Alphabetical Reference April 2013 1

Alphabetical Reference
April 2013
CLEARING
NO.
Name
A. R. Schmeidler & Co., Inc.
Aaron Capital Inc.
Abacus Investments, Inc.
Abbey National Securities Inc.
Abel/Noser Corp.
ABG Sundal Collier, Inc.
MUNIOTC
Symbol
SCHM
AACI
ABAI
ANSI
ANOS
ABGS
ABN Amro Chicago Corporation
Bond Trading
ABN AMRO Clearing Chicago LLC
ABN AMRO Clearing Chicago LLC
ABN AMRO Clearing Chicago LLC
ABN AMRO Clearing Chicago LLC
ABN AMRO Clearing Chicago LLC
ABN AMRO Clearing Chicago LLC
ABN AMRO Clearing Chicago LLC
ABN AMRO Clearing Chicago LLC
ABN AMRO Clearing Chicago LLC
ABN AMRO Clearing Chicago LLC
ABN AMRO Clearing Chicago LLC
ABN AMRO Clearing Chicago LLC
ABN AMRO Clearing Chicago LLC
ABN AMRO Clearing Chicago LLC
ABN AMRO Clearing Chicago LLC
ABN AMRO Clearing Chicago LLC
ABN AMRO Clearing Chicago LLC
ABN AMRO Clearing Chicago LLC
ABN AMRO Clearing Chicago LLC
ABN AMRO Clearing Chicago LLC
ABN AMRO Clearing Chicago LLC
ABN AMRO Clearing Chicago LLC
ABN AMRO Clearing Chicago LLC
ABN AMRO Clearing Chicago LLC
ABN AMRO Clearing Chicago LLC
ABN AMRO Clearing Chicago LLC
ABN AMRO Clearing Chicago LLC
ABN AMRO Clearing Chicago LLC
ABN AMRO Clearing Chicago LLC
ABN AMRO Clearing Chicago LLC
ABN AMRO Clearing Chicago LLC
ABN AMRO Clearing Chicago LLC
ABN AMRO Clearing Chicago LLC
ABN AMRO Clearing Chicago LLC
ABN AMRO Clearing Chicago LLC
ABN AMRO Clearing Chicago LLC
ABN AMRO Clearing Chicago LLC
ABN AMRO Clearing Chicago LLC
ABN AMRO Clearing Chicago LLC
ABN AMRO Clearing Chicago LLC
ABN AMRO Clearing Chicago LLC
ABN AMRO Clearing Chicago LLC
ABN AMRO Clearing Chicago LLC
ABN AMRO Clearing Chicago LLC
ABN AMRO Clearing Chicago LLC
AABT
SHMR
SIMA
SIMX
ATGX
BRIX
CACX
COAA
COAX
FCAP
FWBA
HEDX
HNCA
IMCX
MNTX
MQRX
OPTA
OTFX
QLBX
RTSF
WEBX
ZENA
JEXF
PITX
PRPX
SWDX
ALLX
ATIX
CHVX
COGX
CSSX
FMGF
GPTX
GTTX
IMMX
LARX
LBKX
OBDX
OFSX
PISX
QEDX
QLTX
SETA
SETX
SLTX
SUNX
OTC/
Other
0158∆
0309∆
0642∆
0100∆
0103∆
MUNI
0443†
0158†
0309†
5231
0695
0330∆
0330∆
0396∆
0396∆
0396∆
0396∆
0396∆
0396∆
0396∆
0396∆
0396∆
0396∆
0396∆
0396∆
0396∆
0396∆
0396∆
0396∆
0396∆
0396∆
0536∆
0541∆
0541∆
0541∆
0695∆
0695∆
0695∆
0695∆
0695∆
0695∆
0695∆
0695∆
0695∆
0695∆
0695∆
0695∆
0695∆
0695∆
0695∆
0695∆
0695∆
0695∆
0695∆
0695∆
MUNI
Type
CNS
CNS
CNS
TFT
ABN AMRO Clearing Chicago LLC
ABN AMRO Clearing Chicago
LLC/Bonds
ABN AMRO Clearing Chicago
LLC/CPM
ABN AMRO Clearing Chicago
LLC/Institutional
ABN AMRO Clearing Chicago
LLC/Portfolio Margining
ABN AMRO Securities (USA) LLC
Abner, Herrman & Brock, Inc.
Academy Securities, Inc.
Acadia Life International Limited
ACAP Financial, Inc.
Access Financial Group, Inc.
Access Securities, Inc.
Access Securities, Inc.
Access Securities, Inc.
Access Securities, Inc.
Accrued Equities, Inc.
ACPI Global UCITS Funds PLC
Activa Capital Markets, Inc.
Activner Securities, Inc.
Adirondack Funds
Adirondack Trading Group LLC
Adirondack Trading Group, LLC
ADP Inc./TPA
Advance Capital I, Inc.
Advanced Advisor Group, LLC
Advanced Asset Trading, Inc.
Advanced Equities Services Corp
Advanced Equities, Inc.
Advantage GFC LLC
Adviser Dealer Services, Inc.
Advisors Asset Management, Inc.
Advisors Asset Management, Inc.
Advisors Clearing Network, Inc.
Advisors Clearing Network, Inc.
AEB Corporation
Aegis Capital Corp.
Aegis Capital Corp.
Aegis Capital Corp.
Aegis Capital Corp.
Aegis Investments, Inc.
AG BD, LLC
Agency Trading Group, Inc.
AIG Retirement Advisors, Inc
AIG Retirement Advisors,
Inc./Account 2
Akar Capital Management, Inc.
Akjensen, Inc.
Alamo Capital Corp.
Alanar Incorporated
Alaris Trading Partners, LLC
Alerus Securities Corporation
Alexander (Don) Investments, Inc.
Alexander Capital, L.P.
Alexander Investment Services Co.
Alexandra & James Co.
TTTX
0695∆
ABND
0575
FLTG
0330
AACC
0541
APMA
ABNA
AHBI
ACAD
0396
0349
0352∆
0352∆
6902
8072∆
0352∆
0443∆
ACAP
AFGI
AXCB
CBAL
AXCS
AXGP
CNCR
ACTI
ADKT
ADAK
BRGI
SALD
ADVA
PINO
FISB
FISA
ADCN
AEBC
AGCP
AGIS
AEGC
AGCC
AEGS
AGBD
ATGP
CAAA
AKJI
ALAC
ALIN
DDAY
FNBS
DAII
ACLP
ALIS
AJCO
0352†
0352†
CNS
CNS
0352†
0443†
0443†
CNS
CNS
CNS
0443†
CNS
0309†
0052†
CNS
CNS
0235†
CNS
0052†
CNS
0226†
0443†
CNS
CNS
0235†
0235†
0512†
CNS
CNS
CNS
0750†
CNS
0226†
CNS
0158†
0158†
0279†
0309†
CNS
CNS
CNS
CNS
0235†
0235†
0235†
0235†
0443†
CNS
CNS
CNS
CNS
CNS
0443∆
0501∆
5678
3329
0158∆
6613
0309∆
0052∆
7120
5860
6015
0235∆
0158∆
0052∆
0750∆
5706
0443∆
0359
0158∆
0443∆
0235∆
0235∆
0512∆
0352∆
0750∆
0352∆
0226∆
0542
0681
0158∆
0158∆
0279∆
0501∆
0235∆
0235∆
0235∆
0235∆
1
Alphabetical Reference
April 2013
Alfa Capital Markets (USA), Inc.
Algo Engineering Execution
Services LLC
AlgoPartners, LLC
All Funds, Inc.
Alleghany Investments Inc.
Allen & Company LLC
Allen & Company of Florida, Inc.
Alliance Advisory & Securities, Inc.
Alliance Bernstein Investment
Research and Investment
Management, Inc.
Alliance Financial Group, Inc.
ALFA
0443∆
ALGF
ALGP
AFIN
ALLE
ALLN
ALEN
ALAD
0541∆
0050∆
AKGS
AllianceBernstein Investment
Research and Investment Mgmt,
Inc./Sanford C. Bernstein
AllianceBernstein Investment
Research and Investment Mgmt.,
Inc./ACIT
CNS
CNS
0141†
0235†
CNS
CNS
0443∆
5515
0141∆
0141†
CNS
5553
6584
AllianceBernstein Investment
Research and Investment Mgmt.,
Inc./International Div.
Alliant Securities, Inc. Turner, Nord,
Kienbaum
0226†
0226†
5809
0141†
BZTN
Alliant Securities, Inc. Turner, Nord,
Kienbaum
Allianz Global Investors Distributors
LLC
Allianz Global Investors Distributors
LLC/Allianz Global Investors Fund
SICAV
CNS
8084
5554
5579
Allianz Global Investors Distributors
LLC/MI 529 Advisors Plan
6768
Allianz Global Investors Distributors
LLC/Oklahoma Dream 529
5921
Allianz Global Investors Distributors
LLC/Pimco Advisory Service
5784
4688
Allstate Life Insurance Company of
New York/Administered by SE2
Technology Solutions
4697
Allstate Life Insurance Company of
New York/Fixed
Allstate Life Insurance
Company/Administered by
Prudential
Allstate Life Insurance
Company/CIGNA/Administered by
Se2 Technology Solution
Allstate Life Insurance
Company/Fixed
Allston Trading, LLC
Allston Trading, LLC
Alluvion Securities, LLC
AloStar Bank of Commerce
Alpine Securities Corporation
ALPS Distributors Inc.
ALPS Distributors Inc./Cognios
Funds
ALPS Distributors, Inc./ALPS
Variable Investment Trust #6609
ALPS Distributors, Inc./AQR Funds
ALPS Distributors, Inc./Aspen
Funds
ALPS Distributors, Inc./BBH Funds
ALPS Distributors, Inc./Bennett
Funds
ALPS Distributors, Inc./BPVFunds
ALPS Distributors, Inc./Brown
Capital
ALPS Distributors, Inc./Caldwell &
Orkin
Allianz Global Investors Distributors
LLC/Premier Multi-Series VIT
5703
Allianz Life Insurance Co. of New
York-Fixed Business
4682
Allianz Life Insurance Co. of North
America-Fixed Business
4570
Allianz Life Insurance Company of
New York
ALPS Distributors, Inc./Century
Capital Management Trust
4524
ALPS Distributors, Inc./Corner Cap
Funds
ALPS Distributors, Inc./Cortina
Funds
ALPS Distributors, Inc./CRM Funds
ALPS Distributors, Inc./Cullen
Funds
ALPS Distributors, Inc./Cullen
Funds plc
Allianz Life Insurance Company of
North America
Allied Beacon Partners, Inc.
Allison (M.E.) & Co., Inc.
Allison-Williams Company
Allstate Financial Services, LLC
Allstate Financial Services, LLC
ABPI
MEAL
ALWL
LAGI
4523
0235∆
0279∆
0279∆
0222
Allstate Financial Services,
LLC/Allstate Financial Annuities
Allstate Life Insurance Company
5341
4528
Allstate Life Insurance Company of
New York
4557
0235†
0279†
CNS
CNS
0226†
CNS
4751
4687
Allstate Life Insurance
Company/Administered by SE2
Technology Solutions
Allstate Life Insurance
Company/Cigna
ALPS Distributors Inc./James
Advantage Funds
ALPS Distributors Inc./Whitebox
Funds
5609
Allianz Global Investors Distributors
LLC/College Access Plan
Allstate Life Insurance Company of
New York/Administered by
Prudential
ALPS Distributors, Inc./Drexel
Hamilton Funds
ALPS Distributors, Inc./Emerald
Funds
ALPS Distributors, Inc./FirstHand
Funds
ALPS Distributors, Inc./FIT-ALPS
4696
4580
4690
ALTN
ALTR
ALLU
ASBC
ALPS
4750
0695∆
0695∆
0750∆
0750†
6776
CNS
TFT
8072
5642
7032
5613
3763
6609
5922
3717
5722
5544
3768
3740
5684
5597
5384
3762
6619
5466
3710
5455
3619
4901
5904
2
Alphabetical Reference
April 2013
Funds
American Century Investment
Services Inc./Kansas
Postsecondary Savings Program
5338
5571
American Century Investment
Services Inc./SICAV Funds
3728
5345
American Century Investment
Services, Inc.
5646
6550
American Diversified Financial
Group, LLC
ADFG
0235∆
0235†
CNS
6597
American Enterprise Investment
Services Inc.
HRBF
0756
0756
CNS
6505
American Enterprise Investment
Services Inc.
3433
American Enterprise Life Insurance
Company
American Funds Distributors, Inc.
American Funds Distributors, Inc.
4541
0754
5504
4940
American Funds Distributors,
Inc./LC Planpremier
American General Distributors, Inc
6508
5718
3787
American General Life Insurance
Company
4502
6520
American General Life Insurance
Company/SE2
4537
3777
American General Life Insurance
Company/SunAmerica
4516
American General Life Insurance
Company/Sunamerica (SE2)
4648
5309
ALPS Distributors, Inc./Stonebridge
Capital Management
American General Life Insurance
Company/SunAmerica (Service
Only Fixed)
4507
5806
ALPS Distributors, Inc./The
Arbitrage Fund
ALPS Distributors, Inc./Tilson Funds
American General Life Insurance
Company/Western National
4623
5521
5337
ALPS Distributors, Inc./Transparent
Value Fund
American General Life Insurance
Company/Western
National(SunAmerica Fixed)
3310
5314
5313
American General Securities
Incorporated
American Heritage Securities, Inc.
AMGN
AHSI
0443†
0141†
CNS
CNS
3688
American Independent Securities
Group, LLC
AISG
0235†
CNS
0279†
0141†
CNS
CNS
0443†
CNS
0235†
CNS
ALPS Distributors, Inc./Grandeur
Peak Funds
ALPS Distributors, Inc./Heartland
Funds
3759
ALPS Distributors, Inc./Heartland
International Small Cap Fund
ALPS Distributors, Inc./Henssler
Funds
ALPS Distributors, Inc./Holland
Balanced Fund
ALPS Distributors, Inc./Index IQ
Trust
ALPS Distributors, Inc./Laudus
Funds
4903
ALPS Distributors, Inc./Mairs and
Power Funds Trust
ALPS Distributors, Inc./Oak Funds
6546
5761
ALPS Distributors, Inc./Pathway
Advisors Funds
ALPS Distributors, Inc./Paxworld
Funds
ALPS Distributors, Inc./Redmont
Funds
ALPS Distributors, Inc./River North
Funds
ALPS Distributors, Inc./Seafarer
Funds
ALPS Distributors, Inc./Stadion
Funds
3356
6692
ALPS Distributors, Inc./State Street
Institutional Investment Trust
ALPS Distributors, Inc./Stone
Harbor
6516
ALPS Distributors, Inc./Vulcan
Value Partners Fund
ALPS Distributors, Inc./Wakefield
Fund
ALPS Distributors, Inc./WesMark
Funds
ALPS Distributors, Inc./Wilmington
Funds
Altegris Portfolio Management, Inc.
dba Altegris Funds
AlterNet Securities Inc.
Alton Securities Group Inc.
Altrushare Securities LLC
Alzaid Financial Services, Inc.
AM&M Financial Services, Inc.
AM&M Investment Brokers, Inc.
Ambassador Financial Group, Inc.
America Invest Online, Inc.
American Capital Partners
American Centurion Life Assurance
Company
American Century Brokerage, Inc.
5944
5696
ALTX
ASGI
ATRU
AZAD
3476
0099∆
0235∆
0100∆
0750∆
3920
AMMI
AFGT
AIII
ACPL
0279∆
0052∆
0235∆
ACBD
4600
0443∆
0235†
CNS
0750†
CNS
0443†
0279†
0052†
CNS
CNS
CNS
0443†
CNS
American Independent Securities
Group, LLC
American Investors Group
American Municipal Securities Inc.
American National Insurance
Company
American Network Securities Corp.
American Portfolios Financial
Services, Inc.
American Trust Investment
Services, Inc.
American Union Securities, Inc.
0235∆
6912
AIGI
AMMS
4569
AMNN
0555
PEER
AUSI
0235∆
0158∆
American United Life Insurance
Company
4591
American United Life Insurance
Company
4746
American United Life Insurance
Company/2
4754
3
Alphabetical Reference
April 2013
American United Life Insurance
Company/3
America's Choice Equities LLC
America's Portfolio's
Ameritas Investment Corporation
Ameritas Investment Corporation
Ameritas Life Insurance Corp.
Ameritrade, Inc.
AmTrust Investment Services, Inc.
Amundi Luxembourg S.A.
AMUR Advisors, LLC
ANB Financial Group LLC
Ancora Securities, Inc.
Ancora Securities, Inc.
Anderson & Strudwick, Inc.
Andes Capital Group, LLC
Anovest Financial Services, Inc.
ANZ Securities, Inc.
APB Financial Group, LLC
Apex Clearing Corporation
Apex Clearing Corporation
Apex Clearing Corporation
Apex Clearing
Corporation/Merrimac Corp
Aplifi, Inc.
Apto Partners, LLC
Aquila Distributors, Inc.
Aradir Corp.
Arbor Court Capital LLC
Arbor Research & Trading, Inc.
ARCA Capital Investments, Inc.
Arcadia Investment Corp.
Arcadia Securities, LLC
Archey & Co. LLC
Archipelago Securities, LLC
Archipelago Securities, LLC
Archipelago Securities, LLC
Archipelago Trading Services, Inc.
Ardour Capital Investments, LLC
Arete Wealth Management
Ariel Distributors LLC
ARKA Securities, Inc.
ARMA Financial Services, Inc.
Artisan Partners Distributors, LLC
Arvest Investments, Inc.
Arvest Investments, Inc.
ASB Securities, LLC
Ascendiant Capital Markets, LLC
Ascendiant Capital Markets, LLC
ACEP
APFS
BLNI
0443∆
0249
4539
AMUR
ANBF
DALE
ANSR
ACGP
ANOV
ANZS
APBI
PFCL
APCC
PDSK
APTO
ARAD
ARTI
ACII
AICO
ARCD
JINS
ACRA
ALLC
ARRB
ARCA
ARDR
KEYS
0052†
0443†
0443†
0188†
AMTD
CNS
CNS
CNS
CNS
7148
3391
0309∆
0443∆
4951
0235∆
0750∆
0103∆
0158
0158∆
0158∆
0373
6358
0103∆
5552
0352∆
7023
0388∆
0158∆
0352∆
0443∆
0052∆
0436
0436∆
0436∆
0436∆
0158∆
0309†
0443†
CNS
CNS
0443†
0235†
0750†
0443†
CNS
CNS
CNS
CNS
0158
CNS
ARKA
ARMA
ARVS
ASCT
ASCM
6653
0141∆
4988
5581
0103∆
0158∆
0103†
CNS
0388†
CNS
0352†
CNS
0226†
CNS
0443†
0226†
CNS
CNS
0141†
0103†
CNS
CNS
5195
MOMY
ASKR
ASPN
ABBI
3370
0279∆
0309∆
2257
Athene Annuity & Life Assurance
Company
Atis, Inc.
Atlantic Financial Services of Maine,
Inc.
Atlantic Trading Partners
Incorporated
Atlas One Financial Group, LLC
Atlas One Financial Group, LLC
Atrium Trading, Inc.
Audobon Securities, Inc.
Auerbach Grayson & Co. Inc.
Aufhauser Securities, Inc.
Aura Financial Services, Inc.
Auriga USA, Inc.
Aurora Capital LLC
Ausdal Financial Partners, Inc.
Automated Trading Desk Financial
Services, LLC
5751
Ashmore Investment Management
(US) Corporation
Ashmore Investment Management
(US) Corporation/Foreign Account
Ashton Young, Inc.
Askar Corp.
Aspen Equity Partners, LLC
Associated Bank, N.A.
Associated Bond Brokers
4757
0052∆
Associated Investment Services,
Inc.
Associated Investment Services,
Inc.
Associated Securities Corporation
AST Investor Services LLC
ATEL Securities Corporation
0279†
0141†
0309†
CNS
CNS
CNS
0279†
CNS
Automated Trading Desk Financial
Services, LLC
Autonomous Research LLP
Autonomous Research US, LP
Avenir Financial Group, Inc.
Aventura Securities, LLC
Avian Securities, LLC
Aviate Global LP
Avila Capital Markets, Inc.
AVM, L.P.
Avondale Partners, LLC
AWM Securities, Inc.
AX Trading, LLC
AXA Advisors, LLC
AXA Equitable Life Insurance
Company
AXA Equitable Life Insurance
Company/Equivest Employer
Sponsored
0443†
CNS
0226†
CNS
0235†
CNS
0235†
0158†
0161†
CNS
CNS
CNS
0418†
CNS
0443†
0750†
0443†
0052†
CNS
CNS
CNS
CNS
0049†
CNS
0052†
0226†
0443†
0049†
0226†
6704
0226†
CNS
CNS
CNS
CNS
CNS
TFT
CNS
0075†
CNS
0727†
0352†
0052†
CNS
CNS
CNS
BCCS
0443†
CNS
BMCB
0103†
CNS
0547
0443†
0235†
CNS
CNS
CNS
ASOI
ASSO
ASTI
7192
0075∆
1846
JEVO
4562
0235∆
AFSM
0750∆
ATTR
AOFG
AFGL
ATRM
AUDO
AGCO
ARBI
AURA
ARGA
AURC
0235∆
0158∆
0161∆
0017∆
ATDF
0505∆
AUTO
ARUK
ARUS
AFGR
AVEN
AVIA
AVUS
AVIL
AVML
AVON
FINC
AXTN
AXAA
0505∆
0049∆
0049∆
0052∆
0443∆
0443∆
0750∆
0443∆
0052∆
6905
0049∆
0226∆
0443∆
0226∆
0279∆
0158∆
4535
7005
AXA Equitable Life Insurance
Company/Life Insurance
AXA Equitable Life Insurance
Company/Retirement Gateway
AXA Network, LLC
Axelrod Associates, Inc.
Axiom Capital Management, Inc.
AYRE Invstments, Inc.
Azzad Funds
BAC Florida Investments Corp.
Backstrom McCarley Berry & Co.,
LLC
Baird (Robert W.) & Co.,
Incorporated
Baird Patrick & Co., Inc.
Baker & Co., Incorporated
0443∆
4632
AXEL
AXIO
AYRE
BARD
BPAT
BCOM
7006
7123
0727∆
0352∆
0052∆
5662
0547
0443∆
0235∆
4
Alphabetical Reference
April 2013
Baker (C.P.) Securities Incorporated
Baldwin (Leigh) & Co., LLC
Ballew Investments, Inc.
Banc of America Securities, LLC
Banc West Investment Services
Banca IMI Securities Corp.
Banco Votorantim Securities, Inc.
Bancorp Bank (The)
Bancorp Bank (The)
CPBC
LEBO
BALL
BASV
BIMI
VOTO
TBBK
0750∆
0226∆
0352∆
6130
0136
0443∆
3388
Bancorp Bank (The)/Master
Demand Account Advantage
3606
Bank of America N.A./ GWIM
TRUST OPERATIONS
Bank of America, N.A.
Bank of America, N.A./Lasalle Bank
N.A.
Bank of Oklahoma, N.A.
Bankers & Investors Co.
Bankers Bank
BankersBanc Capital Corporation
Bankoh Investment Services, Inc.
Bannockburn Partners, LLC
Bannockburn Partners, LLC
Banyan Securities, LLC
Barclays Capital Inc.
CNS
CNS
CNS
3308
BSIS
0443†
CNS
0443†
0443†
CNS
CNS
6048
BSTO
BANF
0443∆
2236
0955
NBNA
6737
TFT
2251
BOKL
BAIN
BBID
BBCC
PCIS
BPLC
GOAL
BNYN
Barclays Capital Inc./Barclays
Celsius Funds Ireland/Malta
Barclays Capital Inc./Barclays MultiManager Fund PLC
Barclays Capital, Inc.
Barclays Capital, Inc.
Barclays Capital, Inc.
Barclays Capital, Inc.
Barclays Capital, Inc./Fixed Income
Barclays Capital, Inc./LE
Barclays Capital, Inc./LE
Barclays Capital, Inc./LE
Barclays Capital, Inc./LE
Barclays Capital, Inc./LE
Barclays Capital, Inc./LE
Barclays Capital, Inc./LE
Barclays Capital, Inc./LE
Barclays Capital, Inc./LE
Barclays Capital, Inc./Market Maker
Baron Capital Inc.
Barrett & Company
Barrington Research Associates,
Inc.
0136
0443†
0226†
CNS
CNS
4859
Bancorp Bank (The)/Liquid Cash
Account
Bancorp Bank (The)/Participant
Protection Account
Bancorpsouth Investment Services,
Inc.
BancorpSouth Investment Services,
Inc.
Banesto Securities, Inc.
Banif Securities Inc.
Bank of America N.A.
0226†
0443†
0279∆
0750∆
0158∆
0750∆
0226∆
5340
6752
0279†
6409
0750†
0226†
TFT
CNS
TFT
CNS
CNS
0226†
CNS
5375
BCAP
BCHY
BCPP
BWEL
BCAP
LEHM
LATS
LEHB
LEHP
LHMA
LHMB
LHMS
LHSB
LSAH
3350
5101
5101∆
5101∆
BARR
0229
0229∆
0229∆
0229∆
0229∆
0229∆
0229∆
0229∆
0229∆
0055
4862
0226∆
BRRR
0352∆
0229†
7256
0229
CNS
CNS
CNS
0226†
CNS
0352†
CNS
Barron (Nancy) & Associates, Inc.
Barton Creek Ltd.
Base Securities LLC
Basis Financial, LLC
BATS Trading, Inc.
BATS Trading, Inc.
BATS Trading, Inc.
BATS Trading, Inc.
Baum (George K.) & Co.
Bay Colony Securities Co., Inc.
Bay Crest Partners, LLC
BB&T Investment Services, Inc.
BB&T Investment Services, Inc.
BB&T Securities, LLC
BBS Securities, Inc./CDS
BBVA Investments Inc.
BBVA Securities Inc.
BCP Securities, LLC
Beacon Gate LLC
Beacon Investment Company
Beaconsfield Financial Services,
Inc.
Beal (M.R.) & Company
Bear Creek Securities, LLC
Beck (H.), Inc.
Becker & Suffern Ltd.
Bedford Securities, Inc.
Bedrok Securities, LLC
Bel Air Securities LLC
Bellamah, Neuhauser & Barrett, Inc.
Belle Haven Investments, LP
Belle Haven Investments, LP
Beloyan Investment Securities, Inc.
Belvedere Trading LLC
Benchmark Company, LLC (The)
Benchmark Investments, Inc.
Benchmark Securities LLC
Benefit Trust Company
Benefit Trust Company
Benefit Trust Company/DST
Squirrel
Benefit Trust Company/Prime Plan
Solutions
Benjamin & Jerold Brokerage I, LLC
Benjamin & Jerold Brokerage, Inc.
Benjamin F. Edwards & Co.
Benjamin Securities Investment
Co., Inc.
Bentley-Lawrence Securities, Inc.
Berean Capital, Inc.
Berghoff & Company, Inc.
Bermuda Investment Advisory
Services
Bernardi Securities, Inc.
Bernstein (Sanford C.) & Co., Inc.
Berry Shino Securities, Inc.
Berthel, Fisher & Company
Financial Services, Inc.
Bertolet Capital Trust
NBAR
BCLT
CARL
BFLN
BATM
BYXM
BATS
BYXX
BAUM
LMSC
BAYC
BBTT
BBNT
BCMR
LTIN
BRCY
BEAG
BICA
BEAF
BEAL
BCRK
BECS
BSIN
STLZ
BELS
BNBB
BHLP
BHII
BELO
BELV
BNCH
BMRK
BMKS
0052∆
0050∆
0050∆
0103∆
0103∆
0129
0235∆
0161∆
0702∆
0156
0702
5085
0443∆
0443∆
0501∆
0235∆
0443∆
0052∆
0731
0443∆
0352∆
0750∆
0443∆
0052∆
0501∆
0352∆
0235∆
0309∆
0761
6647
0226†
0309†
0443†
0052†
CNS
CNS
CNS
CNS
0129
0235†
CNS
CNS
0702†
CNS
0702
CNS
0443†
2786
0443†
CNS
CNS
CNS
0443†
CNS
0235†
0443†
0052†
CNS
CNS
CNS
0443†
0418†
0443†
0352†
0443†
0226†
0443†
0052†
CNS
CNS
CNS
CNS
cns
CNS
CNS
CNS
0352†
0235†
0309†
CNS
CNS
CNS
0052†
CNS
0727†
0727†
0235†
CNS
CNS
CNS
0443†
0443†
0013
0103†
CNS
CNS
CNS
CNS
0226†
CNS
3383
BEGK
BEJJ
BFEC
3694
0100∆
0052∆
0443∆
BENS
BLSI
WHWL
BEMC
0279∆
0727∆
0727∆
0235∆
BERM
BNDI
BERN
BSAZ
BFFI
0013
0226∆
6701
5
Alphabetical Reference
April 2013
Berwyn Financial Services
Best Direct Securities, LLC
BestVest Investments, Ltd.
Beta Capital Management
Beyer & Co.
BGB Securities Inc.
BGC Financial Inc.
BGC Financial Inc.
BGC Financial, Inc.
BGC Financial, Inc.
BGC Financial, Inc.
BGC Financial, L.P.
BGC Financial, L.P.
BGC Financial, L.P.
BHIL Distributors, Inc.
BFSA
BDSE
BVIS
BECM
BEYR
BGCM
MAXC
MINT
BGCE
EBKR
MAXN
BGCF
WHBB
WOHU
0235†
0537
0537†
0537†
CNS
CNS
CNS
CNS
6532
BHIL Distributors, Inc./Cook &
Bynum Funds
BHIL Distributors, Inc./Diamond Hill
Funds
5928
4729
BHIL Distributors, Inc./Independent
Franchise Partners US Equity Fund
3754
BHIL Distributors, Inc./Lion Global
Investors Limited
BHIL Distributors, Inc./Praxis Funds
BHIL Distributors, Inc./Robeco
Institutional Asset Management
B.V.
BHIL Distributors, Inc./The Boston
Trust & Walden Funds
BHK Securities, LLC
Bianco Financial Inc.
BIDS Trading L.P.
Bill Few Associates, Inc.
Biltmore International Corporation
Biondo Asset Management LLC
Birchwood Securities Corp.
Biremis Corporation
Birkelbach Investment Securities,
Inc.
Bishop, Rosen & Co., Inc.
Black (James I.) & Co.
Blackburn & Company
BlackRock Capital Markets, LLC
BlackRock Execution Services
0226∆
0750∆
0235∆
0352∆
0727∆
0103∆
0537∆
0537∆
0161∆
0537∆
0537∆
0537
0537∆
3368
5791
3607
6622
BHKS
BFIB
BIDS
BFEW
BMIC
BGIA
BWEX
BRMS
BRKE
BISH
BLCK
BLKB
BRCM
BGIS
0158∆
0161∆
0824∆
0226∆
0595∆
0100∆
0226∆
7031
0642∆
0352∆
0352∆
0141†
CNS
0161†
0443†
CNS
CNS
0226†
0595†
CNS
CNS
0443†
0226†
7031
0642†
0352†
0352†
CNS
CNS
CNS
CNS
CNS
CNS
Blinkbox, Ltd.
Block Kelly Company
Bloomberg Tradebook LLC
Bloomberg Tradebook LLC
Blount Parrish & Co., Inc.
Blue Alternative Asset Management
LLC
Blue Bay Capital Ltd.
Blue Capital Securities, Inc.
Blue Creek Securities, Inc.
Blue Trading, Inc.
Blue Trading, Inc.
Blue Vase Securities, LLC
Bluebid Brokerage, LLC
Bluefin Research Partners, Inc.
BlueFire Capital, LLC
Blum (Robert) Municipals Inc.
BMA Securities
BMA Securities
BMA Securities
BMO Capital Markets Corp.
BMO Capital Markets GKST Inc.
BMO Capital Markets GKST Inc.
BMO Harris Bank NA
BMO Harris Bank NA
BMO Harris Bank NA/Trust
BMO Harris Financial Advisors, Inc.
BMO Nesbitt Burns Inc./CDS
BMO Nesbitt Burns Securities, Ltd.
BNP Paribas Investment Partners
Trust Company
BNP Paribas Investment Services,
LLC
BNP Paribas Prime Brokerage, Inc.
BNP Paribas Securities Corp.
BNP Paribas Securities Corp.
BNP Paribas Securities Corp.
BNP Paribas Securities Corp.
BNP Paribas Securities Corp.
BNP Paribas Securities Corp./Fixed
Income
BNPB
PARI
BNPX
0049∆
2154
0049
5551
0049∆
0049∆
2154∆
PARI
0100∆
0443∆
0309∆
0161∆
0141∆
5320
0235∆
0161∆
0750∆
4868
5123
0235∆
0771
5538
0443∆
0443∆
CNS
CNS
BNPC
BPBI
BNPS
NYFX
BKMM
BOLL
BOSE
BOSC
5813
BlackRock Investments, LLC/Bond
Allocation Target Shares
BlackRock Investments, LLC/ICS
Blackwall Capital Markets, Inc.
Blair (William) & Company, LLC
Blair (William) & Company, LLC
Blaylock Robert Van, LLC
Bley Investments Group, Inc.
0352†
0226†
CNS
CNS
0443†
0443†
CNS
CNS
0279†
0158†
CNS
CNS
2344
6001
6713
CNS
TFT
TFT
2154
0049
CNS
CNS
0630
CNS
0443†
CNS
0309†
0161†
0141†
CNS
CNS
CNS
0235†
0161†
0750†
CNS
CNS
CNS
5493
0100∆
BNY Convergex Execution
Solutions, LLC
BNY Mellon Capital Markets LLC
Bodell Overcash Anderson & Co.
Boe Securities Inc.
Boenning & Scattergood, Inc.
BofA Distributors, Inc.
Bolton Securities Corporation
BOM Capital
Bond One, LLC
CNS
2697
0992
5152
5043●
0352∆
NYFT
BlackRock Investments,
LLC/BlackRock Liquidity Funds
0443†
0443†
0158∆
0512∆
0824∆
0045
BKCM
BNY Convergex Execution
Solutions, LLC
BRVL
BLAY
0443∆
0695∆
3604
2787
0443∆
4982
0750†
0158∆
0501∆
0161∆
5866
BlackRock Investments,
LLC/BlackRock Global Funds
CNS
CNS
NTBF
NBSL
3405
0750∆
0352∆
BNP Paribas Securities Corp./Lion
Global Investors
BNP Paribas, New York Branch
BNY Capital Markets Inc.
4722
5882
0235†
0771
BBAY
BCSB
ITFS
BTNY
WBCO
BLVS
BBBI
TUNA
FIRE
RBMU
BMAS
BMSS
BMAK
BMOC
GKST
GKST
HRST
0873∆
0750∆
7001
0651∆
BNP Paribas Securities
Corp./Henderson Horizon Funds
BlackRock Institutional Trust
Company, N.A.
BlackRock Investments, LLC
BCMI
WBLR
BBOX
BKKY
BOOK
IOIX
BPCO
BLTN
BCBM
BDON
6
Alphabetical Reference
April 2013
BondDesk Trading LLC
Bonddesk Trading, LLC
Bonds.com, Inc
Bonwick Capital Partners, LLC
BOSC, Inc.
BOSC, Inc.
Boston Merchant Financial
Services, Inc.
Botzum (C.A.) & Company
Boursa Investments
Boursa Investments
Bozarth, Newton & Murphy
Securities, Inc.
BPU Investment Management Inc.
Bradesco Securities, Inc.
Branch Banking and Trust
Company
Branch Banking and Trust
Company/Crump Life Insurance
Services
Brandis Tallman LLC
Brasil Plural Securities LLC
Braver Stern
Braver Stern Securities Corp.
Braymen, Lambert and Noel
Securities, Ltd.
Bread & Butter Fund, Inc.
Brean Murray, Carret & Co., LLC
Brecek & Young
Breen Capital, LLC
Brent (H.D.) & Company, Inc.
Briggs-Ficks Securities, LLC
Brighton Securities Corp.
Brill Securities, Inc.
Brinker Capital Securities Corp.
Brinson Patrick Securities
Corporation
Brittingham, Inc.
Broad Street Securities
Broadband Capital Management,
LLC
Brockhouse & Cooper, Inc.
Broker Dealer Financial Services
Corp.
Broker Dealer Financial Services
Corp.
Brookline Group, LLC
Brookshire Securities Corporation
Brookshire Securities Corporation
Brookview Capital LLC
Brown & Brown Securities, Inc.
Brown Advisory Securities, LLC
Brown Associates, Inc.
Brown Brothers Harriman & Co.
Brown Brothers Harriman & Co.
Brown Brothers Harriman &
Co./BBH Collective Investment
Series Trust
Brown Brothers Harriman and
Company/ETF
Brown, Lisle/Cummings, Inc.
BDDK
BDTR
BNDS
WICK
BOKF
BOKI
0309∆
0443∆
BMFS
BOTZ
BRSA
BOIN
0052∆
0103∆
0873∆
BNMI
BZPI
BRSE
0443∆
0226∆
0226†
0226†
0443†
0309†
6757
0443†
CNS
CNS
CNS
CNS
TFT
CNS
0279†
0052†
0103†
CNS
CNS
CNS
0226†
0443†
0226†
CNS
CNS
CNS
5385
3376
NBST
BRPR
BRST
BRAV
BLNS
CRRT
BYAI
BMUR
BRNT
BFSL
BGHT
BRIL
BRNK
CNS
0443†
CNS
0309†
CNS
0443†
0226†
0388†
0235†
0235†
0141†
0352†
0226†
CNS
CNS
CNS
CNS
CNS
CNS
CNS
CNS
0226†
0352†
CNS
CNS
0226†
CNS
0352∆
0309∆
5358
0158∆
0235∆
0235∆
0352∆
BRIN
BRIT
BDST
0158∆
BAND
BROC
0226∆
0443∆
BKFC
BRKL
BSCT
BSCO
BKVW
BRBR
BSEC
BWNA
BBHC
0103†
0443∆
5985
0103∆
0052∆
0750∆
0279∆
0235∆
0010
5930
0141†
CNS
0103†
0052†
0750†
0443†
0279†
0141†
0235†
0010
CNS
CNS
CNS
CNS
CNS
CNS
CNS
CNS
5135
0109
BRLI
0226†
CNS
Brownstone Investment Group
Brownstone Investment Group, LLC
Brownstone Investment Group, LLC
BTG Capital Corp
BTIG, LLC
BTIG, LLC
BTIG, LLC
BTIG, LLC
Buckingham Research Group
Incorporated (The)
Buckman, Buckman & Reid, Inc.
Buckman, Buckman & Reid, Inc.
Buell Securities Corp.
Bulltick Securities, Inc.
Bulltick, LLC
Burke & Quick Partners LLC
Burke, Lawton, Brewer & Burke,
LLC
Burnham Securities Inc.
Burnham Securities Inc.
Burrill LLC
Butler Larsen Pierce & Company,
Inc.
Buttonwood Partners, Inc.
C.I.G. Corp.
C.M. Life Insurance Company
C.O.R.E Marketing Inc
Cabot Lodge Securities LLC
Cabrera Capital Markets, Inc.
Cabrera Capital Markets, Inc.
Cadaret, Grant & Co. Inc.
Cadaret, Grant & Co. Inc./Cadaret
Grant Agency Inc.
Cadaret, Grant & Co., Inc.
Cadwyn Point Partners LLC
Cain Brothers & Company, LLC
Calamos Financial Services LLC
BIGG
BIGZ
BIGP
PACT
BTIX
BTIS
BAYT
BTIG
0501∆
0443∆
0443∆
0443∆
0352∆
0443∆
0501∆
0501∆
BUCK
BBRF
BKRT
BUEL
BLTS
BLTK
BAQP
0226∆
0158∆
0235∆
0443∆
0443∆
0443∆
0443∆
0443†
CNS
0352†
CNS
0226†
0158†
0235†
0443†
0443†
CNS
CNS
CNS
CNS
CNS
0443†
CNS
0141†
0352†
CNS
CNS
0103†
CNS
0279†
0226†
CNS
CNS
0443†
0161†
0443†
CNS
CNS
CNS
0443†
CNS
0443†
CNS
0279∆
5013
0103∆
2687
0750∆
0309∆
0279∆
5543
0052∆
0279†
CNS
0309†
0279†
CNS
CNS
0052†
CNS
CIRI
0443∆
3613
1796
0443†
CNS
CCAI
CICF
ADAM
CANA
CSTI
5046∆
5046●
0352∆
0443∆
0352∆
0352†
CNS
0352†
CNS
BURK
BRNM
BURR
BLPC
BPWP
6479
4547
6006
CLSS
CABA
CABR
CGAT
CADP
CBCI
0161∆
0443∆
0241
3309
0443∆
0100∆
5835
Calamos Financial Services
LLC/Calamos Global Fund PLC
Caldwell International Securities
Corporation
Caldwell Securities Ltd./CDS
Caldwell Securities, Incorporated
Caldwell Trust Company
Cales Investments, Inc.
Callaway Financial Services, Inc.
Calton & Associates, Inc.
Calvert Investment Distributors, Inc.
Cambria Capital, LLC
Cambridge Investment Research,
Inc.
CAMCO Investors Trust
Campbell & Company, Inc.
Canaccord Capital
Corporation/CDS
Canaccord Genuity Corp.CDS
Canaccord Genuity Inc.
Canaccord Genuity Inc.
Canaccord Genuity Securities LLC
0352∆
5583
0103∆
6621
CISC
CALD
CALE
CALL
CALT
CAMC
7
Alphabetical Reference
April 2013
Canaccord Wealth Management
(USA) Inc.
Cantella & Co., Inc.
Cantella & Co., Inc.
Canterbury Consulting Incorporated
Cantone Research, Inc.
Cantor Fitzgerald & Co.
Cantor Fitzgerald & Co.
Cantor Fitzgerald & Co.
Cantor Fitzgerald & Co.
Cantor Fitzgerald & Co.
NRAM
CTLA
CTBY
CANR
CANT
CFCS
CFPT
0443∆
0443∆
0699
0226†
CNS
0226†
0141†
0696
0501†
CNS
CNS
TFT
CNS
ESPD
0696
0501∆
0197∆
0197∆
0696∆
Cantor Fitzgerald & Co. - Cantor
Clearing Services
CSPD
0197
0197
CNS
Cantor Fitzgerald & Co./Aqua
Securities, L.P.
AQUA
7310
7310
CNS
CFCO
CWEI
CAPE
CAPI
CAPF
CGSE
WALT
7311
7311
0443†
0226†
0443†
CNS
CNS
CNS
CNS
0235†
0158†
CNS
CNS
Cantor Fitzgerald & Co./Debt
Capital Markets
Cantor, Weiss & Friedner, Inc.
Cape Securities Inc.
Capital Analysts Inc.
Capital Financial Services, Inc.
Capital Group Securities (The)
Capital Growth Resources, Inc.
Capital Guardian Trust Company
Capital Guardian Trust
Company/Capital International
Funds
Capital Guardian Trust
Company/CGPCS
Capital Guardian Trust
Company/US Bank
Capital Guardian, LLC
Capital Institutional Services, Inc.
Capital Institutional Services, Inc.
Capital Integration Systems LLC
Capital Integration Systems LLC
Capital Integration Systems LLC
Capital Integration Systems LLC
Capital Investment Brokerage Inc.
Capital Investment Group, Inc.
Capital Investment Group, Inc.
Capital Investment Group, Inc.
Capital Investment Services, Inc.
Capital Management Securities, Inc.
Capital One Investment Services
LLC
Capital One Investment Services
LLC/Chevy Chase Securities, Inc.
Capital One Southcoast, Inc.
Capital Path Securities, LLC
Capital Path Securties
Capital Portfolio Management Inc.
Capital Securities Investment
Corporation
Capital Securities of America, Inc.
Capital Select Investment
Capital Synergy Partners
Capitalquest Securities, Inc.
Capitol Securities Management, Inc.
Capitol Securities Management, Inc.
0443∆
0235∆
0235∆
0158∆
4873
5107
5389
CGDN
CIST
CAPB
CAPG
CISE
CMSI
7077
0443∆
0161∆
0475
1836
1837
1844
3470
0750∆
0750∆
0545
5664
0443∆
0279∆
0161†
0750†
0750†
CNS
CNS
CNS
0431
SOCO
PATH
CAPT
CPMI
CSIC
CPAM
CSIN
CSPI
CQSI
CSMI
CSCV
0290
0443∆
0052∆
0352∆
0235∆
0235∆
0443∆
0702∆
0443†
0052†
0512†
0352†
CNS
CNS
CNS
CNS
0226†
0141†
0235†
0235†
0443†
0443†
0702†
CNS
CNS
CNS
CNS
CNS
CNS
CNS
CAPMARUSA, LLC
CapNet Securities Corporation
Caprock Securities, Inc.
Capstone Asset Planning
Co./Capstone Church Bond Fund
Capstone Financial Services, Inc.
Capstone Investments
Capstone Investments
Cardinal Bank
Cardinal Investments Inc.
Carey, Thomas, Hoover & Breault,
Inc.
Carillon Investments, Inc.
Caris & Company, Inc.
Carl P. Sherr and Co., LLC
Carlin Equities LLC
Carnes Capital Corp.
Carolina Capital Markets, Inc.
Carolinas Investment Consulting,
LLC
Carter Validus Mission Critical
REIT, Inc.
Carter, Terry & Company, Inc.
Carty & Company, Inc.
Cary Street Partners LLC
Cascade Investment Group, Inc.
Casey Professional Services, LLC
Casimir Capital, L.P.
Casimir Capital, L.P.
Cass (Quincy) Associates Inc.
CastleOak Securities, L.P
Castlewood Securities LLC
Cathay Securities, Inc.
CBG Financial Group, Inc.
CBIZ Financial Solutions, Inc.
CBIZ Financial Solutions, Inc.
CCM Securities, LLC
CCM Securities, LLC
CCO Investment Services Corp
CD Funding Securities, LLC
CDS Clearing and Depository
Services Inc.
Celadon Financial Group LLC
Celadon Financial Group LLC
Celadon Financial Group, LLC
Centaurus Financial Inc.
Centennial Securities Company,
LLC
CenterState Bank of Florida, N.A.
Central Securities, LLC
Central States Capital Markets, LLC
Central Trust Bank
Central Trust Bank
Centurion Life Insurance Company
Ceros Financial Services, Inc.
Ceros Financial Services, Inc.
Ceros Financial Services, Inc.
Cert Direct Securities Inc.
CertusSecurities, Inc.
MITC
CLSI
CPST
CPSE
CRDL
HOOV
CLLN
CRIS
SHRR
CLYN
CCCO
CARC
6007
0279∆
0279∆
0279†
0279†
CNS
CNS
5838
5801
0103∆
0873∆
5996
0235∆
0235†
CNS
0226†
0226†
0443†
0443†
0443†
CNS
CNS
CNS
CNS
CNS
0702†
CNS
0141†
CNS
0235†
0443†
0141†
0235†
CNS
CNS
CNS
CNS
0226†
CNS
0226†
0197†
0352†
CNS
CNS
CNS
0750†
0226†
CNS
CNS
0161†
CNS
0443†
CNS
0141†
6770
0750†
0443†
0279†
CNS
TFT
CNS
CNS
CNS
0226†
CNS
0750†
0226†
CNS
CNS
0352∆
0702∆
CICL
CATE
CART
CARY
BJRC
CPSI
CSMR
CASI
QCAS
COAK
RFLL
CATH
CBFG
BGSG
TURN
TRNP
CDFS
CLDN
CFGN
SPLN
CNFI
CTNL
CSFL
CENT
CSCM
CTBK
CERS
CFSI
CDSO
CRTS
1785
0235∆
0235∆
0501∆
0158∆
0197∆
0352∆
0158∆
0750∆
0226∆
0682
0161∆
0551∆
6313
0052∆
5099
0551∆
0824∆
0443∆
0750∆
2880
6005
0226∆
5331
0158∆
0750∆
0226∆
8
Alphabetical Reference
April 2013
CF Global Trading, LLC
CF Global Trading, LLC
CFD Investments
CFT Securities LLC
CG Compass (USA) LLC
Chapdelaine Corporate Securities
Chapin, Davis
Chardan Capital Markets LLC
CFGT
CFGO
CFDI
QBSI
CGCO
CHPY
CHDA
AABA
Charles Schwab & Co. Inc./ Charles
Schwab Bank
Charles Schwab & Co. Inc./MF
Clearing Services
Charles Schwab & Co., Inc.
Charles Schwab & Co., Inc.
Charles Schwab & Co., Inc./Schwab
Global Investing Account
Charles Schwab Bank
Charles Vista, LLC
Charleston Capital Corporation
Charter One Securities Inc.
Charter Pacific Securities, LLC
Chase Investment Services Corp.
Chatsworth Securities LLC
Chauner Securities, Inc.
Cheevers & Company Inc
Chela Technology Partners, LLC
Chelsea Financial Services
Chevy Chase Trust Company
Chicago Analytic Trading Company,
LLC
Chicago Board of Options
Exchange/Bear Stearns
Chicago Board Options Exchange,
Inc.
Chickasaw Securities, LLC
Chilian Partners L.P.
Choice Trade
Choicetrade
Chopper Securities LLC
Churchill Capital USA, Inc.
Churchill Financial LLC
CIBC World Markets Corp.
CIBC World Markets Corp.
CIBC World Markets, Inc.
CICC US Securities, Inc.
CIG Securities
CIM SECURITIES, LLC
Citadel Securities LLC
Citadel Securities LLC
Citadel Securities LLC
Citadel Securities LLC
Citadel Securities LLC
Citadel Securities LLC
Citadel Securities LLC
Citadel Securities LLC
Citadel Securities LLC
Citadel Securities LLC
Citadel Securities LLC
Citadel Securities LLC
0161∆
0235∆
0352∆
0352∆
0158∆
0161†
0161†
0235†
0352†
CNS
CNS
CNS
CNS
0141†
CNS
0164
CNS
0158∆
2993
CHAS
CSGI
7471
0164
5489
7587
5655
0052∆
0052†
0309†
CNS
CNS
CPSL
CISI
CHTS
CHNR
CHBC
CAMM
CFIN
7237
0750∆
0352∆
0279∆
0235∆
0161∆
0352∆
0309∆
4708
0750†
0352†
0279†
0235†
0161†
0352†
0309†
CNS
CNS
CNS
CNS
CNS
CNS
CNS
CATC
0017∆
0443†
CNS
CBOH
0352∆
CHCK
CHIL
CTRD
LETS
CHPR
CHLC
CHCH
CWMK
CWMC
WGIF
CICC
CIGC
CIMS
CDRG
PRDG
CDEL
APOG
CATS
CCMX
CEDL
CEMM
CTDL
ICRD
IELP
CDGO
0739
0352∆
0352∆
0595∆
0158∆
0695∆
0443∆
0352∆
0438
0438∆
5030●
0443∆
0052∆
0279∆
0395
0395∆
0161∆
0395∆
0395∆
0395∆
0395∆
0395∆
0395∆
0395∆
0395∆
0551∆
CVTA
CLAY
0352†
0352†
0595†
0158†
0352†
0438
CNS
CNS
CNS
CNS
CNS
CNS
0052†
CNS
0395
0395†
CNS
CNS
Citation Financial Group, L.P.
Citibank, N.A.
Citic Securities International USA,
LLC
Citicorp Financial Services
Corporation
Citigroup Global Markets Inc.
Citigroup Global Markets Inc.
Citigroup Global Markets Inc.
Citigroup Global Markets Inc.
Citigroup Global Markets Inc.
Citigroup Global Markets Inc.
Citigroup Global Markets
Inc./Correspondent Clearing
Citigroup Global Markets
Inc./Salomon Brothers
Citigroup Private Bank & Trust
Citizens Investment Services Corp.
City National Bank
City National Bank, Beverly Hills,
California
City National Securities Inc.
City Securities Corporation
CJS Securities, Inc.
Clancy Financial Services, Inc
Clarity Fund, Inc.
Clark Dodge & Co., Inc.
Clarke Lanzen Skalla Investment
Firm, LLC
Clarkson Capital Markets
Clayton, Lowell & Conger Inc.
Clearing Services of America
Clearview Trading Advisors Inc.
Cleary Gull Inc.
CLSA Americas, LLC
CM Securities, Inc.
CMFG Life Insurance Company
CITA
0443∆
0908
CSIU
0501∆
CFSC
SBSH
CCAT
CGQT
CXCX
GATE
CGWM
0418∆
0418
0418∆
0418∆
0418∆
0418∆
0443∆
CGMI
0505
SALB
CNS
0418
CNS
0274
CNS
0226†
CNS
0226†
0226†
0141†
CNS
CNS
CNS
0284†
CNS
0235†
CNS
0100†
0052†
0443†
TFT
CNS
CNS
0235†
CNS
0158†
CNS
0727†
6707
CNS
TFT
0141†
0443†
CNS
CNS
0595†
CNS
0141†
CNS
2032
CISV
2392
CBEV
CNSI
CITY
CJSC
CLAN
CLRK
CLKS
CLCI
CSOA
CLVU
TGUL
CLSA
CMSE
CMFG Life Insurance
Company/Insurance Services
CMFG Life Insurance
Company/MEMBERS Life
Insurance Company
CMG Institutional Trading, LLC
CNBS, LLC
CNL Capital Markets Corp.
CNL Capital Markets Corp.
CNL Capital Markets Corp.
CNL Capital Markets Corp.
CNL Capital Markets Corp.
CNL Capital Markets Corp.
CNL Capital Markets Corp.
Coastal Equities, Inc.
Coastal Securities L.P.
Cobalt Capital, Inc.
Cobra Trading, Inc.
Cobra Trading, Inc.
Coburn & Meredith, Inc.
Cohen & Steers Securities LLC
0443†
0443∆
0284∆
5386
0235∆
3913
0100∆
0052∆
0501∆
0235∆
0651∆
0158∆
4734
3399
7072
CMGS
CNBS
3599
3656
3657
3658
3659
3661
3662
COAS
COST
CBRV
CBRA
COBR
1753
0595∆
0103∆
5780
9
Alphabetical Reference
April 2013
Cohen & Steers Securities,
LLC/Cohen & Steers SICAV Funds
Cohen Bros. & Company
Cohen Bros. & Company
Coker & Palmer
Coker & Palmer
Coldwater Securities Incorporated
Cole Capital Corporation
Collins & Co.
Collins Capital Advisors, LLC
Collins Stewart, Inc.
Colonial Securities Inc.
Colorado Financial Service
Corporation
COHN
CDOI
COKE
CPPM
CLDS
COLL
CCAL
STEW
COLS
0352∆
3403
0235∆
0750∆
0352∆
0158∆
COFS
0309∆
Columbia Management Investment
Distributors, Inc.
Columbia Management Investment
Distributors, Inc./Future Scholar
Columbia Management Investment
Distributors, Inc./Trust Collective
Funds
Comerica Bank
Comerica Bank
Comerica Securities
Commerce Bank
Commerce Bank Investment
Services, Inc.
Commerce Brokerage Services
Commerce Square Trading, LLC
Commerce Street Capital, LLC
Commerz Markets LLC
CommerzeBank Capital Corp.
Commonwealth Annuity and Life
Insurance Company
Commonwealth Equity Services,
L.L.P.
Commonwealth Financial Network
Commonwealth Funding, Inc.
Commonwealth Securities and
Investments, Inc.
Community Bank, N.A.
Compass Bank
Compass Bank/Asset Management
Group
Compass Brokerage, Inc.
Compass Brokerage, Inc.
Compass Point Research &
Trading, LLC
Computershare Securities Corp.
Concept Capital Markets, LLC
Concept Capital Markets, LLC
Concept Capital Markets, LLC
Concise Capital Management LP
Concorde Funds, Inc.
Concorde Investment Services, LLC
Concorde Investment Services, LLC
Condera Securities LLC
Conestoga Funds
Conifer Securities, LLC
Conners & Co., Inc.
3600
0235∆
0727∆
0352∆
0235†
0727†
0352†
0443†
CNS
CNS
CNS
CNS
0235†
CNS
0352†
0158†
CNS
CNS
0309†
CNS
5501
5601
CMCA
CICI
CMCE
TSRV
CSCL
DRKW
CCMC
4843
2108
5878
0443∆
2170
0226∆
0161∆
0158∆
0126
0443†
CNS
0443†
0226†
CNS
CNS
0158†
CNS
0443†
CNS
4521
CMMW
WACX
0177
0226∆
0750∆
CSII
0226†
CNS
0443†
CNS
5960
CBSS
2483
TFT
2484
0443†
CBIN
CNS
7227
CMPT
CSCB
ATPA
CCCM
CCMB
CNCD
RDST
CNFR
CONR
0443∆
0161∆
0352∆
0443∆
1882
5669
0235∆
3773
0352∆
4917
0443∆
0235∆
0161†
0161†
0352†
0235†
CNS
CNS
CNS
CNS
0352†
CNS
0443†
CNS
Conservative Financial Services,
Inc.
Consolidated Capital Management,
Inc.
Consolidated Financial Investments,
Inc.
Constellation Wealth Advisors LLC
Consultiva Securities, Inc.
Continental Investors Services, Inc.
Continuity Partners Group, LLC
ConvergEx Execution Solutions
LLC
ConvergEx Prime Services LLC
ConvergEx Prime Services LLC
Cooper (C.K.) & Company, Inc.
Cooper Malone McClain Inc.
Coordinated Capital Securities, Inc.
COR Clearing LLC
COR Clearing LLC
Corby Capital Markets, Inc.
Corinthian Partners, LLC
Cormark Securities Inc./Valeurs
Moilieres Cormark Inc.
Corporate Investments Group Inc.
Cortland Fund Services LLC
Cortland Fund Services LLC
Cosse International Securities Inc.
Coughlin & Co., Inc.
Country Capital Inc.
Country Club Bank, Kansas City
Country Trust Bank
Country Trust Bank
Courage Capital Management, LLC
Cova Capital Partners LLC
Cowen & Company, LLC
Cowen & Company, LLC
Cowen and Company, LLC
Cowen and Company, LLC
Cowen and Company, LLC
Cowen Capital LLC
Coyle Securities LLC
CP Capital Securities
CPS Insurance Services
Craig Scott Capital, LLC
Craig-Hallum Capital Group, LLC
Credential Securities Inc./CDS
Credicorp Securities, Inc.
Credit Agricole Cheuvreux North
America, Inc.
Credit Agricole Securities (USA)
Inc.
Credit Suisse Private Advisors
Credit Suisse Securities (USA) LLC
Credit Suisse Securities (USA) LLC
Credit Suisse Securities (USA) LLC
Credit Suisse Securities (USA) LLC
Credit Suisse Securities (USA) LLC
Credit Suisse Securities (USA)
LLC/Luxembourg Funds
Creditex Securities Corporation
CONF
0235∆
0235†
CNS
CONC
0727∆
0727†
CNS
CFII
CWAA
CONS
CONT
CPGL
0352∆
0352†
0443†
0141†
0279†
0226†
CNS
CNS
CNS
CNS
CNS
ECUT
CXPS
NOPO
CKCC
CMMC
COOR
LGNT
CORR
CRBY
CRTH
0100
0017∆
0352∆
0052∆
0100
TFT
0052†
0279†
0141†
0052
0052†
0226†
0443†
CNS
CNS
CNS
CNS
CNS
CNS
CNS
0158†
CNS
8153
0103†
0235†
6744
CNS
CNS
CNS
TFT
0235†
0226†
0226†
0161†
CNS
CNS
CNS
CNS
0235†
0226†
CNS
CNS
0161†
CNS
0443†
CNS
0651
0226†
0355
0443†
CNS
CNS
CNS
CNS
CINV
COSE
CGLN
CMGT
CCBI
CPLC
COWN
COWP
COWX
COWR
COWL
ATMC
COYL
CPCG
CSCP
CHLM
0052
0052∆
0443∆
5055
0158∆
1863
1866
8153
0235∆
2561
5185
1886
0235∆
0226∆
0226∆
0161∆
0443∆
0551∆
0161∆
0235∆
6911
0052∆
0161∆
5083
CRED
CRAG
0651∆
LYON
CSPA
FBCO
FBPC
0651
AESW
AESX
0355
0443∆
5735
0103∆
0355∆
CTSC
4994
0443∆
0443†
CNS
10
Alphabetical Reference
April 2013
Crescent Securities Group, Inc.
Crescent Securities Group, Inc.
Cressman Esser Securities, Inc.
Crews & Associates, Inc.
CRI Securities Inc.
Croft Funds Corporation
Cronin & Co., Inc.
Cross Point Capital LLC
Crowell, Weedon & Co.
Crown Capital Securities, L.P.
CRT Capital Group LLC
CRT Capital Group, LLC
Crystal Capital Partners, LLC
CU Investment Solutions, Inc.
Cue Financial Group, Inc.
Cummins Financial Corporation
CUNA Brokerage Services
Curian Clearing, LLC
Curran Advisory Services, LLC
Curren & Company
Curtiswood Capital, LLC
CUSO Financial Services, L.P.
CUSO Financial Services, L.P.
Cutter & Company Brokerage, Inc.
Cutter & Company, Inc.
Cuttone & Co., Inc.
CV Brokerage Inc.
D.J. St Germain Co., Inc.
Daily Access Corporation
Dain Correspondent Services
Daiwa Capital Markets America Inc.
Daiwa Securities Trust Company
Dakota Securities International, Inc.
Dale K. Ehrhart, Inc.
Darbie (J.H.) & Co., Inc.
Dardis (Jack) & Associates
Dart Executions, LLC
Dart Executions, LLC
Dart Executions, LLC
Dart Executions, LLC
Dart Executions, LLC
Dart Executions, LLC
Dart Executions, LLC
Darwood Associates, Inc.
Daugherty Cole, Inc.
Davenport & Company LLC
David Harris & Co., Inc.
Davidson (D.A.) & Co. Inc.
Davis Distributors, LLC
Davis Distributors, LLC/Clipper
Fund
Davis Distributors, LLC/Davis Fund
Sicav
Davis Distributors, LLC/Selected
Davis Securities LLC
Davlin Philanthropic Funds
Dawson James Securities, Inc.
Dawson James Securities, Inc.
DBTC Americas-Private Bank
CAGI
CSNT
CESI
CREW
CRII
0279∆
0309∆
0235∆
0279†
0309†
0235†
5158
0443†
CNS
CNS
CNS
CNS
CNS
0443†
0443†
0574
0443†
0387
0443†
CNS
CNS
CNS
CNS
CNS
CNS
6640
CRON
CRPT
CWCO
CCSS
CRTG
CRTC
UCCM
CUEF
JDCO
CURN
CLLC
CURR
CTWD
CUSO
CUTT
CUTW
CUPS
CVBR
DJST
DCSD
DAWA
DAKO
DKEI
JDRB
JDAA
DCVL
DETF
DART
DEGS
DRTG
DRTR
DCHF
DARA
DAGH
DAVA
DHCO
DADA
0574
0443∆
3473
0279∆
0235∆
0239
0300
0352∆
0052∆
0329
0141∆
0702∆
0443∆
0158∆
0443∆
7100
0235∆
0647
0667
0052∆
0158∆
0501∆
0501∆
0501∆
0501∆
0501∆
0501∆
0695∆
0235∆
0715
0235∆
0361
5563
0443†
0235†
CNS
CNS
0226†
0352†
0052†
0443†
CNS
CNS
CNS
CNS
0141†
CNS
0443†
CNS
0235†
0647
CNS
CNS
0052†
0141†
0158†
0443†
0501†
0501†
CNS
CNS
CNS
CNS
CNS
CNS
0235†
0443†
0715
0235†
0361
CNS
CNS
CNS
CNS
CNS
5965
DAVS
DJSI
DJSA
4890
5850
0226∆
3612
0158∆
0750∆
2177
0226†
0158†
CNS
CNS
De La Rosa (E.J.) & Co., Inc.
Dealerweb Inc.
Dealerweb Inc.
Dealerweb Inc.
Dealerweb Inc.
Dealerweb Inc.
Deep ATS, LLC
Delafield & Hambrecht, Inc.
Delaney Equity Group LLC
Delaware Distributors L.P.
Delaware Distributors,
L.P./Delaware Investments Global
Funds, PLC
Delaware Distributors,
L.P./Optimum Funds
Delta Equity Services Corp.
Delta Trust Investments, Inc.
DeMatteo Moness, LLC
Dempsey Financial Network
Dempsey Lord Smith, LLC
Depfa First Albany Securities, LLC
Descap Securities, Inc.
Desjardins Securities Inc./CDS
Desjardins Securities International,
Inc.
Destra Capital Investments LLC
Destra Capital Investments LLC
Detwiler Fenton Wealth
Management Inc
Detwiler, Mitchell, Fenton & Graves,
Inc.
Deutsche Bank National Trust
Company
Deutsche Bank Securities Inc.
Deutsche Bank Securities Inc.
Deutsche Bank Securities Inc.
Deutsche Bank Securities Inc.
Deutsche Bank Securities Inc.
Deutsche Bank Securities Inc.
Deutsche Bank Securities Inc.
Deutsche Bank Securities Inc.
Deutsche Bank Securities Inc.
Deutsche Bank Securities Inc.
Deutsche Bank Securities Inc.
Deutsche Bank Securities Inc.
Deutsche Bank Securities Inc.
Deutsche Bank Securities Inc.
Deutsche Bank Securities Inc.
Deutsche Bank Securities Inc.
DeWaay Financial Network, LLC
DFA Securities LLC
DFA Securities LLC/Dimensional
Funds PLC and Dimensional Funds
II PLC
Diamant Investment Corp.
Diamond Hill Securities, Inc.
Dillon Gage Securities Inc.
Dinosaur Securities, L.L.C.
Dinosaur Securities, L.L.C.
Dinosaur Securities, L.L.C.
EDLR
JJKE
RCML
DLWB
RCMI
DLTA
HUGE
DELA
DLNY
0161∆
0161∆
0161∆
0608∆
0161∆
0103∆
0052∆
5510
0103†
0161†
0161†
CNS
CNS
CNS
0161†
CNS
0443†
0052†
CNS
CNS
0443†
0141†
CNS
CNS
0443†
0226†
0443†
CNS
CNS
CNS
0443†
CNS
0226†
CNS
0226†
CNS
0573
0443†
0573†
0573†
CNS
CNS
CNS
CNS
0443†
CNS
0344
CNS
0279†
0103†
0158†
0226†
CNS
CNS
CNS
CNS
6572
RAYG
DTII
DEMA
DEMF
DLSI
DEFA
DESS
DESJ
VMDI
DSTR
6672
0443∆
0501∆
0443∆
0158∆
5028●
0443∆
3739
DFWM
FEDE
DBAB
DBPC
DBIB
DBKS
DBAE
DBAT
DBAX
DBLV
DBMS
DBPR
DBPT
DBQT
DBRC
DBRT
DBST
DBUL
DWFN
0226∆
3649
0573
0443∆
0573∆
0573∆
0573∆
0573∆
0573∆
0573∆
0573∆
0573∆
0573∆
0573∆
0573∆
0573∆
0573∆
6684
DAVE
BSFS
DILG
ROAR
DINO
TREX
3746
0344
0727∆
0103∆
0158∆
0226∆
11
Alphabetical Reference
April 2013
Direct Access Brokerage Services,
Inc.
Direct Access Partners LLC
Direct Access Partners LLC
Direct Access Partners LLC
Direct Edge ECN LLC
Direct Edge ECN LLC
Direct Trading Institutional LP
Discern Securities, Inc.
Ditto Trade, Inc.
Divine Capital Markets, LLC
DLS Capital Partners, Inc.
DME Securities, LLC
DMG Securities, Inc.
DNB Nor Markets, Inc.
Dodge & Cox Funds
DIRW
DAPJ
DAPL
DAPG
EDGA
EDGX
DTAP
DCRN
DITO
DIVA
DLSC
DMES
DSGG
DNOR
Dodge & Cox Worldwide
Investments Ltd.
Doft & Co., Inc.
Doley Securities LLC
Doley Securities, LLC
Domestic Financial Service, Inc.
Dominick & Dominick, Inc./CDS
Dominion Investor Services Inc.
Donnelly Penman & Partners Inc.
Dorn & Co., Inc.
Dorsey & Co. Inc.
Dougherty & Company LLC
Douglas & Co. Municipals
Dowling & Partners Securities LLC
Downstate Securities Group, Inc.
DPEC Capital, Inc.
Dratel Group, Inc. (The)
Drexel Hamilton, LLC
Dreyfus Service Organization, Inc.
Driehaus Securities LLC
DOFT
DOLY
DOLE
DFIC
DOMK
DOMI
DPFH
DORN
DORS
DOTC
DGLS
DOWL
DDBI
IPRV
DRAT
DREX
Driehaus Securities LLC / Driehaus
Active Income Fund
DSIL Investment Services, LLC
DST Market Services, LLC
Du Pasquier & Co., Inc.
Dubeau Capital USA, Inc.
Duncan & Williams, Inc.
Duncan (R.M.) Securities Inc.
Dundee Securities Corporation
Dunham & Associates Investment
Counsel, Inc.
Duniya Trading, Inc.
Dupree & Company, Inc.
DWM Securities Inc./CDS
DWS Investments Distributors, Inc.
PASQ
DCUS
DNWL
DCAN
DSCS
DNYA
DCAF
0103∆
0161∆
0443∆
0501∆
0161∆
0161∆
0100∆
0158∆
0158∆
0309∆
0158∆
CNS
0161†
CNS
0158†
0309†
CNS
CNS
0226†
CNS
0443†
0279†
CNS
CNS
0279†
0443†
0309†
CNS
CNS
CNS
0501∆
5483
3684
0443∆
0158∆
0279∆
0443∆
0309∆
0750∆
0235∆
0141∆
0352∆
0443∆
0235∆
0750∆
0571∆
0501∆
6322
6642
5923
6631
0626
0443∆
0158∆
0443∆
0141†
0352†
0443†
CNS
CNS
CNS
Eaton Vance Distributors,
Inc./Eaton Vance International
(Caymen Islands) Funds LTD.
Eaton Vance Distributors,
Inc./Eaton Vance International
(Ireland) PLC
0235†
0750†
0571†
0443†
CNS
CNS
CNS
CNS
Eaton Vance Distributors,
Inc./Eaton Vance Trust Company
Eaton Vance Distributors,
Inc./Eaton Vance Variable Trust
Funds
0443†
CNS
0443†
0279†
CNS
CNS
5039∆
5675
0158∆
6618
5039●
5503
DWS Investments Distributors,
Inc./DWS Invest SICAV
5863
DWS Investments Distributors,
Inc./DWS Investments SA
4974
DWS Investments Distributors,
Inc./Most 529
DXS Investment Distributors, Inc.
0161†
3721
DIDI
Dynamex Trading, LLC
Dynasty Capital Partners, Inc
E*Trade Cap MKTS/CHXL Trading
E*Trade Cap Mkts/Special Account
E*Trade Capital Markets, LLC
E*Trade Capital Markets, LLC
E*Trade Capital Markets, LLC
E*Trade Capital Markets, LLC
E*Trade Capital Markets, LLC
E*Trade Capital Markets/DEMP
E*Trade Clearing, LLC
E*Trade Securities, LLC
E.S. Financial Services, Inc.
E1 Asset Management, Inc.
e3m Investments, Inc./CDS
Eagle Fund Distributors, Inc.
Eagle Life Insurance Company
Eagle One Investments, LLC
Earlybird Capital, Inc.
East Shore Partners, Inc.
East/West Securities Corp.
East/West Securities Corp.
Eastern Bank Capital Markets
Eaton Vance Distributors, Inc.
0443†
CNS
MEXD
DCPI
ETMM
GVSA
ETRF
DNID
ETLS
ETNY
ETRD
DEMP
ETCL
ETRS
ESFS
EVRS
EOIL
EBRD
ESPN
EWSC
EWST
EAST
0551∆
0279∆
0100∆
0100∆
0161∆
0100∆
0100∆
0100∆
0100∆
0100∆
0385
0385∆
0443∆
0052∆
5066
5822
6030
0727∆
0103∆
0443∆
0158∆
0158∆
CNS
0385
0385†
0443†
0052†
CNS
CNS
CNS
CNS
0103†
CNS
0158†
CNS
6742
TFT
0161†
0388†
0235†
0309†
CNS
CNS
CNS
CNS
0352†
CNS
5509
5715
5438
5456
4938
Eaton Vance Distributors,
Inc./Exchange Funds
5110
Eaton Vance Distributors, Inc./US
Charitable
Ebix, Inc.
EBX LLC
ED& F Man Capital Markets Inc.
EDI Financial, Inc.
EDI Financial, Inc.
EBXL
EDFC
EDIR
EDIF
5760
6317
0161∆
0388∆
0235∆
0309∆
EDJC
EFGC
LSSI
EADA
BELZ
DFIN
ETCC
ETAA
ETAC
ETAD
ETAE
ETAF
3718
1871
5012●
0352∆
0750∆
0750∆
0627
0161∆
0873
0873∆
0873∆
0873∆
0873∆
0873∆
Edmond de Rothschild Asset
Management
Edward D. Jones & Co., L.P.
Edward Jones / CDS
EFG Capital International
EJ Sterling Inc.
Electronic Access Direct, Inc.
Electronic Brokerage Systems, LLC
Electronic Brokerage Systems, LLC
Electronic Transaction Clearing, Inc.
Electronic Transaction Clearing, Inc.
Electronic Transaction Clearing, Inc.
Electronic Transaction Clearing, Inc.
Electronic Transaction Clearing, Inc.
Electronic Transaction Clearing, Inc.
0161†
12
Alphabetical Reference
April 2013
Electronic Transaction Clearing, Inc.
Electronic Transaction Clearing, Inc.
Electronic Transaction Clearing, Inc.
Electronic Transaction Clearing, Inc.
Electronic Transaction Clearing, Inc.
Electronic Transaction Clearing, Inc.
Electronic Transaction Clearing, Inc.
Electronic Transaction Clearing, Inc.
Electronic Transaction Clearing, Inc.
Electronic Transaction Clearing, Inc.
Electronic Transaction Clearing, Inc.
Electronic Transaction Clearing, Inc.
Electronic Transaction Clearing, Inc.
Electronic Transaction Clearing, Inc.
Electronic Transaction Clearing, Inc.
Electronic Transaction Clearing, Inc.
Electronic Transaction Clearing, Inc.
Electronic Transaction Clearing, Inc.
Electronic Transaction Clearing, Inc.
Electronic Transaction Clearing, Inc.
Electronic Transaction Clearing, Inc.
Electronic Transaction Clearing, Inc.
Electronic Transaction Clearing, Inc.
Electronic Transaction Clearing, Inc.
Electronic Transaction Clearing, Inc.
Electronic Transaction Clearing, Inc.
Electronic Transaction Clearing, Inc.
Electronic Transaction Clearing, Inc.
Electronic Transaction Clearing, Inc.
Electronic Transaction Clearing, Inc.
Electronic Transaction Clearing, Inc.
Electronic Transaction Clearing, Inc.
Electronic Transaction Clearing, Inc.
Electronic Transaction Clearing, Inc.
Electronic Transaction Clearing, Inc.
Electronic Transaction Clearing, Inc.
Electronic Transaction Clearing, Inc.
Electronic Transaction Clearing, Inc.
Electronic Transaction Clearing, Inc.
Electronic Transaction Clearing, Inc.
Electronic Transaction Clearing, Inc.
Electronic Transaction Clearing, Inc.
Electronic Transaction Clearing, Inc.
Electronic Transaction Clearing, Inc.
Electronic Transaction Clearing, Inc.
Electronic Transaction Clearing, Inc.
Electronic Transaction Clearing, Inc.
Electronic Transaction Clearing, Inc.
Electronic Transaction Clearing, Inc.
Electronic Transaction Clearing, Inc.
Electronic Transaction Clearing, Inc.
Electronic Transaction Clearing, Inc.
Electronic Transaction Clearing, Inc.
Electronic Transaction Clearing, Inc.
Electronic Transaction Clearing, Inc.
Electronic Transaction Clearing, Inc.
Elevation LLC
Elevation, LLC
ETAG
ETAH
ETAJ
ETAK
ETAL
ETAM
ETAN
ETAO
ETAP
ETAQ
ETAR
ETAS
ETAT
ETAU
ETAV
ETAW
ETAX
ETAY
ETAZ
ETBA
ETBB
ETBC
ETBD
ETBE
ETBF
ETBG
ETBH
ETBI
ETBK
ETBL
ETBO
ETBP
ETBS
ETBW
ETCD
ETCE
ETCG
ETCH
ETCI
ETCJ
ETCK
ETCN
ETCO
ETCP
ETCQ
ETCR
ETCS
ETCT
ETCU
ETCV
ETCW
ETCX
ETCY
ETCZ
ETDA
ETNF
ELTD
ELEV
0873∆
0873∆
0873∆
0873∆
0873∆
0873∆
0873∆
0873∆
0873∆
0873∆
0873∆
0873∆
0873∆
0873∆
0873∆
0873∆
0873∆
0873∆
0873∆
0873∆
0873∆
0873∆
0873∆
0873∆
0873∆
0873∆
0873∆
0873∆
0873∆
0873∆
0873∆
0873∆
0873∆
0873∆
0873∆
0873∆
0873∆
0873∆
0873∆
0873∆
0873∆
0873∆
0873∆
0873∆
0873∆
0873∆
0873∆
0873∆
0873∆
0873∆
0873∆
0873∆
0873∆
0873∆
0873∆
0873∆
0161∆
0750∆
0161†
0750†
CNS
CNS
Elish & Elish Brokerage and
Research
Emergent Financial Group, Inc.
Emerging Growth Equities, Ltd.
Emmet & Co., Inc.
Empire Asset Management
Company
Empire Financial Group, Inc.
Empirical Research Partners LLC
Encompass Fund
English Concepts, Inc.
Equibond Inc.
Equinox Fund Management, LLC
Equinox Securities, Inc.
Equitable Advisors, Inc.
Equitas America, LLC
Equity Concepts
Equity Services, Inc.
Equity Services, Inc.
Equity Station, Inc.
Equity Station, Inc.
Eroom Securities L.L.C.
Eroom Securities LLC
Eroom Securities LLC
Eroom Securities LLC
ESN North America, Inc.
Esposito Securities, LLC
Esposito Securities, LLC
Essex National Securities, Inc.
Essex Radez LLC
Essex Securities LLC
Essex-Radez LLC
Estrada Hinojosa & Co.
ETC Brokerage Services, LLC
EULAV Securities LLC
Euro Pacific Capital, Inc.
Europa Securities, LLC
Evercore Group LLC
Evertrade Direct Brokerage, Inc.
Evolution Securities US Inc,
Evolve Securities, Inc.
E-W Investments, Inc.
EWT, LLC
Exane, Inc.
Excel Securities and Associates,
Inc.
Factfet Systems, Inc.
Falcon Research, Inc.
Falcon Research, Inc.
Falcon Square Capital, LLC
Fallen Angels Family of Funds
Family Income Planning, Inc
Family Investors Co.
Family Management Securities,
LLC
Farina & Associates, Inc.
Farina & Associates, Inc.
Farina & Associates, Inc.
Fator Securities
ELSH
VTMW
EGRO
EMET
0052∆
0235∆
0226∆
0052†
0235†
0226†
5234
CNS
CNS
CNS
TFT
EAMC
0352∆
4438
0161∆
5397
0352†
CNS
0443†
0103†
CNS
CNS
0052†
0141†
0443†
0494†
0226†
CNS
CNS
CNS
CNS
CNS
0226†
CNS
0443†
CNS
0750†
CNS
0309†
0052†
CNS
CNS
0226†
CNS
0226†
0443†
0226†
0226†
CNS
CNS
CNS
CNS
0443†
0161†
0158†
CNS
CNS
CNS
0103†
CNS
0226†
CNS
0443†
0103†
CNS
CNS
EMRP
PMAS
EQAL
EQNX
STAD
EQUA
EQCP
EQSV
ESTF
ESTA
EROM
EROP
EROS
ESLL
ESNA
ESPP
ESPO
GLPS
BJCM
ERCO
ESTR
ETCB
EURP
ERPO
EVRC
EVER
ESUS
EVOL
EWIN
EWTV
EXAN
EXCS
FAFT
FLCN
PIDG
FALC
FIPC
FAMV
FMGT
FARA
FARC
FARJ
FATO
0103∆
3865
0052∆
0494∆
0560
0226∆
0158∆
0551∆
0158∆
0501∆
0501∆
0049∆
0501∆
0254
0613∆
0750∆
0613
0309∆
0052∆
5827
0226∆
0750∆
0443∆
0749∆
0443∆
0158∆
0158∆
0103∆
6589
0750∆
0103∆
0158∆
0158∆
0049∆
13
Alphabetical Reference
April 2013
FBT Investments, Inc.
FCG Advisors LLC
FCNB Investments
Federal Life Insurance
Company(Mutual)
Federated Investors Corp.
Federated Securities
Corp./Federated International
Management Limited
Federated Securities Inc.
Feil Daily Investment Company
Feldman Securities Group, LLC
Feldman, Ingardona & Co.
Feltl and Company
Fenimore Asset Management Trust
Ferretti Group, Inc.
FFP Securities
FGC Securities, LLC
Fidelity Brokerage Services LLC
Fidelity Clearing Canada ULC
Fidelity Clearing Canada ULC/CDS
Fidelity Distributors
Corporation/Fidelity International
Limited
FBTI
FCGA
FCNB
FEDR
LGLL
FELD
FMAC
FLTL
STEP
FFPS
FGCS
FIBS
FIDT
FCCU
CNS
CNS
CNS
5759
0235∆
0141†
CNS
0226†
0226†
CNS
CNS
0727∆
0226∆
6632
0100∆
0595∆
0443†
0595†
0226†
CNS
CNS
CNS
5040●
5059●
5894
5713
4730
6908
4748
7130
6468
0987
6664
NTMG
FSTN
GRCP
OHIO
BNKS
FANC
BOYS
0937
0443∆
0158∆
0750∆
2116
0226∆
0322
0141∆
0158∆
0443†
0226†
CNS
CNS
0141†
0158†
0226†
CNS
CNS
CNS
0443†
0443†
CNS
CNS
6012
FACA
FINC
RONB
Financial Institution Marketing
Company, Inc.
0750∆
6498
FNIC
0443∆
Financial Network Investment
Corporation
Financial Northeastern Securities
Inc.
Financial Planning Consultants Inc.
Financial Research Company
Financial Sciences, Inc.
Financial Telesis Inc.
Financial West Group
Financial West Group, Inc
Financorp Group International Corp.
Fintech Securities
Fintegra, LLC
Fintegra, LLC
FinTrust Brokerage Services, LLC
1st Discount Brokerage, Inc.
1st Global Capital Corp.
1st Global Capital Corp.
1st Munich Capital, LLC
First Allied Securities
First Allied Securities Inc.
First American Capital and Trading
Corporation
First American Municipals, Inc.
First American Securities
First Analysis Securities
Corporation
First Ballantyne, LLC
First Bank Puerto Rico Securities,
Corp.
First Bermuda Securities (BVI), Ltd.
First Brokerage America, LLC
First Brokers Securities, Inc.
First Citizens Financial Plus, Inc.
First Citizens Investor Services, Inc.
First Clearing LLC
First Clearing, LLC/Wachovia
Securities
First Clearing, LLC/WFA LLC
5785
Fidelity Investments Life Insurance
Company
Financial Network Investment
Corporation
0443†
0226†
0052†
6333
5529
Fidelity Investments Institutional
Services Co., Inc.
Fidelity Investments Institutional
Services Co., Inc./Fidelity Destiny
Plans
Fidelity Investments Life Insurance
Company
Fidelity Investments Life Insurance
Company/Empire Fidelity
Investments Life
Fidelity Investments Life Insurance
Company/Fidelity Insurance
Agency, Inc.
Fidelity Security Life Insurance
Company
Fiduciary - SSB - DTC 0987
Fiduciary Management Inc.
Fiduciary Trust Company
International
Fieldpoint Private Services, LLC
Fieldstone Services Corp.
Fifth Street Capital, LLC
Fifth Third Bank (The)
Fifth Third Securities, Inc.
Fifth Third Securities, Inc.
FIG Partners, LLC
Finance 500, Inc.
Financial Advisers of America, LLC
Financial Advisers of America, LLC
Financial Assets Corporation
Financial Counseling Corporation
Financial Designs Corporation
0443∆
0226∆
0443†
CNS
First Commercial Bank of
Birmingham, Alabama
First Dallas Securities, Inc.
First Dominion Capital Corporation
First Empire Securities, Inc.
First Financial Equity Corp.
First Georgetown Securities, Inc.
First Heartland Capital Inc./Centerre
Capital, LLC
First Heartland Capital, Inc
First Heartland Capital, Inc.
First Honolulu Securities Inc.
First Independent Financial
First Integrity Capital Partners Corp
First Investors Corporation
First Investors Corporation
First Kentucky Securities
Corporation
First Liberties Financial
First London Securities Corporation
First London Securities Corporation
0343
FNSJ
FPCI
FINR
FISI
JWFS
FINW
FGIC
FINX
FINT
ACSL
FDSC
FGCC
0352∆
0235∆
0158∆
0226∆
4713
0226∆
0161∆
0443∆
0281
0352†
0235†
0352†
0158†
0443†
0226†
CNS
CNS
CNS
CNS
CNS
CNS
0226†
0161†
0443†
CNS
CNS
CNS
0226†
0158†
0226†
CNS
CNS
CNS
0352†
CNS
0352†
CNS
FAST
0158∆
0226∆
0296
0352∆
0146
0352∆
STCS
FAMI
FAMS
0158∆
0235∆
0279∆
0158†
0235†
0279†
CNS
CNS
CNS
FANA
FBLT
0161∆
0750∆
0750†
CNS
0750†
0158†
0226†
0763
0141†
0443†
0141
CNS
CNS
CNS
TFT
CNS
CNS
CNS
6755
0141†
TFT
CNS
0443†
CNS
0226†
CNS
0443†
CNS
0235†
0309†
0279†
CNS
CNS
CNS
0235†
0235†
0052†
0309†
CNS
CNS
CNS
CNS
MNCH
FBPR
BRMF
FBAL
FATS
FCFP
FCIT
FCCP
0158∆
0763
0141
0030
0733
FCBI
FDSI
FESI
FFEC
FGOE
0141∆
5823
0443∆
0279∆
5376
FHCI
FHON
FIFS
KACI
FKSC
FLIB
FLSD
FLSC
0336
0235∆
0309∆
0279∆
5146
5545
0235∆
0235∆
0052∆
0309∆
14
Alphabetical Reference
April 2013
First Manhattan Co.
First Merger Capital Inc
First MetLife Investors Insurance
Company
First Midstate Inc.
First Midwest Securities Inc.
First Midwest Securities, Inc.
First Midwest Securities, Inc.
First National Banker's Bank
First National Capital Markets, Inc.
First National Capital Markets, Inc.
First New York Securities L.L.C.
First New York Securities LLC
First New York Securities LLC
First Pacific Mutual Fund, Inc.
First Republic Group, LLC
First Republic Securities Co.
First Research Finance Inc.
First Security Financial Advisors,
Inc.
First South Carolina Securities, Inc.
First Southern Securities LLC
First Southwest Company
First St. Louis Securities, Inc.
First State Securities, Inc.
FMCO
FSMG
First Trust Portfolios L.P./First Trust
Series Funds
First Trust Portfolios, L.P.
First Trust Portfolios, L.P.
First Tryon Securities, LLC
First Washington Corp.
First Western Advisors
First Western Securities
First Wilshire Securities
Management, Inc.
First Winston Securities
FirstMerit Insurance Agency, Inc.
Firstrade Securities Inc.
Fisher (L.B.) & Company
Fisrt Merit Financial Services, Inc
Fixed Income Capital Partners, LLC
Flexible Plan Investments, Ltd
Floor Broker Network Inc.
Florida Atlantic Securities Corp.
Florida Investment Advisers
FMSBonds, Inc.
FMSBonds, Inc.
FMSBonds, Inc.
FMSBonds, Inc.
FNBB Capital Markets, LLC
0443†
0052†
CNS
CNS
4512
FMID
FMSI
FSTM
FNBB
FNCM
MPFG
FNYS
FNYG
REPG
FSRP
FIRF
FSFA
FSCC
FRST
FSWC
FLOU
FSSO
First Symetra National Life
Insurance Company of New York
First Symetra National Life
Insurance Company opf New
York/First Symetra NY Fee Based
First Tennessee Brokerage, Inc.
First Tennessee Brokerage, Inc.
First Tennessee Capital Markets
0443∆
0052∆
6459
0052∆
0158∆
5371
0501∆
0352∆
0501∆
3745
0443∆
0279∆
0309∆
0309
6792
TFT
0052†
CNS
6753
6708
TFT
TFT
0501†
0352†
CNS
CNS
0443†
CNS
0279†
0443†
6731
0309†
0309
0443†
CNS
CNS
TFT
CNS
CNS
CNS
0279∆
4621
FTEN
3382
0226∆
0192
FTCM
FTLP
TRYN
FWCO
FWAI
FWSI
FWIL
FWSS
FFSI
FISH
FMFS
FICP
FBNW
FLAT
FIAF
MIAM
FMUS
MIAM
FCML
5374
6575
8244
0443∆
0158∆
0061
0158∆
0279∆
FORD
FFCB
FFCM
0727∆
0728
0548
0052∆
0235∆
0235∆
4967
Foreside Distribution Services,
L.P./AmSouth Funds
5816
Foreside Distribution Services,
L.P./Asset Management Fund
6641
Foreside Distribution Services,
L.P./Cavanal Hill Funds
5807
Foreside Distribution Services,
L.P./First State Trust Company
4928
Foreside Distribution Services,
L.P./Horizon Global Advisors
Umbrella Fund LLC
5633
Foreside Distribution Services,
L.P./HSBC Funds
Foreside Distribution Services,
L.P./HSBC Global Investment
Funds
4995
Foreside Distribution Services,
L.P./IRT Mutual Funds
6614
4724
2445
TFT
Foreside Distribution Services,
L.P./IVA Global SICAV Fund
5410
Foreside Distribution Services,
L.P./Leader Short Ten Bond Fund
5804
Foreside Distribution Services,
L.P./Matthews International
5150
Foreside Distribution Services,
L.P./Northern Trust Funds
6633
Foreside Distribution Services,
L.P./Old Mutual Global Funds PLC
5940
Foreside Distribution Services,
L.P./Permal Offshore Funds
4888
Foreside Distribution Services,
L.P./Ridgeworth Funds
4920
Foreside Distribution Services,
L.P./Signature Liquidity Fund, Ltd.
6673
Foreside Distribution Services,
L.P./Skandia Global Funds PLC
5826
Foreside Distribution Services,
L.P./SunTrust Bank Collective Trust
Funds
5562
Foreside Distribution Services,
L.P./USAllianz Mutual Funds
6628
Foreside Distribution Services,
L.P./Victory Funds
5686
Foreside Distribution Services,
L.P./Victory Institutional Funds
5723
CNS
CNS
CNS
CNS
CNS
TFT
0235†
0226†
0443†
CNS
CNS
CNS
0418†
0226†
0443†
6440
0158†
CNS
CNS
CNS
TFT
CNS
0279†
CNS
CNS
CNS
0052†
0235†
0235†
CNS
CNS
CNS
3312
Foreside Distribution Services,
L.P./IMS Funds
CNS
8244
0443†
0443†
0226†
0141†
0141†
0727†
5814
0226†
6715
6819
0443∆
0226∆
0443∆
FNFD
FMES
FTBR
Foreside Distribution Services,
L.P./IVA Fiduciary Trust
0103∆
7246
0158∆
0235∆
Folger Nolan Fleming Douglas
Incorporated
FOLIOfn Investments, Inc
FOLIOfn Investments, Inc
Foothill Securities, Inc.
Fordham Financial Management,
Inc.
Forefront Capital Markets LLC
Forefront Capital Markets LLC
Foreside Distribution Services, L.P.
15
Alphabetical Reference
April 2013
Foreside Fund Services, LLC
Foreside Fund Services, LLC/
Wright Investor
Foreside Fund Services, LLC/361
Capital
Foreside Fund Services,
LLC/Aberdeen Funds
5659
Foreside Funds Distributors
LLC/Bogle Investment Management
Funds of the RBB Fund, Inc.
5818
3349
Foreside Funds Distributors
LLC/E.I.I. Realty Securities Trust
6579
4870
5872
4899
Foreside Funds Distributors
LLC/Fairholme Funds, Inc.
Foreside Fund Services,
LLC/American Beacon Funds
5742
Foreside Funds Distributors
LLC/Fundvantage Trust
5611
Foreside Fund Services, LLC/Arden
Investment Series Trust
3398
Foreside Funds Distributors
LLC/Guidestone Funds
5782
3336
Foreside Funds Distributors
LLC/Highland Funds
5979
Foreside Fund Services,
LLC/Avenue Mutual Funds Trust
Foreside Fund Services,
LLC/Bridgeway Funds
5485
Foreside Fund Services,
LLC/Broadmark Funds
7049
Foreside Fund Services, LLC/Citi
American Opportunity Income Fund,
a Sub-Fund of Citi Investment Trust
(Cayman) II
7079
Foreside Fund Services,
LLC/Dundee Wealth Funds
6549
Foreside Funds Distributors
LLC/HighMark Funds
Foreside Funds Distributors
LLC/Kalmar Pooled Investment
Trust
Foreside Funds Distributors
LLC/Lincoln Advisors Trust
Foreside Funds Distributors
LLC/Matson Family, Inc. Funds of
the RBB Fund, Inc.
5820
5716
3788
5947
5528
Foreside Funds Distributors
LLC/Matthews International Funds
DBA Matthews Asia Funds
5724
4985
Foreside Funds Distributors
LLC/Mercer Funds
5725
Foreside Fund Services,
LLC/Liberty Street Funds
6767
Foreside Funds Distributors
LLC/Metropolitan West Funds
6644
Foreside Fund Services, LLC/Manor
Investment Funds, Inc.
5709
Foreside Funds Distributors
LLC/Old Westbury Funds, Inc.
5651
Foreside Fund Services,
LLC/Nomura Partners Funds, Inc.
5426
Foreside Fund Services,
LLC/Henderson Global Funds
Foreside Fund Services,
LLC/Investment Managers Series
Trust
Foreside Fund Services,
LLC/Performance Trust
Foreside Fund Services,
LLC/Perimeter Funds
Foreside Fund Services, LLC/PMC
Funds
5324
3348
5747
Foreside Fund Services, LLC/Polen
Capital Investment Funds PLC
7071
Foreside Fund Services,
LLC/Quaker Funds
4885
Foreside Fund Services,
LLC/Ramius Funds
7063
Foreside Fund Services,
LLC/Roxbury Funds
Foreside Fund Services,
LLC/Salient MF Trust
Foreside Fund Services,
LLC/Sound Shore Funds
Foreside Funds Distributors
LLC/Perimeter Capital Management
of the RBB Fund, Inc.
Foreside Funds Distributors
LLC/Robeco Investment Funds of
the RBB Fund, Inc.
Foreside Funds Distributors
LLC/Schneider Capital
Management Funds of the RBB
Fund, Inc.
Foreside Funds Distributors
LLC/Simple Alternatives Funds of
The RBB Fund, Inc.
Foreside Funds Distributors
LLC/Spirit of America Investment
Funds
5416
5800
5856
5342
5362
6620
Foreside Funds Distributors
LLC/Sterling Capital Funds
5648
3351
Foreside Funds Distributors
LLC/Stratton Family of Funds
5448
6594
5649
Foreside Funds Distributors
LLC/The Motley Fool Funds Trust
Foreside Fund Services,
LLC/Turner Funds
5592
Foreside Funds Distributors
LLC/The RBB Fund, Inc.
5808
Foreside Fund Services,
LLC/Wintergreen Fund
Foreside Funds Distributors LLC
5721
6658
Foreside Funds Distributors
LLC/The Torray Funds
6554
Foreside Funds Distributors
LLC/Aston Funds
5699
Foreside Funds Distributors
LLC/Versus Capital Multi-Manager
Real Estate Income Fund LLC
3750
16
Alphabetical Reference
April 2013
Foreside Funds Distributors
LLCConsulting Group Capital
Markets Funds
Foreside Funds Distributors
LLCFirst Puerto Rico Family of
Funds
Foresight Investments, LLC
Forest Securities, Inc.
Forester Funds, Inc.
Foresters Equity Services, Inc.
Forethought Life Insurance
Company
Forethought Life Insurance
Company Forethought Life
Distributors, LLC
Forge Financial Group Inc.
Forsyth Securities
Fortrend Securities, Inc.
Forward Securities, LLC
401Kstore.com (The)
Four Points Capital Partners LLC
Fox Run Alpha Fund, L.P.
Fox, Reusch & Co., Inc.
FPA Fund Distributors, Inc.
Frank Funds
Franklin Securities, LLC
Franklin Street Securities, Inc.
Franklin/Templeton Distributors, Inc.
Frazer Lanier Company (The)
Fred Alger & Co., Inc./Alger Sicav
Fred Alger & Company,
Incorporated
Fred Alger & Company,
Incorporated
Freedom Investments, Inc.
Freedom Investors Corp.
Freimark Blair & Co., Inc.
Fried (Albert) & Company, LLC
Friedman Luzzatto & Co
Friedman, Billings, Ramsey & Co.,
Inc.
Frontegra Funds, Inc.
Frontier Financial Consultants, Inc.
Frontier Trust Company
Frontier Trust Company/P.J. Robb
Variable Corp.
Frost Bank
Frost Brokerage Services, Inc.
FRS Securities, LLC
FSC Securities Corp.
FSC Securities Corporation
FSC Securities
Corporation/Advantage Capital
FSC Securities Inc.
FTN Financial Services Corp.
Fulcrum Securities, Inc.
Fundamental Capital Management
LLC
FundQuest Incorporated
Funds Distributor, LLC
Funds Distributor, LLC/GMO Series
Trust
Funds Distributor, LLC/GMO Trust
5422
5547
FITE
FORE
0235∆
4949
0149
0443†
0235†
CNS
CNS
5339
FRGP
FSII
FORI
AFSS
FOXN
FOXR
7012
0750∆
0235∆
0052∆
5889
7129
0750∆
0352∆
0750†
0235†
0052†
CNS
CNS
CNS
0352†
6851
CNS
TFT
0443†
0443†
CNS
CNS
6909
TFT
5851
6671
FRSE
FSST
0443∆
5534
FLCO
4950
5594
ALGR
FDMI
FRIC
FBLC
AFCO
FRLZ
0158∆
0571∆
0279∆
0161∆
0284
FBRC
0352∆
5507
FFCI
0571†
0279†
0161†
0284
0103†
CNS
CNS
CNS
CNS
CNS
0352†
CNS
0443†
CNS
6751
0226†
0161†
TFT
CNS
CNS
0226†
CNS
0443†
0202
CNS
CNS
2563
6531
FROS
CUFT
FSEC
0226∆
0169
FSCN
FSCS
FTSC
OFKS
0191
0443∆
0202
0443∆
1302
3910
5497
3601
Funds Distributor, LLC/MIRAE
Asset Discovery Funds
Funds Distributor, LLC/Munder
Funds
Further Lane Securities L.P.
Fusion Analytics Securities LLC
G&L Partners, Inc.
G. F. Investment Services, LLC
G.A. Repple & Company
Gabelli & Company, Inc.
Gabelli Funds - (NFDS)
Gage-Wiley & Co., Inc.
Gagnon Securities LLC
Galloway Capital Management Ltd.
GAM Fund Management LTD
Gar Wood Securities, LLC
Gar Wood Securities, LLC
Garbacz Group Inc. (The)
Garden State Securities Inc.
Gardner Financial Services Inc.
Gardner Rich, LLC
Gardnyr Michael Capital, Inc.
Garrett (Andrew) Inc.
Garrett Nagle & Company, Inc.
Gates Capital Corporation
Gatten Sadowski Inc
Gaye (C.E.) & Sons Securities, Ltd.
GBM International, Inc.
GBM International, Inc.
GBS Financial Corporation
GE Financial Trust Company
GE Investment Distributors, Inc.
Gelber Securities, LLC
Gelber Securities, LLC
Gemini Fund Services, LLC
Gemini Fund Services, LLC
Gemini Fund Services, LLC
Gemini Fund Services, LLC
Gemini Fund Services, LLC
Gemini Fund Services, LLC
Gemini Fund Services, LLC
Gemini Fund Services, LLC
Gemini Fund Services, LLC
Gemini Fund Services, LLC
Gemini Fund Services, LLC
Gemini Fund Services, LLC
Gemini Fund Services, LLC
Gemini Fund Services, LLC
Gemini Fund Services, LLC
Gemini Fund Services, LLC
Geneos Wealth Management, Inc
General Securities Corp.
Genesis Securities, LLC
Genuity Capital Markets USA, Corp
Genworth Financial Securities
Corporation
6680
5322
FARS
INDX
GNLP
GFBD
GABE
GGWI
GAGN
GARW
GWDS
JGII
GRST
GAFI
GDNR
GMCI
ANDG
GARR
GATS
GSAD
PUMP
GBMT
GBMS
GBSL
GELB
GLBY
GENS
GNDS
GCMU
5617
0443∆
0103∆
0103∆
4076
0141∆
5574
0352∆
3434
3605
0352∆
0158∆
0235∆
0235∆
0100∆
0750∆
0235∆
0226∆
0443∆
0443∆
0158∆
0103∆
5970
5679
0695∆
0695∆
1919
1921
1922
1924
1927
1931
1933
3585
3586
3587
3589
3845
3854
3855
3858
3859
0244
0279∆
0158∆
0158∆
0226†
CNS
0141†
CNS
0141†
CNS
0352†
CNS
0443†
0235†
0235†
0100†
0750†
0235†
0226†
0443†
0235†
0141†
0443†
CNS
CNS
CNS
TFT
CNS
CNS
CNS
CNS
CNS
CNS
CNS
0158†
CNS
0471
17
Alphabetical Reference
April 2013
Genworth Life and Annuity
Insurance Company
Genworth Life and Annuity
Insurance Company
Genworth Life Insurance Company
Genworth Life Insurance Company
of New York
Geoffrey Richards Securities Corp.
Georgeson Shareholder Securities
Corp.
GETCO Execution Services, LLC
GETCO Execution Services, LLC
GETCO Securities, LLC
GFI Securities LLC
GFI Securities, LLC
Gilbert, Doniger Co., Inc.
Gilboy (P.R.) & Associates, Inc.
Gilder, Gagnon, Howe & Co., LLC
Gilford Securities Incorporated Retail
Gill Capital Partners
Girard Securities, Inc.
Girard Securities, Inc.
GIT Investment Services, Inc.
Gladowsky Capital Management
Corp.
Glazer (C.L.) & Co.
Gleacher & Company Securities,
Inc.
Gleacher & Company Securities,
Inc.
Glendale Securities, Inc.
Glenmede Trust Company, N.A.
(The)
Global Brokerage Services, Inc.
Global Credit Partners, LLC
Global Direct Equities, LLC
Global Financial & Remarketing
Services, LLC
Global Financial Services, Inc.
Global Hunter Securities LLC
Global Investor Services, L.C.
Global Investor Services, LLC
Global Maxfin Capital Inc./CDS
Global Resource Investments, Ltd.
Global Securities Corporation/CDS
Global Strategic Investments, LLC
Global Strategic Investments, LLC
Global Strategic Investments, LLC
Global Trust Company
Global Trust Company/BHMS
Global Trust Company/NRS
Global Trust Company/NTRS
Global-American Investments, Inc.
Global-American Investments, Inc.
Globalink Securities, Inc.
Glynn (J.A.) & Co.
GMP Securities L.P./CDS
GMP Securities, LLC
GMS Group (The), LLC
Gold Coast Securities, Inc.
Goldberg (Gary) & Co., Inc.
Golden Beneficial Securities
Goldman Sachs & Co.
Goldman Sachs & Co./Commerce
Funds
4525
5752
4586
TAIG
4553
0235∆
GSSC
GFLO
GESX
GETS
GFIG
GFIS
GDCO
PRGA
GILG
0161∆
0530
0530∆
0103∆
RGIL
GLLL
GIRL
0141∆
0309∆
0226∆
0415
0235†
CNS
0161†
CNS
0443†
CNS
0443†
0279†
0352†
CNS
CNS
CNS
0141†
0309†
0226†
CNS
CNS
CNS
0226†
CNS
CNS
0501∆
0279∆
0352∆
GIMM
GCMC
CLGL
0443∆
0443∆
0443†
BPSG
0443∆
0443†
GLCH
GLEN
0443∆
0158∆
GSBI
GCPL
GDEQ
2139
0279∆
0158∆
0103∆
GFSI
GLBL
GISJ
HBCO
GMAX
GRIL
GSCF
GSIL
GSRI
GSIC
GAME
SEGB
PSRI
GLYN
GMPS
MITR
GMSG
3503
0352∆
0501∆
0352∆
0443∆
5026●
0235∆
5069●
0158∆
0052∆
5915
7039
5311
5357
0158∆
0824∆
0158∆
0443∆
5016●
0352∆
0443∆
CNS
0158†
CNS
0279†
0443†
CNS
CNS
0352†
CNS
0352†
0443†
CNS
CNS
0158†
0443†
0158†
0158†
0443†
0352†
0443†
CNS
CNS
CNS
CNS
CNS
CNS
CNS
Goldman Sachs & Co./Goldman
Sachs International Funds
Goldman Sachs Execution &
Clearing
Goldman Sachs Execution &
Clearing
Goldman Sachs Execution &
Clearing
Goldman Sachs Execution &
Clearing
Goldman Sachs Execution &
Clearing
Goldman Sachs Execution &
Clearing
Goldman Sachs Execution &
Clearing
Goldman Sachs Execution &
Clearing
Goldman Sachs Execution &
Clearing
Goldman Sachs Execution &
Clearing
Goldman Sachs Execution &
Clearing
Goldman Sachs Execution &
Clearing
Goldman Sachs Execution &
Clearing
Goldman Sachs Execution &
Clearing
Goldman Sachs Execution &
Clearing
Goldman Sachs Execution &
Clearing
Goldman Sachs Execution &
Clearing
4083
GRYG
GOBE
0158∆
5572
0226†
0158†
CNS
CNS
5799
6570
BZZH
0501∆
GSFF
0501∆
GSGG
0501∆
GSII
0501∆
GSLL
0501∆
GSMM
0501∆
GSPP
0501∆
GSQQ
0501∆
GSRR
0501∆
GSSS
0501∆
GSTT
0501∆
GSUU
0501∆
GSVV
0501∆
GSWW
0501∆
GSXX
0501∆
GSYY
0501∆
GSZZ
0501∆
Goldman Sachs Execution &
Clearing, L.P.
SILK
0501
0501
CNS
Goldman Sachs Execution &
Clearing, L.P.
BZYE
0501∆
0501†
CNS
Goldman Sachs Execution &
Clearing, L.P.
BTGG
0501∆
Goldman Sachs Execution &
Clearing, L.P.
BZWV
0501∆
Goldman Sachs Execution &
Clearing, L.P.
BZWW
0501∆
Goldman Sachs Execution &
Clearing, L.P.
BZWX
0501∆
Goldman Sachs Execution &
Clearing, L.P.
BZYD
0501∆
Goldman Sachs Execution &
Clearing, L.P.
BZYF
0501∆
Goldman Sachs Execution &
Clearing, L.P.
BZYG
0501∆
Goldman Sachs Execution &
Clearing, L.P.
BZYH
0501∆
Goldman Sachs Execution &
Clearing, L.P.
BZYJ
0501∆
18
Alphabetical Reference
April 2013
Greenberg Financial Group
Goldman Sachs Execution &
Clearing, L.P.
BZZK
0501∆
Goldman Sachs Execution &
Clearing, L.P.
BZZN
0501∆
Goldman Sachs Execution &
Clearing, L.P.
GSAA
0501∆
Goldman Sachs Execution &
Clearing, L.P.
GSBB
0501∆
Goldman Sachs Execution &
Clearing, L.P.
GSCC
0501∆
Goldman Sachs Execution &
Clearing, L.P.
GSDD
0501∆
Goldman Sachs Execution &
Clearing, L.P.
GSEE
0501∆
SGMA
0501∆
5208
0005
0226∆
Goldman Sachs Execution &
Clearing, L.P.
Goldman Sachs International Ltd.
Goldman, Sachs & Co.
Gordon Hasket & Co.
Gordon, Haskett Capital
Corporation
Gorian Investment Group
Gotham Lawrence Corporation
GP Feeder Fund Management, LLC
GP Nurmenkari, Inc.
Grace Financial Group LLC
Grace Financial Group LLC
Grace Financial Group LLC
Grace Financial Group, LLC
Grace Financial Group, LLC
Grace Financial Group, LLC
Grace Financial Group, LLC
Graham (B.B.) & Company
Gramercy Securities, Inc.
Granite Financial Group, Inc.
Granite Financial Group, Inc.
Grant Williams, L.P.
GRB Financial LLC
Great American Advisors, Inc.
Great American Life Insurance
Company
Great Lakes Fund Solutions, Inc.
Great Lakes Fund Solutions, Inc.
Great Nation Investment Group
Great Pacific Securities
Great Point Capital LLC
Greater Community Financial LLC
GSCO
GHAS
GHCC
GTRN
GOLA
GPNI
GFML
GFMS
GFGO
GFGL
GFGP
GFGH
MVPF
BBGC
SCRI
GFIN
GFNC
GWLP
GRBF
AGSS
GNTS
GPSS
MAVB
GRCF
Great-West Life & Annuity
Insurance Company
0750∆
1849
0284∆
0161∆
0050∆
0501∆
0158∆
0158∆
0501∆
0501∆
0235∆
0750∆
0158∆
0158∆
0309∆
0750∆
5949
1780
1782
0309∆
0161∆
0103∆
4735
Great-West Life & Annuity
Insurance Company of New York
Great-West Life & Annuity
Insurance Company of New
York/American Funds Distributors
Inc.
Great-West Life & Annuity
Insurance Company/American
Funds Distributors Inc.
Green Street Advisors, Inc.
0226∆
4736
3334
GNAV
3332
0443∆
Greenman, Parker, Connally,
Greenman, Inc.
Greentree Brokerage Services, Inc.
Greenwich Financial Services LLC
Greenwich Prime Trading Group,
LLC
Grenel & Company
Grey Wolf Execution Partners, Inc.
GRF Capital Investors Inc.
Griffin Capital Securities, Inc.
Griffin Financial Group, LLC
Griffin Securities, Inc.
0005
0226†
CNS
CNS
0226†
0141†
CNS
CNS
0161†
CNS
0158†
0158†
0501†
CNS
CNS
CNS
0235†
CNS
0309†
0750†
0443†
CNS
CNS
CNS
0309†
0161†
CNS
CNS
0443†
CNS
Griffith (M.) Locke Investment
Services, Inc.
Griffon May, Inc.
Griswold Company, Inc.
Grodsky Associates, Inc.
GRW Capital Corp.
GSECLP/Equities Execution
GSECLP/Kellogg Capital
GSECLP/Princeton Securities
Group
G-Trade Service, LLC
G-Trade Services LLC
NEHL
0235∆
0235†
CNS
GPCG
GBSI
GFSL
0443∆
0161∆
0443†
0443†
0161†
CNS
CNS
CNS
0501∆
0501∆
0103∆
0235∆
1939
0103∆
0100∆
0235†
CNS
0100†
TFT
0352∆
0141†
0443†
0352†
0226†
0443†
CNS
CNS
CNS
CNS
CNS
0526
CNS
0352†
0443†
CNS
CNS
0226†
0161†
0501†
0309†
CNS
CNS
CNS
CNS
0226†
0443†
0702†
0279†
0158†
0141†
0750†
0158†
CNS
CNS
CNS
CNS
CNS
CNS
CNS
CNS
GPTG
GRNL
GWEP
GRFC
GRFN
GSEC
GRIF
MACP
GRIS
GROD
GRWC
0048
0399
GTRD
ADRD
Guardian Insurance & Annuity
Company, Inc. (The)
Guardian Insurance & Annuity
Company, Inc./Fund Trading
Guardian Investor Services LLC
Guggenheim Distributors, LLC
Guggenheim Funds Distributors,
Inc.
Guggenheim Investment Advisors,
LLC
Guggenheim Securities LLC
Guggenheim Securities, LLC
Guggenheim Securities, LLC
Guggenheim Securities, LLC
Gunnar (Joseph) & Co., LLC
Guzman & Company
Guzman & Company
GVC Capital LLC
GWFS Equities, Inc.
GWFS Equities, Inc.
GWFS Equities, Inc./Commission
Product
GWFS Equities, Inc./Orchard Trust
Company LLC
GWG Holdings, Inc.
GWM Group, Inc.
H. Beck, Inc.
H. G. Wellington & Co., Inc.
H.C. Denison Co.
H.C. Wainwright & Co., Inc.
H.D. Vest Investments Services
Hahn Securities, Inc.
Halcyon Cabot Partners, Ltd.
Halcyon Cabot Partners, Ltd.
Halen Capital Management, Inc
0151
0443∆
0161∆
4533
4637
5573
4912
CLYM
GUGG
LNKS
GUGS
JGUN
GZML
GUZM
BCPI
1792
0181
0352∆
0443∆
0226∆
0161∆
0501∆
0309∆
0257
5330
3354
RLCC
HBCK
WELC
DENI
WAIN
HDVS
WMPB
BBHP
HCBD
HACL
3702
1835
0226∆
0702∆
0279∆
0158∆
0750∆
0158∆
0052∆
0235∆
0235†
CNS
19
Alphabetical Reference
April 2013
Halen Capital, Inc.
Hallmark Investments, Inc.
Hampton Securities (USA), Inc.
Hancock Investment Services, Inc.
Hancock Securities Group, LLC
Hand Benefits & Trust Company
Hand Benefits & Trust Company
Hand Securities, Inc.
Hanson McClain
Hantz Financial Services, Inc.
Hantz Financial Services, Inc.
Hapoalim Securities USA, Inc.
Hapoalim Securities USA, Inc.
Harbor Funds Distributors, Inc.
Harbour Investments Inc.
Hardcastle Trading USA, LLC
Harger and Company, Inc.
Harris (Chester) & Co., Inc.
Harris Investors Services, Inc.
Hart (LJ) & Company
Hartfield, Titus & Donnelly, LLC
HCPL
HMRK
HMPT
HANK
DHAN
AIRS
HMRN
HAFS
ITEC
POLI
HARB
HCTA
HRGR
CHHS
HRRS
LJHT
HFLD
Hartford Investment Financial
Services Co.
0052∆
0235∆
0235∆
4866
5950
0309∆
0614
0279∆
0443∆
0443∆
5471
0501∆
0235∆
CNS
CNS
CNS
CNS
CNS
0309†
0226†
CNS
CNS
0443†
0443†
CNS
CNS
0443†
0501†
0235†
0141†
0443†
0443†
0443†
CNS
CNS
CNS
CNS
CNS
CNS
CNS
4856
Hartford Investment Financial
Services Co./Upromise
Hartford Life Insurance Company
(The)
5892
4501
Hartford Life Insurance
Company/Corporate Business
4662
Hartford Life Insurance
Company/Government Business
4663
Hartford Life Insurance
Company/Life Business
4658
Hartford Life Insurance
Company/Mutual Fund
4599
Hartford Securities Distribution
Company, Inc.
0765
Hartford Securities Distribution
Company, Inc./PRG
Harvard Property Trust, LLC
Harvard Property Trust, LLC
Harvard Property Trust, LLC
Harvard Property Trust, LLC
Harvard Property Trust, LLC
Harvest Capital LLC
Harvest Financial Corporation
Harvestons Securities, Inc.
Havkit Corporation
Hayden Stone & Co., LLC
Haywood Securities (USA) Inc.
Haywood Securities Inc.
Hazlett, Burt & Watson, Inc.
Hazlett, Burt & Watson, Inc.
HBK Finance, LP
HCFP/Brenner Securities, LLC
Heartland Investment Associates
HedgeCount, LLC
0052†
0235†
0226†
0226†
0443†
HACA
HVST
HARS
HAVK
HAST
HAYV
HASF
HAZL
HBKI
HCBR
HIAI
5920
1622
1628
1634
1636
3683
0701∆
0235∆
0226∆
0052∆
0052∆
0279∆
5058●
0226∆
0252
0701†
0235†
0226†
CNS
CNS
CNS
0279†
CNS
0226†
CNS
0158∆
0352†
0158†
0226†
3487
CNS
CNS
CNS
HedgeCount, LLC/Hutchinson
Capital Partners, LLC
Hefren-Tillotson, Inc.
Hefren-Tillotson/Shelby, Kern,
Frederick and Shelby Div.
Heidtke & Company, Inc.
Height Securities, LLC
Henley & Company LLC
Hennig (Carl M.) Inc.
Hennion & Walsh, Inc.
Heritage Financial Systems, Inc.
Herndon Plant Oakley
Herold (Bernard) & Co.
Hewitt Associates LLC
Hexagon Securities, LLC
HFI Securities, Inc.
HFP Capital Markets LLC
Higgins Capital Management, Inc.
High Point Capital Group, Inc.
Highlander Capital Group, Inc.
Hightower Securities, LLC
Hightower Securities, LLC
HighTower Securities, LLC
Hill Thompson Magid & Co Inc.
Hines Securities, Inc.
HLM Securities, Inc.
HM Capital Management LLC
Hold Brothers Capital LLC
Hollencrest Securities, LLC
Home Financial Services, Inc.
Homestead Funds, Inc.
Horace Mann Life Insurance
Company
Hornor, Townsend & Kent, Inc.
Hornor, Townsend & Kent, Inc.
Horwitz & Associates, Inc.
Howells (M.S.) & Co.
HRC Investment Services, Inc.
HSBC Bank USA, N.A./IPB
HSBC Bank USA, National
Association
HSBC Bank,USA, N.A./Buffalo IPS
HSBC Securities (USA) Inc.
HSBC Securities (USA), Inc./Fixed
Income Securities
HSBC Securities (USA), Inc./Stock
Loan
Hudson Valley Capital Management
Hugo Marx & Co., Inc.
Humbard, James W.
Hunter Associates Inc.
Hunter Scott Financial, LLC
Hunter World Markets, Inc.
Huntingon National Bank
Huntington Asset Services, Inc.
Huntington Asset Services, Inc.
Huntington Asset Services, Inc.
Huntington Asset Services, Inc.
Huntington Asset Services, Inc.
HEFR
SKFS
BUZZ
HITS
HENY
HENN
NHWI
HFSB
HPOL
HERO
HXGN
HFIS
HFPC
HIGG
COHI
HIGH
HTWR
HTJP
3489
0443∆
0443∆
0443∆
0235∆
0235∆
0443∆
7107
0158∆
0235∆
0443∆
0352∆
6017
HILF
HLMS
HLLC
VOLS
3584
0727∆
3431
0430
0352∆
0443†
CNS
0443†
0141†
CNS
CNS
0443†
0235†
0141†
0235†
0141†
0443†
CNS
CNS
CNS
CNS
CNS
CNS
0443†
0141†
0158†
0235†
0226†
0443†
0226†
0352†
CNS
CNS
CNS
CNS
CNS
CNS
CNS
CNS
0443†
CNS
0727†
CNS
0352†
2447
CNS
TFT
0443†
CNS
0443†
0443†
CNS
CNS
0816
CNS
0486
CNS
0158†
6741
CNS
TFT
0443†
CNS
0235†
CNS
6553
3637
HOTO
HORW
HWLS
HRCS
0326
0352∆
0443∆
2122
HSBK
2165
2049
0816
HSBM
HSBC
SECT
MARX
JWHJ
HNTR
PLCP
WRLD
0816∆
0158∆
0052∆
0443∆
0750∆
2305
1838
1839
1843
3581
3582
20
Alphabetical Reference
April 2013
Huntington Investment Company
Huntington National
Bank/Traditional Insurance
Hutchinson, Shockey, Erley & Co.
HWJ Capital Partners II, LLC
I-Bankers Securities, Inc.
IBERIA Capital Partners L.L.C.
ICAP Corporates LLC
ICAP Corporates LLC
ICAP Corporates, LLC
ICAP Corporates, LLC
ICAP Corporates, LLC
ICD Securities
ICE Execution Services LLC
ICM Securities, LLC
ICMA-RC Services, LLC
ICMA-RC Services, LLC
ICON Capital Corp.
Icon Distributors, Inc.
ICP Securities LLC
IFC Holding, Inc./Invest Financial
Corporation
IFC Holdings, Inc.
IFMG Securities, Inc.
IIG Horizons Securities LLC
IJL Financial Advisors, LLC
Illustro Trading LLC
Imperial Capital, LLC
IMS Securities Inc.
Incapital, LLC
Independent Bankers' Bank of
Florida
Independent Brokers LLC
Indiana Merchant Banking &
Brokerage Co., Inc.
Indiana Securities, LLC
Industrial and Commerical Bank of
China Financial Services LLC
Industrial and Commerical Bank of
China Financial Services
LLC/Equity Clearance
Industrial Income Trust Inc.
Infinex Investments Inc.
Infinity Financial Services
Infinium Securities, Inc.
ING Financial Markets LLC
ING Financial Markets, LLC
ING Financial Partners, Inc.
ING Financial Partners, Inc./LSSI
ING Institutional Plan Services, LLC
ING Investment Advisors, LLC
HUCO
ING Investments Distributor,
LLC/ING IODC
0226†
CNS
5383
HUTC
HWJC
MILE
IBER
GARB
GARC
GARQ
GARL
GARZ
ICDS
ICEX
ICMN
6963
0052∆
0052∆
0226∆
0148
0501∆
0501∆
0501∆
0501∆
0750∆
0443∆
0501∆
0282
4942
3592
5549
TFT
0226†
0148
CNS
CNS
0161†
CNS
0158∆
0541∆
0443∆
0279∆
0235∆
IBBF
INDE
4508
ING Life Insurance and Annuity
Company/Fund Serv/Trading
4575
ING Life Insurance and Annuity
Company/ING Financial Solutions
4740
ING Life Insurance and Annuity
Company/INVGVA
4635
0443†
CNS
Inland Real Estate Investment
Corporation
1640
CNS
Inland Real Estate Investment
Corporation
1643
Inland Real Estate Investment
Corporation
1872
0235†
6778
0226†
TFT
CNS
CNS
CNS
ICBK
0388
0388
CNS
IBFS
0824
3495
0113
0235∆
0158∆
0270∆
0270
0492
0465
7108
0291
0824
CNS
0235†
CNS
0591
5859
3379
CNS
CNS
CNS
CNS
0279†
0235†
0352∆
5734
ING Investments Distributor,
LLC/Wisconsin Tomorrow's Scholar
529 Plan
ING Life Insurance and Annuity
Company
0226†
0226†
0226†
0158†
0279∆
0235∆
FSFS
7065
ING USA Annuity and Life
Insurance Company
ING USA Annuity and Life
Insurance Company/Mutual Funds
Trading
Ingalls & Snyder, LLC
IMBB
INDI
NFTY
INFC
INGG
INGF
5473
ING Investments Distributor,
LLC/Iowa Advisor 529 Plan
CNS
0566
ISFA
LBSC
IIGH
TRUM
ILUS
IMPC
IMSS
INCP
ING Investments Distributor,
LLC/ING Offshore
ING Life Insurance and Annuity
Company/Retirement (Sub)
ING National Trust Company
ING National Trust Company/IFS
ING Private Wealth Management
LLC
0443†
ICPX
ING Investment Advisors, LLC/TPA
Accounts
ING Investment Management
Services LLC
ING Investments Distributor, LLC
0226∆
0352†
CNS
Inland Real Estate Investment
Corporation
Inlet Securities, LLC
Instinet, LLC
Instinet, LLC
Instinet, LLC
Instinet, LLC
Instinet, LLC
Instinet, LLC
Instinet, LLC
Instinet, LLC
Instinet, LLC
Instinet, LLC
Institutional Capital Management,
Inc.
Institutional Investor Trust
Institutional Securities Corporation
Insurance Technologies, LLC
Integral Financial, LLC
Integrity Brokerage Services, Inc.
Integrity Brokerage Services, Inc.
Integrity Funds Distributor, LLC
Integrity Life Insurance Company
Interactive Brokers Corp.
Interactive Brokers LLC
Interactive Brokers, LLC/Retail
Clearance
7026
2360
5377
INGW
0443†
CNS
0124
CNS
0750†
CNS
0235†
CNS
0279†
CNS
0595†
0595†
CNS
CNS
0534†
CNS
0534
CNS
4506
INGS
LLSI
INAT
INBS
INHC
INML
INMP
INTU
INTW
INAR
INJX
INCA
ICMH
ISCN
INFI
IBSH
IBSJ
IBCO
IBKR
IBKR
4510
0124
3835
0750∆
0067∆
0067∆
0067∆
0067∆
0067∆
0067∆
0067∆
0436∆
0536∆
0067
0235∆
3709
0279∆
6407
0279∆
0595∆
0595∆
5657
4549
0017
21
Alphabetical Reference
April 2013
Intercarolina Financial Services, Inc.
Intercontinental Asset Management
Group, Ltd.
Intermerchant Securities LLC
International Assets Advisory, LLC
International Assets Advisory, LLC
International Correspondent
Trading, Inc.
International Strategy & Investment
Group, Inc.
International Strategy & Investment
Group, Inc.
Internet Capital Markets
Corporation
Interpacific Investors Services, Inc.
InterTrading USA Securities, Inc.
Intervest International Equities
Corporation
Intl FC Stone Securities Inc.
INTL Trading, Inc.
InTrade, LLC
Invemed Associates, LLC
Invesco Capital Markets, Inc.
Invesco Distributors, Inc.
ICFS
ICON
IMSL
INTA
INTX
CNS
0443†
0052†
0226†
0226†
CNS
CNS
CNS
CNS
ICTI
0226∆
0226†
CNS
ISIG
0352∆
0352†
CNS
5591
ICMC
IPAC
ITUS
IVST
FCST
INTL
ITLC
INVM
VKMI
Invesco Distributors, Inc./AIM
Global Advisors Limited
Invesco Distributors, Inc./Fund
Management Co.
Invesco Distributors, Inc./Offshore
Investacorp, Inc.
Investacorp, Inc.
Investacorp, Inc.
Investec Securities (U.S.) LLC
Investment Center (The)
Investment Center, Inc. (The)
Investment Centers of America, Inc.
Investment Centers of America, Inc.
Investment Management
Corporation
Investment Management Services,
Inc.
Investment Network, Inc.
Investment Partners Asset
Management
Investment Placement Group
Investment Planners Inc.
Investment Professionals, Inc.
Investment Professionals, Inc.
Investors Capital Corporation
Investors Capital Corporation
Investors Securities Services, LLC
Invex, Inc.
IPO Capital
Ironstone Securities Inc.
Isaak Bond Investment, Inc.
ISERoute, LLC
ISI Capital, LLC
Island Traders Securities
Israel A. Englander & Co., Inc.
Israel A. Englander & Co., LLC
0052∆
0226†
0158∆
0226∆
0309∆
0443∆
0161∆
0238∆
0352∆
0692
5540
0226†
0309†
CNS
CNS
0443†
CNS
0161†
CNS
0352†
0692
CNS
CNS
4882
ARCH
INVE
INVC
ICEN
KCIM
IMSI
IVNT
IPGR
INPI
INPR
ICCP
ISSC
IVEX
IPOC
ISSB
IAAK
SPDR
ISIL
ITSI
IAEA
IAEC
5450
6592
0226∆
0352∆
0138
0443∆
0318
0443∆
0565
1868
0235∆
0727∆
0235∆
3424
0352∆
0235∆
6052
0443∆
6016
0226†
0352†
CNS
CNS
0443†
CNS
0443†
CNS
0235†
CNS
0235†
CNS
0235†
0443†
CNS
CNS
0443†
CNS
0443†
CNS
0352∆
5039∆
0279∆
0100∆
0103∆
0158∆
0352∆
0551∆
0443†
0279†
0103†
0352†
CNS
CNS
CNS
CNS
Itau Europa Securities Inc.
Itau Securities, Inc.
ITB Securities, LLC
ITG Canada
ITG, Inc.
ITradedirect.com Corp.
IVY Securities, Inc.
J&C Global Securities, LLC
J. Scott Securities Corp.
J. W. Cole Financial, Inc.
J.D. Nicholas & Associates, Inc.
J.J.B Hilliard, W.L.Lyons, LLC
J.J.B. Hilliard, W.L. Lyons, LLC
J.K. Chilton & Associates, Inc.
J.K. Financial Services, Inc.
J.K.R. & Co., Inc.
J.M. Lummis Securities, Inc.
J.P. Morgan Clearing Corp.
IESI
ITAU
ITBS
ITGC
ITGI
ITDC
IVYS
MEAT
JSSC
JWCF
FRIS
HLHC
HDLY
JKCA
JKFS
JKRC
JMLS
BSSC
0443∆
0443∆
0750∆
5059∆
0099
0750∆
0100∆
0052∆
0052∆
0768
0279∆
0388∆
0352
J.P. Morgan Clearing Corp./ Burke
Trading, LP
3827
J.P. Morgan Clearing Corp./ Showel
Capital, LP
3887
J.P. Morgan Clearing Corp./Jane
Street Capital, LLC
3837
J.P. Morgan Clearing Corp./Option
Opportunities
J.P. Morgan Institutional
Investments, Inc.
J.P. Morgan Securities LLC
J.P. Morgan Securities LLC
0750†
CNS
0750†
CNS
0352†
0226†
0052†
0768†
0768
0103†
0279†
0443†
CNS
CNS
CNS
CNS
CNS
CNS
CNS
CNS
0352
CNS
0187
0352†
CNS
CNS
0352†
0352†
CNS
CNS
0235†
CNS
0100†
0443†
6069
TFT
CNS
TFT
4871
CHSI
JPMT
0352∆
0470
0432
J.P. Morgan Securities LLC/Middle
Markets
J.P. Morgan Securities LLC/NYSE
0686
0060
J.P. Morgan Securities
LLC/Oppenheimer 401K
0758
J.P. Morgan Securities LLC/Private
Client Services Div
0406
BEAR
BEST
JPME
JPMG
JPMP
JPMS
0693
0352∆
0352∆
0352∆
0352∆
0352∆
0352∆
JVBF
0235∆
Jackson National Life Insurance
Company
4552
Jackson National Life Insurance
Company of New York
4584
Jackson National Life Insurance
Company/Brooke Life
Jackson Partners & Associates Inc.
Jackson Securities LLC
James Baker & Associates, L.P.
CNS
3809
J.P. Morgan Securities LLC/Chase
Insurance Group
J.P. Morgan Securities LLC/CISC
J.P. Morgan Securities LLC/Small
Business
J.P. Morgan Securities, Inc.
J.P. Morgan Securities, Inc.
J.P. Morgan Securities, Inc.
J.P. Morgan Securities, Inc.
J.P. Morgan Securities, Inc.
J.P. Morgan Securities, Inc.
Jack V. Butterfield Investments
Company
0443†
JPTR
JACK
BAKR
4581
0100∆
22
Alphabetical Reference
April 2013
Janco Partners Inc.
Jane Street Capital, LLC
Jane Street Markets, LLC
Jane Street Markets, LLC
Jane Street Markets, LLC
Jane Street Markets, LLC
Jane Street Markets, LLC
Janney Montgomery Scott LLC
Janney Montgomery Scott LLC
Janus Distributors LLC
JANC
JASC
JANE
JANS
JSPT
NASJ
JSOP
JANY
JMSI
0352∆
0352∆
0352∆
0352∆
0551∆
0374
0374∆
5781
Janus Distributors LLC/Janus
Capital International Limited
Jaypee International, Inc.
JB Drax Honroe, Inc.
Jefferies & Co., Inc.
Jefferies & Company, Inc.
Jefferies Bache Securities, LLC
Jefferies Execution Services, Inc.
Jefferies LLC
JPII
JBDH
BDIR
PJEF
PGSL
JEFX
JEFF
5467
0049∆
0158∆
0352∆
0443∆
0226∆
0536∆
0019
Jefferies LLC/Jefferies Execution
Services, Inc./Service Bureau
WDSB
0536
Jefferson National Life Insurance
Company
Jeffrey Matthews Financial Group,
LLC
Jeffries Partner Opportunity Fund II,
LLC
Jettrade, Inc.
JFD Securities, Inc.
JH Darbie & Co. Inc.
JK Securities, Inc.
JMP Securities, LLC
JNK Securities Corp.
John Hancock Funds, LLC
CNS
CNS
CNS
0019
CNS
0235†
CNS
JHYT
JETT
JFDS
JHDR
JKSI
JSSF
JNKK
0019∆
0019†
0226†
CNS
CNS
0052†
0750†
0352†
CNS
CNS
CNS
0161∆
0052∆
0352∆
0161∆
5582
5910
John Hancock Life Insurance
Company (U.S.A)
4513
John Hancock Life Insurance
Company (U.S.A) /LTC
5994
John Hancock Life Insurance
Company (USA)/Insurance
John Hancock Life Insurance
Company (USA)/RPS Seg Funds &
Accounting ET7
0352†
0443†
0226†
0235∆
John Hancock Life & Health
Insurance Company/ LTC
John Hancock Life Insurance
Company (USA)/Group Pension
CNS
JEFM
5133
John Hancock Life Insurance
Company (USA) /Diversified Equity
John Hancock Life Insurance
Company (USA) /Fundamental
Holdings
0374
CNS
CNS
CNS
4573
John Hancock Funds, LLC/MGF
Offshore Lux
John Hancock Life Insurance
Company (U.S.A)/RPS LLC
John Hancock Life Insurance
Company (USA) / Global
Diversification
0443†
0352†
0352†
3343
4716
4714
4715
4661
4660
4704
John Hancock Life Insurance
Company of New York
John Hancock Life Insurance
Company of New York/RPS SEG
Funds & Accounting ET7
Johnson Investment Counsel, Inc.
Johnson, Rice & Company LLC
Johnston, Lemon & Co.
Incorporated
Jones (Edward D.) & Co.
Jones Gable & Company LTD./CDS
JonesTrading
Joseph Grace
Joseph Stone Capital L.L.C.
4607
JRCO
4705
3779
0352∆
JOLE
EDJO
JNGF
JONE
ETSB
JSCL
0443∆
0057
5070●
0161∆
0235∆
0052∆
JP Morgan Chase Bank/ADP
Express Account
JP Morgan Chase Bank/IA
0161†
0235†
CNS
CNS
0279†
0352†
0352†
CNS
CNS
CNS
0443†
0352†
0352†
CNS
CNS
CNS
5978
7147
0351
JPMCC / J.P. Morgan Securities
Inc/Specialist
JPMorgan Chase Bank
N.A./JPMorgan Chase Health
Savings
JPMorgan Chase Bank
N.A./Worldwide Securities Services
Hewitt Accounts
0363
0915
0204
CUST
2424
JPMorgan Chase Bank, National
Association
0902
JPMorgan Chase Bank/PB-PCS
Shared Services
6652
JPMorgan Chase Bank/PCS
Shared Services
JPMorgan Chase Bank/TIAA-CREF
JPMorgan Distribution Services,
Inc.
2255
2006
5599
JPMorgan Distribution Services,
Inc./JPM Off-Shore Funds
JPMorgan Distribution Services,
Inc./NY Advisor 529 Plan
JRL Capital Corporation
Jump Trading
Jump Trading
Jump Trading
Jump Trading
Jump Trading
Jump Trading
Jump Trading
Jump Trading
Jump Trading
JVB Financial Group
K.A. Associates Inc.
K.R. Securities LLC
Kabrik Trading
Kahn Brothers & Co., Inc.
CNS
CNS
0409
2357
JP Morgan Chase Bank/J.P.
Morgan InstitutionalInvestments Inc.
JP Morgan Retirement Plan
Services LLC
JPMCC / Bear Specialist, Inc.
JPMorgan Chase Bank, N.A. /
Custodial Trust Company
0443†
0057
5798
JRLC
TIRE
WINZ
DYSO
FIGR
JOTA
KACS
PCKG
PXGG
WINR
JVBG
KALA
KRCO
KBKF
KBCO
3789
0279∆
0352∆
0352∆
0695∆
0695∆
0695∆
0695∆
0695∆
0695∆
0695∆
0443∆
0352∆
0352∆
0695∆
0443∆
23
Alphabetical Reference
April 2013
Kaiser and Company
Kalos Capital Incorporated
Kashner Davidson Securities
Corporation
KBC Financial Products
KBR Capital Partners LLC
KBS Capital Markets Group, LLC
KBS Capital Markets Group, LLC
KBS Capital Markets Group, LLC
KBS Capital Markets Group, LLC
KBS Capital Markets Group, LLC
KBS Capital Markets Group, LLC
KCCI, Ltd.
KCCI, Ltd.
Kedem Capital Corp.
Keefe, Bruyette & Woods, Inc.
Keeley Investment Corp.
Keeley Investment Corp.
Kelley (D.M.) & Co.
Kellogg Capital Group LLC
Kellogg Capital Markets, LLC
Kelt (The) Group, LLC
Kenneth, Jerome & Co., Inc.
Kenny Securities Corp.
Kensington Capital Corp.
Kercheville & Company
Kern, Suslow Securities, Inc.
Kershner Securities, LLC
Kevin Dann & Partners, LLC
Kevin Hart Kornfield & Co., Inc.
Key Bank N.A.
Key Investment Services LLC
Key Investment Services LLC
KeyBanc Capital Markets Inc.
Keybank National Association
Keystone Securities, LLC
KGS Alpha Capital Markets LLC
Kildare Capital, Inc.
Kildare Capital, Inc.
Kiley Partners, Inc.
Kimelman & Baird, LLC
King (C.L.) & Associates, Inc.
Kinsell, Newcomb & De Dios, Inc.
Kipling Jones & Co., Ltd
KJM Securities, Inc.
KLR Group, LLC
KMS Financial Services
KMS Financial Services, Inc.
Knight Capital Americas LLC
Knight Capital Americas LLC
Knight Capital Americas LLC
Knight Capital Americas, L.P.
Knight Capital Americas, L.P.
Knight Capital Markets, LLC
Knight Capital Markets, LLC
Knight Equity Markets, L.P.
Knight Equity Markets, L.P.
WYOM
KALO
KASH
KBFP
KCCI
KCCP
KEDM
KBWI
KEEL
DMKC
PERF
KEGG
TKGA
KJER
KENY
KENS
KERC
SLOW
KRSH
DANN
KHKC
0443∆
0750∆
0352∆
1861
1611
1612
1613
1617
1621
3872
0103∆
0103∆
0352∆
0793∆
0226∆
5661
0141∆
0501∆
0501∆
0052∆
0309∆
0443∆
0158∆
0501∆
0158∆
0443†
0226†
0750†
0352†
CNS
CNS
CNS
CNS
0352†
0793†
0226†
CNS
CNS
CNS
0141†
CNS
0501†
0226†
0052†
0443†
CNS
CNS
CNS
CNS
0158†
CNS
0226†
CNS
0443†
CNS
0799
CNS
5608
KISL
KEYB
KEYS
KGSA
KCAP
KILD
KCIX
KIML
KING
KOND
KIPL
KJMS
KLRG
KMSF
NITC
VABD
NITX
KELG
KELL
TRIM
KCMP
NITE
NITP
0809
0799
2205
0750∆
0103∆
0309∆
0352∆
0743
0309∆
0050∆
0443†
0103†
0103†
0309†
0352†
0743
0309†
CNS
CNS
CNS
CNS
CNS
CNS
CNS
0226†
CNS
0443†
CNS
0295
0295†
CNS
CNS
0100∆
4835
0295
0295∆
0295∆
0295∆
0295∆
0295∆
0295∆
0295∆
0161†
CNS
0161†
CNS
Knight Execution & Clearing
Services LLC
DTTX
0295∆
Knight Execution & Clearing
Services LLC
NITD
0295∆
QUAD
LIBE
LMKO
0295∆
0443∆
0235∆
0194
0712
0235∆
0158∆
0443∆
0226∆
Knight Execution & Clearing
Services LLC
Knight Libertas, LLC
Kohn (L.M.) & Company
Kohn (L.M.) & Company
Koonce Securities Inc.
Korth (J.W.) & Company, Inc.
Kota Global Securities Inc.
Kovack Securities Inc.
Kovack Securities, Inc.
Kovitz Securities, LLC
Kramer Securities Corp.
Krueger Brokerage, Inc.
Kuhns Brothers Securities
Corporation
Kun-Lun Development Corporation
Kuykendall & Schneider, Inc.
KW Securities Corp.
KW Securities Corporation
Kyson & Company
Kyte Securities LLC
L.S.Y., Inc.
LaBrunerie Financial Services
Ladenburg, Thalmann & Co. Inc.
Lafayette Investments Incorporated
Lafferty (R.F.) & Co., Inc.
Laidlaw & Company (UK) Ltd.
Lake Forest Securities, LLC
Lake Street Capital Markets, LLC
LAM Securities
Lamon & Stern Inc.
Lampost Capital, L.C.
Lancaster Pollard & Co.
Landmark Investment Group, Inc
Landolt Securities, Inc.
Landolt Securities, Inc.
Lantern Investments, Inc.
Lara, Shull & May, Ltd.
LaraDorbecker Securities
Corporation
Larimer Capital Corporation
Larkin (Emmett A.) Co., Inc.
LaSalle St. Securities, LLC
LaSalle Street Securities, Inc.
Latour Trading LLC
Latour Trading LLC
Lauren & Merlin Inc.
Laurential Bank of Canada/CDS
LavaFlow, Inc.
LavaFlow, Inc.
LavaFlow, Inc.
Lawson Financial Corporation
Lazard Capital Markets LLC
Lazard Capital Markets, LLC.
Lazard Freres & Co., LLC
KOSE
KRTH
KOTA
KOVP
KOVS
KVTZ
KRAM
KRUG
KUHN
KLDC
KUYK
LAKA
KWSC
KYSN
KYTS
AMIC
LABR
LTCO
LSPI
LAFB
LDLW
LAKE
LSCM
LMSE
LAMS
LAMP
LANP
SUMC
FISN
LDOT
LATN
LAMA
LDSC
LARC
LARK
LASS
XGWD
XGWX
LMFI
FLOW
LAVA
GOTO
LWFL
LAZA
LZCM
0235∆
0309∆
0279∆
0309∆
0235∆
0443†
0235†
CNS
CNS
0712
0235†
0158†
0443†
0226†
0443†
0141†
0235†
CNS
CNS
CNS
CNS
CNS
CNS
CNS
CNS
0309†
CNS
0309†
0352†
0235†
0226†
CNS
CNS
CNS
CNS
0226†
0188†
0226†
0141†
0235†
0750†
0235†
CNS
CNS
CNS
CNS
CNS
CNS
CNS
0750†
0443†
CNS
CNS
0309†
0158†
0226†
0226†
0443†
0235†
CNS
CNS
CNS
CNS
CNS
CNS
0226†
0235†
0750†
CNS
CNS
CNS
0226†
CNS
0235†
CNS
0443†
0308
0352†
CNS
CNS
CNS
0501∆
0226∆
0235∆
0750∆
0235∆
0103∆
0750∆
0512∆
0309∆
0158∆
0235∆
0235∆
0750∆
0232
0226∆
0695∆
0695∆
0235∆
5001
0641
0501∆
0641∆
0443∆
0308
0352∆
4850
24
Alphabetical Reference
April 2013
Lazard Freres & Co., LLC/Lazard
Global Active Funds (Offshore)
LCS Securities, LLC
LDR Capital Management LLC
Leader Investments, Inc.
Leaders Group, Inc. (The)
Lebanthal & Co., LLC
Ledgewood Capital Management,
LLC
Leede Financial Markets Inc./CDS
Leerink Swann & Company
Leerink Swann & Company
Legacy Asset Securities Inc.
Legend Securities
Legend Securities, Inc.
Legend Securities, Inc.
Legg Mason Investor Services, LLC
LCSS
LIIC
LEAD
LBCO
LEDG
LEDE
LEER
LESW
LASE
SPCS
LEGD
LDSI
5417
0352∆
1865
0727∆
0443∆
5071●
0443∆
0443∆
0235∆
0158∆
0052∆
0158∆
5749
Legg Mason Investor Services,
LLC/529 Plans
5570
Legg Mason Investor Services,
LLC/Citifunds
5834
Legg Mason Investor Services,
LLC/Legg Mason Collective Trust
5630
Legg Mason Investor Services,
LLC/Legg Mason Global Funds PLC
Leigh Baldwin & Co., LLC
LEK Securities Corporation
Lemley, Yarling & Co.
Lenox Financial Services Inc.
Leonard Securities, Inc.
Lerner (David) Associates, Inc.
Lesko Securities Inc.
Leumi Investment Services, Inc.
Levco Securities, Inc.
Levinson (S.J.) & Sons LLC
Levy, Harkins & Co., Inc.
Lexington Investment Co. Inc.
LF Rothschild, LLC
LFC Securities, LLC
Liberty Capital Investment Corp.
Liberty Group, LLC
Liberty Life Assurance Company of
Boston
Liberty Partners Financial Services,
Inc.
Liberum Capital Inc.
Libucki & Co., LLC
Lieblong & Associates, Inc.
Lifemark Securities Corp.
Lifetime Achievement Fund, Inc.
Lighthouse Financial Group, LLC
Lightspeed Trading, LLC
Lightspeed Trading, LLC
Lightspeed Trading, LLC
Lightspeed Trading, LLC
Lightspeed Trading, LLC
Lightspeed Trading, LLC
Lime Brokerage LLC
Lime Brokerage LLC
LSCI
LEYA
LENX
LEON
DLAE
LSKO
LISI
LEVN
SJLS
LEVY
LEXI
LFRO
LFCF
PURP
JACQ
5833
6013
0512
0235∆
0235∆
5144
0501∆
0352∆
0352∆
0235∆
0309∆
0352†
CNS
0727†
0226†
0443†
CNS
CNS
CNS
0443†
CNS
0443†
0443†
0235†
CNS
CNS
CNS
0052†
CNS
0235∆
0352∆
0100∆
0512
0235†
0279†
0235†
5144
0226†
0443†
0418†
CNS
CNS
CNS
CNS
CNS
CNS
CNS
CNS
0352†
0352†
0235†
0279†
0309†
0226†
CNS
CNS
CNS
CNS
CNS
CNS
0235†
0352†
CNS
CNS
0141†
0226†
CNS
CNS
0158∆
0158∆
0501∆
0551∆
0695∆
0873∆
0100∆
0103∆
0161†
0158†
0158†
CNS
CNS
CNS
0161∆
0330∆
0436∆
0501∆
0536∆
0608∆
0695∆
4559
4689
0226†
0226†
CNS
CNS
0501†
CNS
0551†
CNS
0103†
0352†
CNS
CNS
0141†
CNS
0352∆
0352†
0443†
0443†
0443†
0352†
CNS
CNS
CNS
CNS
CNS
LOMU
0235∆
0235†
CNS
TRNS
LOMB
SGLC
LIFG
LBOW
0408
0279∆
0235∆
0309∆
0443∆
3755
0279†
0235†
0309†
CNS
CNS
CNS
LDIL
LFAC
LNCL
0211
0443∆
0145
4686
Lincoln National Life Insurance
Co./Connecticut
Lincoln National Life Insurance
Company
6514
LFIN
INTG
LSPS
LSPG
GMOR
PFDK
LSTE
LITB
LIWE
Lincoln Benefit Life
Company/Administered by SE2
Technology Solutions
Lincoln Douglas Investments, LLC
Lincoln Financial Advisors
Lincoln Financial Securities
Corporation
Lincoln Investment
Lincoln Investment Planning Inc.
LBNN
LIFO
LIMA
LBEQ
JXLI
LBNE
LIFC
Lincoln Life & Annuity Company of
New York
4641
LPFS
LINC
LBKI
LASI
LMAR
Lime Brokerage LLC
Lime Brokerage LLC
Lime Brokerage LLC
Lime Brokerage LLC
Lime Brokerage LLC
Lime Brokerage LLC
Lime Brokerage LLC
Lincoln Benefit Life Company
4615
4500
Lincoln National Life Insurance
Company/For Annuities (The)
4633
Lincoln National Life Insurance
Company/For Life
4634
Lincoln National Life Insurance
Company/II
4685
Lincoln Variable Insurance Products
Trust
Linkbrokers Derivatives Corporation
Linkbrokers Derivatives Corporation
Linkbrokers Derivatives Corporation
Lipper Convertibles, L.P.
Liquid Capital Securities, LLC
Liquid Prime Services, Inc.
Liquidnet, Inc.
Littlewood (L.P.) and Associates,
Inc.
Livermore Trading Group, Inc.
Livevol Securities, Inc.
Livevol Securities, Inc.
LLK Insurance Brokerage Services,
LLC
Lloyd, Scott & Valenti, Ltd.
Lloyds Securities Inc.
Locust Street Securities, Inc.
Lodestar Securities Corp.
Loeb Partners Corporation/Retail
Loewen, Ondaatje, McCutcheon
USA Limited
Lombard Odier Transatlantic,
Limited Partnership
Lombard Securities Incorporated
Long (S.G.) & Company
Long Island Financial Group, Inc
Longbow Securities, LLC
Loomis Sayles Trust Company, LLC
LINQ
LINK
LINX
LPCO
LIQD
LIQP
LQNT
LTLI
LVMR
LVLX
LVOL
LSVL
LYSI
LSSM
LSTR
LOBR
7111
0501∆
0501∆
0501∆
0695∆
0103∆
0352∆
0541∆
0017∆
0158∆
6009
0352∆
25
Alphabetical Reference
April 2013
Loop Capital Markets, LLC
Lord Abbett Distributors
Loring Ward Securities, Inc.
Louis Capital Markets, L.P.
Lowell & Company
LPL Financial Corporation
LPL Financial Corporation/LPL
Insurance
LTC Investment Services, Inc.
Lucia Securities, LLC
Lucia Securities, LLC
M Fund Inc.
M Holdings Securities, Inc.
M&I Distributors LLC/BMO Funds
M&I Distributors, LLC
M&T Securities, Inc.
M&T Securities, Inc.
M&T Securities, Inc.
M. Amarico, Inc.
LOOP
LOUI
LOWL
YLPL
0443∆
5500
5672
0501∆
0309∆
0075
BALE
AMCO
M.J. Whitman, LLC / Third Avenue
Capital PLC
M.M. Dillon & Co. LLC
MacAllaster Pitfield Mackay Inc.
PFFR
PMCI
5916
0750∆
0664
MacDougall, MacDougall & MacTier
Ltd./CDS
Mack Investments Securities, Inc.
MINV
5022
0235∆
Mackie Research Capital
Corporation/CDS
MREC
5029∆
RECA
5029●
3849
0114
0114∆
5010●
5025
0501∆
0443∆
6428
0049∆
6577
MTDB
MSUS
MACQ
YKTN
MRAD
MAVS
EQUI
Madison Investment Advisors,
LLC/Madison Funds
Madison Investment Advisors,
LLC/Ultra Series Fund
Madison Williams and Company
Magna Securities Corp.
Magnus (E.) Oppenheim & Co., Inc.
Maia Securities, Inc.
Main Street Management Company
Maine Securities Corporation
Mainline West Municipal Securities
LLC
Mainsail Group, LLC
Managed Account Services, LLC
Managers Investment Group, LLC
Manhattan Beach Trading Financial
Services, Inc.
Manna Capital Management
Manning & Napier Investor
CNS
MWCO
MSCH
EMOC
MAIA
MSMC
MSCB
0309†
0075
CNS
CNS
0226†
0235†
0443†
0158†
0235†
CNS
CNS
CNS
CNS
CNS
Manufacturers and Traders Trust
Company
Manulife Securities Inc./CDS
Maple Securities USA, Inc.
Maplewood Investment Advisors,
Inc.
Marco Polo Securities Inc.
Marcus Schloss & Co., Inc.
Mark Boyar & Co., Inc.
Market Street Financial Group LLC
MarketAxess Corporation
Marquis Financial Services, Inc.
Marsco Investment Corporation
Martinez-Ayme Securities
Marv Capital Inc.
Mason Securities, Inc.
CNS
0750∆
MTSD
Manufacturers & Traders Trust
Company/TPA
MAPL
MPLW
DVNE
MSCA
BOYR
0226∆
0049∆
0418∆
0052∆
0287
0052∆
0309∆
4545
Massachusetts Mutual Life
Insurance Company
5844
MATX
3697
0158∆
5681
Matrix Capital Group, Inc./Shields &
Company
5843
0279†
CNS
MASE
0141†
CNS
5736
0158∆
0750∆
5753
0158†
0750†
CNS
CNS
0443†
0052†
0287
0052†
0309†
0443†
CNS
CNS
CNS
CNS
CNS
CNS
0158†
CNS
0443†
0309†
0443†
0161†
CNS
CNS
CNS
CNS
5695
6606
5694
5411
CNS
CNS
CNS
CNS
6697
3765
0279∆
0226†
0443†
0418†
0443†
4534
Matrix Capital Group, Inc. / The
Monteagle Funds
Matrix Capital Group, Inc./360
Funds
Matrix Capital Group, Inc./Amidex
Matrix Capital Group, Inc./Stringer
Asset Management
Matthew 25 Fund, Inc.
Matthews (Joseph) & Co.
Maxim Group LLC
Maxim Group, LLC
Maxwell Simon Inc.
MBS Capital Markets, LLC
MBSC Securities Corporation
MBSC Securities Corporation
MBSC Securities
Corporation/Mellon Bank N.A.
(MCM)
TFT
3389
5637
0750∆
0235∆
0922
6901
MKTX
MAFS
MRSC
AYME
NTCP
MSIE
Matrix Capital Group, Inc./Nest Egg
Funds
CNS
CNS
CNS
CNS
CNS
CNS
0990
5047
0269
Matrix Capital Group,
Inc./Congressional Effect Fund
0443†
0443†
0750†
0235†
0188†
0750†
2128
Massachusetts Mutual Life
Insurance Company
Massachusetts Mutual Life
Insurance Company/Administered
by se2 Technology Solutions
Massachusetts Mutual Life
Insurance Company/Fund
Operations
Massachusetts Mutual Life
Insurance Company/Separate
Investment Accounts
Matrix Capital Group, Inc.
Matrix Capital Group, Inc.
0443†
MANI
4987
MLMS
MBTS
MFPC
Services, Inc.
Manning (V.M.) & Co., Inc.
Manufacturers & Traders Trust
Company
4747
AIAI
HLIX
0235∆
6900
5425
0757
6561
5352
0443∆
0040
0443∆
0158∆
Mackie Research Capital
Corporation/CDS
Macquarie Asset Management Inc.
Macquarie Capital (USA) Inc.
Macquarie Capital (USA) Inc.
Macquarie Private Wealth Inc./CDS
Macquarie Private Wealth Inc./CDS
Macro Risk Advisors, LLC
Madison Avenue Securities
Madison Avenue Securities, Inc.
Madison Capital Markets, Inc.
Madison Investment Advisors, LLC
0443†
JMAT
MXMS
MAXM
MXSI
MBSL
MBSC
7085
6637
0750∆
0050∆
0443∆
0309∆
0161∆
5523
6657
26
Alphabetical Reference
April 2013
MBSC Securities
Corporation/Mellon Bank N.A.
(SMAM)
6598
MBSC Securities
Corporation/Mellon Global Funds
6615
Merrill Lynch Pierce Fenner & Smith
Incorporated
Merrill Lynch Professional Clearing
Corp.
Merrill Lynch Professional Clearing
Corp./Order Desk
Merrill Lynch, Pierce, Fenner &
Smith Inc.
Merrill Lynch, Pierce, Fenner &
Smith Inc.
Merrill Lynch, Pierce, Fenner &
Smith Incorporated
Merrill Lynch, Pierce, Fenner &
Smith Incorporated
MLPK
0161∆
Merrill Lynch, Pierce, Fenner &
Smith Incorporated
MLRM
0161∆
Merrill Lynch, Pierce, Fenner &
Smith Incorporated
MLSE
0161∆
Merrill Lynch, Pierce, Fenner &
Smith Incorporated
MLSK
0161∆
CNS
Merrill Lynch, Pierce, Fenner &
Smith Incorporated
MLSL
0161∆
0443†
CNS
Merrill Lynch, Pierce, Fenner &
Smith Incorporated
MLTA
0161∆
0235†
CNS
Merrill Lynch, Pierce, Fenner &
Smith Incorporated
MLTC
0161∆
0443†
0226†
0725†
0750†
0158†
8039
0443†
0702†
0161†
0226†
0226†
CNS
CNS
CNS
CNS
CNS
TFT
CNS
CNS
CNS
CNS
CNS
Merrill Lynch, Pierce, Fenner &
Smith Incorporated
MLTE
0161∆
Merrill Lynch, Pierce, Fenner &
Smith Incorporated
MLTI
0161∆
Merrill Lynch, Pierce, Fenner &
Smith Incorporated
MLTJ
0161∆
Merrill Lynch, Pierce, Fenner &
Smith Incorporated
MLTK
0161∆
Merrill Lynch, Pierce, Fenner &
Smith Incorporated
MLTL
0161∆
Merrill Lynch, Pierce, Fenner &
Smith Incorporated
MLUA
0161∆
Merrill Lynch, Pierce, Fenner &
Smith Incorporated
MLUB
0161∆
Merrill Lynch, Pierce, Fenner &
Smith Incorporated
MLUC
0161∆
Merrill Lynch, Pierce, Fenner &
Smith Incorporated
PXCJ
0161∆
Merrill Lynch, Pierce, Fenner &
Smith Incorporated
MLBB
0651∆
Merrill Lynch, Pierce, Fenner &
Smith Incorporated/Fixed Income
BOFA
TFT
Merrill Lynch, Pierce, Fenner &
Smith, Inc.
BCEX
0161∆
CNS
Merrill Lynch, Pierce, Fenner &
Smith, Inc.
MLCA
0161∆
Merrill Lynch, Pierce, Fenner &
Smith, Inc.
MLCB
0161∆
Merrill Lynch, Pierce, Fenner &
Smith, Inc.
MLCC
0161∆
Merrill Lynch, Pierce, Fenner &
Smith, Inc.
MLCD
0161∆
Merrill Lynch, Pierce, Fenner &
Smith, Inc.
MLCG
0161∆
Merrill Lynch, Pierce, Fenner &
Smith, Inc.
MLEL
0161∆
Merrill Lynch, Pierce, Fenner &
Smith, Inc.
MLEX
0161∆
6538
MBSC Securities
Corporation/Mellon Bank, NA (TBC)
MBSC Securities Corporation/The
Bank of New York Mellon
McAdams Wright Ragen, Inc.
McCamish Systems, LLC
McClurg Capital Corporation
McCourtney-Breckenridge &
Company
McDonnell, Inc.
McGowan (J.P.) & Company, Inc.
McKelvey (George) Co., Inc.
McKenna (D.B.) & Co., Inc.
McKim Capital, Inc.
McKinnon & Company Inc.
McLiney & Company
McMahan Securities Co. L.P.
McMillion Securities, Inc.
McNicoll, Lewis & Vlak LLC
MDB Capital Group, LLC
Means Investment Company, Inc.
MEB Options, LLC
Mediterranean Securities Group,
LLC
Meeschaert Capital Markets, Inc.
Mell (W.H.) Associates, Inc.
Mellin Securities, Inc.
Melvin Securities, L.L.C.
Mercadien Securities
Mercator Associates, LLC
Mercator Associates, LLC
Mercer Trust Company
Mercer Trust Company
Merchant Capital, LLC
Mercor Securiteis LLC
Meredith (Robert R.) & Co.
Meridian Equity Partners Inc.
Meridian Equity Partners Inc.
Meritus Financial Group, Inc.
Merlin Securities, LLC
Merlin Securities, LLC
Merrill Lynch, Pierce, Fenner &
Smith Incorporated
MWRI
MCCL
5913
0226∆
6403
0443∆
MCTY
MDON
JPMC
GMCK
DBMC
ROND
MCKN
MCLI
MMAN
MCME
MLVM
MDBC
MEAN
MEBO
0235∆
0727∆
MSGP
WMEI
MELL
MELN
MLVN
MERC
MERQ
MTOR
0052∆
0279∆
MCLL
MSLC
MDTH
MEPT
MERP
MEFG
MERL
RLIN
0226∆
0750∆
0158∆
0702∆
0161∆
0226∆
0226†
0695∆
0235∆
0235∆
0158∆
0158∆
0347
7103
0279†
0443†
0235†
0443†
0235†
0161†
6733
CNS
CNS
CNS
CNS
CNS
CNS
0017∆
0443†
0158∆
0824∆
0750∆
0352∆
0501∆
0750†
0352†
CNS
CNS
WVBD
0161∆
0161†
CNS
PRST
0551
0551
CNS
PROR
0551∆
MLCO
0161
MLTX
0161∆
Merrill Lynch, Pierce, Fenner &
Smith, Inc.
MLTQ
0161∆
0161∆
Merrill Lynch, Pierce, Fenner &
Smith, Inc.
MLTV
0161∆
Merrill Lynch, Pierce, Fenner &
Smith, Inc.
BCEP
0551∆
MLMA
MLBC
0161∆
0161
0161†
CNS
0773
CNS
CNS
27
Alphabetical Reference
April 2013
Merrill Lynch, Pierce, Fenner &
Smith, Inc./BAI
Merrimac Corporate Securities, Inc.
Merrimack Valley Investment Inc.
Merriman Curhan Ford & Company
Merrion Securities, LLC
Mesirow Financial, Inc.
MERR
MKVA
MERI
MERS
MSRO
MetLife Insurance Company of
Connecticut
MetLife Investors Insurance
Company
MetLife Investors USA Insurance
Company
Metlife Securities, Inc.
MetLife Securities, Inc.
Metlife Securities, Inc./Metlife
Defined Contribution Group
Metlife Securities, Inc./TPA
Metropolitan Life Insurance
Company
Meyers Associates, L.P.
Meyers Associates, L.P.
MFR Securities, Inc.
MFS Distributors Inc.
MFS Heritage Trust Company
MFS International Funds
MG Trust Company, LLC
MGI Securities Inc./CDS
MHA Financial Corp
MICG Investment Management
Michigan Securities, Inc.
Mid Atlantic Capital Corp.
Mid Atlantic Capital Corp.
Mid Atlantic Capital Corp./SungardHinsdale
Mid Florida Equities, Inc.
Midamerica Financial Services, Inc.
Midas Securities Group, Inc.
Middlegate Securities Ltd.
Midland National Life Insurance
Company
Midland National Life Insurance
Company
Midland National Life Insurance
Company/Sammons Retirement
Solutions
Mid-Ohio Securities Corp.
Midwestern Securities Trading
Company, LLC
Milkie Ferguson Investments, Inc.
Millegan (J.W.), Inc.
Millennium Advisors, LLC
Miller Tabak & Co., LLC
Miller, Tabak & Co.
Millington Securities, Inc.
Minnesota Life Insurance Company
Minnesota Life Insurance
Company/Securian Life Insurance
Company
Minnesota Valley Investments
0424
0158∆
0472
0443∆
0352∆
0727
0158†
CNS
0443†
0352†
0727
CNS
CNS
CNS
4583
4505
MSII
4602
0443∆
0484
0443†
CNS
0597
7131
MYLG
MYRS
MFRS
MGIS
MHAF
MICG
MSIM
MACC
MOFO
MFSI
MDGS
5777
0052∆
0750∆
0052†
0750†
0443†
CNS
CNS
CNS
5516
6605
5840
5954
5008∆
0750∆
0226∆
0101
0102
0750∆
0052∆
5890
0226∆
0141†
0226†
0226†
0226†
CNS
CNS
CNS
CNS
7248
4758
MIOH
0226†
CNS
MSTC
MIFI
JWML
MADV
MTCN
MTCO
MTON
0226†
0226†
0235†
0443†
0443†
0352†
CNS
CNS
CNS
CNS
CNS
CNS
MVII
0352∆
0279∆
4560
4745
0235∆
Mizuho Securities (USA) Inc./Fixed
Income
Mizuho Securities USA Inc.
Mizuho Securities USA Inc.
MKM Partners LLC
MML Bay State Life Insurance
Company
MML Investors Services, Inc.
MML Investors Services, LLC
MND Partners, Inc.
MND Partners, Inc.
Mogavero, Lee & Co., Inc.
Moloney Securities
Momentum Trading Partners, LLC
Monarch Bay Associates, LLC
Monarch Capital Group LLC
Monarch Financial Corporation of
America
4709
0235∆
Mirae Asset Securities(USA) Inc.
Mischler Financial Group, Inc.
Mismi, Inc.
Mission Securities Corporation
Mitchell Securities Corporation of
Oregon
Mitsubishi UFJ Securities (USA),
Inc.
0235†
CNS
Money Market One Institutional
Investment Dealer
Monness, Crespi, Hardt & Co., Inc.
Monroe Securities Inc.
Montag & Joselson
Montage Securities, LLC
Montecito Advisors, Inc.
Montecito Advisors, Inc.
Montrose Securities International
Monumental Life Insurance
Company
Monumental Life Insurance
Company/Peoples
Moors & Cabot, Inc.
Moors & Cabot, Inc.
Mora WM Securities
Morgan Creek Capital
Management, LLC
Morgan Stanley & Co. Inc.
Morgan Stanley & Co. Inc.
Morgan Stanley & Co. Inc.
Morgan Stanley & Co. Inc.
Morgan Stanley & Co. Inc.
Morgan Stanley & Co. Inc.
Morgan Stanley & Co. Inc.
Morgan Stanley & Co. Inc.
Morgan Stanley & Co. Incorporated
Morgan Stanley & Co. Incorporated
Morgan Stanley & Co. LLC
Morgan Stanley & Co. LLC
Morgan Stanley & Co. LLC
Morgan Stanley & Co. LLC
Morgan Stanley & Co. LLC
Morgan Stanley & Co. LLC
MASU
MISL
MISM
MSEC
0279∆
0161∆
0873∆
0750∆
MORE
0361∆
MUFG
0076
0161†
0161†
0750†
CNS
CNS
CNS
0076
CNS
0443†
CNS
0226†
0161†
CNS
CNS
0235†
0651†
CNS
CNS
0443†
CNS
0141†
CNS
0443†
CNS
0352†
0103†
0226†
0103†
CNS
CNS
CNS
CNS
0141†
0161†
0352†
CNS
CNS
CNS
0050
CNS
2396
FUJI
MZHO
MKMP
0892
0161∆
4546
0255
GRPS
MNDY
MNDX
MOGA
MOLO
MPLM
MBAY
MNRC
0161∆
0161∆
0501∆
0235∆
0651∆
0052∆
0443∆
MFCA
MYMK
MWCC
MONR
MOJO
MTSL
MAWI
MORF
MSIT
0501∆
0352∆
0103∆
0158∆
0161∆
4564
MCBT
MCIN
MORA
MSED
MSEE
MSEF
MSEG
MSEH
MSEI
MSEJ
MSEK
MSEA
MSEB
MSCO
MSEL
MSET
MSML
MSMP
4565
0141∆
0161∆
0352∆
3681
0050∆
0050∆
0050∆
0050∆
0050∆
0050∆
0050∆
0050∆
0050∆
0050∆
0050
5857
0050∆
0050∆
0050∆
0050∆
28
Alphabetical Reference
April 2013
Management, LLC
Morgan Stanley & Co. LLC/Advisor
Funds
4970
Morgan Stanley & Co. LLC/Dublin
Liquidity
6646
Morgan Stanley & Co. LLC/Liquidity
Funds
5767
Morgan Stanley & Co. LLC/Morgan
Stanley Investment Funds
4944
Morgan Stanley & Co.
LLC/Universal Institutional Inc
Morgan Stanley & Co., Inc.
Morgan Stanley & Co., Inc.
Morgan Stanley & Co., Inc.
Morgan Stanley Broker Dealer
Services
Morgan Stanley Smith Barney LLC
Morgan Stanley Smith Barney LLC
Morgan Stanley Smith Barney LLC
Morgan Wilshire Securities, Inc.
Morgenthau & Associates, Inc.
Morton Clarke, Inc.
Motif Investing, Inc.
Mountainview Securities, LLC
MPS Global Securities, LLC
MS Securities Services, Inc.
MTG, LLC
MTL Equity Products, Inc.
Multi Financial Securities
Corporation
Multi-Bank Securities, Inc.
Multi-Financial Securities
Corporation/Vestax Securities
Corporation
Multi-Financial Securities Group
Multinvestments, Inc.
Multitrade Securities LLC
Mundoval Funds
Municenter, LLC (The)
Municipal Capital Market Group
Municipal Partners
Murphy & Durieu
Murphy & Durieu
Mutual Money Investments, Inc.
Mutual of Omaha Investor Services,
Inc.
Mutual of Omaha Investor Services,
Inc.
Mutual Securities, Inc.
Mutual Service Corporation
Mutual Trust Co. of America
Securities
MV Securities Group, Inc.
MVP Financial, LLC
MVP Financial, LLC
MYD Market, Inc
Mystockfund Securities, Inc.
N.A. Investments Services, Inc.
Nab Securities, LLC
NAFA Capital Markets, LLC
Nanes Delorme Capital
MSNY
MSOT
MSTW
DEAN
MSPW
MSSB
MWIL
MORG
MCFM
MOTF
MVSC
MPSG
MSSS
MTGO
MTLE
5512
0015∆
0050∆
0050∆
5232
0015
0050∆
0418∆
0235∆
0750∆
0158∆
0443∆
0161∆
0158∆
0235∆
0015†
0015
0050†
0418†
0235†
0750†
0226†
CNS
NASDAQ Execution Services, LLC
NASDAQ Execution Services, LLC
NASDAQ Execution Services, LLC
NASDAQ Execution Services, LLC
NASDAQ Execution Services, LLC
NASDAQ OMX BX, INC
NASDAQ OMX PHLX LLC
NASDAQ Options Services, LLC
NASDAQ Options Services, LLC
NASDAQ Options Services, LLC
CNS
CNS
CNS
CNS
CNS
CNS
NASDAQ Stock Market
LLC/Omnibus Account
NASDAQ Stock Market, LLC. (The)
National Alliance Securities
Corporation
National Banc Financial Inc.
National Bank Financial Inc./CDS
National Bank Financial of Canada
Inc.
National Financial Services
Corporation
0161†
0050†
CNS
CNS
0235†
CNS
0443†
CNS
0444
MULT
MTVN
MTRN
MCTR
MCMG
MUNP
MURF
MURG
TRSR
0352∆
4902
0161∆
0309∆
0443∆
0103∆
0443†
0352†
0443†
CNS
CNS
CNS
0759
0734
NACL
NBKT
NBFC
CNS
0309∆
5008∆
5008∆
0309†
CNS
PTLV
0443∆
0443†
CNS
NFSC
0226
0226
CNS
0052†
0226†
CNS
CNS
0141†
CNS
0226†
CNS
0161†
0031
0309†
0388†
CNS
CNS
CNS
CNS
0226†
CNS
0226†
0052†
0443†
CNS
CNS
CNS
0309†
0352†
CNS
CNS
0279†
CNS
4656
0738
6559
0263
4650
4514
4515
Nationwide Life Insurance
Company/Group Annuity
0398
0226∆
0075∆
CINN
NFGR
4530
CNS
CBOL
MLPL
NAPK
NATL
4555
0668
0052∆
0226∆
6472
4577
0279†
CNS
4550
Nationwide Life Insurance
Co./Income Products
Nationwide Life Insurance
Co./Variable Life
Nationwide Life Insurance Company
0235†
0443∆
0309∆
0352∆
NSDQ
CAES
0163
Nationwide Life & Annuity Insurance
Company
CNS
CNS
CNS
CNS
0235∆
0279∆
0226∆
0158∆
0595∆
0226∆
0052∆
National Life Insurance Company of
Vermont
National Planning Corp.
National Securities Corporation
National Securities Corporation
National Securities Corporation
National Security Life and Annuity
Co.
National Stock Exchange
Nations Financial Group, Inc.
Nationwide Fund Distributors, LLC
Nationwide Investment Services
Corp.
0161†
0309†
0443†
0443†
MOIS
MTCA
MVSG
MVFN
FMVP
MYDM
MSFS
NAIS
NACM
NAFA
NDCM
0568
0050∆
0568∆
0568∆
0568∆
0163
0237
0520
0520∆
0520∆
National Integrity Life Insurance
Company
0466
MTBK
BRUT
NQMR
DARQ
INET
NQRB
NQBX
NQPX
NQOP
ILND
PHLY
Nationwide Life Insurance
Company/NLICA
Nationwide Securities, LLC
NativeOne Institutional Trading,
LLC
Natixis Securities Americas LLC
Navaid Financial Services
Navigate Advisors LLC
NavPoint, LLC
NBCN, Inc./CDS
NBF Securities (USA) Corp.
NOIT
ABLE
PHRS
NVGT
NAVP
FMAF
NBFI
0161∆
0031
0309∆
0388∆
0443∆
5008●
5008∆
NCP Northland Capital Partners
(USA) Inc.
NDX Trading, Inc.
NCPU
NDXT
0158∆
0279∆
4576
0605
29
Alphabetical Reference
April 2013
Needham & Company, LLC
Needham & Company, LLC
Neidiger, Tucker, Bruner, Inc.
Neiman Funds
Nelnet Capital LLC
Nelnet Capital LLC/College Savings
Group
Nelnet Capital, LLC
Nelson (Martin) & Co., Inc.
Nelson Securities, Inc.
Nelsonreid, Inc.
Neonet Securities, Inc.
Nesbitt Thomson Securities, Inc.
Nestlerode & Co., Inc.
Network 1 Financial Securities Inc.
Neuberger & Berman Management,
Inc.
NEED
NTBC
UFSM
MNCO
NELS
TIGC
NEON
NTSI
NSRD
NTFN
New Horizons Asset Management
Group, LLC
New Windsor Associates, L.P.
Newbury Street Capital Limited
Partnership
Newcourt Securities, Ltd.
Newedge Canada/CDS
Newedge USA LLC
Newedge USA LLC
Newedge USA, LLC
Newedge USA, LLC
Newedge USA, LLC
Newedge USA, LLC
Newedge USA, LLC
Newedge USA, LLC
Newedge USA, LLC
Newedge USA, LLC
Newedge USA, LLC
Newedge USA, LLC
Newedge USA, LLC
NewOak Capital Markets LLC
Newport Coast Securities
Newport Coast Securities, Inc.
0235∆
0052∆
CNS
0279†
CNS
0750†
CNS
0279†
0235†
0235†
0158†
0443†
0235†
0052†
CNS
CNS
CNS
CNS
CNS
CNS
CNS
5665
6681
NBLB
NCFS
6591
0352∆
0052∆
0707
0352†
0052†
CNS
CNS
NESS
0443∆
0443†
CNS
NHMG
WINS
New York Life Insurance and
Annuity Corp.
New York Life Insurance and
Annuity Corporation/Eagle
Strategies
New York Life Insurance and
Annuity Corporation/Fixed Income
Newbridge Securities Corporation
6583
5880
0279∆
0235∆
0235∆
0158∆
0352†
5810
Neuberger & Berman Management,
Inc./AMT Funds
Neuberger Berman Management
Inc./Lehman Brothers Alpha Funds
Neuberger Berman Management
Inc./Lehman Brothers Collective
Trust
Neuberger Berman, LLC
New Castle Financial Group, Inc
New England Securities Corp.
New England Securities
Corporation
0352∆
5587
0279∆
5738
0750∆
0352∆
0226†
0352†
CNS
CNS
4548
7051
BRGE
NSCB
NWCT
PCAP
FMAT
FIMU
NEAT
NEBW
NEFO
NEGB
NELD
NENB
NEPB
NEPH
NESP
NETT
NEWO
NCIS
NCSI
4571
0052∆
0443∆
0309∆
5003
0608
0608∆
0608∆
0608∆
0608∆
0608∆
0608∆
0608∆
0608∆
0608∆
0608∆
0608∆
0608∆
0443∆
0052∆
0158∆
0052†
CNS
0443†
CNS
0608
0608†
CNS
CNS
0443†
0052†
0158†
CNS
CNS
CNS
Newport Group Securities, Inc.
Newtek Securities, LLC
Nexcore Capital, Inc.
Next Financial Group, Inc.
Nextrend Securities, Inc.
NFP Securities, Inc.
NFP Securities, Inc.
NFSCO - Stock Loan
NGAM Distribution, L.P.
REVA
NEXC
NEXT
NTNT
PSII
7218
0052∆
0750∆
0052†
CNS
0158∆
0443†
0158†
0226†
CNS
CNS
CNS
0158†
CNS
0750†
0052†
0443†
0141†
CNS
CNS
CNS
CNS
0443†
0052†
CNS
CNS
0226†
0309†
CNS
CNS
0352†
0103†
0235†
CNS
CNS
CNS
0481
5157
5542
NGAM Distribution, L.P./Aurora
Horizons Series
7080
NGAM Distribution,
L.P./Hansberger Funds
5525
NGAM Distribution, L.P./Loomis
Sayles Funds
5714
NGAM Distribution, L.P./Natixis
International funds (Dublin) I
6678
NGAM Distribution, L.P./Natixis
International funds (LUX) I
NI Advisors
Nicholas Company, Inc.
Nikoh Securities Corporation
Niphix Investments, Inc.
Noble Financial Capital Markets
Nollenberger Capital Partners Inc.
Nomura Securities International,
Inc.
Nomura Securities International,
Inc.
Nomura Securities International,
Inc./Fixed Income
Nordberg Capital Inc.
North Capital Private Securities
Corporation
North Ridge Securities Corp.
North Sea Securities, L.P.
North South Capital LLC
North Star Investment Services, Inc.
North Woodward Financial Corp.
Northeast Investors Growth Fund
Northeast Investors Trust
Northeast Retirement Services, Inc
Northeast Securities Inc.
Northeastern Financial Group Inc.
Northern Capital Sec. Corp.
Northern Lights Distributors, LLC
NIAD
NIKH
NIPH
NOBL
NCPI
6677
0158∆
5590
0750∆
0052∆
0100∆
NMRA
0180
NMRB
0180∆
NORD
5222
0352∆
3453
NRSC
OAKF
NOSO
ABYL
NWFC
NESC
NFGI
NORC
0052∆
0443∆
0309∆
5821
5778
7104
0352∆
0103∆
0235∆
4915
Northern Lights Distributors, LLC
/Resource Real Estate Funds
7047
Northern Lights Distributors,
LLC/13D Activist Fund
3796
Northern Lights Distributors,
LLC/7Twelve Balanced Fund
5604
Northern Lights Distributors,
LLC/Adaptive Allocation Fund
6694
Northern Lights Distributors,
LLC/AdvisorOne Funds
4904
Northern Lights Distributors,
LLC/Aftershock Strategies Fund
7018
30
Alphabetical Reference
April 2013
Northern Lights Distributors,
LLC/AIS Tactical Asset Allocation
Portfolio
3325
Northern Lights Distributors, LLC/Al
Frank Funds
4993
Northern Lights Distributors,
LLC/Crow Point Fund
Northern Lights Distributors,
LLC/CWC Aggressive Value Small
Cap Fund
5333
Northern Lights Distributors,
LLC/Day Hagan Funds
3317
7017
Northern Lights Distributors,
LLC/Discretionary Managed Futures
Strategy Fund
7095
5946
Northern Lights Distributors,
LLC/Diversified Risk Parity Fund
5304
3314
Northern Lights Distributors,
LLC/Arrow Funds
Northern Lights Distributors,
LLC/DMS Funds
7013
4824
Northern Lights Distributors,
LLC/Ascendant Funds
Northern Lights Distributors,
LLC/EAS Funds
5701
3743
Northern Lights Distributors,
LLC/Empiric Core Equity Fund
5561
5400
Northern Lights Distributors,
LLC/Eventide Funds
3316
7076
Northern Lights Distributors,
LLC/Fairfax Funds
Northern Lights Distributors,
LLC/Footprints Discover Value
Fund
Northern Lights Distributors,
LLC/Altegris Mutual Funds
Northern Lights Distributors,
LLC/Alternative Avenue Fund
Northern Lights Distributors,
LLC/Alternative Strategies Mutual
Fund
Northern Lights Distributors,
LLC/AmericaFirst Funds
Northern Lights Distributors,
LLC/Astor Funds
Northern Lights Distributors,
LLC/Avatar Fund
Northern Lights Distributors,
LLC/Bandon Isolated Alpha Fixed
Income Fund
Northern Lights Distributors,
LLC/BCM Portfolios
Northern Lights Distributors,
LLC/Beech Hill Total Return Fund
Northern Lights Distributors,
LLC/Belvedere Alternative Income
Fund
5393
3322
5379
5319
7030
3323
Northern Lights Distributors,
LLC/Ginkgo Multi-Strategy Fund
3744
5129
Northern Lights Distributors,
LLC/GL Beyond Income Fund
3301
7015
Northern Lights Distributors,
LLC/GMG Defensive Beta Fund
5934
Northern Lights Distributors,
LLC/Biondo Fund
5477
Northern Lights Distributors,
LLC/Black Knight Funds
6540
Northern Lights Distributors,
LLC/Bluerock Total Income + Real
Estate Fund
3387
Northern Lights Distributors,
LLC/Good Harbor Funds
Northern Lights Distributors,
LLC/Grant Park Managed Futures
Strategy Fund
Northern Lights Distributors,
LLC/Horizon Active Asset Allocation
Fund
5796
Northern Lights Distributors,
LLC/Hundredfold Funds
3767
Northern Lights Distributors,
LLC/Inflation Hedges Strategy Fund
3338
Northern Lights Distributors,
LLC/Innealta Funds
3795
3320
Northern Lights Distributors,
LLC/Investment Partners
Opportunities Fund
5414
5527
Northern Lights Distributors,
LLC/Iron Horse Fund
3724
5382
Northern Lights Distributors,
LLC/JAG Funds
3603
6541
Northern Lights Distributors,
LLC/JNF Portfolios
3701
6607
Northern Lights Distributors,
LLC/KCM Macro Trends Fund
5041
5395
Northern Lights Distributors,
LLC/Ladenburg Thalmann
Alternative Strategies Fund
5344
Northern Lights Distributors,
LLC/Boyar Value Fund
Northern Lights Distributors,
LLC/Braver Tactical Opportunity
Fund
Northern Lights Distributors,
LLC/BTS Bond Asset Allocation
Fund
Northern Lights Distributors,
LLC/Camelot Funds
Northern Lights Distributors,
LLC/Catalyst Funds
Northern Lights Distributors,
LLC/Chadwick & D'Amato Fund
Northern Lights Distributors,
LLC/CMG Funds
Northern Lights Distributors,
LLC/Compass EMP Funds
Northern Lights Distributors,
LLC/Copeland Risk Managed
Dividend Growth Fund
3339
5401
7038
5615
3614
31
Alphabetical Reference
April 2013
Northern Lights Distributors,
LLC/Linde Hansen Contrarian Value
Fund
Northern Lights Distributors,
LLC/LJM Funds
Northern Lights Distributors,
LLC/Longboard Managed Futures
Strategy Fund
3616
7016
3347
Northern Lights Distributors,
LLC/Makefield Managed Futures
Strategy Fund
3714
Northern Lights Distributors,
LLC/Marathon Value Portfolio
5303
Northern Lights Distributors,
LLC/Mariner Hyman Beck Fund
3794
Northern Lights Distributors,
LLC/Miller Convertible Funds
5622
Northern Lights Distributors,
LLC/MutualHedge Funds
5130
Northern Lights Distributors,
LLC/SFG Futures Strategy Fund
3610
Northern Lights Distributors,
LLC/Sierra Funds
5628
Northern Lights Distributors,
LLC/SignalPoint Global Alpha Fund
3397
Northern Lights Distributors,
LLC/SMH Funds
3321
Northern Lights Distributors,
LLC/SouthernSun Funds
Northern Lights Distributors,
LLC/Sustainable Opportunities
Fund
Northern Lights Distributors,
LLC/Swan Defined Risk Fund
Northern Lights Distributors,
LLC/Tatro Capital Tactical
Appreciation Fund
Northern Lights Distributors,
LLC/Taylor Xplor Managed Futures
Strategy Fund
6604
3326
3357
3708
3384
Northern Lights Distributors,
LLC/Navigator Equity Hedged Fund
5394
Northern Lights Distributors,
LLC/Nile Funds
Northern Lights Distributors,
LLC/The Collar Fund
5927
5359
Northern Lights Distributors,
LLC/North Country Funds
Northern Lights Distributors,
LLC/The FX Strategy Fund
3722
5433
Northern Lights Distributors,
LLC/North Star Opportunity Fund
3783
Northern Lights Distributors,
LLC/OCM Gold Fund
6663
Northern Lights Distributors,
LLC/The Giralda Fund
Northern Lights Distributors,
LLC/The Multi-Strategy Growth &
Income Fund
Northern Lights Distributors,
LLC/OnTrack Core Fund
7050
Northern Lights Distributors,
LLC/Pacific Financial Funds
5644
3716
3784
Northern Lights Distributors,
LLC/The Saratoga Advantage Trust
4959
Northern Lights Distributors,
LLC/Timothy Plan
6518
Northern Lights Distributors,
LLC/Toews Funds
5906
Northern Lights Distributors,
LLC/TOPS Portfolios
3711
Northern Lights Distributors,
LLC/Tributary Funds
5853
Northern Lights Distributors,
LLC/Two Oaks Fund
3751
5381
Northern Lights Distributors,
LLC/Vertical Capital Income Fund
3769
Northern Lights Distributors,
LLC/Probabilities Fund
7093
Northern Lights Distributors,
LLC/Vice Funds
7020
Northern Lights Distributors,
LLC/PSI Funds
5335
Northern Lights Distributors,
LLC/VRM Funds
3315
5924
Northern Lights Distributors,
LLC/Wade Tactical L/S Fund
5939
Northern Lights Distributors,
LLC/Witherspoon Managed Futures
Strategy Fund
3304
Northern Lights Distributors,
LLC/WOA All Asset I
3632
Northern Lights Distributors,
LLC/Zeo Strategic Income Fund
Northern Trust Company (The)
Northern Trust Company (The)
3715
2669
6625
Northern Lights Distributors,
LLC/Persimmon Long/Short Fund
Northern Lights Distributors,
LLC/Pinnacle Tactical Allocation
Fund
Northern Lights Distributors,
LLC/Power Income Fund
Northern Lights Distributors,
LLC/Princeton Futures Strategy
Fund
Northern Lights Distributors,
LLC/PTA Funds
Northern Lights Distributors,
LLC/Puerto Rico Growth Fund
Northern Lights Distributors,
LLC/Quantitative Managed Futures
Strategy Fund
3617
7094
5332
6624
3756
Northern Lights Distributors,
LLC/River Rock IV Fund
3386
Northern Lights Distributors,
LLC/Roge Partners Funds
4933
Northern Lights Distributors,
LLC/SCA Funds
5396
32
Alphabetical Reference
April 2013
Northern Trust Company (The) Trust Income Collections
Northern Trust Company (The)/SubAdvised Collective Funds Trust-LSV
Northern Trust Company/Fixed
Income Investment Fund, a Fund of
the Chicago Equity Partners Group
Trust
Northern Trust Company/Great
Banc Collective Investment Trust I
Northern Trust Company/Mondrian
Wal-Mart Focused International
Equity Fund
Northern Trust Securities, Inc.
Northland Securities, Inc.
Northpoint Trading Partners, LLC
Northpoint Trading Partners, LLC
Northstar Financial Partners
3698
3772
6689
NTRC
NORT
NPTP
NPNT
NSFP
Northwestern Mutual Investment
Services, LLC
Northwestern Mutual Life Insurance
Company
Noyes (David A.) & Co.
NRP Financial, Inc.
NSM Securities, Inc.
NSX Securities LLC
NSX Securities LLC
Nunami Services, LLC
Nunami Services, LLC
Nuveen Securities, LLC
Nuveen Securities, LLC
Nuveen Securities, LLC/Dublin
Funds
NW Capital Markets Inc.
NY Life Securities, Inc.
NYFIX Transaction Services, Inc.
NYLIFE Securities, LLC
NYLIFE Securities, LLC/Collective
Trust
NYLife Securities, LLC/New York
Life Insurance Company Group
Annuity Contracts
NYPPEX, LLC
O N Equity Sales Co.
O.N. Equity Sales Company (The)
4900
0226∆
0443∆
0443∆
0501∆
0235∆
0226†
0443†
CNS
CNS
0235†
CNS
0141†
0352†
0750†
CNS
CNS
CNS
0448
CNS
0171
4590
NOYS
OFCC
NSMS
NSXM
NSXS
NAMB
NAMI
NVEN
NWCM
NYLS
NYTS
0750∆
0050∆
0050∆
0330∆
0695∆
0448
5520
4828
0279∆
0279†
0226†
CNS
CNS
0501∆
5539
5787
NYPP
ONES
5363
0235∆
0235†
0443†
CNS
CNS
0092
O.N. Equity Sales Company
(The)/Ohio National
Oak Ridge Financial Services
Group, Inc. (The)
Oakmark Funds (The)
OBD Securities LLC
Oberweis Securites, Inc.
Oberweis Securities, Inc.
Obex Securities LLC
O'Brien & Shepard, Inc.
Obsidian Financial Group LLC
OC Securities, Inc.
Ocean Cross Capital Markets LLC
O'Connor & Company Securities
Inc.
Octagon Capital Corp./CDS
Octavus, LLC
OCTEG LLC
Odeon Capital Group LLC
OFG Financial Services Inc.
Ogilvie Security Advisors
Corporation
Ohio National Life Insurance
Company
0993
4753
EQTS
OBDS
OBWS
OBEX
OBSH
GSCL
OCSI
TBMB
OCON
0279∆
4851
0695∆
0226∆
5697
0158∆
0279∆
0750∆
0158∆
0309∆
0279†
CNS
0226†
CNS
0158†
0279†
0750†
CNS
CNS
CNS
0309†
CNS
0103†
CNS
Old Mutual Bermuda Business
Services, Inc
Olivetree USA, LLC
Olmsted & Mulhall, Inc.
Olson, Cross & Alamo LLC
Olstein Associates, Inc.
Olympia Asset Management, Ltd.
Olympia Asset Management, Ltd.
Olympus Securities, LLC
OM Securities, LLC
Omega Research Corporation
One America Securities, Inc
OneAmerica Funds, Inc.
O'Neil (William) & Co. Inc.
Online Brokerage Services, Inc.
Oppenheimer & Close Inc.
Oppenheimer & Co., Inc.
Oppenheimer & Co., Inc.
Oppenheimer Trust Company
OppenheimerFunds Distributor, Inc.
OTGN
STRT
OCTG
ODNC
OFGF
5042●
0341
0443∆
0235∆
OTSC
CNS
0443†
0235†
CNS
CNS
0443†
CNS
0750†
0235†
CNS
CNS
0158†
0235†
0052†
CNS
CNS
CNS
0161†
0443†
0443†
0571
CNS
CNS
CNS
CNS
0338
CNS
0443†
0161†
CNS
CNS
0226†
CNS
0352†
CNS
0443†
CNS
4526
OTUS
OLMM
OCAC
OMPA
RCLF
OLMP
OMSL
DXSI
ONEL
GLBZ
POPP
OPCO
WMAG
6910
0443∆
0750∆
0235∆
5775
0158∆
0235∆
0052∆
0158∆
0279∆
5315
5689
0161∆
0158∆
0443∆
0571
0571∆
0303
5511
OppenheimerFunds Distributor,
Inc./New Mexico 529 Plan
4941
OppenheimerFunds Distributor,
Inc./Oregon 529 Product
5470
Oppenheimerfunds Distributor,
Inc./Steelpath Funds
Optionshouse Corporation
Optionshouse, Inc.
OptionsXpress, Inc.
Optiver US, LLC
Oriental Financial Services
Oscar Gruss & Son, Incorporated
Oscar Gruss & Son, Incorporated
Oshima & Associates
OTA Limited Partnership
OTA, LLC
OTA, LLC
Otkritie Inc.
OTR Global Trading LLC
P.J. Robb Variable Corporation
Pace (A.J.) & Co., Inc.
Pacific American Securities, LLC
Pacific Commonwealth Corporation
Pacific Crest Securities
Pacific Financial Associates, Inc.
Pacific Global Fund, Inc.
Pacific Investment Securities Corp.
Pacific Life & Annuity Company
Pacific Life Insurance Company
0352†
EZOP
OPHS
OXPS
OPTU
ORTL
OGRU
OSHM
OTAA
OTAM
OTAS
OTKR
OTRT
AJAY
PAMS
PCMC
PACS
PFAI
PISC
5116
0158∆
0501∆
0338
0695∆
0161∆
0420
0551∆
0050∆
0551∆
0352∆
0551∆
6906
0352∆
0750∆
0226∆
0750∆
4860
0750∆
4589
4532
33
Alphabetical Reference
April 2013
Pacific Life Insurance Company/
Life Division
Pacific Life Insurance Company/Life
Division
Pacific Select Distributors, Inc.
Pactual Capital Corp.
Palmer Square Capital
Management LLC
Palmieri (Angnardo) & Co., Inc.
Paloma Securities
Panamerica Securities
Pan-American Financial Advisors
Pangburn Company, The
Papamarkou Wellner & Co.
Paradigm Funds
Pareto Securities USA
Pariter Securities, LLC
Park Avenue Securities LLC
Park Avenue Securities, LLC
Parker (S.C.) & Co., Inc.
Parnassus Investments
Partners Investment Network, Inc.
Paulsen Securities Inc.
Paulson Investment Company, Inc.
Payden & Rygel Distributors
PCBB Capital Markets, LLC
PDQ ATS
Peachtree Capital Corporation
Pembrook Capital Management,
LLC
Penates Group Inc.
Pencal Administrators, Inc.
Penn Investment Group, Inc. (The)
Penn Mutual Life Insurance
Company
Pennaluna & Company Inc.
Pennsylvania Group Incorporated
(The)
Penrod Financial Group
PENSCO Trust Company LLC
Penserra Securities, LLC
Penserra Securities, LLC
Pension Planners Securities, Inc.
Penson Financial Services, Inc.
Penson Financial Services, Inc.
Penson Financial Services, Inc.
Penson Financial Services, Inc.
Penson Financial Services, Inc.
Penson Financial Services, Inc.
Penson Financial Services, Inc.
Penson Financial Services, Inc.
Penson Financial Services, Inc.
Penson Financial Services, Inc.
Penson Financial Services, Inc.
Pentegra Distributors, Inc.
Penvest Securities Inc.
People's Securities, Inc.
Peraza Capital and Investment, LLC
Peraza Capital and Investment, LLC
6545
4616
5478
PCCN
DPAA
PLMA
PANA
PAFA
PAPA
NORP
FJRF
PASC
PARK
DJRC
PAUS
PAUL
BIGS
PDQM
PCCA
BOBO
1899
0235∆
0352∆
7145
0352∆
5476
0443∆
0496
0443∆
5783
0235∆
0352∆
0235∆
5535
0352∆
0161∆
1884
0235∆
6150
PIGS
PENA
PENG
PENC
PNSA
PNSR
PPSI
PFAR
PITG
PBBS
PFAC
PFAJ
PFCM
PFCT
PFQU
PFRC
PFSN
PEAR
RSDI
PVST
PEOP
PERZ
PECA
4572
0226∆
0052∆
0579
0161∆
0161∆
0235∆
0099∆
0099∆
0158∆
0158∆
0158∆
0158∆
0158∆
0158∆
0158∆
0158∆
0436∆
0052∆
0052∆
0220
0158∆
0279∆
0443†
CNS
0235†
0352†
0443†
0443†
CNS
CNS
CNS
CNS
0443†
0226†
0226†
CNS
CNS
CNS
0443†
CNS
0235†
0352†
0235†
CNS
CNS
CNS
0352†
CNS
0226†
CNS
0235†
CNS
0443†
CNS
0226†
CNS
0443†
0052†
CNS
CNS
0161†
0161†
0235†
CNS
CNS
CNS
0052†
0158†
0279†
CNS
CNS
CNS
Percival Financial Partners, Ltd.
Perdiue Securities, LLC
Performance Trust Capital Partners,
Inc.
Perkins, Smart & Boyd, Inc.
Permac Securities
Pershing Advisor Solutions, LLC
Pershing LLC
Pershing LLC
Pershing LLC
Pershing LLC, Principal Trading
Pershing LLC/BNYM I.S. Trust FBO
Health Savings Accounts
Customers
PERC
PERD
0158∆
0100∆
BBNI
PERK
PMAC
PASL
PERS
PERB
PERX
PERT
0309∆
0158∆
0443∆
0443
0443∆
0443∆
0443∆
0657
Pershing LLC/BNYM I.S. Trust FBO
Morningstar Wrap Program
0474
PHL Variable Life Insurance
Company/Part Advisor
Phoenix Derivatives Group, LLC
Phoenix Life and Annuity Company
Phoenix Life Insurance Company
Phoenix Life Insurance
Company/Single Premium Deferred
Annuities
PI Financial Corp.
PI Financial Corp./CDS
Pickering Energy Partners, Inc.
Pictet Canada L.P./CDS
Pictet Overseas, Inc.
Pierpont Securities LLC
PIMCO Investments LLC
PIMCO Investments LLC
PIMCO Investments LLC/Global
Investor Series
Pine Securities USA LLC
Pinnacle Capital Markets, LLC
Pinnacle Investments, LLC
Pinnacle Investments, LLC
Pinnacle Investments, LLC/Tarkio
Fund
Pinney Insurance Center, Inc.
Pioneer Investment Management
USA Inc.
Pioneer Investment Management
USA Inc./Pioneer Funds
International
CNS
0443†
CNS
0443†
0443
CNS
CNS
0443†
CNS
0443†
0052†
CNS
CNS
0443†
0443†
CNS
CNS
0161†
CNS
0161†
CNS
0443†
0158†
0226†
CNS
CNS
CNS
0592
Pershing LLC/BNYM I.S. Trust FBO
Managers Funds Wrap Program
Pershing LLC/Primerica Financial
Services
Peters & Co. Limited/CDS
Petrie Parkman & Company, Inc.
PFS Funds
PFS Investment Inc.
PGR Securities, LLC
PHD Capital
Philadelphia Brokerage Corporation
Philadelphia Investors, Ltd.
Phillips & Company Securities, Inc.
PHL Variable Life Insurance
Company
0158†
0689
5014
PTRI
6683
0468
PGRS
PHDC
FRTH
PHIN
PHCO
0052∆
0226∆
0443∆
4582
PHXP
USLF
PCFF
PICK
PICF
PICT
PPSL
4711
0161∆
4759
4579
4538
5075∆
5075●
0161∆
5027●
5027∆
0443∆
4991
9234
4836
PSUS
FRWY
PINA
0158∆
4925
3609
6028
5502
5743
34
Alphabetical Reference
April 2013
Piper Jaffray & Co.
Piper Jaffray & Co.
Piper Jaffray & Co.
Pirrone & Co., Inc.
Planmember Securities Corporation
Planned Investment Co., Inc.
Planner Securities, LLC
Plymouth Opportunity REIT, Inc.
PMK Securities & Research, Inc.
PNC Bank N.A.
PNC Bank, N.A.
PNC Bank, N.A./IPS
PNC Funds Distributor, LLC
PNC Funds Distributor, LLC/PNC
Funds
PNC Investments
PNC Investments
Podesta & Co.
Point Capital Markets, Inc.
Pointe Capital, LLC
Pointe Capital, LLC
Polar Investment Counsel, Inc.
Pond Equities
Popular Securities, Inc.
Popular Securities, Inc.
Popular Securities, Inc.
Portales Partners, LLC
Porter Christie Partners, L.P.
Portfolio Advisors A
Portfolio Brokerage Services Inc.
Portsmouth Financial Services
Potamus Trading, LLC
Powell (Elmer E.) Company
Powell Capital Markets, Inc.
PPB Advisors, LLC
PPG West LLC
Prager, Sealy & Co., LLC
Pragma Securities LLC
Prebon Financial Products Inc.
Prebon Financial Products Inc.
Prebon Financial Products Inc.
Precision Securities LLC
Preferred Client Group, Inc.
Preferred Product Network, Inc.
Presidential Bank, FSB
Presidential Brokerage, Inc.
Presidential Brokerage, Inc.
Presidio Capital Advisors, LLC
Presidio Financial Services, Inc.
Pressprich (R.W.) & Company Inc.
Primary Capital , LLC
Primary Capital, LLC
Prime Capital Services, Inc.
Prime Capital Services, Inc.
Prime Executions, Inc.
Prime Global Securities, Inc.
Prime Solutions Securities, Inc.
PrimeVest Financial Services, Inc.
PIPR
PIPS
PIPX
PIRR
PICC
CASH
0311
0311∆
0311∆
0489
0235∆
0158∆
1867
0311
CNS
0443†
CNS
0235†
0158†
CNS
CNS
0141†
2835
PMKS
PNCM
CNS
TFT
2616
2317
5151
PNCC
PNCI
PODE
PTCM
PONT
PRBC
PICI
POND
POPI
POPS
TANA
PCCM
PAAI
PBSI
PMFS
HPPO
POWL
POCM
PPGW
PMLC
PRAG
PFPI
PBON
PREB
PREC
PFCG
5879
0226∆
0768∆
0235∆
0443∆
0052∆
0235∆
0279∆
5687
0443∆
0352∆
0235∆
8052
0443∆
0103∆
0443∆
1833
0161∆
0443∆
0161∆
0161∆
0501∆
0501∆
0100∆
0279∆
4744
5987
PRSB
PRES
DSSI
RWPS
JLEO
PMRY
PMCS
SIBO
PGSI
STLR
BANK
6904
0352∆
0226∆
0352∆
0052∆
8072∆
0226∆
0665
0284∆
0235∆
0701
0226†
0768†
0235†
CNS
CNS
CNS
0052†
0235†
0279†
0141†
6779
0226†
CNS
CNS
CNS
CNS
TFT
CNS
0235†
8052
0443†
CNS
CNS
CNS
0443†
0443†
CNS
CNS
0388†
0443†
CNS
CNS
0443†
0501†
CNS
CNS
0279†
CNS
0141†
CNS
0352†
0226†
0352†
CNS
CNS
CNS
0226†
0443†
0235†
0701
CNS
CNS
CNS
CNS
Princeton Securities, Group, Inc.
Principal Life Insurance Company
PRSG
Principal Life Insurance
Company/Pension Division
Principal Life Insurance
Company/Principal National Life
Insurance Company
Princor Financial Securities, Inc.
Princor Financial Services
Princor Financial Services
Corporation
Princor Financial Services
Corporation /Principal Life
Insurance Company
0501∆
4592
4665
PFSM
4752
0188∆
0375
5546
5607
Princor Financial Services
Corporation/PGI
5212
Princor Financial Services
Corporation/Principal Funds
5836
Princor Financial Services
Corporation/Union Bond & Trust
Princor Financial Services, Inc./M
Private Client Services, LLC
Private Portfolio, Inc.
Pro Securities, L.L.C.
ProEquities
ProEquities, Inc.
ProEquities, Inc./Insurance
Processing Division
Professional Asset Management,
Inc.
Professional Asset Management,
Inc.
Professional Investments Services,
Inc.
Profinancial Inc.
ProFunds Distributors, Inc.
Progressive Asset Management
Promark Securities, Inc.
Prospera Financial Services
Protected Investors of America
4811
0175
6011
PRPO
PROS
PROE
0873∆
0443∆
6326
PAMI
0443†
CNS
0141†
CNS
PRAS
0727∆
0727†
CNS
PFIS
PFFI
0279∆
0279†
0279†
CNS
CNS
0226†
0279†
0141†
0226†
CNS
CNS
CNS
CNS
0141†
CNS
0141†
CNS
4969
PAMC
ACCI
ADSO
PIAC
0226∆
4540
4503
Protective Life Insurance Company
of New York
4629
Prudential Annuities Life Assurance
Corporation
Prudential Equity Group, LLC
Prudential Insurance Co. (The)
CNS
7007
Protective Life and Annuity
Insurance Company
Protective Life Insurance Company
PRS International Investment
Advisory Services Inc.
PRUCO Life Insurance Company
PRUCO Life Insurance Company of
NJ
Pruco Securities, LLC
0443†
3408
4597
4598
PRUC
4504
PRGL
4596
Prudential Insurance Company of
America
4968
Prudential Insurance Company of
America/Prudential Insurance Co. of
America
4733
35
Alphabetical Reference
April 2013
Prudential Insurance Company of
America/Prudential Ret. Insurance
& Annuity Corp.
Prudential Insurance Company of
America/Prudential Trust Company,
Inc.
Prudential Investment Management
Services, LLC
Quasar Distributors, LLC/Academy
Fund Trust
Quasar Distributors, LLC/Advantus
Funds
Quasar Distributors, LLC/Aegis
Funds
Quasar Distributors, LLC/Akre
Funds
Quasar Distributors, LLC/Alpha
Capital Funds
Quasar Distributors, LLC/Alpine
Funds
Quasar Distributors, LLC/Artio
Global Fund
6675
Quasar Distributors, LLC/Barrett
Growth Fund
5480
0450
Quasar Distributors, LLC/Becker
Value Funds
5291
5805
Quasar Distributors, LLC/Boston
Common Funds
5350
Quasar Distributors, LLC/Brandes
Dublin Offshore
5911
CNS
Quasar Distributors, LLC/Brandes
Investment Trust
5693
CNS
Quasar Distributors,
LLC/Brandywine Funds
4978
0052†
CNS
Quasar Distributors, LLC/Bridges
Investment Fund
5531
0226†
0226†
0226†
CNS
CNS
CNS
Quasar Distributors, LLC/Brookfield
Investment Funds
3734
0226†
PIMS
CNS
5746
PSAE
PSGX
PTIS
PTIX
PULB
PUMA
PUPL
SARG
PROG
Putnam Retail Management Limited
Partnership
Quasar Distributors, LLC/Aberdeen
Offshore Funds
Quasar Distributors, LLC/AC One
Funds
4935
6526
Prudential Investment Management
Services, LLC
Putnam Retail Management Limited
Partnership/Embassy Funds
PWMCO, LLC
QA3 Financial Corp.
QS Investors, LLC
QTrade Securities Inc./CDS
Quantex Clearing, LLC
Quantitative Analysis Services, Inc.
Quantlab Securities LP
Quantlab Securities LP
Quantlab Securities LP
Quantlab Securities LP
Quantlab Securities, LP
QuantRiver Financial, LLC
Quantum Edge Derivatives Trading
LLC
Quasar Distributors, LLC
6638
Quasar Distributors, LLC/Appleton
Group Funds
6525
Prudential Investment Management
Services, LLC
Prudential Investment Management
Services, LLC/Worldwide Inv.
Portfolio Funds
PSA Equities, Inc.
PSG Executions, Inc.
PTI Securities & Futures L.P.
PTI Securities & Futures L.P.
Pulaski Bank
Puma Capital, LLC
Puplava Securities, Inc.
Purshe Kaplan Sterling Investments
Putnam Retail Management
Quasar Distributors, LLC/America
Trust Allegiance Fund
0141†
0501∆
0235∆
0017∆
0295∆
0226∆
0235†
5505
MPWA
QAFC
QNTX
QANL
FQLB
FQLS
ETAI
QETC
LABQ
QRQR
QEDA
5893
0467
0052∆
3766
5009
0294
0443∆
0396∆
0396∆
0873∆
0873∆
0158∆
0158∆
0695∆
5368
4957
3639
5612
3364
6612
5937
5365
5896
0467
0052†
CNS
CNS
Quasar Distributors, LLC/Brown
Advisory Funds
Quasar Distributors, LLC/Buffalo
Funds
Quasar Distributors, LLC/Bushido
Funds
Quasar Distributors, LLC/Capital
Advisor Growth Fund
Quasar Distributors, LLC/Chase
Growth Funds
Quasar Distributors,
LLC/Coldstream Dividend Growth
Fund
5437
4931
3360
5691
5626
5327
Quasar Distributors, LLC/Collins
Capital Funds
3306
Quasar Distributors, LLC/Congress
Asset Management
5741
Quasar Distributors,
LLC/Contravisory Funds
Quasar Distributors, LLC/Country
Funds
Quasar Distributors, LLC/Cove
Street Funds
Quasar Distributors, LLC/Cushing
Funds
5797
4922
3749
5328
Quasar Distributors, LLC/Davidson
Funds
5945
Quasar Distributors, LLC/Dearborn
Partners Funds
7060
Quasar Distributors, LLC/Doubleline
Funds
5353
Quasar Distributors, LLC/Dow
Jones Islamic Index Fund
Quasar Distributors, LLC/DSM
Funds
Quasar Distributors, LLC/Duncan
Hurst Aggressive Growth
5566
5952
6567
36
Alphabetical Reference
April 2013
Quasar Distributors, LLC/Edgar
Lomas Fund
5727
Quasar Distributors, LLC/Kinetics
Mutual funds
6608
Quasar Distributors, LLC/Evermore
Value Trust
5407
Quasar Distributors, LLC/Kirr
Marbach Partners Fund, Inc.
6685
Quasar Distributors, LLC/Fort Pitt
Capital Funds
5887
Quasar Distributors, LLC/Lawson
Kroeker Funds
3345
Quasar Distributors, LLC/Frontegra
Small Cap Core Fund
3736
Quasar Distributors, LLC/Fund * X
Upgrader Fund
5666
Quasar Distributors, LLC/Geneva
Advisors All Cap Growth Fund
6527
Quasar Distributors, LLC/Genworth
Funds
5864
Quasar Distributors, LLC/Gerstein
Fisher Funds
5938
Quasar Distributors, LLC/Glenmede
Fund, Inc.
4955
Quasar Distributors,
LLC/Goodhaven Fund
Quasar Distributors, LLC/GPS
Funds I
Quasar Distributors, LLC/GPS
Funds II
Quasar Distributors, LLC/Great
Lakes Funds
3700
5495
5977
3366
Quasar Distributors, LLC/Litman
Gregory Funds
Quasar Distributors, LLC/LKCM
Funds
Quasar Distributors, LLC/LoCorr
Investment Trust
Quasar Distributors, LLC/Logan
Funds
Quasar Distributors, LLC/MainGate
MLP Funds
Quasar Distributors, LLC/Mariner
Funds
Quasar Distributors, LLC/Matrix
Advisors Value Fund, Inc.
Quasar Distributors, LLC/McKinley
Capital Equity Income Fund
Quasar Distributors, LLC/MD Sass
Funds
Quasar Distributors, LLC/Merger
Fund
Quasar Distributors, LLC/Monetta
Funds
Quasar Distributors,
LLC/Greenspring Fund
6513
Quasar Distributors, LLC/Guinness
Atkinson Funds
Quasar Distributors, LLC/Morgan
Dempsey Funds
5754
Quasar Distributors,
LLC/Muhlenkamp Fund
Quasar Distributors,
LLC/Mutual.com
Quasar Distributors, LLC/Muzinich
Funds
Quasar Distributors, LLC/Harding
Loevner Funds, Inc.
Quasar Distributors, LLC/Hatteras
Funds
Quasar Distributors, LLC/Hennessy
Mutual Funds, Inc.
Quasar Distributors, LLC/Hodges
Fund
Quasar Distributors, LLC/Hotchkis &
Wiley Funds
Quasar Distributors, LLC/Huber
Capital Funds
4981
5449
4892
4883
5569
3305
5366
5406
4908
7056
5918
6601
5766
5354
4986
5847
3646
5792
Quasar Distributors, LLC/New Path
Funds
Quasar Distributors, LLC/Nuance
Funds
4984
Quasar Distributors, LLC/Orinda
Long Short Equity Fund
5931
5318
4869
3770
5369
6530
Quasar Distributors,
LLC/O'Shaughnessy Funds
Quasar Distributors, LLC/Intrepid
Capital Funds
4815
Quasar Distributors, LLC/Osterweis
Fund
4840
Quasar Distributors, LLC/Investec
Global Strategy Funds
5057
Quasar Distributors, LLC/Pension
Partners Fund
3367
Quasar Distributors, LLC/Investec
Offshore Funds
5755
Quasar Distributors, LLC/IronBridge
Funds
5321
Quasar Distributors, LLC/Jacob
Internet Fund
4960
Quasar Distributors, LLC/Jensen
Portfolio, Inc.
5491
Quasar Distributors, LLC/Jordan
Opportunity Fund
5917
Quasar Distributors, LLC/Julius
Baer Offshore Funds
Quasar Distributors, LLC/Kellner
Funds
5698
Quasar Distributors,
LLC/Permanent Portfolio
Quasar Distributors, LLC/Perritt
Funds
Quasar Distributors, LLC/Phocus
Funds
Quasar Distributors, LLC/Pictet
Funds
Quasar Distributors, LLC/Poplar
Forest Partners Fund
Quasar Distributors, LLC/Portfolio
21
Quasar Distributors, LLC/Primary
Trend Fund
6627
5602
6547
5793
5404
4929
5858
3644
37
Alphabetical Reference
April 2013
Quasar Distributors,
LLC/PRIMECAP Odyssey Funds
Quasar Distributors,
LLC/Prospector Funds
Quasar Distributors, LLC/Provident
Trust
Quasar Distributors, LLC/Purisma
Funds
Quasar Distributors, LLC/Rainier
Funds
Quasar Distributors, LLC/RBC
Funds Trust
Quasar Distributors, LLC/Reinhart
Funds
Quasar Distributors, LLC/Rochdale
Funds
Quasar Distributors, LLC/Rockland
Trust
Quasar Distributors, LLC/Roosevelt
Funds
Quasar Distributors, LLC/Salem
Trust
Quasar Distributors, LLC/Samson
Funds
Quasar Distributors, LLC/Scharf
Funds
4895
5901
3371
6643
4876
5413
3307
4990
5355
5636
7010
Quasar Distributors, LLC/WBI
Funds
Quasar Distributors, LLC/WisCap
Funds
Quasar Distributors, LLC/WY Funds
Quasar Distributors, LLC/YCG
Funds
Quattro M Securities Inc.
Queens Road Securities, LLC
Quest Capital Strategies, Inc.
Quest Capital Strategies, Inc.
Questar Capital Corp./Secondary
Questar Capital Corporation
Questrade Inc./CDS
Quoin Capital LLC
R H Investment Corporation
R.F. Lafferty & Co., Inc.
R.F. Lafferty & Co., Inc.
R.W. Pressprich & Co, Inc
R.W. Towt & Associates
Rabo Securities USA, Inc.
5326
6674
4874
QMSR
QUEC
QUET
7008
0100∆
4884
0158∆
0235∆
0527
POOH
QUOI
RHIC
LAFC
LAFF
RWPC
TOWT
RABO
5084
0309∆
0279∆
0443∆
0443∆
0443∆
0750∆
0443∆
4723
Radnor Research & Trading
Company, LLC
Rafferty Capital Markets, LLC
Rafferty Capital Markets, LLC
Rafferty Capital Markets, LLC
5729
Rafferty Capital Markets, LLC /
Satuit Funds
5867
Quasar Distributors, LLC/Shenkman
Funds
3374
Rafferty Capital Markets, LLC /
Sparrow Funds
5908
Quasar Distributors, LLC/Smead
Value Fund
6686
Rafferty Capital Markets,
LLC/Archer Funds
5124
5899
Quasar Distributors, LLC/Schooner
Growth & Income Fund
Quasar Distributors, LLC/Selector
Management Fund
3346
3771
RRTC
JJKS
RAFF
0158∆
0161∆
5726
0161∆
3719
Rafferty Capital Markets,
LLC/Berkshire Funds
Quasar Distributors, LLC/Stone
Ridge Funds
7055
Rafferty Capital Markets, LLC/Chou
America Mutual Fund
5323
Quasar Distributors, LLC/Strategic
Income Management Funds
5905
Rafferty Capital Markets,
LLC/Entrepreneur Shares
5367
4898
Rafferty Capital Markets,
LLC/Epiphany Funds
6634
4916
Rafferty Capital Markets, LLC/Hagin
Keystone Market Neutral Fund
3313
4976
Rafferty Capital Markets,
LLC/Leuthold Funds
5656
Quasar Distributors, LLC/Thomas
White Funds
6636
Rafferty Capital Markets,
LLC/Longleaf Partner Funds
4863
Quasar Distributors, LLC/Thompson
IM Funds
5557
Rafferty Capital Markets,
LLC/Marketocracy Funds
6682
5731
Rafferty Capital Markets, LLC/New
Frontiers KC India Fund
3704
5168
Rafferty Capital Markets,
LLC/Oracle Funds
5131
Quasar Distributors, LLC/Standard
Insurance
Quasar Distributors, LLC/TCM
Small Cap Growth Fund
Quasar Distributors, LLC/Teberg
Fund
Quasar Distributors, LLC/The Snow
Capital Family of Funds
Quasar Distributors,
LLC/Tiedemann Funds
Quasar Distributors, LLC/Tortoise
Core Infrastructure Fund
Quasar Distributors, LLC/US Bank
Institutional Collective Funds
Quasar Distributors, LLC/USFS
Funds
4695
3363
Quasar Distributors, LLC/Villere
Balanced Fund
4886
Quasar Distributors, LLC/Wall
Street Fund
6626
Rafferty Capital Markets, LLC/PIP
New Generation Fund
Rafferty Capital Markets,
LLC/Ranger Funds Investment
Trust
Rafferty Capital Markets,
LLC/Tanaka Funds
Rainier Securities, LLC
0158†
0235†
CNS
CNS
0443†
CNS
0309†
0279†
0443†
0443†
CNS
CNS
CNS
CNS
0750†
CNS
0161†
CNS
3723
3775
5771
RAIN
0226†
CNS
38
Alphabetical Reference
April 2013
RAIT Securities
Ramat Securities Ltd.
Ramirez Tradetrek Securities, LLC
Ramius Securities, LLC
Ramsey (M.) King Securities, Inc.
Raven Securities Corp.
Raymond C. Forbes & Co., Inc.
Raymond James & Associates, Inc.
Raymond James & Associates,
Inc./Fl
Raymond James & Associates,
Inc./Morgan Keegan
Raymond James (USA) LTD.
Raymond James Ltd./CDS
RBC Capital Markets Corporation
RBC Capital Markets Corporation
RBC Capital Markets Corporation
RBC Capital Markets Corporation
RBC Capital Markets Corporation
RBC Capital Markets
Corporation/Retail
RBC Capital Markets, LLC
RBC Captial Markets Arbitrage,
S.A.
RBC Centura Securities, Inc.
RBC Dominion Securities
Corporation
RBC Dominion Securities Inc./CDS
RBS Securities Inc./Equities
RBS Securities, Inc.
RD Capital Group, Inc.
RDM Investment Services, Inc.
RDSC, LLC
Realty Capital Securities, LLC
Realty Capital Securities, LLC
Realty Capital Securities, LLC
Realty Capital Securities, LLC
Realty Capital Securities, LLC
Realty Capital Securities, LLC
Realty Capital Securities, LLC
Realty Capital Securities, LLC
Realty Capital Securities, LLC
Realty Capital Securities, LLC
Realty Capital Securities, LLC
Realty Capital Securities, LLC
Realty Capital Securities, LLC
Realty Capital Securities, LLC
Reassure Life Insurance Company
Red Capital Markets, Inc.
Redburn Partners (USA) LP
Redi Markets LLC
Redsky Financial, LLC
RedSky Financial, LLC
RedSky Financial, LLC
Redsky Financial, LLC
Redwine & Company, Inc.
Reed (S.L.) & Company
Regal Securities, Inc.
Regal Securities, Inc.
RAIT
RMAT
TREK
RSCO
MRKS
RAMG
RAYF
RAJA
0352∆
0161†
0352†
0226†
0443†
CNS
CNS
CNS
CNS
0443∆
0050∆
0161∆
0725
0161†
0725
CNS
CNS
RJFI
0390
0390
CNS
RAJC
MCMF
DAIN
RBCD
RBCX
RBCM
RBDA
0780
0158∆
5076●
0235
0235∆
0235∆
0235∆
0501∆
GELP
0071
0235∆
RCMA
CSIB
0235∆
RYDS
RBCF
RBSG
0235∆
5002●
0425
0248
0443∆
RDCG
RDMI
RDSS
0235
0235†
0235†
0443†
0425
0226†
0141†
CNS
CNS
CNS
CNS
CNS
CNS
CNS
1042
1046
1053
1682
1688
1690
1692
1694
1732
1734
1859
1860
3833
3834
4608
PSIN
RDBN
REDI
REDG
RSKY
RSFI
RSFO
REWI
SLRD
RGLD
RGLS
0049∆
0158∆
0099∆
0279∆
0608∆
0695∆
0352∆
0158∆
0235∆
0443†
CNS
0158†
CNS
0443†
0352†
0158†
0235†
CNS
CNS
CNS
CNS
Regal Securities, Inc.
Regional Brokers, Inc.
Regions Bank
Regions Investment Services, Inc.
Regions Securities LLC
Regis Securities Corporation
Reich & Tang Distributors, Inc.
Reid & Rudiger, LLC
Reid and Associates
Reinoso & Company, Incorporated
RGEL
RBII
FATN
0309∆
RRUD
REID
ROPK
0235∆
5811
0235∆
4756
4896
5962
Reliance Trust Company/MetLife
Stable Value Fund
5312
Reuven Enterprises Securities
Division, Inc.
Revere Securities Corp.
Revere Securities Corp.
Reynolds Funds, Inc.
RFS Partners
R-G Investment Corporation
RGM Securities, LLC
RGM Securities, LLC
Rhino Trading Partners, LLC
Rhodes Securities, Inc.
Rice Financial Products Company
Rice, Voelker LLC
Richards, Merrill & Peterson, Inc.
Rideau (I.C.) Lyons and Co.
0226†
0235†
CNS
CNS
0235†
0141†
0443†
CNS
CNS
CNS
0279†
0352†
CNS
CNS
0352†
0158†
0352†
0226†
CNS
CNS
CNS
CNS
0158†
0750†
CNS
CNS
0443†
CNS
0443†
0141†
0443†
0352†
0141†
0443†
CNS
CNS
CNS
CNS
CNS
CNS
3327
3636
2042
2085
RWWI
RTRS
Reliastar Life Insurance Company
of New York
Reliastar Life Insurance
Company/Life & Annuity Product
Investment Trading
Reliastar Life Insurance
Company/Reliastar New York
Reliastar Life Insurance
Company/Reliastar Retirement
Plans
Religare Capital Markets Inc.
Renaissance Capital Greenwich
Funds
Rencap Securities, Inc.
Rensselaer Securities Corporation
Repex & Co., Inc.
Resource Horizons Group, LLC
Resource Horizons Group, LLC
Retirement Resources Investment
Corp.
CNS
CNS
TFT
6359
REGN
QSEC
Reliance Standard Life Insurance
Company
Reliance Trust Company
Reliance Trust Company
Reliance Trust Company/Pathway
Target Date Funds
Reliance Trust Company/SSB&T
Reliance Trust Company/SWMS1
Reliance Trust Company/SWMS2
Reliance Worldwide Investments,
LLC
Reliant Trading
Reliastar Life Insurance Company
0309†
0141†
6760
0279∆
0352∆
4568
4653
4652
4606
RCUS
RENC
RENS
RPEX
RHGL
4603
0049∆
5454
0352∆
0158∆
0352∆
0676
RRIC
0235∆
REUV
KART
REVR
0158∆
0750∆
0100∆
6573
4989
RGIC
HBIW
HBIF
RINO
RHDS
APEX
CEON
RMPI
ICRL
0103∆
0695∆
0443∆
0512∆
39
Alphabetical Reference
April 2013
Ridgeway & Conger, Inc.
Ridgewood Associates Inc. NJ
Riedl, First Securities Company of
Kansas
Riley (B.) & Co., Inc.
Riley (E.K.) Investments, LLC
RIM Securities LLC
River Cross Securities, LLLP
River Cross Securities, LLLP
Rivernorth Securities, LLC
Riverstone Wealth Management,
Inc.
Riviere Securities Inc.
Rivkin (H.) & Co., Inc.
RJJ Pasadena Securities, Inc.
RJL Capital Group, LLC
RJL Capital Group, LLC
RNA Capital, Inc.
Robeco Trust Company
Robert B. Ausdal & Co., Inc.
Robert Van Securities, Inc.
Robert W. Baird & Co.
Roberts & Ryan Investments, Inc.
Robinson & Lukens, Inc.
Robinson & Robinson, Inc.
Robotti & Company, LLC
Rochdale Securities, LLC
Rockfleet Financial Services, Inc.
Rockwell Global Capital, LLC
Rockwell Securities LLC
Rockwell Securities LLC
Rodecker & Co. Investment
Brokers, Inc.
Rodgers Brothers, Inc.
Rogo Capital LLC
Romano Brothers and Company
Ronin Capital, LLC
Roosevelt & Cross, Incorporated
Rosenblatt Securities Inc.
Rosenblatt Securities Inc.
Rosenblatt Securities Inc.
Ross Sinclaire & Associates, LLC
Roth Capital Partners, LLC
Rothschild Investment Corporation
Rothschild Lieberman LTD
Rowe (T.) Price Investment
Services, Inc.
Royal Alliance Associates, Inc.
Royal Alliance Associates, Inc.
Royal Alliance Associates, Inc.
Royal American Investment
Services, Inc.
Royal Securities Company
Royce Fund Services Inc.
RP Capital LLC
RREEF America L.L.C.
RS Platou Markets, Inc.
RSG Capital Corp.
Ruan Securities Corporation
RWCI
RGWD
0052∆
0052†
0141†
CNS
CNS
Ruane, Cunniff & Goldbarb LLC
Ruane, Cunniff & Goldbarb LLC
Russell Financial Services, Inc.
RIED
RILY
EKRI
ROCM
PRRX
RCSL
RNSI
0235∆
0226∆
0235†
CNS
0141†
CNS
Russell Implementation Srvs., Inc.
Pt of Russell Inv.
Russell Trust Company
Russell Trust Company
Ryan, Beck & Co.
S. Goldman Capital LLC
S.F. Investments, Inc.
Sabadell Securities USA, Inc.
Safian Investment Research Inc.
Safra Securities Corp.
Sage, Rutty & Co., Inc.
Sagepoint Financial, Inc
Sagepoint Financial, Inc.
Sagepoint Financial, Inc.
Sagepoint Financial, Inc./FAB
Sagepoint Financial, Inc./FAI
Sagepoint Financial, Inc/ FA2
Sagetrader, LLC
Salt Creek Securities, LLC
Samco Capital Markets, Inc.
Sammons Securities Company,
LLC
Sammons Securities Company,
LLC
Sammons Securities Company,
LLC/Sammons Financial Network
LLC
Samsung Securities Services, Inc.
Samuel A. Ramirez & Company,
Inc.
Samuel A. Ramirez & Company,
Inc.
Samurai Trading, LLC
Sanderlin Securities, LLC
Sanders Morris Harris Inc.
Sandgrain Securities, Inc.
Sandler, O'Neill & Partners, L.P.
Sanford C. Bernstein & Co., LLC
Sanford C. Bernstein & Co., LLC
Sanford C. Bernstein & Co., LLC
Santander Investment Securities
Inc.
Santander Securities Corporation
Saperston Asset Management, Inc.
Saratoga Capital Markets
Saturna Brokerage Services, Inc.
Saudi American Bank
Sauer Dazey Investments Co.
RSWM
BCLT
HRIV
RJJZ
RJLB
RJLC
RNAC
RBAC
RVSI
0443∆
0551∆
0551∆
0017∆
0141†
0309∆
0158∆
0443∆
0161∆
0158∆
0309∆
5325
0235∆
0161†
CNS
CNS
0309†
CNS
0235†
0103†
CNS
CNS
0443†
7607
0235†
0443†
0443†
0309†
0443†
0235†
0235†
CNS
CNS
CNS
CNS
CNS
CNS
CNS
CNS
CNS
0443†
0235†
0750†
0141†
CNS
CNS
CNS
CNS
6931
CNS
0443†
0161†
CNS
CNS
0501†
CNS
4905
RRII
RLUK
ROBI
ROBT
ROCH
RCKF
ROCK
RCKW
RKWS
RODE
ROBO
ROGO
ROMO
RONI
RCRS
RBLT
ROSN
RSAI
ROTH
RTHS
RSEC
7607
0235∆
0443∆
0309∆
0235∆
0235∆
0235∆
0235∆
0750∆
0501∆
6931
0233
0501∆
0501∆
0443∆
0161∆
0443∆
0501∆
5586
RAAI
ROYL
RAIS
RYAL
0443∆
0089
0235∆
5663
RPCP
PLAT
RAFI
RANS
3513
0443∆
0750∆
0727∆
0226†
0443†
CNS
CNS
0443†
0235†
CNS
CNS
0052†
CNS
0727†
CNS
Savings Bank Life Insurance
Company of Massachusetts (SBLI)
Savoy Capital Management, Inc.
Saxis Group, Inc.
Saxony Securities, Inc.
Saxony Securities, Inc.
Saybrook Capital Corporation
Scarsdale Equities, LLC
SCF Securities, Inc.
RCSK
0443∆
3726
5762
0642†
CNS
RSSE
0443∆
4832
5964
0443†
CNS
0443†
0161†
0443†
0443†
0352†
CNS
CNS
CNS
CNS
CNS
0141†
CNS
0226†
0443†
CNS
CNS
0443†
CNS
0226†
CNS
0352†
CNS
0443†
CNS
0309†
0141†
0443†
0352†
0013†
CNS
CNS
CNS
CNS
CNS
0443†
0141†
0161†
CNS
CNS
CNS
0161†
0235†
CNS
CNS
0235†
CNS
0103†
CNS
0226†
CNS
RYAN
SGCM
SFPS
SABS
SIRI
SSCO
SAGE
0161∆
0443∆
0443∆
0443∆
0144
AIGN
AIGF
BIAD
SCRK
SRAM
0443∆
0522
0182
0556
0551∆
0103∆
SMNS
5347
SSNY
3608
0651∆
RREZ
0352∆
RRPR
SAMU
SSLC
SMHJ
GRIN
SDLR
SBER
BIRM
BLAV
SANT
SSPR
SAPA
SCSC
SABF
SDIC
SAVY
CADG
SAXO
SAYB
SCAR
SCFA
0103∆
0309∆
0443∆
0352∆
0013∆
0013∆
0013∆
0443∆
0161∆
4983
0235∆
6135
0235∆
0501∆
3358
0443∆
0443∆
40
Alphabetical Reference
April 2013
Schottenfeld Group LLC
Schroder Fund Advisors LLC
Schroder Fund Advisors
LLC/Schroder Fund Advisors
International Division
Schwab Retirement Plan Services
Company
Schwartz, Gregory J. & Co. Inc.
Scotia Capital (USA) Inc.
Scotia Capital Inc./CDS
Scottrade, Inc.
Scottrade, Inc.
Scottsdale Capital Advisors
Scottsdale Capital Advisors Corp.
Scout Trading LLC
SCS (USA) Inc.
Sea Port Group Securities, LLC
Seaboard Securities, Inc.
Seaboard Securities, Inc.
Seapine Securities, LLC
Seaport Securities Corp.
Searle & Co.
Second Street Securities, Inc.
SecondMarket, Inc.
Secura Investment, Inc.
SecureVest Financial Group
Securevest Financial Group
Securities America, Inc.
Securities America, Inc.
Securities Equity Group
Securities Industry Management
Corp.
Securities Management &
Research, Inc.
Securities Service Network, Inc
Securities Service Network, Inc.
Securitrade Corporation
Security Benefit Life Insurance
Company
Security Capital Brokerage, Inc.
Security Life of Denver/Mutual
Funds
Security Research Associates Inc.
Security Research Associates, Inc.
Seelaus (R.) & Co., Inc.
Segerdahl and Company
SEI Investments Distribution
SHOT
0501∆
4956
4853
GJSS
SCMC
SCMF
SCTO
SSIC
JOHN
SCAI
SCTR
SCSU
SPGS
SEAI
SEAB
SEPN
SEAP
SERL
SECS
GRDK
SECR
SVPB
MAMA
SAIN
7119
0235∆
0096
5011●
0158∆
0705
8072∆
0158∆
0103∆
0158∆
0161∆
0100∆
0052∆
0235†
0158†
0158†
CNS
CNS
CNS
0161†
0100†
CNS
TFT
0161†
0158†
0443†
0161†
0443†
CNS
CNS
CNS
CNS
CNS
0279†
0352†
0226†
CNS
CNS
CNS
DOVE
0226†
CNS
SIMC
0443†
CNS
0226†
CNS
SMRI
SSNI
BDAK
0158∆
0443∆
0443∆
0727∆
0352∆
0226∆
0590
0226∆
0247
0226∆
0727∆
0226†
0727†
CNS
CNS
0443†
CNS
0443†
0141†
0443†
0352†
CNS
CNS
CNS
CNS
4527
SCTI
SRES
SRFL
SEEL
SEGE
SEIC
4668
0103∆
0443∆
0352∆
SEI Investments Distribution
Co./Advisors Inner Circle Fund
5763
SEI Investments Distribution
Co./Advisors Inner Circle Fund II
7052
SEI Investments Distribution
Co./Causeway Capital Management
Trust
4913
SEI Investments Distribution
Co./CRA Funds
5748
SEI Investments Distribution
Co./First Hawaiian Fund
5606
SEI Investments Distribution
Co./FMB Funds
5565
SEI Investments Distribution
Co./Hancock Horizon Family of
Funds
6691
SEI Investments Distribution
Co./KKR Series Trust
7002
SEI Investments Distribution
Co./RiverPark Funds Trust
5343
SEI Investments Distribution
Co./SEI Institutional Funds
5717
SEI Investments Distribution Co./TD
Asset Management USA Funds Inc.
6539
SEI Investments Distribution Co./UA
S&P 500 Index Fund
4973
SEI Investments Distribution
Co./Wilshire Funds
4875
SEI Investments Distribution
Co/New Covenant Funds
SEI Private Trust Company
SEI Private Trust Company
SEI Private Trust Company/C/O/
GWP
SEI Trust Company
Seibert (J.D.) & Company, Inc.
Seidel & Shaw, LLC
Seidel & Shaw, LLC
Selkirk Investments, Inc.
Seminole Financial
Sendero Securities, LLC
Sentinel Brokers Company
Sentinel Financial Services
Company
Sequoia Investments, Inc.
Seslia Securities
Seslia Securities, Inc.
Sethi Financial Investments
Seton Securiteis Group, Inc.
Seven Points Capital, LLC
Seven Points Capital, LLC
SF Sentry Securities, Inc.
SG Americas Securities, LLC
SG Americas Securities, LLC
Shareholders Services Group Inc.
Shaw (D.E.) Securities, LLC
Shay Financial Services, Inc.
Shearman, Ralston, Inc.
Shelby Cullom Davis & Co., LP
Shepard & Vrbanac Securities, Inc.
Sherman (David) & Co.
Shoreline Trading Group LLC
Shufro, Rose & Company, LLC
SIA Securities Corp.
Sidoti & Company, LLC
Siebert (Muriel) & Co., Inc.
Siebert Brandford Shank & Co.,
LLC
Sierra Equity Group Ltd.
Sierra Income Corporation
Sierra Pacific Securities, LLC
Sigma Financial Corporation
Sigma Financial Corporation
6536
2039
7110
SEIB
SEID
DAVW
EMPR
SEMT
SEND
SEBR
SEQU
SESL
SESL
SSFG
SSGI
SPTS
SEVP
SFSS
SGAS
SGOV
SSGR
SHAW
SHAY
RACO
DAVI
SPDV
SHER
SHTP
SHRE
SIDC
SBRT
SBSC
BBII
SPAC
SGFC
2663
4952
0158∆
0158∆
0158∆
0279∆
0197∆
0352∆
0279∆
0158†
0158†
0309†
0279†
0197†
CNS
CNS
CNS
CNS
CNS
0279†
CNS
5873
0309∆
0099∆
0309†
CNS
0158†
CNS
0443†
CNS
0352†
0286
0286†
0443†
CNS
CNS
CNS
CNS
0443†
0158†
0226†
0727†
CNS
CNS
CNS
CNS
0352†
CNS
0226†
CNS
0226†
0235†
CNS
CNS
0309†
0226†
CNS
CNS
0750∆
0052∆
0049∆
0158∆
0352∆
0286
0286∆
0443∆
0352∆
0443∆
0158∆
0727∆
0727∆
0158∆
0352∆
5779
0100∆
0226∆
0235∆
1834
0309∆
5346
41
Alphabetical Reference
April 2013
Signal Securities, Inc.
Signator Investors, Inc.
Signature Securities
SignatureFD, LLC
SII Investments
SII Investments, Inc.
Silver Leaf Partners, LLC
Simmons & Company International
Simmons First Investment Group,
Inc.
Sims (Herbert J.) & Co., Inc.
Sisung Securities Corp.
Sky Capital LLC
Skyebanc Inc.
SL Hare Capital, Inc.
SMBC Nikko Securities America,
Inc.
SMF Trading, Inc.
SMF Trading, Inc.
SMH Capital Inc.
Smith (E.H.) Jacobs & Co., Inc.
Smith (R.W.) & Associates, Inc.
SGNL
JHDI
SSGC
SIIW
LEAF
SIMM
0443∆
0443∆
0309∆
SUMI
SMFT
SMFW
SMHI
EHSC
RWSM
0443∆
0103∆
0103∆
0443∆
0161∆
0279∆
0443∆
0750∆
0103∆
0279†
0226†
0226†
CNS
CNS
CNS
0443†
CNS
0443†
CNS
0309†
0443†
0443†
0750†
0226†
0103†
CNS
CNS
CNS
CNS
CNS
CNS
6700
TFT
0443†
0161†
0279†
CNS
CNS
CNS
SHFS
SGBI
SMMO
SMCO
SNCC
SNWS
SLWY
SOLO
SORS
SORE
SCMT
SOUZ
MICA
SPCL
SAMI
SPCA
SPEN
SPIN
SEDS
SEII
STSI
SPWI
SPLC
Standard Chartered Securities
(North America) Inc.
Standard Credit Securities
Standard Insurance Company
Standard Investment Chartered,
Inc.
Stark (R.M.) & Co., Inc.
Stark Municipal Brokers
State Discount Brokers Inc.
State Farm VP Management Corp.
SSPT
SPYG
SQTF
STBK
KEEN
0352∆
0052∆
0695∆
SCFL
SCBS
SCSI
0443∆
0370∆
4701
STVT
RMST
SPSR
STDB
0103∆
0443∆
0158∆
4971
2524
5966
State Street Bank & Trust Co./ACS
HR Solutions/Rio Tinto
5329
State Street Bank & Trust
Co./ACS/Glaxosmithkline
5623
3705
State Street Bank & Trust Co./ADPMorgan Stanley
5991
5575
State Street Bank & Trust Co./AXA
Equitable Life Insurance Company
0228
State Street Bank & Trust Co./FBO
Qualified Plans
State Street Bank & Trust Co./IBT
5165
4946
State Street Bank & Trust Co./IBTAccount # 2
2767
0226∆
0494
0235∆
0158∆
0226∆
8006
0346
0235∆
0226†
CNS
0226†
0494
0235†
CNS
CNS
CNS
0443†
0226†
CNS
CNS
0235†
0141†
CNS
CNS
0279∆
0279
1956
0226†
0279†
0279
CNS
CNS
CNS
0279†
CNS
0443∆
0158∆
0352∆
0352∆
0750∆
0052∆
8072∆
0235∆
0158∆
0352†
0188†
0443†
0750†
CNS
CNS
CNS
CNS
0235†
CNS
0158†
0226†
CNS
CNS
State Street Bank & Trust Co./Inst'l
Custody
State Street Bank & Trust Co./JP
Morgan Retirement Plan
Services/Deluxe Cp
State Street Bank & Trust Co./JP
Morgan Retirement Plan
Services/Hallmark Cards Inc.
State Street Bank & Trust
Co./Lincoln Retirement Services
State Street Bank & Trust
Co./Mainstay
State Street Bank & Trust
Co./NYLIM/SIP
State Street Bank & Trust
Co./Sanford Bernstein Alliance
Capital
State Street Bank & Trust Co./T.
Rowe Price Retirement Plan
Services
0352†
0052†
CNS
CNS
2436
TFT
0443†
CNS
0370†
CNS
0443†
0279†
0158†
CNS
CNS
CNS
2319
0309∆
6736
State Street Bank & Trust Co./ACS
HR Solutions, LLC/DTCC
3414
SEIN
SLAK
SWST
Spring Street Partners, L.P.
Spyglass Securities, LLC
SQT Trading, LLC
SSB - Bank Portfolio
SSB-Trust Custody
St Bernard Financial Services, Inc
STAAR Investment Trust
Stanchart Securities International,
Inc.
State Street /ACH HR Solutions
LLC/Ford Motor Company
5708
Smith Hayes Financial Services
Corporation
Smith Hayes Financial Services
Corporation
Smith, Brown & Groover, Inc.
Smith, Moore & Co.
Smith, Moore & Co.
SNC Capital Management Corp.
Snowden Account Services, Inc.
Solowey & Co.
Solowey & Co.
Sorrento Pacific Financial, LLC
Sorsby Financial Corp.
Source Capital Group, Inc.
South Georgia Capital LLC
Southeast Investments N.A., Inc.
Southlake Capital LLC
Southwest Securities, Inc.
Southwest Securities, Inc.
Southwestern Capital Market, Inc.
Souza Barros Securities, Inc.
Spartan Securities Group, Ltd.
Specialist Clearance
Spectrum Asset Management Inc.
Spectrum Capital, Inc.
Spencer Clarke LLC
Spencer Edwards, Inc.
Spencer Edwards, Inc.
Spencer Edwards, Inc.
Spencer Trask Ventures, Inc.
Spencer-Winston Securities
Corporation
Spire Securities, LLC
0226∆
3456
0640
SIGI
HJSC
SSNG
SKYC
SKYE
SLHC
Smith Hayes Financial Services
Corp./Colorado Bondshares
Smith Hayes Financial Services
Corporation
0279∆
2132
5435
2547
3752
0487
5953
6519
5968
State Street Bank & Trust
Co./Wealth Management Services 2
2955
State Street Bank & Trust
Co./Wealth Manager Services
State Street Bank & Trust Company
6503
2950
42
Alphabetical Reference
April 2013
State Street Bank & Trust
Company/Hewitt Associates/Estee
Lauder
7037
State Street Bank & Trust
Company/Hewitt/Ally
7004
State Street Bank & Trust
Company/ING/State of Minnesota
State Street Bank & Trust
Company/JPM Retirement Plan
Services/Bechtel
3689
3629
State Street Bank & Trust
Company/JPMorgan/Celanese
Americas LLC
7022
State Street Bank & Trust
Company/JPMorgan/Pacificorp Plus
Employees Savings Plan
3686
State Street Bank & Trust
Company/NRS/Bechtel NR
Program DC Master Trust
3647
State Street Bank & Trust
Company/NRS/Delphi
State Street Bank & Trust
Company/NRS/Halliburton
Company
3687
7086
State Street Bank & Trust
Company/NRS/Intel
5197
State Street Bank & Trust
Company/NRS/NADART
7078
State Street Bank & Trust
Company/NRS/SBERA
3353
State Street Bank & Trust
Company/NRS/Wichita Retirement
Systems
State Street Global Markets, LLC
State Street Global Markets, LLC
State Street Global Markets, LLC
State Street Global Markets, LLC
State Street Global Markets, LLC
State Street Global Markets, LLC
State Street Global Markets,
LLC/State Street Collective Fund
State Street/ACS/ConAgra Foods
State Trust Capital, LLC
State Trust Investments, Inc.
StateTrust Investments Inc.
Steben & Company, Inc.
SteelPoint Securities, LLC
Stephen A. Kohn & Associates, Ltd.
Stephens, Inc.
Sterling Enterprise Group, Inc.
Sterling Grace Municipal Securities
Co.
Sterling Investments
Sterling Trader Execution Services,
Inc.
Sterling Trader Execution Services,
Inc.
Stern Brothers & Co.
Stern Fisher Edwards, Inc.
Sterne Agee & Leach, Inc
SSBS
SSLL
SSGM
PULT
PULX
7066
0189
0189∆
0226∆
5641
0443∆
0443∆
0189
0189†
0226†
CNS
CNS
CNS
6511
5100
6576
STTR
STTT
SHIV
SAKL
SPHN
SEGI
STGC
SLIN
0052∆
3841
0419
0750∆
0279∆
0443†
0052†
CNS
CNS
0226†
0226†
0419
0750†
CNS
CNS
CNS
CNS
0279†
0052†
CNS
CNS
Sterne Agee Capital Markets, Inc.
Sterne Agee Capital Markets, Inc.
Sterne Agee Financial Services
Sterne Agee Financial Services,
Inc.
Sterne, Agee & Leach, Inc.
Steven L. Falk & Associates
Stewart (W.P.) Securities Limited
Stifel Nicolaus Canada Inc.
Stifel, Nicolaus & Company
Incorporated
Stifel, Nicolaus & Company
Incorporated
Stillpoint Wealth Management, LLC
Stinson Securities, LLC
Stock Depot, Inc.
Stock Traders
Stock USA Execution Services, Inc.
Stock USA Execution Services, Inc.
Stock USA Execution Services, Inc.
Stock USA Investments
Stockcross Financial Services, Inc.
Stockcross Financial Services, Inc.
Stockcross Financial Services, Inc.
Stoever, Glass & Co Inc.
Stofan, Agazzi & Company, Inc.
Stone & Youngberg LLC
Stone Coast Fund Services LLC
Stone Coast Fund Services LLC
Stone Coast Fund Services LLC
Stone Coast Fund Services LLC
Stone Coast Fund Services LLC
Stone Coast Fund Services LLC
Stonecastle Securities, LLC
StormHarbour Securities LP
Strand Atkinson Williams & York,
Inc.
Strategas Research Partners, LLC
Strategic Capital Investments, LLC
Strategic Financial Alliance (The)
Stuart Frankel & Co., Inc.
Studness Research
Sturdivant & Co
Sturges Company (The)
Success Trade Securities, Inc
Success Trade Securities, Inc.
Success Trade Securities, Inc.
Summer Street Research Partners
Summit Alliance Securities, L.L.C.
Summit Brokerage Services, Inc.
Summit Brokerage Services, Inc.
Summit Equities, Inc.
Sumridge Partners, LLC
STHL
0873∆
Sun Life Assurance Co. of Canada
(U.S.)/Columbia Funds Distribution
STRL
SBRO
SFEI
SALC
0873∆
Sun Life Assurance Co. of Canada
(U.S.)/Sun Life Financial
Investments (Bermuda) Ltd.
0443∆
0443†
0226†
0443†
CNS
CNS
CNS
FGIS
SACM
SAFS
0750∆
0750∆
0750∆
ITCC
SALI
FALK
WPST
SFCN
0750∆
0750
0235∆
STFL
TWPL
SPWM
STIN
SDPT
SKTR
ALGO
MSTR
SUSA
SPTD
STOX
STOS
STXG
STOV
SZZI
STYO
SCSS
STHR
ATKC
STRS
SCIL
TSFA
STFC
STUD
STUR
TSCD
STJT
STSS
VERN
SUMM
SIGS
SUMT
SMPR
SEMQ
SMRD
0750†
CNS
0750†
0750
0235†
0443†
CNS
CNS
CNS
CNS
0793
0793
CNS
0793∆
0793†
0443†
0103†
CNS
CNS
CNS
0279†
0158†
CNS
CNS
0158†
0445
0226†
CNS
CNS
CNS
0443†
0141†
0443†
CNS
CNS
CNS
0161†
0352†
CNS
CNS
0141†
0161†
0052†
0443†
CNS
CNS
CNS
CNS
0235†
CNS
0141†
0443†
0226†
0352†
CNS
CNS
CNS
CNS
5008∆
0750∆
0279∆
0158∆
0158∆
0158∆
0158∆
0445
0226∆
0445∆
1775
1776
1786
1787
1788
1791
0161∆
0352∆
0161∆
0052∆
0443∆
0352∆
0100∆
0235∆
0052∆
0052∆
0052∆
0443∆
0443∆
0141∆
0352∆
4644
4647
43
Alphabetical Reference
April 2013
Sun Life Assurance Company of
Canada (US)
4518
Sun Life Assurance Company of
Canada (US)
6794
Sun Life Assurance Company of
Canada/Life Business
Sun Life Insurance & Annuity Co. of
NY (U.S.)/Columbia Funds
Distribution
SVB Securities, Inc./A Non-Bank
Affiliate of Silicon Valley Bank
SWBC Investment Services, LLC
SWBT Securities, Inc.
Swedbank First Securities, LLC
Sweney, Cartwright & Company
Symetra Investment Services, Inc.
Symetra Life Insurance Company
Symetra Life Insurance Company
4649
4645
Sun Life Insurance & Annuity Co. of
NY (U.S.)/Insurance Products
Sun Life Insurance and Annuity
Company of New York
Sun Trading, LLC
Sun Trading, LLC
SunAmerica Capital Services, Inc.
SunAmerica Capital Services,
Inc./Valic
SunAmerica Capital Services,
Inc./Valic
Susquehanna Fixed Income, L.P.
Sutter Securities Incorporated
4646
SUNI
SUNF
SBLT
4519
0396∆
0695∆
5596
0226∆
0226†
CNS
5560
Symetra Life Insurance
Company/Symetra Fee Based
Symetra Life Insurance
Company/Symetra Mutual Funds
Trust
Symphonic Securities LLC
Syndicated Capital, Inc.
Syndicated Capital, Inc.
Synovus Securities Inc.
T. R. Winston McKinney &
Company, LLC
SUSF
SUTT
SVBS
SWBC
SWTX
SWFS
SWEN
SFCO
0443∆
0158∆
0443∆
7027
CBTD
3692
0443∆
0443∆
4881
0226∆
TRWN
0443∆
SYMP
SYCA
0442
SunGard Brokerage & Securities
Services, LLC
ANDZ
0050∆
T. Rowe Price Investment Services,
Inc./SICAV Funds SICAV
4911
0050∆
T. Rowe Price Retirement Plan
Services, Inc.
7117
0050∆
T.Rowe Price Investment Services
Inc./ T.Rowe Price Trust Company
T.S Phillips Investments
Taglich Brothers, Inc.
Tahoe Fixed Income LLC
Take Charge Financial
TCAdvisors Network, Inc.
TCM Capital, Inc.
TCT Securities & Derivatives, LLC
TCW Funds Distributors
ASNC
ASNX
SunGard Brokerage & Securities
Services, LLC
ASSA
0050∆
SunGard Brokerage & Securities
Services, LLC
ASSD
0050∆
SunGard Brokerage & Securities
Services, LLC
FREX
0050∆
SunGard Brokerage & Securities
Services, LLC
FRET
0501∆
SUNB
SIBI
0501∆
SunGard Brokerage & Securities
Services, LLC
Sungard Institutional Brokerage Inc.
Sungard Institutional Brokerage Inc.
Sungard Institutional Brokerage
Inc./Intermediary Responses
Sunrise Brokers LLC
Sunrise Securities Corp.
Sunset Financial Services, Inc.
Sunstreet Securities, LLC
SunTrust Bank - DTC #2971
SunTrust Bank/401K Mutual Funds
Settlement
SunTrust Capital Markets, Inc.
SunTrust Investment Services, Inc.
SunTrust Robinson Humphrey Inc
SunTrust Securities, Inc.
Superior Financial Services, Inc.
Surety Financial Services
Surge Trading Inc.
Susquehanna Capital Group
Susquehanna Financial Group, LLC
Susquehanna Financial Group, LLP
0573†
CNS
0161†
0226†
0235†
CNS
CNS
CNS
0418†
0226†
2482
CNS
CNS
TFT
0235†
0226†
CNS
CNS
0551†
0551†
0161†
CNS
CNS
CNS
6485
SUBR
SUNR
SSET
SUST
RHCO
SSIN
STCM
SFSI
MESI
SURG
SUSQ
SUFI
SFGB
6495
0100∆
0161∆
0235∆
2971
2810
0226∆
0226∆
0153
0235∆
0100∆
0551∆
0551∆
0161∆
TCW Funds Distributors/TCW
Funds (Luxembourg)
TD Ameritrade Clearing, Inc.
TD Ameritrade Clearing, Inc.
TD Ameritrade Trust Company
TD Ameritrade Trust Company
TD Ameritrade, Inc.
TD Ameritrade, Inc.
TD Securities (USA) LLC
TD Securities (USA) LLC
TD Securities (USA) LLC
TD Securities (USA) LLC
TD Waterhouse - Norstar
Securities/CDS
TD Waterhouse Canada Inc.
#2/CDS
TD Waterhouse Canada Inc. #3
TD Waterhouse Canada Inc.
#5/CDS
TD Waterhouse Canada Inc.
#6/ATP
TD Waterhouse Canada Inc./CDS
TD Waterhouse-ITG Canada/CDS
Teachers Advisors, Inc.
0158†
0226†
0443†
CNS
CNS
CNS
7027
0443†
CNS
CNS
0443†
0443†
CNS
CNS
0226†
CNS
0443†
CNS
0141†
0443†
0750†
CNS
CNS
CNS
0443†
0443†
CNS
CNS
0188
CNS
0188†
CNS
0226†
0352†
CNS
CNS
3618
ASSD
SunGard Brokerage & Securities
Services, LLC
CNS
CNS
4609
5161
SunGard Brokerage & Securities
Services, LLC
SunGard Brokerage & Securities
Services, LLC
0551†
0443†
5907
TSPI
TAGS
TAFI
TCFF
TCAN
TCMU
TCTD
FOMA
TDAR
SWIM
TDPA
TDSI
TDED
TDNY
0443∆
0750∆
0750∆
0443∆
0750∆
6563
3359
0188
3867
5982
6566
0188∆
0158∆
0352∆
0158∆
0551∆
NSIF
5061●
GLII
5005●
5033
GLIR
5021●
GLIP
GLIS
5062●
5036●
5035
5668
44
Alphabetical Reference
April 2013
Teachers Advisors, Inc./Life Funds
Teachers Insurance and Annuity
Association of America
Teachers Insurance and Annuity
Association of America/TIAA-CREF
Life
Teckmeyer Financial Services
Tejas Securities Group, Inc.
Tejas Securities Group, Inc.
Telemus Investment Brokers, LLC
Telsey Advisory Group LLC
Templeton Sicav
Funds/Franklin/Templeton
Distributors Inc.
Terminus Securities, Inc.
TFS Derivatives Corporation
TGH Securities, Inc.
The Bank of New York Mellon
4693
Thurston, Springer, Miller, Herd &
Titak, Inc.
TFSL
TEJS
TSGI
TIBS
TAGC
TRMS
TFSV
TGHS
5690
0309∆
0595∆
CNS
CNS
CNS
CNS
CNS
0309†
CNS
0443†
CNS
0954
0963
The Bank of New York
Mellon/Mellon Securities Trust Co.
Thornburg Securities
Corporation/Thornburg Global
Investment PLC
Thornton, Farish & Gauntt
Thoroughbred Financial Services,
LLC
Thoroughbred Financial Services,
LLC
Thrasher & Company
Thrivent Investment Management,
Inc.
0161∆
0235†
0158†
0158†
0443†
0161†
2209
The Bank of New York Mellon/
Mellon Trust of New England,
National Association
The Bank of New York
Mellon/BNYM ETF - UIT
DTC/NSCC 0963
The Bank of New York
Mellon/Southtrust Bank of Alabama
The Bond House
The Fig Group, LLC
The Princeridge Group LLC
The Rockwell Financial Group, Inc.
The Street, Inc.
The United States Life Insurance
Company In The City Of New
York/SE2
The Vertical Trading Group, LLC
Themis Trading LLC
ThinkEquity LLC
ThinkEquity Partners LLC
Thomas Group Capital
Thomas McDonald Partners, LLC
Thomas P. Reynolds Securities Ltd
Thompson Davis & Co., Inc.
Thompson Davis & Co., Inc.
Thornburg Securities Corporation
5683
0235∆
0158∆
0158∆
0901
The Bank of New York Mellon
/MIDCAP SPDRS
The Bank of New York Mellon/RRZ
Public Markets, Inc.
Thrivent Investment Management,
Inc.
Thrivent Mutual Funds
5392
0904
RRZP
6033
TFT
SALA
BHSE
FIGG
PRCO
RFRC
TSIB
6523
0309†
TFT
CNS
0443†
0309†
CNS
CNS
VGRP
THEM
THNK
VISR
TSEC
TMCD
REYN
TDCO
0309∆
0750∆
0443∆
0309∆
0750∆
4536
8072∆
0443∆
0158∆
0158∆
0158∆
0352∆
0443∆
3836
5541
0158†
0141†
0352†
0443†
CNS
CNS
CNS
CNS
3352
THFA
6806
TFT
TBRD
0226†
CNS
0309†
CNS
0226†
CNS
TRSH
AALC
6903
0309∆
TIAA-CREF Individual and
Institutional Services, LLC
TIB The Independent Bankers Bank
Tibra Trading America LLC
Ticonderoga Securities LLC
Ticonderoga Securities LLC
Timber Hill LLC
Title Securities, Inc.
Title Securities, Inc.
Title Securities, Inc.
TJM Investments, LLC
TMC Bonds, L.L.C.
Tobias Bros. Inc.
Tocqueville Securities L.P.
Tocqueville Securities, L.P.
Todd & Company, Inc.
Toll (William M.)
Tonge (R.M.) Company
Topeka Capital Markets, Inc.
Tora Trading Services
Torc Investments and Research
LLC
Torc Investments and Research
LLC
Torc Investments and Research
LLC
Torino Capital LLC
Touchstone Securities Inc.
Tourmaline Partners, LLC
Toussaint Capital Partners, LLC
TOV Capital Markets, Inc.
Tower Square Securities, Inc.
Tower Square Securities, Inc.
Tower Square Securities,
Inc./Metlife
Towerhill Long/Short Equity, LLC
Track (ECN)
Track Data Securities Corporation
Trade Manage Capital, Inc.
Tradebot Systems, Inc.
Tradeking
Tradelink Securities, LLC
Tradelink Securities, LLC
Trade-PMR, Inc.
Traderfield Securities
Traderight Securities
TradeStar Investments, Inc.
TradeStation Securities, Inc.
TradeStation Securities, Inc.
Tradewinds Financial Group,
Incorporated
Trading Block
Trading Block
Tradition Aisel
Tradition Asiel Securities, Inc.
7243
5106
TMBI
CREF
TIBD
TTAL
REND
FORT
TMBR
DIRA
DIRL
DIRX
TJMI
TMCC
TOBI
TOCQ
TODD
TOLL
TONG
TOPK
TORR
0235∆
0549
0103∆
0103∆
0158∆
0551∆
0158∆
5862
0443∆
0158∆
0352∆
TORA
0695∆
TORQ
TORI
0695∆
TRFI
AOSD
BLOC
TFAS
ASEL
0443†
6412
CNS
TFT
0226†
0443†
0549
CNS
CNS
CNS
0443†
0158†
CNS
CNS
0443†
CNS
0443†
CNS
0235†
CNS
0443†
0235†
0443†
CNS
CNS
CNS
0443†
CNS
0141†
CNS
0052†
0226†
0271
0352†
CNS
CNS
CNS
CNS
0158†
CNS
0443†
0370
CNS
CNS
0501∆
0501∆
0284∆
TRAO
TDSC
YAMN
TRBT
TKNG
TRTR
TRLN
TPMR
TDFD
TRSL
TSII
TRAD
FILL
CNS
0695∆
TORX
TOUR
TCPX
TOVC
TRSQ
0235†
5711
0501∆
0443∆
0235∆
0443∆
0354
0327
3583
0103∆
0158∆
0443∆
0083
0158∆
0501∆
0551∆
0158∆
0052∆
0226∆
0271
0352∆
0158∆
0158∆
0158∆
0443∆
0370
45
Alphabetical Reference
April 2013
Tradition Asiel Securities, Inc.
Tradition Asiel Securities, Inc.
Tradition Asiel Securities, Inc.
TASE
ASLB
TRAS
0443†
Transamerica Advisors Life
Insurance Company
4728
Transamerica Advisors Life
Insurance Company of New York
Transamerica Capital, Inc.
4638
5580
Transamerica Capital,
Inc./Diversified Funds
6738
0285
0224
Transamerica Financial Advisors,
Inc./World Group Securities, Inc.
0729
Transamerica Financial Life
Insurance Company
Transamerica Financial Life
Insurance Company / FL, NY
Annuity Business
Transamerica Financial Life
Insurance Company / FL, NY Life
Business
Transamerica Financial Life
Insurance Company/KC NY Life
Business
Transamerica Financial Life
Insurance Company/Retirement
Division
Transamerica Life Insurance
Company
4561
4719
4683
UBS Financial Services INC of
Puerto Rico
UBS Financial Services Inc.
UBS Financial Services Inc.
UBS Global Asset Management
(US) Inc.
4680
4566
4642
Transamerica Life Insurance
Company/Diversified Investors
Securities Corp
4738
Transamerica Life Insurance
Company/Diversified Investors
Securities Corp
4739
Transamerica Life Insurance
Company/Retirement Division
Trident Securities Division of
McDonald Investments Inc.
Tripleshot
TriPoint Global Equities, LLC
Triune Capital Advisors, LLC
Troika Dialog USA, Inc.
Trubee, Collins & Co., Inc.
U.S. Bank N.A./Municipal Securities
Group
U.S. Boston Capital Corp.
U.S. Brokerage, Inc.
U.S. CA Securities LLC
U.S. Financial Investments, Inc
U.S. Financial Investments, Inc
U.S. Global Investors Funds
U.S. Sterling Securities, Inc.
4718
Transamerica Life Insurance
Company /Life Business
5768
TRSD
TREA
TRID
TIAD
TRIN
TCOR
TRIP
TRDT
TSBX
TGEQ
TRUN
TRKA
TRUB
4543
0158∆
0279∆
6430
0161∆
0235∆
0799∆
0443∆
0052∆
0750∆
0443∆
Trust Company of America
Trustcore Investments, Inc.
Trustmark National Bank
Trustmont Financial Group, Inc.
Tryco Securities, Inc.
Tullett Liberty Securities Inc.
Tullett Prebon Financial Services
LLC
Tuohy Brothers Investment
Research, Inc.
Turner (J.P.) & Co. LLC
Turner (J.P.) & Company, LLC
Tweedy, Browne Company LLC
Tweedy, Browne Company LLC
21st Century Financial Services
Twenty-First Securities Corporation
Two Sigma Securities, LLC
U.S. Bancorp Investments Inc.
U.S. Bank N.A.
6739
Transamerica Capital, Inc./Series
Trust Funds
Transamerica Financial Advisors,
Inc.
Transamerica Financial Advisors,
Inc.//II
Transamerica Life Insurance
Company/TLIAC
Transcend Capital, L.P.
Treasure Financial Corp.
Triad Advisors, Inc.
Triad Advisors, Inc.
Triad Securities Corp.
Triangle Securities, LLC
Tricor Financial, LLC
Trident Partners Ltd.
CNS
0370∆
0443∆
0226†
CNS
0161†
0141†
0226†
0235†
CNS
CNS
CNS
CNS
0052†
0443†
0141†
CNS
CNS
CNS
5981
0226†
CNS
CFGM
TRCO
PATR
2852
0235∆
0279∆
0624
0235†
0279†
0624
CNS
CNS
CNS
CHPP
0624∆
0624†
CNS
TBRO
JPTC
JPTS
TWEE
0103∆
0158∆
0158∆
0352∆
5488
0158†
0158†
0352†
CNS
CNS
CNS
0188†
0235†
CNS
CNS
0280
TFT
6729
TFT
0279†
0226†
0595†
CNS
CNS
CNS
0309†
CNS
0221†
0221
CNS
CNS
0221†
CNS
0642
CNS
TMII
TWFS
TFSC
SOHO
FBSB
0235∆
0161∆
0280
2803
CMMB
USSI
4919
0279∆
0226∆
0595∆
0103∆
5442
0309∆
PWPR
PWJC
PTFI
0221
0221∆
USDB
USCA
USFB
USFI
5795
UBS Global Asset Management
(US), Inc./Offshore Funds
6510
UBS Global Asset Management
(US), Inc./Puerto Rico Fund
5593
UBS Global Asset
Management/Group Trust Funds
UBS International, Inc.
UBS Securities Canada Inc./CDS
UBS Securities LLC
UBS Securities LLC
UBS Securities, LLC
UBS Securities, LLC
UBS Securities, LLC
UBS Securities, LLC
UBS Securities, LLC
Uhlmann Price Securities, LLC
Ultimus Fund Distributors, LLC
UBII
BUNT
UBSW
UBSB
UBSC
UBSG
UBSS
UBST
UBSX
UHLM
5603
0221∆
5017●
0642
0642∆
0642∆
0642∆
0642∆
0642∆
0642∆
0235∆
5837
Ultimus Fund Distributors,
LLC/Alphamark Investment Trust
5653
Ultimus Fund Distributors,
LLC/Apex Funds
3342
Ultimus Fund Distributors,
LLC/Berwyn Funds
5605
Ultimus Fund Distributors,
LLC/Cincinnati Asset Management
3395
46
Alphabetical Reference
April 2013
Funds
Ultimus Fund Distributors, LLC/CM
Advisers Family of Funds
5730
Ultimus Fund Distributors,
LLC/Davenport & Company
Ultimus Fund Distributors,
LLC/Flippin Bruce & Porter Funds
Ultimus Fund Distributors,
LLC/Gardner Lewis Investment
Trust
Ultimus Fund Distributors,
LLC/Government Street Funds
Ultimus Fund Distributors,
LLC/Hussman Strategic Growth
Fund
5728
5733
UMB Distribution Services,
LLC/Stewart Capital Advisors
6599
5888
UMB Distribution Services,
LLC/UMB Scout Funds
4854
5732
UMB Distribution Services,
LLC/Vericimetry
3761
UMB Distribution Services,
LLC/Wasatch Advisors Fund Inc.
5773
5490
Ultimus Fund Distributors,
LLC/Lyrical Funds
7069
Ultimus Fund Distributors,
LLC/Papp Investment Trust
5114
Ultimus Fund Distributors,
LLC/Piedmont Investment Trust
6595
Ultimus Fund Distributors,
LLC/Profit Funds Investment Trust
6593
Ultimus Fund Distributors,
LLC/Schwartz Investment Trust
5830
Ultimus Fund Distributors,
LLC/Stadion Investment Trust
6692
Ultimus Fund Distributors,
LLC/Stralem Funds
5639
Ultimus Fund Distributors, LLC/TFS
Capital Investment Trust
5430
Ultimus Fund Distributors, LLC/The
Cutler Trust
3335
UMB Distribution Services
LLC/Aspiriant Funds
UMB Distribution Services LLC/FPA
Funds
UMB Distribution Services,
LLC/Comerica Collective
Investment Funds
UMB Distribution Services,
LLC/Westport Funds
UMB Financial Services, Inc.
UMB Fund Services, Inc.
UMB Fund Services, Inc.
UMB Fund Services, Inc.
UMB Fund Services, Inc.
UMB Fund Services, Inc.
UMB Fund Services, Inc.
UMB Fund Services, Inc.
UMB Fund Services, Inc.
UMB Fund Services, Inc.
UMB Fund Services, Inc.
UMB Fund Services, Inc.
UMB Fund Services, Inc.
UMB Fund Services, Inc.
UMB Fund Services, Inc.
Unibanco Securities Inc
Unicredit Capital Markets, Inc.
Unified Financial Securities, Inc.
UMBF
UNIB
BVCM
5598
0226∆
1036
1793
1794
1855
1857
1864
1869
1966
3410
3436
3447
3504
3868
3869
0443∆
4965
Unified Financial Securities,
Inc./1492 Funds
3797
Unified Financial Securities,
Inc./Angel Oak Family of Funds
5147
Unified Financial Securities,
Inc./API Trust Fund
4972
Unified Financial Securities,
Inc./Appleseed Fund
5286
Unified Financial Securities,
Inc./Auer Growth Funds
5290
5988
2450
Unified Financial Securities,
Inc./BRC Funds
7028
3369
Unified Financial Securities,
Inc./Cloud Capital Funds
3729
5851
Unified Financial Securities,
Inc./Crawford Funds
5296
Unified Financial Securities,
Inc./Dean Family of Funds
4927
Unified Financial Securities,
Inc./Dreman Fund
5418
Unified Financial Securities,
Inc./FBO Alta Trust
5287
7003
Ultimus Fund Distributors, LLC/The
GKM Funds
5841
5567
5479
Ultimus Fund Distributors, LLC/The
First Western Funds
6676
UMB Distribution Services,
LLC/Marsico Investment Funds
Ultimus Fund Distributors,
LLC/Jamestown Funds
Ultimus Fund Distributors, LLC/VFM
Funds
Ultralat Corporation
UMB Bank National Association
UMB Bank National
Association/UMB Financial
Services, Inc.
UMB Bank, N.A.
UMB Distribution Services,
LLC/Green Century Funds
UMB Distribution Services,
LLC/Lotsoff Capital Management
Micro Cap Fund
5558
3394
0443†
2451
ULAT
UMBI
5943
UMB Distribution Services,
LLC/Commonwealth International
Series Trust
4878
UMB Distribution Services,
LLC/Giant 5 Funds
6534
CNS
TFT
0226†
CNS
0443†
0443†
CNS
CNS
47
Alphabetical Reference
April 2013
Unified Financial Securities,
Inc./FBO Roosevelt Funds
4725
Unified Financial Securities,
Inc./Geier Funds
5294
Unified Financial Securities,
Inc./Golub Group
5306
Unified Financial Securities,
Inc./Granite Funds
3790
Unified Financial Securities,
Inc./Green Owl Funds
3774
Unified Financial Securities,
Inc./Hirtle Callaghan Trust
6574
Unified Financial Securities,
Inc./Huntington Fund
5832
Unified Financial Securities,
Inc./Huntington National Bank
3712
Unified Financial Securities,
Inc./Iron Funds
5301
Unified Financial Securities,
Inc./Leeb Focus Funds
5302
Unified Financial Securities,
Inc./Longview Family of Funds
3731
Unified Financial Securities, Inc./LS
Opportunity Fund
5380
Unified Financial Securities,
Inc./Martin Funds
3303
Unified Financial Securities,
Inc./MCM Funds
7048
Unified Financial Securities,
Inc./Symons Funds
5307
Unified Financial Securities,
Inc./TEAM Financial
5408
Unified Financial Securities,
Inc./Toreador Funds
5308
Unified Trust Company, National
Association
5983
Union Bank and Trust Company
Nebraska
Union Bank N.A.
Union Bank N.A.
Union Capital Company
Union Gaming Advisors, LLC
Unionbanc Investment Services,
LLC
United Bankers Bank
United Brokerage Services, Inc.
United Capital Markets, Inc.
United Capital Markets, Inc.
United Equity Securities, LLC
United First Partners, LLC
IVOL
UGAM
MKTI
UBKR
UBSI
UCMI
UCML
PFML
UFPA
United of Omaha Life Insurance
Company
United Planners Financial Services
of America
United Planners Financial Services
of America
United Realty Trust Incorporated
2145
0235∆
0443∆
0443∆
0052∆
2851
TFT
0235†
CNS
0226†
6732
0141†
0443†
CNS
TFT
CNS
CNS
0226†
CNS
0501∆
6027
UPLN
0443∆
6008
1773
4531
United States Life Insurance
Company in the City of New York
(The)/SunAmerica (NY)
4517
United States Life Insurance
Company in the City of New York
(The)/Western National
Universal Life Insurance Company
Univest Securities, Inc.
UNX, Inc.
UOB Global Capital (Dublin) Limited
Upromise Investments, Inc.
4664
6497
0158∆
0501∆
3393
5704
Upromise Investments, Inc./Phoenix
Platform Account
US Bancorp Fund Services LLC
US Bancorp Fund Services LLC
US Bancorp Fund Services LLC
US Bancorp Fund Services LLC
US Bancorp Fund Services LLC
US Bancorp Fund Services LLC
US Bancorp Fund Services LLC
US Bancorp Fund Services LLC
US Bancorp Fund Services LLC
US Bancorp Fund Services LLC
US Securities International Corp.
USAA Investment Management Co.
USAA Investment Management
Company
USI Securities, Inc.
Uvest Financial Services Group,
Inc.
Valdes & Moreno, Inc.
2067
UBOC
United States Life Insurance
Company in the City of New York
(The)
0443†
CNS
Valley Forge Asset Management
Corporation
Valley Forge Fund, Inc.
Valley National Investments, Inc.
Valmark Securities, Inc.
Valmark Securities, Inc.
Valores Finamax International, Inc.
Van Clemens & Co., Inc.
Van Eck Sec Corp/VIP Trust
Van Eck Securities Corporation
Van Kampen Funds, Inc.
Vanderbilt Securities, LLC
Vandham Securities Corp.
Vandham Securities Corp.
Vanguard Capital
Vanguard Fiduciary Trust Company
Vanguard Marketing
Corp./Vanguard Investments Series
PLC Funds
Vanguard Marketing Corporation
Vanguard Marketing Corporation
Variable Annuity Life Insurance
Company (The)
Variant Research Corporation
Vasiliou & Company Inc.
Vaughan & Co. Securities, Inc.
UNIV
UNEX
5670
1038
1737
1757
1873
1874
1880
1942
1945
3427
3462
USIC
USAA
0367
0226†
0367
CNS
CNS
0226†
CNS
0443†
0309†
CNS
CNS
0443†
CNS
0226†
0235†
CNS
CNS
0279†
CNS
0226†
0161†
0161†
0443†
CNS
CNS
CNS
CNS
0062
CNS
0352†
0352†
0443†
CNS
CNS
CNS
5935
USIS
UVST
TORO
0309∆
VLYF
3611
VALI
VALM
FINA
VCLM
ZEDD
VBLT
VNDM
VNDS
VCAP
VGRD
VARI
VASL
VCSI
0235∆
0121
0352∆
0279∆
4977
5524
0099∆
0226∆
0161∆
0161∆
0443∆
5972
4996
0062
5772
6455
0352∆
0352∆
48
Alphabetical Reference
April 2013
VBC Securities
VCA Securities, LP
VCG Securities LLC
VCM Securities, LLC
Vector Partners, L.P.
Vectormex WMG, Inc.
Vega-Chi US Limited
Veritas Securities Corp.
Vertical Management Systems,
Inc./TPA
Vertical Trading Group, LLC (The)
Vest (H.D.) Investment Securities,
Inc.
VFG Securities, LLC
vFinance Investments, Inc.
vFinance Investments, Inc.
Victor Securities, Inc.
ViewTrade Securities, Inc.
ViewTrade Securities, Inc.
Vining-Sparks IBG, L.P.
Virtu Financial BD LLC
Virtu Financial BD LLC
Virtu Financial Capital Markets LLC
Virtus Real Estate, LLC
Vision Brokerage Services, LLC
Vision Financial Markets LLC
Vision Investment Services, Inc.
Vista Securities, Inc.
Volant Liquidity, LLC
VP Distributors, Inc.
VP Distributors, Inc./VVIT Series
VSR Financial Servcies, Inc.
VSR Financial Services, Inc.
VTB Capital Inc.
W.D. Latimer Company LTD./CDS
W.H. Reaves & Co., Inc
W.P. Carey & Co. LLC
W.P. Carey & Co. LLC
W.P. Carey & Co. LLC
W.P. Carey & Co. LLC
W.P. Carey & Co. LLC
W.P. Carey & Co. LLC
W.R. Hambrecht + Co., LLC
W.R. Hambrecht + Co., LLC
W.R. Hambrecht + Co., LLC
W.R. Taylor & Company, LLC
Wachovia Securities Financial
Network, LLC
Wachtel & Co., Inc.
Waddell & Reed, Inc.
Waddell & Reed, Inc.
Wade (G.W.) Asset Management
Company, Inc.
Wainwright (H.C.) & Co., Inc.
Wall Street Access
Wall Street Financial Group
Wall Street Management
Corporation
Wall Street Money Center Corp.
VBCS
VCAS
VANQ
VCMS
VCTR
VMEX
VEGA
VRTS
VERT
VFGS
VFNL
VFIN
PEMA
VTDT
VTSB
VSLP
VRTU
VIRT
EWTT
VBSL
VSIN
VISI
VSTS
BZXL
VSRF
VTBI
WDLF
REAV
HAMC
HMRB
HAMR
WRTC
FNET
WACL
0352∆
0158∆
0352∆
0352∆
0158†
0352†
CNS
CNS
0443†
0352†
0352†
0443†
CNS
CNS
CNS
CNS
0100∆
7122
0100∆
0268
0750∆
0052∆
0226∆
0551∆
0158∆
0049∆
0063
0063∆
0749
1799
0595∆
0595
0279∆
0695∆
5517
3764
2615
0141∆
0443∆
5078●
0443∆
1035
3663
3667
3672
3678
3679
0158∆
0235∆
0158∆
0750∆
0141∆
0709
0687
4879
GWWD
HCWT
WABR
WSFG
0158∆
0443∆
0226∆
WSMC
WAMC
0750∆
0161†
CNS
0750†
0052†
0226†
CNS
CNS
CNS
0158†
CNS
6043
TFT
0595
0443†
0279†
CNS
CNS
CNS
0141†
CNS
0443†
CNS
0158†
0235†
CNS
CNS
0750†
CNS
0141†
0709
CNS
TFT
0226†
CNS
0443†
0226†
CNS
CNS
0443†
CNS
Wallace R. Weitz & Company
Wallach Beth Capital LLC
Wallstreet E Financial Services Inc.
Wallstreet E Financial Services Inc.
Walnut Street Securities
Walnut Street Securities
Walthausen Funds
Wang Investment Associates, Inc.
Wang Investment Associates, Inc.
Wang Investment Associates, Inc.
Ward (K.C.) Financial
Ward's Financial Services, Inc.
Warner Group Inc. (The)
Warren D. Nadel & Company
Washington Securities Corporation
Waterford Investors Services, Inc.
Watermark Securities Inc.
Watermill Institutional Trading, LLC
Waterstone Financial Group, Inc
Waterstone Financial Group, Inc.
Watkins Financial Services, Inc.
Watley (A.B.) Direct, Inc.
Wayne Hummer Investments LLC
Wayne Hummer Investments LLC
WBB Securities, LLC
Wealthfront Brokerage Corporation
Wealthfront Brokerage Corporation
Weaver Tidwell Capital, LLC
Weber & Company, Inc.
Weckstein (D.) & Co., Inc.
Wedbush Morgan Securities, Inc.
Wedbush Morgan Securities, Inc.
Wedbush Morgan Securities, Inc.
Wedbush Morgan Securities, Inc.
Wedbush Morgan Securities, Inc.
Wedbush Morgan Securities, Inc.
Wedbush Morgan Securities, Inc.
Wedbush Morgan Securities, Inc.
Wedbush Morgan Securities, Inc.
Wedbush Morgan Securities, Inc.
Wedbush Morgan Securities, Inc.
Wedbush Morgan Securities, Inc.
Wedbush Morgan Securities, Inc.
Wedbush Morgan Securities, Inc.
Wedbush Morgan Securities, Inc.
Wedbush Morgan Securities, Inc.
Wedbush Morgan Securities, Inc.
Wedbush Morgan Securities, Inc.
Wedbush Morgan Securities, Inc.
Wedbush Morgan Securities, Inc.
Wedbush Morgan Securities, Inc.
Wedbush Morgan Securities, Inc.
Wedbush Morgan Securities, Inc.
Wedbush Morgan Securities, Inc.
Wedbush Morgan Securities, Inc.
Wedbush Morgan Securities, Inc.
Wedbush Morgan Securities, Inc.
Wedbush Securities Inc.
WBET
WSEI
WNUT
WANG
SOGO
WIAI
KCWF
WARF
WRGR
NADL
WSCC
WTRI
WZSC
WMLL
WFGP
DRAS
SALT
HLTN
WAYN
WBBC
KCBC
WFBC
WEAV
WEBR
WECK
WEDN
WEDO
IBKW
HBIQ
SCTT
WEDP
WEDX
WEDZ
WESG
WIST
WLSC
WLTT
WMAQ
WMBY
WMGN
WMGT
WMMO
WMRA
WMSN
WMSR
WMSW
WMLF
WEDJ
WEDE
WMLS
LIFW
WMSS
WEDB
5769
0161∆
0052∆
0052∆
0443∆
0533
5595
0279∆
0158∆
0158∆
0052∆
0235∆
0235∆
0235∆
0235∆
0235∆
0158∆
0501∆
0075∆
0727∆
0750∆
0158∆
0141∆
0196
0226∆
0017∆
0158∆
0309∆
0727∆
0595∆
0103∆
0103∆
0017∆
0103∆
0103∆
0103∆
0103∆
0103∆
0103∆
0103∆
0103∆
0103∆
0103∆
0103∆
0103∆
0103∆
0103∆
0103∆
0103∆
0103∆
0103∆
0330∆
0352∆
0355∆
0512∆
0695∆
0695∆
0103
0052†
CNS
0443†
CNS
0279†
CNS
0052†
0235†
0235†
0235†
0235†
0235†
CNS
CNS
CNS
CNS
CNS
CNS
0141†
CNS
0226†
CNS
0309†
CNS
0595†
0103†
0103†
CNS
CNS
CNS
0103
CNS
49
Alphabetical Reference
April 2013
Wedbush Securities Inc.
Wedbush Securities Inc.
Wedbush Securities Inc.
Wedbush Securities Inc.
Wedbush Securities Inc.
Wedbush Securities Inc.
Wedbush Securities Inc.
Wedbush Securities Inc.
Wedbush Securities Inc.
Wedbush Securities Inc.
Wedbush Securities Inc.
Wedbush Securities Inc.
Wedbush Securities Inc.
Wedbush Securities Inc.
Wedbush Securities Inc.
Wedbush Securities Inc.
Wedbush Securities Inc.
Wedbush Securities Inc.
Wedbush Securities Inc.
Wedbush Securities Inc.
Wedbush Securities Inc.
Wedbush Securities Inc.
Wedbush Securities Inc.
Wedbush Securities Inc.
Wedbush Securities Inc.
Wedbush Securities Inc.
Wedbush Securities Inc.
Wedbush Securities Inc.
Wedbush Securities Inc.
Wedbush Securities Inc.
Wedbush Securities Inc./Stock Loan
Wedgewood Partners, Inc.
Weeden & Co. L.P.
Wegener Investment Trust
Weil Company, Inc. (The)
Weller, Anderson & Co., Ltd.
Wellington Shields & Co LLC
Wellington Shields & Co., LLC
Wellington Trust Company, N.A.
Wells Fargo Advisors, LLC
Wells Fargo Advisors, LLC
Wells Fargo Bank N.A./Wells Fargo
Collective Funds
Wells Fargo Bank, N.A.
Wells Fargo Bank, N.A.
Wells Fargo Bank, N.A./SIG
Wells Fargo Bank, N.A./Wachovia
Wells Fargo Bank, NA TR
Recordkeeping Group
Wells Fargo Bank, National
Association
Wells Fargo Brokerage Services,
LLC
Wells Fargo Funds Distributor, LLC
Wells Fargo Funds Distributor,
LLC/Wells Fargo(Lux) Worldwide
Wells Fargo Institutional Securities,
LLC
Wells Fargo Securities, LLC
WMIT
WBJB
WBLL
WEDY
WMAV
WMCH
WMEU
WMGP
WMKO
WMLP
WMLW
WMMF
WMPN
WMQS
WMRB
WMSF
WMTY
WMVG
WMVS
WSCS
WSED
WSGG
WSMS
WSPO
WMLT
WMFO
WMLK
WMNE
WMFC
WSLT
WGWD
WEED
WEIL
WACC
WESC
MDWD
WRET
0099∆
0103∆
0103∆
0103∆
0103∆
0103∆
0103∆
0103∆
0103∆
0103∆
0103∆
0103∆
0103∆
0103∆
0103∆
0103∆
0103∆
0103∆
0103∆
0103∆
0103∆
0103∆
0103∆
0103∆
0158∆
0330∆
0512∆
0608∆
0695∆
0695∆
5166
0161∆
5361
0141∆
0743∆
6517
0141∆
7360
Wells Fargo Securities, LLC
Wells Fargo Securities, LLC
Wells Fargo Securities, LLC
Wells Nelson & Associates, LLC
Wentworth Securities, Inc.
Wesbanco Securities, Inc.
Wescorp Investment Services, LLC
West America Securities Corp.
Western Equity Group, Inc.
Western Financial Corporation
Western International Securities,
Inc.
Western International Securities,
Inc.
Western Pacific Securities, Inc.
CNS
CNS
0226†
0279†
0141†
0141†
CNS
CNS
CNS
CNS
0141†
CNS
5186
6766
7115
WBNA
2072
CNS
0929
2195
2027
NORW
0250∆
5576
0250†
CNS
0250†
0250
CNS
CNS
5936
WFIS
WCHV
0250∆
0250
0250∆
0250∆
0352∆
0309∆
0750∆
0309†
CNS
0443†
0443†
CNS
CNS
0750∆
0235∆
0103∆
0235†
0103†
CNS
CNS
WISI
0352∆
0352†
CNS
WEPA
0635
0750∆
0279†
CNS
0443†
CNS
0052†
0352†
CNS
CNS
0443†
0750†
0226†
CNS
CNS
CNS
0158†
0443†
0443†
0443†
0352†
0158†
0443†
CNS
CNS
CNS
CNS
CNS
CNS
CNS
0352†
CNS
6414
0595†
0279†
0235†
0443†
TFT
CNS
CNS
CNS
CNS
0050†
0443†
0750†
0235†
CNS
CNS
CNS
CNS
Western Reserve Life Assurance
Company of Ohio
4567
Western Reserve Life Co. of
Ohio/Annuity Business
4692
Western Southern Life Assurance
Company
Westhoff Cone & Holmstedt
WestLB Securities, Inc.
Westminster Securities Corporation
Weston Securities Corporation
Westpark Capital, Inc.
Westport Capital Markets, LLC
0158†
0161†
WELX
WEMM
WFGO
WELL
WWTH
CBII
WCIS
WUSA
WEGP
WEFI
Westport Resources Investment
Services, Inc.
Westrock Capital Management, Inc.
WFG Investments, Inc.
WFG Investments, Inc.
Wharton Equity Corporation
Whipple (J.N.) Inc.
Whitaker Securities, LLC
Whitaker Securities, LLC
White Mountain Capital, LLC
White Pacific Securities, Inc.
Whitehall-Parker Securities, Inc.
Whiteweld Trading, LLC
Whitewood Group, Inc
Whitman (M.J.) & Co., Inc.
Whitman (M.J.), LLC
Whitney National Bank
Whotrades, Inc.
WIC Corp.
Wilbanks Securities, Inc.
Wiley Bros.-Aintree Capital, LLC
Williams Capital Group, L.P. (The)
Williams Trading, LLC
Willis Securities, Inc.
Willow Cove Investment Group, Inc.
Wilmington Capital Securities, LLC
Wilmington Trust Company
Wilmington Trust Company
Wilmington Trust
Company/Wilmington Trust
Retirement & Institutional Services
Company
4614
WCAH
WLBP
WSWW
WPCC
WCMS
WRIS
WSRK
WMBU
WHAE
JNWS
WTKR
WHCG
WMCL
WPSI
QWER
WWLD
LGLL
MJWH
WTNY
WHOT
WHIT
WILB
WBRO
WLMS
WTCO
WSEC
WCIG
WCSC
5177
5737
0052∆
0352∆
0443∆
0750∆
0226∆
6014
0158∆
0443∆
0352∆
0158∆
0647∆
0279∆
0352∆
5829
0595∆
0235∆
0443∆
0443∆
0501∆
0750∆
0235∆
2215
4894
0068
50
Alphabetical Reference
April 2013
Wilmington Trust Company/WTRIS
TPS
Wilson-Davis & Co., Inc.
Wilson-Davis & Company, Inc.
Winchester Group Inc.
Windham Financial Services Inc.
Windsor, Sheffield & Company, Inc.
Wine (D.E.) Investments, Inc.
Winslow, Evans & Crocker Inc.
Winslow, Evans & Crocker Inc.
Winterflood Securities Incorporated
Wisconsin Discount Securities
Corp.
Witenberg Investment Companies,
Inc.
WM Financial Services, Inc.
WM Financial Services, Inc.
Wm Smith & Co.
Wolf A. Popper, Inc.
Wolfe Trahan Securities
Wolverine Execution Services LLC
Wolverine Execution Services LLC
Wolverine Execution Services LLC
Wolverine Execution Services, LLC
Wolverine Execution Services, LLC
Wolverton Securities (USA), Ltd.
Wolverton Securities Ltd./CDS
Woodbury Financial Services, Inc.
Woodfield Fund Administration, LLC
Woodfield Fund Administration, LLC
Woodlands Securities Corp.
Woodlawn Advisors, LLC
Woodmen Financial Services, Inc.
Woodstock Financial Group Inc.
Woori Investment & Securities
America, Inc.
Worden Capital Management, LLC
Wordentrade, Inc.
Workman Securities Corp.
World Capital Brokerage, Inc.
World Choice Securities, Inc.
World Equity Group Inc.
World Equity Group, Inc.
World First Financial Services, Inc.
World Trade Financial Corporation
World Trade Financial Corporation
WorldCommodity Funds, Inc.
WR Rice Financial Services, Inc.
WRP Investments, Inc.
WRP Investments, Inc.
WSA Fixed Income, LLC
Wulff Hansen & Co.
Wunderlich Securities, Inc.
Wunderlich Securities, Inc.
Wunderlich Securities, Inc.
Wynston Hill Capital,LLC
Wyser-Pratte & Co., Inc.
XCU Capital Corp.
XEROX HR Solutions, LLC
0279†
0226†
0352†
0226†
0279†
0443†
CNS
CNS
CNS
CNS
CNS
CNS
UWIN
3311
0283
0279∆
0226∆
0352∆
0235∆
0279∆
0443∆
0332
0161∆
0161†
CNS
WIDS
0279∆
0279†
CNS
WITE
MRPH
0501∆
0226†
CNS
WDCO
WDAC
WINC
WFSI
WISC
WINE
WYNS
WSSS
WAPS
WOLF
WEXM
WEXI
WEXX
WEXL
XXEW
WTOU
WTOF
WODL
WDLN
RDNK
LGSA
WORD
WRDN
WSCX
WCSO
WEGI
MDEB
WORL
WORX
WRRF
WRPI
WSAX
WHCO
WUND
FUND
EXTF
WYSE
EXCU
4310
0158∆
0158∆
0100∆
0161∆
0501∆
0501∆
0501∆
0501∆
0052∆
5079●
0510
1795
1851
0161∆
6004
0279∆
0158∆
0052∆
0017∆
0235∆
5676
0052∆
0235∆
0460
0052∆
0052∆
3727
0750∆
0052†
CNS
0279†
0161†
CNS
CNS
0279†
CNS
0443†
CNS
0235†
CNS
0052†
0235†
CNS
CNS
0141†
0052†
0052†
CNS
CNS
CNS
0750†
0226†
CNS
CNS
5226
0141†
0226†
TFT
CNS
CNS
0235†
0158†
0443†
CNS
CNS
CNS
XFA Securites, LLC
XP Securities, LLC
YieldQuest Advisors, LLC
York Securities, Inc.
Young Stovall & Company
Zacks & Company
Zecco Trading, Inc
Zeus Securities, Inc
Ziegler (B.C.) & Company
Ziegler (B.C.) & Company
Zions Direct, Inc.
Zions Direct, Inc.
Zions First National Bank
ZIV Investment Co.
Zoullas (N.B.) Securities, Inc.
XFAS
XPUS
YQST
YOSE
YOST
ZACK
ZECO
ZEUS
BCZC
ZION
ZDNF
ZFNB
ZIVI
ZOUL
0161∆
0443∆
0158∆
0235∆
0352∆
0158∆
0309∆
0443∆
0753
8082
0352∆
Zurich American Life Insurance
Company
4529
Zurich American Life Insurance
Company/Destinations
4578
0161†
CNS
0279†
CNS
0235†
0352†
0158†
CNS
CNS
CNS
0443†
CNS
0065
0226†
2104
8082
CNS
CNS
TFT
CNS
4312
0501∆
0141∆
0226∆
0926
0235∆
0158∆
0443∆
7102
51