NASD Members A

Shepherd Smith Edwards & Kantas LTD LLP represents investors nationwide in claims against brokerage firms. We also have over 100 years of combined experience in the securities industry and in securities law.
We have handled thousands of cases against hundreds of large and small investment firms. Call us at (800)259-9010 or contact us to arrange a free confidential consultation with an attorney to discuss your situation.

A & M SECURITIES, LLC
2475 NORTHWINDS PKWY, SUITE 200, ALPHARETTA, GA 30004

A B WONG CAPITAL LLC
11 BROADWAY, SUITE 1010, NEW YORK, NY 10004

AIM DISTRIBUTORS, INC.
11 GREENWAY PLAZA, SUITE 100, HOUSTON, TX 77046-1173

A&F FINANCIAL SECURITIES, INC.
352 EAST THIRD AVE, ATT: H. LESTER ARIAIL, MOUNT DORA, FL 32757

A. G. EDWARDS & SONS, INC.
ONE NORTH JEFFERSON AVE., ST. LOUIS, MO 63103

A. P. SECURITIES, INC.
15 WATERVIEW DR, CENTERPORT, NY 11721
Mailing Address: P. O. BOX 434, CENTERPORT, NY 11721

A. R. SCHMEIDLER & CO., INC.
555 FIFTH AVENUE, NEW YORK, NY 10017-2416

A.B. WATLEY DIRECT, INC.
50 BROAD STREET, 17TH FLR, SUITE 1728, NEW YORK, NY 10004
Mailing Address: 50 BROAD STREET, 17TH FLOOR, SUITE 1728, NEW YORK, NY 10004

A.BRIDGE REALVEST SECURITIES CORPORATION
708 THIRD AVENUE, 6TH FLOOR, NEW YORK, NY 10017

A.C. TRADING, INC.
10082 SUNRISE LANE, SANTA ANA, CA 92705
Mailing Address: 8502 E. CHAPMAN AVE #605, ORANGE, CA 92869

A.C.R. SECURITIES, INC.
687 PARK LANE, CEDARHURST, NY 11516

A.G. QUINTAL INVESTMENT COMPANY INC.
2177 ACUSHNET AVE., NEW BEDFORD, MA 02745-6316

A.H. HAYNES & CO., INC.
600 LEXINGTON AVENUE, 19TH FLOOR, NEW YORK, NY 10022

A.J. PACE & CO., INC.
230 PARK AVENUE, SUITE 1813, NEW YORK, NY 10169
Mailing Address: 230 PARK AVENUE, SUITE 1813, NEW YORK, NY 10169

A.J. SLOANE & COMPANY, LLC
645 FIFTH AVENUE, 18TH FLOOR, NEW YORK, NY 10022

A.K. CAPITAL, LLC
445 PARK AVENUE, 9TH FLOOR, NEW YORK, NY 10022
Mailing Address: 445 PARK AVENUE 9TH FLOOR, NEW YORK, NY 10022

A.L. WATERS CAPITAL, LLC
150 WOOD ROAD, SUITE 203, BRAINTREE, MA 02186

A.M. OPPENHEIMER SECURITIES,INC.
1150 SILVERADO, LA JOLLA, CA 92037

A.T.A.P. FINANCIAL SERVICES, INC.
555 SOUTH HIGHLAND ST., MT. DORA, FL 32757

AARON CAPITAL, INCORPORATED
125 WEST EL PORTAL, FIRST FLOOR, SAN CLEMENTE, CA 92672

ABACUS INTERNATIONAL CAPITAL CORP.
181 CANAL STREET-2ND FLOOR, NEW YORK, NY 10013
Mailing Address: 181 CANAL STREET - 2ND FLOOR, NEW YORK, NY 10013

ABACUS INVESTMENTS, INC.
W398 N5985 AUTUMN WOODS DR, OCONOMOWOC, WI 53066
Mailing Address: W398 N5985 AUTUMN WOODS DR., OCONONOWOC, WI 53066

ABACUS SECURITIES CORPORATION
11250 KIRKLAND WAY, SUITE 202, KIRKLAND, WA 98033

ABAX BROKERAGE SERVICES, INC.
31658 ROCHEN ROAD, WALLER, TX 77484
Mailing Address: P.O. BOX 40506, HOUSTON, TX 77240-0506

ABBEY NATIONAL SECURITIES INC.
400 ATLANTIC STREET, STAMFORD, CT 06901
Mailing Address: 400 ATLANTIC STREET, 2ND FLOOR, STAMFORD, CT 06901

ABD FINANCIAL SERVICES, INC.
305 WALNUT STREET, REDWOOD CITY, CA 94063

ABEL'S HILL CAPITAL CORP.
375 GREENWICH STREET, NEW YORK, NY 10013

ABEL/NOSER CORP.
ONE BATTERY PARK PLAZA, 6TH FLOOR, NEW YORK, NY 10004

ABG SUNDAL COLLIER INC.
535 MADISON AVENUE, NEW YORK, NY 10022-4212

ABI CAPITAL MANAGEMENT, LLC
111 NINETEENTH STREET NORTH, #200, BIRMINGHAM, AL 35203

ABN AMRO INCORPORATED
540 WEST MADISON STREET, SUITE 2422, CHICAGO, IL 60661

ABN AMRO ROTHSCHILD LLC
55 EAST 52ND STREET, NEW YORK, NY 10055
Mailing Address: 540 WEST MADISON STREET, SUITE 2422, CHICAGO, IL 60661

ABNER HERRMAN & BROCK, LLC
HARBORSIDE FINANCIAL CENTER, PLAZA 5, SUITE 1640, JERSEY CITY, NJ 07311

ABRAHAM & CO., INC.
3724 47TH STREET CT. NW, GIG HARBOR, WA 98335

ABRAHAM & LONDON SECURITIES, INC.
3500 N. CAUSEWAY BLVD STE 160, METAIRIE, LA 70002

ABRAMSON FINANCIAL, LLC
511 EAST 80TH ST-APT 10E, NEW YORK, NY 10021

ABS BROKERAGE SERVICES, L.L.C.
194 NASSAU STREET, SUITE 30, PRINCETON, NJ 08542

ABSHIER WEBB & DONNELLY, INC.
2500 CITY WEST BLVD., SUITE 590, HOUSTON, TX 77042

ACA/PRUDENT INVESTORS PLANNING CORPORATION
239 ROUTE 22 EAST, THIRD FLOOR, GREEN BROOK, NJ 08812

ACAP FINANCIAL INC.
47 WEST 200 SOUTH STE 101, SALT LAKE CITY, UT 84101

ACB BUSINESS SERVICES, LLC
900 19TH STREET, WASHINGTON, DC 20006
Mailing Address: 900 19TH STREET, WASHINGTON, DC 20006

ACCENT CAPITAL ADVISORS, L.L.C.
ONE FERRY BUILDING, SUITE 210, SAN FRANCISCO, CA 94111

ACCESS CAPITAL INVESTMENT GROUP, INC.
3801 E. FLORIDA AVENUE, SUITE 400, DENVER, CO 80210
Mailing Address: P. O. BOX 218, DANIA BEACH, FL 33004

ACCESS FINANCIAL GROUP, INC.
118 NORTH CLINTON ST-SUITE 450, CHICAGO, IL 60661

ACCESS INVESTMENTS, INC.
3621 NW 63RD, OKLAHOMA CITY, OK 73116-2000

ACCESS SECURITIES, INC.
30 BUXTON FARM ROAD STE 130, STAMFORD, CT 06905
Mailing Address: 30 BUXTON FARM ROAD STE 140, STAMFORD, CT 06905

ACCREDITED EQUITIES INCORPORATED
801 BRICKELL AVENUE, SUITE 900, MIAMI, FL 33131

ACCRUED EQUITIES INC.
150 BROADHOLLOW RD, MELVILLE, NY 11747

ACCUMULATION PLANNING, INC.
6172 NORTH 28 PLACE, PHOENIX, AZ 85016
Mailing Address: POST OFFICE BOX 32429, PHOENIX, AZ 85064-2429

ACE DIVERSIFIED CAPITAL, INC.
923 EAST VALLEY BLVD.,, SUITE 106, SAN GABRIEL,, CA 91776

ACF INTERNATIONAL INC.
50 CONGRESS STREET, SUITE 6, BOSTON, MA 02109

ACKRELL CAPITAL, LLC
ONE MARKET STEUART TOWER, SUITE 1710, SAN FRANCISCO, CA 94105

ACME SECURITIES INC.
1155 RENE LEVESQUE BLVD. W. SUITE 816, MONTREAL, QE, H3B2H7 CANADA
Mailing Address: 73 RICHMOND STREET WEST, SUITE 107, TORONTO, ONTARIO, M5H4E8 CANADA

ACN SECURITIES INC.
100 PARK AVENUE - SUITE 1600, NEW YORK, NY 10017

ACOSTA FINANCIAL SERVICES, LLC
100 SE 2ND STREET # 1120, MIAMI, FL 33131

ACP SECURITIES, LLC
444 BRICKELL AVENUE, SUITE 950, MIAMI, FL 33131

ACS SECURITIES CORP.
617 N. SEGOE ROAD STE 202, MADISON, WI 53705-3165

ACTINVER SECURITIES, INC.
5075 WESTHEIMER, SUITE 650, HOUSTON, TX 77056

ACTIVA ASSET MANAGEMENT, LLC
2905 LUCERNE SE, GRAND RAPIDS, MI 49546

ADAMSON BROTHERS INC.
87 WEST PASSAIC STREET, ROCHELLE PARK, NJ 07662

ADIRONDACK TRADING GROUP LLC
13 HAYSLETTE DRIVE, LAKE LUZERNE, NY 12846

ADMINISTRATIVE SYSTEMS, INC.
111 QUEEN ANNE AVE. N. #200, SEATTLE, WA 98109

ADP BROKER-DEALER, INC.
ONE ADP BOULEVARD, ROSELAND, NJ 07068-1786

ADP CLEARING & OUTSOURCING SERVICES, INC.
55 WATER STREET, 32ND FLOOR, NEW YORK, NY 10041

ADVANCE CAPITAL SERVICES, INC.
ONE TOWNE SQUARE, SUITE 444, SOUTHFIELD, MI 48076

ADVANCED ADVISOR GROUP, LLC
440 EMERSON STREET N., SUITE 4, CAMBRIDGE, MN 55008

ADVANCED ASSET TRADING, INC
5050 POPLAR AVE, SUITE 528, MEMPHIS, TN 38157
Mailing Address: 5050 POPLAR AVE NO.528, MEMPHIS, TN 38157

ADVANCED EQUITIES, INC.
311 SOUTH WACKER DRIVE, SUITE 1650, CHICAGO, IL 60606

ADVANCED PLANNING SECURITIES, INC.
222 MIDDLE COUNTRY ROAD, SUITE 209, SMITHTOWN, NY 11787
Mailing Address: 222 MIDDLE COUNTRY ROAD, SUITE 209, SMITHTOWN, NY 11787

ADVANTAGE CAPITAL CORPORATION
2300 WINDY RIDGE PARKWAY, SUITE 1100, ATLANTA, GA 30339

ADVANTAGE GFC LLC
2 WALL STREET, NEW YORK, NY 10005

ADVANTAGE INVESTMENT STRATEGIES, INC.
ONE PARK PLAZA, SUITE 600, IRVINE, CA 92614

ADVANTAGE SECURITIES LLC
30 S. WACKER DRIVE, SUITE 2020, CHICAGO, IL 60606

ADVENT SECURITIES, INC.
7501 BOULDERS VIEW DR, SUITE 601, RICHMOND, VA 23225

ADVISER DEALER SERVICES, INC.
6125 MEMORIAL DRIVE, DUBLIN, OH 43017-9767
Mailing Address: P.O. BOX 7177, DUBLIN, OH 43017-9767

ADVISORS CLEARING NETWORK, INC.
ONE COLORADO 35 HUGUS ALLEY, SUITE 200, PASADENA, CA 91103

ADVISORS EDGE SECURITIES, LLC
21800 BURBANK BLVD, SUITE 120, WOODLAND HILLS, CA 91367

ADVISORS UNLIMITED
456 WEST O'BRIEN DRIVE; STE 103D, HAGATNA, 96910 GUAM

ADVISORY FINANCIAL CONSULTANTS, INC.
505 DURHAM ROAD, FREMONT, CA 94539-6603

ADVISORY GROUP EQUITY SERVICES LTD.
264 NORTH MAIN STREET, NATICK, MA 01760-1122

AEB CORPORATION
518 SOUTH MAIN STREET, GREAT BARRINGTON, MA 01230

AEGIS CAPITAL CORP.
810 7TH AVE, 11TH FLOOR, NEW YORK, NY 10019

AEGIS ENERGY ADVISORS CORP.
708 THIRD AVENUE, 6TH FLOOR, NEW YORK, NY 10017-4201

AEGIS INVESTMENTS, INC.
431 S 7TH STREET, SUITE 2400, MINNEAPOLIS, MN 55415-1854

AEI SECURITIES, INC.
1300 WELLS FARGO PLACE, 30 SEVENTH STREET EAST, ST. PAUL, MN 55101-4901

AETHLON CAPITAL, L.L.C
80 SOUTH 8TH STREET SUITE 4920, MINNEAPOLIS, MN 55402

AEW SECURITIES LIMITED PARTNERSHIP
C/O AEW CAPITAL MANAGEMENT LP, TWO SEAPORT LANE, BOSTON, MA 02210-2021
Mailing Address: C/O AEW CAPITAL MANAGEMENT L.P., TWO SEAPORT LANE, BOSTON, MA 02210-2021

AFA FINANCIAL GROUP, LLC
26637 W. AGOURA RD, CALABASAS, CA 91302
Mailing Address: 26637 W. AGOURA RD., CALASBASAS, CA 91302

AFBA FIVE STAR SECURITIES COMPANY
909 N. WASHINGTON STREET, ALEXANDRIA, VA 22314

AFFILIATED BANKERS CAPITAL, L.L.C.
2801 VIA FORTUNA DRIVE, SUITE 625, AUSTIN, TX 78746

AFFINA BROKERAGE SERVICES, LLC
600 MIDLAND AVE, SUITE 101, RYE, NY 10580-3999

AFFINITY INVESTMENT SERVICES, LLC
73 MOUNTAIN VIEW BLVD., BUILDING 200, BASKING RIDGE, NJ 07920

AFS BROKERAGE, INC.
5300 BEE CAVES RD, BLDG. 3, STE. 200, AUSTIN, TX 78746
Mailing Address: 5300 BEE CAVES RD, BLDG 3, STE 200, AUSTIN, TX 78746

AFSG SECURITIES CORPORATION
4425 NORTH RIVER BLVD. NE, CEDAR RAPIDS, IA 52402
Mailing Address: 4333 EDGEWOOD ROAD N.E, CEDAR RAPIDS, IA 52499

AG BD LLC
245 PARK AVENUE, 26TH FLOOR, NEW YORK, NY 10167-0094

AGECROFT PARTNERS, LLC
103 CANTERBURY ROAD, RICHMOND, VA 23221-3211

AGENCY TRADING GROUP, INC.
235 EAST LAKE STREET, WAYZATA, MN 55391
Mailing Address: 235 EAST LAKE STREET, 2ND FLOOR, WAYZATA, MN 55391

AGF SECURITIES, INC.
31ST FLOOR TORONTO DOMINION BANK TOWER, TORONTO DOMINION CENTRE, M5K 1E9 CANADA
Mailing Address: 31ST FLOOR TORONTO DOM BANK TOWER, TORONTO DOM CENTRE, TORONTO, M5K 1E9 CANADA

AGILE SECURITIES, INC.
4909 PEARL EAST CIRCLE, STE. 300, BOULDER, CO 80301

AGINCOURT, LTD.
INVESTORS GUARANTY CENTRE, CHESNEY HOUSE, 96 PITTS BAY ROAD, PEMBROKE, HM08 BERMUDA
Mailing Address: P.O. BOX HM 2571, HAMILTON, HM KX BERMUDA

AGM SECURITIES LLC
767 FIFTH AVE., 23RD FLOOR, NEW YORK, NY 10153

AGORA SECURITIES CORP.
110 EAST 55TH STREET, 18TH FLOOR, NEW YORK, NY 10022-4540

AGRICAPITAL SECURITIES INC.
1410 BROADWAY, SUITE 1802, NEW YORK, NY 10018

AHT FINANCIAL GROUP, LTD.
432 NORTH HOUGH STREET, BARRINGTON, IL 60010

AI SECURITIES,INC.
33 UNION STREET, BOSTON, MA 02108-2406

AIA CAPITAL MARKETS LLC
509 MADISON AVE., SUITE 2206, NEW YORK, NY 10022

AIG EQUITY SALES CORP.
70 PINE STREET - 12TH FLOOR, NEW YORK, NY 10270
Mailing Address: 70 PINE STREET-12TH FLOOR, NEW YORK, NY 10270

AIG FINANCIAL ADVISORS, INC.
2800 N. CENTRAL AVE., STE 2100, PHOENIX, AZ 85004-1072

AIG FINANCIAL SECURITIES CORP.
50 DANBURY ROAD, WILTON, CT 06897-4444

AIG GLOBAL SECURITIES LENDING CORP.
70 PINE STREET, NEW YORK, NY 10270

AIG SUNAMERICA CAPITAL SERVICES, INC.
HARBORSIDE FINANCIAL CENTER, 3200 PLAZA 5, JERSEY CITY, NJ 07311-4992

AJAX INVESTMENTS, LLC
1866 SHERIDAN RD, # 220, C/O ARLENE BUSCH, HIGHLAND PARK, IL 60035

AKAR CAPITAL MANAGEMENT, INC.
8551 W. SUNRISE BLVD. #102A, PLANTATION, FL 33322
Mailing Address: 8551 W. SUNRISE BLVD #102A, PLANTATION, FL 33322

AKIN BAY COMPANY LLC
780 THIRD AVENUE, NEW YORK, NY 10017

AKJ
OCEAN CENTRE, MONTAGU FORESHORE, EAST BAY STREET, PO BOX SS-19084, NASSAU,  BAHAMAS
Mailing Address: P.O. BOX SS-19084, NASSAU, 00000 BAHAMAS

AKROS SECURITIES, INC
75 ROCKEFELLER PLAZA, 18TH FLOOR, NEW YORK, NY 10019
Mailing Address: 75 ROCKEFELLER PLAZA, NEW YORK, NY 10019

ALADDIN CAPITAL LLC
SIX LANDMARK SQUARE, STAMFORD, CT 06901

ALAMO CAPITAL
1777 BOTELHO DR.-STE. 375, WALNUT CREEK, CA 94596-5041
Mailing Address: 1777 BOTELHO DRIVE -STE 375, WALNUT CREEK, CA 94596-5041

ALARIS TRADING PARTNERS, LLC
11455 EL CAMINO REAL, SUITE 362, SAN DIEGO, CA 92130

ALARON FINANCIAL SERVICES
822 W. WASHINGTON BLVD., CHICAGO, IL 60607

ALBERT FRIED & COMPANY, LLC
60 BROAD STREET, 39TH FLOOR, NEW YORK, NY 10004
Mailing Address: 60 BROAD STREET; 39TH FLOOR, NEW YORK, NY 10004

ALBRIGHT SECURITIES LLC
901 15TH STREET NW, SUITE 1000, WASHINGTON, DC 20005

ALCHEMY ALTERNATIVES, INC.
90 NEW MONTGOMERY STREET 9TH, SAN FRANCISCO, CA 94105
Mailing Address: 751 LAUREL STREET, SUITE 119, SAN CARLOS, CA 94070

ALDERMAN & COMPANY CAPITAL, LLC
399 MAIN AVENUE, #APT. 516, NORWALK, CT 06851

ALDERWOOD CAPITAL LLC
505 MONTGOMERY STREET, 11TH FLOOR, SAN FRANCISCO, CA 94111

ALERUS SECURITIES CORPORATION
2300 COLUMBIA ROAD SOUTH, GRAND FORKS, ND 58201
Mailing Address: P.O. BOX 6001, GRAND FORKS, ND 58206

ALETHEIA SECURITIES, INC.,
100 WILSHIRE BLVD STE 1960, SANTA MONICA, CA 90401

ALEXANDER CAPITAL, L.P.
11 BROADWAY, SUITE 925, NEW YORK, NY 10004

ALEXANDER DUNHAM SECURITIES, INC.
350 SOUTH GRAND AVENUE, SUITE 3570, LOS ANGELES, CA 90071

ALEXANDER INVESTMENT SERVICES CO.
BARKLEY BUILDING, SUITE 303, 12700 SHELBYVILLE ROAD, LOUISVILLE, KY 40243-1599

ALEXANDRA & JAMES CO.
511 FIFTH AVENUE, NEW YORK, NY 10017

ALFA CAPITAL MARKETS (USA), INC
540 MADISON AVENUE, 30TH FLOOR, NEW YORK, NY 10022

ALFS, INC.
3100 SANDERS RD, STE N3B, NORTHBROOK, IL 60062-7156
Mailing Address: 3100 SANDERS ROAD, STE N3B, NORTHBROOK, IL 60062

ALL FUNDS, INC.
24 NORTH PARK TERRACE, CONGERS, NY 10920-2139
Mailing Address: PO DRAWER H, VALLEY COTTAGE, NY 10989

ALLEGHENY INVESTMENTS, LTD.
STONE QUARRY CROSSING, 811 CAMP HORNE ROAD, SUITE 100, PITTSBURGH, PA 15237

ALLEGIANCE CAPITAL, L.L.C.
50 DONALD B. DEAN DRIVE, SUITE ONE, SOUTH PORTLAND, ME 04106

ALLEGIANT SECURITIES L.L.C.
200 S.E. 1ST STREET SUITE 502, MIAMI, FL 33131

ALLEN & COMPANY LLC
711 FIFTH AVENUE, NEW YORK, NY 10022

ALLEN & COMPANY OF FLORIDA, INC.
1401 SOUTH FLORIDA AVENUE, LAKELAND, FL 33803
Mailing Address: P.O. BOX 387, LAKELAND, FL 33802

ALLEN C. EWING & CO.
50 NORTH LAURA STREET, SUITE 3625, JACKSONVILLE, FL 32202
Mailing Address: 50 N LAURA STREET, SUITE 3625, JACKSONVILLE, FL 32202

ALLEN KONRAD ASSET MANAGEMENT, CORP.
1877 SOUTH FED HIGHWAY, SUITE 101, BOCA RATON, FL 33432

ALLES INVESTMENTS, INC.
7981 SEVERHILL COURT, SUITE 200, DUBLIN, OH 43016-9235

ALLIANCE ADVISORY & SECURITIES, INC.
3390 AUTO MALL DRIVE, SUITE 200, WESTLAKE VILLAGE, CA 91362

ALLIANCE AFFILIATED EQUITIES CORPORATION
ONE WARD PARKWAY, #345, KANSAS CITY, MO 64112

ALLIANCE FINANCIAL GROUP, INC.
1701 RIVER RUN RD., SUITE 1116, FORT WORTH, TX 76107

ALLIANCEBERNSTEIN INVESTMENTS, INC.
1345 AVENUE OF THE AMERICAS, NEW YORK, NY 10105-0096

ALLIANT EQUITY INVESTMENTS, LLC
21600 OXNARD STREET - SUITE 1200, WOODLAND HILLS, CA 91367
Mailing Address: 21600 OXNARD STREET-SUITE 1200, WOODLAND HILLS, CA 91367

ALLIANT SECURITIES, INC. TURNER, NORD, KIENBAUM
601 W RIVERSIDE AVE SUITE 1430, SPOKANE, WA 99201

ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC
2187 ATLANTIC STREET, 7TH FLOOR, STAMFORD, CT 06902

ALLIANZ LIFE FINANCIAL SERVICES, LLC
5701 GOLDEN HILLS DRIVE, MINNEAPOLIS, MN 55416-1297
Mailing Address: P O BOX 1117, MINNEAPOLIS, MN 55440-1117

ALLIED ASSET MANAGEMENT, INC.
2033 6TH AVENUE, SUITE 1009, SEATTLE, WA 98121

ALLISON-WILLIAMS COMPANY
90 SOUTH 7TH STREET, SUITE 3850, MINNEAPOLIS, MN 55402-2441

ALLSTATE DISTRIBUTORS, L.L.C.
3100 SANDERS ROAD, STE N3B, NORTHBROOK, IL 60062

ALLSTATE FINANCIAL SERVICES, LLC
2920 S 84TH STREET, LINCOLN, NE 68506
Mailing Address: PO BOX 83271, LINCOLN, NE 68501-3271

ALMARC TRADING, LP
5855 NW 42ND WAY, BOCA RATON, FL 33496
Mailing Address: PO BOX 811360, BOCA RATON, FL 33481

ALMAX FINANCIAL SOLUTIONS, LLC
12 VAN SYCKLES ROAD, CLINTON, NJ 08809

ALPHA EQUITY RESEARCH, INC.
88 LAFAYETTE ROAD, NORTH HAMPTON, NH 03862
Mailing Address: P.O. BOX 670, NORTH HAMPTON, NH 03862

ALPHA FINANCE US CORPORATION
410 PARK AVE, NEW YORK, NY 10022

ALPHA OMEGA CAPITAL SECURITIES, LLC
7202 GLEN FOREST DRIVE, SUITE 300, RICHMOND, VA 23226

ALPHA PRD, INC.
133 MISSION STREET, SUITE 225, SANTA CRUZ, CA 95060

ALPINE ASSOCIATES, A LIMITED PARTNERSHIP
100 UNION AVENUE, CRESSKILL, NJ 07626

ALPINE PARTNERS, L.P.
100 UNION AVENUE, CRESSKILL, NJ 07626

ALPINE SECURITIES CORPORATION
440 EAST 400 SOUTH, SALT LAKE CITY, UT 84111

ALPS DISTRIBUTORS, INC.
1625 BROADWAY, SUITE 2200, DENVER, CO 80202

ALTA CAPITAL GROUP, LLC
ONE POST OFFICE SQUARE, 38TH FLOOR, BOSTON, MA 02110

ALTA VISTA FINANCIAL, INC.
462 STEVENS AVENUE, SUITE 308, SOLANA BEACH, CA 92075

ALTEA CAPITAL, LLC
525 EAST 72ND STREET- 35E, NEW YORK, NY 10021

ALTEGRIS INVESTMENTS, INC.
1200 PROSPECT STREET, SUITE 400, LA JOLLA, CA 92037

ALTERNATIVE ACCESS CAPITAL, LLC
707 WESTCHESTER AVENUE (SUITE 405), WHITE PLAINS, NY 10604

ALTERNATIVE ASSET INVESTMENT MANAGEMENT SECURITIES, LLC
650 5TH AVENUE, 17TH FLOOR, NEW YORK, NY 10019
Mailing Address: BOX 5274, ROCKEFELLER STATION, NEW YORK, NY 10185-5274

ALTERNATIVE WEALTH STRATEGIES, INC.
1040 N. KINGS HIGHWAY, SUITE 302, CHERRY HILL, NJ 08034
Mailing Address: 1040 N. KINGS HIGHWAY, SUITE 302, CHERRY HILL, NJ 08034

ALTERNET SECURITIES INC.
380 MADISON AVENUE, 4TH FLOOR, NEW YORK, NY 10017

ALTON SECURITIES GROUP INC.
2410 STATE STREET, P.O. BOX 160, ALTON, IL 62002
Mailing Address: P.O. BOX 160, ALTON, IL 62002

ALTRUSHARE SECURITIES LLC
10 MIDDLE STREET, 6TH FLOOR, BRIDGEPORT, CT 06604

ALTURA, NELSON & CO., INCORPORATED
2333 SAN RAMON VALLEY BLVD., STE. 390, SAN RAMON, CA 94583

ALVAREZ & MARSAL SECURITIES, LLC
600 LEXINGTON AVE, 6TH FLOOR, NEW YORK, NY 10022
Mailing Address: 600 LEXINGTON AVE, 6TH FLOOR, NEW YORK, NY 10022

ALYSSA LLC
745 FIFTH AVENUE 29TH FLOOR, NEW YORK, NY 10151

ALZAID FINANCIAL SERVICES, INC.
212 DOMBEY DRIVE, PITTSBURGH, PA 15237

AM CAPITAL LLC
685 FIFTH AVENUE, 9TH FLOOR, NEW YORK, NY 10022

AMBAC SECURITIES, INC
ONE STATE STREET PLAZA, NEW YORK, NY 10004

AMBER MOUNTAIN INVESTMENTS, LLC
C/O THIRD POINT PARTNERS, 390 PARK AVENUE, NEW YORK, NY 10022

AMCORE INVESTMENT SERVICES, INC
501 7TH STREET, ROCKFORD, IL 61104-6111

AMD CAPITAL, LLC
100 TRI-STATE INTERNATIONAL, SUITE 138, LINCOLNSHIRE, IL 60069

AMEGY INVESTMENTS, INC.
4400 POST OAK PARKWAY, HOUSTON, TX 77027
Mailing Address: P.O. BOX 27764, HOUSTON, TX 77227-7764

AMEREST SECURITIES, INC.
2828 NORTH HARWOOD SUITE 2000, DALLAS, TX 75201

AMERICA INVEST ONLINE, INC.
99 JERICHO TURNPIKE, SUITE 305, JERICHO, NY 11753
Mailing Address: 99 JERICHO TURNPIKE, JERICHO, NY 11753

AMERICA'S CHOICE EQUITIES LLC
4152 WEST BLUE HERON BLVD., SUITE #226, WEST PALM BEACH, FL 33404

AMERICA'S GROWTH CAPITAL, LLC
125 HIGH STREET, HIGH STREET TOWER, FLOOR 30, BOSTON, MA 02110

AMERICAN CAPITAL PARTNERS, LLC
205 OSER AVE., HAUPPAUGE, NY 11788

AMERICAN CENTURY BROKERAGE, INC.
1665 CHARLESTON RD, MOUNTAIN VIEW, CA 94043

AMERICAN CENTURY INVESTMENT SERVICES INC.
4500 MAIN STREET, KANSAS CITY, MO 64111
Mailing Address: P.O. BOX 418210, KANSAS CITY, MO 64141-9210

AMERICAN CLASSIC FINANCIAL COMPANY
15745 ROLLER COASTER ROAD, COLORADO SPRINGS, CO 80921

AMERICAN CLASSIC SECURITIES, INC.
201 ATP TOUR BLVD., SUITE 150, PONTE VEDRA, FL 32082

AMERICAN DIVERSIFIED FINANCIAL GROUP LLC
600 NORTH WEINBACH, SUITE 460, EVANSVILLE, IN 47711

AMERICAN EASTERN SECURITIES, INC.
865 S. FIGUEROA ST-STE 3340, LOS ANGELES, CA 90017

AMERICAN ENTERPRISE INVESTMENT SERVICES INC.
707 2ND AVENUE SOUTH, MINNEAPOLIS, MN 55402
Mailing Address: 50611 AMERIPRISE FINANCIAL CENTER, MINNEAPOLIS, MN 55474

AMERICAN EQUITY CAPITAL, INC.
5000 WESTOWN PARKWAY, SUITE 440, WEST DES MOINES, IA 50266-5921
Mailing Address: P.O. BOX 71216, DES MOINES, IA 50325-0216

AMERICAN EQUITY INVESTMENT CORPORATION
4222 GRANTLINE ROAD, NEW ALBANY, IN 47150

AMERICAN FAMILY SECURITIES, LLC
6000 AMERICAN PARKWAY, MADISON, WI 53783-0001

AMERICAN FIDELITY SECURITIES, INC.
2000 CLASSEN BLVD., OKLAHOMA CITY, OK 73106-6092
Mailing Address: P.O. BOX 25523, OKLAHOMA CITY, OK 73125-0523

AMERICAN FINANCIAL ASSOCIATES, INC.
1700 NORTHAMPTON STREET, SUITE A, EASTON, PA 18042-1659
Mailing Address: 1700 NORTHAMPTON STREET, SUITE A, EASTON, PA 18042-1659

AMERICAN FINANCIAL SECURITIES, INC.
6003 UNIVERSITY AVE. - SUITE C, CEDAR FALLS, IA 50613
Mailing Address: 6003 UNIVERSITY AVE.- SUITE C, CEDAR FALLS, IA 50613

AMERICAN FUNDS & TRUSTS INCORPORATED
3030 SOUTH MAIN STREET, SUITE 100, SALT LAKE CITY, UT 84115-3554

AMERICAN FUNDS DISTRIBUTORS, INC.
333 S. HOPE ST. 55TH FL., LOS ANGELES, CA 90071

AMERICAN GENERAL DISTRIBUTORS, INC.
2929 ALLEN PARKWAY, HOUSTON, TX 77019
Mailing Address: 2929 ALLEN PARKWAY L4-01, HOUSTON, TX 77019

AMERICAN GENERAL EQUITY SERVICES CORPORATION
1 FRANKLIN SQUARE, SPRINGFIELD, IL 62713-0001
Mailing Address: 1 FRANKLIN SQUARE, SPRINGFIELD, IL 62713

AMERICAN GENERAL SECURITIES INCORPORATED
2727 ALLEN PARKWAY, SUITE 290, HOUSTON, TX 77019
Mailing Address: P.O. BOX 4556, HOUSTON, TX 77210

AMERICAN HERITAGE CHURCH FINANCE, INC.
620 N. WYMORE RD, STE 240, MAITLAND, FL 32751

AMERICAN HERITAGE SECURITIES, INC.
655 W MARKET STREET, AKRON, OH 44303-1438

AMERICAN INDEPENDENT SECURITIES GROUP, LLC
1036 E. IRON EAGLE DR.,, SUITE 120, EAGLE, ID 83616

AMERICAN INVESTORS COMPANY
2682 BISHOP DR., SUITE 123, SAN RAMON, CA 94583
Mailing Address: P. O. BOX 1307, SAN RAMON, CA 94583

AMERICAN INVESTORS GROUP, INC.
10237 YELLOW CIRCLE DRIVE, MINNETONKA, MN 55343

AMERICAN LANDMARK SECURITIES, INC.
433 E. LAS COLINAS BLVD, SUITE 805, IRVING, TX 75039
Mailing Address: 433 E. COLINAS BLVD., SUITE 805, IRVING, TX 75039

AMERICAN MUNICIPAL SECURITIES, INC.
720 SECOND AVE S., ST. PETERSBURG, FL 33701
Mailing Address: P.O. BOX 11749, ST. PETERSBURG, FL 33733-1749

AMERICAN NETWORK SECURITIES CORP.
10104 W. COGGINS DRIVE, AMERICAN NETWORK PLAZA, SUN CITY, AZ 85351-3405

AMERICAN REAL ESTATE SECURITIES, INC.
110-110TH AVENUE, SUITE 520, BELLEVUE, WA 98004

AMERICAN REALTY CAPITAL MARKETS, LLC
10800 MIDLOTHIAN TURNPIKE, SUITE 239, RICHMOND, VA 23235

AMERICAN REPUBLIC EQUITIES CORPORATION
601 SIXTH AVE, DES MOINES, IA 50309

AMERICAN RESEARCH & MANAGEMENT COMPANY
145 FRONT ST, MARION, MA 02738-0576
Mailing Address: P.O. BOX 576, MARION, MA 02738-0576

AMERICAN SECURITIES GROUP, INC.
400 SOUTH DIXIE HIGHWAY, SUITE 220, BOCA RATON, FL 33432

AMERICAN SECURITIES TEAM, INC.
500 W CUMMINGS PARK-SUITE 6050, WOBURN, MA 01801

AMERICAN SKANDIA MARKETING, INC.
ONE CORPORATE DRIVE, SHELTON, CT 06484
Mailing Address: 1 CORPORATE DRIVE, SHELTON, CT 06484

AMERICAN TECHNOLOGY RESEARCH, INC.
10 GLENVILLE STREET, GREENWICH, CT 06831

AMERICAN TRUST INVESTMENT SERVICES, INC.
1349 CALUMET AVENUE, HAMMOND, IN 46394-1003
Mailing Address: 1349 CALUMET AVENUE, WHITING, IN 46394-1003

AMERICAN UNION SECURITIES, INC.
100 WALL STREET, 15TH FLOOR, NEW YORK, NY 10005

AMERICAN WEALTH MANAGEMENT, INC.
1050 CROWN POINTE PARKWAY SUITE 240, ATLANTA, GA 30338
Mailing Address: 1050 CROWN POINTE PARKWAY SUITE 1230, ATLANTA, GA 30338

AMERIPRISE FINANCIAL SERVICES, INC.
707 2ND AVENUE SOUTH, MINNEAPOLIS, MN 55402
Mailing Address: 50611 AMERIPRISE FINANCIAL CENTER, MINNEAPOLIS, MN 55474

AMERITAS INVESTMENT CORP.
5900 "O" STREET, LINCOLN, NE 68510-2234
Mailing Address: PO BOX 5507, LINCOLN, NE 68505-0507

AMERITRADE, INC.
1005 NORTH AMERITRADE PLACE, BELLEVUE, NE 68005
Mailing Address: P.O. BOX 2226, OMAHA, NE 68103-2226

AMERIVET SECURITIES, INC.
26550 SILVERADO COURT, MORENO VALLEY, CA 92555
Mailing Address: POB 1074, INGLEWOOD, CA 90308

AMHERST SECURITIES GROUP, L.P.
7801 NORTH CAPITAL OF TEXAS HIGHWAY, SUITE 300, AUSTIN, TX 78731

AMPER INVESTMENT BANKING L.L.C.
ONE PENN PLAZA, SUITE 3401, NEW YORK, NY 10119

AMREIT SECURITIES COMPANY
8 GREENWAY PLAZA, SUITE 1000, HOUSTON, TX 77046

AMSOUTH INVESTMENT SERVICES, INC.
250 RIVERCHASE PKWY E RCS4, BIRMINGHAM, AL 35244
Mailing Address: P.O. BOX 830329, BIRMINGHAM, AL 35283

AMTEX ASSOCIATES, LLC
16660 DALLAS PKWY STE 2200, DALLAS, TX 75248

AMVEST SECURITIES, INCORPORATED
1395 E. DUBLIN-GRANVILLE RD., #203, COLUMBUS, OH 43229-3314

ANB FINANCIAL GROUP, LLC
2710 MISSION BLVD., FAYETTEVILLE, AR 72703

ANCHIN CAPITAL ADVISORS LLC
1375 BROADWAY, 18TH FLOOR, NEW YORK, NY 10018

ANCHOR ASSET MANAGEMENT LLC
600 MADISON AVENUE, 26TH FLOOR, NEW YORK, NY 10022

ANCHOR BAY SECURITIES, LLC
5780 FLEET STREET, SUITE 308, CARLSBAD, CA 92008

ANCORA SECURITIES, INC.
2000 AUBURN DRIVE, SUITE 300, CLEVELAND, OH 44122

ANDEREN CAPITAL
301 S. MISSOURI AVE, CLEARWATER, FL 33756

ANDERSON & STRUDWICK, INCORPORATED
707 E. MAIN STREET 20TH FLOOR, RICHMOND, VA 23219
Mailing Address: P.O. BOX 1459, RICHMOND, VA 23218-1459

ANDERSON LENEAVE & CO.
6000 FAIRVIEW ROAD, SUITE 625, CHARLOTTE, NC 28210

ANDES CAPITAL GROUP, LLC
233 SOUTH WACKER DRIVE, SUITE 5400, CHICAGO, IL 60606

ANDREW GARRETT INC.
380 LEXINGTON AVE., STE 2135, NEW YORK, NY 10168
Mailing Address: 380 LEXINGTON AVE, STE 2135, NEW YORK, NY 10168

ANGELES CAPITAL GROUP, LLC
520 SOUTH GRAND AVE, SUITE 700, LOS ANGELES, CA 90071
Mailing Address: 520 SOUTH GRAND AVE, SUITE 700, LOS ANGELES, CA 90071

ANKALE CAPITAL LLC
626 GROVE ST., EVANSTON, IL 60201-4475

ANNASCAUL ADVISORS LLC
1177 HIGH RIDGE ROAD, STAMFORD, CT 06905

ANOVEST FINANCIAL SERVICES, INC.
3225 SHALLOWFORD ROAD, SUITE 220, MARIETTA, GA 30062

ANSLEY SECURITIES LLC
21 MADDOX DRIVE NE, ATLANTA, GA 30309

ANTAEUS CAPITAL, INC.
9952 SOUTH SANTA MONICA BLVD., SUITE 210, BEVERLY HILLS, CA 90212

ANTHEM SECURITIES, INC.
311 ROUSER ROAD, MOON TOWNSHIP, PA 15108

ANZ SECURITIES, INC.
1177 AVENUE OF THE AMERICAS, NEW YORK, NY 10036

ANZUS CAPITAL LLC
111 CONGRESS AVE., SUITE 450, AUSTIN, TX 78701

AON SECURITIES CORPORATION
200 EAST RANDOLPH STREET, CHICAGO, IL 60601

AOS, INC.
311 S. WACKER DR., STE 1525, CHICAGO, IL 60606

APB FINANCIAL GROUP, INC.
17 STATE ST. - SUITE 1650, NEW YORK, NY 10004

APEX PRYOR SECURITIES, A DIVISION OF RICE FINANCIAL PRODUCTS CO
333 CLAY STREET, SUITE 3010, HOUSTON, TX 77002-4005
Mailing Address: 333 CLAY STREET-STE 3010, HOUSTON, TX 77002-4005

APPLE LANE GROUP LLC
2393 MAIN STREET, LANCASTER, MA 01523

APS FINANCIAL CORPORATION
1301 CAPITAL OF TEXAS HIGHWAY, #B220, AUSTIN, TX 78746
Mailing Address: 1301 CAPITAL OF TEXAS HIGHWAY #B-220, AUSTIN, TX 78746

AQUARIUS FUND DISTRIBUTORS, LLC
4005 SOUTH 148TH STREET, OMAHA, NE 68137
Mailing Address: 4020 SOUTH 147TH STREET, OMAHA, NE 68137

AQUEDUCT CAPITAL GROUP, LLC
1850 E. THIRD STREET, SUITE 100, CHARLOTTE, NC 28204

AQUILA DISTRIBUTORS, INC.
380 MADISON AVENUE #2300, NEW YORK, NY 10017-2598
Mailing Address: 380 MADISON AVENUE, SUITE 2300, NEW YORK, NY 10017

AQUILLIAN INVESTMENTS, INC.
300 FRANK H. OGAWA PLAZA, SUITE 210, OAKLAND, CA 94612
Mailing Address: 300 FRANK H. OGAWA PLAZA, SUITE 210, OAKLAND, CA 94612

AQUILO PARTNERS, INC.
ONE MARITIME PLAZA, 15TH FLOOR, SAN FRANCISCO, CA 94111

ARAPAHO PARTNERS, LLC
390 PARK AVE 18TH FL, NEW YORK, NY 10022

ARBOR ADVISORS, LLC
3300 HILLVIEW, STE. 170, PALO ALTO, CA 94304

ARBOR RESEARCH & TRADING, INC.
1000 HART ROAD, SUITE 260, BARRINGTON, IL 60010

ARCADIA INVESTMENT CORPORATION
1314 N.W. IRVING STREET, SUITE 608, PORTLAND, OR 97209

ARCADIA SECURITIES, LLC
720 FIFTH AVE, 10TH FL, NEW YORK, NY 10019
Mailing Address: 720 FIFTH AVE, 10TH FLOOR, NEW YORK, NY 10019

ARCH CREEK ADVISORS LLC
35 WILLOWEND DRIVE, HOUSTON, TX 77024
Mailing Address: 35 WILLOWEND DRIVE, SUITE 200, HOUSTON, TX 77024

ARCHIPELAGO SECURITIES L.L.C.
100 SOUTH WACKER DRIVE, SUITE #1800, CHICAGO, IL 60606

ARCHIPELAGO TRADING SERVICES, INC.
100 S. WACKER DR., SUITE 1800, CHICAGO, IL 60606
Mailing Address: 100 SOUTH WACKER DRIVE, SUITE 1800, CHICAGO, IL 60606

ARDOUR CAPITAL INVESTMENTS, LLC
350 5TH AVENUE, SUITE 3018, NEW YORK, NY 10118

ARENA CAPITAL ADVISORS, LLC
8320 FALLS OF NEUSE ROAD, SUITE 101, RALEIGH, NC 27615

ARETE RESEARCH LLC
225 FRANKLIN STREET, 26TH FLOOR, BOSTON, MA 02110

ARGENT SECURITIES CO. LLC
55 VILCOM CIRCLE, SUITE 200, CHAPEL HILL, NC 27514

ARGOSY CAPITAL SECURITIES, INC.
3775 MANSELL ROAD, ALPHARETTA, GA 30022

ARI FINANCIAL SERVICES, INC.
911 MAIN STREET, SUITE 2222, KANSAS CITY, MO 64105

ARIA CAPITAL ADVISORS, LLC
2202 N. WEST SHORE BLVD., SUITE 200, TAMPA, FL 33607

ARIANE CAPITAL PARTNERS LLC
501 CANDACE LANE, VILLANOVA, PA 19085
Mailing Address: P.O. BOX 32, CONSHOHOCKEN, PA 19428

ARIEL DISTRIBUTORS, LLC
200 EAST RANDOLPH DRIVE, SUITE 2900, CHICAGO, IL 60601

ARJENT LTD.
570 LEXINGTON AVENUE, 22ND FLOOR, NEW YORK, NY 10022

ARJENT SERVICES LLC
570 LEXINGTON AVENUE, 22ND FLOOR, NEW YORK, NY 10022

ARK INVESTMENTS
16170 CANAANVILLE ROAD, ATHENS, OH 45701-0500
Mailing Address: P.O. BOX 500, ATHENS, OH 45701-0500

ARLINGTON SECURITIES, INC.
140 MARINE LANE, ST. LOUIS, MO 63146-2236

ARMA FINANCIAL SERVICES, INC.
8585 E. HARTFORD DRIVE, SUITE 118, SCOTTSDALE, AZ 85255

ARMATA FINANCIAL CORP.
300 EAST LOMBARD STREET, SUITE 1200, BALTIMORE, MD 21202

ARONSON CAPITAL ADVISORS, LLC
700 KING FARM BOULEVARD, ROCKVILLE, MD 20850

ARQUE CAPITAL, LTD.
27520 HAWTHORNE BOULEVARD, SUITE 288, ROLLING HILLS ESTATES, CA 90274

ARROW INVESTMENTS, INC.
3010 WESTCHESTER AVENUE, SUITE 203, PURCHASE, NY 10577

ARROWHEAD INVESTMENT CENTER, LLC
550 E. HOSPITALITY LANE, SUITE 220, SAN BERNARDINO, CA 92408

ARTEMIS GLOBAL FINANCE, LLC
10 NEW KING STREET STE. 212, WHITE PLAINS, NY 10604
Mailing Address: 10 NEW KING STREET STE. 212, 2ND FLOOR, WHITE PLAINS, NY 10604

ARTISAN DISTRIBUTORS LLC
875 E. WISCONSIN AVENUE, SUITE 800, MILWAUKEE, WI 53202

ARVEST ASSET MANAGEMENT
201 W. WALNUT STREET, ROGERS, AR 72756
Mailing Address: P.O. BOX 5050, ROGERS, AR 72757-5050

ASANTE PARTNERS LLC
780 THIRD AVENU, 15TH FLOOR, NEW YORK, NY 10017
Mailing Address: 780 THIRD AVENUE, 15TH FLOOR, NEW YORK, NY 10017

ASB SECURITIES, LLC
1345 AVENUE OF THE AMERICAS, NEW YORK, NY 10105-4300

ASCENDIANT SECURITIES, LLC
18881 VON KARMAN, SUITE 1630, IRVINE, CA 92612

ASCENSION FINANCIAL SOLUTIONS, INC.
938 SEARCY WAY, BOWLING GREEN, KY 42103

ASCHER/DECISION SERVICES, INC.
230 E UNION ST., PASADENA, CA 91101
Mailing Address: P.O. BOX 2139, PASADENA, CA 91102-2139

ASD FINANCIAL SERVICES CORP
9999 NE 2 AVE, SUITE 314, MIAMI SHORES, FL 33138

ASG SECURITIES, INC.
6555 N. POWERLINE ROAD,, SUITE 408, FT. LAUDERDALE, FL 33309

ASH SECURITIES WHOLESALING, INC.
7609 WEST JEFFERSON BLVD., FORT WAYNE, IN 46804

ASHRAF CAPITAL CORP.
201 S. LAKE AVENUE, SUITE 603, PASADENA, CA 91101-3004

ASHTON CAPITAL MANAGEMENT, INC.
10145 PACIFIC HEIGHTS BOULEVARD, SUITE 1010, SAN DIEGO, CA 92121

ASHTON YOUNG, INC.
2150 BUTTERFIELD DRIVE, SUITE 110, TROY, MI 48084

ASHTON-CLAYTON FINANCIAL GROUP, LLC
101 TYRELLAN AVENUE, STATEN ISLAND, NY 10309

ASIA PACIFIC INVESTORS SERVICES
145 ASPINALL AVE, HAGATNA, 96910 GUAM, USA
Mailing Address: 145 ASPINALL AVE., HAGATNA, 96910 GUAM, USA

ASKAR CORP.
TWO APPLETREE SQUARE, SUITE #350, BLOOMINGTON, MN 55425-1675

ASPEN EQUITY PARTNERS, LLC
2100 MCKINNEY AVENUE, SUITE 1550, DALLAS, TX 75201

ASPERION GROUP LLC
300 PARK AVENUE, 17TH FLOOR, NEW YORK, NY 10020
Mailing Address: 151 EAST 80TH STREET, 3RD FLOOR, NEW YORK, NY 10021

ASSENT LLC
5 MARINE VIEW PLAZA, HOBOKEN, NJ 07030

ASSET ALLIANCE INVESTMENT SERVICES INC.
800 THIRD AVENUE, 22ND FLOOR, NEW YORK, NY 10022

ASSETMARK CAPITAL CORPORATION
2300 CONTRA COSTA BLVD., SUITE 425, PLEASANT HILL, CA 94523

ASSIST INVESTMENT MANAGEMENT COMPANY, INC.
7133 W. 95TH STREET, SUITE 216, OVERLAND PARK, KS 66212-2248

ASSOCIATED BOND BROKERS, INC.
3232 MCKINNEY AVE, STE 690, DALLAS, TX 75204

ASSOCIATED FINANCIAL SERVICES, INC.
118 BROADWAY, SUITE 504 (BLACK BLDG), FARGO, ND 58102
Mailing Address: P.O. BOX 2163, FARGO, ND 58107

ASSOCIATED INVESTMENT SERVICES, INC.
2985 S. RIDGE ROAD, SUITE C, GREEN BAY, WI 54304
Mailing Address: P.O. BOX 640, GREEN BAY, WI 54395-0640

ASSOCIATED SECURITIES CORP.
222 N. SEPULVEDA BLVD, 18TH FLOOR, EL SEGUNDO, CA 90245

ASTON FUNDS DISTRIBUTORS, INC.
760 MOORE ROAD, KING OF PRUSSIA, PA 19406

ASTOR SECURITIES, INC.
229 EAST 79 STREET #4D, NEW YORK, NY 10021

ASTORIA CAPITAL MARKETS, INC.
30-08 36TH STREET, LONG ISLAND CITY, NY 11103

AT INVESTOR SERVICES, INC.
50 ROCKEFELLER PLAZA, 15TH FLOOR, NEW YORK, NY 10020
Mailing Address: 50 ROCKEFELLER PLAZA, NEW YORK, NY 10020

ATEL SECURITIES CORPORATION
600 CALIFORNIA STREET, 6TH FLOOR, SAN FRANCISCO, CA 94108

ATHENA CAPITAL PARTNERS, INC.
3281 LANDMARK DRIVE, CLEARWATER, FL 33761

ATLANTIC - PACIFIC CAPITAL, INC.
102 GREENWICH AVENUE, 2ND FLOOR, GREENWICH, CT 06830

ATLANTIC AMERICAN CAPITAL ADVISORS, LLC
101 E. KENNEDY BLVD. - SUITE 3300, TAMPA, FL 33602

ATLANTIC CAPITAL SECURITIES, LLC
4120 MAIN AT NORTH HILLS STREET, SUITE 230, TWO HANNOVER SQUARE, RALEIGH, NC 27609
Mailing Address: 4120 MAIN AT NORTH HILLS STREET, SUITE 230, RALEIGH, NC 27609

ATLANTIC COAST SECURITIES CORPORATION
3800 WEST BAY TO BAY BLVD, SUITE 22 & 23, TAMPA, FL 33629-6844
Mailing Address: 3800 W. BAY TO BAY BLVD, SUITE 22 &23, TAMPA, FL 33629

ATLANTIC FINANCIAL SERVICES OF MAINE, INC.
45 EXCHANGE STREET, PORTLAND, ME 04101

ATLANTIC REPUBLIC SECURITIES, INC.
49 RICHMONDVILLE AVENUE, SUITE 105, WESTPORT, CT 06880

ATLANTIC SECURITIES, INC.
920 PROVIDENCE RD., SUITE 201, TOWSON, MD 21286-2988

ATLANTIS INVESTMENT CO. INC.
1055 PARSIPPANY BLVD, SUITE 506, PARSIPPANY, NJ 07054

ATLAS CAPITAL SERVICES, LLC
230 PARK AVENUE, 10TH FLOOR, NEW YORK, NY 10169

ATLAS ONE FINANCIAL GROUP, LLC
200 SOUTH BISCAYNE BOULEVARD, SUITE 4400, MIAMI, FL 33131

ATLAS SECURITIES, LLC
794 DAVIS STREET, SAN LEANDRO, CA 94577-7012

ATLAS STRATEGIC ADVISORS, LLC
140 EAST 45TH STREET, NEW YORK, NY 10017

ATM USA, LLC
14 WALL STREET, 20TH FLOOR, NEW YORK, NY 10005

ATOM GLOBAL TRADING
141 W. JACKSON BLVD., SUITE 1690, CHICAGO, IL 60604-2901
Mailing Address: 141 W. JACKSON BLVD, SUITE 1690, CHICAGO, IL 60604-2901

ATON SECURITIES, INC.
60 EAST 42ND STREET, SUITE 2530, NEW YORK, NY 10165

ATRIUM SECURITIES, INC.
141 WEST JACKSON BLVD. - SUITE 1340A, CHICAGO, IL 60604

AUDOBON SECURITIES, INC.
9 WEST 57TH STREET, 27TH FLOOR, NEW YORK, NY 10019

AUERBACH GRAYSON & COMPANY INCORPORATED
25W 45TH STREET SUITE 16, NEW YORK, NY 10036
Mailing Address: 25W 45TH STREET SUITE 16, NEW YORK, NY 10036

AUFHAUSER SECURITIES, INC.
112 WEST 56TH STREET, NEW YORK, NY 10019-3841

AUGUSTUS CAPITAL L.L.C.
550 MAMARONECK AVENUE, SUITE 508, HARRISON, NY 10528

AULT GLAZER & CO., LLC
1800 CENTURY PARK EAST, SUITE 200, LOS ANGELES, CA 90067

AURA FINANCIAL SERVICES, INC.
600 BEACON PARKWAY W STE 950, BIRMINGHAM, AL 35209

AURELIUS SECURITIES, LLC
250 WEST 57TH STREET, SUITE 1801, NEW YORK, NY 10107-1899

AURORA CAPITAL LLC
200 PARK AVENUE SOUTH - SUITE 1301, NEW YORK, NY 10003

AURORA FINANCIAL SERVICES, L.L.C.
3600 S. GESSNER, SUITE 210, HOUSTON, TX 77063
Mailing Address: 3600 S. GESSNER, SUITE 210, HOUSTON, TX 77063

AURORA SECURITIES
111 CONGRESSIONAL BLVD., SUITE 114, CARMEL, IN 46032-5639

AURUM CAPITAL, LLC
ONE ATLANTIC STREET 4TH FLOOR, STAMFORD, CT 06901

AURUS ADVISORS, INC.
655 MONTGOMERY STREET, SUITE 800, SAN FRANCISCO, CA 94111
Mailing Address: 655 MONTGOMERY STREET, SUITE 800, SAN FRANCISCO, CA 94111

AUTO CLUB FUNDS, INC.
1 AUTO CLUB DRIVE, DEARBORN, MI 48126
Mailing Address: 1 AUTO CLUB DR, DEARBORN, MI 48126

AUTOMATED TRADING DESK BROKERAGE SERVICES, LLC
11 EWALL STREET, MT. PLEASANT, SC 29464

AUTOMATED TRADING DESK FINANCIAL SERVICES, LLC
11 EWALL STREET, MT. PLEASANT, SC 29464

AVALON INVESTMENT & SECURITIES GROUP, INC.
404 AVALON AVENUE, SUTE 200, MUSCLE SHOALS, AL 35661

AVALON PARTNERS, INC.
60 BROAD STREET, SUITE 3403, NEW YORK, NY 10004

AVALON SECURITIES, LTD.
1375 BROADWAY, NEW YORK, NY 10018
Mailing Address: 1375 BRODWAY, NEW YORK, NY 10018

AVANTI SECURITIES CORPORATION
22 ST. CLAIR AVENUE EAST - SUITE 1700, TORONTO, M4T 2S3 CANADA
Mailing Address: 22 ST CLAIR AVENUE EAST SUITE 1700, TORONTO, M4T 2S3 CANADA

AVENTURA SECURITIES, LLC
3201 NE 183RD STREET, SUITE 2208, AVENTURA, FL 33160

AVERIL CAPITAL MARKETS GROUP, INC.
1901 AVENUE OF THE STARS, SUITE 350, LOS ANGELES, CA 90067

AVIAN SECURITIES, LLC
100 BOYLSTON STREET, 4TH FLOOR, BOSTON, MA 02116

AVISEN SECURITIES, INC.
3626 FAIR OAKS BLVD., SUITE 300, SACRAMENTO, CA 95864-7256

AVM, L.P.
777 YAMATO ROAD, SUITE 300, BOCA RATON, FL 33431

AVONDALE PARTNERS, LLC
3102 WEST END AVENUE, SUITE 1100, NASHVILLE, TN 37203
Mailing Address: 3102 WEST END AVE, SUITE 1100, NASHVILLE, TN 37203

AXA ADVISORS, LLC
1290 AVENUE OF THE AMERICAS, NEW YORK, NY 10104
Mailing Address: 1290 AVENUE OF THE AMERICAS, 12TH FLOOR, NEW YORK, NY 10104

AXA DISTRIBUTORS, LLC
1290 AVENUE OF THE AMERICAS, NEW YORK, NY 10104
Mailing Address: 1290 AVENUE OF THE AMERICAS, 7TH FLOOR, NEW YORK, NY 10104

AXCESSNET, LLC
ONE CRANBERRY HILL, SUITE 6, LEXINGTON, MA 02421

AXELROD ASSOCIATES, INC.
451 COPPER BEECH CIRCLE, ELKINS PARK, PA 19027

AXES AMERICA LLC
420 LEXINGTON AVENUE, SUITE 225, NEW YORK, NY 10170

AXES, LLC
25W 45TH STREET SUITE 16, NEW YORK, NY 10036
Mailing Address: 25W 45TH STREET SUITE16, NEW YORK, NY 10036

AXIOM CAPITAL MANAGEMENT, INC.
780 THIRD AVENUE, 43RD FLOOR, NEW YORK, NY 10017-2024

AXIOM MANAGEMENT PARTNERS LLC
17 E 76TH STREET, NEW YORK, NY 10021

AYRE INVESTMENTS, INC.
648 MAIN STREET, AGAWAM, MA 01001

AZIMUTH CAPITAL, LLC
989 AVENUE OF THE AMERICAS, 20TH FLOOR, NEW YORK, NY 10018

AZROC SECURITIES, INC.
4055 MONROEVILLE BLVD, BUILDING 1, SUITE 410, MONROEVILLE, PA 15146
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