MN Broker Dealer
A3581 Capital One Investment Services LLC NY Broker Dealer
A4008 Capital Portfolio Management, MD Broker Dealer
A7189 Capital Research Brokerage Services, LLC CA Broker Dealer
A1595 Capital Securities Investment IL Broker Dealer
A6979 Capital Synergy Partners, Inc. CA Broker Dealer
A2210 Capitol Securities Management, Inc. VA Broker Dealer
A6212 Capnet Securities Corporation TX Broker Dealer
A0238 Caprock Securities, Inc. TX Broker Dealer/Municipal Advisor
A6439 CAPTRUST Finanical Advisors NC Broker Dealer
A6844 CapWealth Investment Services TN Broker Dealer
A4529 Cardinal Investments, Inc. IL Broker Dealer
A4792 Carey, Thomas, Hoover, & Breault, Inc. KS Broker Dealer
A0643 Carl M Hennig, Inc. WI Broker Dealer
A1467 Carl P Sherr & Co., LLC MA Broker Dealer
A4701 Carolina Capital Markets NC Broker Dealer
A5718 Carolinas Investment Consulting LLC NC Broker Dealer
A3116 Carter, Terry & Company, Inc. GA Broker Dealer
A2962 Carthage Group, Inc. NY Broker Dealer
A0251 Carty and Company, Inc. TN Broker Dealer
A6822 Cary Street Partners LLC VA Broker Dealer
A6004 Cascade Financial Management, Inc. CO Broker Dealer
A4434 Cascade Investment Group, Inc. CO Broker Dealer
A5725 Casimir Capital, LP NY Broker Dealer
A6897 CastleOak Securities, LP NY Broker Dealer
A7121 CAVU Securities, LLC. NY Broker Dealer
A2206 CBIZ Financial Solutions, Inc. OH Broker Dealer
A6724 CCF Investments, Inc. GA Broker Dealer
A7125 CCM Securities, LLC NY Broker Dealer
A4803 CCO Investment Services Corp MA Broker Dealer
A4831 Celadon Financial Group LLC NJ Broker Dealer
A5276 Centaurus Financial, Inc. CA Broker Dealer
A0255 Centennial Securities Co., Inc MI Broker Dealer
A6942 Center Street Securities, Inc TN Broker Dealer
A6025 Centerprise Capital LLC IL Broker Dealer
A7119 Centerre Capital, LLC MO Broker Dealer
B0470 CenterState Bank of Florida AL Bank Dealer
A7140 Central States Capital Markets, LLC KS Broker Dealer/Municipal Advisor
B0429 Central Trust Bank MO Bank Dealer
A3914 Century Securities Associates MO Broker Dealer
A7019 Ceros Financial Services, Inc. MD Broker Dealer
A6829 CertusSecurities, Inc. GA Broker Dealer/Municipal Advisor
A2021 Cetera Advisor LLC CO Broker Dealer
A1673 Cetera Advisor Networks LLC CA Broker Dealer
A1898 Cetera Financial Specialists LLC IL Broker Dealer
A2132 Cetera Investment Services LLC MN Broker Dealer
A7096 CF Global Trading, LLC NY Broker Dealer
A5772 CFD Investments, Inc. IN Broker Dealer
A6824 CFG Capital Markets, LLC MD Broker Dealer
A5729 CFS Securities, Inc. CT Broker Dealer
A5719 CFT Securities, LLC NJ Broker Dealer
A7387 CGA Securities LLC MD Broker Dealer
A7166 CGIS SECURITIES LLC FL Broker Dealer
A3840 Chapin, Davis MD Broker Dealer
A4109 Charles Jordan & Co., Inc. NY Broker Dealer
A1271 Charles Schwab & Co., Inc. CA Broker Dealer
A6303 Chatsworth Securities LLC CT Broker Dealer/Municipal Advisor
A6106 Chelsea Financial Services NY Broker Dealer
A0625 Chester Harris and Co., Inc. NY Broker Dealer
A6485 Chickasaw Securities, LLC TN Broker Dealer
A6760 Chrysalis Capital Group, LLC CA Broker Dealer
A6564 CIG Securities MI Broker Dealer
B0504 Citibank, N.A., Municipal Securities Division NY Bank Dealer
A1487 Citigroup Global Markets Inc. NY Broker Dealer
A5564 City National Securities, Inc. CA Broker Dealer
A0278 City Securities Corporation IN Broker Dealer/Municipal Advisor
A0836 CL King and Associates, Inc. NY Broker Dealer
A6494 Clark Dodge & Company, Inc. NY Broker Dealer
A6447 Clary Investment and Insurance Planning Corp. MA Broker Dealer
A7259 Classic, LLC ND Broker Dealer
A5207 Clayton Lowell & Conger, Inc. NY Broker Dealer
A7104 Clean Energy Capital Securities LLC TX Broker Dealer/Municipal Advisor
A5426 Cleary Gull Inc. WI Broker Dealer
A7099 Client One Securities, LLC KS Broker Dealer
A6282 CliftonLarsonAllen Wealth Advisors, LLC MN Broker Dealer
A6431 CNBS KS Broker Dealer
A6543 CNS Securities, LLC TX Broker Dealer
A3303 Coastal Equities, Inc. DE Broker Dealer
A3803 Coastal Securities Inc TX Broker Dealer/Municipal Advisor
A0286 Coburn & Meredith, Inc. CT Broker Dealer
A3989 Coker & Palmer, Inc. MS Broker Dealer
A0296 Colonial Securities, Inc. NY Broker Dealer
A6873 Colony Park Financial Services, LLC GA Broker Dealer
A6750 Colorado Financial Service Corp. CO Broker Dealer
A7084 Columbia Management Investment Distributors, Inc. MA Broker Dealer
A7071 Columbus Advisory Group, Ltd. NY Broker Dealer
A2845 Comerica Securities, Inc. MI Broker Dealer/Municipal Advisor
B0069 Commerce Bank MO Bank Dealer/Municipal Advisor
A4039 Commerce Brokerage Services, Inc MO Broker Dealer
A7204 Commerce One Financial Inc. NY Broker Dealer
A6856 Commerce Street Capital, LLC TX Broker Dealer
A6197 Commonwealth Financial Group, Inc. NJ Broker Dealer
A3246 Commonwealth Financial Network MA Broker Dealer
K0880 Commonwealth National Bank AL Bank Dealer/Municipal Advisor
A7346 CommunityAmerica Financial Solutions, LLC KS Broker Dealer
A5503 Comprehensive Asset Management NJ Broker Dealer
A7100 Concept Capital Markets, LLC NY Broker Dealer
A7202 Concorde Investment Services LLC MI Broker Dealer
A7177 Conifer Securities, LLC CA Broker Dealer
A0304 Conners & Company, Inc. OH Broker Dealer
A4062 Conover Securities Corporation WA Broker Dealer
A3188 Consolidated Financial Investments, Inc. MO Broker Dealer
A6837 Constellation Wealth Advisors, LLC NY Broker Dealer
A4047 Continental Investor Services WA Broker Dealer
A5255 ConvergEx Execution Solutions LLC NY Broker Dealer
A3434 Cooper Malone McClain, Inc. KS Broker Dealer/Municipal Advisor
A3020 Coordinated Capital Securities WI Broker Dealer
A5948 COR Clearing, LLC NE Broker Dealer
A5325 CoreCap Investments, Inc. MI Broker Dealer
A4916 Corinthian Partners, L.L.C. NY Broker Dealer
A5688 Cornerstone Capital Corp. OH Broker Dealer
A5964 Correll Co. Investment Services Corp. IL Broker Dealer
A0321 Cosse'International Securities WA Broker Dealer
A0323 Coughlin & Co., Inc. CO Broker Dealer/Municipal Advisor
A6755 COUNTRY Capital Manangement Company IL Broker Dealer
B0350 Country Club Bank MO Bank Dealer
A5878 Country Club Financial Services, Inc. MO Broker Dealer
A7332 Cova Capital Partners, LLC NY Broker Dealer
A2704 Coventry Capital, Inc. IL Broker Dealer
A5826 CP Capital Securities FL Broker Dealer
A3238 Credit Agricole Securities (USA) Inc. NY Broker Dealer
A0481 Credit Suisse Securities (USA) LLC NY Broker Dealer
A3600 Cresap, Inc. PA Broker Dealer
A6530 Crescent Securities Group, Inc. TX Broker Dealer
A5625 Crestone Securities LLC CO Broker Dealer
A0333 Crews & Associates, Inc. AR Broker Dealer/Municipal Advisor
A3589 CRI Securities, LLC MN Broker Dealer
A0337 Cronin & Co., Inc. MN Broker Dealer
A7026 Cross Point Capital LLC NJ Broker Dealer
A5423 Crown Capital Securities, L.P. CA Broker Dealer
A4829 CRT Capital Group LLC CT Broker Dealer
A6793 CSSC Brokerage Services, Inc. MI Broker Dealer
A7317 CU Investment Solutions LLC KS Broker Dealer
A2954 Cullen Investment Group, Ltd. LA Broker Dealer
A4634 CUNA Brokerage Services, Inc. IA Broker Dealer
A6614 Curian Clearing, LLC CO Broker Dealer
A7112 Curran Advisory Services NY Broker Dealer
A3605 Curren & Company CA Broker Dealer
A7288 Cushman & Wakefield Securities, Inc. NY Broker Dealer
A4995 CUSO Financial Services, LP CA Broker Dealer
A3216 Cutter and Company Brokerage,Inc MO Broker Dealer
A7145 CV Brokerage Inc PA Broker Dealer
A6304 CW Securities, LLC TN Broker Dealer
A6051 D.B. McKenna & Co., Inc. VT Broker Dealer
A6768 D.H. Hill Securities, LLLP TX Broker Dealer
A0365 DA Davidson & Company MT Broker Dealer/Municipal Advisor
A3450 Dalton Strategic Invest. Serv. IN Broker Dealer
A5094 Darcy Group (The), LLC NY Broker Dealer
A0359 Dart, Papesh & Company, Incorporated. MI Broker Dealer
A0360 Darwood Associates, Inc. NJ Broker Dealer
A0364 Davenport & Company LLC VA Broker Dealer/Municipal Advisor
A1061 David A Noyes & Company IL Broker Dealer
A5604 David Harris & Co., Inc. NY Broker Dealer
A0887 David Lerner Associates, Inc NY Broker Dealer
A6113 DaVinci Capital Management MA Broker Dealer
A6982 Davis Securities LLC NY Broker Dealer
A6548 Dawson James Securities, Inc. FL Broker Dealer
A7211 Dealerweb Inc. NJ Broker Dealer
A6291 Dearborn Capital Markets Group, LLC TN Broker Dealer
A5457 Delta Trust Investments AR Broker Dealer
A6812 Dempsey Lord Smith, LLC GA Broker Dealer
A4800 DesPain Financial Corporation IL Broker Dealer
A6273 Destiny Capital Securities Corporation CO Broker Dealer
A7234 Destra Capital Investments LLC IL Broker Dealer
A0459 Detwiler Fenton & Co. MA Broker Dealer
A7180 Detwiler Fenton Wealth Management Inc. MA Broker Dealer
A0869 Deutsche Bank Securities Inc. NY Broker Dealer
A6478 Devenir LLC MN Broker Dealer
A7339 DFPG Investments Inc UT Broker Dealer
A0381 Diamant Investment Corporation CT Broker Dealer
A1661 Dillon Gage Securities, Inc. TX Broker Dealer
A6392 Dinosaur Securities, L.L.C. NY Broker Dealer
A6316 Diversified Resources, LLC RI Broker Dealer
A6992 Divine Capital Markets LLC NY Broker Dealer
A4743 DM Kelly & Company IA Broker Dealer
A0392 Doft & Co., Inc. NY Broker Dealer
A2074 Dominick & Dominick, LLC NY Broker Dealer
A2995 Dominion Investor Services TX Broker Dealer
A6480 Donegal Securities, Inc. MA Broker Dealer
A0400 Dorn & Co., Inc. MN Broker Dealer
A0401 Dorsey & Company, Inc. LA Broker Dealer
K0412 Double Eagle Securities of America, Inc. FL Broker Dealer
A1329 Dougherty & Company LLC MN Broker Dealer/Municipal Advisor
A0406 Douglas and Co. Municipals,Inc NY Broker Dealer
A7115 Drexel Hamilton, LLC PA Broker Dealer/Municipal Advisor
A3234 DST Market Services, LLC. MN Broker Dealer
A0748 Duncan-Williams, Inc. TN Broker Dealer
A7326 DV Financial Services LLC AZ Broker Dealer
A6160 DWS Investments Distributors Inc. NY Broker Dealer
A7113 Dynasty Capital Partners, Inc. CO Broker Dealer
A1766 E Magnus Oppenheim & Co., Inc. NY Broker Dealer
A6208 E*TRADE Clearing LLC NJ Broker Dealer
A4526 E*Trade Securities LLC NJ Broker Dealer
A3636 E-W Investments, Inc. CA Broker Dealer
A7273 E.S. Financial Services Inc. FL Broker Dealer
A6553 Eagle Equities, Inc. MD Broker Dealer
A5072 EarlyBirdCapital Inc. NY Broker Dealer
B0446 Eastern Bank MA Bank Dealer/Municipal Advisor
A0425 Economy Securities, Incorporated IN Broker Dealer
A2641 EDI Financial Inc. TX Broker Dealer
A0799 Edward Jones MO Broker Dealer
A5966 Edwin C. Blitz Investments, Inc. IL Broker Dealer
A4865 EFG Capital International FL Broker Dealer
A7034 Eide Bailly Securities LLC ND Broker Dealer
A7258 EJ STERLING INC NY Broker Dealer
A6189 EK Riley Investments, LLC WA Broker Dealer/Municipal Advisor
A3735 Elish & Elish Inc. PA Broker Dealer
A1137 Elmer E Powell & Company PA Broker Dealer
A6524 Emerson Equity LLC CA Broker Dealer
A2082 Emmet & Co., Inc. NJ Broker Dealer
A6852 Empire Asset Management Company NY Broker Dealer
A7296 EMPIRE STATE FINANCIAL, INC. NY Broker Dealer
A3250 Ensemble Financial Services, Inc NY Broker Dealer
A6611 Envoy Securities, LLC CO Broker Dealer
A5960 Equable Securities Corporation WI Broker Dealer
A6895 Equinox Securities Inc. CA Broker Dealer
A2272 Equity Services, Inc. VT Broker Dealer
A6751 ESL Investment Services, LLC NY Broker Dealer
A6993 Esposito Securities, LLC TX Broker Dealer
A6423 Essex Financial Services, Inc. CT Broker Dealer/Municipal Advisor
A4275 Essex National Securities, LLC CA Broker Dealer
A6248 Essex Securities LLC MA Broker Dealer
A3631 Estrada Hinojosa & Co., Inc. TX Broker Dealer/Municipal Advisor
A6980 ETC Brokerage Services, LLC OH Broker Dealer
A5045 Euro Pacific Capital, Inc. CT Broker Dealer
A6499 Everence Securities, Inc. IN Broker Dealer
A5449 Evertrade Direct Brokerage Inc MO Broker Dealer
A4676 Excel Securities & Associates,Inc. NY Broker Dealer
A5587 Fairbridge Capital Markets PR Broker Dealer
A5915 Fairport Capital, Inc. AZ Broker Dealer
A7303 Falcon Square Capital, LLC NC Broker Dealer
A0457 Family Investors Company NJ Broker Dealer
A5219 Family Mgmt. Securities LLC NY Broker Dealer
A5857 Farmers Financial Solution LLC CA Broker Dealer
A6486 FBL Marketing Services, LLC IA Broker Dealer
A5705 FBT Investments, Inc. LA Broker Dealer
A4866 FCG Advisors, LLC NJ Broker Dealer
A6214 Federated Securities Corp. PA Broker Dealer
A5351 Federated Securities, Inc. NY Broker Dealer
A3995 Feldman, Ingardona & Co. IL Broker Dealer
A5859 Feldstein Financial Group, LLC NJ Broker Dealer
A6072 Feltl & Company MN Broker Dealer
A7181 FFC Capital Advisors, LLC LA Broker Dealer/Municipal Advisor
A0463 Fidelity Brokerage Services LLC RI Broker Dealer
A5752 Fidelity Investments Institutional Services Company, Inc RI Broker Dealer
A3290 Fieldpoint Private Securities, LLC. CT Broker Dealer
A7074 Fieldstone Services Corp. NY Broker Dealer
A1070 Fifth Third Securities, Inc. OH Broker Dealer/Municipal Advisor
A6957 FIG Partners LLC GA Broker Dealer/Municipal Advisor
A4729 Finance 500, Inc. CA Broker Dealer
A0466 Financial America Securities, OH Broker Dealer
A3302 Financial Northeastern Sec.Inc NJ Broker Dealer
A0468 Financial Planning Consultants MO Broker Dealer
A5952 Financial Security Management, Inc. VA Broker Dealer
A5874 Financial Telesis Inc. CA Broker Dealer
A2291 Financial West Group, Inc. CA Broker Dealer
A6937 FinTech Securities, LLC GA Broker Dealer
A5099 Fintegra, LLC MN Broker Dealer
A6623 FinTrust Brokerage Services, LLC SC Broker Dealer
A4599 First Allied Securities, Inc. CA Broker Dealer
A7351 First American Securities, Inc. OH Broker Dealer
A6753 First Asset Financial Inc. KS Broker Dealer
A6337 First Ballantyne, LLC NC Broker Dealer
A1942 First Bankers' Banc Securities, Inc. MO Broker Dealer
A5126 First Brokerage America, L.L.C MO Broker Dealer
A4066 First Brokers Securities, LLC NJ Broker Dealer
A6426 First Capital Equities Ltd. NY Broker Dealer
A3262 First Citizens Financial Plus, TN Broker Dealer
A5189 First Citizens Investor Svcs. NC Broker Dealer
A6764 First Citizens Securities Corporation SC Broker Dealer
A5359 First Clearing, LLC. MO Broker Dealer
A6145 First Command Financial Planning, Inc. TX Broker Dealer
A2865 First Commonwealth Sec.Corp. GA Broker Dealer
A3613 First Dallas Securities, Inc. TX Broker Dealer
A2469 First Empire Securities, Inc. NY Broker Dealer
A5890 First Financial Equity Corporation AZ Broker Dealer
A5879 First Financial Securities of America, Inc. TX Broker Dealer
A1452 First Georgetown Securities,Inc VA Broker Dealer
A4455 First Heartland Capital MO Broker Dealer
A0695 First Honolulu Securities, Inc HI Broker Dealer
A6501 First Independent Financial Services, Inc. OK Broker Dealer
A6908 First Integrity Capital Partners, Corp. FL Broker Dealer
A5053 First Investors Corporation NY Broker Dealer
A0487 First Kentucky Securities Corporation. KY Broker Dealer/Municipal Advisor
A1877 First Liberties Securities, In NY Broker Dealer
A0488 First Manhattan Co. NY Broker Dealer
A0495 First Midstate Inc. IL Broker Dealer/Municipal Advisor
A3866 First Midwest Securities, Inc. IL Broker Dealer
B0360 First National Bankers Bank LA Bank Dealer
A5914 First National Capital Markets, Inc. NE Broker Dealer/Municipal Advisor
B0507 First Partners Bank Investment Division AL Bank Dealer
A6497 First Public, LLC TX Broker Dealer
A5730 First Republic Secs. Co., LLC CA Broker Dealer
A6588 First Savings Securities, Inc. PA Broker Dealer
B0373 First Source Bank (1st) IN Bank Dealer
A2296 First South Carolina Securities,Inc. SC Broker Dealer
A5297 First Southeast Investor Svcs., Inc. SC Broker Dealer
A7093 First Southern Securities, LLC GA Broker Dealer/Municipal Advisor
A0503 First Southwest Company TX Broker Dealer/Municipal Advisor
A2263 First State Financial Management MO Broker Dealer
A3898 First Trust Portfolios L.P. IL Broker Dealer
A4993 First Tryon Securities, LLC NC Broker Dealer/Municipal Advisor
B0465 First Tuskegee Capital Markets AL Bank Dealer/Municipal Advisor
A2155 First Western Advisors UT Broker Dealer
A2800 First Western Securities, Inc. TX Broker Dealer
A2937 First Winston Securities, Inc. NC Broker Dealer
A7016 FirstBank Puerto Rico Securities Corp. PR Broker Dealer
A5409 Firstrade Securities, Inc. NY Broker Dealer
A6284 Fixed Income Capital Partners, LLC IL Broker Dealer
A5125 Florida Atlantic Secs. Corp. FL Broker Dealer
A6091 FMN Capital Corporation CA Broker Dealer
A0489 fmsbonds, Inc. FL Broker Dealer/Municipal Advisor
A6676 FNBB Capital Markets, LLC AL Broker Dealer
A0516 Folger Nolan Fleming Douglas MD Broker Dealer
A6843 FOLIOfn Investments, Inc. VA Broker Dealer
A3834 Foothill Securities, Inc. CA Broker Dealer
A3777 Fordham Financial Management, NY Broker Dealer
A7279 Forefront Capital Markets LLC NY Broker Dealer
A6527 Foresight Investements LLC IL Broker Dealer
A6650 Forest Securities, Inc IL Broker Dealer
A5919 Foresters Equity Services, Inc. CA Broker Dealer
A7147 Fortune Financial Services, Inc. PA Broker Dealer
A6692 Fortune Securities, Inc. CA Broker Dealer
A6727 Founders Financial Securities, LLC MD Broker Dealer
A7298 Four Points Capital Partners LLC NY Broker Dealer
A6542 Fox Chase Capital Partners LLC NJ Broker Dealer
A3767 Franklin Street Securities, Inc NC Broker Dealer
A5769 Franklin Templeton Distributors, Inc. CA Broker Dealer
A0529 Frazer Lanier Company,Inc.(The AL Broker Dealer/Municipal Advisor
A6408 Freedom Investors Corp. WI Broker Dealer
A6286 Freestone Securities, LLC WA Broker Dealer
A1617 Freimark, Blair & Company, Inc NJ Broker Dealer
A2720 Friedman Luzzatto & Co. TX Broker Dealer/Municipal Advisor
B0358 Frost Bank Capital Markets TX Bank Dealer/Municipal Advisor
A5240 Frost Brokerage Services, Inc. TX Broker Dealer/Municipal Advisor
A2290 FSB Premier Wealth Management, Inc. IA Broker Dealer
A0453 FSC Securities Corporation GA Broker Dealer
A4650 FSIC WA Broker Dealer
A4773 FTB Advisors TN Broker Dealer
B0144 FTN Financial Capital Markets TN Bank Dealer
A7363 FTN Financial Securities Corp TN Broker Dealer
A6765 Fulcrum Securities, LLC MO Broker Dealer
A7226 FundAmerica Securities, LLC GA Broker Dealer
A6257 G.L.S. & Associates, Inc. AL Broker Dealer
A2729 GA Repple & Company FL Broker Dealer
A0549 Gage-Wiley & Co., Inc. MA Broker Dealer
A6576 Gar Wood Securities, LLC IL Broker Dealer
A5399 Garden State Securities, Inc. NJ Broker Dealer
A3682 Gardner Financial Services,Inc MN Broker Dealer
A1036 Garrett Nagle & Co., Inc. MA Broker Dealer
A0574 Gary Goldberg & Co., Inc. NY Broker Dealer
A4020 Gates Capital Corporation NY Broker Dealer/Municipal Advisor
A6363 GBS Retirement Services, Inc. IL Broker Dealer
A3882 GE Capital Markets, Inc. CT Broker Dealer
A6087 Geneos Wealth Management, Inc. CO Broker Dealer
A2167 General Securities Corp. MO Broker Dealer
A6340 Geoffrey Richards Securities Corp. FL Broker Dealer
A0104 George K Baum & Company MO Broker Dealer/Municipal Advisor
A0958 George McKelvey Co., Inc. NJ Broker Dealer
A6618 GF Investment Services, LLC FL Broker Dealer
A6595 GFA Securities, LLC NY Broker Dealer
A6673 GFI Securities, LLC NY Broker Dealer
A0566 Gilbert, Doniger & Co., Inc. NY Broker Dealer
A0567 Gilford Securities, Inc NY Broker Dealer
A1819 Gill Capital Partners CO Broker Dealer
A7124 Girard Capital, LLC PA Broker Dealer
A3295 Girard Securities, Inc. CA Broker Dealer
A1519 GIT Investment Services, Inc. VA Broker Dealer
A5315 Gladowsky Capital Mgmt. Corp. NY Broker Dealer
A6432 Glen Eagle Advisors, LLC NJ Broker Dealer
A7129 Glendale Securities, Inc. CA Broker Dealer
A7010 Global Arena Capital Corp NY Broker Dealer
A4970 Global Brokerage Services, Inc MD Broker Dealer
A4446 Global Financial Services, LLC TX Broker Dealer
A6343 Global Investor Services, L.C. FL Broker Dealer
A7358 Global Strategic Investments, LLC FL Broker Dealer
A6781 GlobaLink Securities, Inc CA Broker Dealer
A5854 GMP Securities, LLC. NY Broker Dealer
A5191 Goelzer Investment Mgmt. Inc. IN Broker Dealer
A5880 Gold Coast Securities, Inc. CA Broker Dealer
A1293 Goldman Sachs Execution & Clearing, L.P. NY Broker Dealer
A0576 Goldman, Sachs & Company NY Broker Dealer/Municipal Advisor
A6111 Googins & Anton, Inc. WI Broker Dealer
A7289 Govdesk LLC CA Broker Dealer
A5412 Government Capital Securities Corp TX Broker Dealer/Municipal Advisor
A4961 Government Perspectives, LLC CA Broker Dealer
A6740 Grace Financial Group, LLC NY Broker Dealer
A7139 Gradient Securities, LLC MN Broker Dealer
A5511 Grant Street Securities, Inc. PA Broker Dealer/Municipal Advisor
A5378 Grant Williams LP PA Broker Dealer
A6560 GRB Financial, LLC TX Broker Dealer
A4869 Great American Advisors, Inc. OH Broker Dealer
A4571 Great American Investors, Inc. KS Broker Dealer
A4303 Great Pacific Securities CA Broker Dealer
A4880 Greenberg Financial Group AZ Broker Dealer
A6022 Greenbrier Diversified, Inc. CA Broker Dealer
A2197 Greenman Parker Connally Greenman, Inc. TX Broker Dealer
A1272 Gregory J Schwartz & Co., Inc. MI Broker Dealer/Municipal Advisor
A3510 GRF Capital Investors, Inc. OK Broker Dealer
A3985 Grodsky Associates, Inc. NJ Broker Dealer
A4820 Guggenheim Funds Distributors, LLC. IL Broker Dealer
A6678 Guggenheim Investor Services, LLC NY Broker Dealer
A6789 Guggenheim Securities, LLC NY Broker Dealer/Municipal Advisor
A2938 Guzman & Company FL Broker Dealer
A6029 GVC Capital LLC CO Broker Dealer/Municipal Advisor
A3556 GW & Wade Asset Mgt.Co. MA Broker Dealer
A6505 GWN Securities, Inc. FL Broker Dealer
A2183 H Beck, Inc. MD Broker Dealer
A1681 H.D. Vest Investment Services, Inc. TX Broker Dealer
A7304 H2C Securities Inc. CA Broker Dealer
A7182 HA&W STRATEGIC PARTNERS, LLC GA Broker Dealer
A7068 Halcyon Cabot Partners, Ltd NY Broker Dealer
A6974 Halen Capital FL Broker Dealer
A6399 Hall & Romkema Financial Services, LLC MI Broker Dealer
A6580 Halliday Financial, LLC NY Broker Dealer
A6664 Hallmark Investments, Inc. NY Broker Dealer
A6787 Hamilton Cavanaugh Investment Brokers, Inc. NY Broker Dealer
A4871 Hancock Investment Services LA Broker Dealer/Municipal Advisor
A5559 Hancock Securities Group, LLC MO Broker Dealer
A6040 Hand Securities, Inc. TX Broker Dealer
A6871 Hanson McClain CA Broker Dealer
A5525 Hantz Financial Services, Inc. MI Broker Dealer
A0441 Hapoalim Securities USA, Inc. NY Broker Dealer
A3627 Harbor Financial Services, L.L.C. AL Broker Dealer/Municipal Advisor
A7043 Harbor Investment Advisory, LLC MD Broker Dealer
A7232 Harbor Light Securities, LLC FL Broker Dealer
A3229 Harbour Investments, Inc. WI Broker Dealer
A4542 Harger & Company, Inc. LA Broker Dealer
A0626 Hartfield,Titus & Donnelly LLC NJ Broker Dealer
A7266 Hartford Funds Distributors, LLC PA Broker Dealer
A1963 Harvest Financial Corporation PA Broker Dealer
A4382 Harvestons Securities, Inc. CO Broker Dealer
A1577 Haverford Trust Securities, Inc. PA Broker Dealer
A0631 Hazard & Siegel, Inc. NY Broker Dealer
A0632 Hazlett, Burt & Watson, Inc. WV Broker Dealer
A6714 HBW Securities LLC CA Broker Dealer
A0377 HC Denison Company WI Broker Dealer
A7353 Headlands Global Markets, LLC IL Broker Dealer
A3837 Heartland Investment Associates, Inc. IA Broker Dealer
A0635 Hefren-Tillotson, Inc. PA Broker Dealer
A4981 Heim, Young & Associates, Inc. MO Broker Dealer
A6579 Henley & Company LLC NY Broker Dealer
A3574 Hennion & Walsh Inc. NJ Broker Dealer
A1481 Herbert J Sims & Co., Inc. CT Broker Dealer/Municipal Advisor
A6627 Heritage Financial Systems, Inc. PA Broker Dealer
A5316 Herndon Plant Oakley Ltd. TX Broker Dealer
A6107 Hewitt Financial Services LLC NC Broker Dealer
A5061 Higgins Capital Management CA Broker Dealer
A2723 Highlander Capital Group, Inc. NJ Broker Dealer
A6950 HighTower Securities, LLC IL Broker Dealer
A5425 Hollencrest Capital Management CA Broker Dealer
A1852 Home Financial Services, Inc. TN Broker Dealer
A6356 Horace Mann Investors, Inc. IL Broker Dealer
A6691 Horan Securities, Inc. OH Broker Dealer
A1729 Hornor, Townsend & Kent, Inc. PA Broker Dealer
A6681 HP Securities, Inc. OR Broker Dealer
A0563 HSBC Securities (USA) Inc. NY Broker Dealer
A6254 Hudson Heritage Capital Management, Inc. NY Broker Dealer
A4099 Hunter Associates, Inc. PA Broker Dealer
A2328 Huntington Investment Company OH Broker Dealer/Municipal Advisor
A0850 Huntleigh Securities Corporation MO Broker Dealer
A0693 Hutchinson,Shockey,Erley & Co. IL Broker Dealer/Municipal Advisor
A0266 IAA Financial, LLC FL Broker Dealer
A6114 IBN Financial Services, Inc. NY Broker Dealer
A6419 ICAP Corporates LLC NJ Broker Dealer
A3341 ICBA Securities TN Broker Dealer
A6202 IDB Capital Corp. NY Broker Dealer
A5148 Imperial Capital, LLC CA Broker Dealer
A4596 IMS Securities, Inc. TX Broker Dealer/Municipal Advisor
A5756 Incapital, LLC IL Broker Dealer
A6427 Independence Capital Co., Inc. OH Broker Dealer
B0326 Independent Bankers' Bk.of FL FL Bank Dealer
A0606 Independent Financial Group, LLC CA Broker Dealer
A3447 Indiana Merchant Banking & Bro IN Broker Dealer
A5280 Indiana Securities, LLC IN Broker Dealer
A7131 Industrial and Commerical Bank of China Financial Services LLC NY Broker Dealer
A4421 Infinex Investments, Inc. CT Broker Dealer
A6883 Infinity Financial Services CA Broker Dealer
A3389 ING Financial Partners, Inc. IA Broker Dealer
A0706 Ingalls & Snyder LLC NY Broker Dealer
A3751 INNOVA Securities, Inc. MD Broker Dealer
A7355 Innovation Partners LLC NC Broker Dealer
A0682 Insight Securities, Inc. IL Broker Dealer
A5797 Institutional Securities Corp. TX Broker Dealer
A6690 Integral Financial LLC CA Broker Dealer
A6541 Integrated Financial Planning Services BW Broker Dealer
A7210 Interactive Brokers Corp CT Broker Dealer
A6912 Interactive Brokers LLC CT Broker Dealer
A2868 Intercarolina Financial Svs,In NC Broker Dealer
A0117 Intercoastal Capital Markets, Inc. FL Broker Dealer
A3707 Intercontinental Asset Mgmt,Gr TX Broker Dealer
A4089 International Assets Advisory, LLC FL Broker Dealer
A6998 International Financial Solutions Inc. GA Broker Dealer
A2442 International Money Mgt.Group MD Broker Dealer
A2822 International Research Sec.Inc TX Broker Dealer
A4531 International Strategy & Investment Group LLC NY Broker Dealer
A0711 Interpacific Investors Service WA Broker Dealer
A5789 Intervest International Equities Corporation CO Broker Dealer
A7327 INTL FCSTONE SECURITIES INC FL Broker Dealer
A0712 Invemed Associates LLC. NY Broker Dealer
A6522 Inverness Securities, LLC OH Broker Dealer
A1401 Invesco Capital Markets, Inc. TX Broker Dealer
A5938 Invesco Distributors, Inc TX Broker Dealer
A1514 Invest Financial Corp. FL Broker Dealer
A0719 Investacorp, Inc. FL Broker Dealer
A2458 Investment Center, Inc.(The) NJ Broker Dealer
A3690 Investment Centers of America ND Broker Dealer
A6473 Investment Network, Inc OH Broker Dealer
A3944 Investment Placement Group CA Broker Dealer
A5065 Investment Planners, Inc. IL Broker Dealer
A4134 Investment Professionals, Inc. TX Broker Dealer
A7299 Investment Security Corporation CA Broker Dealer
A5181 Investments Architects, Inc. CA Broker Dealer
A6933 Investments For You, Inc. OH Broker Dealer
A2080 Investors Brokerage of Texas, Ltd. TX Broker Dealer
A4398 Investors Capital Corporation MA Broker Dealer/Municipal Advisor
A6062 Investors Planning Services, Corp. NY Broker Dealer
A7225 Invex, Inc. FL Broker Dealer
A6242 IRR Capital Markets, Inc. KS Broker Dealer/Municipal Advisor
A0727 Isaak Bond Investments, Inc. CO Broker Dealer
A7090 iTB Securities, LLC NY Broker Dealer
A4978 J Alden Associates PA Broker Dealer
A6948 J K Financial Services, Inc. CA Broker Dealer
A3035 J.A. Glynn Investments, LLC. MO Broker Dealer
A5518 J.D. Nicholas & Associates, Inc. NY Broker Dealer
A3916 J.P. Morgan Clearing Corp. NY Broker Dealer
K0478 J.P. Morgan Institutional Investments Inc. NY Broker Dealer
A0105 J.P. Morgan Securities LLC NY Broker Dealer
A7114 J.V.B. Financial Group, LLC NY Broker Dealer
A6306 J.W. Cole Financial, Inc. FL Broker Dealer
A0215 Jack V Butterfield Invest. MI Broker Dealer
A5962 Jacques Financial LLC MD Broker Dealer
A0136 James I Black & Company FL Broker Dealer
A6140 James T. Borello & Co. IL Broker Dealer
A7305 Jane Street Capital, LLC NY Broker Dealer
A0785 Janney Montgomery Scott LLC PA Broker Dealer/Municipal Advisor
A6925 JBS Liberty Securities, Inc. NC Broker Dealer
A1287 JD Seibert & Company, Inc. OH Broker Dealer
A3843 JDL Securities Corporation CA Broker Dealer
A5232 Jefferies LLC NY Broker Dealer/Municipal Advisor
A5141 JH Darbie & Co., Inc. NY Broker Dealer
A6583 JHS Capital Advisors LLC. FL Broker Dealer
A0668 JJB Hilliard, WL Lyons, LLC KY Broker Dealer/Municipal Advisor
A5967 JK Securities, Inc. SC Broker Dealer
A0786 JKR & Co., Inc. CA Broker Dealer
A0797 Joe Jolly & Co., Inc. AL Broker Dealer/Municipal Advisor
A5840 John Hancock Distributors, LLC MA Broker Dealer
A6971 John Hancock Funds, LLC MA Broker Dealer
A2402 John W Loofbourow Assoc. NY Broker Dealer
A0795 Johnston, Lemon & Co., Inc. DC Broker Dealer
A7377 Jones Lang LaSalle Securities, LLC IL Broker Dealer/Municipal Advisor
A6658 Joseph Grace NY Broker Dealer
A5164 Joseph Gunnar & Co. LLC NY Broker Dealer
A5103 JP Turner & Company, LLC GA Broker Dealer
K0403 JPMorgan Distribution Services, Inc. OH Broker Dealer
A7224 JRL CAPITAL CORPORATION CA Broker Dealer
A7209 JSL Securities, Inc. GA Broker Dealer
A3698 JW Korth & Company MI Broker Dealer
A4849 JW Millegan, Inc. OR Broker Dealer
A6367 K.W. Chambers & Co. MO Broker Dealer
A4274 KA Associates, Inc. CA Broker Dealer
A0806 Kahn Brothers LLC NY Broker Dealer
A1735 Kaiser and Company WY Broker Dealer/Municipal Advisor
A6482 Kalos Capital, Inc. GA Broker Dealer
A0813 Kashner Davidson Securities Co FL Broker Dealer
A6440 KCD Financial, Inc. WI Broker Dealer
A7128 KCG Americas LLC. NJ Broker Dealer
A7052 KCG Securities, LLC UT Broker Dealer
A6383 KCOE Capital Advisors, LLC WA Broker Dealer
A2764 Kedem Capital Corporation NY Broker Dealer
A0820 Keeley Investment Corp. IL Broker Dealer
A3440 Kenneth, Jerome & Company, Inc NJ Broker Dealer
A0823 Kensington Capital Corp. NY Broker Dealer
A2049 Kercheville & Company, Inc. TX Broker Dealer
A2840 Kevin Hart Kornfield & Company PA Broker Dealer
A6708 Key Investment Services OH Broker Dealer
A7055 Key West Investments, LLC CA Broker Dealer
A0953 KeyBanc Capital Markets Inc. OH Broker Dealer
A5390 Keystone Capital Corporation CA Broker Dealer/Municipal Advisor
A6199 Kildare Capital, Inc. PA Broker Dealer
A4684 Kiley Partners, Inc. FL Broker Dealer
A0835 Kimelman & Baird, LLC NY Broker Dealer
A6881 Kipling Jones & Co. TX Broker Dealer/Municipal Advisor
A2856 KJM Securities, Inc. NY Broker Dealer
A3316 KMS Financial Services, Inc. WA Broker Dealer
A1632 Koonce Securities, Inc. MD Broker Dealer
A7331 Kota Global Securities NY Broker Dealer
A7310 Kovack International Securities, Inc FL Broker Dealer
A5250 Kovack Securities, Inc. FL Broker Dealer/Municipal Advisor
A6559 Kovitz Securities, LLC IL Broker Dealer
A5374 KR Securities, LLC NJ Broker Dealer
A4635 Kuehl Capital Corporation NE Broker Dealer/Municipal Advisor
A0854 Kuykendall & Schneider, Inc. TX Broker Dealer
A0805 KW Securities Corporation CA Broker Dealer
A3894 L & M Financial Services OH Broker Dealer
A4547 L.M. Kohn & Company OH Broker Dealer
A6055 LaBrunerie Financial Services, Inc. MO Broker Dealer
A0860 Ladenburg, Thalmann & Co., Inc NY Broker Dealer
A3082 Lafayette Investments, Inc MD Broker Dealer
A6038 Laidlaw and Company, UK, Ltd NY Broker Dealer
A5361 Lake Forest Securities LLC IL Broker Dealer
A2869 Lamon & Stern, Inc. GA Broker Dealer
A5579 Lampert Capital Markets Inc. NY Broker Dealer
A3381 Lancaster Pollard & Co., LLC OH Broker Dealer/Municipal Advisor
A5490 LANDAAS & COMPANY WI Broker Dealer
A3899 Landolt Securities, Inc. WI Broker Dealer
A4253 Lantern Investments, Inc. NY Broker Dealer
A6927 Lara, May & Associates, LLC VA Broker Dealer
A2649 Larimer Capital Corporation CO Broker Dealer
A7083 Larson Financial Securities, LLC MO Broker Dealer
A0859 LaSalle Street Securities, LLC IL Broker Dealer
A1967 Lawson Financial Corporation AZ Broker Dealer/Municipal Advisor
A2841 LB Fisher & Company TX Broker Dealer
A6757 LCS Securities, LLC NY Broker Dealer
A6907 Lebenthal & Co., LLC NY Broker Dealer
A5262 Leerink Partners LLC MA Broker Dealer
A6450 Legacy Asset Securities, Inc. TX Broker Dealer
A5800 Legend Equities Corporation FL Broker Dealer
A5289 Legend Securities, Inc. NY Broker Dealer
A6707 Legg Mason Investor Services, LLC MD Broker Dealer
A4752 Leigh Baldwin & Co., LLC NY Broker Dealer
A6686 Lek Securities Corporation NY Broker Dealer
A4502 Lenox Financial Services, Inc. IL Broker Dealer
A5127 Leonard Securities, Inc. OK Broker Dealer
A5322 Lesko Securities, Inc. NY Broker Dealer
A5733 Leumi Investment Services Inc. NY Broker Dealer
A0883 Levy, Harkins & Co., Inc. NY Broker Dealer
A4774 Lewis Young Robertson & Burnin UT Broker Dealer/Municipal Advisor
A3774 Lexington Investment Company, KY Broker Dealer
A3572 Liberty Capital Investment Cor OR Broker Dealer
A5742 Liberty Group, LLC CA Broker Dealer
A6581 Liberty Partners Financial Services, LLC CA Broker Dealer
A5088 Lieblong & Associates, Inc. AR Broker Dealer
A5760 LifeMark Securities Corp NY Broker Dealer
A7179 LINCOLN DOUGLAS INVESTMENTS, LLC OH Broker Dealer
A2842 Lincoln Fin'l Advisors Corp. IN Broker Dealer
A0269 Lincoln Financial Securities Corporation NH Broker Dealer
A4178 Lincoln Investment Planning PA Broker Dealer
A7372 Lion Street Financial, LLC TX Broker Dealer
A6945 Livingston Securities,LLC. NY Broker Dealer
A4071 LJ Hart & Company MO Broker Dealer/Municipal Advisor
A1349 LO Thomas & Co., Inc. NJ Broker Dealer
A6956 Lockton Financial Advisors,LLC MO Broker Dealer
A7239 Lodestar Securities Corp. NY Broker Dealer
A3836 Lombard Securities Inc. MD Broker Dealer
A6599 Long Island Financial Group Inc. NY Broker Dealer
A5139 Loop Capital Markets, L.L.C. IL Broker Dealer
A6193 Loria Financial Group, LLC IL Broker Dealer
A5419 Loring Ward Securities Inc. CA Broker Dealer
A4928 Lowell & Company TX Broker Dealer
A1145 LPL Financial LLC CA Broker Dealer
A7167 LPS Partners Inc, NY Broker Dealer
A4862 LTC Investment Services, Inc. CO Broker Dealer
A7159 Lucia Securities, LLC CA Broker Dealer
A6328 Lucien, Stirling & Gray Financial Corp. TX Broker Dealer
A0594 M Griffith Investment Services Inc. NY Broker Dealer
A5560 M Holdings Securities, Inc. OR Broker Dealer
A5241 M&T Securities, Inc. MD Broker Dealer/Municipal Advisor
A6223 M.J. Whitman LLC NY Broker Dealer
A2421 Mack Investment Securities,Inc IL Broker Dealer
A6703 Madison Avenue Securities CA Broker Dealer
A4522 MAFG / RIA Services, Inc. NJ Broker Dealer
A2986 Maine Securities Corporation ME Broker Dealer
A6935 Mainline West Municipal Securities, LLC CO Broker Dealer
A7247 Maitland Securities, Inc. FL Broker Dealer
A6641 Managed Account Services, LLC PA Broker Dealer
A5529 Manarin Securities Corporation NE Broker Dealer
A0922 MANNA Capital Management VA Broker Dealer
B0125 Manufacturers and Traders Trust Co. MD Bank Dealer/Municipal Advisor
A5574 Maplewood Investment Advisors TX Broker Dealer
A2857 Marc J Lane & Company IL Broker Dealer
A7097 MarketAxess Corporation NY Broker Dealer
A2770 Marsco Investment Corporation NJ Broker Dealer
A1037 Martin Nelson & Co., Inc. WA Broker Dealer/Municipal Advisor
A4465 Mason Securities, Inc. VA Broker Dealer
A5173 Matrix Capital Group, Inc. NY Broker Dealer
A6154 Maxim Group LLC NY Broker Dealer
A6891 Maxwell Simon Inc. MN Broker Dealer
A7132 MBS Capital Markets, LLC FL Broker Dealer/Municipal Advisor
A4545 MBSC Securities Corporation NY Broker Dealer
A5345 McAdams Wright Ragen, Inc. WA Broker Dealer
A2389 McClurg Capital Corporation CA Broker Dealer
A0951 McCourtney-Breckenridge Company MO Broker Dealer
A7134 McDermott Investment Services, LLC PA Broker Dealer
A6687 McDonald Partners, LLC OH Broker Dealer
A7264 MCG Securities LLC PA Broker Dealer
A7120 McLaughlin Ryder Investments, Inc. VA Broker Dealer
A0962 McLiney and Company MO Broker Dealer/Municipal Advisor
A0964 McMillion Securities, Inc. NC Broker Dealer
A6180 McNally Financial Services Corporation TX Broker Dealer
A6651 MDB Capital Group, LLC CA Broker Dealer
A0028 ME Allison & Co., Inc. TX Broker Dealer/Municipal Advisor
A6835 Meadowvale Advisors, LLC NY Broker Dealer
A0970 Means Investment Company, Inc. ME Broker Dealer
A7059 Melio Securities Company, LLC IL Broker Dealer
A4181 Mellin Securities, Inc. IL Broker Dealer
A4105 Melvin Securities, LLC IL Broker Dealer/Municipal Advisor
A6540 Mercadien Securities, LLC NJ Broker Dealer
A6523 Mercantil CommerceBank Investment Services FL Broker Dealer
A7374 Mercari Crossing LLC NY Broker Dealer
A0660 Merchant Capital, L.L.C. AL Broker Dealer/Municipal Advisor
A5885 Meridien Financial Group, Inc. RI Broker Dealer
A6512 Meritus Financial Group, Inc. IL Broker Dealer
A2141 Merrill Lynch Prof. Clearing NY Broker Dealer
A0976 Merrill Lynch, Pierce, Fenner NY Broker Dealer
A6443 Merrimac Corporate Securities, Inc. FL Broker Dealer
A6350 Merrion Securities, LLC NJ Broker Dealer
A0980 Mesirow Financial Inc IL Broker Dealer/Municipal Advisor
A5332 MetLife Securities, Inc. NY Broker Dealer
A4378 Meyers Associates, L.P. NY Broker Dealer
A0636 MF Global Inc. NY Broker Dealer
A5839 MFS Fund Distributors, Inc. MA Broker Dealer
A6185 MGO Securities Corp. OH Broker Dealer
A5567 Michigan Securities, Inc. MI Broker Dealer
A1965 Mid Atlantic Capital Corp. PA Broker Dealer
A3040 Mid-Atlantic Securities, Inc. NC Broker Dealer
A5862 MidAmerica Financial Svcs, Inc MO Broker Dealer
A3089 Middlegate Securities, Ltd. NY Broker Dealer
A5508 Midwestern Secs Trading Co LLC IL Broker Dealer
A7334 Millennium Advisors LLC NC Broker Dealer
A7348 Millington Investments, LLC IL Broker Dealer
A7319 Ministry Partners Securities, LLC CA Broker Dealer
A7020 MINT Brokers NY Broker Dealer
A7391 MIP Global, Inc. PR Broker Dealer
A4652 Mischler Financial Group, Inc. CA Broker Dealer/Municipal Advisor
A7046 Mitsubishi UFJ Securities (USA) Inc. NY Broker Dealer
A5763 MKG Financial Group, Inc. OR Broker Dealer
A1893 MML Investors Services, LLC MA Broker Dealer
A5260 Moloney Securities Co., Inc. MO Broker Dealer
A6421 Monarch Capital Group, LLC NY Broker Dealer
A3326 Money Concepts Capital Corp FL Broker Dealer
A1000 Monness, Crespi, Hardt & Co., NY Broker Dealer
A7341 Monroe Financial Partners, Inc. IL Broker Dealer
A7142 Montage Securities, LLC KS Broker Dealer
A6502 Montecito Advisors, Inc. CA Broker Dealer
A1007 Moors & Cabot MA Broker Dealer/Municipal Advisor
A7349 Mora WM Securities, LLC FL Broker Dealer
A1012 Morgan Stanley & Co. LLC NY Broker Dealer/Municipal Advisor
A7007 Morgan Stanley Smith Barney LLC NY Broker Dealer/Municipal Advisor
A6406 Morgan Wilshire Securities, Inc. NY Broker Dealer
A5906 Morris Group Inc. IN Broker Dealer
A1288 Morton Seidel & Company, Inc CA Broker Dealer
A6479 Moss Adams Securities & Insurance LLC WA Broker Dealer
A1045 MountainView Securities LLC CO Broker Dealer/Municipal Advisor
A5638 MS Howells & Co. AZ Broker Dealer
A3678 Multi-Bank Securities, Inc. MI Broker Dealer/Municipal Advisor
A7173 Mundial Financial Group, LLC CA Broker Dealer
A7328 MuniAxis Lebenthal LLC NY Broker Dealer
A5738 Municipal Capital Markets Grp., Inc. TX Broker Dealer/Municipal Advisor
A1475 Muriel Siebert & Co., Inc. NY Broker Dealer
A4351 Murphy & Durieu NY Broker Dealer
A6819 Murray Securities, Inc. TX Broker Dealer
A5988 Mutual Funds Associates, Inc. NY Broker Dealer
A5798 Mutual of Omaha Investor Svcs NE Broker Dealer
A1806 Mutual Securities, Inc. CA Broker Dealer
A2596 Mutual Trust Co.of America Sec FL Broker Dealer
A4870 MV Securities Group, Inc. TX Broker Dealer
A5820 MWA Financial Services, Inc. IL Broker Dealer
A6841 N.E. Private Client Advisors, Ltd. RI Broker Dealer
A6643 NAFA Capital Markets, LLC OK Broker Dealer/Municipal Advisor
A4075 Nancy Barron & Associates Inc. KY Broker Dealer
A5690 Nanes Delorme Capital Management LLC NY Broker Dealer
A7036 Nathan Hale Capital NC Broker Dealer
A5959 National Alliance Securities, LLC TX Broker Dealer
A1562 National Financial Services LLC MA Broker Dealer
A5231 National Planning Corporation CA Broker Dealer
A1031 National Securities Corp. WA Broker Dealer
A5177 Nations Financial Group, Inc. IA Broker Dealer
A6103 Nationwide Planning Associates, Inc NJ Broker Dealer
A6153 Nationwide Securities, LLC OH Broker Dealer
A7246 NATIVEONE INSTITUTIONAL TRADING, LLC NJ Broker Dealer
A7223 Natixis Securities Americas LLC NY Broker Dealer
A5070 Navaid Financial Services,Inc. PA Broker Dealer
A6737 Navy Federal Brokerage Services, LLC VA Broker Dealer
A4744 NBC Securities, Inc. AL Broker Dealer
A6472 Needham & Company, LLC NY Broker Dealer
A1621 Neidiger, Tucker, Bruner, Inc. CO Broker Dealer
A4311 Nelkin Capital Management, Inc NY Broker Dealer
A5619 Nelnet Capital LLC NE Broker Dealer
A6178 Nelson Invest Brokerage Services, Inc. FL Broker Dealer
A5975 Nelson Securities, Inc. WA Broker Dealer/Municipal Advisor
A1038 Nestlerode & Loy, Inc. PA Broker Dealer
A5165 Netherland Securities, Inc. TX Broker Dealer
A1761 Network 1 Financial Securities NJ Broker Dealer
A1039 Neuberger Berman LLC NY Broker Dealer
A1826 New England Securities NY Broker Dealer
A5548 New Horizon Asset Mngmt Group LLC NY Broker Dealer
A5833 Newbridge Securities Corp. FL Broker Dealer
A6414 Newbury Street Capital L.P. MA Broker Dealer
A6517 Newedge USA, LLC NY Broker Dealer
A6400 NewOak Capital Markets LLC NY Broker Dealer
A2354 Newport Coast Securities, Inc. CA Broker Dealer
A1032 Newport Securities Corporation CA Broker Dealer
A5384 Next Financial Group, Inc. TX Broker Dealer
A5273 NFP Securities Inc. TX Broker Dealer
A6868 NGC Financial, LLC NY Broker Dealer
A7118 NI Advisors Inc. CA Broker Dealer
A5594 NIA Securities, LLC NJ Broker Dealer
A6718 Niagara International Capital Limited NY Broker Dealer
A6267 Nicol Investors Corporation IL Broker Dealer
A6702 Nikoh Securities Corporation IL Broker Dealer
A7281 NMS Capital Advisors, LLC CA Broker Dealer
A4017 Noble Internat'l. Invs., Inc. FL Broker Dealer
A3711 North Ridge Securities Corp. NY Broker Dealer
A6973 North South Capital, LLC IL Broker Dealer
A0046 North Star Investment Services, Inc. IL Broker Dealer
A3563 Northeast Securities, Inc. NY Broker Dealer
A7251 Northeastern Financial Group, Inc. NJ Broker Dealer
A4890 Northern Capital Securities MA Broker Dealer
A7368 Northern Lights Distributors, LLC NE Broker Dealer
B0232 Northern Trust Company, (The) IL Bank Dealer
A0654 Northern Trust Securities,Inc. IL Broker Dealer/Municipal Advisor
A4861 Northland Securities, Inc. MN Broker Dealer/Municipal Advisor
A6916 Northwest Financial Group, LLC VA Broker Dealer
A6137 Northwest Investment Advisors, Inc. WA Broker Dealer
A5864 Northwestern Mutual Invmt Svcs WI Broker Dealer
A6720 NPB Financial Group, LLC CA Broker Dealer
A1062 Nuveen Securities, LLC IL Broker Dealer
A2409 NW Capital Markets Inc. NJ Broker Dealer
A5877 NYLIFE Distributors LLC NJ Broker Dealer
A4166 NYLife Securities LLC NY Broker Dealer
A6402 NYPPEX, LLC NY Broker Dealer
A1067 O'Brien and Shepard, Inc. NJ Broker Dealer
A6930 O'Connor & Company Securities, Inc. CA Broker Dealer/Municipal Advisor
A3378 O.N. Equity Sales Company OH Broker Dealer
A6800 Oak Grove Investment Services, Inc. IL Broker Dealer
A7277 Oak Hills Securities, Inc OK Broker Dealer
A3870 Oak Tree Securities, Inc. CA Broker Dealer
A2204 Oakbridge Financial Services MO Broker Dealer
A5021 Oberweis Securities, Inc. IL Broker Dealer
A6457 OBEX Securities LLC NY Broker Dealer
A7033 Odeon Capital Group LLC NY Broker Dealer
A4154 OFG Financial Services, Inc. KS Broker Dealer
A3492 Ohanesian/Lecours, Inc. CT Broker Dealer
A1073 Olmsted & Mulhall, Inc. MI Broker Dealer
A5882 Omega Securities, Inc. TX Broker Dealer
A5227 Oneamerica Securities, Inc. IN Broker Dealer
A7336 Oneida Wealth Management, Inc. NY Broker Dealer
A0455 Oppenheimer & Co. Inc. NY Broker Dealer/Municipal Advisor
A5846 OppenheimerFunds Distributor Inc. NY Broker Dealer
A5808 optionsXpress, Inc. IL Broker Dealer
A4113 Oriental Financial Services Corp. PR Broker Dealer
A7378 OTC Link LLC NY Broker Dealer
A5417 P.R. Gilboy & Associates, Inc. NC Broker Dealer
A2175 Pacific Commonwealth Corp. CA Broker Dealer/Municipal Advisor
A2176 Pacific Investment Secs. Corp. OR Broker Dealer
A5843 Packerland Brokerage Services WI Broker Dealer
A1507 Painter, Smith and Amberg Inc. CA Broker Dealer
A6730 Papamarkou Wellner & Company, Inc. NY Broker Dealer
A6117 Paradigm Equities, Inc. MI Broker Dealer
A7028 Pariter Securities, LLC PR Broker Dealer
A5383 Park Avenue Securities NY Broker Dealer
A5924 Parkland Securities, LLC MI Broker Dealer
A6875 Parsonex Securities, Inc. CO Broker Dealer
A6741 Paul P. St. Onge Company RI Broker Dealer
A5784 PCBB Capital Markets, LLC CA Broker Dealer
A3649 Peachtree Capital Corporation GA Broker Dealer
A7188 Peak Brokerage Services, LLC GA Broker Dealer
A5194 Penates Group, Inc. AZ Broker Dealer
A3419 Penrod Financial Services, Inc MO Broker Dealer
A6983 Penserra Securities LLC NY Broker Dealer
A1692 People's Securities, Inc. CT Broker Dealer
A6011 Peraza Capital and Investments, LLC FL Broker Dealer
A6735 Percival Financial Partners, Ltd. MD Broker Dealer
A4481 Performance Trust Capital Partners, LLC IL Broker Dealer
A1111 Perkins, Smart & Boyd, Inc. KS Broker Dealer
A5989 Perryman Securities, Inc. TX Broker Dealer
A6341 Pershing Advisor Solutions LLC NJ Broker Dealer
A0399 Pershing LLC NJ Broker Dealer
A2585 Peter R Mack & Co., Inc. CT Broker Dealer
A5681 Petersen Investments Inc. NJ Broker Dealer
A1116 Pflueger & Baerwald, Inc. CA Broker Dealer
A5904 PFM Fund Distributors, Inc. PA Broker Dealer
A5828 PFS Investments Inc. GA Broker Dealer
A6171 Philip J. Greenblatt Securities Ltd. IL Broker Dealer
A4649 Philips & Company Securities OR Broker Dealer
A7227 PHX Financial, Inc. NY Broker Dealer
A7265 Piedmont Securities LLC NC Broker Dealer/Municipal Advisor
A6918 Pinnacle Investments, LLC NY Broker Dealer
A1126 Piper Jaffray & Co. MN Broker Dealer/Municipal Advisor
A6370 Place Trade Financial, Inc. NC Broker Dealer
A5799 PlanMember Securities Corp. CA Broker Dealer
A6377 Planned Financial Programs, Inc. NY Broker Dealer
A1128 Planned Investment Co., Inc. IN Broker Dealer
A6513 Planners Financial Services, Inc. MN Broker Dealer
A4912 PMA Securities, Inc. IL Broker Dealer/Municipal Advisor
A2091 PNC Capital Markets LLC PA Broker Dealer
A6495 PNC Investments LLC PA Broker Dealer
A2578 Podesta & Co. IL Broker Dealer/Municipal Advisor
A5489 Polar Investment Counsel, Inc. MN Broker Dealer
A1555 POPULAR SECURITIES, LLC PR Broker Dealer/Municipal Advisor
A5238 Port Securities, Inc. CA Broker Dealer
A0742 Porter, White & Company, Inc. AL Broker Dealer/Municipal Advisor
A2647 Portfolio Brokerage Services CO Broker Dealer
A6097 Portfolio Resources Group, Inc. FL Broker Dealer
A1723 Portsmouth Financial Services CA Broker Dealer
A7162 Potomac Investment Co MD Broker Dealer
A3877 Powell Capital Markets, Inc. NJ Broker Dealer/Municipal Advisor
A0649 PR Herzig & Co., Inc. NY Broker Dealer
A2940 Prager & Co., LLC CA Broker Dealer/Municipal Advisor
A5767 Preferred Client Group, Inc. TX Broker Dealer
A3945 Presidential Brokerage, Inc. CO Broker Dealer
A5350 Primesolutions Securities, Inc OH Broker Dealer
A4144 Princor Financial Service Corporation IA Broker Dealer
A7023 Private Client Services, LLC KY Broker Dealer
A7087 Private Portfolio of San Diego, Inc. CA Broker Dealer
A2137 ProEquities,Inc AL Broker Dealer/Municipal Advisor
A7321 Profor Securities, LLC NY Broker Dealer/Municipal Advisor
A2876 Progressive Asset Management, CA Broker Dealer
A0137 Prospera Financial Services, Inc. TX Broker Dealer
A1150 Protected Investors of America CA Broker Dealer
A6869 Provident Private Capital Partners, Inc. PA Broker Dealer
A5286 Pruco Securities, LLC NJ Broker Dealer
A5937 Prudential Investment Management Services, LLC NJ Broker Dealer
A2232 PSA Equities, Inc. MD Broker Dealer
A5779 PTI Securities & Futures, L.P. IL Broker Dealer
A6234 PTS Brokerage, LLC NJ Broker Dealer
A5582 Puplava Securities, Inc. CA Broker Dealer
A6943 Puritan Brokerage Services, Inc. TX Broker Dealer
A4549 Purshe Kaplan Sterling Invs. NY Broker Dealer
A6483 Pursuit Partners, LLC CT Broker Dealer
A5665 Putnam Retail Management Limited Partnership MA Broker Dealer
A6882 PWA Securities, Inc. PA Broker Dealer
A4326 PWMCO, LLC IL Broker Dealer
A6742 Quayle & Co., Securities MI Broker Dealer
A5673 Queens Road Securities NC Broker Dealer
A3190 Quest Capital Strategies, Inc. CA Broker Dealer
A4213 Quest Securities Inc. CA Broker Dealer
A5475 Questar Capital Corporation MN Broker Dealer
A1157 Quincy Cass Associates, Inc. CA Broker Dealer
A6847 Quoin Capital LLC PA Broker Dealer
A1887 R Seelaus & Co., Inc. NJ Broker Dealer
A3380 Rafferty Capital Markets, LLC NY Broker Dealer
A6549 Rainier Securities, LLC WA Broker Dealer
A1165 Ramirez & Co., Inc. NY Broker Dealer/Municipal Advisor
A1172 Raymond James & Assoc., Inc. FL Broker Dealer/Municipal Advisor
A7269 Raymond James (USA) Ltd. BC Broker Dealer
A0717 Raymond James Financial Svcs. Inc. FL Broker Dealer/Municipal Advisor
A7254 RBC Capital Markets Arbitrage S.A. NY Broker Dealer
A4258 RBC Capital Markets LLC MN Broker Dealer/Municipal Advisor
A4655 RD Capital Group PR Broker Dealer
A5683 RDM Investments Services CT Broker Dealer
A2989 RDSC, LLC OH Broker Dealer
A3567 Red Capital Markets, LLC OH Broker Dealer/Municipal Advisor
A6332 RedRidge Securities, Inc. IL Broker Dealer
A2014 Regal Securities, Inc. IL Broker Dealer
A4118 Regional Brokers, Inc. PA Broker Dealer
A4320 Register Financial Associates, Inc. GA Broker Dealer
A7338 Regulus Advisors LLC MI Broker Dealer
A4202 Relevant Wealth Advisors, LLC CA Broker Dealer
A6791 Reliance Worldwide Investments, LLC IL Broker Dealer/Municipal Advisor
A4393 Rensselaer Securities Corp. NY Broker Dealer
A1162 Repex & Co., Inc. NJ Broker Dealer
A5692 Resource Horizons Group LLC GA Broker Dealer
A5470 Retirement Resources Investment Corp MA Broker Dealer
A2725 Revere Securities LLC NY Broker Dealer
A0862 RF Lafferty and Company NY Broker Dealer
A6967 RG Knox Company, LLC UT Broker Dealer/Municipal Advisor
A1600 RH Investment Corporation CA Broker Dealer
A2796 Rhodes Securities, Inc. TX Broker Dealer
A2966 Rice Securities, LLC NY Broker Dealer/Municipal Advisor
A1193 Richards, Merrill & Peterson, WA Broker Dealer
A2697 Rideau Lyons & Co. CA Broker Dealer/Municipal Advisor
A5911 Ridgeway & Conger, Inc. NY Broker Dealer
A4199 Riedl First Securities Co. of Kansas KS Broker Dealer
A2781 RIM Securities LLC NY Broker Dealer
A5447 Riviere Securities Ltd. TX Broker Dealer
A1196 RJJ Pasadena Securities, Inc. CA Broker Dealer
A3333 RM Duncan Securities, Inc. AR Broker Dealer
A4590 RM Stark & Co. FL Broker Dealer
A6002 RNR Securities, L.L.C. NY Broker Dealer
A4721 Robert Blum Municipals, Inc. CA Broker Dealer
A3991 Robert R Meredith & Co., Inc. NY Broker Dealer
A0079 Robert W Baird & Co., Inc. WI Broker Dealer/Municipal Advisor
A2790 Roberts & Ryan Investments Inc CA Broker Dealer/Municipal Advisor
A7340 Robertson Stephens Securities LLC CA Broker Dealer
A1209 Robinson & Lukens VA Broker Dealer
A1205 Robinson & Robinson Inc. PA Broker Dealer
A6991 Rockfleet Financial Services, Inc. NY Broker Dealer
A5639 Rockwell Fin'l Grp Inc, (The) NY Broker Dealer
A6866 Rockwell Global Capital LLC NY Broker Dealer
A2148 Rodgers Brothers, Inc. PA Broker Dealer
A6032 Rogan & Associates, Inc. FL Broker Dealer
A1214 Romano Brothers & Company IL Broker Dealer
A1218 Roosevelt & Cross Incorporated NY Broker Dealer/Municipal Advisor
A3543 Ross, Sinclaire & Associates, LLC OH Broker Dealer/Municipal Advisor
A3923 Roth Capital Partners, LLC CA Broker Dealer/Municipal Advisor
A1231 Rothschild Investment Corp. IL Broker Dealer
A1233 Rothschild Lieberman LLC CT Broker Dealer
A3249 Royal Alliance Associates Inc. NY Broker Dealer
A1236 Royal Securities Co. MI Broker Dealer
A7106 RP Capital, LLC WA Broker Dealer
A6238 Russell Implementation Services Inc. WA Broker Dealer
A3942 RW Pressprich & Co. NY Broker Dealer
A2246 RW Smith & Associates, Inc. WA Broker Dealer
A4827 Ryan Financial, Inc. MA Broker Dealer
A6330 S.L. Reed & Company CA Broker Dealer
A6970 Sabadell Securities USA, Inc. FL Broker Dealer
A6816 Safeguard Securities, Inc. OH Broker Dealer
A7350 Safra Securities LLC NY Broker Dealer
A1249 Sage, Rutty & Co., Inc. NY Broker Dealer
A6645 Sagepoint Financial, Inc. AZ Broker Dealer
A7280 Salomon Whitney LLC NY Broker Dealer
A6695 SAMCO CAPITAL MARKETS, INC. TX Broker Dealer/Municipal Advisor
A7212 Sanctuary Securities, LLC CA Broker Dealer
A5732 Sanderlin Securities LLC TN Broker Dealer
A2908 Sanders Morris Harris Inc. TX Broker Dealer
A7325 SANDLAPPER Securities LLC SC Broker Dealer
A4361 Sandler O'Neill & Partners, LP NY Broker Dealer
A0125 Sanford C Bernstein & Co.,LLC NY Broker Dealer
A4973 Santander Securities LLC PR Broker Dealer/Municipal Advisor
A5215 Saperston Asset Mngmt., Inc. NY Broker Dealer
A2625 Saturna Brokerage Services, Inc. WA Broker Dealer
A3653 Sauer, Dazey Investment Co. MO Broker Dealer
A5916 Saxony Securities, Inc. MO Broker Dealer
A5965 SCF Securities, Inc. CA Broker Dealer
A6961 SCH Enterprises, Inc. IN Broker Dealer
A3346 Schlitt Investor Services, Inc FL Broker Dealer
B0501 Scotia MSD PR Bank Dealer
A5740 Scott James Group, Inc. VA Broker Dealer
A5546 Scottrade Inc MO Broker Dealer
A5991 Scottsdale Capital Advisors AZ Broker Dealer
A3533 Scully Capital Securities Corp. DC Broker Dealer/Municipal Advisor
A5940 Sea Port Group Securities, LLC NY Broker Dealer
A2027 Seaport Securities Corporation NY Broker Dealer
A1776 Searle & Co. CT Broker Dealer
A6924 SecondMarket, Inc. NY Broker Dealer/Municipal Advisor
A6969 SECU Brokerage Services NC Broker Dealer
A6456 Secure Planning, Inc. NH Broker Dealer
A0998 SecureVest Financial Group, Inc. NJ Broker Dealer
A3800 Securian Financial Svcs., Inc. MN Broker Dealer
A3215 Securities America, Inc. NE Broker Dealer
A4605 Securities Capital Corporation AL Broker Dealer/Municipal Advisor
A1966 Securities Center, Inc.(The) CA Broker Dealer
A5444 Securities Equity Group CA Broker Dealer
A6288 Securities Management Research, Inc. IA Broker Dealer
A0623 Securities Research, Inc. FL Broker Dealer
A3497 Securities Service Network,Inc TN Broker Dealer
A7241 Security Capital Brokerage, Inc. GA Broker Dealer/Municipal Advisor
A5185 SEI Investments Distribution Co PA Broker Dealer
A5543 Seidel & Shaw LLC NY Broker Dealer
A2055 Selkirk Investments, Inc. WA Broker Dealer
A6926 Sendero Securities, LLC TX Broker Dealer
A4887 Sentinel Brokers Company NY Broker Dealer
A6013 Sentinel Securities, Inc. MA Broker Dealer
A5290 Sequoia Investments, Inc. GA Broker Dealer
A4230 Seslia Securities VI Broker Dealer
A6617 Seton Securities Group, Inc NY Broker Dealer
A6896 Seven Points Capital, LLC NY Broker Dealer
A1330 SF Investments, Inc. IL Broker Dealer
A3771 SF Sentry Securities, Inc. CA Broker Dealer
A7108 SFA Financial, LLC SC Broker Dealer
A5476 SG Long & Company MT Broker Dealer
A6333 Shareholders Service Group, Inc. CA Broker Dealer
A5153 Shay Financial Services, Inc. FL Broker Dealer
A1466 Shearman, Ralston Inc. CT Broker Dealer
A4749 Shearson Financial Services LLC FL Broker Dealer
A1472 Shufro, Rose & Co., LLC NY Broker Dealer
A5074 Siebert Brandford Shank & Co NY Broker Dealer/Municipal Advisor
A7137 Sierra Pacific Securities, LLC NV Broker Dealer
A4441 SIGMA Financial Corporation MI Broker Dealer
A3373 Signal Securities, Inc. TX Broker Dealer
A5512 SIGNATOR FINANCIAL SERVICES, INC. WA Broker Dealer
A4437 Signator Investors Inc. MA Broker Dealer
A5671 Signature Securities Group Corp NY Broker Dealer
A7122 Signet Securities, LLC OH Broker Dealer/Municipal Advisor
A1662 SII Investments, Inc. WI Broker Dealer
A7249 Silber Bennett Financial, Inc. CA Broker Dealer
A3421 Silicon Valley Securities, Inc CA Broker Dealer
A5446 Silver Oak Securities, Incorporated TN Broker Dealer
A6555 Simmons First Investment Group, Inc. AR Broker Dealer
B0261 Simmons First NB of Pine Bluff AR Bank Dealer
A3587 Sisung Securities Corporation LA Broker Dealer/Municipal Advisor
A6094 SKA Securities, Inc. OH Broker Dealer
A6814 SL Hare Capital, Inc. CA Broker Dealer
A4418 SMBC Nikko Securities America, Inc. NY Broker Dealer
A2332 SMITH HAYES Financial Services Corp. NE Broker Dealer/Municipal Advisor
A0193 Smith, Brown and Groover, Inc. GA Broker Dealer
A1492 Smith, Moore and Company MO Broker Dealer
A7307 Snowden Account Services NY Broker Dealer
A6449 Sorrento Pacific Financial, LLC CA Broker Dealer
A4911 Sorsby Financial Corp. IL Broker Dealer
A5980 Source Capital Group, Inc. CT Broker Dealer
A5111 Southeast Investments, N.C. Inc. NC Broker Dealer
A6404 Southern Trust Securities, Inc. FL Broker Dealer
A5128 Southlake Capital TX Broker Dealer
A1290 Southwest Securities, Inc. TX Broker Dealer/Municipal Advisor
A2096 Southwestern Capital Markets, Inc. TX Broker Dealer/Municipal Advisor
A6901 Spartan Capital Securities, LLC NY Broker Dealer
A7306 Spencer Edwards, Inc. CO Broker Dealer
A4189 Spencer Trask Ventures Inc. NY Broker Dealer
A4243 Spencer-Winston Securities Co. NY Broker Dealer
A6862 Spire Securities, LLC VA Broker Dealer
A4565 St. Bernard Financial Services AR Broker Dealer
A6879 St. Germain Securities Inc. MA Broker Dealer
A4760 Stanford Group Company TX Broker Dealer
A6368 Stanford Investment Group, Inc. CA Broker Dealer
A6319 Stannard Financial Services, LLC MN Broker Dealer
A3528 Stark Municipal Brokers CA Broker Dealer
A3857 Starshak Winzenburg & Co IL Broker Dealer/Municipal Advisor
A6386 State Farm VP Management Corp. IL Broker Dealer
B0503 State Street Bank and Trust Company MA Bank Dealer
A4318 State Street Global Markets, LLC MA Broker Dealer
A5865 StateTrust Investments, Inc. FL Broker Dealer
A7160 SteelPoint Securities, LLC CA Broker Dealer
A4908 Stephen A Kohn & Associates CO Broker Dealer
A1303 Stephens Inc. AR Broker Dealer/Municipal Advisor
B0464 Sterling Investments, a division of Sterling Bank MO Bank Dealer
A6374 Sterling Monroe Securities, LLC NY Broker Dealer
A1306 Sterling, Grace Municipal Sec. NJ Broker Dealer
A2178 Stern Brothers & Co. MO Broker Dealer/Municipal Advisor
A1308 Stern Fisher Edwards, Inc. CA Broker Dealer
A4585 Sterne Agee Clearing AL Broker Dealer
A2689 Sterne Agee Financial Services, Inc. AL Broker Dealer/Municipal Advisor
A1310 Sterne, Agee & Leach, Inc. AL Broker Dealer/Municipal Advisor
A1313 Stifel, Nicolaus & Company,Inc MO Broker Dealer/Municipal Advisor
A5902 Stinson Securities, LLC CA Broker Dealer/Municipal Advisor
A6070 StockCross Financial Services, Inc. CA Broker Dealer
A1319 Stoever Glass & Company, Inc. NY Broker Dealer
A7042 StoneCastle Securities, LLC NY Broker Dealer
A5214 Stonewall Investments, Inc. IL Broker Dealer
A6666 Stonnington Group, LLC CA Broker Dealer
A7095 StormHarbour Securities LP NY Broker Dealer
A4369 Strategic Alliance Corporation NC Broker Dealer
A6301 Strategic Point Securities, LLC RI Broker Dealer
A5953 Sturdivant & Co., Inc. NJ Broker Dealer/Municipal Advisor
A2359 Sturges Company (The) OH Broker Dealer/Municipal Advisor
A7006 Success Trade Securities, Inc. DC Broker Dealer
A5720 Summit Brokerage Services, Inc FL Broker Dealer
A4146 Summit Equities, Inc. NJ Broker Dealer
A7126 Sumridge Partners, LLC NJ Broker Dealer
A6587 Sunbelt Securities, Inc. TX Broker Dealer
A7352 SunGard Brokerage & Securities Services LLC IL Broker Dealer
A4746 Sunset Financial Services, Inc MO Broker Dealer
A6834 Sunstreet Securities, LLC AZ Broker Dealer
A2748 SunTrust Investment Services, Inc. GA Broker Dealer
A0438 SunTrust Robinson Humphrey, Inc. GA Broker Dealer
A5647 Superior Financial Services, Inc. WI Broker Dealer
A6739 Susquehanna Financial Group, LLLP PA Broker Dealer
A4192 Sutter Securities, Inc. CA Broker Dealer/Municipal Advisor
A6622 SWBC Investment Services, LLC TX Broker Dealer
A1335 Sweney Cartwright & Co. OH Broker Dealer
A6949 Swiss Re Capital Markets Corp. NY Broker Dealer
A2447 SWS Financial Services TX Broker Dealer
A1768 Sycamore Financial Group IN Broker Dealer
A6839 Symphonic Securities, LLC NY Broker Dealer
A4458 Syndicated Capital, Inc. CA Broker Dealer
A1715 Synovus Securities Inc. GA Broker Dealer/Municipal Advisor
A2602 T Rowe Price Investment Serv. MD Broker Dealer
A1573 T.R. Winston & Company, LLC NJ Broker Dealer
A6302 T.S. Phillips Investments, Inc. OK Broker Dealer
A5234 TAG Securities, Inc. NC Broker Dealer
A7194 TAG Wealth Management, Inc. AZ Broker Dealer
A6321 Taglich Brothers, Inc. NY Broker Dealer
A6988 Tandem Securities, Inc. KS Broker Dealer
A6123 Tavenner Company, (The) OH Broker Dealer
A7197 Taylor Capital Management, Inc., now known as TCM Securities, Inc. GA Broker Dealer
A3674 Taylor Securities, Inc. TN Broker Dealer
A5667 TCAdvisors Network, Inc. CO Broker Dealer
A7268 TCFG Wealth Management, LLC CA Broker Dealer
A0498 TD AMERITRADE Clearing, Inc. NE Broker Dealer
A1432 TD Ameritrade, Inc. NE Broker Dealer
A7285 TD Private Client Wealth LLC NY Broker Dealer
A6962 TD Securities (USA) LLC NY Broker Dealer
A7172 Teachers Financial Investment Corporation CA Broker Dealer
A5340 Teachers Personal Investors Svcs., Inc. NC Broker Dealer
A4768 Teckmeyer Financial Services NE Broker Dealer
A4557 Tejas Securities Group, Inc. TX Broker Dealer
A3684 TFS Securities, Inc. NJ Broker Dealer
A0081 The Baker Group, LP OK Broker Dealer/Municipal Advisor
A5121 The Benchmark Company, LLC NY Broker Dealer
A6944 The Bond House, Inc. MO Broker Dealer
A6086 The Capital Group Securities, Inc. RI Broker Dealer
A3650 The Garbacz Group ,Inc. MO Broker Dealer
A1006 The GMS Group, LLC NJ Broker Dealer/Municipal Advisor
A4990 The Jeffrey Matthews Fin. Grp. NJ Broker Dealer
A5930 The Leaders Group, Inc. CO Broker Dealer
A5073 The Oak Ridge Fin'l Serv. Group, Inc. MN Broker Dealer
A6415 The Strategic Financial Alliance, Inc. GA Broker Dealer
A7274 The Vertical Group NY Broker Dealer
A6322 The Williams Capital Group, L.P. NY Broker Dealer/Municipal Advisor
A6101 THOMPSON DAVIS &CO. INC.. VA Broker Dealer
A3081 Thornhill Securities Inc. TX Broker Dealer
A1357 Thornton Farish Inc. AL Broker Dealer/Municipal Advisor
A5497 Thoroughbred Financial Services, LLC TN Broker Dealer
A6652 Thrasher and Chambers, Inc AR Broker Dealer
A5034 Thrivent Investment Management, Inc. MN Broker Dealer
A1355 Thurston,Springer,Miller,Herd & Titak, Inc. IN Broker Dealer
A5341 TIAA -CREF Indivdl Inst'l Svcs, LLC NC Broker Dealer
B0270 TIB The Independent BankersBank TX Bank Dealer
A7385 TIGRESS FINANCIAL PARTNERS LLC NY Broker Dealer
A7107 Timber Hill LLC CT Broker Dealer
A1358 Timecapital Securities Corp. NY Broker Dealer
A6723 Titan Securities TX Broker Dealer
A6438 Titleist Asset Management, Ltd. TX Broker Dealer
A5736 TMC Bonds, L.L.C. NY Broker Dealer
A3638 Tocqueville Securities L.P. NY Broker Dealer
A6624 Toussaint Capital Partners, LLC NJ Broker Dealer
A7213 TOV Capital Markets Inc. FL Broker Dealer
A6898 Trade Monster IL Broker Dealer
A5402 Trade-PMR, Inc. FL Broker Dealer
A6803 TradeKing, LLC FL Broker Dealer
A4971 TradeStation Securities FL Broker Dealer
A5773 Tradeweb Direct LLC NY Broker Dealer
A6797 Tradeweb LLC NY Broker Dealer
A5644 Tradition Asiel Securities Inc NY Broker Dealer
A6020 TransAm Securities, Inc. FL Broker Dealer
A3831 Transamerica Financial Advisors, Inc. FL Broker Dealer
A7373 Transcend Capital TX Broker Dealer
A7027 Transwestern Capital Markets, LLC CO Broker Dealer
A6381 Treasure Financial Corp. TX Broker Dealer
A4342 Tri-Star Financial TX Broker Dealer
A4165 Triad Advisors, Inc. GA Broker Dealer
A7230 Triangle Securities LLC NC Broker Dealer
A6813 TriCor Financial, LLC NV Broker Dealer
A5689 Trident Partners Ltd. NY Broker Dealer
A7283 Tripoint Global Equities, LLC NY Broker Dealer
A1375 Trubee, Collins & Co., Inc. NY Broker Dealer
A2431 TrustCore Investments, Inc. TN Broker Dealer
A4764 TrustFirst, Inc. TN Broker Dealer
A3315 Trustmont Financial Group, Inc. PA Broker Dealer
A5649 Tryco Securities, Inc TX Broker Dealer
A7058 Tullett Prebon Financial Services LLC NJ Broker Dealer
A2159 Twenty-First Securities Corp. NY Broker Dealer
B0475 U.S. Bank Municipal Securities Group NY Bank Dealer
A5836 U.S. Brokerage, Inc. OH Broker Dealer
A6436 U.S. Investors, Inc. VA Broker Dealer
A1689 UBS Financial Serives Inc. of Puerto Rico PR Broker Dealer
A1091 UBS Financial Services NJ Broker Dealer
A1381 UBS Securities LLC NY Broker Dealer
A5142 Uhlmann Price Securities, LLC IL Broker Dealer
B0286 UMB Bank, n.a. MO Bank Dealer
A4589 UMB Financial Services, Inc. MO Broker Dealer
A0149 Umpqua Investments, Inc. OR Broker Dealer
A6134 Union Capital Company AZ Broker Dealer
A1847 UnionBanc Investment Services, LLC CA Broker Dealer
B0171 United Bankers' Bank MN Bank Dealer
A4786 United Brokerage Services,Inc. WV Broker Dealer/Municipal Advisor
A2873 United Planners'Fin.Svc.of Ame AZ Broker Dealer
A5468 Univest Investments, Inc. PA Broker Dealer
A6809 UPRR Securities, LLC NY Broker Dealer
A3500 US Bancorp Investments, Inc. MN Broker Dealer
A5786 US Boston Capital Corporation MA Broker Dealer
A3712 US Securities Int'l, Corp. NY Broker Dealer
A4467 US Sterling Securities, Inc. NY Broker Dealer
A5759 USA Financial Securities Corporation MI Broker Dealer
A6688 USAA Financial Advisors, Inc. TX Broker Dealer
A1711 USAA Investment Management Company TX Broker Dealer
A5571 USCA Securities LLC TX Broker Dealer
A5246 USI Securities, Inc. CT Broker Dealer
A7086 VAB Financial, LLC PR Broker Dealer/Municipal Advisor
A4637 Valdes & Moreno, Inc. MO Broker Dealer/Municipal Advisor
A5652 VALIC Financial Advisors, Inc TX Broker Dealer
A1400 Valley Forge Asset Management PA Broker Dealer
A2742 Valley National Investments PA Broker Dealer
A5223 ValMark Securities, Inc. OH Broker Dealer
A7039 Valor Financial Securities LLC FL Broker Dealer
A1194 Vanderbilt Securities, LLC NY Broker Dealer
A7376 VANDHAM SECURITIES CORP NJ Broker Dealer
A3019 Vanguard Capital CA Broker Dealer
A3104 Vanguard Marketing Corporation PA Broker Dealer
A2650 Vaughan and Company Securities NJ Broker Dealer
A1399 VBC Securities LLC NJ Broker Dealer
A6551 VCA Securities, LP TX Broker Dealer
A7044 VectorGlobal WMG FL Broker Dealer
A5755 Verity Investments, Inc. NC Broker Dealer
A6210 Vestech Securities, Inc. KS Broker Dealer
A3853 Vestor Capital Securities, LLC IL Broker Dealer
A7143 VFG Securities, Inc. CA Broker Dealer
A5253 Vfinance Investments, Inc. FL Broker Dealer
A3792 Vining Sparks TN Broker Dealer
A5803 VISION CT Broker Dealer
A6815 Vision Financial Markets LLC CT Broker Dealer
A5299 Vista Securities, Inc. TX Broker Dealer
A0923 VM Manning & Co. SC Broker Dealer
A5421 Vorpahl Wing Securities WA Broker Dealer
A5712 Voya Financial Partners, LLC CT Broker Dealer
A7201 VOYA INVESTMENTS DISTRIBUTOR, LLC CT Broker Dealer
A2130 VSR Financial Services, Inc. KS Broker Dealer
A7380 W&S Brokerage Services, Inc. OH Broker Dealer
A6243 W.H. Colson Securities, Inc. NC Broker Dealer
A1419 Wachtel & Co., Inc. DC Broker Dealer
A6349 Waddell & Reed, Inc. KS Broker Dealer
A1418 Wall Street Access NY Broker Dealer
A5259 Wall Street Fin'l Group, Inc. NY Broker Dealer
A7291 Wallachbeth Capital, llc NY Broker Dealer
A5397 Washington Securities Corp. MD Broker Dealer
A0692 Wayne Hummer Investments LLC IL Broker Dealer
A5984 WBB Securities, LLC CA Broker Dealer
A6534 Wealth Enhancement Brokerage Services, LLC MN Broker Dealer
A6365 Wealth Management Resources, Inc. RI Broker Dealer
A6915 Weaver Tidwell Capital, LLC TX Broker Dealer
A1436 Wedbush Securities Inc. CA Broker Dealer/Municipal Advisor
A7037 Weeden & Co., L.P. CT Broker Dealer
A7345 Weitzel Financial Services, Inc. IA Broker Dealer
A3509 Weller,Anderson & Co., Ltd. TX Broker Dealer
A7053 Wellington Shields & Co., LLC NY Broker Dealer
A2353 Wells Fargo Advisors Financial Network, LLC MO Broker Dealer
A3741 Wells Fargo Advisors, LLC MO Broker Dealer
B0474 Wells Fargo Bank, N.A. Municipal Products Group NC Bank Dealer/Municipal Advisor
A5807 Wells Fargo Institutional Securities, LLC NC Broker Dealer
A6366 Wells Fargo Securities, LLC NC Broker Dealer/Municipal Advisor
A5646 Wells Nelson & Associates, LLC OK Broker Dealer/Municipal Advisor
A5098 WesBanco Securities, Inc. WV Broker Dealer
A6516 Wescom Financial Services LLC CA Broker Dealer
A7392 Westco Investment Corp. NY Broker Dealer
A6575 Western Equity Group, Inc. TN Broker Dealer
A0734 Western Financial Corporation CA Broker Dealer
A6230 Western Growers Financial Services CA Broker Dealer
A4767 Western International Sec.,Inc CA Broker Dealer
A7235 Westfield Investment Group, Inc. CA Broker Dealer
A3527 Westhoff, Cone & Holmstedt CA Broker Dealer/Municipal Advisor
A2960 Westminster Fin'l. Secs., Inc. OH Broker Dealer
A6821 Westminster Investment Group, Inc. PA Broker Dealer
A6229 Weston Securities Corporation MA Broker Dealer
A6144 WestPark Capital, Inc. CA Broker Dealer
A4989 Westport Capital Markets, LLC CT Broker Dealer
A3412 Westport Resources Invest.Serv CT Broker Dealer
A3134 WFG Investments, Inc. TX Broker Dealer
A6128 WFS, LLC MA Broker Dealer
A3590 WH Mell Associates NJ Broker Dealer
A5211 WH Reaves & Co., Inc. NJ Broker Dealer
A6996 Wheelhouse Securities Corporation MO Broker Dealer
A6922 Whitaker Securities LLC NY Broker Dealer
A5676 White Mountain Capital, LLC NY Broker Dealer
A3954 White, Weld & Co. Securities, LLC NY Broker Dealer
A4069 Whitehall-Parker Securities, Inc. CA Broker Dealer
A7228 Whitewood Group, Inc. NY Broker Dealer
A2395 WIC Corp. MN Broker Dealer
A5084 Wilbanks Securities, Inc. OK Broker Dealer
A0747 Wiley Bros-Aintree Capital LLC TN Broker Dealer/Municipal Advisor
A0147 William Blair & Company, LLC IL Broker Dealer/Municipal Advisor
A6285 William C. Burnside & Company, Inc. IL Broker Dealer
A6874 Wilmington Capital Securities, LLC NY Broker Dealer
A3852 Wilson Stephenson, Inc. TX Broker Dealer
A3338 Wilson-Davis & Co., Inc. UT Broker Dealer
A4438 Windham Financial Services,Inc VT Broker Dealer
A2507 Windmill Group, Inc.(The) NY Broker Dealer
A4080 Winslow, Evans & Crocker, Inc. MA Broker Dealer
A2605 Wisconsin Discount Securities Corporation WI Broker Dealer
A7324 WNJ Capital Inc PA Broker Dealer
A4193 Woodbury Financial Svcs., Inc. MN Broker Dealer
A3311 Woodlands Securities Corporation TX Broker Dealer
A6071 Woodmen Financial Services, Inc. NE Broker Dealer
A4853 Woodstock Financial Group, Inc. GA Broker Dealer
A7335 Worden Capital Management LLC NY Broker Dealer
A5796 World Capital Brokerage, Inc. CO Broker Dealer
A5405 World Choice Securities, Inc. TX Broker Dealer
A5441 World Equity Group, Inc. IL Broker Dealer
A0932 World First Financial Services, Inc. NY Broker Dealer
A5533 World Trade Financial Corp. CA Broker Dealer
A6360 World Trend Financial Planning Services, Ltd. IA Broker Dealer
A6536 Worth Financial Group, Inc. TX Broker Dealer
A5749 WR Taylor & Company, LLC AL Broker Dealer/Municipal Advisor
A1425 WRP Investments, Inc. OH Broker Dealer
A0763 Wulff, Hansen & Company CA Broker Dealer/Municipal Advisor
A0877 Wunderlich Securities, Inc. TN Broker Dealer
A6057 WWK Investments, Inc. MI Broker Dealer
A6661 YieldQuest Securities, LLC. GA Broker Dealer
A1537 York Securities Inc. NY Broker Dealer
A3962 Zions Direct, Inc. UT Broker Dealer
B0300 Zions First National Bank UT Bank Dealer/Municipal Advisor
A0777 Ziv Investment Company IL Broker Dealer