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					Pennsylvania Registered Broker-Dealers as of 01/01/2012


CRD Number    Broker Dealer:                          Status:
146048        1792 SECURITIES, LLC                    Registered   6/17/2011
              1792 SECURITIES, LLC
              299 E GREENVILLE ST


              ANDERSON             SC   29621


CRD Number    Broker Dealer:                          Status:
153006        1851 SECURITIES, INC                    Registered   9/14/2010
              1851 SECURITIES, INC
              ONE AMERICAN ROW


              HARTFORD             CT   06102


CRD Number    Broker Dealer:                          Status:
44655         1ST BRIDGEHOUSE SECURITIES, LLC         Registered   7/6/2005
              1ST BRIDGEHOUSE SECURITIES, LLC
              9881 SW 131 STREET


              MIAMI                FL   33176


CRD Number    Broker Dealer:                          Status:
39164         1ST DISCOUNT BROKERAGE, INC.            Registered   6/1/1999
              1ST DISCOUNT BROKERAGE, INC.
              420 STATE RD 7
              STE 114
              WELLINGTON           FL   33414


CRD Number    Broker Dealer:                          Status:
30349         1ST GLOBAL CAPITAL CORP.                Registered   8/31/1992
              1ST GLOBAL CAPITAL CORP.
              8150 N CENTRAL EXPWY
              STE 500
              DALLAS               TX   75206


CRD Number    Broker Dealer:                          Status:
132038        1ST WORLDWIDE FINANCIAL PARTNERS, LLC   Registered   2/7/2005
              1ST WORLDWIDE FINANCIAL PARTNERS, LLC
              6030 BETHELVIEW RD
              STE 102
              CUMMING              GA   30040
CRD Number   Broker Dealer:                          Status:
104276       3 MARK EQUITIES, INC.                   Registered   6/8/2001
             3 MARK EQUITIES, INC.
             1600 HWY 6 SOUTH
             STE 400
             SUGAR LAND          TX     77478


CRD Number   Broker Dealer:                          Status:
44791        A&F FINANCIAL SECURITIES, INC.          Registered   7/8/1998
             A&F FINANCIAL SECURITIES, INC.
             6901 JERICHO TPKE
             STE 217
             SYOSSET             NY     11791


CRD Number   Broker Dealer:                          Status:
5845         A. R. SCHMEIDLER & CO., INC.            Registered   2/4/1993
             A. R. SCHMEIDLER & CO., INC.
             500 FIFTH AVE


             NEW YORK            NY     10110-1405


CRD Number   Broker Dealer:                          Status:
18663        A.B. WATLEY DIRECT, INC.                Registered   2/25/2004
             A.B. WATLEY DIRECT, INC.
             50 BROAD ST
             STE 1614
             NEW YORK            NY     10004


CRD Number   Broker Dealer:                          Status:
47653        A.J. SLOANE & COMPANY, LLC              Registered   1/4/2002
             A.J. SLOANE & COMPANY, LLC
             623 FIFTH AVE
             28TH FL
             NEW YORK            NY     10022


CRD Number   Broker Dealer:                          Status:
28583        AARON CAPITAL, INCORPORATED             Registered   1/15/2010
             AARON CAPITAL, INCORPORATED
             5180 PARK
             SUITE 130
             MEMPHIS             TN     38119


CRD Number   Broker Dealer:                          Status:
37058        ABAX BROKERAGE SERVICES LLC             Registered   12/18/2009
             ABAX BROKERAGE SERVICES LLC
             10 HIGH ST
             STE 701
             BOSTON              MA     02110
CRD Number   Broker Dealer:                        Status:
147760       ABBEY CAPITAL (US) LLC                Registered   11/16/2011
             ABBEY CAPITAL (US) LLC
             330 MADISON AVE
             SUITE 623
             NEW YORK           NY    10017-5001


CRD Number   Broker Dealer:                        Status:
7537         ABEL/NOSER CORP.                      Registered   12/19/2005
             ABEL/NOSER CORP.
             ONE BATTERY PARK PLAZA
             6TH FLOOR
             NEW YORK           NY    10004


CRD Number   Broker Dealer:                        Status:
146230       ABERDEEN FUND DISTRIBUTORS, LLC       Registered   6/12/2008
             ABERDEEN FUND DISTRIBUTORS, LLC
             1735 MARKET STREET
             32ND FL
             PHILADELPHIA       PA    19103


CRD Number   Broker Dealer:                        Status:
14020        ABN AMRO CLEARING CHICAGO LLC         Registered   1/30/2002
             ABN AMRO CLEARING CHICAGO LLC
             175 WEST JACKSON BLVD.
             SUITE 400
             CHICAGO            IL    60604


CRD Number   Broker Dealer:                        Status:
151796       ABN AMRO SECURITIES (USA) LLC         Registered   4/21/2010
             ABN AMRO SECURITIES (USA) LLC
             100 PARK AVENUE
             17TH FL
             NEW YORK           NY    10017-5516


CRD Number   Broker Dealer:                        Status:
8517         ABNER HERRMAN & BROCK, LLC            Registered   1/16/1992
             ABNER HERRMAN & BROCK, LLC
             HARBORSIDE FIN CTR, PLAZA 5
             STE 1640
             JERSEY CITY        NJ    07311


CRD Number   Broker Dealer:                        Status:
104051       ABSHIER WEBB DONNELLY & BAKER, INC.   Registered   7/19/2011
             ABSHIER WEBB DONNELLY & BAKER, INC.
             2500 CITY WEST BLVD.
             SUITE 725
             HOUSTON            TX    77042
CRD Number   Broker Dealer:                               Status:
47798        ACA/PRUDENT INVESTORS PLANNING CORPORATION   Registered   10/7/1999
             ACA/PRUDENT INVESTORS PLANNING CORPORATION
             239 ROUTE 22 EAST
             3RD FL
             GREEN BROOK           NJ   08812


CRD Number   Broker Dealer:                               Status:
17433        ACADEMY SECURITIES, INC.                     Registered   7/13/2011
             ACADEMY SECURITIES, INC.
             445 HAMILTON AVENUE
             SUITE 1102
             WHITE PLAINS          NY   10601


CRD Number   Broker Dealer:                               Status:
7731         ACAP FINANCIAL INC.                          Registered   9/2/1998
             ACAP FINANCIAL INC.
             57 WEST 200 SOUTH
             STE 202
             SALT LAKE CITY        UT   84101


CRD Number   Broker Dealer:                               Status:
33065        ACCESS FINANCIAL GROUP, INC.                 Registered   3/2/1995
             ACCESS FINANCIAL GROUP, INC.
             118 N CLINTON ST
             STE 450
             CHICAGO               IL   60661


CRD Number   Broker Dealer:                               Status:
22455        ACCESS SECURITIES, LLC                       Registered   7/31/2006
             ACCESS SECURIITES, LLC
             30 BUXTON FARM ROAD
             STE 300
             STAMFORD              CT   06905


CRD Number   Broker Dealer:                               Status:
13452        ACCRUED EQUITIES INC.                        Registered   1/14/2003
             ACCRUED EQUITIES INC.
             150 BROADHOLLOW ROAD
             SUITE PH 02
             MELVILLE              NY   11747


CRD Number   Broker Dealer:                               Status:
155178       ACG ADVISORS, LLC                            Registered   10/7/2011
             ACG ADVISORS, LLC
             14 BASIL STREET


             LONDON                UK   SW3 1AJ
CRD Number   Broker Dealer:                          Status:
29705        ACGM, INC.                              Registered   8/10/1998
             ACGM, INC.
             590 MADISON AVE.
             41ST FL, STE 4103
             NEW YORK             NY    10022


CRD Number   Broker Dealer:                          Status:
103910       Adirondack Trading Group LLC            Registered   9/2/2011
             David Tabone
             2123 MAIN STREET


             NEW WOODSTOCK        NY    13122


CRD Number   Broker Dealer:                          Status:
37693        ADP BROKER-DEALER, INC.                 Registered   8/2/1995
             ADP BROKER-DEALER, INC.
             ONE ADP BOULEVARD


             ROSELAND             NJ    07068-1786


CRD Number   Broker Dealer:                          Status:
19347        ADVANCE CAPITAL SERVICES, INC.          Registered   11/5/1991
             ADVANCE CAPITAL SERVICES, INC.
             ONE TOWNE SQUARE
             STE 444
             SOUTHFIELD           MI    48076


CRD Number   Broker Dealer:                          Status:
104377       ADVANCED EQUITIES SERVICES CORP         Registered   4/18/2003
             ADVANCED EQUITIES SERVICES CORP
             130 BROAD BROOK RD


             BEDFORD HILLS        NY    10507


CRD Number   Broker Dealer:                          Status:
35545        ADVANCED EQUITIES, INC.                 Registered   6/7/1999
             ADVANCED EQUITIES, INC.
             311 S. WACKER
             #1650
             CHICAGO              IL    60606


CRD Number   Broker Dealer:                          Status:
36773        ADVISER DEALER SERVICES, INC.           Registered   8/3/2007
             ADVISER DEALER SERVICES, INC.
             P.O. BOX 7177


             DUBLIN               OH    43017-9767
CRD Number   Broker Dealer:                         Status:
46727        ADVISORS ASSET MANAGEMENT, INC.        Registered   2/8/2001
             ADVISORS ASSET MANAGEMENT, INC.
             18925 BASE CAMP ROAD
             SUITE 203
             MONUMENT             CO   80132


CRD Number   Broker Dealer:                         Status:
37466        ADVISORS CLEARING NETWORK, INC.        Registered   12/16/1999
             ADVISORS CLEARING NETWORK, INC.
             7 N. FAIR OAKS AVE


             PASADENA             CA   91103


CRD Number   Broker Dealer:                         Status:
15427        ADVISORY GROUP EQUITY SERVICES LTD.    Registered   6/10/1999
             ADVISORY GROUP EQUITY SERVICES LTD.
             444 WASHINGTON STREET
             SUITE 407
             WOBURN               MA   01801


CRD Number   Broker Dealer:                         Status:
15007        AEGIS CAPITAL CORP.                    Registered   11/17/1992
             AEGIS CAPITAL CORP.
             810 7TH AVE.
             11TH FL
             NEW YORK             NY   10019


CRD Number   Broker Dealer:                         Status:
104256       AFFILIATED FUNDING CORP.               Registered   5/16/2002
             AFFILIATED FUNDING CORP.
             1058 DELAWARE STREET


             DENVER               CO   80204


CRD Number   Broker Dealer:                         Status:
104296       AFFINITY INVESTMENT SERVICES, LLC      Registered   1/24/2002
             AFFINITY INVESTMENT SERVICES, LLC
             73 MOUNTAIN VIEW BLVD.
             BLDG 200
             BASKING RIDGE        NJ   07920


CRD Number   Broker Dealer:                         Status:
23122        AG BD LLC                              Registered   3/7/1989
             AG BD LLC
             245 PARK AVENUE
             26TH FLOOR
             NEW YORK             NY   10167-0094
CRD Number   Broker Dealer:                        Status:
108887       AGENCY TRADING GROUP, INC.            Registered   6/17/2004
             AGENCY TRADING GROUP, INC.
             235 EAST LAKE STREET
             2ND FL
             WAYZATA             MN   55391


CRD Number   Broker Dealer:                        Status:
36661        AGINCOURT, LTD.                       Registered   1/20/1998
             AGINCOURT, LTD.
             P.O. BOX HM 528


             HAMILTON, BERMU          HMCX


CRD Number   Broker Dealer:                        Status:
21774        AIG FINANCIAL SECURITIES CORP.        Registered   6/19/2006
             AIG FINANCIAL SECURITIES CORP.
             50 DANBURY ROAD


             WINTON              CT   06897-4444


CRD Number   Broker Dealer:                        Status:
10791        AKAR CAPITAL MANAGEMENT, INC.         Registered   3/13/2000
             AKAR CAPITAL MANAGEMENT, INC.
             8551 W. SUNRISE BOULEVARD
             #102A
             PLANTATION          FL   33322


CRD Number   Broker Dealer:                        Status:
103766       ALADDIN CAPITAL LLC                   Registered   5/7/2003
             ALADDIN CAPITAL LLC
             SIX LANDMARK SQUARE


             STAMFORD            CT   06901


CRD Number   Broker Dealer:                        Status:
126996       ALARIS TRADING PARTNERS, LLC          Registered   10/25/2006
             ALARIS TRADING PARTNERS, LLC
             15 EXCHANGE PLACE
             SUITE 720
             JERSEY CITY         NJ   07302


CRD Number   Broker Dealer:                        Status:
1914         ALBERT FRIED & COMPANY, LLC           Registered   9/27/2004
             ALBERT FRIED & COMPANY, LLC
             45 BROADWAY
             24TH FL
             NEW YORK            NY   10006
CRD Number   Broker Dealer:                     Status:
35947        ALERUS SECURITIES CORPORATION      Registered   6/28/1994
             ALERUS SECURITIES CORPORATION
             POB 6001


             GRAND FORKS          ND   58206


CRD Number   Broker Dealer:                     Status:
44784        ALETHEIA SECURITIES, INC.          Registered   7/19/1999
             ALETHEIA SECURITIES, INC.
             100 WILSHIRE BLVD
             STE 1900
             SANTA MONICA         CA   90401


CRD Number   Broker Dealer:                     Status:
40077        ALEXANDER CAPITAL, L.P.            Registered   2/27/2009
             ALEXANDER CAPITAL, L.P.
             825 EAST GATE BLVD
             SUITE 104
             GARDEN CITY          NY   11530


CRD Number   Broker Dealer:                     Status:
47895        ALFORMA CAPITAL MARKETS, INC.      Registered   10/30/2002
             ALFORMA CAPITAL MARKETS, INC.
             1270 AVE OF THE AMERICAS
             SUITE 1805
             NEW YORK             NY   10020


CRD Number   Broker Dealer:                     Status:
7597         ALLEGHENY INVESTMENTS, LTD.        Registered   12/21/1977
             ALLEGHENY INVESTMENTS, LTD.
             811 CAMP HORNE RD, STE 100
             STONE QUARRY CROSSING
             PITTSBURGH           PA   15237


CRD Number   Broker Dealer:                     Status:
1042         ALLEN & COMPANY LLC                Registered   10/26/1981
             ALLEN & COMPANY LLC
             711 FIFTH AVENUE


             NEW YORK             NY   10022


CRD Number   Broker Dealer:                     Status:
25           ALLEN & COMPANY OF FLORIDA, INC.   Registered   1/5/1998
             ALLEN & COMPANY OF FLORIDA, INC.
             P.O. BOX 387


             LAKELAND             FL   33802
CRD Number   Broker Dealer:                                  Status:
142619       ALLEN, MOONEY & BARNES BROKERAGE SERVICES, LL   Registered   6/28/2007
             ALLEN, MOONEY & BARNES BROKERAGE SERVICES, LL
             P.O. BOX 1116


             THOMASVILLE         GA   31799


CRD Number   Broker Dealer:                                  Status:
23928        ALLIANCE AFFILIATED EQUITIES CORPORATION        Registered   3/14/1989
             ALLIANCE AFFILIATED EQUITIES CORPORATION
             7227 METCALF AVENUE
             SUITE 201
             OVERLAND PARK       KS   66204


CRD Number   Broker Dealer:                                  Status:
14549        ALLIANCEBERNSTEIN INVESTMENTS, INC.             Registered   9/26/1984
             ALLIANCEBERNSTEIN INVESTMENTS, INC.
             1345 AVE OF THE AMERICAS


             NEW YORK            NY   10105-0096


CRD Number   Broker Dealer:                                  Status:
25567        ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC       Registered   3/11/1991
             ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC
             1633 BROADWAY


             NEW YORK            NY   10019


CRD Number   Broker Dealer:                                  Status:
612          ALLIANZ LIFE FINANCIAL SERVICES, LLC            Registered   5/30/1984
             ALLIANZ LIFE FINANCIAL SERVICES, LLC
             P.O. BOX 1117


             MINNEAPOLIS         MN   55440-1117


CRD Number   Broker Dealer:                                  Status:
46227        ALLIED BEACON PARTNERS, INC.                    Registered   2/11/2004
             ALLIED BEACON PARTNERS, INC.
             1100 BOULDERS PARK WAY
             SUITE 600
             RICHMOND            VA   23225


CRD Number   Broker Dealer:                                  Status:
100460       ALLSTATE DISTRIBUTORS, L.L.C.                   Registered   9/11/2000
             ALLSTATE DISTRIBUTORS, L.L.C.
             3100 SANDERS ROAD
             STE N3B
             NORTHBROOK          IL   60062
CRD Number   Broker Dealer:                         Status:
18272        ALLSTATE FINANCIAL SERVICES, LLC       Registered   9/7/1993
             ALLSTATE FINANCIAL SERVICES, LLC
             POB 83271


             LINCOLN              NE   68501-3271


CRD Number   Broker Dealer:                         Status:
25988        ALLY SECURITIES LLC                    Registered   6/29/2010
             ALLY SECURITIES LLC
             1177 AVE OF THE AMERICAS
             16TH FL
             NEW YORK             NY   10036


CRD Number   Broker Dealer:                         Status:
104356       ALMAX FINANCIAL SOLUTIONS, LLC         Registered   1/22/2001
             ALMAX FINANCIAL SOLUTIONS, LLC
             12 VAN SYCKLES ROAD


             CLINTON              NJ   08809


CRD Number   Broker Dealer:                         Status:
145875       ALPHASOURCE CAPITAL SECURITIES LLC     Registered   4/9/2010
             ALPHASOURCE CAPITAL SECURITIES LLC
             32 E. 57TH ST
             12TH FL
             NEW YORK             NY   10022


CRD Number   Broker Dealer:                         Status:
14952        ALPINE SECURITIES CORP.                Registered   11/28/1984
             ALPINE SECURITIES CORP.
             440 EAST 400 SOUTH


             SALT LAKE CITY       UT   84111


CRD Number   Broker Dealer:                         Status:
16853        ALPS DISTRIBUTORS, INC.                Registered   5/11/1989
             ALPS DISTRIBUTORS, INC.
             PO BOX 328


             DENVER               CO   80201-0328


CRD Number   Broker Dealer:                         Status:
8258         ALTEGRIS INVESTMENTS, INC.             Registered   5/20/2002
             ALTEGRIS INVESTMENTS, INC.
             1200 PROSPECT ST
             STE 400
             LA JOLLA             CA   92037
CRD Number   Broker Dealer:                                  Status:
135131       ALTERNATIVE ASSET INVESTMENT MANAGEMENT SEC     Registered   11/22/2005
             ALTERNATIVE ASSET INVESTMENT MANAGEMENT SEC
             BOX 5274
             ROCKEFELLER STATION
             NEW YORK             NY   10185-5274


CRD Number   Broker Dealer:                                  Status:
487          ALTERNATIVE STRATEGIES BROKERAGE SERVICES, IN   Registered   1/14/1985
             ALTERNATIVE STRATEGIES BROKERAGE SERVICES, IN
             401 S TRYON ST


             CHARLOTTE            NC   28288-1195


CRD Number   Broker Dealer:                                  Status:
153384       ALTO SECURITIES, LLC                            Registered   12/9/2010
             ALTO SECURITIES, LLC
             850 THIRD AVENUE
             16TH FL
             NEW YORK             NY   10022


CRD Number   Broker Dealer:                                  Status:
39639        ALTON SECURITIES GROUP INC.                     Registered   5/28/2003
             ALTON SECURITIES GROUP INC.
             P.O. BOX 160


             ALTON                IL   62002


CRD Number   Broker Dealer:                                  Status:
136392       ALTRUSHARE SECURITIES LLC                       Registered   4/18/2006
             ALTRUSHARE SECURITIES LLC
             1266 EAST MAIN STREET
             SUITE 700R
             STAMFORD             CT   06902


CRD Number   Broker Dealer:                                  Status:
143093       AMBASSADOR FINANCIAL GROUP, INC.                Registered   6/13/2007
             AMBASSADOR FINANCIAL GROUP, INC.
             1605 NORTH CEDAR CREST BLVD
             SUITE 508
             ALLENTOWN            PA   18104


CRD Number   Broker Dealer:                                  Status:
131607       AMBATA SECURITIES, LLC                          Registered   5/30/2008
             AMBATA SECURITIES, LLC
             370 LEXINGTON AVE.
             26TH FL
             NEW YORK             NY   10017
CRD Number   Broker Dealer:                                 Status:
121539       AMD CAPITAL, LLC                               Registered   1/28/2005
             AMD CAPITAL, LLC
             100 TRI-STATE INTERNATIONAL
             SUITE 138
             LINCOLNSHIRE       IL   60069


CRD Number   Broker Dealer:                                 Status:
120145       AMEGY INVESTMENTS, INC.                        Registered   6/27/2003
             AMEGY INVESTMENTS, INC.
             P.O. BOX 27459


             HOUSTON            TX   77227-7459


CRD Number   Broker Dealer:                                 Status:
21166        AMERICA INVEST ONLINE, INC.                    Registered   6/26/1990
             AMERICA INVEST ONLINE, INC.
             97 POWERHOUSE RD
             SUITE 103
             ROSLYN HEIGHTS     NY   11577


CRD Number   Broker Dealer:                                 Status:
119249       AMERICAN CAPITAL PARTNERS, LLC                 Registered   7/16/2002
             AMERICAN CAPITAL PARTNERS, LLC
             205 OSER AVE.


             HAUPPAUGE          NY   11788


CRD Number   Broker Dealer:                                 Status:
42846        AMERICAN CENTURY BROKERAGE, INC.               Registered   10/29/1997
             AMERICAN CENTURY BROKERAGE, INC.
             4400 MAIN STREET


             KANSAS CITY        MO   64111


CRD Number   Broker Dealer:                                 Status:
17437        AMERICAN CENTURY INVESTMENT SERVICES INC.      Registered   1/9/1990
             AMERICAN CENTURY INVESTMENT SERVICES INC.
             P.O. BOX 410141


             KANSAS CITY        MO   64141-0141


CRD Number   Broker Dealer:                                 Status:
26506        AMERICAN ENTERPRISE INVESTMENT SERVICES INC.   Registered   8/19/1996
             AMERICAN ENTERPRISE INVESTMENT SERVICES INC.
             5221 AMERIPRISE FINANCIAL CTR


             MINNEAPOLIS        MN   55474
CRD Number   Broker Dealer:                                 Status:
45288        AMERICAN EQUITY CAPITAL, INC.                  Registered   10/8/1998
             AMERICAN EQUITY CAPITAL, INC.
             PO BOX 71607


             DES MOINES         IA   50325


CRD Number   Broker Dealer:                                 Status:
104433       AMERICAN FAMILY SECURITIES, LLC                Registered   2/13/2006
             AMERICAN FAMILY SECURITIES, LLC
             6000 AMERICAN PARKWAY


             MADISON            WI   53783-0001


CRD Number   Broker Dealer:                                 Status:
11852        AMERICAN FIDELITY SECURITIES, INC.             Registered   10/17/2001
             AMERICAN FIDELITY SECURITIES, INC.
             P.O. BOX 25523


             OKLAHOMA CITY      OK   73125-0523


CRD Number   Broker Dealer:                                 Status:
29049        AMERICAN FINANCIAL ASSOCIATES, INC.            Registered   1/10/1992
             AMERICAN FINANCIAL ASSOCIATES, INC.
             1700 NORTHAMPTON ST
             STE A
             EASTON             PA   18042-1659


CRD Number   Broker Dealer:                                 Status:
6247         AMERICAN FUNDS DISTRIBUTORS, INC.              Registered   9/13/1993
             AMERICAN FUNDS DISTRIBUTORS, INC.
             333 S HOPE ST
             55TH FL
             LOS ANGELES        CA   90071


CRD Number   Broker Dealer:                                 Status:
37449        AMERICAN GENERAL DISTRIBUTORS, INC.            Registered   9/18/2000
             AMERICAN GENERAL DISTRIBUTORS, INC.
             2929 ALLEN PARKWAY
             L4-01
             HOUSTON            TX   77019


CRD Number   Broker Dealer:                                 Status:
5435         AMERICAN GENERAL EQUITY SERVICES CORPORATION   Registered   9/17/1981
             AMERICAN GENERAL EQUITY SERVICES CORPORATION
             2727-A ALLEN PARKWAY
             2-G7
             HOUSTON            TX   77019
CRD Number   Broker Dealer:                                 Status:
135288       AMERICAN INDEPENDENT SECURITIES GROUP, LLC     Registered   6/18/2010
             AMERICAN INDEPENDENT SECURITIES GROUP, LLC
             1036 E. IRON EAGLE DR.
             SUITE 105
             EAGLE              ID    83616


CRD Number   Broker Dealer:                                 Status:
38           AMERICAN INVESTORS COMPANY                     Registered   1/27/2004
             AMERICAN INVESTORS COMPANY
             P.O. BOX 1307


             SAN RAMON          CA    94583


CRD Number   Broker Dealer:                                 Status:
8365         AMERICAN MUNICIPAL SECURITIES, INC.            Registered   6/13/1983
             AMERICAN MUNICIPAL SECURITIES, INC.
             POB 11749


             ST PETERSBURG      FL    33733-1749


CRD Number   Broker Dealer:                                 Status:
13750        AMERICAN NETWORK SECURITIES CORP.              Registered   3/26/2008
             AMERICAN NETWORK SECURITIES CORP.
             10104 W. COGGINS DRIVE
             AMERICAN NETWORK PLAZA
             SUN CITY           AZ    85351-3405


CRD Number   Broker Dealer:                                 Status:
18487        AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.   Registered   7/8/1998
             AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
             4250 VETERANS MEMORIAL HWY
             4TH FL EAST
             HOLBROOK           NY    11741


CRD Number   Broker Dealer:                                 Status:
25536        AMERICAN WEALTH MANAGEMENT, INC.               Registered   6/21/1991
             AMERICAN WEALTH MANAGEMENT, INC.
             1050 CROWN POINTE PKWY
             STE 1230
             ATLANTA            GA    30338


CRD Number   Broker Dealer:                                 Status:
135272       AMERICA'S CHOICE EQUITIES LLC                  Registered   8/30/2005
             AMERICA'S CHOICE EQUITIES LLC
             840 US HIGHWAY 1
             SUITE 315
             PALM BEACH GARD    FL    33408
CRD Number   Broker Dealer:                        Status:
125958       AMERICA'S GROWTH CAPITAL, LLC         Registered   8/13/2009
             AMERICA'S GROWTH CAPITAL, LLC
             99 HIGH ST.
             FL 22
             BOSTON             MA   02110


CRD Number   Broker Dealer:                        Status:
6363         AMERIPRISE FINANCIAL SERVICES, INC.   Registered   7/2/1974
             AMERIPRISE FINANCIAL SERVICES, INC.
             5221 AMERIPRISE FINANCIAL CTR


             MINNEAPOLIS        MN   55474


CRD Number   Broker Dealer:                        Status:
14869        AMERITAS INVESTMENT CORP.             Registered   9/17/1984
             AMERITAS INVESTMENT CORP.
             PO BOX 5507


             LINCOLN            NE   68505-0507


CRD Number   Broker Dealer:                        Status:
31141        AMHERST SECURITIES GROUP, L.P.        Registered   1/5/1993
             AMHERST SECURITIES GROUP, L.P.
             7801 N CAPITAL OF TX HWY
             STE 300
             AUSTIN             TX   78731


CRD Number   Broker Dealer:                        Status:
152399       AMUNDI DISTRIBUTORS, INC.             Registered   2/22/2011
             AMUNDI DISTRIBUTORS, INC.
             1301 AVENUE OF THE AMERICAS
             38TH FL
             NEW YORK           NY   10019


CRD Number   Broker Dealer:                        Status:
128402       ANCHIN CAPITAL ADVISORS LLC           Registered   2/16/2005
             ANCHIN CAPITAL ADVISORS LLC
             1375 BROADWAY
             18TH FLOOR
             NEW YORK           NY   10018


CRD Number   Broker Dealer:                        Status:
128344       ANCHOR ASSET MANAGEMENT LLC           Registered   1/8/2008
             ANCHOR ASSET MANAGEMENT LLC
             267 5TH AVE
             SUITE 800
             NEW YORK           NY   10016
CRD Number   Broker Dealer:                         Status:
16076        ANCORA SECURITIES, INC.                Registered   8/7/1985
             ANCORA SECURITIES, INC.
             2000 AUBURN DRIVE
             SUITE 300
             CLEVELAND           OH    44122


CRD Number   Broker Dealer:                         Status:
48           ANDERSON & STRUDWICK, INCORPORATED     Registered   12/12/1980
             ANDERSON & STRUDWICK, INCORPORATED
             POB 1459


             RICHMOND            VA    23218-1459


CRD Number   Broker Dealer:                         Status:
139212       ANDES CAPITAL GROUP, LLC               Registered   4/13/2011
             ANDES CAPITAL GROUP, LLC
             211 WEST WACKER DRIVE
             SUITE 1350
             CHICAGO             IL    60606


CRD Number   Broker Dealer:                         Status:
29931        ANDREW GARRETT INC.                    Registered   3/15/1996
             ANDREW GARRETT INC.
             140 EAST 45TH ST.
             11TH FL
             NEW YORK            NY    10017


CRD Number   Broker Dealer:                         Status:
36402        ANDREWS SECURITIES, LLC                Registered   2/10/2006
             ANDREWS SECURITIES, LLC
             88 STEELE STREET
             SUITE 400
             DENVER              CO    80206


CRD Number   Broker Dealer:                         Status:
627          ANTAEUS CAPITAL, INC.                  Registered   2/21/2007
             ANTAEUS CAPITAL, INC.
             1100 GLENDON AVE
             PENTHOUSE STE 9
             LOS ANGELES         CA    90024


CRD Number   Broker Dealer:                         Status:
42420        ANTHEM SECURITIES, INC.                Registered   3/4/1997
             ANTHEM SECURITIES, INC.
             PARK PLACE CORPORATE CENTER ONE
             1000 COMMERCE DRIVE, SUITE 410
             PITTSBURGH          PA    15275-1011
CRD Number   Broker Dealer:                         Status:
157642       ANUBIS SECURITIES LLC                  Registered   12/2/2011
             ANUBIS SECURITIES LLC
             717 FIFTH AVENUE
             18TH FLOOR
             NEW YORK             NY   10022


CRD Number   Broker Dealer:                         Status:
4138         AON BENFIELD SECURITIES, INC.          Registered   1/14/1985
             AON BENFIELD SECURITIES, INC.
             200 E. RANDOLPH ST
             11TH FL
             CHICAGO              IL   60601


CRD Number   Broker Dealer:                         Status:
38235        APB FINANCIAL GROUP, LLC               Registered   6/26/1996
             APB FINANCIAL GROUP, LLC
             17 STATE ST.
             SUITE 1650
             NEW YORK             NY   10004


CRD Number   Broker Dealer:                         Status:
153502       APOLLO GLOBAL SECURITIES, LLC          Registered   6/15/2011
             APOLLO GLOBAL SECURITIES, LLC
             9 WEST 57TH ST
             48TH FL
             NEW YORK             NY   10019-2701


CRD Number   Broker Dealer:                         Status:
47681        AQUA SECURITIES L.P.                   Registered   1/9/2008
             AQUA SECURITIES L.P.
             110 EAST 59TH STREET


             NEW YORK             NY   10022


CRD Number   Broker Dealer:                         Status:
131452       AQUEDUCT CAPITAL GROUP, LLC            Registered   9/6/2006
             AQUEDUCT CAPITAL GROUP, LLC
             2820 SELWYN AVE
             STE 550
             CHARLOTTE            NC   28209


CRD Number   Broker Dealer:                         Status:
1706         AQUILA DISTRIBUTORS, INC.              Registered   1/20/1982
             AQUILA DISTRIBUTORS, INC.
             380 MADISON AVENUE
             #2300
             NEW YORK             NY   10017
CRD Number   Broker Dealer:                       Status:
114909       AQUILO PARTNERS, L.P.                Registered   3/7/2008
             AQUILO PARTNERS, L.P.
             ONE MARITIME PLAZA
             14TH FLOOR
             SAN FRANCISCO      CA     94111


CRD Number   Broker Dealer:                       Status:
44656        ARCADIA SECURITIES, LLC              Registered   1/11/2011
             ARCADIA SECURITIES, LLC
             720 5TH AVE.
             10TH FL
             NEW YORK           NY     10019


CRD Number   Broker Dealer:                       Status:
102500       ARCHIPELAGO SECURITIES L.L.C.        Registered   4/10/2000
             ARCHIPELAGO SECURITIES L.L.C.
             100 SOUTH WACKER
             #1800
             CHICAGO            IL     60606


CRD Number   Broker Dealer:                       Status:
15853        ARCHIPELAGO TRADING SERVICES, INC.   Registered   1/7/2004
             ARCHIPELAGO TRADING SERVICES, INC.
             100 S. WACKER DR
             STE 1800
             CHICAGO            IL     60606


CRD Number   Broker Dealer:                       Status:
120574       ARDOUR CAPITAL INVESTMENTS, LLC      Registered   6/7/2005
             ARDOUR CAPITAL INVESTMENTS, LLC
             350 5TH AVENUE
             SUITE 3018
             NEW YORK           NY     10118


CRD Number   Broker Dealer:                       Status:
128496       ARETE RESEARCH LLC                   Registered   2/24/2006
             ARETE RESEARCH LLC
             3 POST OFFICE SQUARE
             7TH FL
             BOSTON             MA     02109


CRD Number   Broker Dealer:                       Status:
44856        ARETE WEALTH MANAGEMENT, LLC         Registered   11/14/2008
             ARETE WEALTH MANAGEMENT, LLC
             1699 E. WOODFIELD RD.
             SUITE 565
             SCHAUMBURG         IL     60173
CRD Number   Broker Dealer:                            Status:
137608       ARI FINANCIAL SERVICES, INC.              Registered   3/20/2006
             ARI FINANCIAL SERVICES, INC.
             4745 W, 136TH ST.
             STE 91
             LEAWOOD             KS    66224


CRD Number   Broker Dealer:                            Status:
36143        ARIANE CAPITAL PARTNERS LLC               Registered   6/29/1994
             ARIANE CAPITAL PARTNERS LLC
             501 CANDACE LANE


             VILLANOVA           PA    19085


CRD Number   Broker Dealer:                            Status:
38333        ARIEL DISTRIBUTORS, LLC                   Registered   9/25/1995
             ARIEL DISTRIBUTORS, LLC
             200 E RANDOLPH DRIVE
             SUITE 2900
             CHICAGO             IL    60601


CRD Number   Broker Dealer:                            Status:
131431       ARJENT LLC                                Registered   1/21/2005
             ARJENT LLC
             570 LEXINGTON AVENUE
             22ND FL
             NEW YORK            NY    10022


CRD Number   Broker Dealer:                            Status:
19596        ARLINGTON SECURITIES, INC.                Registered   4/2/2007
             ARLINGTON SECURITIES, INC.
             140 MARINE LANE


             ST. LOUIS           MO    63146-2236


CRD Number   Broker Dealer:                            Status:
121192       ARQUE CAPITAL, LTD.                       Registered   11/25/2008
             ARQUE CAPITAL, LTD.
             7501 E MCCORMICK PKWY
             STE 111, NORTH COURT
             SCOTTSDALE          AZ    85258


CRD Number   Broker Dealer:                            Status:
154652       ARTIO GLOBAL INSTITUTIONAL SERVICES LLC   Registered   4/27/2011
             ARTIO GLOBAL INSTITUTIONAL SERVICES LLC
             330 MADISON AVE.
             FL 12A
             NEW YORK            NY    10017-5035
CRD Number   Broker Dealer:                               Status:
45446        ARTISAN PARTNERS DISTRIBUTORS LLC            Registered   10/15/1998
             ARTISAN PARTNERS DISTRIBUTORS LLC
             875 E. WISCONSIN AVENUE
             SUITE 800
             MILWAUKEE          WI     53202


CRD Number   Broker Dealer:                               Status:
42057        ARVEST ASSET MANAGEMENT                      Registered   3/20/1997
             ARVEST ASSET MANAGEMENT
             PO BOX 1515


             LOWELL             AR     72745-1515


CRD Number   Broker Dealer:                               Status:
152912       ASCENDIANT CAPITAL MARKETS, LLC              Registered   5/9/2011
             ASCENDIANT CAPITAL MARKETS, LLC
             18881 VON KARMAN
             16TH FL
             IRVINE             CA     92612


CRD Number   Broker Dealer:                               Status:
146547       ASCENT REAL ESTATE SECURITIES, LLC           Registered   7/14/2008
             ASCENT REAL ESTATE SECURITIES, LLC
             5251 DTC PARKWAY
             SUITE 935
             GREENWOOD VILL     CO     80111


CRD Number   Broker Dealer:                               Status:
152920       ASHMORE INVESTMENT MANAGEMENT (US) CORPORA   Registered   12/10/2010
             ASHMORE INVESTMENT MANAGEMENT (US) CORPORA
             122 E 42ND ST.
             STE 5005
             NEW YORK           NY     10168


CRD Number   Broker Dealer:                               Status:
7512         ASKAR CORP.                                  Registered   3/16/1984
             ASKAR CORP.
             8101 34TH AVE S
             SUITE #300
             BLOOMINGTON        MN     55425


CRD Number   Broker Dealer:                               Status:
104162       ASSENT LLC                                   Registered   11/22/2000
             ASSENT LLC
             545 WASHINGTON BLVD.
             7TH FL
             JERSEY CITY        NJ     07310
CRD Number   Broker Dealer:                                  Status:
1464         ASSOCIATED INVESTMENT SERVICES, INC.            Registered   6/4/2007
             ASSOCIATED INVESTMENT SERVICES, INC.
             PO BOX 640


             GREEN BAY            WI   54395-0640


CRD Number   Broker Dealer:                                  Status:
91362        ASSOCIATION OF COUNSELORS FOR EQUITY SECURITI   Registered   3/13/2009
             ASSOCIATION OF COUNSELORS FOR EQUITY SECURITI
             3100 GAYLORD AVENUE


             PITTSBURGH           PA   15216-2420


CRD Number   Broker Dealer:                                  Status:
155050       AST INVESTOR SERVICES LLC                       Registered   12/8/2011
             AST INVESTOR SERVICES LLC
             110 WALL STREET
             5TH FLOOR
             NEW YORK             NY   10005


CRD Number   Broker Dealer:                                  Status:
38356        ATLANTIC - PACIFIC CAPITAL, INC.                Registered   1/3/1997
             ATLANTIC - PACIFIC CAPITAL, INC.
             102 GREENWICH AVE
             2ND FL
             GREENWICH            CT   06830


CRD Number   Broker Dealer:                                  Status:
121669       ATLANTIC EQUITIES, LLC                          Registered   9/24/2004
             ATLANTIC EQUITIES, LLC
             102 GREENWICH AVENUE
             SUITE 3R
             GREENWICH            CT   06830


CRD Number   Broker Dealer:                                  Status:
1128         ATLANTIC SECURITIES, INC.                       Registered   3/8/1983
             ATLANTIC SECURITIES, INC.
             920 PROVIDENCE RD.
             STE 201
             TOWSON               MD   21286-2988


CRD Number   Broker Dealer:                                  Status:
124057       ATLAS ONE FINANCIAL GROUP, LLC                  Registered   7/30/2004
             ATLAS ONE FINANCIAL GROUP, LLC
             200 SOUTH BISCAYNE BLVD
             SUITE 4400
             MIAMI                FL   33131
CRD Number   Broker Dealer:                                   Status:
39673        AUFHAUSER SECURITIES, INC.                       Registered   6/13/1996
             AUFHAUSER SECURITIES, INC.
             112 WEST 56TH STREET


             NEW YORK            NY    10019-3841


CRD Number   Broker Dealer:                                   Status:
121731       AURIGA USA, LLC                                  Registered   11/25/2009
             AURIGA USA, LLC
             546 5TH AVENUE
             9TH FL
             NEW YORK            NY    10036-5000


CRD Number   Broker Dealer:                                   Status:
37924        AURORA CAPITAL LLC                               Registered   10/21/1999
             AURORA CAPITAL LLC
             17 PARK AVE
             #201
             NEW YORK            NY    10016


CRD Number   Broker Dealer:                                   Status:
7995         AUSDAL FINANCIAL PARTNERS, INC.                  Registered   7/11/1988
             AUSDAL FINANCIAL PARTNERS, INC.
             220 N MAIN ST
             STE 400
             DAVENPORT           IA    52801-1921


CRD Number   Broker Dealer:                                   Status:
103768       AUTOMATED TRADING DESK FINANCIAL SERVICES, LLC   Registered   8/11/2006
             AUTOMATED TRADING DESK FINANCIAL SERVICES, LLC
             11 EWALL STREET


             MT. PLEASANT        SC    29464


CRD Number   Broker Dealer:                                   Status:
30522        AVALON SECURITIES, LTD.                          Registered   6/1/2009
             AVALON SECURITIES, LTD.
             1375 BROADWAY


             NEW YORK            NY    10018


CRD Number   Broker Dealer:                                   Status:
18502        AVANTI SECURITIES CORPORATION                    Registered   3/19/1987
             AVANTI SECURITIES CORPORATION
             22 ST CLAIR AVE E
             STE 1700
             TORONTO, ONTARI           M4T 2S3
CRD Number   Broker Dealer:                         Status:
142374       AVENTURA SECURITIES, LLC               Registered   1/29/2007
             AVENTURA SECURITIES, LLC
             2875 NE 191ST STREET
             SUITE 524
             AVENTURA            FL    33180


CRD Number   Broker Dealer:                         Status:
46347        AVIAN SECURITIES, LLC.                 Registered   5/6/1999
             AVIAN SECURITIES, LLC.
             260 FRANKLIN STREET
             SUITE 1010
             BOSTON              MA    02110


CRD Number   Broker Dealer:                         Status:
103941       AVILA CAPITAL MARKETS, INC.            Registered   2/18/2003
             AVILA CAPITAL MARKETS, INC.
             150 E. 52ND ST
             SUITE 32002
             NEW YORK            NY    10022


CRD Number   Broker Dealer:                         Status:
125977       AVISEN SECURITIES, INC.                Registered   3/9/2006
             AVISEN SECURITIES, INC.
             3626 FAIR OAKS BLVD.
             STE 300
             SACRAMENTO          CA    95864-7256


CRD Number   Broker Dealer:                         Status:
36867        AVIVA SECURITIES, LLC                  Registered   6/25/2009
             AVIVA SECURITIES, LLC
             215 10TH STREET
             SUITE 1000
             DES MOINES          IA    50309


CRD Number   Broker Dealer:                         Status:
46838        AVONDALE PARTNERS, LLC                 Registered   9/18/2001
             AVONDALE PARTNERS, LLC
             3102 WEST END AVE
             SUITE 1100
             NASHVILLE           TN    37203


CRD Number   Broker Dealer:                         Status:
6627         AXA ADVISORS, LLC                      Registered   10/3/1980
             AXA ADVISORS, LLC
             1290 AVENUE OF THE AMERICAS
             12TH FL
             NEW YORK            NY    10104
CRD Number   Broker Dealer:                          Status:
25900        AXA DISTRIBUTORS, LLC                   Registered   5/26/1992
             AXA DISTRIBUTORS, LLC
             1290 AVENUE OF THE AMERICAS
             11TH FL
             NEW YORK              NY   10104


CRD Number   Broker Dealer:                          Status:
26580        AXIOM CAPITAL MANAGEMENT, INC.          Registered   10/2/1990
             AXIOM CAPITAL MANAGEMENT, INC.
             780 THIRD AVE
             43RD FL
             NEW YORK              NY   10017-2024


CRD Number   Broker Dealer:                          Status:
147507       AXIS THOUGHT CAPITAL, LLC               Registered   1/6/2009
             AXIS THOUGHT CAPITAL, LLC
             708 THIRD AVENUE
             SUITE 500
             NEW YORK              NY   10017


CRD Number   Broker Dealer:                          Status:
44499        AYRE INVESTMENTS, INC.                  Registered   2/11/2005
             AYRE INVESTMENTS, INC.
             648 MAIN ST


             AGAWAM                MA   01001


CRD Number   Broker Dealer:                          Status:
120242       B & T SECURITIES, INC.                  Registered   8/21/2002
             B & T SECURITIES, INC.
             2799 NW BOCA RATON BLVD
             SUITE 206
             BOCA RATON            FL   33431


CRD Number   Broker Dealer:                          Status:
61           B. C. ZIEGLER AND CO.                   Registered   5/7/1963
             B. C. ZIEGLER AND CO.
             200 SOUTH WACKER DRIVE
             SUITE 2000
             CHICAGO               IL   60606


CRD Number   Broker Dealer:                          Status:
40355        B. RILEY & CO., LLC                     Registered   10/4/2007
             B. RILEY & CO., LLC
             11100 SANTA MONICA BLVD.
             SUITE 800
             LOS ANGELES           CA   90025
CRD Number   Broker Dealer:                         Status:
41533        B.B. GRAHAM & COMPANY, INC.            Registered   5/12/1997
             B.B. GRAHAM & COMPANY, INC.
             1700 W KATELLA AVE


             ORANGE               CA   92867


CRD Number   Broker Dealer:                         Status:
36929        BABSON CAPITAL SECURITIES LLC          Registered   7/25/1995
             BABSON CAPITAL SECURITIES LLC
             INDEPENDENCE WHARF
             470 ATLANTIC AVE
             BOSTON               MA   02210


CRD Number   Broker Dealer:                         Status:
21206        BAILARD FUND SERVICES, INC.            Registered   3/15/1995
             BAILARD FUND SERVICES, INC.
             950 TOWER LANE
             STE. #1900
             FOSTER CITY          CA   94404-2131


CRD Number   Broker Dealer:                         Status:
1149         BAIRD, PATRICK & CO., INC.             Registered   3/4/1992
             BAIRD, PATRICK & CO., INC.
             HARBORSIDE FINANCIAL CENTER
             305 PLAZA 10
             JERSEY CITY          NJ   07311


CRD Number   Broker Dealer:                         Status:
5835         BAKER & CO., INCORPORATED              Registered   5/31/1984
             BAKER & CO., INCORPORATED
             19111 DETROIT RD
             SUITE 100
             ROCKY RIVER          OH   44116


CRD Number   Broker Dealer:                         Status:
124786       BALANCE SHEET SOLUTIONS LLC            Registered   6/30/2006
             BALANCE SHEET SOLUTIONS LLC
             4450 WEAVER PARKWAY
             SUITE 250
             WARRENVILLE          IL   60555-3926


CRD Number   Broker Dealer:                         Status:
149880       BANC OF MANHATTAN CAPITAL              Registered   1/14/2010
             BANC OF MANHATTAN CAPITAL
             5700 CANOGA AVENUE
             SUITE 120
             WOODLAND HILLS       CA   91367
CRD Number   Broker Dealer:                               Status:
19418        BANCA IMI SECURITIES CORP.                   Registered   12/19/1990
             BANCA IMI SECURITIES CORP.
             1 WILLIAM STREET


             NEW YORK              NY   10004


CRD Number   Broker Dealer:                               Status:
132701       BANCO DO BRASIL SECURITIES LLC               Registered   3/30/2010
             BANCO DO BRASIL SECURITIES LLC
             535 MADISON AVE.
             34TH FL
             NEW YORK              NY   10022


CRD Number   Broker Dealer:                               Status:
29357        BANCWEST INVESTMENT SERVICES, INC.           Registered   6/7/2001
             BANCWEST INVESTMENT SERVICES, INC.
             13505 CALIFORNIA ST


             OMAHA                 NE   68154-9750


CRD Number   Broker Dealer:                               Status:
137753       BANDON PARTNERS, LLC                         Registered   6/3/2009
             BANDON PARTNERS, LLC
             P.O. BOX 471195


             SAN FRANCISCO         CA   94147-1195


CRD Number   Broker Dealer:                               Status:
6874         BANKERS & INVESTORS CO.                      Registered   7/21/2008
             BANKERS & INVESTORS CO.
             1300 N. 78TH STREET
             SUITE G-3
             KANSAS CITY           KS   66112


CRD Number   Broker Dealer:                               Status:
30648        BANORTE-IXE SECURITIES INTERNATIONAL, LTD.   Registered   9/8/2005
             BANORTE-IXE SECURITIES INTERNATIONAL, LTD.
             540 MADISON AVE
             36TH FLOOR
             NEW YORK              NY   10022


CRD Number   Broker Dealer:                               Status:
19714        BARCLAYS CAPITAL INC.                        Registered   1/6/1998
             BARCLAYS CAPITAL INC.
             745 7TH AVE.


             NEW YORK              NY   10019
CRD Number   Broker Dealer:                     Status:
10538        BARON CAPITAL, INC.                Registered   7/26/1985
             BARON CAPITAL, INC.
             767 FIFTH AVENUE
             49TH FLOOR
             NEW YORK              NY   10153


CRD Number   Broker Dealer:                     Status:
1175         BARRETT & COMPANY                  Registered   5/8/1991
             BARRETT & COMPANY, INC.
             THE WILCOX BLDG.
             42 WEYBOSSET STREET
             PROVIDENCE            RI   02903


CRD Number   Broker Dealer:                     Status:
43694        BASIS FINANCIAL, LLC               Registered   8/25/2003
             BASIS FINANCIAL, LLC
             3363 NE 163RD ST.
             STE 706
             N. MIAMI BEACH        FL   33160


CRD Number   Broker Dealer:                     Status:
140578       BASS CREEK ADVISORS, LTD           Registered   10/2/2006
             BASS CREEK ADVISORS, LTD
             1109 FOREST SERVICE RD 1136


             STEVENSVILLE          MT   59870


CRD Number   Broker Dealer:                     Status:
10759        BATES SECURITIES, INC.             Registered   4/12/1994
             BATES SECURITIES, INC.
             8437 NORTHERN AVE


             ROCKFORD              IL   61107


CRD Number   Broker Dealer:                     Status:
39944        BAY CREST PARTNERS, LLC            Registered   4/4/2008
             BAY CREST PARTNERS, LLC
             40 WALL STREET
             45TH FLOOR
             NEW YORK              NY   10005


CRD Number   Broker Dealer:                     Status:
131546       BAYSHORE PARTNERS, LLC             Registered   8/24/2006
             BAYSHORE PARTNERS, LLC
             401 EAST LAS OLAS BOULEVARD
             STE 1160
             FORT LAUDERDALE       FL   33301
CRD Number   Broker Dealer:                            Status:
8555         BAYTIDE SECURITIES CORPORATION            Registered   7/1/1996
             BAYTIDE SECURITIES CORPORATION
             P.O. BOX 580220
             SUITE 500
             TUSLA              OK   74158


CRD Number   Broker Dealer:                            Status:
33856        BB&T INVESTMENT SERVICES, INC.            Registered   7/7/2000
             BB&T INVESTMENT SERVICES, INC.
             200 SOUTH COLLEGE STREET
             8TH FLOOR
             CHARLOTTE          NC   28202


CRD Number   Broker Dealer:                            Status:
17086        BBVA COMPASS INVESTMENT SOLUTIONS, INC.   Registered   7/5/2000
             BBVA COMPASS INVESTMENT SOLUTIONS, INC.
             P.O. BOX 10566
             ALBICHRIC
             BIRMINGHAM         AL   35296


CRD Number   Broker Dealer:                            Status:
27060        BBVA SECURITIES INC.                      Registered   2/6/2009
             BBVA SECURITIES INC.
             1345 AVENUE OF THE AMERICAS
             45TH FL
             NEW YORK           NY   10105-0302


CRD Number   Broker Dealer:                            Status:
70           BCG SECURITIES, INC.                      Registered   1/18/1966
             BCG SECURITIES, INC.
             PO BOX 406


             RIVERTON           NJ   08077-0406


CRD Number   Broker Dealer:                            Status:
150459       BDT & COMPANY, LLC                        Registered   10/16/2009
             BDT & COMPANY, LLC
             401 N. MICHIGAN AVE.
             SUITE 3100
             CHICAGO            IL   60611-4250


CRD Number   Broker Dealer:                            Status:
14850        BEACON HILL FINANCIAL CORPORATION         Registered   2/20/2001
             BEACON HILL FINANCIAL CORPORATION
             120 WATER STREET


             BOSTON             MA   02109
CRD Number   Broker Dealer:                          Status:
14634        BEACONSFIELD FINANCIAL SERVICES, INC.   Registered   2/17/1984
             BEACONSFIELD FINANCIAL SERVICES, INC.
             SOUTHPOINT INDUSTRIAL PK
             160 TECHNOLOGY DR., STE 101
             CANONSBURG         PA     15317


CRD Number   Broker Dealer:                          Status:
113913       BEARD FINANCIAL SERVICES, INC.          Registered   5/8/2002
             BEARD FINANCIAL SERVICES, INC.
             108 W WESTERN RESERVE RD


             YOUNGSTOWN         OH     44514


CRD Number   Broker Dealer:                          Status:
39916        BEDMINSTER FINANCIAL GROUP, LIMITED     Registered   10/21/1996
             BEDMINSTER FINANCIAL GROUP, LIMITED
             4920 YORK ROAD, POB 295
             SUITE 2DD1
             HOLICONG           PA     18928-0295


CRD Number   Broker Dealer:                          Status:
13134        BEDROK SECURITIES LLC                   Registered   8/21/2008
             BEDROK SECURITIES LLC
             555 THEODORE FREMD AVE
             C-301
             RYE                NY     10580


CRD Number   Broker Dealer:                          Status:
24771        BEECH HILL SECURITIES, INC.             Registered   9/1/1992
             BEECH HILL SECURITIES, INC.
             880 3RD AVENUE
             16TH FL
             NEW YORK           NY     10022-4730


CRD Number   Broker Dealer:                          Status:
119539       BEHRINGER SECURITIES LP                 Registered   7/25/2002
             BEHRINGER SECURITIES LP
             1 ADDISON CIRCLE
             15601 DALLAS PKWY, STE 600
             ADDISON            TX     75001


CRD Number   Broker Dealer:                          Status:
134953       BEL AIR SECURITIES LLC                  Registered   2/14/2006
             BEL AIR SECURITIES LLC
             1999 AVENUE OF THE STARS
             SUITE 2800
             LOS ANGELES        CA     90067
CRD Number   Broker Dealer:                        Status:
29278        BELLE HAVEN INVESTMENTS, L.P.         Registered   6/16/1992
             BELLE HAVEN INVESTMENTS, L.P.
             1133 WESTCHESTER AVE.
             SUITE 221
             WHITE PLAINS        NY   10604


CRD Number   Broker Dealer:                        Status:
152529       BENDIGO SECURITES, LLC                Registered   9/1/2011


             11 E. 44TH STREET
             16TH FLOOR, SUITE 1602
             NEW YORK            NY   10017


CRD Number   Broker Dealer:                        Status:
24083        BENEDETTO, GARTLAND & COMPANY, INC.   Registered   4/6/1990
             BENEDETTO, GARTLAND & COMPANY, INC.
             1180 AVE OF THE AMIERICAS
             16TH FL
             NEW YORK            NY   10036


CRD Number   Broker Dealer:                        Status:
45113        BENEFIT FINANCE SECURITIES, LLC       Registered   10/12/2011
             BENEFIT FINANCE SECURITIES, LLC
             SIX CITYPLACE DRIVE
             SUITE 400
             ST. LOUIS           MO   63141-7164


CRD Number   Broker Dealer:                        Status:
29110        BENJAMIN & JEROLD BROKERAGE I, LLC    Registered   1/14/1992
             BENJAMIN & JEROLD BROKERAGE I, LLC
             55 BROAD STREET
             28TH FLOOR
             NEW YORK            NY   10004


CRD Number   Broker Dealer:                        Status:
146936       BENJAMIN F. EDWARDS & COMPANY, INC.   Registered   5/8/2009
             BENJAMIN F. EDWARDS & COMPANY, INC.
             1 NORTH BRENTWOOD BLVD.
             SUITE 850
             ST LOUIS            MO   63105


CRD Number   Broker Dealer:                        Status:
7754         BENJAMIN SECURITIES, INC.             Registered   9/18/1987
             BENJAMIN SECURITIES, INC.
             378 S. OYSTER BAY RD.


             HICKSVILLE          NY   11801-3509
CRD Number   Broker Dealer:                                    Status:
124180       BERKSHIRE CAPITAL SECURITIES LLC                  Registered   6/20/2003
             BERKSHIRE CAPITAL SECURITIES LLC
             535 MADISON AVENUE
             19TH FLOOR
             NEW YORK           NY   10022-4212


CRD Number   Broker Dealer:                                    Status:
6193         BERNARD HEROLD & CO., INC.                        Registered   10/7/1981
             BERNARD HEROLD & CO., INC.
             805 3RD AVE
             18TH FL.
             NEW YORK           NY   10022-7513


CRD Number   Broker Dealer:                                    Status:
15834        BERNARDI SECURITIES, INC.                         Registered   1/28/1998
             BERNARDI SECURITIES, INC.
             20 S CLARK ST
             SUITE 2700
             CHICAGO            IL   60603


CRD Number   Broker Dealer:                                    Status:
38098        BERRY-SHINO SECURITIES, INC.                      Registered   10/18/1996
             BERRY-SHINO SECURITIES, INC.
             15100 N 78TH WAY
             STE 100
             SCOTTSDALE         AZ   85260


CRD Number   Broker Dealer:                                    Status:
13609        BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, I   Registered   11/16/1990
             BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, I
             PO BOX 609


             MARION             IA   52302-0609


CRD Number   Broker Dealer:                                    Status:
35586        BERWYN FINANCIAL SERVICES CORP.                   Registered   2/8/1994
             BERWYN FINANCIAL SERVICES CORP.
             1199 LANCASTER AVENUE


             BERWYN             PA   19312-1243


CRD Number   Broker Dealer:                                    Status:
17442        BESSEMER INVESTOR SERVICES, INC.                  Registered   10/21/1994
             BESSEMER INVESTOR SERVICES, INC.
             630 FIFTH AVENUE
             37TH FLOOR
             NEW YORK           NY   10111-0333
CRD Number   Broker Dealer:                          Status:
146053       BEST DIRECT SECURITIES, LLC             Registered   6/12/2008
             BEST DIRECT SECURITIES, LLC
             1 PEREGRINE WAY


             CEDAR FALLS           IA   50613


CRD Number   Broker Dealer:                          Status:
40302        BESTVEST INVESTMENTS, LTD.              Registered   1/12/2000
             BESTVEST INVESTMENTS, LTD.
             600 NORTH JACKSON ST.
             SUITE 305
             MEDIA                 PA   19063


CRD Number   Broker Dealer:                          Status:
47788        BETTERMENT SECURITIES                   Registered   5/12/2010
             BETTERMENT SECURITIES
             70 E. 55TH STREET
             17 FLOOR
             NEW YORK              NY   10022


CRD Number   Broker Dealer:                          Status:
109121       BFT FINANCIAL GROUP, LLC                Registered   2/3/2010
             BFT FINANCIAL GROUP, LLC
             2312 SCHOOL LANE


             BEDFORD               TX   76021


CRD Number   Broker Dealer:                          Status:
121735       BG WORLDWIDE SECURITIES, INC.           Registered   1/29/2003
             BG WORLDWIDE SECURITIES, INC.
             6301 OWENSMOUTH AVENUE
             SUITE 750
             WOODLAND HILLS        CA   91367


CRD Number   Broker Dealer:                          Status:
36716        BGB SECURITIES, INC.                    Registered   1/4/2011
             BGB SECURITIES, INC.
             1100 N GLEBE RD
             STE 1040
             ARLINGTON             VA   22201-4798


CRD Number   Broker Dealer:                          Status:
19801        BGC FINANCIAL, L.P.                     Registered   2/14/2002
             BGC FINANCIAL, L.P.
             ONE SEAPORT PLAZA
             19TH FLOOR
             NEW YORK              NY   10038
CRD Number   Broker Dealer:                     Status:
131817       BHARGAVA CAPITAL                   Registered   3/30/2005
             BHARGAVA CAPITAL
             609 WHITE PINE ROAD


             FRANKLIN LAKES        NJ   07417


CRD Number   Broker Dealer:                     Status:
148477       BHIL DISTRIBUTORS, INC.            Registered   4/17/2009
             BHIL DISTRIBUTORS, INC.
             4041 N. HIGH STREET
             SUITE 402
             COLUMBUS              OH   43214


CRD Number   Broker Dealer:                     Status:
30339        BHIRUD ASSOCIATES, INC.            Registered   9/10/1992
             BHIRUD ASSOCIATES, INC.
             6 THORNDAL CIRCLE
             STE 205
             DARIEN                CT   06820


CRD Number   Broker Dealer:                     Status:
139665       BHK SECURITIES, LLC                Registered   6/29/2006
             BHK SECURITIES, LLC
             2200 LAKESHORE DRIVE
             SUITE 250
             BIRMINGHAM            AL   35209


CRD Number   Broker Dealer:                     Status:
152860       BIC DISTRIBUTORS, LLC              Registered   8/6/2010
             BIC DISTRIBUTORS, LLC
             15333 N PIMA RD
             STE 225
             SCOTTSDALE            AZ   85260


CRD Number   Broker Dealer:                     Status:
41917        BILL FEW SECURITIES, INC.          Registered   6/17/1997
             BILL FEW SECURITIES, INC.
             107 MT. NEBO POINTE
             SUITE 200
             PITTSBURGH            PA   15237


CRD Number   Broker Dealer:                     Status:
129690       BIONDO ASSET MANAGEMENT LLC        Registered   4/29/2004
             BIONDO ASSET MANAGEMENT LLC
             540 ROUTE 6 & 209
             P.O. BOX 909
             MILFORD               PA   18337
CRD Number   Broker Dealer:                           Status:
15014        BIRCHTREE FINANCIAL SERVICES, INC.       Registered   11/3/1987
             BIBIRCHTREE FINANCIAL SERVICES LLC
             801 NICOLLET AVE
             STE 1100 WEST TOWER
             MINNEAPOLIS          MN   55402


CRD Number   Broker Dealer:                           Status:
17066        BIRCHWOOD SECURITIES CORP.               Registered   5/29/2002
             BIRCHWOOD SECURITIES CORP.
             106 NORTH LAKESIDE DR EAST


             MEDFORD              NJ   08055


CRD Number   Broker Dealer:                           Status:
11490        BIRKELBACH INVESTMENT SECURITIES, INC.   Registered   6/13/1996
             BIRKELBACH INVESTMENT SECURITIES, INC.
             208 S. LA SALLE #1442


             CHICAGO              IL   60604-1103


CRD Number   Broker Dealer:                           Status:
1248         BISHOP, ROSEN & CO., INC.                Registered   5/23/1984
             BISHOP, ROSEN & CO., INC.
             100 BROADWAY


             NEW YORK             NY   10005


CRD Number   Broker Dealer:                           Status:
123234       BLACKBOOK CAPITAL LLC                    Registered   6/29/2009
             BLACKBOOK CAPITAL LLC
             420 LEXINGTON AVE.
             SUITE 2525
             NEW YORK             NY   10170


CRD Number   Broker Dealer:                           Status:
146514       BLACKROCK CAPITAL MARKETS, LLC           Registered   9/11/2008
             BLACKROCK CAPITAL MARKETS, LLC
             55 EAST 52ND STREET


             NEW YORK             NY   10055


CRD Number   Broker Dealer:                           Status:
39438        BLACKROCK EXECUTION SERVICES             Registered   1/3/1996
             BLACKROCK EXECUTION SERVICES
             400 HOWARD STREET


             SAN FRANCISCO        CA   94105-2204
CRD Number   Broker Dealer:                         Status:
146183       BLACKROCK FUND DISTRIBUTION COMPANY    Registered   6/27/2008
             BLACKROCK FUND DISTRIBUTION COMPANY
             400 HOWARD STREET


             SAN FRANCISCO        CA   94105-2618


CRD Number   Broker Dealer:                         Status:
38642        BLACKROCK INVESTMENTS, LLC             Registered   12/5/1996
             BLACKROCK INVESTMENTS, LLC
             40 E 52ND ST


             NEW YORK             NY   10022


CRD Number   Broker Dealer:                         Status:
17917        BLACKSTONE ADVISORY PARTNERS L.P.      Registered   12/4/1986
             BLACKSTONE ADVISORY PARTNERS L.P.
             345 PARK AVENUE
             31ST FL
             NEW YORK             NY   10154-0191


CRD Number   Broker Dealer:                         Status:
153489       BLACKWOLF ADVISORS, LLC                Registered   10/28/2010
             BA SECURITIES, LLC
             222 E. MONTGOMERY AVE.
             SUITE 305
             ARDMORE              PA   19003


CRD Number   Broker Dealer:                         Status:
26678        BLEY INVESTMENTS GROUP, INC.           Registered   3/23/2005
             BLEY INVESTMENTS GROUP, INC.
             4200 S. HULEN STREET
             SUITE 519
             FT. WORTH            TX   76109


CRD Number   Broker Dealer:                         Status:
40881        BLOOMBERG TRADEBOOK LLC                Registered   4/15/1997
             BLOOMBERG TRADEBOOK LLC
             731 LEXINGTON AVE


             NEW YORK             NY   10022-1240


CRD Number   Broker Dealer:                         Status:
38901        BLUE CAPITAL SECURITIES, INC.          Registered   9/25/1995
             BLUE CAPITAL SECURITIES, INC.
             29 BROADWAY
             SUITE 1508
             NEW YORK             NY   10006
CRD Number   Broker Dealer:                         Status:
6769         BLUE CREEK SECURITIES, LLC             Registered   7/1/2009
             BLUE CREEK SECURITIES, LLC
             100 CHURCH STREET
             SUITE 500
             HUNTSVILLE          AL    35801


CRD Number   Broker Dealer:                         Status:
123224       BLUE MOON FINANCIAL, LLC               Registered   10/6/2004
             BLUE MOON FINANCIAL, LLC
             P.O. BOX 102433


             DENVER              CO    80205-2433


CRD Number   Broker Dealer:                         Status:
136259       BLUE ROCK GLOBAL PARTNERS, INC.        Registered   1/20/2006
             BLUE ROCK GLOBAL PARTNERS, INC.
             445 EAST LAKE ST
             STE 230
             WAYZATA             MN    55391


CRD Number   Broker Dealer:                         Status:
142976       BLUE SAND SECURITIES LLC               Registered   6/13/2007
             BLUE SAND SECURITIES LLC
             730 WESTBURY LN.


             GEORGETOWN          TX    78633


CRD Number   Broker Dealer:                         Status:
127001       BLUE VISTA CAPITAL, LLC                Registered   6/28/2004
             BLUE VISTA CAPITAL, LLC
             111 S. WACKER DR.
             SUITE 3300
             CHICAGO             IL    60606-4719


CRD Number   Broker Dealer:                         Status:
119582       BLUEFIN RESEARCH PARTNERS, INC.        Registered   5/31/2002
             BLUEFIN RESEARCH PARTNERS, INC.
             60 STATE STREET
             SUITE 1020
             BOSTON              MA    02109


CRD Number   Broker Dealer:                         Status:
136974       BLUEROCK CAPITAL MARKETS LLC           Registered   11/25/2009
             BLUEROCK CAPITAL MARKETS LLC
             11 FISH COVE ROAD


             MEREDITH            NH    03253
CRD Number   Broker Dealer:                         Status:
108219       BMA SECURITIES                         Registered   5/10/2006
             BMA SECURITIES
             608 SILVER SPUR ROAD
             SUITE 100
             ROLLING HILLS EST     CA   90274


CRD Number   Broker Dealer:                         Status:
16686        BMO CAPITAL MARKETS CORP.              Registered   11/7/1989
             BMO CAPITAL MARKETS CORP.
             3 TIMES SQUARE


             NEW YORK              NY   10036


CRD Number   Broker Dealer:                         Status:
8352         BMO CAPITAL MARKETS GKST INC.          Registered   3/1/1991
             BMO CAPITAL MARKETS GKST INC.
             115 S. LASALLE
             37TH FL
             CHICAGO               IL   60603


CRD Number   Broker Dealer:                         Status:
137115       BMO HARRIS FINANCIAL ADVISORS, INC.    Registered   12/1/2005
             BMO HARRIS FINANCIAL ADVISORS, INC.
             311 WEST MONROE STREET
             14TH FLOOR
             CHICAGO               IL   60606


CRD Number   Broker Dealer:                         Status:
44057        BMO NESBITT BURNS SECURITIES LTD.      Registered   11/4/1997
             BMO NESBITT BURNS SECURITIES LTD.
             LEGAL DEPT, 21ST FL
             1 FIRST CANADIAN PLACE M
             TORONTO, ONTARI            M5X 1A1


CRD Number   Broker Dealer:                         Status:
44598        BNP PARIBAS INVESTMENT SERVICES, LLC   Registered   1/7/1999
             BNP PARIBAS INVESTMENT SERVICES, LLC
             201 SOUTH BISCAYNE BLVD
             SUITE 1800
             MIAMI                 FL   33131


CRD Number   Broker Dealer:                         Status:
24962        BNP PARIBAS PRIME BROKERAGE, INC.      Registered   7/24/2008
             BNP PARIBAS PRIME BROKERAGE, INC.
             525 WASHINGTON BLVD.
             5TH FL
             JERSEY CITY           NJ   07310
CRD Number   Broker Dealer:                         Status:
15794        BNP PARIBAS SECURITIES CORP.           Registered   8/5/1986
             BNP PARIBAS SECURITIES CORP.
             525 WASHINGTON AVENUE


             JERSEY CITY         NJ    07310


CRD Number   Broker Dealer:                         Status:
17454        BNY MELLON CAPITAL MARKETS, LLC        Registered   7/16/1986
             BNY MELLON CAPITAL MARKETS, LLC
             32 OLD SLIP
             15TH FL
             NEW YORK            NY    10286


CRD Number   Broker Dealer:                         Status:
31334        BNY MELLON DISTRIBUTORS INC.           Registered   7/23/1993
             BNY MELLON DISTRIBUTORS INC.
             760 MOORE ROAD


             KING OF PRUSSIA     PA    19406


CRD Number   Broker Dealer:                         Status:
5148         BODELL OVERCASH ANDERSON & CO., INC.   Registered   7/8/1981
             BODELL OVERCASH ANDERSON & CO., INC.
             ONE FENTON BUILDING
             PO BOX 1237
             JAMESTOWN           NY    14702-1237


CRD Number   Broker Dealer:                         Status:
43486        BOE SECURITIES INC.                    Registered   2/17/1998
             BOE SECURITIES INC.
             2 PENN CENTER PLAZA
             1500 JFK BLVD., STE 430
             PHILADELPHIA        PA    19102


CRD Number   Broker Dealer:                         Status:
100          BOENNING & SCATTERGOOD, INC.           Registered   2/3/1970
             BOENNING & SCATTERGOOD, INC.
             4 TOWER BRIDGE, NO 300
             200 BARR HARBOR DR
             WEST CONSHOHO       PA    19428-2979


CRD Number   Broker Dealer:                         Status:
30683        BOFA DISTRIBUTORS, INC.                Registered   5/4/1994
             BOFA DISTRIBUTORS, INC.
             100 FEDERAL ST
             MA5-100-12-01
             BOSTON              MA    02110
CRD Number   Broker Dealer:                          Status:
129376       BOLTON SECURITIES CORPORATION           Registered   4/28/2010
             BOLTON SECURITIES CORPORATION
             579 MAIN STREET


             BOLTON             MA   01740


CRD Number   Broker Dealer:                          Status:
103787       BONDDESK TRADING LLC                    Registered   10/30/2001
             BONDDESK TRADING LLC
             ONE LOVELL AVE.


             MILL VALLEY        CA   94941


CRD Number   Broker Dealer:                          Status:
43875        BONDS.COM, INC.                         Registered   11/2/2007
             BONDS.COM, INC.
             529 FIFTH AVENUE
             8TH FL
             NEW YORK           NY   10017


CRD Number   Broker Dealer:                          Status:
21946        BORNHOFT GROUP SECURITIES CORPORATION   Registered   1/17/1989
             BORNHOFT GROUP SECURITIES CORPORATION
             1775 SHERMAN STREET
             STE 2500
             DENVER             CO   80203


CRD Number   Broker Dealer:                          Status:
17530        BOSC, INC.                              Registered   3/17/1999
             BOSC, INC.
             PO BOX 2300


             TULSA              OK   74192


CRD Number   Broker Dealer:                          Status:
14611        BOSTON CAPITAL SECURITIES, INC.         Registered   1/4/1989
             BOSTON CAPITAL SECURITIES, INC.
             ONE BOSTON PLACE


             BOSTON             MA   02108


CRD Number   Broker Dealer:                          Status:
103300       BOSTON EQUITY ADVISORS, LLC             Registered   11/14/2007
             BOSTON EQUITY ADVISORS, LLC
             275 TURNPIKE STREET
             SUITE 202
             CANTON             MA   02021
CRD Number   Broker Dealer:                          Status:
128212       BOSTONIA GLOBAL SECURITIES, LLC         Registered   5/14/2004
             BOSTONIA GLOBAL SECURITIES, LLC
             699 BOYLSTON ST
             7TH FL
             BOSTON              MA   02116


CRD Number   Broker Dealer:                          Status:
17058        BPU INVESTMENT MANAGEMENT INC.          Registered   2/5/1986
             BPU INVESTMENT MANAGEMENT INC.
             ONE OXFORD CENTRE, STE 3300
             301 GRANT STREET
             PITTSBURGH          PA   15219


CRD Number   Broker Dealer:                          Status:
153288       BRANDYWINE INVESTMENT SECURITIES, LLC   Registered   3/17/2011
             BRANDYWINE INVESTMENT SECURITIES, LLC
             2 PONDS EDGE DRIVE


             CHADDS FORD         PA   19317-9667


CRD Number   Broker Dealer:                          Status:
29108        BRAVER STERN SECURITIES LLC             Registered   1/22/1992
             BRAVER STERN SECURITIES LLC
             725 FIFTH AVENUE
             22ND FL
             NEW YORK            NY   10022


CRD Number   Broker Dealer:                          Status:
23723        BREAN MURRAY, CARRET & CO., LLC.        Registered   10/8/1993
             BREAN MURRAY, CARRET & CO., LLC.
             570 LEXINGTON AVE
             11 FL
             NEW YORK            NY   10022


CRD Number   Broker Dealer:                          Status:
25337        BRECKENRIDGE SECURITIES CORP.           Registered   8/16/2007
             BRECKENRIDGE SECURITIES CORP.
             945 E. PACES FERRY ROAD
             STE 1250
             ATLANTA             GA   30326


CRD Number   Broker Dealer:                          Status:
150662       BREVAN HOWARD US LLC                    Registered   1/8/2010
             BREVAN HOWARD US LLC
             590 MADISON AVENUE
             9TH FLOOR
             NEW YORK            NY   10022
CRD Number   Broker Dealer:                         Status:
15249        BRIAN COHN, INCORPORATED               Registered   8/3/1987
             BRIAN COHN, INCORPORATED
             5525 SHERIER PLACE, NW


             WASHINGTON           DC   20016-0367


CRD Number   Broker Dealer:                         Status:
143475       BRIDGE CAPITAL ASSOCIATES, INC.        Registered   3/8/2011
             BRIDGE CAPITAL ASSOCIATES, INC.
             127 MAIN STREET


             LILBURN              GA   30047


CRD Number   Broker Dealer:                         Status:
34702        BRIGHT TRADING, LLC                    Registered   7/5/2002
             BRIGHT TRADING, LLC
             4850 HARRISON DRIVE


             LAS VEGAS            NV   89121


CRD Number   Broker Dealer:                         Status:
3875         BRIGHTON SECURITIES CORP.              Registered   6/17/1997
             BRIGHTON SECURITIES CORP.
             1703 MONROE AVE.


             ROCHESTER            NY   14618-1487


CRD Number   Broker Dealer:                         Status:
18565        BRILL SECURITIES, INC.                 Registered   3/12/1987
             BRILL SECURITIES, INC.
             152 W. 57TH ST
             16TH FL
             NEW YORK             NY   10019


CRD Number   Broker Dealer:                         Status:
38123        BRINKER CAPITAL SECURITIES, INC.       Registered   8/29/1995
             BRINKER CAPITAL SECURITIES, INC.
             1055 WEST LAKES DR
             STE 250
             BERWYN               PA   19312


CRD Number   Broker Dealer:                         Status:
137988       BRISTOL FINANCIAL SERVICES, INC        Registered   1/19/2007
             BRISTOL FINANCIAL SERVICES, INC
             255 EXECUTIVE DRIVE
             STE 209
             PLAINVIEW            NY   11803
CRD Number   Broker Dealer:                                   Status:
48001        BROADBAND CAPITAL MANAGEMENT, LLC                Registered   4/5/2000
             BROADBAND CAPITAL MANAGEMENT, LLC
             712 FIFTH AVE
             22ND FL
             NEW YORK          NY     10019


CRD Number   Broker Dealer:                                   Status:
118028       BROADMARK CAPITAL, LLC                           Registered   3/25/2002
             BROADMARK CAPITAL, LLC
             600 UNIVERSITY STREET
             SUITE 2800
             SEATTLE           WA     98101


CRD Number   Broker Dealer:                                   Status:
132475       BROADWAY DIRECT INVESTMENTS, LLC                 Registered   1/24/2006
             BROADWAY DIRECT INVESTMENTS, LLC
             ONE PENN PLAZA
             SUITE 4615
             NEW YORK          NY     10119


CRD Number   Broker Dealer:                                   Status:
122156       BROCK SECURITIES LLC                             Registered   6/10/2004
             BROCK SECURITIES LLC
             622 THIRD AVE
             FLOOR 12
             NEW YORK          NY     10017


CRD Number   Broker Dealer:                                   Status:
8073         BROKER DEALER FINANCIAL SERVICES CORP.           Registered   1/22/1992
             BROKER DEALER FINANCIAL SERVICES CORP.
             PO BOX 71339


             CLIVE             IA     50325-1339


CRD Number   Broker Dealer:                                   Status:
47974        BROKERAGESELECT                                  Registered   2/20/2001
             BROKERAGESELECT
             364 WEST 117TH STREET
             SUITE 5A
             NEW YORK          NY     10026


CRD Number   Broker Dealer:                                   Status:
139627       BROKERS INTERNATIONAL FINANCIAL SERVICES, LLC.   Registered   7/18/2006
             BROKERS INTERNATIONAL FINANCIAL SERVICES, LLC.
             102 SOUTH EAST
             13TH STREET
             PANORA            IA     50216
CRD Number   Broker Dealer:                       Status:
127081       BROKERSXPRESS LLC                    Registered   10/10/2003
             BROKERSXPRESS LLC
             311 W. MONROE ST.
             SUITE 1000
             CHICAGO             IL   60606


CRD Number   Broker Dealer:                       Status:
153587       BROOKLINE SECURITIES, LLC            Registered   7/1/2011
             BROOKLINE SECURIITES, LLC
             2501 20TH PLACE SOUTH
             SUITE 275
             BIRMINGHAM          AL   35223


CRD Number   Broker Dealer:                       Status:
13366        BROOKSTONE SECURITIES, INC.          Registered   5/20/2005
             BROOKSTONE SECURITIES, INC.
             PO BOX 8087


             LAKELAND            FL   33802


CRD Number   Broker Dealer:                       Status:
123335       BROOKVIEW CAPITAL LLC                Registered   2/16/2006
             BROOKVIEW CAPITAL LLC
             ONE WATER STREET
             SUITE 180
             WHITE PLAINS        NY   10601


CRD Number   Broker Dealer:                       Status:
102380       BROOKVILLE CAPITAL PARTNERS          Registered   5/21/2004
             BROOKVILLE CAPITAL PARTNERS LLC.
             384 RXR PLAZA


             UNIONDALE           NY   11556


CRD Number   Broker Dealer:                       Status:
35187        BROOKWOOD SECURITIES PARTNERS, LLC   Registered   4/20/1994
             BROOKWOOD SECURITIES PARTNERS, LLC
             72 CHERRY HILL DRIVE


             BEVERLY             MA   01915


CRD Number   Broker Dealer:                       Status:
120736       BROWN ADVISORY SECURITIES, LLC       Registered   9/11/2002
             BROWN ADVISORY SECURITIES, LLC
             901 SOUTH BOND STREET
             SUITE 400
             BALTIMORE           MD   21231
CRD Number   Broker Dealer:                         Status:
1331         BROWN, LISLE/CUMMINGS, INC.            Registered   5/11/1993
             BROWN, LISLE/CUMMINGS, INC.
             ONE TURKS HEAD PLACE
             STE 800
             PROVIDENCE          RI   02903-2273


CRD Number   Broker Dealer:                         Status:
43884        BROWNSTONE INVESTMENT GROUP, LLC       Registered   5/12/2008
             BROWNSTONE INVESTMENT GROUP, LLC
             505 FIFTH AVENUE
             10TH FLOOR
             NEW YORK            NY   10017


CRD Number   Broker Dealer:                         Status:
10684        BRUCE A. LEFAVI SECURITIES, INC.       Registered   5/25/2006
             BRUCE A. LEFAVI SECURITIES, INC.
             2323 FOOTHILL DR.
             SUITE 100
             SALT LAKE CITY      UT   84109


CRD Number   Broker Dealer:                         Status:
47957        BRUDERMAN BROTHERS, INC.               Registered   5/31/2001
             BRUDERMAN BROTHERS, INC.
             64 BIRCH HILL RD


             LOCUST VALLEY       NY   11560


CRD Number   Broker Dealer:                         Status:
11899        BRYAN FUNDING, INC.                    Registered   8/31/1982
             BRYAN FUNDING, INC.
             125 TECHNOLOGY DR
             STE 105
             CANONSBURG          PA   15317-9557


CRD Number   Broker Dealer:                         Status:
20433        BRYANT PARK CAPITAL SECURITIES, INC.   Registered   5/20/2002
             BRYANT PARK CAPITAL SECURITIES, INC.
             489 FIFTH AVE
             27TH FL
             NEW YORK            NY   10017


CRD Number   Broker Dealer:                         Status:
122225       BTIG, LLC                              Registered   1/12/2006
             BTIG, LLC
             600 MONTGOMERY STREET
             6TH FL
             SAN FRANCISCO       CA   94111
CRD Number   Broker Dealer:                        Status:
8328         BTS SECURITIES CORPORATION            Registered   2/25/2011
             BTS SECURITIES CORPORATION
             420 BEDFORD ST
             STE 340
             LEXINGTON           MA   02420


CRD Number   Broker Dealer:                        Status:
135474       BUCK KWASHA SECURITIES LLC            Registered   1/30/2006
             BUCK KWASHA SECURITIES LLC
             245 PARK AVENUE
             23RD FL
             NEW YORK            NY   10167-0002


CRD Number   Broker Dealer:                        Status:
23407        BUCKMAN, BUCKMAN & REID, INC.         Registered   3/16/1989
             BUCKMAN, BUCKMAN & REID, INC.
             174 PATTERSON AVE


             SHREWSBURY          NJ   07702


CRD Number   Broker Dealer:                        Status:
126976       BUCKRAM SECURITIES LTD.               Registered   11/17/2003
             BUCKRAM SECURITIES LTD.
             21 CEDAR SWAMP ROAD
             STE 4
             GLEN COVE           NY   11542


CRD Number   Broker Dealer:                        Status:
1342         BUELL SECURITIES CORP.                Registered   6/6/1984
             BUELL SECURITIES CORP.
             200 GLASTONBURY BLVD.
             SUITE 102
             GLASTONBURY         CT   06033


CRD Number   Broker Dealer:                        Status:
47616        BULLDOG TRADING LLC                   Registered   2/13/2003
             BULLDOG TRADING LLC
             1370 BROADWAY
             5TH FLOOR
             NEW YORK            NY   10018


CRD Number   Broker Dealer:                        Status:
102280       BURCH & COMPANY, INC.                 Registered   10/16/2000
             BURCH & COMPANY, INC.
             4151 N. MULBERRY DRIVE
             SUITE 235
             KANSAS CITY         MO   64116
CRD Number   Broker Dealer:                         Status:
1346         BURKE, LAWTON, BREWER & BURKE, LLC     Registered   11/17/1964
             BURKE, LAWTON, BREWER & BURKE, LLC
             POB 950


             SPRING HOUSE        PA    19477


CRD Number   Broker Dealer:                         Status:
148000       BURNHAM HILL PARTNERS LLC              Registered   2/24/2009
             BURNHAM HILL PARTNERS LLC
             501 MADISON AVE
             SUITE 501
             NEW YORK            NY    10022


CRD Number   Broker Dealer:                         Status:
22549        BURNHAM SECURITIES INC.                Registered   5/16/1991
             BURNHAM SECURITIES INC.
             1325 AVE OF THE AMERICAS
             26TH FL
             NEW YORK            NY    10019


CRD Number   Broker Dealer:                         Status:
27108        BUTTONWOOD PARTNERS, INC.              Registered   9/3/2004
             BUTTONWOOD PARTNERS, INC.
             701 DEMING WAY
             SUITE 100
             MADISON             WI    53717


CRD Number   Broker Dealer:                         Status:
136571       C C F INVESTMENTS, INC.                Registered   1/9/2006
             C C F INVESTMENTS, INC.
             320 N. BROAD ST.


             THOMASVILLE         GA    31792


CRD Number   Broker Dealer:                         Status:
2394         C. E. GAYE & SONS SECURITIES LTD.      Registered   4/13/1990
             C. E. GAYE & SONS SECURITIES LTD.
             75 JACKSON AVENUE
             STE 206
             SYOSSET             NY    11791-3124


CRD Number   Broker Dealer:                         Status:
6183         C. L. KING & ASSOCIATES, INC.          Registered   11/23/1982
             C. L. KING & ASSOCIATES, INC.
             NINE ELK STREET


             ALBANY              NY    12207
CRD Number   Broker Dealer:                         Status:
106578       C.K. COOPER & COMPANY, INC.            Registered   8/9/2001
             C.K. COOPER & COMPANY, INC.
             18300 VON KARMAN AVENUE
             SUITE 700
             IRVINE              CA    92612


CRD Number   Broker Dealer:                         Status:
151193       CA FUNDS GROUP, INC.                   Registered   5/27/2010
             CA FUNDS GROUP, INC.
             526 CRESENT BLVD.
             #218
             GLENELLYN           IL    60137


CRD Number   Broker Dealer:                         Status:
10081        CABRERA CAPITAL MARKETS, LLC           Registered   3/11/2003
             CABRERA CAPITAL MARKETS, LLC
             10 S. LASALLE ST
             STE 1050
             CHICAGO             IL    60603


CRD Number   Broker Dealer:                         Status:
142185       CABRILLO BROKER, L.L.C.                Registered   3/5/2007
             CABRILLO BROKER, L.L.C.
             4330 LA JOLLA VILLAGE DRIVE
             SUITE 270
             SAN DIEGO           CA    92122


CRD Number   Broker Dealer:                         Status:
127226       CACHEMATRIX BROKER/DEALER LLC          Registered   5/17/2004
             CACHEMATRIX BROKER/DEALER LLC
             44 COOK STREET
             8TH FL
             DENVER              CO    80206


CRD Number   Broker Dealer:                         Status:
10641        CADARET, GRANT & CO., INC.             Registered   8/25/1982
             CADARET, GRANT & CO., INC.
             200 VALLEY RD
             STE 106
             MT ARLINGTON        NJ    07856


CRD Number   Broker Dealer:                         Status:
19850        CALAMOS FINANCIAL SERVICES LLC         Registered   1/19/1988
             CALAMOS FINANCIAL SERVICES LLC
             2020 CALAMOS COURT


             NAPERVILLE          IL    60563-1493
CRD Number   Broker Dealer:                                 Status:
104323       CALDWELL INTERNATIONAL SECURITIES              Registered   9/6/2001
             CALDWELL INTERNATIONAL SECURITIES CORPORATIO
             7635 FM 32


             FISCHER              TX   78623


CRD Number   Broker Dealer:                                 Status:
21344        CALLAHAN FINANCIAL SERVICES, INC.              Registered   6/1/1988
             CALLAHAN FINANCIAL SERVICES, INC.
             1001 CONNECTICUT AVE NW
             STE 1001
             WASHINGTON           DC   20036


CRD Number   Broker Dealer:                                 Status:
20999        CALTON & ASSOCIATES, INC.                      Registered   3/30/1988
             CALTON & ASSOCIATES, INC.
             14497 N DALE MABRY
             STE 215
             TAMPA                FL   33618


CRD Number   Broker Dealer:                                 Status:
37527        CALVERT INVESTMENT DISTRIBUTORS, INC.          Registered   3/8/1995
             CALVERT INVESTMENT DISTRIBUTORS, INC.
             4550 MONTGOMERY AVENUE
             SUITE 1000N
             BETHESDA             MD   20814


CRD Number   Broker Dealer:                                 Status:
133760       CAMBRIA CAPITAL, LLC                           Registered   7/22/2011
             CAMBRIA CAPITAL, LLC
             488 E. WINCHESTER ST
             STE 200
             SALT LAKE CITY       UT   84107


CRD Number   Broker Dealer:                                 Status:
39543        CAMBRIDGE INVESTMENT RESEARCH, INC.            Registered   2/21/1996
             CAMBRIDGE INVESTMENT RESEARCH, INC.
             1776 PLEASANT PLAIN RD.


             FAIRFIELD            IA   52556-8757


CRD Number   Broker Dealer:                                 Status:
103722       CAMBRIDGE LEGACY SECURITIES L.L.C.             Registered   7/15/2002
             CAMBRIDGE LEGACY SECURITIES L.L.C.
             15660 N DALLAS PKWY
             SUITE 700
             DALLAS               TX   75248
CRD Number   Broker Dealer:                           Status:
42310        CAMELOT INVESTMENT ADVISERS, LTD.        Registered   4/7/1997
             CAMELOT INVESTMENT ADVISERS, LTD.
             995 OLD EAGLE SCHOOL RD
             STE 320
             WAYNE               PA   19087


CRD Number   Broker Dealer:                           Status:
109906       CAMMACK LARHETTE BROKERAGE, INC.         Registered   3/13/2007
             CAMMACK LARHETTE BROKERAGE, INC.
             65 WILLIAM STREET
             SUITE 100
             WELLESLEY           MA   02481


CRD Number   Broker Dealer:                           Status:
42953        CAMPBELL FINANCIAL SERVICES, INC.        Registered   7/12/2010
             CAMPBELL FINANCIAL SERVICES, INC.
             2850 QUARRY LAKE DRIVE


             BALTIMORE           MD   21209


CRD Number   Broker Dealer:                           Status:
133376       CAMPBELL LUTYENS & CO. INC.              Registered   4/29/2005
             CAMPBELL LUTYENS & CO. INC.
             1270 AVENUE OF THE AMERICAS
             29TH FL
             NEW YORK            NY   10020


CRD Number   Broker Dealer:                           Status:
1020         CANACCORD GENUITY INC.                   Registered   10/25/1996
             CANACCORD GENUITY INC.
             99 HIGH STREET


             BOSTON              MA   02110


CRD Number   Broker Dealer:                           Status:
7449         CANACCORD WEALTH MANAGEMENT              Registered   1/5/1994
             CANACCORD WEALTH MANAGEMENT (USA) INC.
             P.O. BOX 10337
             PACIFIC CENTRE
             VANCOUVER, CANA          V7Y 1H2


CRD Number   Broker Dealer:                           Status:
13905        CANTELLA & CO., INC.                     Registered   9/18/1985
             CANTELLA & CO., INC.
             101 FEDERAL STREET
             13TH FLOOR
             BOSTON              MA   02110
CRD Number   Broker Dealer:                      Status:
26314        CANTONE RESEARCH INC                Registered   11/3/1993
             CANTONE RESEARCH INC.
             766 SHREWSBURY AVE


             TINTON FALLS         NJ   07724


CRD Number   Broker Dealer:                      Status:
134          CANTOR FITZGERALD & CO.             Registered   10/30/1973
             CANTOR FITZGERALD & CO.
             110 EAST 59TH STREET
             4TH FLOOR
             NEW YORK             NY   10022


CRD Number   Broker Dealer:                      Status:
7072         CAPE SECURITIES INC.                Registered   8/3/2009
             CAPE SECURITIES INC.
             2005 PENNSYLVANIA AVENUE


             MCDONOUGH            GA   30253


CRD Number   Broker Dealer:                      Status:
113795       CAPFI PARTNERS, LLC                 Registered   8/15/2002
             CAPFI PARTNERS, LLC
             2445 M STREET NW
             2ND FL
             WASHINGTON           DC   20037


CRD Number   Broker Dealer:                      Status:
148504       CAPITAL & ESTATE MANAGEMENT, INC.   Registered   8/10/2011
             CAPITAL & ESTATE MANAGEMENT, INC.
             7143 MARINER BLVD.


             SPRING HILL          FL   34609


CRD Number   Broker Dealer:                      Status:
5478         CAPITAL ANALYSTS, INCORPORATED      Registered   5/14/1968
             CAPITAL ANALYSTS, INCORPORATED
             303 BROADWAY
             STE 1500
             CINCINNATI           OH   45202


CRD Number   Broker Dealer:                      Status:
10465        CAPITAL BROKERAGE CORPORATION       Registered   11/24/1986
             CAPITAL BROKERAGE CORPORATION
             6620 W BROAD ST
             BLDG 2
             RICHMOND             VA   23230
CRD Number   Broker Dealer:                       Status:
146001       CAPITAL CITY SECURITIES, LLC         Registered   9/12/2008
             CAPITAL CITY SECURITIES, LLC
             1335 DUBLIN RD.
             SUITE 122-D
             COLUMBUS           OH   43215


CRD Number   Broker Dealer:                       Status:
8408         CAPITAL FINANCIAL SERVICES, INC.     Registered   1/2/1997
             CAPITAL FINANCIAL SERVICES, INC.
             #1 NORTH MAIN STREET


             MINOT              ND   58703


CRD Number   Broker Dealer:                       Status:
7779         CAPITAL GROWTH RESOURCES             Registered   3/20/1991
             CAPITAL GROWTH RESOURCES
             P.O. BOX 69


             EL CAJON           CA   92020


CRD Number   Broker Dealer:                       Status:
41847        CAPITAL GROWTH SECURITIES LLC        Registered   7/8/1998
             CAPITAL GROWTH SECURITIES LLC
             PO BOX 5117


             NEW YORK           NY   10185


CRD Number   Broker Dealer:                       Status:
137919       CAPITAL GUARDIAN, LLC                Registered   10/6/2006
             CAPITAL GUARDIAN, LLC
             1355 GREENWOOD CLIFF
             SUITE 250
             CHARLOTTE          NC   28204


CRD Number   Broker Dealer:                       Status:
40657        CAPITAL INVESTMENT BROKERAGE, INC.   Registered   11/4/1997
             CAPITAL INVESTMENT BROKERAGE, INC.
             POB 32249


             RALEIGH            NC   27622


CRD Number   Broker Dealer:                       Status:
14752        CAPITAL INVESTMENT GROUP, INC.       Registered   9/26/1990
             CAPITAL INVESTMENT GROUP, INC.
             P.O. BOX 32249


             RALEIGH            NC   27622
CRD Number   Broker Dealer:                              Status:
10579        CAPITAL MANAGEMENT SECURITIES, INC.         Registered   1/27/2004
             CAPITAL MANAGEMENT SECURITIES, INC.
             7900 XERXES AVENUE S.
             #500
             MINNEAPOLIS          MN   55431-1120


CRD Number   Broker Dealer:                              Status:
25658        CAPITAL ONE INVESTMENT SERVICES LLC         Registered   12/8/1993
             CAPITAL ONE INVESTMENT SERVICES LLC
             265 BROAD HOLLOW ROAD


             MELVILLE             NY   11747


CRD Number   Broker Dealer:                              Status:
44158        CAPITAL ONE SOUTHCOAST, INC                 Registered   2/6/1998
             CAPITAL ONE SOUTHCOAST, INC
             909 POYDRAS STREET
             SUITE 1000
             NEW ORLEANS          LA   70112


CRD Number   Broker Dealer:                              Status:
104363       CAPITAL PATH SECURITIES, LLC                Registered   5/9/2008
             CAPITAL PATH SECURITIES, LLC
             1533 ROCKY POINT ROAD


             MIDDLE ISLAND        NY   11953


CRD Number   Broker Dealer:                              Status:
29302        CAPITAL PORTFOLIO MANAGEMENT, INC.          Registered   3/13/1992
             CAPITAL PORTFOLIO MANAGEMENT, INC.
             2205 YORK ROAD
             SUITE 203
             TIMONIUM             MD   21093


CRD Number   Broker Dealer:                              Status:
40823        CAPITAL RESEARCH BROKERAGE SERVICES, LLC    Registered   4/2/2007
             CAPITAL RESEARCH BROKERAGE SERVICES, LLC
             15 S. RAYMOND AVE.
             SUITE 200
             PASADENA             CA   91105


CRD Number   Broker Dealer:                              Status:
5606         CAPITAL SECURITIES INVESTMENT CORPORATION   Registered   6/2/1994
             CAPITAL SECURITIES INVESTMENT CORPORATION
             2021 MIDWEST ROAD
             SUITE 104
             OAK BROOK            IL   60523-1336
CRD Number   Broker Dealer:                          Status:
148733       Capital Synergy Partners                Registered   9/15/2011
             William Rapp
             18551 VON KARMAN AVENUE
             SUITE 150
             IRVINE                 CA   92612


CRD Number   Broker Dealer:                          Status:
7278         CAPITOL SECURITIES & ASSOCIATES, INC.   Registered   7/30/2010
             CAPITAL SECURITIES & ASSOCIATES, INC.
             100 CONCOURSE BLVD.
             STE 101
             GLEN ALLEN             VA   23059


CRD Number   Broker Dealer:                          Status:
14169        CAPITOL SECURITIES MANAGEMENT, INC.     Registered   6/26/1986
             CAPITAL SECURITIES MANAGEMENT, INC.
             100 CONCOURSE BLVD.
             SUITE 101
             GLEN ALLEN             VA   23059


CRD Number   Broker Dealer:                          Status:
23669        CAPNET SECURITIES CORPORATION           Registered   4/23/2004
             CAPNET SECURITIES CORPORATION
             15721 PARK ROW
             SUITE 100
             HOUSTON                TX   77084


CRD Number   Broker Dealer:                          Status:
30124        CAPPELLO CAPITAL CORP.                  Registered   4/6/1993
             CAPPELLO CAPITAL CORP.
             100 WILSHIRE BLVD
             SUITE 1200
             SANTA MONICA           CA   90401


CRD Number   Broker Dealer:                          Status:
14970        CAPSTONE ASSET PLANNING COMPANY         Registered   10/24/1984
             CAPSTONE ASSET PLANNING COMPANY
             3700 WEST SAM HOUSTON PARKWAY SOUTH
             SUITE 250
             HOUSTON                TX   77042


CRD Number   Broker Dealer:                          Status:
133591       CAPSTONE FINANCIAL GROUP, INC.          Registered   3/13/2008
             CAPSTONE FINANCIAL GROUP, INC.
             204 3RD STREET
             PO BOX 205
             OSCEOLA                WI   54020
CRD Number   Broker Dealer:                         Status:
41400        CAPSTONE INVESTMENTS                   Registered   8/19/1997
             CAPSTONE INVESTMENTS
             12760 HIGH BLUFF DR.
             STE 120
             SAN DIEGO            CA   92130


CRD Number   Broker Dealer:                         Status:
126291       CAPTRUST FINANCIAL ADVISORS            Registered   9/29/2003
             CAPTRUST FINANCIAL ADVISORS
             4208 SIX FORKS RD.
             SUITE 1700
             RALEIGH              NC   27609


CRD Number   Broker Dealer:                         Status:
15246        CAREY FINANCIAL, LLC                   Registered   11/6/1984
             CAREY FINANCIAL, LLC
             50 ROCKEFELLER PLAZA
             2ND FL
             NEW YORK             NY   10020


CRD Number   Broker Dealer:                         Status:
104235       CARIS & COMPANY, INC.                  Registered   1/4/2001
             CARIS & COMPANY, INC.
             12671 HIGH BLUFF DRIVE
             SUITE 350
             SAN DIEGO            CA   92130


CRD Number   Broker Dealer:                         Status:
16187        CARNES CAPITAL CORPORATION             Registered   2/21/1986
             CARNES CAPITAL CORPORATION
             8889 PELICAN BAY BLVD
             SUITE 500
             NAPLES               FL   34108-7512


CRD Number   Broker Dealer:                         Status:
38156        CAROLINA CAPITAL MARKETS, INC.         Registered   7/8/2009
             CAROLINA CAPITAL MARKETS, INC.
             400 MEADOWMONT VILLAGE CIR.
             STE 429
             CHAPEL HILL          NC   27517


CRD Number   Broker Dealer:                         Status:
41970        CAROLINA FINANCIAL SECURITIES, LLC     Registered   4/7/2000
             CAROLINA FINANCIAL SECURITIES, LLC
             PO BOX 1076


             BREVARD              NC   28712
CRD Number   Broker Dealer:                        Status:
1404         CARR SECURITIES CORPORATION           Registered   6/19/1997
             CARR SECURITIES CORPORATION
             14 VANDERVENTER AVE
             SUITE 210
             PORT WASHINGTO      NY   11050


CRD Number   Broker Dealer:                        Status:
30717        CARREDEN GROUP, INC.                  Registered   11/1/2005
             CARREDEN GROUP, INC.
             1100 MORAGA WAY
             SUITE 209
             MORAGA              CA   94556


CRD Number   Broker Dealer:                        Status:
139334       CARRINGTON INVESTMENT SERVICES, LLC   Registered   9/18/2006
             CARRINGTON INVESTMENT SERVICES, LLC
             7 GREENWICH OFFICE PARK
             599 W. PUTNAM AVE
             GREENWICH           CT   06830


CRD Number   Broker Dealer:                        Status:
16365        CARTER, TERRY & COMPANY, INC.         Registered   2/28/1996
             CARTER, TERRY & COMPANY, INC.
             3060 PEACHTREE RD
             STE 1400
             ATLANTA             GA   30305


CRD Number   Broker Dealer:                        Status:
18289        CARTHAGE GROUP INC.                   Registered   8/28/1990
             CARTHAGE GORUP INC.
             P.O. BOX 523


             HUNTINGTON          NY   11743


CRD Number   Broker Dealer:                        Status:
7001         CARTY & COMPANY, INC.                 Registered   6/13/1983
             CARTY & COMPANY, INC.
             POB 17527


             MEMPHIS             TN   38187-0527


CRD Number   Broker Dealer:                        Status:
128089       CARY STREET PARTNERS LLC              Registered   2/7/2007
             CARY STREET PARTNERS LLC
             1210 EAST CARY STREET
             SUITE 300
             RICHMOND            VA   23219
CRD Number   Broker Dealer:                            Status:
119030       CASCADE FINANCIAL MANAGEMENT, INC.        Registered   4/30/2002
             CASCADE FINANCIAL MANAGEMENT, INC.
             950 17TH STREET
             SUITE 950
             DENVER                 CO   80202


CRD Number   Broker Dealer:                            Status:
35844        CASCADE INVESTMENT GROUP, INC.            Registered   10/13/1995
             CASCADE INVESTMENT GROUP, INC.
             90 S. CASCADE AVE
             SUITE 1250
             COLORADO SPRIN         CO   80903


CRD Number   Broker Dealer:                            Status:
105061       CASIMIR CAPITAL L.P.                      Registered   2/1/2001
             CASMIR CAPITAL L.P.
             546 FIFTH AVENUE
             5TH FL
             NEW YORK               NY   10036


CRD Number   Broker Dealer:                            Status:
39063        CASTLE CREEK FINANCIAL LLC                Registered   10/11/1996
             CASTLE CREEK FINANCIAL LLC
             POB 1329


             RANCHO SANTA FE        CA   92067


CRD Number   Broker Dealer:                            Status:
125334       CASTLEOAK SECURITIES, LP                  Registered   10/16/2009
             CASTLEOAK SECURITIES, LP
             110 EAST 59 STREET
             2ND FL
             NEW YORK               NY   10022


CRD Number   Broker Dealer:                            Status:
45025        CATALYST FINANCIAL                        Registered   7/14/1999
             CATALYST FINANCIAL
             225 N.E. MIZNER BLVD.
             SUITE 400
             BOCA RATON             FL   33432


CRD Number   Broker Dealer:                            Status:
37185        CATHOLIC FINANCIAL SERVICES CORPORATION   Registered   4/2/1999
             CATHOLIC FINANCIAL SERVICES CORPORATION
             1100 WEST WELLS ST


             MILWAUKEE              WI   53233
CRD Number   Broker Dealer:                          Status:
126183       CAYMUS SECURITIES LLC                   Registered   6/2/2003
             CAYMUS SECURITIES LLC
             3490 PIEDMONT ROAD
             SUITE 1040
             ATLANTA               GA   30305


CRD Number   Broker Dealer:                          Status:
20872        CBIS FINANCIAL SERVICES, INC.           Registered   3/14/1988
             CBIS FINANCIAL SERVICES, INC.
             20 N. WACKER DRI VE
             SUITE 2000
             CHICAGO               IL   60606-3002


CRD Number   Broker Dealer:                          Status:
16678        CBIZ FINANCIAL SOLUTIONS, INC.          Registered   2/5/1986
             CBIZ FINANCIAL SOLUTIONS, INC.
             6050 OAK TREE BLVD
             SUITE 500
             CLEVELAND             OH   44131


CRD Number   Broker Dealer:                          Status:
140565       CBRE CAPITAL ADVISORS, INC.             Registered   10/25/2006
             CBRE CAPITAL ADVISORS, INC.
             2100 MCKINNEY AVENUE
             SUITE 900
             DALLAS                TX   75201


CRD Number   Broker Dealer:                          Status:
153523       CC SECURITIES, LLC                      Registered   5/3/2011
             CC SECURITIES, LLC
             130 WEST 42ND STREET
             SUITE 1050
             NEW YORK              NY   10036


CRD Number   Broker Dealer:                          Status:
39550        CCO INVESTMENT SERVICES CORP.           Registered   1/2/2001
             CCO INVESTMENT SERVICES CORP.
             725 CANTON STREET
             EDWARD P. CAHILLANE - MCN220
             NORWOOD               MA   02062


CRD Number   Broker Dealer:                          Status:
124333       CDK FINANCIAL SERVICES, LLC             Registered   1/29/2007
             CDK FINANCIAL SERVICES, LLC
             405 PARK AVENUE
             11TH FLOOR
             NEW YORK              NY   10022
CRD Number   Broker Dealer:                           Status:
145116       CEDAR POINT CAPITAL, LLC                 Registered   4/6/2011
             CEDAR POINT CAPITAL, LLC
             5354 PARKDALE DRIVE
             SUITE 100
             ST. LOUIS PARK     MN     55416


CRD Number   Broker Dealer:                           Status:
36538        CELADON FINANCIAL GROUP LLC              Registered   2/10/1997
             CELADON FINANCIAL GROUP LLC
             19 CENTER ST


             CHATHAM            NJ     07928-2599


CRD Number   Broker Dealer:                           Status:
30833        CENTAURUS FINANCIAL, INC.                Registered   2/1/1994
             CENTAURUS FINANCIAL, INC.
             2300 E. KATELLA AVE.
             SUITE #200
             ANAHEIM            CA     92806


CRD Number   Broker Dealer:                           Status:
7763         CENTENNIAL SECURITIES COMPANY, LLC       Registered   3/30/1994
             CENTENNIAL SECURITIES COMPANY, LLC




CRD Number   Broker Dealer:                           Status:
26898        CENTER STREET SECURITIES, INC.           Registered   1/6/2010
             CENTER STREET SECURITIES, INC.
             26 CENTURY BLVD.
             SUITE 301
             NASHVILLE          TN     37214


CRD Number   Broker Dealer:                           Status:
148091       CENTERRE CAPITAL LLC                     Registered   3/17/2010
             CENTERRE CAPITAL LLC
             1839 LAKE ST., LOUIS BLVD


             LAKE ST. LOUIS     MO     63367


CRD Number   Broker Dealer:                           Status:
33531        CENTURION INSTITUTIONAL SERVICES, INC.   Registered   11/30/1995
             CENTURION INSTITUTIONAL SERVICES, INC.
             1282 PACIFIC OAKS PLACE


             ESCONDIDO          CA     92029
CRD Number   Broker Dealer:                          Status:
40405        CENTURION SECURITIES CORPORATION        Registered   4/8/2004
             CENTURION SECURITIES CORPORATION
             319 LAFAYETTE STREET


             WASHINGTON            MO   63090


CRD Number   Broker Dealer:                          Status:
28218        CENTURY SECURITIES ASSOCIATES, INC.     Registered   6/10/1991
             CENTURY SECURITIES ASSOCIATES, INC.
             ONE FINANCIAL PLZ
             501 N BROADWAY
             ST LOUIS              MO   63102


CRD Number   Broker Dealer:                          Status:
37869        CEROS FINANCIAL SERVICES, INC.          Registered   7/8/2009
             CEROS FINANCIAL SERVICES, INC.
             1445 RESEARCH BLVD
             SUITE 530
             ROCKVILLE             MD   20850


CRD Number   Broker Dealer:                          Status:
104245       CF GLOBAL TRADING, LLC                  Registered   9/2/2005
             CF GLOBAL TRADING, LLC
             527 MADISON AVE
             18TH FL
             NEW YORK              NY   10022


CRD Number   Broker Dealer:                          Status:
25427        CFD INVESTMENTS, INC.                   Registered   2/14/1994
             CFD INVESTMENTS, INC.
             P.O. BOX 2244


             KOKOMO                IN   46904-2244


CRD Number   Broker Dealer:                          Status:
46226        CFT SECURITIES, LLC                     Registered   10/6/2000
             CFT SECURITIES, LLC
             379 THORNALL STREET
             6TH FLOOR
             EDISON                NJ   08837


CRD Number   Broker Dealer:                          Status:
112033       CG BROKERAGE L.L.C.                     Registered   2/5/2009
             CG BROKERAGE L.L.C.
             8215 GREENWAY BLVD.
             SUITE 610
             MIDDLETON             WI   53562
CRD Number   Broker Dealer:                    Status:
131992       CHALLENGER CAPITAL GROUP, LTD.    Registered   8/9/2010
             CHALLENGER CAPITAL GROUP, LTD.
             2525 MCKINNON ST
             SUITE 300
             DALLAS              TX   75201


CRD Number   Broker Dealer:                    Status:
129560       CHAMPLAIN ADVISORS, LLC           Registered   2/22/2005
             CHAMPLAIN ADVISORS, LLC
             779 NORTH STREET


             GREENWICH           CT   06831


CRD Number   Broker Dealer:                    Status:
7017         CHAPDELAINE & CO.                 Registered   5/22/2009
             CHAPDELAINE & CO.
             1 SEAPORT PLAZA
             199 WATER STREET
             NEW YORK            NY   10038


CRD Number   Broker Dealer:                    Status:
28116        CHAPIN, DAVIS                     Registered   5/6/1992
             CHAPIN, DAVIS
             2 VILLAGE SQUARE
             SUITE 200
             BALTIMORE           MD   21210


CRD Number   Broker Dealer:                    Status:
120128       CHARDAN CAPITAL MARKETS LLC       Registered   3/27/2008
             CHARDAN CAPITAL MARKETS LLC
             17 STATE STREET
             SUITE 1600
             NEW YORK            NY   10004


CRD Number   Broker Dealer:                    Status:
30303        CHARLES JORDAN & CO., LLC         Registered   8/17/1995
             CHARLES JORDAN & CO., LLC
             805 3RD AVE.
             18TH FL
             NEW YORK            NY   10022


CRD Number   Broker Dealer:                    Status:
138887       CHARLES MORGAN SECURITIES, INC.   Registered   5/11/2006
             CHARLES MORGAN SECURITIES, INC.
             120 WALL ST
             16TH FL
             NEW YORK            NY   10005
CRD Number   Broker Dealer:                         Status:
132267       CHARLES RIVER BROKERAGE, LLC           Registered   5/6/2005
             CHARLES RIVER BROKERAGE, LLC
             24 NEW ENGLAND EXECUTIVE PK
             STE 150
             BURLINGTON           MA   01830


CRD Number   Broker Dealer:                         Status:
5393         CHARLES SCHWAB & CO., INC.             Registered   6/2/1976
             CHARLES SCHWAB & CO., INC.
             211 MAIN ST
             5TH FL
             SAN FRANCISCO        CA   94105


CRD Number   Broker Dealer:                         Status:
132650       CHARLES VISTA LLC                      Registered   4/6/2009
             CHARLES VISTA LLC
             100 WILLIAM STREET
             SUITE 1820
             NEW YORK             NY   10038


CRD Number   Broker Dealer:                         Status:
25574        CHASE INVESTMENT SERVICES CORP.        Registered   1/24/1990
             CHASE INVESTMENT SERVICES CORP.
             1111 POLARIS PKWY
             SUITE 2J
             COLUMBUS             OH   43240


CRD Number   Broker Dealer:                         Status:
10075        CHAUNER SECURITIES, INC.               Registered   12/10/1982
             CHAUNER SECURITIES, INC.
             666 DUNDEE ROAD
             SUITE 903
             NORTHBROOK           IL   60062-2735


CRD Number   Broker Dealer:                         Status:
6578         CHEEVERS, HAND & ANGELINE, INC.        Registered   8/6/2009
             CHEEVERS, HAND & ANGELINE, INC.
             2101 NW CORPORATE BLVD.
             SUITE 402
             BOCA RATON           FL   33431


CRD Number   Broker Dealer:                         Status:
47770        CHELSEA FINANCIAL SERVICES             Registered   11/30/2000
             CHELSEA FINANICAL SECURITIES, INC.
             242 MAIN STREET


             STATEN ISLAND        NY   10307
CRD Number   Broker Dealer:                          Status:
127228       CHESTNUT ENERGY PARTNERS, INC.          Registered   11/7/2003
             CHESTNUT ENERGY PARTNERS, INC.
             2201 N. CENTRAL EXPRESSWAY
             SUITE 240
             RICHARDSON           TX   75080


CRD Number   Broker Dealer:                          Status:
118917       CHICAGO ANALYTIC TRADING COMPANY, LLC   Registered   7/28/2010
             CHICAGO ANALYTIC TRADING COMPANY, LLC
             1 S DEARBORN ST
             STE 2100
             CHICAGO              IL   60603


CRD Number   Broker Dealer:                          Status:
17665        CHOICE INVESTMENTS, INC.                Registered   12/22/1999
             CHOICE INVESTMENTS, INC.
             KALEIDO 1
             9390 RESEARCH BLVD, BLDG 1, STE 412
             AUSTIN               TX   78759


CRD Number   Broker Dealer:                          Status:
104021       CHOICETRADE                             Registered   1/20/2005
             LETSGOTRADE, INC.
             197 STATE ROUTE 18
             STE 3000
             EAST BRUNSWICK       NJ   08816


CRD Number   Broker Dealer:                          Status:
22090        CHRISTOPHER WEIL & COMPANY, INC.        Registered   7/15/1992
             THE WEIL COMPANY
             12555 HIGH BLUFF DR
             STE 180
             SAN DIEGO            CA   92130


CRD Number   Broker Dealer:                          Status:
138499       CHRYSALIS CAPITAL GROUP, LLC            Registered   8/3/2007
             CHRYSALIS CAPITAL GROUP, LLC
             131 FRANKLIN ST


             SAN FRANCISCO        CA   94102


CRD Number   Broker Dealer:                          Status:
39462        CHURCHILL FINANCIAL, LLC                Registered   6/17/1997
             CHURCHILL FINANICAL, LLC
             1406 BROWNS LANE
             2ND FL
             LOUISVILLE           KY   40207
CRD Number   Broker Dealer:                       Status:
630          CIBC WORLD MARKETS CORP.             Registered   3/25/1958
             CIBC WORLD MARKETS CORP.
             425 LEXINGTON AVENUE
             3RD FL
             NEW YORK               NY   10017


CRD Number   Broker Dealer:                       Status:
129864       CIG SECURITIES                       Registered   5/25/2011
             CIG SECURITIES, INC.
             28411 NORTHWESTERN HIGHWAY
             SUITE 1350
             SOUTHFIELD             MI   48034


CRD Number   Broker Dealer:                       Status:
120852       CIM SECURITIES, LLC                  Registered   10/30/2009
             CIM SECURITIES, LLC
             5975 S. QUEBEC ST.
             SUITE 270
             CENTENNIAL             CO   80111


CRD Number   Broker Dealer:                       Status:
41504        CIT CAPITAL SECURITIES LLC           Registered   6/1/2005
             CIT CAPITAL SECURITIES LLC
             11 WEST 42ND STREET
             7TH FL
             NEW YORK               NY   10036


CRD Number   Broker Dealer:                       Status:
116797       CITADEL SECURITIES LLC               Registered   10/7/2009
             CITADEL SECURITIES LLC
             131 SOUTH DEARBORN ST.
             32ND FL
             CHICAGO                IL   60603


CRD Number   Broker Dealer:                       Status:
28305        CITATION FINANCIAL GROUP, L.P.       Registered   6/5/2009
             CITATION FINANCIAL GROUP, L.P.
             120 BROADWAY
             17TH FL.
             NEW YORK               NY   10271


CRD Number   Broker Dealer:                       Status:
15387        CITICORP SECURITIES SERVICES, INC.   Registered   4/15/1985
             CITICORP SECURITIES SERVICES, INC.
             1 COURT SQ
             19TH FL
             LONG ISLAND CITY       NY   11120
CRD Number   Broker Dealer:                          Status:
7059         CITIGROUP GLOBAL MARKETS INC.           Registered   5/18/1960
             CITIGROUP GLOBAL MARKETS INC.
             1 COURT SQ., 19TH FL
             REGISTRATION DEPT
             LONG ISLAND CITY    NY    11120


CRD Number   Broker Dealer:                          Status:
103705       CITY NATIONAL SECURITIES, INC.          Registered   5/19/2000
             CITY NATIONAL SECURITIES, INC.
             400 NORTH ROXBURY DRIVE
             SUITE 700
             BEVERLY HILLS       CA    90210


CRD Number   Broker Dealer:                          Status:
1459         CITY SECURITIES CORPORATION             Registered   3/7/1989
             CITY SECURITIES CORPORATION
             30 SOUTH MERIDIAN ST
             STE 600
             INDIANAPOLIS        IN    46204


CRD Number   Broker Dealer:                          Status:
44823        CJS SECURITIES, INC.                    Registered   6/18/1998
             CJS SECURITIES, INC.
             50 MAIN STREET
             STE 325
             WHITE PLAINS        NY    10606


CRD Number   Broker Dealer:                          Status:
23288        CLARK DODGE & CO., INC.                 Registered   3/12/1999
             CLARK DODGE & CO., INC.
             2 GANNETT DRIVE
             STE 410
             WHITE PLAINS        NY    10604


CRD Number   Broker Dealer:                          Status:
43803        CLARK SECURITIES, INC.                  Registered   3/15/2000
             CLARK SECURITIES, INC.
             2100 ROSS AVENUE
             STE 2200
             DALLAS              TX    75201-7906


CRD Number   Broker Dealer:                          Status:
142785       CLEARVIEW CORRESPONDENT SERVICES, LLC   Registered   6/25/2007
             CLEARVIEW CORRESPONDENT SERVICES, LLC
             8006 DISCOVERY DRIVE
             SUITE 200
             RICHMOND            VA    23229
CRD Number   Broker Dealer:                          Status:
45309        CLEARY GULL INC.                        Registered   11/23/1998
             CLEARY GULL INC.
             100 EAST WISCONSIN AVENUE


             MILWAUKEE             WI   53202-3590


CRD Number   Broker Dealer:                          Status:
152974       CLIENT ONE SECURITIES LLC               Registered   1/12/2011
             CLIENT ONE SECURITIES LLC
             11460 TOMAHAWK CREEK PRKWY


             LEAWOOD               KS   66211


CRD Number   Broker Dealer:                          Status:
127136       CM SECURITIES, LLC                      Registered   2/24/2004
             CM SECURITIES, LLC
             6750 VIA AUSTI PKWY
             SUITE 250
             LAS VEGAS             NV   89119


CRD Number   Broker Dealer:                          Status:
10102        CMS INVESTMENT RESOURCES, LLC           Registered   8/28/1981
             CMS INVESTMENT RESOURCES, LLC
             308 E. LANCSTER AVENUE
             SUITE 300
             WYNNEWOOD             PA   19096-2145


CRD Number   Broker Dealer:                          Status:
7360         CNA INVESTOR SERVICES, INC.             Registered   8/6/1968
             CNA INVESTOR SERVICES, INC.
             333 S. WABASH, FL 42S


             CHICAGO               IL   60604


CRD Number   Broker Dealer:                          Status:
10356        CNL SECURITIES CORP.                    Registered   9/4/1985
             CNL SECURITIES CORP.
             P.O. BOX 4920


             ORLANDO               FL   32802-4920


CRD Number   Broker Dealer:                          Status:
23769        COASTAL EQUITIES, INC.                  Registered   7/6/2007
             COASTAL EQUITIES, INC.
             602 MAIN ST.
             SUITE 801
             CINCINNATI            OH   45202
CRD Number   Broker Dealer:                         Status:
27834        COASTAL SECURITIES, INC.               Registered   8/18/1994
             COASTAL SECURITIES, INC.
             5555 SAN FELIPE
             STE 2200
             HOUSTON             TX   77056


CRD Number   Broker Dealer:                         Status:
132078       COBRA TRADING, INC.                    Registered   3/19/2008
             COBRA TRADING, INC.
             825 MARKET STREET
             SUITE 240
             ALLEN               TX   75013


CRD Number   Broker Dealer:                         Status:
164          COBURN & MEREDITH INC.                 Registered   5/5/1988
             COBURN & MEREDITH INC.
             1 OLD MILL LANE


             SIMSBURY            CT   06070


CRD Number   Broker Dealer:                         Status:
103756       COGENT ALTERNATIVE STRATEGIES, INC.    Registered   10/18/2000
             COGENT ALTERNATIVE STRATEGIES, INC.
             626 RXR PLAZA


             UNIONDALE           NY   11556


CRD Number   Broker Dealer:                         Status:
144981       COHEN & COMPANY CAPITAL MARKETS, LLC   Registered   8/6/2008
             COHEN & COMPANY CAPITAL MARKETS, LLC
             1633 BROADWAY
             28TH FL
             NEW YORK            NY   10019


CRD Number   Broker Dealer:                         Status:
104002       COHEN & COMPANY SECURITIES, LLC        Registered   11/16/2000
             COHEN & COMPANY SECURITIES, LLC
             2929 ARCH STREET
             SUITE 1703
             PHILADELPHIA        PA   19104


CRD Number   Broker Dealer:                         Status:
29258        COHEN & STEERS SECURITIES, LLC         Registered   4/19/2001
             COHEN & STEERS SECURITIES, LLC
             280 PARK AVENUE
             10TH FLOOR
             NEW YORK            NY   10017
CRD Number   Broker Dealer:                                Status:
31147        COLE CAPITAL CORPORATION                      Registered   9/29/2003
             COLE CAPITAL CORPORATION
             2575 E. CAMELBACK ROAD
             STE 500
             PHOENIX            AZ    85016


CRD Number   Broker Dealer:                                Status:
145276       COLLECTIVE FINANCIAL SERVICES, LLC            Registered   7/30/2009
             COLLECTIVE FINANCIAL SERVICES, LLC
             58 BOSTON STREET


             GUILFORD           CT    06437


CRD Number   Broker Dealer:                                Status:
144049       COLLEGE ROCKET                                Registered   3/20/2008
             ONESHARE INVESTMENTS, LLC
             3450 3RD ST.
             #1D THIRD FLOOR
             SAN FRANCISCO      CA    94124


CRD Number   Broker Dealer:                                Status:
24790        COLLINS STEWART LLC                           Registered   8/31/1989
             COLLINS STEWART LLC
             350 MADISON AVE
             9TH FL
             NEW YORK           NY    10017


CRD Number   Broker Dealer:                                Status:
41534        COLONY PARK FINANCIAL SERVICES LLC.           Registered   10/24/2002
             COLONY PARK FINANCIAL SERVICES LLC.
             4350 GEORGETOWN SQUARE
             SUITE 757
             DUNWOODY           GA    30338


CRD Number   Broker Dealer:                                Status:
104343       COLORADO FINANCIAL SERVICE CORPORATION        Registered   2/13/2009
             COLORADO FINANCIAL SERVICE CORPORATION
             304 INVERNESS WAY SOUTH
             SUITE 355
             CENTENNIAL         CO    80112


CRD Number   Broker Dealer:                                Status:
840          COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS   Registered   1/1/1981
             COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS
             225 FRANKLIN STREET
             BX 29 20661
             BOSTON             MA    02110
CRD Number   Broker Dealer:                      Status:
17079        COMERICA SECURITIES                 Registered   6/28/1994
             COMERICA SECURITIES, INC.
             P.O. BOX 75000


             DETROIT           MI   48275-3137


CRD Number   Broker Dealer:                      Status:
17140        COMMERCE BROKERAGE SERVICES, INC.   Registered   10/6/2010
             COMMERCE BROKERAGE SERVICES, INC.
             P.O. BOX 16891


             ST. LOUIS         MO   63105-1491


CRD Number   Broker Dealer:                      Status:
100340       COMMERCE ONE FINANCIAL INC.         Registered   1/21/2000
             COMMERCE ONE FINANCIAL INC.
             515 RXR PLAZA


             UNIONDALE         NY   11556


CRD Number   Broker Dealer:                      Status:
26554        COMMERCE SQUARE TRADING, LLC        Registered   10/11/1994
             COMMERCE SQUARE TRADING, LLC
             6075 POPLAR AVE CRESCENT CTR
             STE 700
             MEMPHIS           TN   38119-0100


CRD Number   Broker Dealer:                      Status:
143797       COMMERCE STREET CAPITAL, LLC        Registered   10/15/2007
             COMMERCE STREET CAPITAL, LLC
             1445 ROSS AVE
             SUITE 2700
             DALLAS            TX   75202


CRD Number   Broker Dealer:                      Status:
41957        COMMERZ MARKETS LLC                 Registered   1/12/2001
             COMMERZ MARKETS LLC
             2 WORLD FINANCIAL CENTER


             NEW YORK          NY   10281


CRD Number   Broker Dealer:                      Status:
43541        COMMONFUND SECURITIES, INC.         Registered   6/29/1999
             COMMONFUND SECURITIES, INC.
             P.O. BOX 812


             WILTON            CT   06897-0812
CRD Number   Broker Dealer:                          Status:
154783       COMMONWEALTH ADVISORS, INC.             Registered   10/13/2011


             1017 MUMMA RD
             STE 302
             LEMOYNE            PA    17043


CRD Number   Broker Dealer:                          Status:
39979        COMMONWEALTH CAPITAL SECURITIES CORP.   Registered   7/1/1996
             COMMONWEALTH CAPITAL SECURITIES CORP.
             400 CLEVELAND ST
             7TH FL
             CLEARWATER         FL    33755-4041


CRD Number   Broker Dealer:                          Status:
11768        COMMONWEALTH CHURCH FINANCE, INC.       Registered   1/3/1989
             COMMONWEALTH CHURCH FINANCE, INC.
             P.O. BOX 1620


             STOCKBRIDGE        GA    30281


CRD Number   Broker Dealer:                          Status:
32505        COMMONWEALTH FINANCIAL GROUP, INC.      Registered   2/23/1996
             COMMONWEALTH FINANCIAL GROUP, INC.
             38 COHASSET LANE


             CHERRY HILL        NJ    08003


CRD Number   Broker Dealer:                          Status:
8032         COMMONWEALTH FINANCIAL NETWORK          Registered   1/9/1981
             COMMONWEALTH EQUITY SERVICES, INC.
             29 SAWYER ROAD


             WALTHAM            MA    02453-3483


CRD Number   Broker Dealer:                          Status:
126258       COMPASS POINT RESEARCH & TRADING, LLC   Registered   1/7/2008
             COMPASS POINT RESEARCH & TRADING, LLC
             3000 K ST., W.
             STE 340
             WASHINGTON         DC    20007


CRD Number   Broker Dealer:                          Status:
16168        COMPASS SECURITIES CORPORATION          Registered   8/5/1996
             COMPASS SECURITIES CORPORATION
             50 BRAINTREE HILL PARK
             SUITE 105
             BRAINTREE          MA    02184-8734
CRD Number   Broker Dealer:                                Status:
43814        COMPREHENSIVE ASSET MANAGEMENT AND SERVICIN   Registered   6/18/1998
             COMPREHENSIVE ASSET MANAGEMENT AND SERVICIN
             2001 RT 46
             STE 506
             PARSIPPANY         NJ    07054


CRD Number   Broker Dealer:                                Status:
153397       CONCEPT CAPITAL MARKETS, LLC                  Registered   12/16/2010
             CONCEPT CAPITAL MARKETS, LLC
             1010 FRANKLIN AVENUE
             SUITE 303
             GARDEN CITY        NJ    11530-5942


CRD Number   Broker Dealer:                                Status:
151604       CONCORDE INVESTMENT SERVICES, LLC             Registered   9/20/2010
             CONCORDE INVESTMENT SERVICES, LLC
             1120 E. LONG LAKE RD
             STE 100
             TROY               MI    48085


CRD Number   Broker Dealer:                                Status:
23857        CONIFER SECURITIES LLC                        Registered   2/1/1995
             CONIFER SECURITIES LLC
             ONE FERRY BLDG
             STE 255
             SAN FRANCISCO      CA    94111


CRD Number   Broker Dealer:                                Status:
134848       CONSTANS CRESCENT GLOBAL, LLC                 Registered   3/23/2009
             CONSTANS CRESCENT GLOBAL, LLC
             500 WEST PUTNAM AVENUE


             GREENWICH          CT    06830-6086


CRD Number   Broker Dealer:                                Status:
142502       CONSTELLATION WEALTH ADVISORS LLC             Registered   3/13/2007
             CONSTELLATION WEALTH ADVISORS LLC
             505 FIFTH AVE.
             19TH FL
             NEW YORK           NY    10017


CRD Number   Broker Dealer:                                Status:
103818       CONSULTIVA SECURITIES, INC.                   Registered   8/9/2006
             CONSULTIVA SECURITIES, INC.
             CITY VIEW PLAZA
             TOWER 1, STE 801
             GUAYNABO           PR    00968
CRD Number   Broker Dealer:                         Status:
35693        CONVERGEX EXECUTION SOLUTIONS LLC      Registered   10/24/1996
             CONVERGEX EXECUTION SOLUTIONS LLC
             1633 BROADWAY
             48TH FL
             NEW YORK             NY   10019


CRD Number   Broker Dealer:                         Status:
140185       CONVERGEX PRIME SERVICES LLC           Registered   6/28/2006
             CONVERGEX PRIME SERVICES LLC
             11175 CICERO DRIVE
             200 MILTON PARK, SUITE 575
             ALPHARETTA           GA   30022


CRD Number   Broker Dealer:                         Status:
308          COOMBE FINANCIAL SERVICES, INC.        Registered   5/4/2001
             COOMBE FINANCIAL SERVICES, INC.
             6872 ROUTE 209


             WAWARSING            NY   12489


CRD Number   Broker Dealer:                         Status:
14762        COORDINATED CAPITAL SECURITIES, INC.   Registered   5/20/1987
             COORDINATED CAPITAL SECURITIES, INC.
             704 RIVER PL COMMERCE CTR III


             MADISON              WI   53716


CRD Number   Broker Dealer:                         Status:
7165         CORBY CAPTIAL MARKETS, INC.            Registered   5/10/1983
             CORBY CAPITAL MARKETS, INC.
             10 HIGH STREET
             6TH FLOOR
             BOSTON               MA   02110


CRD Number   Broker Dealer:                         Status:
151044       CORE FINANCIAL, LLC                    Registered   6/30/2011
             CORE FINANCIAL, LLC
             1515 LAKE SHORE DRIVE


             COLUMBUS             OH   43204


CRD Number   Broker Dealer:                         Status:
155941       CORESTONE DISTRIBUTORS, LLC            Registered   8/15/2011
             CORESTONE DISTRIBUTORS, LLC
             555 E. LANCASTER AVE
             SUITE 110
             RADNOR               PA   19087
CRD Number   Broker Dealer:                          Status:
38912        CORINTHIAN PARTNERS, L.L.C.             Registered   5/7/1996
             CORINTHIAN PARTNERS, L.L.C.
             10 EAST 53RD ST.
             28TH FL
             NEW YORK            NY   10022


CRD Number   Broker Dealer:                          Status:
101000       CORMARK SECURITIES (USA) LIMITED        Registered   1/16/2008
             CORMARK SECURITIES (USA) LIMITED
             STE 2800
             ROYAL BANK PLZ SOUTH TWR
             TORONTO CANADA           M5J 2J2


CRD Number   Broker Dealer:                          Status:
111992       CORONADO INVESTMENTS, LLC               Registered   4/7/2005
             CORONADO INVESTMENTS, LLC
             PO BOX 5020
             PMB 1111
             RANCHO SANTA FE     CA   92067


CRD Number   Broker Dealer:                          Status:
38995        CORRELL CO. INVESTMENT SERVICES CORP.   Registered   8/8/1996
             CORRELL CO. INVESTMENT SERVICES CORP.
             9655 SOUTH 78TH AVENUE


             HICKORY HILLS       IL   60457-2211


CRD Number   Broker Dealer:                          Status:
108424       CORTVIEW CAPITAL SECURITIES LLC         Registered   9/14/2010
             CORTVIEW CAPITAL SECURITIES LLC
             1021 EAST CARY ST
             11TH FLOOR
             RICHMOND            VA   23219


CRD Number   Broker Dealer:                          Status:
185          COUGHLIN & CO., INC.                    Registered   1/12/1987
             COUGHLIN & CO., INC.
             140 E. 19TH AVE
             STE 700
             DENVER              CO   80203-0135


CRD Number   Broker Dealer:                          Status:
29807        COUNTRY CLUB FINANCIAL SERVICES, INC.   Registered   7/18/2006
             COUNTRY CLUB FINANCIAL SERVICES, INC.
             414 NICHOLS ROAD


             KANSAS CITY         MO   64112
CRD Number   Broker Dealer:                   Status:
150462       COVENTRY SECURITIES, LLC         Registered   3/3/2010
             COVENTRY SECURITIES, LLC
             7111 VALLEY GREEN ROAD


             FORT WASHINGTO      PA   19034


CRD Number   Broker Dealer:                   Status:
127437       COVINGTON ASSOCIATES, LLC        Registered   2/11/2009
             COVINGTON ASSOCIATES, LLC
             265 FRANKLIN ST.
             3RD FL
             BOSTON              MA   02110


CRD Number   Broker Dealer:                   Status:
7616         COWEN AND COMPANY, LLC           Registered   4/18/1991
             COWEN AND COMPANY, LLC
             599 LEXINGTON AVENUE
             20TH FL
             NEW YORK            NY   10022


CRD Number   Broker Dealer:                   Status:
15029        CP CAPITAL SECURITIES            Registered   6/28/2004
             CP CAPITAL SECURITIES, INC.
             1428 BRICKELL AVENUE
             SUITE 600
             MIAMI               FL   33131


CRD Number   Broker Dealer:                   Status:
154837       CPGLB CAPITAL LLC                Registered   7/18/2011
             CPGLB CAPITAL LLC
             ONE BOSTON PLACE
             201 WASHINGTON ST, STE 3825
             BOSTON              MA   02108


CRD Number   Broker Dealer:                   Status:
44575        CPI CAPITAL                      Registered   10/15/1998
             COMPREHENSIVE PROGRAMS, INC.
             513 CENTENNIAL BLVD


             VOORHEES            NJ   08043


CRD Number   Broker Dealer:                   Status:
141295       CPIM SECURITIES LLC              Registered   7/6/2007
             CPIM SECURITIES LLC
             100 MAIN STREET
             SUITE 430
             CONCORD             MA   01742
CRD Number   Broker Dealer:                                   Status:
41243        CPS FINANCIAL & INSURANCE SERVICES, INC.         Registered   3/19/2001
             CPS FINANCIAL & INSURANCE SERVICES, INC.
             18551 VON KARMAN AVE.
             STE 150
             IRVINE              CA   92612


CRD Number   Broker Dealer:                                   Status:
150113       CQ SOLUTIONS, LLC                                Registered   12/7/2009
             CQ SOLUTIONS, LLC
             400 KING STREET


             CHAPPAQUA           NY   10514


CRD Number   Broker Dealer:                                   Status:
121395       CRAIG-HALLUM CAPITAL GROUP LLC                   Registered   9/18/2002
             CRAIG-HALLUM CAPITAL GROUP LLC
             222 SOUTH NINTH STREET
             SUITE 350
             MINNEAPOLIS         MN   55402


CRD Number   Broker Dealer:                                   Status:
8010         CREDIT AGRICOLE CHEUVREUX NORTH AMERICA, INC.    Registered   10/13/1995
             CREDIT AGRICOLE CHEUVREUX NORTH AMERICA, INC.
             1301 AVE OF THE AMERICAS
             15TH FL
             NEW YORK            NY   10019


CRD Number   Broker Dealer:                                   Status:
190          CREDIT AGRICOLE SECURITIES (USA) INC.            Registered   1/20/1989
             CREDIT AGRICOLE SECURITIES (USA) INC.
             1301 AVE OF THE AMERICAS
             15TH FLOOR
             NEW YORK            NY   10019


CRD Number   Broker Dealer:                                   Status:
15654        CREDIT SUISSE ASSET MANAGEMENT SECURITIES, INC   Registered   2/21/1985
             CREDIT SUISSE ASSET MANAGEMENT SECURITIES, INC
             1 MADISON AVENUE


             NEW YORK            NY   10010-3629


CRD Number   Broker Dealer:                                   Status:
112892       CREDIT SUISSE PRIVATE ADVISORS AG                Registered   3/7/2002
             CREDIT SUISSE PRIVATE ADVISORS AG
             TESSINERPLATZ 7


             ZURICH SWITZERL          8070
CRD Number   Broker Dealer:                       Status:
816          CREDIT SUISSE SECURITIES (USA) LLC   Registered   7/14/1932
             CREDIT SUISSE SECURITIES (USA) LLC
             1 MADISON AVE.
             9TH FL
             NEW YORK           NY   10010


CRD Number   Broker Dealer:                       Status:
123635       CREDITEX SECURITIES CORPORATION      Registered   8/7/2009
             CREDITEX SECURITIES CORPORATION
             875 THIRD AVENUE
             29TH FL
             NEW YORK           NY   10022


CRD Number   Broker Dealer:                       Status:
25899        CRESAP, INC.                         Registered   3/26/1990
             CRESAP, INC.
             259 RADNOR-CHESTER ROAD
             SUITE 230
             RADNOR             PA   19087


CRD Number   Broker Dealer:                       Status:
114993       CRESCENT SECURITIES GROUP, INC.      Registered   1/20/2004
             CRESCENT SECURITIES GROUP, INC.
             8750 N. CENTRAL EXPRESSWAY
             SUITE 750
             DALLAS             TX   75231


CRD Number   Broker Dealer:                       Status:
8052         CREWS & ASSOCIATES, INC.             Registered   6/3/1988
             CREWS & ASSOCIATES, INC.
             P.O. BOX 1696


             LITTLE ROCK        AR   72203-1696


CRD Number   Broker Dealer:                       Status:
46680        CROFT & BENDER, LLC                  Registered   7/19/1999
             CROFT & BENDER, LLC
             4200 NORTHSIDE PKWY
             BLDG 1, STE 100
             ATLANTA            GA   30327


CRD Number   Broker Dealer:                       Status:
136223       CROSS POINT CAPITAL LLC              Registered   4/14/2011
             CROSS POINT CAPITAL LLC
             PO BOX 89


             KINGSTON           NJ   08528-0089
CRD Number   Broker Dealer:                         Status:
193          CROWELL, WEEDON & CO.                  Registered   6/8/1995
             CROWELL, WEEDON & CO.
             P.O. BOX 54843
             624 S. GRAND AVE., STE 2510
             LOS ANGELES          CA   90054-0843


CRD Number   Broker Dealer:                         Status:
6312         CROWN CAPITAL SECURITIES, L.P.         Registered   4/30/1999
             CROWN CAPITAL SECURITIES, L.P.
             725 TOWN & COUNTRY RD
             STE 530
             ORANGE               CA   92868


CRD Number   Broker Dealer:                         Status:
28830        CRT CAPITAL GROUP LLC                  Registered   10/1/1998
             CRT CAPITAL GROUP LLC
             262 HARBOR DRIVE


             STAMFORD             CT   06902


CRD Number   Broker Dealer:                         Status:
133542       CRUCIBLE CAPITAL GROUP, INC.           Registered   9/23/2011
             CRUCIBLE CAPITAL GROUP, INC.
             27 WHITEHALL STREET
             5TH FLOOR
             NEW YORK             NY   10004


CRD Number   Broker Dealer:                         Status:
136941       CSP SECURITIES, LP                     Registered   4/10/2008
             CSP SECURITIES, LP
             13355 NOEL ROAD
             SUITE 1050
             DALLAS               TX   75240


CRD Number   Broker Dealer:                         Status:
141630       CSSC BROKERAGE SERVICES, INC.          Registered   1/30/2007
             CSSC BROKERAGE SERVICES, INC.
             755 WEST BIG BEAVER ROAD
             STE 2000
             TROY                 MI   48084


CRD Number   Broker Dealer:                         Status:
147369       CTL SECURITIES LLC                     Registered   10/29/2008
             CTL SECURITIES LLC
             500 FIFTH AVE
             SUITE 4830
             NEW YORK             NY   10110
CRD Number   Broker Dealer:                         Status:
43753        CU INVESTMENT SOLUTIONS LLC            Registered   4/15/2003
             CU INVESTMENT SOLUTIONS LLC
             8500 W. 110TH STREET
             SUITE 650
             OVERLAND PARK       KS   66210


CRD Number   Broker Dealer:                         Status:
132503       CUE CAPITAL LIMITED PARTNERSHIP        Registered   2/1/2005
             CUE CAPITAL LIMITED PARTNERSHIP
             800 FIFTH AVENUE
             18TH FL
             NEW YORK            NY   10065


CRD Number   Broker Dealer:                         Status:
13941        CUNA BROKERAGE SERVICES, INC.          Registered   7/16/1984
             CUNA BROKERAGE SERVICES, INC.
             2000 HERITAGE WAY


             WAVERLY             IA   50677


CRD Number   Broker Dealer:                         Status:
132938       CURIAN CLEARING, LLC                   Registered   3/23/2005
             CURIAN CLEARING, LLC
             7601 TECHNOLOGY WAY
             5TH FL
             DENVER              CO   80237


CRD Number   Broker Dealer:                         Status:
132263       CURRAN ADVISORY SERVICES               Registered   11/5/2004
             CURRAN ADVISORY SERVICES
             30 SOUTH PEARL STREET
             9TH FLOOR
             ALBANY              NY   12207


CRD Number   Broker Dealer:                         Status:
104153       CURTIS SECURITIES, LLC                 Registered   12/22/2000
             CURTIS SECURITIES, LLC
             1LIBERTY PLACE, 1650 MARKET ST
             SUITE 4400
             PHILADELPHIA        PA   19103


CRD Number   Broker Dealer:                         Status:
123717       CUSHMAN & WAKEFIELD SECURITIES, INC.   Registered   4/25/2008
             CUSHMAN & WAKEFIELD SECURITIES, INC.
             1290 AVENUE OF THE AMERICAS
             7TH FLOOR
             NEW YORK            NY   10104
CRD Number   Broker Dealer:                          Status:
42132        CUSO FINANCIAL SERVICES, L.P.           Registered   9/24/1998
             CUSO FINANCIAL SERVICES, L.P.
             PO BOX 85744


             SAN DIEGO             CA   92186


CRD Number   Broker Dealer:                          Status:
22449        CUTTER & COMPANY, INC.                  Registered   8/8/1995
             CUTTER & COMPANY BROKERAGE, INC.
             15415 CLAYTON ROAD


             BALLWIN               MO   63011


CRD Number   Broker Dealer:                          Status:
37214        CUTWATER ASSET MANAGEMENT               Registered   9/24/1996
             CUTWATER ASSET MANAGEMENT CORP.
             113 KING STREET


             ARMONK                NY   10504-1610


CRD Number   Broker Dealer:                          Status:
462          CV BROKERAGE, INC                       Registered   6/11/2010
             CV BROKERAGE, INC
             300 CONSHOHOCKEN STATE RD
             SUITE 200
             WEST CONSHOHO         PA   19428


CRD Number   Broker Dealer:                          Status:
143167       CYPRESS ALTS                            Registered   8/27/2007
             CYPRESS ALTS, LLC
             3924 BROOKFIELD AVENUE


             LOUISVILLE            KY   40207


CRD Number   Broker Dealer:                          Status:
42618        CYPRESS CAPITAL CORPORATION             Registered   6/16/2004
             CYPRESS CAPITAL CORPORATION
             188 THE EMBARCADERO, STE 420
             BAYSIDE PLAZA
             SAN FRANCISCO         CA   94105


CRD Number   Broker Dealer:                          Status:
199          D.A. DAVIDSON & CO.                     Registered   8/16/1991
             D.A. DAVIDSON & CO.
             P.O. BOX 5015


             GREAT FALLS           MT   59403-5015
CRD Number   Broker Dealer:                              Status:
24332        D.E. SHAW SECURITIES, L.L.C.                Registered   10/26/1994
             D.E. SHAW SECURITIES, L.L.C.
             1166 AVE OF THE AMERICAS
             9TH FL
             NEW YORK             NY     10036


CRD Number   Broker Dealer:                              Status:
41528        D.H. HILL SECURITIES, LLLP                  Registered   9/24/2004
             D.H. HILL SECURITES, LLLP
             7821 FM 1960 E.
             SUITE B
             HUMBLE               TX     77346


CRD Number   Broker Dealer:                              Status:
38770        D.M. KELLY & COMPANY                        Registered   6/28/1999
             D.M. KELLY & COMPANY
             3900 INGERSOLL AVE
             STE 300
             DES MOINES           IA     50312


CRD Number   Broker Dealer:                              Status:
23510        DAHLMAN ROSE & COMPANY, LLC                 Registered   8/25/1999
             DAHLMAN ROSE & COMPANY, LLC
             1301 6TH AVENUE
             44TH FL
             NEW YORK             NY     10019


CRD Number   Broker Dealer:                              Status:
1576         DAIWA CAPITAL MARKETS AMERICA INC.          Registered   11/13/1986
             DAIWA CAPITAL MARKETS AMERICA INC.
             FINANCIAL SQ, 32 OLD SLIP


             NEW YORK             NY     10005-3538


CRD Number   Broker Dealer:                              Status:
23485        DALTON STRATEGIC INVESTMENT SERVICES INC.   Registered   4/14/2004
             DALTON STRATEGIC INVESTMENT SERVICES INC.
             26 N. WASHINGTON STREET


             KNIGHSTOWN           IN     46148


CRD Number   Broker Dealer:                              Status:
113404       DANSKE MARKETS INC                          Registered   5/19/2010
             DANSKE MARKETS INC
             280 PARK AVENUE
             35TH FL
             NEW YORK             NY     10017
CRD Number   Broker Dealer:                              Status:
29421        DAUTRICH, SEILER FINANCIAL SERVICES, INC.   Registered   4/7/1992
             DAUTRICH, SEILER FINANCIAL SERVICES, INC.
             397 DOGWOOD LANE


             NAZARETH            PA     18064


CRD Number   Broker Dealer:                              Status:
1588         DAVENPORT & COMPANY LLC                     Registered   12/6/1989
             DAVENPORT & COMPANY LLC
             P.O. BOX 85678


             RICHMOND            VA     23285-5678


CRD Number   Broker Dealer:                              Status:
205          DAVID A. NOYES & COMPANY                    Registered   3/11/1985
             DAVID A. NOYES & COMPANY
             209 SOUTH LA SALLE ST
             12TH FL
             CHICAGO             IL     60604-1203


CRD Number   Broker Dealer:                              Status:
45670        DAVID HARRIS & CO., INC.                    Registered   5/12/2000
             DAVID HARRIS & CO., INC.
             P.O. BOX 668


             WHITE PLAINS        NY     10602


CRD Number   Broker Dealer:                              Status:
5397         DAVID LERNER ASSOCIATES, INC.               Registered   5/20/1983
             DAVID LERNER ASSOCIATES, INC.
             477 JERICHO TURNPIKE
             PO BOX 9006
             SYOSSET             NY     11791-9006


CRD Number   Broker Dealer:                              Status:
7975         DAVIS DISTRIBUTORS, LLC                     Registered   10/8/1993
             DAVID DISTRBUTORS, LLC
             2949 E ELVIRA RD
             STE 101
             TUCSON              AZ     85706


CRD Number   Broker Dealer:                              Status:
138829       DAVIS SECURITIES LLC                        Registered   3/19/2010
             DAVIS SECURITIES LLC
             475 PARK AVENUE SOUTH
             29TH FL
             NEW YORK            NY     10016
CRD Number   Broker Dealer:                        Status:
8521         DAVIS, MENDEL & REGENSTEIN, INC.      Registered   1/5/2010
             DAVIS, MENDEL & REGENSTEIN, INC.
             2100 RIVEREDGE PARKWAY
             SUITE 750
             ATLANTA             GA   30328-4666


CRD Number   Broker Dealer:                        Status:
130645       DAWSON JAMES SECURITIES, INC.         Registered   9/24/2004
             DAWSON JAMES SECURITIES, INC.
             925 S FEDERAL HIGHWAY
             STE 600
             BOCA RATON          FL   33432


CRD Number   Broker Dealer:                        Status:
120187       DBA THE DELTA COMPANY                 Registered   8/29/2002
             THE SONTERRA GROUP, INC.
             901 NE LOOP 410, SUITE 711


             SAN ANTONIO         TX   78209


CRD Number   Broker Dealer:                        Status:
144158       DCM BROKERS, LLC                      Registered   1/14/2008
             DCM BROKERS, LLC
             626 W. JACKSON, SUITE 600


             CHICAGO             IL   60661


CRD Number   Broker Dealer:                        Status:
135981       DE ROUTE                              Registered   1/25/2006
             DIRECT EDGE ECN LLC
             545 WASHINGTON BOULEVARD


             JERSEY CITY         NJ   07310


CRD Number   Broker Dealer:                        Status:
142285       DELANEY EQUITY GROUP LLC              Registered   7/25/2007
             DELANEY EQUITY GROUP LLC
             1665 PALM BEACH LAKES BLVD.
             SUITE 805
             WEST PALM BEACH     FL   33401


CRD Number   Broker Dealer:                        Status:
14232        DELAWARE DISTRIBUTORS, L.P.           Registered   6/23/1983
             DELAWARE DISTRIBUTORS, L.P.
             2005 MARKET STREET, 29TH FL


             PHILADELPHIA        PA   19103-3682
CRD Number   Broker Dealer:                       Status:
111747       DELOITTE CORPORATE FINANCE LLC       Registered   8/29/2001
             DELOITTE CORPORATE FINANCE LLC
             200 RENAISSANCE CENTER
             SUITE 3900
             DETROIT            MI   48243-1900


CRD Number   Broker Dealer:                       Status:
141368       DELPHX SERVICES CORPORATION          Registered   1/8/2007
             DELPHX SERVICES CORPORATION
             5 GREAT VALLEY PARKWAY


             MALVERN            PA   19355


CRD Number   Broker Dealer:                       Status:
15650        DELTA EQUITY SERVICES CORPORATION    Registered   6/23/1994
             DELTA EQUITY SERVICES CORPORATION
             579 MAIN ST


             BOLTON             MA   01740


CRD Number   Broker Dealer:                       Status:
47439        DELTA TRUST INVESTMENTS, INC.        Registered   2/26/2002
             DELTA TRUST INVESTMENTS, INC.
             P.O. BOX 17607


             LITTLE ROCK        AR   72222


CRD Number   Broker Dealer:                       Status:
43741        DEMATTEO MONNESS LLC                 Registered   11/26/1997
             DELMATEO MONNESS LLC
             780 THIRD AVENUE
             45TH FL
             NEW YORK           NY   10017


CRD Number   Broker Dealer:                       Status:
38330        DEMPSEY FINANCIAL NETWORK, INC.      Registered   9/25/1995
             DEMPSEY FINANCIAL NETWORK, INC.
             2951 PIEDMONT RD NE
             STE 200
             ATLANTA            GA   30305-2786


CRD Number   Broker Dealer:                       Status:
115971       DENNING & COMPANY LLC                Registered   5/2/2002
             DENNING & COMPANY LLC
             ONE CALIFORNIA STREET
             STE 2800
             SAN FRANCISCO      CA   94111
CRD Number   Broker Dealer:                             Status:
112417       DESJARDINS SECURITIES INTERNATIONAL INC.   Registered   10/21/2004
             DESJARDINS SECURITIES INTERNATIONAL INC.
             1170 PEEL STREET, STE 300


             MONTREAL QUEBE           H3B 0A9


CRD Number   Broker Dealer:                             Status:
107942       DESTINY CAPITAL SECURITIES CORPORATION     Registered   4/25/2001
             DESTINY CAPITAL SECURITIES CORPORATION
             14142 DENVER WEST PARKWAY
             SUITE 290
             GOLDEN              CO   80401-3127


CRD Number   Broker Dealer:                             Status:
148299       DESTRA CAPITAL INVESTMENTS LLC             Registered   4/6/2011
             DESTRA CAPITAL INVESTMENTS LLC
             901 WARRENSVILLE ROAD
             SUITE 15
             LISLE               IL   60532


CRD Number   Broker Dealer:                             Status:
1794         DETWILER FENTON & CO.                      Registered   7/8/1987
             DETWILER FENTON & CO.
             100 HIGHT ST, 28TH FL


             BOSTON              MA   02110


CRD Number   Broker Dealer:                             Status:
2525         DEUTSCHE BANK SECURITIES INC.              Registered   4/5/1960
             DEUTSCHE BANK SECURITIES INC.
             60 WALL STREET
             NYC60-3710
             NEW YORK            NY   10005


CRD Number   Broker Dealer:                             Status:
11148        DEVELOPMENT CORPORATION FOR ISRAEL         Registered   2/28/1977
             DEVELOPMENT CORPORATION FOR ISRAEL
             575 LEXINGTON AVENUE


             NEW YORK            NY   10022


CRD Number   Broker Dealer:                             Status:
30767        DEWAAY FINANCIAL NETWORK, LLC              Registered   10/11/2006
             DEWAAY FINANCIAL NETWORK, LLC
             13001 UNIVERSITY AVENUE


             CLIVE               IA   50325
CRD Number   Broker Dealer:                         Status:
145824       DEXIA SECURITIES USA LLC               Registered   7/21/2008
             DEXIA SECURITIES USA LLC
             445 PARK AVE.
             7TH FL
             NEW YORK             NY   10022


CRD Number   Broker Dealer:                         Status:
10292        DFA SECURITIES LLC                     Registered   8/18/1988
             DFA SECURITIES LLC
             6300 BEE CAVE ROAD


             AUSTIN               TX   78746


CRD Number   Broker Dealer:                         Status:
128095       DH FREDERICK SECURITIES, INC.          Registered   3/8/2004
             DH FREDERICK SECURITIES, INC.
             5000 BIRCH STREET, WEST TWR
             SUITE 3000
             NEWPORT BEACH        CA   92660


CRD Number   Broker Dealer:                         Status:
7047         DIAMANT INVESTMENT CORPORATION         Registered   3/26/1999
             DIAMANT INVESTMENT CORPORATION
             170 MASON STREET


             GREENWICH            CT   06830-6642


CRD Number   Broker Dealer:                         Status:
139543       DIMENSION SECURITIES, LLC              Registered   7/19/2006
             DIMENSION SECURITIES, LLC
             100 FIFTH AVENUE
             7TH FL
             NEW YORK             NY   10011


CRD Number   Broker Dealer:                         Status:
104446       DINOSAUR SECURITIES, L.L.C.            Registered   1/22/2010
             DINOSAUR SECURITIES, L.L.C.
             470 PARK AVE SOUTH
             9TH FLOOR
             NEW YORK             NY   10016


CRD Number   Broker Dealer:                         Status:
21675        DIRECTED SERVICES, LLC                 Registered   4/5/2000
             DIRECTED SERVICES, LLC
             1475 DUNWOODY DRIVE


             WEST CHESTER         PA   19380
CRD Number   Broker Dealer:                           Status:
10504        DISALLE SECURITIES & MORTGAGE CO.        Registered   2/17/1984
             DISALLE SECURITIES & MORTGAGE CO.
             1909 RIVER RD.


             MAUMEE              OH   43537


CRD Number   Broker Dealer:                           Status:
151915       DITTO TRADE, INC.                        Registered   1/25/2011
             DITTO TRADE, INC.
             200 W. MONROE
             #1675
             CHICAGO             IL   60606


CRD Number   Broker Dealer:                           Status:
32205        DIVERSIFIED INVESTORS SECURITIES CORP.   Registered   10/8/1993
             DIVERSIFIED INVESTORS SECURITIES CORP.
             440 MAMARONECK AVE


             HARRISON            NY   10528


CRD Number   Broker Dealer:                           Status:
119546       DIVIDEND CAPITAL SECURITIES, LLC         Registered   6/27/2002
             DIVIDEND CAPITAL SECURITIES, LLC
             518 17TH STREET
             12TH FLOOR
             DENVER              CO   80202


CRD Number   Broker Dealer:                           Status:
118212       DIVINE CAPITAL MARKETS LLC               Registered   8/15/2002
             DIVINE CAPITAL MARKETS LLC
             39 BROADWAY, 36TH FL.


             NEW YORK            NY   10006


CRD Number   Broker Dealer:                           Status:
15480        DMG SECURITIES, INC.                     Registered   11/23/1993
             DMG SECURITIES, INC.
             737 WALKER RD, STE 3
             GREAT FALLS PROF CTR
             GREAT FALLS         VA   22066


CRD Number   Broker Dealer:                           Status:
127605       DNB NOR MARKETS, INC.                    Registered   2/3/2010
             DNB MARKETS, INC.
             200 PARK AVE


             NEW YORK            NY   10166-0396
CRD Number   Broker Dealer:                         Status:
6732         DOMESTIC FINANCIAL SERVICES, INC.      Registered   5/22/1998
             DOMESTIC FINANCIAL SERVICES, INC.
             5220 HOLLYWOOD AVE.


             SHREVEPORT          LA    71109-7717


CRD Number   Broker Dealer:                         Status:
7344         DOMINICK & DOMINICK LLC                Registered   1/7/1985
             DOMINICK & DOMINICK LLC
             150 E 52ND ST, 3RD FL


             NEW YORK            NY    10022


CRD Number   Broker Dealer:                         Status:
21548        DOMINION INVESTOR SERVICES, INC.       Registered   5/9/1995
             DOMINION INVESTOR SERVICES, INC.
             1100 NW LOOP 410, STE 800


             SAN ANTONIO         TX    78213


CRD Number   Broker Dealer:                         Status:
104448       DONNELLY PENMAN & PARTNERS             Registered   10/26/2011
             DONNELLY PENMAN & PARTNERS INC.
             17160 KERCHEVAL AVENUE


             GROSSE POINTE       MI    48230


CRD Number   Broker Dealer:                         Status:
1668         DORSEY & COMPANY, INC.                 Registered   8/18/1994
             DORSEY & COMPANY, INC.
             511 GRAVIER STREET


             NEW ORLEANS         LA    70130-2701


CRD Number   Broker Dealer:                         Status:
7477         DOUGHERTY & COMPANY LLC                Registered   5/20/1987
             DOUGHERTY & COMPANY LLC
             90 S SEVENTH ST
             STE 4300
             MINNEAPOLIS         MN    55402-4108


CRD Number   Broker Dealer:                         Status:
119302       DOUGLAS FINANCIAL LLC                  Registered   2/19/2010
             DOUGLAS FINANCIAL LLC
             515 MADISON AVE.
             24TH FL
             NEW YORK            NY    10022
CRD Number   Broker Dealer:                           Status:
39032        DOUGLAS SCOTT SECURITIES, INC.           Registered   7/14/1997
             DOUGLAS SCOTT SECURITIES, INC.
             101 W RENNER RD, STE 480


             RICHARDSON             TX   75082


CRD Number   Broker Dealer:                           Status:
24746        DOWLING & PARTNERS SECURITIES LLC        Registered   12/16/2010
             DOWLING & PARTNERS SECURITIES LLC
             190 FARMINGTON AVENUE


             FARMINGTON             CT   06032


CRD Number   Broker Dealer:                           Status:
8686         DOWNSTATE SECURITIES GROUP, INC.         Registered   8/31/2001
             DOWNSTATE SECURITIES GROUP, INC.
             259 INDIAN ROCKS RD N


             BELLEAIR BLUFFS        FL   33770-1729


CRD Number   Broker Dealer:                           Status:
103737       DPEC CAPITAL, INC.                       Registered   8/27/2001
             DPEC CAPITAL, INC.
             135 5TH AVE, 10TH FL


             NEW YORK               NY   10010


CRD Number   Broker Dealer:                           Status:
143570       DREXEL HAMILTON, LLC                     Registered   10/31/2007
             DREXEL HAMILTON, LLC
             2000 MARKET STREET
             SUITE 780
             PHILADELPHIA           PA   19103


CRD Number   Broker Dealer:                           Status:
8197         DRIEHAUS SECURITIES LLC                  Registered   8/1/1996
             DRIEHAUS SECURITIES LLC
             25 EAST ERIE STREET


             CHICAGO                IL   60611-2703


CRD Number   Broker Dealer:                           Status:
33104        DRU STOCK, INC.                          Registered   3/6/2009
             DRU STOCK, INC.
             57 FOX LEDGE ROAD


             KINNELON               NJ   07405
CRD Number   Broker Dealer:                                 Status:
30149        DSIL INVESTMENT SERVICES LLC                   Registered   1/13/1999
             DSIL INVESTMENT SERVICES LLC
             532 BROADWAY, 9TH FL


             NEW YORK              NY   10012-3939


CRD Number   Broker Dealer:                                 Status:
131662       DT SECURITIES, LTD.                            Registered   2/11/2005
             DT SECURITIES, LTD.
             11132 VENTURA BLVD
             SUITE 415
             STUDIO CITY           CA   91604


CRD Number   Broker Dealer:                                 Status:
24750        DU PASQUIER & CO., INC.                        Registered   5/4/2001
             DU PASQUIER & CO., INC.
             ONE BATTERY PARK PLAZA


             NEW YORK              NY   10004


CRD Number   Broker Dealer:                                 Status:
36927        DUFF & PHELPS SECURITIES LLC                   Registered   3/28/1997
             DUFF & PHELPS SECURITIES LLC
             311 S. WACKER DRIVE
             SUITE 4200
             CHICAGO               IL   60606


CRD Number   Broker Dealer:                                 Status:
6950         DUNCAN-WILLIAMS, INC.                          Registered   10/10/1996
             DUNCAN-WILLIAMS, INC.
             6750 POPLAR AVENUE - STE 300


             MEMPHIS (SHELBY)      TN   38138-7424


CRD Number   Broker Dealer:                                 Status:
39759        DUNDEE SECURITIES INC.                         Registered   11/9/2006
             DUNDEE SECURITIES INC.
             1 ADELAIDE STREET EAST
             SUITE 2000
             TORONTO CANADA             M5C 2V9


CRD Number   Broker Dealer:                                 Status:
13162        DUNHAM AND ASSOCIATES INVESTMENT COUNSEL, IN   Registered   5/16/1996
             DUNHAM AND ASSOCIATES INVESTMENT COUNSEL, IN
             P.O. BOX 910309


             SAN DIEGO             CA   92191
CRD Number   Broker Dealer:                               Status:
150616       DUNIYA TRADE, INC.                           Registered   6/17/2011
             DUNIYA TRADE, INC.
             2131 PALOMAR AIRPORT ROAD
             SUITE 200
             CARLSBAD             CA   92011


CRD Number   Broker Dealer:                               Status:
144899       DUPONT CAPITAL MANAGEMENT MARKETING CORPOR   Registered   1/25/2008
             DUPONT CAPITAL MANAGEMENT MARKETING CORPOR
             DELAWARE CORP CTR
             1 RIGHTER PKWY , STE 3200
             WILMINGTON           DE   19803-1534


CRD Number   Broker Dealer:                               Status:
137513       DWM FINANCE LLC                              Registered   7/15/2008
             DWM FINANCE LLC
             750 WASHINGTON BLVD.
             5TH FL
             STAMFORD             CT   06901


CRD Number   Broker Dealer:                               Status:
37306        DWS INVESTMENTS DISTRIBUTORS, INC            Registered   1/4/1995
             DWS INVESTMENTS DISTRIBUTORS, INC
             60 WALL ST
             23RD FL
             NEW YORK             NY   10005


CRD Number   Broker Dealer:                               Status:
127434       DYNAMEX TRADING, LLC                         Registered   7/1/2009
             DYNAMEX TRADING, LLC
             2 RECTOR STREET
             SUITE 1103
             NEW YORK             NY   10006


CRD Number   Broker Dealer:                               Status:
122806       DYNASTY CAPITAL PARTNERS, INC.               Registered   1/14/2008
             DYNASTY CAPITAL PARTNERS, INC.
             5445 DTC PARKWAY
             SUITE 940
             GREENWOOD VILL       CO   80111


CRD Number   Broker Dealer:                               Status:
111528       E*TRADE CAPITAL MARKETS LLC                  Registered   2/24/2005
             E*TRADE CAPITAL MARKETS LLC
             440 S. LASALLE ST.
             SUITE 3030
             CHICAGO              IL   60605-1028
CRD Number   Broker Dealer:                         Status:
25025        E*TRADE CLEARING LLC                   Registered   5/4/2001
             E*TRADE CLEARING LLC
             1271 AVENUE OF THE AMERICAS
             14TH FLOOR
             NEW YORK             NY   10020


CRD Number   Broker Dealer:                         Status:
29106        E*TRADE SECURITIES LLC                 Registered   3/2/1992
             E*TRADE SECURITIES LLC
             1271 AVENUE OF THE AMERICAS
             14TH FL
             NEW YORK             NY   10020


CRD Number   Broker Dealer:                         Status:
3063         E. E. POWELL & COMPANY INC.            Registered   4/10/1930
             E. E. POWELL & COMPANY INC.
             200 NORTHPOINTE CIR, STE 304


             SEVEN FIELDS         PA   16046


CRD Number   Broker Dealer:                         Status:
25334        E.J. DE LA ROSA & CO., INC.            Registered   6/9/2008
             E.J. DE LA ROSA & CO., INC.
             10866 WILSHIRE BLVD.
             PENTHOUSE STE 1650
             LOS ANGELES          CA   90024


CRD Number   Broker Dealer:                         Status:
104316       E.S. FINANCIAL SERVICES, INC.          Registered   9/23/2010
             E.S. FINANCIAL SERVICES, INC.
             1395 BRICKELL AVE
             4TH FL
             MIAMI                FL   33131


CRD Number   Broker Dealer:                         Status:
46872        E1 ASSET MANAGEMENT, INC.              Registered   8/26/2002
             E1 ASSET MANAGEMENT, INC.
             44 WALL STREET, 9TH FLOOR


             NEW YORK             NY   10005


CRD Number   Broker Dealer:                         Status:
10569        EAGLE EQUITIES, INC.                   Registered   10/30/1990
             EAGLE EQUITIES, INC.
             400 CRAIN HIGHWAY SW


             GLEN BURNIE          MD   21061-3645
CRD Number   Broker Dealer:                        Status:
139749       EAGLE FUND DISTRIBUTORS, INC.         Registered   2/13/2007
             EAGLE FUND DISTRIBUTORS, INC.
             880 CARILLON PARKWAY


             ST. PETERSBURG     FL    33716


CRD Number   Broker Dealer:                        Status:
45254        EAGLE ONE INVESTMENTS, LLC            Registered   12/7/2004
             EAGLE ONE INVESTMENTS, LLC
             P.O. BOX 886


             WASHINGTON         IA    52353-0886


CRD Number   Broker Dealer:                        Status:
28629        EARLYBIRDCAPITAL, INC.                Registered   10/8/1993
             EARLYBIRDCAPITAL, INC.
             ONE HUNTINGTON QUADRANGLE
             SUITE 4C18
             MELVILLE           NY    11747


CRD Number   Broker Dealer:                        Status:
28999        EAST SHORE PARTNERS, INC.             Registered   5/27/1992
             EAST SHORE PARTNERS, INC.
             150 MOTOR PARKWAY, STE 202


             HAUPPAUGE          NY    11788


CRD Number   Broker Dealer:                        Status:
31170        EATON PARTNERS, LLC                   Registered   11/24/2004
             EATON PARNTERS, LLC
             131 ROWAYTON AVE


             ROWAYTON           CT    06853


CRD Number   Broker Dealer:                        Status:
37731        EATON VANCE DISTRIBUTORS, INC.        Registered   7/18/1995
             EATON VANCE DISTRIBUTORS, INC.
             TWO INTERNATIONAL PLACE


             BOSTON             MA    02110


CRD Number   Broker Dealer:                        Status:
42239        ECHOTRADE LLC                         Registered   10/21/2004
             ECHOTRADE LLC
             2525 E. CAMELBACK RD
             STE 1040
             PHOENIX            AZ    85016
CRD Number   Broker Dealer:                          Status:
118356       ECM SECURITIES CORP.                    Registered   5/23/2002
             ECM SECURITIES CORP.
             4740 PEACH STREET


             ERIE                  PA   16509-2008


CRD Number   Broker Dealer:                          Status:
144134       EDGE CORPORATE FINANCE, LLC             Registered   6/17/2009
             EDGE CORPORATE FINANCE, LLC
             1380 W. PACES FERRY RD.
             SUITE 1000
             ATLANTA               GA   30327


CRD Number   Broker Dealer:                          Status:
143695       EDGEPOINT CAPITAL ADVISORS LLC          Registered   11/12/2009
             EDGEPOINT CAPITAL ADVISORS LLC
             3700 PARK EAST DRIVE
             SUITE 160
             BEACHWOOD             OH   44122


CRD Number   Broker Dealer:                          Status:
35970        EDGEWOOD SERVICES, INC.                 Registered   3/14/1995
             EDGEWOOD SERVICES, INC.
             FED INVESTORS TWR
             1001 LIBERTY AVE
             PITTSBURGH            PA   15222-3779


CRD Number   Broker Dealer:                          Status:
15699        EDI FINANCIAL, INC.                     Registered   2/27/1998
             EDI FINANICAL, INC.
             12221 MERIT DRIVE
             SUITE 1020
             DALLAS                TX   75251-2207


CRD Number   Broker Dealer:                          Status:
250          EDWARD JONES                            Registered   2/21/1990
             EDWARD D. JONES & CO., L.P.
             12555 MANCHESTER ROAD


             ST LOUIS              MO   63131-3729


CRD Number   Broker Dealer:                          Status:
147257       EFC FINANCIAL SERVICES, LLC             Registered   1/20/2011
             EFC FINANCIAL SERVICES, LLC
             50 MILLSTONE ROAD
             BLDG 400 STE 300
             EAST WINDSOR          NJ   08520
CRD Number   Broker Dealer:                       Status:
130790       EHRENBERG CHESLER SECURITIES, INC.   Registered   1/19/2005
             EHRENBERG CHESLER SECURITIES, INC.
             223 JUSTIN ROAD


             MURPHY             TX    75094


CRD Number   Broker Dealer:                       Status:
40065        EIM SECURITIES (USA) INC.            Registered   7/1/1998
             EIM SECURITIES (USA) INC.
             750 LEXINGTON AVENUE
             27TH FL
             NEW YORK           NY    10022


CRD Number   Broker Dealer:                       Status:
16569        EJ STERLING INC                      Registered   12/6/2011
             EJ STERLING INC
             39 BROADWAY
             1910
             NEW YORK           NY    10006


CRD Number   Broker Dealer:                       Status:
121003       EK RILEY INVESTMENTS, LLC            Registered   7/23/2004
             EK RILEY INVESTMENTS, LLC
             1420 5TH AVE
             SUITE 3300
             SEATTLE            WA    98101


CRD Number   Broker Dealer:                       Status:
113525       EKN FINANCIAL SERVICES INC.          Registered   12/12/2001
             EKN FINANCIAL SERVICES INC.
             201 OLD COUNTRY RD.
             SUITE 101
             MELVILLE           NY    11747


CRD Number   Broker Dealer:                       Status:
151232       ELARA SECURITIES, INC.               Registered   3/2/2011
             ELARA SECURITIES, INC.
             477 MADISON AVE.
             SUITE 220
             NEW YORK           NY    10022


CRD Number   Broker Dealer:                       Status:
104031       ELECTRONIC BROKERAGE SYSTEMS, LLC    Registered   2/24/2004
             ELECTRONIC BROKERAGE SYSTEMS, LLC
             180 W. ADAMS STREET
             6TH FLOOR
             CHICAGO            IL    60603
CRD Number   Broker Dealer:                          Status:
140341       ELEVATION, LLC                          Registered   9/26/2007
             ELEVATION, LLC
             214 N. TRYON ST.
             STE 3010
             CHARLOTTE           NC   28202


CRD Number   Broker Dealer:                          Status:
41608        ELLIOTT DAVIS BROKERAGE SERVICES, LLC   Registered   9/9/2009
             ELLIOTT DAVIS BROKERAGE SERVICES, LLC
             124 VERDAE BLVD.
             SUITE 504
             GREENVILLE          SC   29607


CRD Number   Broker Dealer:                          Status:
125637       ELM TRADING, L.P.                       Registered   10/7/2003
             ELM TRADING ,L.P.
             1900 MARKET STREET
             PHILA STOCK EXCHANGE FL
             PHILADELPHIA        PA   19103


CRD Number   Broker Dealer:                          Status:
111645       ELTEKON SECURITIES, LLC                 Registered   2/17/2006
             ELTEKON SECURITIES, LLC
             900 S. CAPITAL OF TEXAS HWY
             SUITE 160
             WEST LAKE HILLS     TX   78746


CRD Number   Broker Dealer:                          Status:
132014       EMERALD POINT CAPITAL, LLC              Registered   3/23/2005
             EMERALD POINT CAPITAL, LLC
             420 LEXINGTON AVE
             SUITE 1718
             NEW YORK            NY   10170


CRD Number   Broker Dealer:                          Status:
47040        EMERGING GROWTH EQUITIES, LTD.          Registered   6/28/1999
             EMERGING GROWTH EQUITIES, LTD.
             1150 FIRST AVE, PARK VIEW TWR
             STE 600
             KING OF PRUSSIA     PA   19406-2816


CRD Number   Broker Dealer:                          Status:
130032       EMERSON EQUITY LLC                      Registered   4/13/2010
             EMERSON EQUITY LLC
             155 BOVET ROAD, SUITE 725


             SAN MATEO           CA   94402
CRD Number   Broker Dealer:                      Status:
143007       EMPIRE ASSET MANAGEMENT COMPANY     Registered   6/12/2007
             EMPIRE ASSET MANAGEMENT COMPANY
             2 RECTOR STREET, 15TH FL


             NEW YORK            NY      10006


CRD Number   Broker Dealer:                      Status:
121191       ENERGY CAPITAL SOLUTIONS LLC        Registered   10/24/2002
             ENERGY CAPITAL SOLUTIONS LLC
             2651 N HARWOOD, STE 410


             DALLAS              TX      75201


CRD Number   Broker Dealer:                      Status:
131510       ENERGY HUNTER SECURITIES, INC.      Registered   2/16/2006
             ENERGY HUNTER SECURITIES, INC.
             777 POST OAK BLVD
             SUITE 650
             HOUSTON             TX      77056


CRD Number   Broker Dealer:                      Status:
102100       ENERGYNET.COM, INC.                 Registered   11/26/2003
             ENERGYNET.COM, INC.
             7201 I-40 WEST, SUITE 319


             AMARILLO            TX      79106


CRD Number   Broker Dealer:                      Status:
129932       ENGLAND SECURITIES, LLC             Registered   5/12/2008
             ENGLAND SECURITIES, LLC
             1015 18TH STREET, NW
             SUITE 900
             WASHINGTON          DC      20036


CRD Number   Broker Dealer:                      Status:
17443        ENSEMBLE FINANCIAL SERVICES, INC.   Registered   3/10/1994
             ENSEMBLE FINANCIAL SERVICES, INC.
             179 SULLY'S TRAIL, SUITE 200


             PITTSFORD           NY      14534


CRD Number   Broker Dealer:                      Status:
146871       ENSTREAM CAPITAL SECURITIES, LLC    Registered   6/26/2008
             ENSTREAM CAPITAL SECURITIES, LLC
             100 CRESCENT COURT, STE 700


             DALLAS              TX      75201
CRD Number   Broker Dealer:                    Status:
27394        ENTERPRISE EQUITIES, INC.         Registered   6/16/1992
             ENTERPRISE EQUITIES, INC.
             10227 WINCOPIN CIRCLE
             STE 809
             COLUMBIA             MD   21044


CRD Number   Broker Dealer:                    Status:
146443       ENTRUST SECURITIES LLC            Registered   8/27/2008
             ENTRUST SECURITIES LLC
             375 PARK AVENUE
             24TH FLOOR
             NEW YORK             NY   10152


CRD Number   Broker Dealer:                    Status:
150774       EP SECURITIES, LLC                Registered   10/15/2010
             EP SECURITIES, LLC
             99 PARK AVENUE (#1560)


             NEW YORK             NY   10016


CRD Number   Broker Dealer:                    Status:
37378        EQUIBOND, INC.                    Registered   7/19/1995
             EQUIBOND, INC.
             1801 CENTURY PARK EAST
             STE 1470
             LOS ANGELES          CA   90067


CRD Number   Broker Dealer:                    Status:
136708       EQUIFINANCIAL LLC                 Registered   1/30/2006
             EQUIFINANCIAL LLC
             1717 NORTH BAYSHORE DRIVE
             SUITE 217
             MIAMI                FL   33132


CRD Number   Broker Dealer:                    Status:
145790       EQUINOX SECURITIES, INC.          Registered   5/8/2008
             EQUINOX SECURITIES, INC.
             760 S. ROCHESTER AVE
             SUITE E
             ONTARIO              CA   91761


CRD Number   Broker Dealer:                    Status:
265          EQUITY SERVICES, INC.             Registered   6/3/1969
             EQUITY SERVICES, INC.
             ONE NATIONAL LIFE DR.


             MONTPELIER           VT   05604
CRD Number   Broker Dealer:                                  Status:
140227       EQUITY SOURCE PARTNERS, LLC                     Registered   9/11/2006
             EQUITY SOURCE PARTNERS, LLC
             7 E. CARVER STREET, 2ND FLOOR


             HUNTINGTON         NY   11743


CRD Number   Broker Dealer:                                  Status:
103620       EQUITY STATION, INC.                            Registered   5/19/2000
             EQUITY STATION, INC.
             1200 N. FEDERAL HIGHWAY
             SUITE 400
             BOCA RATON         FL   33432


CRD Number   Broker Dealer:                                  Status:
131449       EQUUS FINANCIAL CONSULTING LLC                  Registered   3/24/2011
             EQUUS FINANCIAL CONSULTING LLC
             78 PINE ST
             SUITE 101
             NEW CANAAN         CT   06840


CRD Number   Broker Dealer:                                  Status:
152514       ERNST & YOUNG CAPITAL ADVISORS, LLC             Registered   8/20/2010
             ERNST & YOUNG CAPITAL ADVISORS, LLC
             155 N. WACKER DRIVE


             CHICAGO            IL   60606


CRD Number   Broker Dealer:                                  Status:
126914       ERNST & YOUNG CORPORATE FINANCE (CANADA) INC.   Registered   10/30/2003
             ERNST & YOUNG CORPORATE FINANCE (CANADA) INC.
             222 BAY ST, ERNST & YOUNG TOWER


             TORONTO ONTARI          M5K 1J7


CRD Number   Broker Dealer:                                  Status:
127549       ESSEX FINANCIAL SERVICES, INC.                  Registered   10/2/2003
             ESSEX FINANCIAL SERVICES, INC.
             176 WESTBROOK ROAD


             ESSEX              CT   06426


CRD Number   Broker Dealer:                                  Status:
25454        ESSEX NATIONAL SECURITIES, INC.                 Registered   1/2/1992
             ESSEX NATIONAL SECURITIES, INC.
             550 GATEWAY DRIVE, STE 210


             NAPA               CA   94558
CRD Number   Broker Dealer:                     Status:
46605        ESSEX SECURITIES LLC               Registered   2/6/2002
             ESSEX SECURITIES LLC
             168 CENTRE ST


             DANVERS              MA    01923


CRD Number   Broker Dealer:                     Status:
156396       EULAV SECURITIES LLC               Registered   3/17/2011
             EULAV SECURITIES LLC
             7 TIMES SQUARE
             21ST FL
             NEW YORK             NY    10036


CRD Number   Broker Dealer:                     Status:
116873       EUREKA CAPITAL MARKETS, LLC        Registered   7/24/2002
             EUREKA CAPITAL MARKETS, LLC
             23 CORPORATE PLAZA
             SUITE 125
             NEWPORT BEACH        CA    92660


CRD Number   Broker Dealer:                     Status:
8361         EURO PACIFIC CAPITAL, INC.         Registered   3/28/1997
             EURO PACIFIC CAPTIAL, INC.
             88 POST ROAD WEST, 3RD FL


             WESTPORT             CT    06880


CRD Number   Broker Dealer:                     Status:
45097        EUROPEAN AMERICAN EQUITIES, INC.   Registered   6/14/2004
             EUROPEAN AMERICAN EQUITIES, INC.
             350 MADISON AVE, 8TH FL


             NEW YORK             NY    10017


CRD Number   Broker Dealer:                     Status:
42405        EVERCORE GROUP L.L.C.              Registered   7/27/2006
             EVERCORE GROUP L.L.C.
             55 EAST 2ND STREET
             38TH FLOOR
             NEW YORK             NY    10055


CRD Number   Broker Dealer:                     Status:
47388        EVERTRADE DIRECT BROKERAGE, INC.   Registered   11/10/1999
             EVERTRADE DIRECT BROKERAGE, INC.
             8300 EAGER RD, SUITE 700


             ST. LOUIS            MO    63144
CRD Number   Broker Dealer:                         Status:
28275        EVOLUTION SECURITIES US INC.           Registered   9/1/2009
             EVOLUTION SECURITIES US INC.
             100 WOOD STREET


             LONDON UK                 EC2V7AN


CRD Number   Broker Dealer:                         Status:
41784        EXANE, INC.                            Registered   7/23/2001
             EXANE, INC.
             640 FIFTH AVE, 15 FLOOR


             NEW YORK             NY   10019


CRD Number   Broker Dealer:                         Status:
16629        EXCEL SECURITIES & ASSOCIATES, INC.    Registered   2/7/2006
             EXCEL SECURITIES & ASSOCIATES, INC.
             200 CANAL VIEW BLVD.
             STE 204
             ROCHESTER            NY   14623


CRD Number   Broker Dealer:                         Status:
25299        EXECUTIVE SERVICES SECURITIES, LLC     Registered   2/12/1990
             EXECUTIVE SERVICES SECURITIES, LLC
             3445 PEACHTREE ROAD NE
             STE 200
             ATLANTA              GA   30326-1156


CRD Number   Broker Dealer:                         Status:
147909       EXOS SECURITIES, LLC                   Registered   1/26/2010
             EXOS SECURITIES, LLC
             680 MISSION STREET
             30G
             SAN FRANCISCO        CA   94105


CRD Number   Broker Dealer:                         Status:
137898       EXTENSION ADVISORS, LLC                Registered   6/27/2007
             EXTENSION ADVISORS, LLC
             4015 HILLSBORO PIKE, STE 214


             NASHVILLE            TN   37215


CRD Number   Broker Dealer:                         Status:
1781         FAGENSON & CO., INC.                   Registered   4/29/1992
             FAGENSON & CO., INC.
             60 BROAD ST


             NEW YORK             NY   10004
CRD Number   Broker Dealer:                        Status:
150987       FAIRHOLME DISTRIBUTORS, INC.          Registered   2/4/2010
             FAIRHOLME DISTRIBUTORS, INC.
             760 MOORE ROAD


             KING OF PRUSSIA    PA    19406


CRD Number   Broker Dealer:                        Status:
146668       FAIRMOUNT PARTNERS LP                 Registered   7/15/2008
             FAIRMOUNT PARTNERS LP
             100 FOUR FALLS CORPORATE CTR
             SUITE 660
             WEST CONSHOHO      PA    19248


CRD Number   Broker Dealer:                        Status:
15034        FAIRPORT CAPITAL, INC.                Registered   5/25/2011
             FAIRPORT CAPITAL, INC.
             830 POST ROAD EAST


             WESTPORT           CT    06880-5238


CRD Number   Broker Dealer:                        Status:
1785         FAMILY INVESTORS COMPANY              Registered   8/29/1989
             FAMILY INVESTORS COMPANY
             265 SOUTH AVENUE
             P.O. BOX 100
             FANWOOD            NJ    07023


CRD Number   Broker Dealer:                        Status:
44319        FAMILY MANAGEMENT SECURITIES, LLC     Registered   5/5/1998
             FAMILY MANAGEMENT SECURITIES, LLC
             485 MADISON AVE, 19TH FL


             NEW YORK           NY    10022


CRD Number   Broker Dealer:                        Status:
145860       FAP USA, L.P.                         Registered   3/23/2009
             FAP USA, L.P.
             1120 AVENUE OF THE AMERICAS
             4TH FL
             NEW YORK           NY    10036


CRD Number   Broker Dealer:                        Status:
32243        FAR HILLS GROUP, LLC                  Registered   6/26/1996
             FAR HILLS GROUP, LLC
             1180 AVENUE OF THE AMERICAS
             18TH FL
             NEW YORK           NY    10036
CRD Number   Broker Dealer:                          Status:
32830        FARINA & ASSOCIATES, INC.               Registered   3/5/1996
             FARINA & ASSOCIATES, INC.
             20 BROAD STREET
             10TH FLOOR
             NEW YORK              NY   10005


CRD Number   Broker Dealer:                          Status:
103863       FARMERS FINANCIAL SOLUTIONS, LLC        Registered   10/10/2001
             FARMERS FINANCIAL SOLUTIONS, LLC
             30801 AGOURA RD.
             BLDG 1
             AGOURA HILLS          CA   91301-2054


CRD Number   Broker Dealer:                          Status:
31971        FARRELL MARSH & CO.                     Registered   10/21/1996
             FARRELL MARSH & CO.
             500 THE TIMES BLDG.
             SUBURBAN SQ
             ARDMORE               PA   19003


CRD Number   Broker Dealer:                          Status:
43536        FAS CORP.                               Registered   11/20/2006
             FAS CORP.
             4747 WEST 135TH STREET
             SUITE 100
             LEAWOOD               KS   66224


CRD Number   Broker Dealer:                          Status:
18315        FBN SECURITIES, INC.                    Registered   4/1/1996
             FBN SECURITIES, INC.
             120 BROADWAY
             10TH FL
             NEW YORK              NY   10271


CRD Number   Broker Dealer:                          Status:
25027        FBR CAPITAL MARKETS & CO.               Registered   11/13/1989
             FBR CAPITAL MARKETS & CO.
             1001 19TH STREET NORTH


             ARLINGTON             VA   22209


CRD Number   Broker Dealer:                          Status:
43442        FBR INVESTMENT SERVICES, INC.           Registered   12/11/1997
             FBR INVESTMENT SERVICES, INC.
             1001 NINETEENTH STREET
             NORTH
             ARLINGTON             VA   22209
CRD Number   Broker Dealer:                         Status:
10373        FCC INVESTMENTS, INC.                  Registered   8/19/2011
             FCC INVESTMENTS, INC.
             1251 NW BRIARCLIFF PARKWAY
             SUITE 800
             KANSAS CITY          MO   64116


CRD Number   Broker Dealer:                         Status:
40633        FCG ADVISORS, LLC                      Registered   9/4/1996
             FCG ADVISORS, LLC
             ONE MAIN STREET #202


             CHATHAM              NJ   07928


CRD Number   Broker Dealer:                         Status:
5009         FEDERATED SECURITIES CORP.             Registered   3/3/1970
             FEDERATED SECURITIES CORP.
             FEDERATED INV TWR
             1001 LIBERTY AVE
             PITTSBURGH           PA   15222-3779


CRD Number   Broker Dealer:                         Status:
46585        FEF DISTRIBUTORS, LLC                  Registered   9/20/2002
             FEF DISTRIBUTORS, LLC
             1345 AVENUE OF THE AMERICAS


             NEW YORK             NY   10105-4300


CRD Number   Broker Dealer:                         Status:
148441       FELIX INVESTMENTS LLC                  Registered   7/22/2009
             FELIX INVESTMENTS LLC
             17 STATE STREET, 5TH FL


             NEW YORK             NY   10004


CRD Number   Broker Dealer:                         Status:
148090       FELLS POINT RESEARCH LLC               Registered   3/19/2009
             FELLS POINT RESEARCH LLC
             600 WYNDHURST AVENUE
             SUITE 300
             BALTIMORE            MD   21210


CRD Number   Broker Dealer:                         Status:
6905         FELTL & COMPANY                        Registered   7/16/2002
             FELTL & COMPANY
             2100 LASALLE PLAZA
             800 LASALLE PLAZA
             MINNEAPOLIS          MN   55402
CRD Number   Broker Dealer:                                   Status:
104391       FENIMORE SECURITIES, INC.                        Registered   9/12/2001
             FENIMORE SECURITIES, INC.
             384 N GRAND ST, BOX 399


             COBBLESKILL         NY    12043


CRD Number   Broker Dealer:                                   Status:
43430        FERGHANA SECURITIES, INC.                        Registered   5/11/2007
             FERGHANA SECURITIES, INC.
             420 LEXINGTON AVENUE
             SUITE 2740
             NEW YORK            NY    10170


CRD Number   Broker Dealer:                                   Status:
7784         FIDELITY BROKERAGE SERVICES LLC                  Registered   4/23/1979
             FIDELITY BROKERAGE SERVICES LLC
             200 SEAPORT BLVD
             MAIL ZONE ZIN
             BOSTON              MA    02210


CRD Number   Broker Dealer:                                   Status:
6848         FIDELITY DISTRIBUTORS CORPORATION                Registered   4/26/1979
             FIDELITY DISTRIBUTORS CORPORATION
             200 SEAPORT BLVD.
             MAIL ZONE ZIN
             BOSTON              MA    02210


CRD Number   Broker Dealer:                                   Status:
17507        FIDELITY INVESTMENTS INSTITUTIONAL SERVICES CO   Registered   8/5/1986
             FIDELITY INVESTMENTS INSTITUTIONAL SERVICES CO
             200 SEAPORT BLVD
             MAIL ZONE ZIN
             BOSTON              MA    02210


CRD Number   Broker Dealer:                                   Status:
104189       FIDUCIARY ADVISORS, LLC                          Registered   5/4/2001
             FIDUCIARY ADVISORS, LLC
             1500 MARKET STREET
             SUITE 3310E
             PHILADELPHIA        PA    19102


CRD Number   Broker Dealer:                                   Status:
132882       FIDUS SECURITIES, LLC                            Registered   9/23/2009
             FIDUS SECURITIES, LLC
             121 WEST TRADE STREET
             STE 1800
             CHARLOTTE           NC    28202
CRD Number   Broker Dealer:                             Status:
628          FIFTH THIRD SECURITIES, INC.               Registered   11/1/1961
             FIFTH THIRD SECURITIES, INC.
             38 FOUNTAIN SQ PLAZA
             MD 10AT5G
             CINCINNATI          OH   45263


CRD Number   Broker Dealer:                             Status:
41554        FIG PARTNERS, LLC                          Registered   7/17/2003
             FIG PARTNERS, LLC
             1175 PEACHTREE ST NE
             SUITE 2250
             ATLANTA             GA   30361


CRD Number   Broker Dealer:                             Status:
12981        FINANCE 500, INC.                          Registered   11/8/1996
             FINANCE 500, INC.
             19762 MACARTHUR BLVD
             STE 200
             IRVINE              CA   92612


CRD Number   Broker Dealer:                             Status:
142170       FINANCIAL ADVISERS OF AMERICA, LLC         Registered   4/27/2007
             FINANCIAL ADVISERS OF AMERICA, LLC
             1930 PALOMAR POINT WAY
             SUITE 104
             CARLSBAD            CA   92008


CRD Number   Broker Dealer:                             Status:
5100         FINANCIAL AMERICA SECURITIES, INC.         Registered   2/5/1981
             FINANICAL AMERICA SECURITIES, INC.
             1325 CARNEGIE AVE


             CLEVELAND           OH   44115


CRD Number   Broker Dealer:                             Status:
19066        FINANCIAL GOAL SECURITIES, INC.            Registered   5/4/2001
             FINANICAL GOAL SECURITIES, INC.
             35-900 BOB HOPE DR, STE 202


             RANCHO MIRAGE       CA   92270


CRD Number   Broker Dealer:                             Status:
13572        FINANCIAL NETWORK INVESTMENT CORPORATION   Registered   11/15/1983
             FINANICAL NETWORK INVESTMENT CORPORATION
             200 N. SEPULVEDA BLVD


             EL SEGUNDO          CA   90245
CRD Number   Broker Dealer:                                Status:
17007        FINANCIAL NORTHEASTERN SECURITIES, INC.       Registered   8/18/1987
             FINANICAL NORTHEASTERN SECURITIES, INC.
             100 PASSAIC AVENUE


             FAIRFIELD            NJ   07004


CRD Number   Broker Dealer:                                Status:
8541         FINANCIAL PLANNING CONSULTANTS, INC.          Registered   2/21/2007
             FINANCIAL PLANNING CONSULTANTS, INC.
             14500 S. OUTER 40 ROAD
             STE 201
             CHESTERFIELD         MO   63017-5736


CRD Number   Broker Dealer:                                Status:
153479       FINANCIAL PRODUCTS, LLC                       Registered   9/15/2011
             FINANCIAL PRODUCTS, LLC
             1140 BROADWAY
             SUITE 1606
             NEW YORK             NY   10001


CRD Number   Broker Dealer:                                Status:
43000        FINANCIAL SECURITY MANAGEMENT, INCORPORATED   Registered   6/4/1997
             FINANCIAL SECURITY MANAGEMENT, INCORPORATED
             575 LYNNHAVEN PKWY, STE 310


             VIRGINIA BEACH       VA   23452-7350


CRD Number   Broker Dealer:                                Status:
31012        FINANCIAL TELESIS INC.                        Registered   12/23/2004
             FINANCIAL TELESIS INC.
             4340 REDWOOD HIGHWAY
             SUITE A23
             SAN RAFAEL           CA   94903


CRD Number   Broker Dealer:                                Status:
16668        FINANCIAL WEST GROUP                          Registered   9/20/1989
             FINANCIAL WEST INVESTMENT GROUP, INC.
             PO BOX 5123


             THOUSAND OAKS        CA   91359-5123


CRD Number   Broker Dealer:                                Status:
132873       FINTECH SECURITIES                            Registered   12/7/2004
             FINTECH TECHNOLOGY SECURITIES, LLC
             6849 PEACHTREE DUNWOODY RD
             BLDG B-1, STE 250
             ATLANTA              GA   30328
CRD Number   Broker Dealer:                                  Status:
16741        FINTEGRA, LLC                                   Registered   5/21/1999
             FINTEGRA, LLC
             6120 EARLE BROWN DRIVE
             SUITE 550
             MINNEAPOLIS         MN   55430


CRD Number   Broker Dealer:                                  Status:
32444        FIRST ALLIED SECURITIES, INC.                   Registered   9/9/1994
             FIRST ALLIED SECURITIES, INC.
             P.O. BOX 85549


             SAN DIEGO           CA   92186-5549


CRD Number   Broker Dealer:                                  Status:
118812       FIRST AMERICAN CAPITAL AND TRADING CORPORATIO   Registered   4/3/2009
             FIRST AMERICAN CAPITAL AND TRADING CORPORATIO
             1499 W. PALMETTO PARK RD
             STE 250
             BOCA RATON          FL   33486


CRD Number   Broker Dealer:                                  Status:
23740        FIRST AMERICAN MUNICIPALS, INC.                 Registered   2/16/1989
             FIRST AMERICAN MUNICIPALS, INC.
             606 CORPORATE DRIVE


             LANGHORNE           PA   19047-8013


CRD Number   Broker Dealer:                                  Status:
10446        FIRST ANALYSIS SECURITIES CORPORATION           Registered   3/8/2011
             FIRST ANALYSIS SECURITIES CORPORATION
             ONE SOUTH WACKER DRIVE
             SUITE 3900
             CHICAGO             IL   60606


CRD Number   Broker Dealer:                                  Status:
125393       FIRST BALLANTYNE, LLC                           Registered   1/3/2011
             FIRST BALLANTYNE, LLC
             13950 BALLANTYNE CORP PL
             SUITE 185
             CHARLOTTE           NC   28277-2747


CRD Number   Broker Dealer:                                  Status:
44430        FIRST CITIZENS INVESTOR SERVICES, INC.          Registered   10/21/1998
             FIRST CITIZENS INVESTOR SERVICES, INC.
             P.O. BOX 27131


             RALEIGH             NC   27611-7131
CRD Number   Broker Dealer:                           Status:
140161       FIRST CITIZENS SECURITIES CORPORATION    Registered   11/15/2006
             FIRST CITIZENS SECURITIES CORPORATION
             1230 MAIN STREET


             COLUMBIA            SC   29201


CRD Number   Broker Dealer:                           Status:
17344        FIRST CLEARING, LLC                      Registered   4/3/1986
             FIRST CLEARING, LLC
             ONE NORTH JEFFERSON AVE.
             MAIL CODE: H0004-095
             ST. LOUIS           MO   63103


CRD Number   Broker Dealer:                           Status:
3641         FIRST COMMAND FINANCIAL PLANNING, INC.   Registered   3/28/1979
             FIRST COMMAND FINANCIAL PLANNING, INC.
             P.O. BOX 2387


             FORT WORTH          TX   76113


CRD Number   Broker Dealer:                           Status:
24549        FIRST DALLAS SECURITIES INCORPORATED     Registered   7/2/1992
             FIRST DALLAS SECURITIES, INC.
             2905 MAPLE AVENUE


             DALLAS              TX   75201


CRD Number   Broker Dealer:                           Status:
16330        FIRST DOMINION CAPITAL CORP.             Registered   4/19/1993
             FIRST DOMINION CAPITAL CORP.
             8730 STONY POINT PKWY


             RICHMOND            VA   23235


CRD Number   Broker Dealer:                           Status:
15129        FIRST EMPIRE SECURITIES, INC.            Registered   7/12/1990
             FIRST EMPIRE SECURITIES, INC.
             100 MOTOR PKWY, SECOND FL


             HAUPPAUGE           NY   11788


CRD Number   Broker Dealer:                           Status:
16507        FIRST FINANCIAL EQUITY CORPORATION       Registered   2/22/2000
             FIRST FINANCIAL EQUITY CORPORATION
             7373 N. SCOTTSDALE RD
             STE D120
             SCOTTSDALE          AZ   85253
CRD Number   Broker Dealer:                                     Status:
13642        FIRST FINANCIAL SECURITIES OF AMERICA, INC.        Registered   3/21/1997
             FIRST FINANCIAL SECURITIES OF AMERICA, INC.
             POB 670329


             HOUSTON               TX   77267-0329


CRD Number   Broker Dealer:                                     Status:
5871         FIRST GEORGETOWN SECURITIES, INC.                  Registered   2/28/1985
             FIRST GEORGETOWN SECURITIES, INC.
             1700 DIAGONAL RD., #200


             ALEXANDRIA            VA   22314


CRD Number   Broker Dealer:                                     Status:
32460        FIRST HEARTLAND CAPITAL, INC.                      Registered   4/4/1995
             FIRST HEARTLAND CAPITAL, INC.
             1839 LAKE ST LOUIS BLVD


             LAKE ST LOUIS         MO   63367


CRD Number   Broker Dealer:                                     Status:
128904       FIRST INDEPENDENT FINANCIAL SERVICES, INC.         Registered   7/19/2007
             FIRST INDEPENDENT FINANCIAL SERVICES, INC.
             6660 SHERIDAN RD.
             SUITE 260
             TULSA                 OK   74133-1766


CRD Number   Broker Dealer:                                     Status:
18498        FIRST INTERNET SECURITIES NETWORK D/B/A FISN, IN   Registered   1/12/1990
             FISN, INC.
             4800 MONTGOMERY LN


             BETHESDA              MD   20814-3459


CRD Number   Broker Dealer:                                     Status:
305          FIRST INVESTORS CORPORATION                        Registered   6/25/1968
             FIRST INVESTORS CORPORATION
             110 WALL ST, 4TH FL


             NEW YORK              NY   10005


CRD Number   Broker Dealer:                                     Status:
7524         FIRST KENTUCKY SECURITIES CORPORATION              Registered   3/29/2006
             FIRST KENTUCKY SECURITIES CORPORATION
             P.O. BOX 554


             FRANKFORT             KY   40602-0554
CRD Number   Broker Dealer:                           Status:
14432        FIRST LIBERTIES FINANCIAL                Registered   4/5/2010
             FIRST LIBERTIES SECURITIES, INC.
             369 LEXINGTON AVENUE
             SUITE 311
             NEW YORK               NY   10017


CRD Number   Broker Dealer:                           Status:
129079       FIRST MAN INVESTMENT SECURITIES CORP.    Registered   5/18/2004
             FIRST MAN INVESTMENT SECURITIES CORP.
             580 WHITE PLAINS ROAD


             TARRYTOWN              NY   10591


CRD Number   Broker Dealer:                           Status:
1845         FIRST MANHATTAN CO                       Registered   11/24/1964
             FIRST MANHATTAN CO
             437 MADISON AVE.


             NEW YORK               NY   10022-7297


CRD Number   Broker Dealer:                           Status:
21786        FIRST MIDWEST SECURITIES, INC.           Registered   7/19/1999
             FIRST MIDWEST SECURITIES, INC.
             207 W JEFFERSON ST, STE 102


             BLOOMINGTON            IL   61701


CRD Number   Broker Dealer:                           Status:
115920       FIRST NATIONAL CAPITAL MARKETS           Registered   2/6/2002
             FIRST NATIONAL CAPITAL MARKETS
             1620 DODGE ST, 10TH FL
             MS 1104
             OMAHA                  NE   68197


CRD Number   Broker Dealer:                           Status:
16362        FIRST NEW YORK SECURITIES L.L.C.         Registered   2/20/1987
             FIRST NEW YORK SECURITIES L.L.C.
             90 PARK AVENUE, 5TH FL


             NEW YORK               NY   10016


CRD Number   Broker Dealer:                           Status:
105108       FIRST REPUBLIC SECURITIES COMPANY, LLC   Registered   1/25/2002
             FIRST REPUBLIC SECURITIES COMPANY, LLC
             111 PINE ST., 7TH FL


             SAN FRANCISCO          CA   94111
CRD Number   Broker Dealer:                               Status:
14627        FIRST SECURITIES NORTHWEST, INC.             Registered   5/15/1987
             FIRST SECURITIES NORTHWEST, INC.
             18824 SE MILDRED ST


             MILWAUKIE            OR   97267


CRD Number   Broker Dealer:                               Status:
45555        FIRST SOUTHEAST INVESTOR SERVICES, INC.      Registered   4/9/1999
             FIRST SOUTHEAST INVESTOR SERVICES, INC.
             2440 MALL DR


             CHARLESTON           SC   29406


CRD Number   Broker Dealer:                               Status:
153133       FIRST SOUTHERN SECURITIES, LLC.              Registered   1/12/2011
             FIRST SOUTHERN SECURITIES, LLC.
             1091 CAMBRIDGE SQUARE
             STE D
             ALPHARETTA           GA   30009


CRD Number   Broker Dealer:                               Status:
316          FIRST SOUTHWEST COMPANY                      Registered   12/5/1991
             FIRST SOUTHWEST COMPANY
             325 N ST. PAUL ST.
             SUITE 800
             DALLAS               TX   75201-4652


CRD Number   Broker Dealer:                               Status:
17117        FIRST TENNESSEE BROKERAGE, INC.              Registered   6/26/1998
             FIRST TENNESSEE BROKERAGE, INC.
             POB 240655


             MEMPHIS              TN   38124-0655


CRD Number   Broker Dealer:                               Status:
28519        FIRST TRUST PORTFOLIOS L.P.                  Registered   1/15/1992
             FIRST TRUST PORTFOLIOS L.P.
             120 E. LIBERTY DRIVE
             SUITE 400
             WHEATON              IL   60187


CRD Number   Broker Dealer:                               Status:
6609         FIRST WILSHIRE SECURITIES MANAGEMENT, INC.   Registered   9/21/1982
             FIRST WILSHIRE SECURITIES MANAGEMENT, INC.
             1224 EAST GREEN ST.
             STE 200
             PASADENA             CA   91106-3171
CRD Number   Broker Dealer:                        Status:
149680       FIRSTMERIT FINANCIAL SERVICES, INC    Registered   1/22/2010
             FIRSTMERIT FINANCIAL SERVICES, INC
             3 CASCADE PLAZA


             AKRON                OH   44308


CRD Number   Broker Dealer:                        Status:
16843        FIRSTRADE SECURITIES INC.             Registered   10/1/1997
             FIRSTRADE SECURITIES INC.
             133-25 37TH AVE


             FLUSHING             NY   11354


CRD Number   Broker Dealer:                        Status:
115514       FIVE MILE CAPITAL SECURITIES LLC      Registered   3/21/2006
             FIVE MILE CAPITAL SECURITIES LLC
             301 TRESSER BLVD., 12TH FL
             3 STAMFORD PLZ
             STAMFORD             CT   06901


CRD Number   Broker Dealer:                        Status:
101840       FIVE STAR INVESTMENT SERVICES, INC.   Registered   4/7/2000
             FIVE STAR INVESTMENT SERVICES, INC.
             55 N. MAIN STREET


             WARSAW               NY   14569


CRD Number   Broker Dealer:                        Status:
123001       FIXED INCOME CAPITAL PARTNERS, LLC    Registered   5/2/2003
             FIXED INCOME CAPITAL PARTNERS, LLC
             221 W FRONT ST


             WHEATON              IL   60187


CRD Number   Broker Dealer:                        Status:
43272        FLORIDA ATLANTIC SECURITIES CORP.     Registered   10/1/1997
             FLORIDA ATLANTIC SECURITIES CORP.
             9130 S DADELAND BLVD
             STE 1704
             MIAMI                FL   33156


CRD Number   Broker Dealer:                        Status:
109492       FLORIDA INVESTMENT ADVISORS           Registered   3/12/2002
             FLORIDA INVESTMENT ADVISORS INC.
             601 BAYSHORE BLVD.
             SUITE 960
             TAMPA                FL   33606
CRD Number   Broker Dealer:                              Status:
38105        FMN CAPITAL CORPORATION                     Registered   7/3/2008
             FMN CAPITAL CORPORATION
             26041 ACERO


             MISSION VIEJO      CA   92691


CRD Number   Broker Dealer:                              Status:
7793         FMSBONDS, INC.                              Registered   3/9/1987
             FMSBONDS, INC.
             4775 TECHNOLOGY WAY


             BOCA RATON         FL   33431


CRD Number   Broker Dealer:                              Status:
132091       FNBB CAPITAL MARKETS, LLC                   Registered   1/10/2007
             FNBB CAPITAL MARKETS, LLC
             600 UNIVERSITY PARK PLACE
             STE 380
             BIRMINGHAM         AL   35209


CRD Number   Broker Dealer:                              Status:
143240       FOCUS CAPTIAL GROUP, INC.                   Registered   2/17/2011
             FOCUS CAPITAL GROUP, INC.
             60 SOUTH SIXTH STREET
             SUITE 2540
             MINNEAPOLIS        MN   55402


CRD Number   Broker Dealer:                              Status:
150589       FOCUS SECURITIES LLC                        Registered   4/6/2010
             FOCUS SECURITIES LLC
             3353 PEACHTREE ROAD, NE.
             STE 1160
             ATLANTA            GA   30326


CRD Number   Broker Dealer:                              Status:
319          FOLGER NOLAN FLEMING DOUGLAS INCORPORATED   Registered   8/22/1989
             FOLDER NOLAN FLEMING DOUGLAS INCORPORATED
             725 15TH STREET N.W.


             WASHINGTON         DC   20005-2109


CRD Number   Broker Dealer:                              Status:
48015        FOLIOFN INVESTMENTS, INC.                   Registered   2/24/2000
             FOLIOFN INVESTMENTS, INC.
             8180 GREENSBORO DR
             8TH FL
             MCLEAN             VA   22102
CRD Number   Broker Dealer:                         Status:
1027         FOOTHILL SECURITIES, INC.              Registered   5/19/1987
             FOOTHILL SECURITIES, INC.
             150 E. DANA STREET


             MOUNTAIN VIEW         CA   94041


CRD Number   Broker Dealer:                         Status:
122341       FORBES PRIVATE CAPITAL GROUP           Registered   11/28/2006
             FORBES PRIVATE CAPITAL GROUP
             142 W 57TH ST, 12TH FL


             NEW YORK              NY   10019


CRD Number   Broker Dealer:                         Status:
20996        FORDHAM FINANCIAL MANAGEMENT, INC.     Registered   6/14/1996
             FORDHAM FINANCIAL MANAGEMENT, INC.
             14 WALL ST, 18TH FL


             NEW YORK              NY   10005


CRD Number   Broker Dealer:                         Status:
15634        FORESIDE DISTRIBUTION SERVICES, L.P.   Registered   1/11/1988
             FORESIDE DISTRIBUTION SERVICES, L.P.
             3 CANAL PLZ, SUITE 100


             PORTLAND              ME   04101


CRD Number   Broker Dealer:                         Status:
46106        FORESIDE FUND SERVICES, LLC            Registered   2/26/1999
             FORESIDE FUND SERVICES, LLC
             THREE CANAL PLAZA
             SUITE 100
             PORTLAND              ME   04101


CRD Number   Broker Dealer:                         Status:
30016        FORESIDE INVESTMENT SERVICES, LLC      Registered   3/9/2010
             FORESIDE INVESTMENT SERVICES, LLC
             THREE CANAL PLAZA, 3RD FL


             PORTLAND              ME   04101


CRD Number   Broker Dealer:                         Status:
132644       FORESIGHT INVESTMENTS, LLC             Registered   4/7/2005
             FORESIGHT INVESTMENTS, LLC
             450 SKOKIE BLVD, STE 507


             NORTHBROOK            IL   60062
CRD Number   Broker Dealer:                          Status:
18464        FORESTERS EQUITY SERVICES, INC.         Registered   4/13/1987
             FORESTERS EQUITY SERVICES, INC.
             6640 LUSK BLVD, STE A202


             SAN DIEGO          CA      92121


CRD Number   Broker Dealer:                          Status:
46022        FORTIGENT SECURITIES COMPANY, LLC.      Registered   7/14/1999
             FORTIGENT SECURITIES COMPANY, LLC.
             2600 TOWER OAKS BLVD
             SUITE 300
             ROCKVILLE          MD      20852-3103


CRD Number   Broker Dealer:                          Status:
152385       FORTRESS CAPITAL FORMATION LLC          Registered   1/11/2011
             FORTRESS CAPITAL FORMATION LLC
             1345 AVENUE OF THE AMERICAS
             47TH FL
             NEW YORK           NY      10105


CRD Number   Broker Dealer:                          Status:
104408       FORTRESS GROUP, INC.                    Registered   8/8/2001
             FORTRESS GROUP, INC.
             3379 PEACHTREE ROAD NE
             SUITE 272
             ATLANTA            GA      30326-1020


CRD Number   Broker Dealer:                          Status:
42150        FORTUNE FINANCIAL SERVICES, INC.        Registered   12/17/1996
             FORTUNE FINANCIAL SERVICES, INC.
             POB 296


             NEW BRIGHTON       PA      15066


CRD Number   Broker Dealer:                          Status:
113855       FORUM CAPITAL SECURITIES LLC            Registered   1/13/2010
             FORUM CAPITAL SECURITIES LLC
             140 EAST 45TH STREET
             40TH FL
             NEW YORK           NY      10017


CRD Number   Broker Dealer:                          Status:
150133       FORWARD SECURITIES, LLC                 Registered   11/17/2011
             FORWARD SECURITIES, LLC
             101 CALIFORNIA STREET
             SUITE 1600
             SAN FRANCISCO      CA      94111
CRD Number   Broker Dealer:                                Status:
137945       FOUNDERS FINANCIAL SECURITIES LLC             Registered   6/14/2006
             FOUNDERS FINANCIAL SECURITIES LLC
             1020 CROMWELL BRIDGE RD


             TOWSON            MD    21286


CRD Number   Broker Dealer:                                Status:
43149        FOUR POINTS CAPITAL PARTNERS LLC              Registered   4/6/2010
             FOUR POINTS CAPITAL PARTNERS LLC
             303 SOUTH BROADWAY
             SUITE 487
             TARRYTOWN         NY    10591


CRD Number   Broker Dealer:                                Status:
104087       FOX CHASE CAPITAL PARTNERS, LLC               Registered   4/1/2005
             FOX CHASE CAPITAL PARTNERS, LLC
             167 MAIN STREET
             SUITE 2A
             METUCHEN          NJ    08840


CRD Number   Broker Dealer:                                Status:
38283        FPCM SECURITIES, LLC                          Registered   3/20/2006
             FPCM SECURITIES, LLC
             140 BROADWAY
             18TH FLOOR
             NEW YORK          NY    10005


CRD Number   Broker Dealer:                                Status:
13594        FRANKLIN TEMPLETON FINANCIAL SERVICES CORP.   Registered   11/15/1983
             FRANKLIN TEMPLETON FINANCIAL SERVICES CORP.
             ONE FRANKLIN PARKWAY


             SAN MATEO         CA    94403


CRD Number   Broker Dealer:                                Status:
332          FRANKLIN/TEMPLETON DISTRIBUTORS, INC.         Registered   7/23/1993
             FRANKLIN/TEMPLETON DISTRIBUTORS, INC.
             ONE FRANKLIN PARKWAY


             SAN MATEO         CA    94403-1906


CRD Number   Broker Dealer:                                Status:
5300         FRED ALGER & COMPANY, INCORPORATED            Registered   6/13/1986
             FRED ALGER & COMPANY, INCORPORATED
             360 PARK AVENUE SOUTH


             NEW YORK          NY    10010
CRD Number   Broker Dealer:                      Status:
37674        FREEDOM INVESTMENTS, INC.           Registered   10/2/1995
             FREEDOM INVESTMENTS, INC.
             375 RARITAN CENTER PARKWAY


             EDISON                 NJ   08837


CRD Number   Broker Dealer:                      Status:
124260       FREESTONE SECURITIES, LLC           Registered   10/16/2009
             FREESTONE SECURITIES, LLC
             1918 EIGHTH AVENUE
             SUITE 3400
             SEATTLE                WA   98101


CRD Number   Broker Dealer:                      Status:
137529       FRONTEGRA STRATEGIES, LLC           Registered   9/24/2007
             FRONTEGRA STRATEGIES, LLC
             400 SKOKIE BLVD.
             STE 500
             NORTHBROOK             IL   60062


CRD Number   Broker Dealer:                      Status:
136102       FRONTIER SOLUTIONS, LLC             Registered   5/27/2010
             FRONTIER SOLUTIONS, LLC
             4200 NORTHSIDE PKWY
             BUILDING 11, STE 200
             ATLANTA                GA   30327


CRD Number   Broker Dealer:                      Status:
145244       FS2 CAPITAL PARTNERS, LLC           Registered   2/8/2008
             FS2 CAPITAL PARTNERS, LLC
             2929 ARCH ST., SUITE 675
             CIRA CENTRE
             PHILADELPHIA           PA   19104


CRD Number   Broker Dealer:                      Status:
15898        FSB WARNER FINANCIAL, INC.          Registered   7/8/1998
             FSB WARNER FINANCIAL, INC.
             1001 PEOPLES SQUARE


             WATERLOO               IA   50702


CRD Number   Broker Dealer:                      Status:
7461         FSC SECURITIES CORP.                Registered   10/11/1977
             FSC SECURITIES CORP.
             2300 WINDY RIDGE PKWY
             STE 1100
             ATLANTA                GA   30339
CRD Number   Broker Dealer:                         Status:
42191        FSP INVESTMENTS LLC                    Registered   1/17/1997
             FSP INVESTMENTS LLC
             401 EDGEWATER PLACE
             STE 200
             WAKEFIELD            MA   01880


CRD Number   Broker Dealer:                         Status:
144464       FTAM FUNDS DISTRIBUTOR, INC.           Registered   1/7/2008
             FTAM FUNDS DISTRIBUTOR, INC.
             PO BOX 328


             DENVER               CO   80201-0328


CRD Number   Broker Dealer:                         Status:
46346        FTN FINANCIAL SECURITIES CORP          Registered   5/6/1999
             FTN FINANCIAL SECURITIES CORP
             845 CROSSOVER LANE
             SUITE 150
             MEMPHIS              TN   38117


CRD Number   Broker Dealer:                         Status:
129356       FTP SECURITIES LLC                     Registered   7/1/2004
             FTP SECURITIES LLC
             601 CALIFORNIA STREET
             22ND FLOOR
             SAN FRANCISCO        CA   94108


CRD Number   Broker Dealer:                         Status:
140084       FULCRUM SECURITIES, LLC                Registered   11/22/2006
             FULCRUM SECURITIES, LLC
             11975 WESTLINE INDUSTRIAL DR


             SAINT LOUIS          MO   63146


CRD Number   Broker Dealer:                         Status:
20374        FUND INVESTORS, INC.                   Registered   9/9/1987
             FUND INVESTORS, INC.
             510 EAST HIGH STREET


             EBENSBURG            PA   15931


CRD Number   Broker Dealer:                         Status:
7174         FUNDS DISTRIBUTOR, LLC                 Registered   6/14/1985
             FUNDS DISTRIBUTOR, LLC
             3 CANAL PLZ
             SUITE 100
             PORTLAND             ME   04101
CRD Number   Broker Dealer:                          Status:
145840       FUNDS PLACEMENT GROUP, LLC              Registered   8/2/2010
             FUNDS PLACEMENT GROUP, LLC
             2200 ROSS AVENUE
             SUITE 4900W
             DALLAS              TX     75201


CRD Number   Broker Dealer:                          Status:
38162        FURTHER LANE SECURITIES, L.P.           Registered   3/19/2002
             FURTHER LANE SECURITIES, L.P.
             555 MADISON AVE
             25TH FLOOR
             NEW YORK            NY     10022


CRD Number   Broker Dealer:                          Status:
22691        G - W BROKERAGE GROUP, INC.             Registered   11/1/1988
             G - W BROKERAGE GROUP, INC.
             215 WARREN ST


             BEVERLY             NJ     08010


CRD Number   Broker Dealer:                          Status:
35356        G & W EQUITY SALES, INC.                Registered   8/24/1994
             G & W EQUITY SALES, INC.
             PO BOX 40948


             INDIANAPOLIS        IN     46240-0948


CRD Number   Broker Dealer:                          Status:
7169         G EQUITY INVESTMENT GROUP LTD.          Registered   12/8/1992
             G EQUITY INVESTMENT GROUP LTD.
             527 S. WELLS ST., SUITE 700


             CHICAGO             IL     60607


CRD Number   Broker Dealer:                          Status:
17486        G. A. REPPLE & COMPANY                  Registered   9/29/1986
             G. A. REPPLE & COMPANY
             101 NORMANDY RD


             CASSELBERRY         FL     32707


CRD Number   Broker Dealer:                          Status:
155071       G. DISTRIBUTORS, LLC                    Registered   5/6/2011
             G. DISTRIBUTORS, LLC
             ONE CORPORATE CENTER


             RYE                 NY     10580-1435
CRD Number   Broker Dealer:                                Status:
25745        G. W. & WADE ASSET MANAGEMENT COMPANY, INC.   Registered   5/8/1991
             G. W. & WADE ASSET MANAGEMENT COMPANY, INC.
             93 WORCESTER ST


             WELLESLEY             MA   02481


CRD Number   Broker Dealer:                                Status:
44631        G.C. ANDERSEN PARTNERS CAPITAL, LLC           Registered   10/17/2008
             G.C. ANDERSEN PARTNERS CAPITAL, LLC
             430 PARK AVENUE
             SUITE 701
             NEW YORK              NY   10022


CRD Number   Broker Dealer:                                Status:
132939       G.F. INVESTMENT SERVICES, LLC                 Registered   10/17/2005
             G.F. INVESTMENT SERVICES, LLC
             2080 RINGLING BLVD.
             3RD FLOOR
             SARASOTA              FL   34237


CRD Number   Broker Dealer:                                Status:
44018        G-2 TRADING, LLC                              Registered   5/5/2011
             G-2 TRADING, LLC
             666 THIRD AVENUE
             8TH FL
             NEW YORK              NY   10017


CRD Number   Broker Dealer:                                Status:
42293        GA FINANCIAL, INC.                            Registered   5/22/1997
             GA FINANCIAL, INC.
             41 S HIGH ST
             STE 3400
             COLUMBUS              OH   43215-3437


CRD Number   Broker Dealer:                                Status:
7353         GABELLI & COMPANY, INC.                       Registered   3/8/1979
             GABELLI & COMPANY, INC.
             ONE CORPORATE CENTER


             RYE                   NY   10580-1435


CRD Number   Broker Dealer:                                Status:
344          GAGE-WILEY & CO., INC.                        Registered   6/1/1993
             GAGE-WILEY & CO., INC.
             120 KING STREET


             NORTHAMPTON           MA   01060
CRD Number   Broker Dealer:                         Status:
103727       GAGNON SECURITIES, LLC                 Registered   7/17/2000
             GAGNON SECURITIES, LLC
             1370 AVENUE OF THE AMERICAS


             NEW YORK             NY   10019


CRD Number   Broker Dealer:                         Status:
16203        GAIN SECURITIES                        Registered   10/14/1988
             GAIN CAPITAL SECURITIES, INC.
             27600 CHAGIN BLVD.


             BEACHWOOD            OH   44122-3203


CRD Number   Broker Dealer:                         Status:
124738       GALLATIN CAPITAL LLC                   Registered   1/13/2010
             GALLATIN CAPITAL LLC
             444 MADISON AVENUE
             29TH FL
             NEW YORK             NY   10022


CRD Number   Broker Dealer:                         Status:
146976       GALT FINANCIAL GROUP, INC.             Registered   3/23/2010
             GALT FINANCIAL GROUP, INC.
             2815 TOWNSGATE RD
             SUITE 100
             WEST LAKE VILLAG     CA   91361


CRD Number   Broker Dealer:                         Status:
25631        GAM SERVICES, INC.                     Registered   3/26/1990
             GAM SERVICES, INC.
             ONE ROCKEFELLER PLAZA
             21ST FLOOR
             NEW YORK             NY   10020


CRD Number   Broker Dealer:                         Status:
138033       GAR WOOD SECURITIES, LLC               Registered   6/24/2010
             GAR WOOD SECURITIES, LLC
             440 S. LASALLE STREET
             SUITE 2201
             CHICAGO              IL   60605


CRD Number   Broker Dealer:                         Status:
10083        GARDEN STATE SECURITIES, INC.          Registered   9/14/1994
             GARDEN STATE SECURITIES, INC.
             328 NEWMAN SPRINGS RD


             RED BANK             NJ   07701
CRD Number   Broker Dealer:                          Status:
21000        GARDNER FINANCIAL SERVICES, INC.        Registered   8/14/1998
             GARDNER FINANCIAL SERVICES, INC.
             8421 WAYZATA BLVD
             STE 350
             MINNEAPOLIS           MN   55426


CRD Number   Broker Dealer:                          Status:
143032       GARTMORE DISTRIBUTION SERVICES, INC.    Registered   8/16/2007
             GARTMORE DISTRIBURION SERVICES, INC.
             737 N. MICHIGAN AVE
             SUITE 1700
             CHICAGO               IL   60611


CRD Number   Broker Dealer:                          Status:
6482         GARY GOLDBERG & CO., INC.               Registered   6/13/1985
             GARY GOLDBERG & CO., INC.
             75 MONTEBELLO RD
             MONTEBELLO PK
             SUFFERN               NY   10901


CRD Number   Broker Dealer:                          Status:
10863        GATE US LLC                             Registered   4/9/2010
             GATE US LLC
             5 PENN PLAZA
             23RD FLOOR SUITE 2301
             NEW YORK              NY   10001


CRD Number   Broker Dealer:                          Status:
34179        G-BAR LIMITED PARTNERSHIP               Registered   7/9/1990
             G-BAR LIMITED PARTNERSHIP
             440 S. LASALLE STREET
             SUITE 650
             CHICAGO               IL   60605


CRD Number   Broker Dealer:                          Status:
16906        GBS FINANCIAL CORP.                     Registered   4/26/2007
             GBS FINANCIAL CORP.
             558 B STREET


             SANTA ROSA            CA   95401-5274


CRD Number   Broker Dealer:                          Status:
34889        GBS RETIREMENT SERVICES, INC.           Registered   4/15/1996
             GBS RETIREMENT SERVICES, INC.
             TWO PIERCE PLACE
             21ST FL
             ITASCA                IL   60143
CRD Number   Broker Dealer:                        Status:
127835       GCA SAVVIAN ADVISORS, LLC             Registered   8/30/2004
             GCA SAVVIAN ADVISORS, LLC
             150 CALIFORNIA STREET
             23RD FLOOR
             SAN FRANCISCO      CA    94111


CRD Number   Broker Dealer:                        Status:
13349        GE CAPITAL MARKETS, INC.              Registered   5/4/1983
             GE CAPITAL MARKETS, INC.
             201 MERRITT 7, 3RD FL


             NORWALK            CT    06851


CRD Number   Broker Dealer:                        Status:
32087        GE INVESTMENT DISTRIBUTORS, INC.      Registered   11/3/1993
             GE INVESTMENT DISTRIBUTORS, INC.
             1600 SUMMER STREET


             STAMFORD           CT    06905


CRD Number   Broker Dealer:                        Status:
38182        GEARY SECURITIES, INC.                Registered   2/12/1996
             GEARY SECURITIES, INC.
             211 NORTH ROBINSON ST
             STE 200
             OKLAHOMA CITY      OK    73102-7101


CRD Number   Broker Dealer:                        Status:
18367        GELBER SECURITIES, LLC                Registered   10/28/1996
             GELBER SECURITIES, LLC
             141 W. JACKSON BLVD.
             STE 2100A
             CHICAGO            IL    60604


CRD Number   Broker Dealer:                        Status:
120894       GENEOS WEALTH MANAGEMENT, INC.        Registered   7/16/2002
             GENEOS WEALTH MANAGEMENT, INC.
             9055 E MINERAL CIRCLE
             STE 200
             CENTENNIAL         CO    80112


CRD Number   Broker Dealer:                        Status:
145869       GENERATIONAL CAPITAL MARKETS INC.     Registered   1/21/2009
             GENERATIONAL CAPITAL MARKETS INC.
             14241 DALLAS PARKWAY
             SUITE 700
             DALLAS             TX    75254
CRD Number   Broker Dealer:                              Status:
10358        GENWORTH FINANCIAL SECURITIES CORPORATION   Registered   10/18/1993
             GENWORTH FINANCIAL SECURITIES CORPORATION
             200 N MARTINGALE ROAD
             7TH FL
             SCHAUMBURG          IL   60173


CRD Number   Broker Dealer:                              Status:
36354        GEORGE K. BAUM & COMPANY                    Registered   5/23/1994
             GEORGE K. BAUM & COMPANY
             4801 MAIN STREET
             SUITE 500
             KANSAS CITY         MO   64112


CRD Number   Broker Dealer:                              Status:
2733         GEORGE MCKELVEY CO., INC.                   Registered   8/28/1997
             GEORGE MCKELVEY CO., INC.
             POB 375


             SEA GIRT            NJ   08750-2904


CRD Number   Broker Dealer:                              Status:
46749        GEORGESON SECURITIES CORPORATION            Registered   7/14/1999
             GEORGESON SECURITIES CORPORAITON
             118 FERNWOOD AVENUE


             EDISON              NJ   08837


CRD Number   Broker Dealer:                              Status:
145021       GETCO EXECUTION SERVICES LLC                Registered   10/31/2011
             GETCO EXECUTION SERVICECS LLC
             350 N. ORLEANS
             3RD FLOOR SOUTH
             CHICAGO             IL   60654


CRD Number   Broker Dealer:                              Status:
128568       GFA SECURITIES, LLC                         Registered   3/11/2004
             GFA SECURITIES, LLC
             565 FIFTH AVENUE
             TH FLOOR
             NEW YORK            NY   10017


CRD Number   Broker Dealer:                              Status:
2002         GILDER GAGNON HOWE & CO. LLC                Registered   7/12/1973
             GILDER GAGNON HOWE & CO. LLC
             3 COLUMBUS CIRCLE


             NEW YORK            NY   10019
CRD Number   Broker Dealer:                         Status:
8076         GILFORD SECURITIES INCORPORATED        Registered   9/30/1981
             GILFORD SECURITIES INCORPORATED
             777 THIRD AVE
             17TH FL
             NEW YORK           NY     10017


CRD Number   Broker Dealer:                         Status:
151194       GIRARD CAPITAL, LLC                    Registered   4/23/2010
             GIRARD CAPITAL, LLC
             555 CROTON ROAD
             SUITE 210
             KING OF PRUSSIA    PA     19406


CRD Number   Broker Dealer:                         Status:
18697        GIRARD SECURITIES, INC.                Registered   6/30/1995
             GIRARD SECURITIES, INC.
             9560 WAPLES STREET
             SUITE B
             SAN DIEGO          CA     92121


CRD Number   Broker Dealer:                         Status:
13818        GIT INVESTMENT SERVICES, INC.          Registered   4/20/1982
             GIT INVESTMENT SERVICES, INC.
             1700 N MOORE ST
             STE M1E
             ARLINGTON          VA     22209-1903


CRD Number   Broker Dealer:                         Status:
45287        GLADOWSKY CAPITAL MANAGEMENT CORP.     Registered   8/14/1998
             GLADOWSKY CAPITAL MANAGEMENT CORP.
             18 MANOR RD


             SMITHTOWN          NY     11787


CRD Number   Broker Dealer:                         Status:
127808       GLADSTONE SECURITIES, LLC              Registered   10/16/2009
             GLADSTONE SECURITIES, LLC
             1521 WESTBRANCH DRIVE
             SUITE 200
             MCLEAN             VA     22102


CRD Number   Broker Dealer:                         Status:
298          GLEACHER & COMPANY SECURITIES, INC.    Registered   9/27/1960
             GLEACHER & COMPANY SECURITIES, INC.
             1290 AVE OF THE AMERICAS
             5TH FL
             NEW YORK           NY     10104
CRD Number   Broker Dealer:                        Status:
124504       GLEN EAGLE ADVISORS LLC               Registered   6/9/2003
             GLEN EAGLE ADVISORS LLC
             353 NASSAU STREET


             PRINCETON           NJ   08540


CRD Number   Broker Dealer:                        Status:
123649       GLENDALE SECURITIES, INC.             Registered   11/5/2007
             GLENDALE SECURITIES, INC.
             15233 VENTURA BLVD.
             SUITE 712
             SHERMAN OAKS        CA   91403


CRD Number   Broker Dealer:                        Status:
2016         GLICKENHAUS & CO.                     Registered   12/9/1982
             GLICKENHAUS & CO.
             546 FIFTH AVENUE
             7TH FLOOR
             NEW YORK            NY   10036-5000


CRD Number   Broker Dealer:                        Status:
16871        GLOBAL ARENA CAPITAL CORP             Registered   5/9/2008
             GLOBAL ARENA CAPITAL CORP
             708 THIRD AVE
             11TH FL
             NEW YORK            NY   10017


CRD Number   Broker Dealer:                        Status:
37505        GLOBAL BROKERAGE SERVICES, INC.       Registered   5/29/1996
             GLOBAL BROKERAGE SERVICES, INC.
             11350 MCCORMICK RD.
             EP III SUITE 901
             HUNT VALLEY         MD   21031


CRD Number   Broker Dealer:                        Status:
134657       GLOBAL CREDIT PARTNERS, LLC           Registered   2/29/2008
             GLOBAL CREDIT PARTNERS, LLC
             10 MOUNTAINVIEW RD.
             SUITE 115
             UPPER SADDLE RIV    NJ   07458


CRD Number   Broker Dealer:                        Status:
111348       GLOBAL EQUITY HOLDINGS, LLC           Registered   8/2/2011
             GLOBAL EQUITY HOLDINGS, LLC
             20 HILL AND DALE ROAD


             LEBANON             NJ   08833
CRD Number   Broker Dealer:                       Status:
126407       GLOBAL EXECUTION BROKERS, LP         Registered   12/9/2003
             GLOBAL EXECUTION BROKERS, LP
             401 CITY AVENUE


             BALA CYNWYD        PA   19004


CRD Number   Broker Dealer:                       Status:
123003       GLOBAL HUNTER SECURITIES, LLC        Registered   9/19/2006
             GLOBAL HUNTER SECURITIES, LLC
             400 POYDRAS STREET
             SUITE 3100
             NEW ORLEANS        LA   70130


CRD Number   Broker Dealer:                       Status:
134435       GLOBAL LEISURE PARTNERS, LLC         Registered   8/17/2005
             GLOBAL LEISURE PARTNERS, LLC
             20 BALDERTON STREET
             3RD FL
             LONDON UK               W1K6TL


CRD Number   Broker Dealer:                       Status:
35878        GLOBAL RESOURCE INVESTMENTS, LTD.    Registered   8/26/1994
             GLOBAL RESOURCE INVESTMENTS, LTD.
             7770 EL CAMINO REAL


             CARLSBAD           CA   92009-8506


CRD Number   Broker Dealer:                       Status:
21622        GLOBAL TRANSITION SOLUTIONS, INC.    Registered   2/23/2007
             GLOBAL TRANSITION SOLUTIONS, INC.
             4700 N PROSPECT RD
             STE 6
             PEORIA HEIGHTS     IL   61616


CRD Number   Broker Dealer:                       Status:
29721        GLOBALINK SECURITIES, INC.           Registered   10/29/1997
             GLOBALINK SECURITIES, INC.
             3452 EAST FOOTHILL BOULEVARD
             SUITE 1040
             PASADENA           CA   91107


CRD Number   Broker Dealer:                       Status:
45155        GMAC SECURITIES LLC                  Registered   12/10/1998
             GMAC SECURITIES LLC
             POB 5074
             MAIL CODE 480-300-226
             SOUTHFIELD         MI   48086
CRD Number   Broker Dealer:                             Status:
147286       GNV ADVISORS, LLC                          Registered   11/17/2008
             GNV ADVISORS, LLC
             181 W. MADISON STREET
             35TH FLOOR
             CHICAGO             IL   60602


CRD Number   Broker Dealer:                             Status:
44402        GOELZER INVESTMENT MANAGEMENT, INC.        Registered   2/26/1999
             GOELZER INVESMTENT MANAGEMENT, INC.
             111 MONUMENT CIRCLE
             #500
             INDIANAPOLIS        IN   46204


CRD Number   Broker Dealer:                             Status:
110925       GOLD COAST SECURITIES, INC.                Registered   1/24/2003
             GOLD COAST SECURITIES, INC.
             275 E. HILLCREST DRIVE
             SUITE 225
             THOUSAND OAKS       CA   91360-8241


CRD Number   Broker Dealer:                             Status:
48029        GOLDEN BENEFICIAL SECURITIES CORPORATION   Registered   10/7/2003
             GOLDEN BENEFICIAL SECURITIES CORPORATION
             5850 SAN FELIPE
             SUITE 111
             HOUSTON             TX   77057


CRD Number   Broker Dealer:                             Status:
15514        GOLDK INVESTMENT SERVICES, INC.            Registered   4/30/1986
             GOLDK INVESTMENT SERVICES, INC.
             175 FEDERAL STREET
             6TH FLOOR
             BOSTON              MA   02110


CRD Number   Broker Dealer:                             Status:
3466         GOLDMAN SACHS EXECUTION & CLEARING, L.P.   Registered   3/3/1988
             GOLDMAN SACHS EXECUTION & CLEARING, L.P.
             30 HUDSON ST, 27TH FL


             JERSEY CITY         NJ   07302-4699


CRD Number   Broker Dealer:                             Status:
361          GOLDMAN, SACHS & CO.                       Registered   10/19/2023
             GOLDMAN, SACHS & CO.
             30 HUDSON ST
             27TH FL
             JERSEY CITY         NJ   07302-4699
CRD Number   Broker Dealer:                        Status:
11391        GORDON & CO.                          Registered   2/28/1977
             GORDON & CO.
             63 PLEASANT STREET
             SUITE 200
             WATERTOWN            MA   02472


CRD Number   Broker Dealer:                        Status:
7976         GORDON, HASKETT CAPITAL CORPORATION   Registered   10/3/2005
             GORDON, HASKETT CAPITAL CORPORATION
             441 LEXINGTON AVENUE
             10TH FLOOR
             NEW YORK             NY   10017


CRD Number   Broker Dealer:                        Status:
20680        GOTTBETTER CAPITAL MARKETS, LLC       Registered   5/21/2008
             GOTTBETTER CAPITAL MARKETS, LLC
             488 MADISON AVENUE
             12TH FL
             NEW YORK             NY   10022


CRD Number   Broker Dealer:                        Status:
44323        GOVDESK, LLC                          Registered   6/14/2004
             GOVDESK, LLC
             1720 S. CATALINA
             SUITE # 210
             REDONDO BEACH        CA   90277


CRD Number   Broker Dealer:                        Status:
104133       GRACE FINANCIAL GROUP LLC             Registered   5/21/2001
             GRACE FINANCIAL GROUP LLC
             83 JOBS LANE


             SOUTHHAMPTON         NY   11968


CRD Number   Broker Dealer:                        Status:
127701       GRADIENT SECURITIES, LLC              Registered   1/20/2004
             GRADIENT SECURITIES, LLC
             4570 CHURCHILL ST.
             SUITE 110
             SHOEVIEW             MN   55126


CRD Number   Broker Dealer:                        Status:
127700       GRAND DISTRIBUTION SERVICES, LLC      Registered   6/18/2004
             GRAND DISTRIBUTION SERVICES, LLC
             803 W. MICHIGAN STREET
             SUITE A
             MILWAUKEE            WI   53233
CRD Number   Broker Dealer:                          Status:
19571        GRAND FINANCIAL, INC.                   Registered   4/25/1990
             GRAND FINANCIAL, INC.
             15303 DALLAS PKWY
             STE 1010
             ADDISON               TX   75001


CRD Number   Broker Dealer:                          Status:
38765        GRANT STREET SECURITIES, INC.           Registered   6/29/1995
             GRANT STREET SECURITIES, INC.
             ALLEGHENY BLDG, STE. 1800
             429 FORBES AVE
             PITTSBURGH            PA   15219-1604


CRD Number   Broker Dealer:                          Status:
45961        GRANT WILLIAMS L.P.                     Registered   2/4/1999
             GRANT WILLIAMS L.P.
             1650 MARKET STREET
             53RD FL
             PHILADELPHIA          PA   19103


CRD Number   Broker Dealer:                          Status:
36451        GREAT AMERICAN ADVISORS, INC.           Registered   11/16/1994
             GREAT AMERICAN ADVISORS, INC.
             POB 357


             CINCINNATI            OH   45201-0357


CRD Number   Broker Dealer:                          Status:
8658         GREAT CIRCLE FINANCIAL                  Registered   6/29/2009
             GREAT CIRCLE FINANCIAL
             675 SIERRA ROSE DR.


             RENO                  NV   89511


CRD Number   Broker Dealer:                          Status:
19981        GREAT NATION INVESTMENT CORPORATION     Registered   3/14/1994
             GREAT NATION INVESTMENT CORPORATION
             P.O. BOX 7566


             AMARILLO              TX   79114-7566


CRD Number   Broker Dealer:                          Status:
28937        GREEN STREET ADVISORS, INC.             Registered   2/14/2007
             GREEN STREET ADVISORS, INC.
             660 NEWPORT CENTER DRIVE
             SUITE 800
             NEWPORT BEACH         CA   92660
CRD Number   Broker Dealer:                               Status:
38747        GREENBERG FINANCIAL GROUP                    Registered   4/3/2002
             GREENBERG FINANCIAL GROUP
             4511 N. CAMPBELL AVENUE


             TUCSON              AZ   85718


CRD Number   Broker Dealer:                               Status:
40290        GREENHILL & CO., LLC                         Registered   1/26/1999
             GREENHILL & CO., LLC
             300 PARK AVENUE


             NEW YORK            NY   10022


CRD Number   Broker Dealer:                               Status:
149644       GREENTECH CAPITAL ADVISORS SECURITIES, LLC   Registered   10/16/2009
             GREENTECH CAPITAL ADVISORS SECURITIES, LLC
             640 FIFTH AVENUE
             16TH FL
             NEW YORK            NY   10019


CRD Number   Broker Dealer:                               Status:
45316        GREENTREE BROKERAGE SERVICES, INC.           Registered   6/17/1999
             GREENTREE BROKERAGE SERVICES, INC.
             1831 CHESTNUT ST.
             STE 1002
             PHILADELPHIA        PA   19103


CRD Number   Broker Dealer:                               Status:
28693        GREENTREE INVESTMENT SERVICES, INC.          Registered   8/19/1991
             GREENTREE INVESTMENT SERVICES, INC.
             P.O. BOX 88


             BRIDGEVILLE         PA   15017-0088


CRD Number   Broker Dealer:                               Status:
121430       GREENWICH PRIME TRADING GROUP, LLC           Registered   2/27/2009
             GREENWICH PRIME TRADING GROUP, LLC
             100 FIRST STAMFORD PLACE
             6TH FL
             STAMFORD            CT   06902


CRD Number   Broker Dealer:                               Status:
7294         GREGORY J. SCHWARTZ & CO., INC.              Registered   11/13/2001
             GREGORY J. SCHWARTZ & CO., INC.
             3707 WEST MAPLE ROAD


             BLOOMFIELD HILLS    MI   48301-3212
CRD Number   Broker Dealer:                          Status:
22590        GREGORY, ZENT & SWANSON INC.            Registered   6/2/1999
             GREGORY, ZENT & SWANSON, INC.
             4011 W. JEFFERSON BLVD.
             SUITE 225
             FORT WAYNE          IN     46804


CRD Number   Broker Dealer:                          Status:
37739        GRIFFIN CAPITAL SECURITIES, INC.        Registered   9/10/2008
             GRIFFIN CAPITAL SECURITIES, INC.
             2121 ROSECRANS AVENUE
             SUITE 3321
             EL SEGUNDO          CA     90245


CRD Number   Broker Dealer:                          Status:
119004       GRIFFIN FINANCIAL GROUP, LLC            Registered   9/20/2002
             GRIFFIN FINANCIAL GROUP, LLC
             607 WASHINGTON ST


             READING             PA     19603


CRD Number   Broker Dealer:                          Status:
43229        GRIFFIN SECURITIES, INC.                Registered   10/9/2002
             GRIFFIN SECURITIES, INC.
             17 STATE STREET


             NEW YORK            NY     10004


CRD Number   Broker Dealer:                          Status:
40620        GRIFFITHS MCBURNEY CORP.                Registered   8/26/1996
             GRIFFITHS MCBURNEY CORP.
             145 KING STREET W
             STE 300
             TORONTO, ONTARI            M5H 1J8


CRD Number   Broker Dealer:                          Status:
29148        GRODSKY ASSOCIATES, INC.                Registered   7/25/1995
             GRODSKY ASSOCIATES, INC.
             29 LONGVIEW ST.


             WEST ORANGE         NJ     07052


CRD Number   Broker Dealer:                          Status:
138348       GROSVENOR SECURITIES LLC                Registered   5/25/2006
             GROSVENOR SECURITIES LLC
             900 NORTH MICHIGAN AVENUE
             SUITE 1100
             CHICAGO             IL     60611-6541
CRD Number   Broker Dealer:                          Status:
126600       GROTON SECURITIES LLC                   Registered   4/7/2011
             GROTON SECURITIES LLC
             6640 FIFTH AVENUE
             SUITE 1700
             NEW YORK              NY   10019


CRD Number   Broker Dealer:                          Status:
37484        GROUP ONE TRADING, L.P.                 Registered   2/5/2002
             GROUP ONE TRADING, L.P.
             440 S. LASALLE STREET
             SUITE 3232
             CHICAGO               IL   60605


CRD Number   Broker Dealer:                          Status:
137438       GROWTHPOINT TECHNOLOGY PARTNERS, LLC    Registered   4/11/2008
             GROWTHPOINT TECHNOLOGY PARTNERS, LLC
             835 PAGE MILL ROAD


             PALO ALTO             CA   94304


CRD Number   Broker Dealer:                          Status:
151226       GRUBB & ELLIS CAPITAL CORPORATION       Registered   5/18/2010
             GRUBB & ELLIS CAPITAL CORPORATION
             1551 N. TUSTIN AVE.
             SUITE 300
             SANTA ANA             CA   92705


CRD Number   Broker Dealer:                          Status:
140314       G-TRADE SERVICES LLC                    Registered   1/31/2007
             G-TRADE SERVICES LLC
             1633 BROADWAY
             48TH FLOOR
             NEW YORK              NY   10019


CRD Number   Broker Dealer:                          Status:
149306       GUARDIAN DIRECT ENERGY PROGRAMS, INC.   Registered   8/6/2010
             GUARDIAN DIRECT ENERGY PROGRAMS, INC.
             100 S. VILLAGE CENTER DR.


             SOUTHLAKE             TX   76092


CRD Number   Broker Dealer:                          Status:
6635         GUARDIAN INVESTOR SERVICES LLC          Registered   2/4/1969
             GUARDIAN INVESTOR SERVICES LLC
             81 HIGHLAND AVE


             BETHLEHEM             PA   18017
CRD Number   Broker Dealer:                        Status:
39805        GUGGENHEIM FUNDS DISTRIBUTORS, INC.   Registered   3/13/2000
             GUGGENHEIM FUNDS DISTRIBUTORS, INC.
             2455 CORPORATE WEST DRIVE


             LISLE               IL   60532


CRD Number   Broker Dealer:                        Status:
30096        GUGGENHEIM INVESTOR SERVICES, LLC     Registered   2/23/2007
             GUGGENHEIM INVESTOR SERVICES, LLC
             135 E 57TH ST.
             11TH FL
             NEW YORK            NY   10022


CRD Number   Broker Dealer:                        Status:
40638        GUGGENHEIM SECURITIES, LLC            Registered   5/7/1998
             GUGGENHEIM SECURITIES, LLC
             135 E 57TH ST
             7TH FL
             NEW YORK            NY   10022


CRD Number   Broker Dealer:                        Status:
148249       GUIDESTONE FINANCIAL SERVICES         Registered   6/3/2009
             GUIDESTONE FINANCIAL SERVICES
             2401 CEDAR SPRINGS ROAD


             DALLAS              TX   75201-1498


CRD Number   Broker Dealer:                        Status:
149899       GULF SOUTH SECURITIES, INC            Registered   6/18/2010
             GULF SOUTH SECURITIES, INC
             3206 50TH ST., COURT
             SUITE 105B
             GIG HARBOR          WA   98335


CRD Number   Broker Dealer:                        Status:
21013        GUZMAN & COMPANY                      Registered   7/2/2001
             GUZMAN & COMPANY
             101 ARAGON AVENUE


             CORAL GABLES        FL   33134-5426


CRD Number   Broker Dealer:                        Status:
38923        GVC CAPITAL LLC                       Registered   10/19/2001
             GVC CAPITAL LLC
             5350 S ROSLYN ST
             STE 400
             GREENWOOD VILL      CO   80111-2124
CRD Number   Broker Dealer:                          Status:
13109        GWFS EQUITIES, INC                      Registered   12/17/1985
             GWFS EQUITIES, INC.
             8525 EAST ORCHARD RD, 2T3


             GREENWOOD VILL        CO   80111-5002


CRD Number   Broker Dealer:                          Status:
42844        GWM GROUP, INC.                         Registered   2/22/2011
             GWM GROUP, INC.
             399 PARK AVENUE
             32ND FL
             NEW YORK              NY   10022


CRD Number   Broker Dealer:                          Status:
128929       GWN SECURITIES INC.                     Registered   1/22/2004
             GWN SECURITIES INC.
             11440 NORTH JOG ROAD


             PALM BEACH GARD       FL   33418-3764


CRD Number   Broker Dealer:                          Status:
113794       H & L EQUITIES, LLC                     Registered   11/15/2001
             H & L EQUITIES, LLC
             1175 PEACHTREE STREET, NE
             SUITE 2120
             ATLANTA               GA   30361-6206


CRD Number   Broker Dealer:                          Status:
1763         H. BECK, INC.                           Registered   1/18/1985
             H. BECK, INC.
             6600 ROCKLEDGE DRIVE
             SUITE 600
             BETHESDA              MD   20817


CRD Number   Broker Dealer:                          Status:
13686        H.D. VEST INVESTMENT SERVICES           Registered   2/13/1986
             H.D. VEST INVESTMENT SERVICES, INC.
             6333 N STATE HWY 161
             4TH FL
             IRVING                TX   75038-2200


CRD Number   Broker Dealer:                          Status:
32664        HALCYON CABOT PARTNERS, LTD.            Registered   6/18/2010
             HALCYON CABOT PARTNERS, LTD.
             405 LEXINGTON AVENUE
             7TH FL
             NEW YORK              NY   10174
CRD Number   Broker Dealer:                           Status:
135966       HALEN CAPITAL,INC                        Registered   9/29/2008
             HALEN CAPITAL,INC
             301 SOUTH MISSOURI AVE.
             2ND FL
             CLEARWATER           FL   33756


CRD Number   Broker Dealer:                           Status:
104124       HALEY SECURITIES, INC.                   Registered   8/7/2001
             HALEY SECURITIES, INC.
             10703 J ST., SUITE 102


             OMAHA                NE   68127


CRD Number   Broker Dealer:                           Status:
135003       HALLMARK INVESTMENTS, INC.               Registered   10/18/2005
             HALLMARK INVETMENTS, INC.
             6 EAST 39TH STREET


             NEW YORK             NY   10016


CRD Number   Broker Dealer:                           Status:
127653       HAMILTON EXECUTIONS L.L.C.               Registered   5/4/2004
             HAMILTON EXECUTIONS L.L.C.
             71 BROADWAY
             STE 12J
             NEW YORK             NY   10006


CRD Number   Broker Dealer:                           Status:
141685       HAMPTON HEDGE FUND MARKETING, LLC        Registered   7/17/2008
             HAMPTON HEDGE FUND MARKETING, LLC
             2605 GENEVA HILL COURT


             OAKTON               VA   22124


CRD Number   Broker Dealer:                           Status:
103260       HANCOCK SECURITIES GROUP, LLC            Registered   6/27/2003
             HANCOCK SECURITIES GROUP, LLC
             383 MARSHALL AVE


             ST. LOUIS            MO   63119


CRD Number   Broker Dealer:                           Status:
103747       HANSON MCCLAIN                           Registered   9/18/2000
             HANSON MCCLAIN RETIREMENT NETWORK, LLC
             3620 FAIR OAKS BLVD
             #300
             SACRAMENTO           CA   95864
CRD Number   Broker Dealer:                       Status:
46047        HANTZ FINANCIAL SERVICES, INC.       Registered   10/6/1999
             HANTZ FINANCIAL SERVICES, INC.
             26200 AMERICAN DRIVE
             FIFTH FLOOR
             SOUTHFIELD         MI   48034


CRD Number   Broker Dealer:                       Status:
266          HAPOALIM SECURITIES USA, INC.        Registered   8/18/1987
             HAPOALIM SECURITIES USA, INC.
             ONE BATTERY PARK PLAZA
             2ND FL
             NEW YORK           NY   10004-1405


CRD Number   Broker Dealer:                       Status:
25700        HARBOR FINANCIAL SERVICES, LLC       Registered   2/7/2006
             HARBOR FINANCIAL SERVICES, LLC
             RSA BATTLEHOUSE TWR
             11 NORTH WATER ST., STE 21290
             MOBILE             AL   36602


CRD Number   Broker Dealer:                       Status:
113506       HARBOR FUNDS DISTRIBUTORS, INC.      Registered   8/10/2001
             HARBOR FUNDS DISTRIBUTORS, INC.
             111 SOUTH WACKER DRIVE
             34TH FL
             CHICAGO            IL   60606


CRD Number   Broker Dealer:                       Status:
151085       HARBOR INVESTMENT ADVISORS, LLC      Registered   2/1/2010
             HARBOR INVESTMENT ADVISORS, LLC
             100 LIGHT STREET
             SUITE 1300
             BALTIMORE          MD   21202


CRD Number   Broker Dealer:                       Status:
130227       HARBOR LIGHT SECURITIES, LLC         Registered   5/17/2010
             HARBOR LIGHT SECURITIES, LLC
             20 TOWNE DRIVE
             SUITE 138
             BLUFFTON           SC   29909


CRD Number   Broker Dealer:                       Status:
19258        HARBOUR INVESTMENTS, INC.            Registered   3/24/1997
             HARBOUR INVESTMENTS, INC.
             575 D'ONOFRIO DRIVE
             SUITE 300
             MADISON            WI   53719
CRD Number   Broker Dealer:                                Status:
126589       HAROLD C. BROWN & CO., LLC                    Registered   6/19/2003
             HAROLD C. BROWN & CO., LLC
             ONE HSBC CENTER
             SUITE 3800
             BUFFALO             NY   14203-2898


CRD Number   Broker Dealer:                                Status:
6959         HARRIS ASSOCIATES SECURITIES L.P.             Registered   3/3/1992
             HARRIS ASSOCIATES SECURITIES L.P.
             TWO NORTH LASALLE STREET
             SUITE 500
             CHICAGO             IL   60602-3790


CRD Number   Broker Dealer:                                Status:
113930       HARRIS WILLIAMS & CO.                         Registered   3/9/2006
             HARRIS WILLIAMS LLC
             1001 HAXALL POINT
             9TH FLOOR
             RICHMOND            VA   23219


CRD Number   Broker Dealer:                                Status:
7117         HARTFIELD, TITUS & DONNELLY, LLC              Registered   9/17/1981
             HARTFIELD, TITUS & DONNELLY, LLC
             111 TOWN SQUARE PLACE


             JERSEY CITY         NJ   07310


CRD Number   Broker Dealer:                                Status:
6604         HARTFORD EQUITY SALES COMPANY INC.            Registered   11/1/1982
             HARTFORD EQUITY SALES COMPANY INC.
             200 HOPMEADOW ST
             C1E
             SIMSBURY            CT   06089


CRD Number   Broker Dealer:                                Status:
45995        HARTFORD INVESTMENT FINANCIAL SERVICES, LLC   Registered   4/23/1999
             HARTFORD INVESTMENT FINANCIAL SERVICES, LLC
             200 HOPMEADOW ST
             C1E
             SIMSBURY            CT   06016


CRD Number   Broker Dealer:                                Status:
8326         HARTFORD LIFE DISTRIBUTORS, LLC               Registered   8/25/1980
             HARTFORD LIFE DISTRIBUTORS, LLC
             1500 LIBERTY RIDGE DRIVE
             STE 100
             WAYNE               PA   19087-5592
CRD Number   Broker Dealer:                                   Status:
37819        HARTFORD SECURITIES DISTRIBUTION COMPANY, INC.   Registered   5/18/1995
             HARTFORD SECURITIES DISTRIBUTION COMPANY, INC.
             200 HOPMEADOW ST
             C1E
             SIMSBURY           CT     06016


CRD Number   Broker Dealer:                                   Status:
35723        HARVEST CAPITAL LLC                              Registered   6/3/1997
             HARVEST CAPITAL LLC
             530 SILAS DEANE HWY
             SUITE 300
             WETHERSFIELD       CT     06109


CRD Number   Broker Dealer:                                   Status:
8733         HARVEST FINANCIAL CORPORATION                    Registered   5/14/1981
             HARVEST FINANCIAL CORPORATION
             1100 SMALLMAN STREET


             PITTSBURGH         PA     15222


CRD Number   Broker Dealer:                                   Status:
142998       HASTINGS CAPITAL GROUP, LLC                      Registered   7/17/2007
             HSATINGS CAPITAL GROUP, LLC
             527 MADISON AVE
             16TH FL
             NEW YORK           NY     10022


CRD Number   Broker Dealer:                                   Status:
143365       HATTERAS CAPITAL                                 Registered   8/6/2009
             HATERAS CAPITAL DISTRIBUTORS, LLC
             8540 COLONNADE CENTER DRIVE
             #401
             RALEIGH            NC     27615


CRD Number   Broker Dealer:                                   Status:
13214        HAVERFORD TRUST SECURITIES, INC.                 Registered   2/8/1983
             HAVERFORD TRUST SECURITIES, INC.
             THREE RADNOR CORP CTR
             STE 450
             RADNOR             PA     19087-4599


CRD Number   Broker Dealer:                                   Status:
150872       HAYDEN STONE & CO., LLC                          Registered   5/17/2010
             HAYDEN STONE & CO., LLC
             429 FORBES AVE
             SUITE 300
             PITTSBURGH         PA     15219
CRD Number   Broker Dealer:                                Status:
42072        HAYWOOD SECURITIES (USA) INC.                 Registered   6/17/1999
             HAYWOOD SECURITIES (USA) INC.
             200 BURRARD ST
             STE 700
             VANCOUVER BC, C         V6C 3L6


CRD Number   Broker Dealer:                                Status:
2048         HAZARD & SIEGEL, INC.                         Registered   6/20/2003
             HAZARD & SIEGEL, INC.
             PO BOX 157


             SYRACUSE           NY   13214


CRD Number   Broker Dealer:                                Status:
396          HAZLETT, BURT & WATSON, INC.                  Registered   12/20/1979
             HAZLETT, BURT & WATSON, INC.
             1300 CHAPLINE STREET


             WHEELING           WV   26003


CRD Number   Broker Dealer:                                Status:
136959       HBW SECURITIES LLC                            Registered   2/2/2006
             HBW SECURITIES LLC
             3355 COCHRAN STREET
             SUITE 100
             SIMI VALLEY        CA   93063


CRD Number   Broker Dealer:                                Status:
36026        HEALTHCARE COMMUNITY SECURITIES CORPORATION   Registered   6/14/1996
             HEALTHCARE COMMUNITY SECURITIES CORPORATION
             ONE EMPIRE DR


             RENSSELAER         NY   12144


CRD Number   Broker Dealer:                                Status:
26974        HEARTLAND INVESTMENT ASSOCIATES, INC.         Registered   6/20/2002
             HEARTLAND INVESTMENT ASSOCIATES, INC.
             P.O. BOX 10167


             CEDAR RAPIDS       IA   52410-0167


CRD Number   Broker Dealer:                                Status:
113326       HEDGE FUND CAPITAL PARTNERS, LLC              Registered   3/25/2004
             HEDGE FUND CAPITAL PARTNERS, LLC
             100 JAY STREET
             STE 21A
             NEW YORK           NY   11201
CRD Number   Broker Dealer:                                  Status:
44324        HEDGE HARBOR INC.                               Registered   12/1/2003
             HEDGE HARBOR INC.
             800 THIRD AVENUE
             22ND FLOOR
             NEW YORK             NY   10022


CRD Number   Broker Dealer:                                  Status:
142498       HEDGECO SECURITIES, LLC                         Registered   3/19/2008
             HEDGECO SECURITIES, LLC
             400 CLEMATIS STREET
             SUITE 205
             WEST PALM BEACH      FL   33401


CRD Number   Broker Dealer:                                  Status:
53           HEFREN-TILLOTSON, INC.                          Registered   4/4/1962
             HEFREN-TILLOTSON, INC.
             308 SEVENTH AVE.


             PITTSBURGH           PA   15222-3909


CRD Number   Broker Dealer:                                  Status:
150659       HEIGHT SECURITIES, LLC                          Registered   2/3/2011
             HEIGHT SECURITIES, LLC
             1775 PENNSYLVANIA AVENUE, NW
             11TH FLOOR
             WASHINGTON           DC   20006


CRD Number   Broker Dealer:                                  Status:
132007       HELVEA INC.                                     Registered   3/31/2010
             HELVEA INC.
             600 LEXINGTON AVENUE
             SUITE 2501
             NEW YORK             NY   10022


CRD Number   Broker Dealer:                                  Status:
101640       HENDERSON GLOBAL INVESTORS EQUITY PLANNING, I   Registered   8/19/2005
             HENDERSON GLOBAL INVESTORS EQUITY PLANNING, I
             737 N MICHIGAN AVE
             STE 1700
             CHICAGO              IL   60611


CRD Number   Broker Dealer:                                  Status:
131453       HENLEY & COMPANY LLC                            Registered   10/15/2004
             HENLEY & COMPANY LLC
             1290 RXR PLAZA


             UNIONDALE            NY   11556
CRD Number   Broker Dealer:                          Status:
25766        HENNION & WALSH, INC.                   Registered   3/13/1990
             HENNION & WALSH, INC.
             2001 ROUTE 46
             WATERVIEW PLAZA
             PARSIPPANY            NJ   07054-1018


CRD Number   Broker Dealer:                          Status:
3420         HERBERT J. SIMS & CO., INC.             Registered   12/4/1981
             HERBERT J. SIMS & CO., INC.
             2150 POST ROAD
             SUITE 301
             FAIRFIELD             CT   06824


CRD Number   Broker Dealer:                          Status:
133019       HERITAGE FINANCIAL SYSTEMS, INC.        Registered   3/18/2005
             HERITAGE FINANCIAL SYSTEMS, INC.
             5 GREAT VALLEY PKWY
             STE 334
             MALVERN               PA   19355


CRD Number   Broker Dealer:                          Status:
44971        HERNDON PLANT OAKLEY, LTD.              Registered   8/25/1998
             HERNDON PLANT OAKLEY, LTD.
             800 N SHORELINE BLVD
             STE 2200 SOUTH
             CORPUS CHRISTI        TX   78401


CRD Number   Broker Dealer:                          Status:
36509        HEWITT FINANCIAL SERVICES LLC           Registered   12/21/1994
             HEWITT FINANCIAL SERVICES LLC
             100 HALF DAY ROAD


             LINCOLNSHIRE          IL   60069


CRD Number   Broker Dealer:                          Status:
131585       HFF SECURITIES L.P.                     Registered   1/22/2007
             HFF SECURITIES L.P.
             1999 AVE OF THE STARS
             STE 1200
             LOS ANGELES           CA   90067


CRD Number   Broker Dealer:                          Status:
44351        HFP CAPITAL MARKETS LLC                 Registered   2/15/2000
             HFP CAPITAL MARKETS LLC
             685 FIFTH AVENUE
             9TH FLOOR
             NEW YORK              NY   10022
CRD Number   Broker Dealer:                        Status:
17134        HIGH SECURITIES, LTD.                 Registered   1/22/1986
             HIGH SECURITIES, LTD.
             P.O. BOX 10008


             LANCASTER          PA   17605-0008


CRD Number   Broker Dealer:                        Status:
104201       HIGH STREET SECURITIES, INC.          Registered   1/29/2004
             HIGH STREET SECURITIES, INC.
             1251 LAKESIDE RD
             SUITE B
             HOT SPRINGS        AR   71901


CRD Number   Broker Dealer:                        Status:
25896        HIGHLAND FINANCIAL, LTD.              Registered   3/26/1990
             HIGHLAND FINANCIAL, LTD.
             915 MENOHER BLVD
             STE A
             JOHNSTOWN          PA   15905-2800


CRD Number   Broker Dealer:                        Status:
19074        HIGHLANDER CAPITAL GROUP, INC.        Registered   3/29/1988
             HIGHLANDER CAPITAL GROUP, INC.
             535 MILLBURN AVENUE


             SHORT HILLS        NJ   07078


CRD Number   Broker Dealer:                        Status:
147382       HIGHMARK FUNDS DISTRIBUTORS, INC.     Registered   10/30/2008
             HIGHMARK FUNDS DISTRIBUTORS, INC.
             760 MOORE RD


             KING OF PRUSSIA    PA   19406


CRD Number   Broker Dealer:                        Status:
116681       HIGHTOWER SECURITIES, LLC             Registered   10/23/2008
             HIGHTOWER SECURITIES, LLC
             200 WEST MADISON ST
             SUITE 2500
             CHICAGO            IL   60606-3414


CRD Number   Broker Dealer:                        Status:
128145       HINES REAL ESTATE INVESTMENTS, INC.   Registered   2/23/2004
             HINES REAL ESTATE INVESTMENTS, INC.
             2800 POST OAK BLVD.
             STE 4700
             HOUSTON            TX   77056
CRD Number   Broker Dealer:                                   Status:
40581        HMC INVESTMENTS, INC.                            Registered   4/29/1997
             HMC INVESTMENTS, INC.
             2100 3RD AVE NORTH


             BIRMINGHAM           AL   35203


CRD Number   Broker Dealer:                                   Status:
131848       HODES WEILL SECURITIES, LLC                      Registered   12/13/2011
             HODES WEILL SECURITIES, LLC
             850 THIRD AVE
             15TH FLOOR
             NEW YORK             NY   10022


CRD Number   Broker Dealer:                                   Status:
36816        HOLD BROTHERS ON-LINE INVESTMENT SERVICES L.L.   Registered   12/10/2003
             HOLD BROTHERS ON-LINE INVESTMENT SERVICES L.L.
             1177 AVE OF THE AMERICAS
             SUITE 2B
             NEW YORK             NY   10036


CRD Number   Broker Dealer:                                   Status:
46217        HOLLENCREST CAPITAL MANAGEMENT D/B/A HOLLENC     Registered   7/25/2002
             HOLLENCREST SECURITIES, LLC
             100 BAYVIEW CIR
             STE 500
             NEWPORT BEACH        CA   92660


CRD Number   Broker Dealer:                                   Status:
11643        HORACE MANN INVESTORS INC                        Registered   8/16/1999
             HORACE MANN INVESTORS INC
             ONE HORACE MANN PLAZA


             SPRINGFIELD          IL   62715-0001


CRD Number   Broker Dealer:                                   Status:
40794        HORAN SECURITIES, INC.                           Registered   4/8/1997
             HORAN SECURITIES, INC.
             4990 E GALBRAITH RD
             STE 102
             CINCINNATI           OH   45236


CRD Number   Broker Dealer:                                   Status:
4031         HORNOR, TOWNSEND & KENT, INC.                    Registered   1/6/1982
             HORNOR, TOWNSEND & KENT, INC.
             600 DRESHER RD
             STE C1C
             HORSHAM              PA   19044
CRD Number   Broker Dealer:                         Status:
5611         HORWITZ & ASSOCIATES, INC.             Registered   10/8/1996
             HORWITZ & ASSOCIATES, INC.
             2610 LAKE COOK RD.
             STE 190
             RIVERWOODS           IL   60015-5710


CRD Number   Broker Dealer:                         Status:
17708        HOULIHAN LOKEY CAPITAL, INC.           Registered   2/10/2005
             HOULIHAN LOKEY CAPITAL, INC.
             1930 CENTURY PARK WEST


             LOS ANGELES          CA   90067


CRD Number   Broker Dealer:                         Status:
25425        HOVDE SECURITIES LLC                   Registered   3/11/1994
             HOVDE SECURITIES LLC
             1629 COLONIAL PARKWAY


             INVERNESS            IA   60067


CRD Number   Broker Dealer:                         Status:
30958        HOWARD WEIL INCORPORATED               Registered   2/17/1994
             HOWARD WEIL INCORPORATED
             1100 POYDRAS ST
             STE 3500
             NEW ORLEANS          LA   70163


CRD Number   Broker Dealer:                         Status:
142846       HRC FUND ASSOCIATES, LLC               Registered   6/4/2007
             HRC FUND ASSOCIATES, LLC
             125 MAIDEN LANE
             6TH FL
             NEW YORK             NY   10038


CRD Number   Broker Dealer:                         Status:
31741        HRC INVESTMENT SERVICES, INC.          Registered   6/2/1993
             HRC INVESTMENT SERVICES, INC.
             725 GLEN COVE AVE


             GLEN HEAD            NY   11545


CRD Number   Broker Dealer:                         Status:
19585        HSBC SECURITIES (USA) INC.             Registered   10/2/1973
             HSBC SECURITIES (USA) INC.
             452 FIFTH AVE
             7TH FL
             NEW YORK             NY   10018
CRD Number   Broker Dealer:                             Status:
8593         HUCKIN FINANCIAL GROUP, INC.               Registered   2/7/2007
             HUCKIN FINANCIAL GROUP, INC.
             3700 BUFFALO SPEEDWAY
             SUITE 950
             HOUSTON             TX   77098


CRD Number   Broker Dealer:                             Status:
44357        HUDSON HERITAGE CAPITAL MANAGEMENT, INC.   Registered   5/16/2001
             HUDSON HERITAGE CAPITAL MANAGEMENT, INC.
             20 BALTIC PLACE
             SUITE 2
             CROTON-ON-HUDS      NY   10520


CRD Number   Broker Dealer:                             Status:
145425       HUDSON PARTNERS SECURITIES LLC             Registered   3/27/2008
             HUDSON PARTNERS SECURITIES LLC
             1 LANDMARK SQUARE
             6TH FL
             STAMFORD            CT   06901


CRD Number   Broker Dealer:                             Status:
30177        HUNTER ASSOCIATES, INC.                    Registered   6/30/1992
             HUNTER ASSOCIATES, INC.
             436 SEVENTH AVE
             KOPPERS BLDG, 5TH FL
             PITTSBURGH          PA   15219-1818


CRD Number   Broker Dealer:                             Status:
45559        HUNTER SCOTT FINANCIAL LLC.                Registered   4/28/2003
             HUNTER SCOTT FINANCIAL LLC.
             500 GULFSTREAM BLVD
             STE 105
             DELRAY BH           FL   33483


CRD Number   Broker Dealer:                             Status:
104193       HUNTER WISE SECURITIES, LLC                Registered   3/12/2010
             HUNTER WISE SECURITIES, LLC
             2361 CAMPUS DRIVE
             SUITE 100
             IRVINE              CA   92612


CRD Number   Broker Dealer:                             Status:
130604       HUNTHILL CAPITAL, LLC                      Registered   11/19/2004
             HUNTHILL CAPITAL, LLC
             330 MADISON AVENUE
             9TH FL
             NEW YORK            NY   10017
CRD Number   Broker Dealer:                          Status:
7456         HUNTLEIGH SECURITIES CORPORATION        Registered   9/25/1997
             HUNTLEIGH SECURITIES CORPORATION
             7800 FORSYTH BLVD.
             5TH FL
             ST. LOUIS             MO   63105


CRD Number   Broker Dealer:                          Status:
41352        I-BANKERS SECURITIES, INC.              Registered   4/25/2008
             IBS HOLDING CORPORATION
             6030 OWENSMOUTH AVE
             10TH FL
             WOODLAND HILLS        CA   91367


CRD Number   Broker Dealer:                          Status:
152766       IBERIA CAPITAL PARTNERS L.L.C.          Registered   12/5/2011
             IBERIA CAPITAL PARTNERS L.L.C.
             601 PYDRAS STREET
             SUITE 2000
             NEW ORLEANS           LA   70130


CRD Number   Broker Dealer:                          Status:
42360        IBN FINANCIAL SERVICES, INC.            Registered   1/4/2002
             IBN FINANCIAL SERVICES, INC.
             PO BOX 2365


             LIVERPOOL             NY   13089


CRD Number   Broker Dealer:                          Status:
37921        IBS SECURITIES, LLC                     Registered   2/21/2002
             IBS SECURITIES, LLC
             721 E. MADISON
             SUITE 100
             VILLA PARK            IL   60181


CRD Number   Broker Dealer:                          Status:
2762         ICAP CORPORATES LLC                     Registered   8/18/1970
             ICAP CORPORATES LLC
             1100 PLZ 5, 12TH FL
             HARBORSIDE FINANCIAL CTR
             JERSEY CITY           NJ   07311-4996


CRD Number   Broker Dealer:                          Status:
24088        ICBA SECURITIES                         Registered   10/6/1998
             ICBA SECURITIES
             775 RIDGE LAKE BLVD
             STE 200
             MEMPHIS               TN   38120
CRD Number   Broker Dealer:                          Status:
134910       ICD SECURITIES INC.                     Registered   6/27/2008
             ICD SECURITIES INC.
             7301 SW 57TH COURT
             SUITE 420
             MIAMI                 FL   33143


CRD Number   Broker Dealer:                          Status:
104285       ICICI SECURITIES INC.                   Registered   1/9/2008
             ICICI SECURITIES INC.
             415 MADISON AVE.
             SUITE 1427
             NEW YORK              NY   10017


CRD Number   Broker Dealer:                          Status:
103725       ICM CAPITAL MARKETS LTD.                Registered   6/28/2004
             ICM CAPITAL MARKETS LTD.
             888 SEVENTH AVE
             17TH FL
             NEW YORK              NY   10019


CRD Number   Broker Dealer:                          Status:
23189        ICMA - RC SERVICES, LLC                 Registered   8/7/1989
             ICMA - RC SERVICES, LLC
             777 NORTH CAPITOL ST, NE
             SUITE 600
             WASHINGTON            DC   20002-4240


CRD Number   Broker Dealer:                          Status:
28568        ICON DISTRIBUTORS, INC.                 Registered   7/2/1992
             ICON DISTRIBUTORS, INC.
             5299 DTC BLVD
             STE 1200
             GREENWOOD VILL        CO   80111


CRD Number   Broker Dealer:                          Status:
15487        ICON SECURITIES CORP                    Registered   8/25/1986
             ICON SECURITIES CORP.
             120 FIFTH AVENUE
             8TH FL
             NEW YORK              NY   10011


CRD Number   Broker Dealer:                          Status:
133436       ICP SECURITIES LLC                      Registered   6/17/2005
             ICP SECURITIES LLC
             1120 AVE OF THE AMERICAS
             STE 1507
             NEW YORK              NY   10036
CRD Number   Broker Dealer:                      Status:
106032       IDB CAPITAL CORP.                   Registered   10/6/2006
             IDB CAPITAL CORP.
             511 FIFTH AVENUE
             4TH FL
             NEW YORK               NY   10017


CRD Number   Broker Dealer:                      Status:
131275       IJL FINANCIAL ADVISORS, LLC         Registered   9/24/2004
             IJL FINANCIAL ADVISORS, LLC
             11006 RUSHMORE DRIVE
             SUITE 150
             CHARLOTTE              NC   28277


CRD Number   Broker Dealer:                      Status:
32792        ILLUSTRO TRADING, LLC               Registered   2/18/2011
             ILLUSTRO TRADING, LLC
             C/O ACCT & COMPLIANCE INTL
             40 WALL ST., STE 1704
             NEW YORK               NY   10005


CRD Number   Broker Dealer:                      Status:
43744        IMPERIAL CAPITAL, LLC               Registered   11/20/1997
             IMPERIAL CAPITAL, LLC
             2000 AVE OF THE STARS
             STE 900-S
             LOS ANGELES            CA   90067


CRD Number   Broker Dealer:                      Status:
35567        IMS SECURITIES, INC.                Registered   4/4/1995
             IMS SECURITIES, INC.
             10205 WESTHEIMER
             STE 500
             HOUSTON                TX   77042


CRD Number   Broker Dealer:                      Status:
101420       INCAPITAL LLC                       Registered   10/16/2009
             INCAPITAL LLC
             200 SOUTH WACKER DRIVE
             STE 3700
             CHICAGO                IL   60606


CRD Number   Broker Dealer:                      Status:
24723        INDEPENDENCE CAPITAL CO., INC.      Registered   4/28/2000
             INDEPENDENCE CAPITAL CO., INC.
             5579 PEARL ROAD
             SUITE 100
             PARMA                  OH   44129
CRD Number   Broker Dealer:                         Status:
150161       INDEPENDENCE REALTY SECURITIES, LLC.   Registered   1/12/2010
             INDEPENDENCE REALTY SECURITIES, LLC.
             80 S. 8TH ST
             IDS CTR, STE 4610
             MINNEAPOLIS          MN   55402


CRD Number   Broker Dealer:                         Status:
7717         INDEPENDENT FINANCIAL GROUP, LLC       Registered   5/20/2002
             INDEPENDENT FINANICAL GROUP, LLC
             12636 HIGH BLUFF DRIVE
             SUITE 100
             SAN DIEGO            CA   92130


CRD Number   Broker Dealer:                         Status:
115584       INDIAN HARBOR, LLC                     Registered   2/18/2011
             INDIAN HARBOR, LLC
             ONE RIVER ROAD


             COS COB              CT   06807


CRD Number   Broker Dealer:                         Status:
137741       INDIEVEST SECURITIES, INC.             Registered   11/16/2007
             INDIEVEST SECURITIES, INC.
             1416 NORTH LA BREA


             LOS ANGELES          CA   90028


CRD Number   Broker Dealer:                         Status:
35371        INFINEX INVESTMENTS, INC.              Registered   7/18/2000
             INFINEX INVESTMENTS, INC.
             538 PRESTON AVENUE


             MERIDEN              CT   06450-4858


CRD Number   Broker Dealer:                         Status:
36259        ING AMERICA EQUITIES, INC.             Registered   6/7/1996
             ING AMERICA EQUITIES, INC.
             1290 BROADWAY
             ATTN: COMPLIANCE
             DENVER               CO   80203-5699


CRD Number   Broker Dealer:                         Status:
45744        ING DIRECT INVESTING, INC.             Registered   2/1/1999
             ING DIRECT INVESTING, INC.
             83 SOUTH KING STRET


             SEATTLE              WA   98104
CRD Number   Broker Dealer:                       Status:
34815        ING FINANCIAL ADVISERS, LLC          Registered   10/8/1993
             ING FINANCIAL ADVISERS, LLC
             ONE ORANGE WAY
             C2N
             WINDSOR            CT   06095


CRD Number   Broker Dealer:                       Status:
28872        ING FINANCIAL MARKETS, LLC           Registered   2/18/1992
             ING FINANCIAL MARKETS, LLC
             1325 AVENUE OF THE AMERICAS


             NEW YORK           NY   10019


CRD Number   Broker Dealer:                       Status:
2882         ING FINANCIAL PARTNERS, INC.         Registered   6/2/1970
             ING FINANCIAL PARTNERS, INC.
             909 LOCUST ST


             DES MOINES         IA   50309


CRD Number   Broker Dealer:                       Status:
3989         ING INVESTMENT ADVISORS, LLC         Registered   9/21/2006
             ING INVESTMENT ADVISORS, LLC
             ONE ORANGE WAY
             C2N
             WINDSOR            CT   06095


CRD Number   Broker Dealer:                       Status:
37886        ING INVESTMENTS DISTRIBUTOR, LLC     Registered   1/28/1998
             ING INVESTMENTS DISTRIBUTOR, LLC
             ONE ORANGE WAY


             WINDSOR            CT   06095


CRD Number   Broker Dealer:                       Status:
2288         INGALLS & SNYDER, LLC                Registered   7/15/1986
             INGALLS & SNYDER, LLC
             61 BROADWAY


             NEW YORK           NY   10006-2802


CRD Number   Broker Dealer:                       Status:
15807        INLAND SECURITIES CORPORATION        Registered   6/17/1985
             INLAND SECURITIES CORPORATION
             2901 BUTTERFIELD ROAD


             OAK BROOK          IL   60523
CRD Number   Broker Dealer:                           Status:
140278       INLET SECURITIES, LLC                    Registered   10/11/2006
             INLET SECURITIES, LLC
             233 NORTH CAUSEWAY
             STE B
             NEW SMYRNA BEA     FL   32169


CRD Number   Broker Dealer:                           Status:
129802       INNOVATION ADVISORS LLC                  Registered   11/22/2004
             INNOVATION ADVISORS LLC
             ONE PENN PLAZA
             36TH FL
             NEW YORK CITY      NY   10119


CRD Number   Broker Dealer:                           Status:
146344       INNOVATION PARTNERS LLC                  Registered   3/17/2009
             INNOVATION PARTNERS LLC
             PO BOX 1300


             MATTHEWS           NC   28106


CRD Number   Broker Dealer:                           Status:
7897         INSTINET, LLC                            Registered   2/15/2000
             INSTINET, LLC
             1095 AVE OF THE AMERICAS


             NEW YORK           NY   10036


CRD Number   Broker Dealer:                           Status:
41055        INSTITUTIONAL CAPITAL MANAGEMENT, INC.   Registered   8/12/1997
             INSTITUTIONAL CAPITAL MANAGEMENT, INC.
             15721 PARK ROW
             SUITE 100
             HOUSTON            TX   77084


CRD Number   Broker Dealer:                           Status:
149635       INSTITUTIONAL CASH DISTRIBUTORS, LLC     Registered   1/8/2010
             INSTITUTIONAL CASH DISTRIBUTORS, LLC
             580 CALIFORNIA STREET
             SUITE 1335
             SAN FRANCISCO      CA   94104


CRD Number   Broker Dealer:                           Status:
20291        INSTITUTIONAL SECURITIES CORPORATION     Registered   9/10/2004
             INSTITUTIONAL SECURITIES CORPORATION
             3100 MONTICELLO
             STE 800
             DALLAS             TX   75205
CRD Number   Broker Dealer:                               Status:
26293        INTEGRITY FUNDS DISTRIBUTOR, LLC             Registered   8/25/2003
             INTEGRITY FUNDS DISTRIBUTOR, LLC
             PO BOX 500


             MINOT              ND   58702-0500


CRD Number   Broker Dealer:                               Status:
117942       INTERACTIVE BROKERS CORP.                    Registered   11/8/2011
             INTERACTIVE BROKERS CORP.
             8 GREENWICH OFFICE PARK


             GREENWICH          CT   06831


CRD Number   Broker Dealer:                               Status:
36418        INTERACTIVE BROKERS LLC                      Registered   11/13/1996
             INTERACTIVE BROKERS LLC
             ONE PICKWICK PLAZA
             2ND FL
             GREENWICH          CT   06830


CRD Number   Broker Dealer:                               Status:
19475        INTERCAROLINA FINANCIAL SERVICES, INC.       Registered   2/8/1999
             INTERCAROLINA FINANCIAL SERVICES, INC.
             3300 BATTLEGROUND AVENUE
             SUITE 400
             GREENSBORO         NC   27410-2447


CRD Number   Broker Dealer:                               Status:
10645        INTERNATIONAL ASSETS ADVISORY, LLC           Registered   1/8/1985
             INTERNATIONAL ASSETS ADVISORY, LLC
             300 S ORANGE AVE
             STE 1100
             ORLANDO            FL   32801


CRD Number   Broker Dealer:                               Status:
40375        INTERNATIONAL FINANCIAL SOLUTIONS, INC.      Registered   5/6/1996
             INTERNATIONAL FINANCIAL SOLUTIONS, INC.
             303 PERIMETER CENTER N.
             SUITE 300
             ATLANTA            GA   30346


CRD Number   Broker Dealer:                               Status:
14367        INTERNATIONAL MONEY MANAGEMENT GROUP, INC.   Registered   12/16/1998
             INTERNATIONAL MONEY MANAGEMENT GROUP, INC.
             110 CHANNEL MARKER WAY
             SUITE 101
             GRASONVILLE        MD   21638
CRD Number   Broker Dealer:                                     Status:
28195        INTERNATIONAL STRATEGY & INVESTMENT GROUP INC      Registered   6/26/1992
             INTERNATIONAL STRATEGY & INVESTMENT GROUP INC
             40 W 57TH ST
             18TH FL
             NEW YORK             NY   10019


CRD Number   Broker Dealer:                                     Status:
20289        INTERVEST INTERNATIONAL EQUITIES CORPORATION       Registered   4/20/1994
             INTERVEST INTERNATIONAL EQUITIES CORPORATION
             1980 DOMINION WAY
             STE 202
             COLORADO SPRIN       CO   80918


CRD Number   Broker Dealer:                                     Status:
45993        INTL TRADING, INC.                                 Registered   1/14/2011
             INTL TRADING, INC.
             329 PARK AVENUE NORTH
             SUITE 350
             WINTER PARK          FL   32789


CRD Number   Broker Dealer:                                     Status:
6728         INVEMED ASSOCIATES LLC                             Registered   9/15/1977
             INVEMED ASSOCIATES LLC
             375 PARK AVENUE
             STE 2205
             NEW YORK             NY   10152-0189


CRD Number   Broker Dealer:                                     Status:
129914       INVERNESS SECURITIES, LLC                          Registered   5/27/2004
             INVERNESS SECURITIES, LLC
             2000 AUBURN DRIVE
             SUITE 440
             BEACHWOOD            OH   44122


CRD Number   Broker Dealer:                                     Status:
7369         INVESCO DISTRIBUTORS, INC.                         Registered   5/21/1986
             INVESCO DISTRIBUTORS, INC.
             11 GREENWAY PLAZA
             STE. 2500
             HOUSTON              TX   77046-1173


CRD Number   Broker Dealer:                                     Status:
12984        INVEST FINANCIAL CORPORAITON D/B/A IFC HOLDINGS,   Registered   11/23/1982
             IFC HOLDINGS, INC.
             8745 HENDERSON RD
             STE 300
             TAMPA                FL   33634
CRD Number   Broker Dealer:                         Status:
7684         INVESTACORP, INC.                      Registered   8/19/1982
             INVESTACORP, INC.
             4400 BISCAYNE BLVD
             11TH FL
             MIAMI                FL   33137


CRD Number   Broker Dealer:                         Status:
16443        INVESTMENT CENTERS OF AMERICA, INC.    Registered   8/22/1995
             INVESTMENT CENTERS OF AMERICA, INC.
             P.O. BOX 5097


             APPLETON             WI   54912-5097


CRD Number   Broker Dealer:                         Status:
14458        INVESTMENT PLACEMENT GROUP             Registered   2/8/2008
             INVESTMENT PLACEMENT GROUP
             350 10TH AVENUE
             SUITE 1150
             SAN DIEGO            CA   92101


CRD Number   Broker Dealer:                         Status:
18557        INVESTMENT PLANNERS, INC.              Registered   4/16/1997
             INVESTMENT PLANNERS, INC.
             POB 170


             DECATUR              IL   62525-0170


CRD Number   Broker Dealer:                         Status:
30184        INVESTMENT PROFESSIONALS, INC.         Registered   11/1/1993
             INVESTMENT PROFESSIONALS, INC.
             16414 SAN PEDRO AVE
             STE 150
             SAN ANTONIO          TX   78232-2245


CRD Number   Broker Dealer:                         Status:
29257        INVESTMENTS FOR YOU, INC.              Registered   5/22/2000
             INVESTMENTS FOR YOU, INC.
             1040 N. MAPLE STREET


             MARYSVILLE           OH   43040


CRD Number   Broker Dealer:                         Status:
30613        INVESTORS CAPITAL CORP.                Registered   7/6/1993
             INVESTORS CAPITAL CORP.
             230 BROADWAY EAST 203


             LYNNFIELD            MA   01940-2320
CRD Number   Broker Dealer:                         Status:
2331         INVESTORS SECURITY COMPANY, INC.       Registered   1/7/1985
             INVESTORS SECURITY COMPANY, INC.
             127 E. WASHINGTON STREET
             SUITE 101
             SUFFOLK              VA   23434


CRD Number   Broker Dealer:                         Status:
150022       IRC SECURITIES LLC                     Registered   9/1/2009
             IRC SECURITIES LLC
             53 WEST 36TH ST
             SUITE 1002
             NEW YORK             NY   10018


CRD Number   Broker Dealer:                         Status:
145235       IROQUOIS CAPITAL ADVISORS, LLC         Registered   3/30/2010
             IROQUOIS CAPITAL ADVISORS, LLC
             401 COMMERCE STREET
             SUITE 740
             NASHVILLE            TN   37219


CRD Number   Broker Dealer:                         Status:
7413         ISAAK BOND INVESTMENTS, INC.           Registered   8/20/2010
             ISAAK BOND INVESTMENTS, INC.
             600 17TH STREET
             SUITE 2610 SOUTH
             DENVER               CO   80202-5401


CRD Number   Broker Dealer:                         Status:
33725        ISRAEL A. ENGLANDER & CO., LLC         Registered   6/1/2004
             ISRAEL A. ENGLANDER & CO., LLC
             666 FIFTH AVENUE
             9TH FLOOR
             NEW YORK             NY   10103


CRD Number   Broker Dealer:                         Status:
38455        ITG DERIVATIVES LLC.                   Registered   3/26/2008
             ITG DERIVATIVES LLC.
             601 S. LASALLE STREET
             SUITE 300
             CHICAGO              IL   60605


CRD Number   Broker Dealer:                         Status:
29299        ITG INC.                               Registered   3/18/1992
             ITG INC.
             380 MADISON AVE
             4TH FL
             NEW YORK             NY   10017
CRD Number   Broker Dealer:                         Status:
30188        IVA FUNDS DISTRIBUTORS, LLC            Registered   6/1/2004
             IVA FUNDS DISTRIBUTORS, LLC
             3 CANAL PLAZA
             SUITE 100
             PORTLAND             ME   04101


CRD Number   Broker Dealer:                         Status:
16496        IVY FUNDS DISTRIBUTOR, INC.            Registered   1/5/1987
             IVY FUNDS DISTRIBUTOR, INC.
             P.O. BOX 29217


             SHAWNEE MISSION      KS   66201-9217


CRD Number   Broker Dealer:                         Status:
40002        J. ALDEN ASSOCIATES, INC.              Registered   4/10/1996
             J. ALDEN ASSOCIATES, INC.
             POB 744


             JENKINTOWN           PA   19046


CRD Number   Broker Dealer:                         Status:
451          J. D. ANDREWS CO.                      Registered   8/15/1967
             J. D. ANDREWS CO.
             290 KING OF PRUSSIA RD
             BLDG 2, SUITE 300
             RADNOR               PA   19087


CRD Number   Broker Dealer:                         Status:
22011        J.A. GLYNN & CO.                       Registered   2/12/1996
             J.A. GLYNN & CO.
             9841 CLAYTON ROAD


             ST. LOUIS            MO   63124


CRD Number   Broker Dealer:                         Status:
43520        J.H. DARBIE & CO., INC.                Registered   7/1/1998
             J.H. DARBIE & CO., INC.
             99 WALL STREET, 20TH FL
             C/O ROBERT ROBINOWITZ
             NEW YORK             NY   10005


CRD Number   Broker Dealer:                         Status:
453          J.J.B HILLIARD, W.L. LYONS, LLC        Registered   12/23/1985
             J.J.B HILLIARD, W.L. LYONS, LLC
             P.O. BOX 32760


             LOUISVILLE           KY   40232-2760
CRD Number   Broker Dealer:                               Status:
16208        J.P. MCGOWAN & COMPANY INCORPORATED          Registered   3/1/1985
             J.P. MCGOWAN & COMPANY INCORPORATED
             1631 LOCUST ST
             5TH FL
             PHILADELPHIA        PA      19103


CRD Number   Broker Dealer:                               Status:
28432        J.P. MORGAN CLEARING CORP.                   Registered   6/21/1991
             J.P. MORGAN CLEARING CORP.
             575 WASHINGTON BLVD
             FLOOR 16
             JERSEY CITY         NJ      07310


CRD Number   Broker Dealer:                               Status:
102920       J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.   Registered   1/13/2000
             J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
             270 PARK AVENUE
             NY1-K104
             NEW YORK            NY      10017


CRD Number   Broker Dealer:                               Status:
79           J.P. MORGAN SECURITIES LLC                   Registered   10/24/1945
             J.P. MORGAN SECURITIES LLC
             575 WASHINGTON BLVD
             FLOOR 16
             JERSEY CITY         NJ      07310


CRD Number   Broker Dealer:                               Status:
43177        J.P. TURNER & COMPANY, L.L.C.                Registered   7/29/1997
             J.P. TURNER & COMPANY, L.L.C.
             1 BUCKHEAD PLAZA
             3060 PEACHTREE RD NW, 11TH FL
             ATLANTA             GA      30305


CRD Number   Broker Dealer:                               Status:
124583       J.W. COLE FINANCIAL, INC.                    Registered   8/25/2003
             J.W. COLE FINANCIAL, INC.
             6928 W. LINEBAUGH AVE.
             STE 101
             TAMPA               FL      33625


CRD Number   Broker Dealer:                               Status:
26455        J.W. KORTH & COMPANY                         Registered   6/3/2003
             J.W. KORTH & COMPANY, LIMITED PARTNERSHIP
             6500 CENTURION DRIVE
             SUITE 200
             LANSING             MI      48917
CRD Number   Broker Dealer:                           Status:
40178        JACKSON NATIONAL LIFE DISTRIBUTORS LLC   Registered   1/24/2006
             JACKSON NATIONAL LIFE DISTRIBUTORS LLC
             7601 TECHNOLOGY WAY
             6TH FL
             DENVER                CO   80237


CRD Number   Broker Dealer:                           Status:
19897        JACKSON SECURITIES LLC                   Registered   9/24/1998
             JACKSON SECURITIES LLC
             100 AUBURN AVE
             HERNDON PLZ
             ATLANTA               GA   30303-6801


CRD Number   Broker Dealer:                           Status:
104219       JACQUES FINANCIAL, LLC                   Registered   5/18/2001
             JACQUES FINANCIAL, LLC
             15430 AVERY ROAD


             ROCKVILLE             MD   20855


CRD Number   Broker Dealer:                           Status:
40055        JANCO PARTNERS, INC.                     Registered   5/17/1996
             JANCO PARTNERS, INC.
             5231 SO. QUEBEC ST.
             SUITE 200
             GREENWOOD VILL        CO   80111-2739


CRD Number   Broker Dealer:                           Status:
103782       JANE STREET CAPITAL, LLC                 Registered   8/21/2002
             JANE STREET CAPITAL, LLC
             1 NEW YORK PLAZA


             NEW YORK              NY   10004


CRD Number   Broker Dealer:                           Status:
104485       JANE STREET MARKETS, LLC                 Registered   6/17/2004
             JANE STREET MARKETS, LLC
             ONE NEW YORK PLAZA


             NEW YORK              NY   10004


CRD Number   Broker Dealer:                           Status:
463          JANNEY MONTGOMERY SCOTT LLC              Registered   1/1/1956
             JANNEY MONTGOMERY SCOTT LLC
             1801 MARKET STREET


             PHILADELPHIA          PA   19103-1675
CRD Number   Broker Dealer:                         Status:
28832        JANUS DISTRIBUTORS LLC                 Registered   6/9/1993
             JANUS DISTRIBUTORS LLC
             151 DETROIT STREET


             DENVER               CO   80206-4923


CRD Number   Broker Dealer:                         Status:
132201       JAPANINVEST INC.                       Registered   1/31/2007
             JAPANINVEST INC.
             405 LEXINGTON AVE
             21ST FL
             NEW YORK             NY   10174


CRD Number   Broker Dealer:                         Status:
135719       JAYPEE INTERNATIONAL, INC.             Registered   6/13/2011
             JAYPEE INTERNATIONAL, INC.
             30 S. WACKER DRIVE
             SUITE 1700
             CHICAGO              IL   60606-7498


CRD Number   Broker Dealer:                         Status:
36179        JBS LIBERTY SECURITIES, INC.           Registered   2/11/2008
             JBS LIBERTY SECURITIES, INC.
             8320 UNIVERSITY EXE PK DR
             STE 112
             CHARLOTTE            NC   28262


CRD Number   Broker Dealer:                         Status:
144095       JDB CAPITAL SECURITIES LLC             Registered   4/7/2008
             JDB CAPITAL SECURITIES LLC
             20645 N PIMA ROAD
             SUITE 110
             SCOTTSDALE           AZ   85255


CRD Number   Broker Dealer:                         Status:
28131        JDL SECURITIES CORPORATION             Registered   2/4/2010
             JDL SECURITIES CORPORATION
             1001 DOVE STREET
             SUITE 160
             NEWPORT BEACH        CA   92660-2816


CRD Number   Broker Dealer:                         Status:
2347         JEFFERIES & COMPANY, INC.              Registered   10/19/1982
             JEFFERIES & COMPANY, INC.
             520 MADISON AVE
             16TH FL
             NEW YORK             NY   10022
CRD Number   Broker Dealer:                              Status:
867          JEFFERIES EXECUTION SERVICES, INC.          Registered   4/2/2002
             JEFFERIES EXECUTION SERVICES, INC.
             520 MADISON AVENUE
             11TH FL
             NEW YORK             NY   10022


CRD Number   Broker Dealer:                              Status:
47582        JEFFERSON NATIONAL SECURITIES CORPORATION   Registered   2/24/2004
             JEFFERSON NATIONAL SECURITIES CORPORATION
             9920 CORPORATE CAMPUS DR
             SUITE 1000
             LOUISVILLE           KY   40223


CRD Number   Broker Dealer:                              Status:
120583       JFD SECURITIES, INC.                        Registered   5/31/2002
             JFD SECURITIES, INC.
             343 MILLBURN AVENUE


             MILLBURN             NJ   07041


CRD Number   Broker Dealer:                              Status:
112097       JHS CAPITAL ADVISORS, INC.                  Registered   3/2/2005
             JHS CAPITAL ADVISORS, INC.
             501 E. KENNEDY BLVD.
             SUITE 1400
             TAMPA                FL   33602


CRD Number   Broker Dealer:                              Status:
22208        JMP SECURITIES LLC                          Registered   7/19/1994
             JMP SECURIITES LLC
             600 MONTGOMERY ST
             STE 1100
             SAN FRANCISCO        CA   94111


CRD Number   Broker Dealer:                              Status:
34071        JNK SECURITIES CORP.                        Registered   12/2/2002
             JNK SECURITIES CORP.
             902 BROADWAY
             20TH FL
             NEW YORK             NY   10010


CRD Number   Broker Dealer:                              Status:
145767       JOHN CARRIS INVESTMENTS LLC                 Registered   9/1/2009
             JOHN CARRIS INVESTMENTS LLC
             40 WALL STREET
             SUITE 1706
             NEW YORK             NY   10005
CRD Number   Broker Dealer:                        Status:
5249         JOHN HANCOCK DISTRIBUTORS LLC         Registered   12/29/1970
             JOHN HANCOCK DISTRIBUTORS LLC
             P.O. BOX 4700


             BUFFALO             NY   14240-4700


CRD Number   Broker Dealer:                        Status:
28262        JOHN HANCOCK FUNDS, LLC               Registered   6/3/1992
             JOHN HANCOCK FUNDS, LLC
             601 CONGRESS STREET


             BOSTON              MA   02210-2805


CRD Number   Broker Dealer:                        Status:
40982        JOHN THOMAS FINANCIAL                 Registered   1/12/2007
             JOHN THOMAS FINANCIAL
             14 WALL STREET
             23RD FL
             NEW YORK            NY   10005


CRD Number   Broker Dealer:                        Status:
19524        JOHNSON RICE & COMPANY L.L.C.         Registered   5/24/2000
             JOHNSON RICE & COMPANY L.L.C.
             639 LOYOLA AVENUE
             SUITE 2775
             NEW ORLEANS         LA   70113-7105


CRD Number   Broker Dealer:                        Status:
15384        JOHNSON SECURITIES, INC.              Registered   11/19/1984
             JOHNSON SECURITIES, INC.
             40 LLOYD AVENUE
             STE 102
             MALVERN             PA   19355


CRD Number   Broker Dealer:                        Status:
473          JOHNSTON, LEMON & CO. INCORPORATED    Registered   7/10/1985
             JOHNSTON, LEMON & CO. INCORPORATED
             1101 VERMONT AVE. NW


             WASHINGTON          DC   20005-3521


CRD Number   Broker Dealer:                        Status:
120738       JONES LANG LASALLE SECURITIES, LLC    Registered   6/27/2002
             JONES LANG LASALLE SECURITIES, LLC
             200 E. RANDOLPH DRIVE


             CHICAGO             IL   60601
CRD Number   Broker Dealer:                            Status:
6888         JONESTRADING                              Registered   7/17/2007
             JONESTRADING INSTITUTIONAL SERVICES LLC
             32133 W. LINDERO CANYON RD
             STE 208
             WESTLAKE VILLAG     CA   91361-4226


CRD Number   Broker Dealer:                            Status:
103580       JOSEPH GRACE                              Registered   4/7/2005
             JOSEPH GRACE HOLDINGS, INC.
             44 WALL STREET
             12TH FLOOR
             NEW YORK            NY   10005


CRD Number   Broker Dealer:                            Status:
24795        JOSEPH GUNNAR & CO. LLC                   Registered   11/20/1997
             JOSEPH GUNNAR & CO. LLC
             30 BROAD STREET
             11TH FLOOR
             NEW YORK            NY   10004


CRD Number   Broker Dealer:                            Status:
144825       JPM ADVISORS, LLC                         Registered   7/30/2009
             JPM ADVISORS, LLC
             38 DONNELLY DRIVE


             DOVER               MA   02030


CRD Number   Broker Dealer:                            Status:
104234       JPMORGAN DISTRIBUTION SERVICES, INC.      Registered   12/21/2000
             JPMORGAN DISTRIBUTION SERVICES, INC.
             1111 POLARIS PARKWAY
             OH1-1235
             COLUMBUS            OH   43240-2050


CRD Number   Broker Dealer:                            Status:
30123        JRM SECURITIES                            Registered   6/8/1992
             MARSDEN, JOHN JR RICHARD
             1103 POWELL AVE


             ERIE                PA   16505


CRD Number   Broker Dealer:                            Status:
122952       JUNIPER CAPITAL GROUP, LLC                Registered   7/3/2008
             JUNIPER CAPITAL GROUP, LLC
             570 LEXINGTON AVENUE
             16TH FL
             NEW YORK            NY   10022
CRD Number   Broker Dealer:                          Status:
104412       JVB FINANCIAL GROUP, LLC                Registered   5/24/2001
             JVB FINANCIAL GROUP, LLC
             2700 N. MILITARY TRAIL
             STE 200
             BOCA RATON            FL   33431


CRD Number   Broker Dealer:                          Status:
45295        JWH SECURITIES, INC.                    Registered   7/18/2000
             JWH SECURITIES, INC.
             301 YAMATO ROAD
             SUITE 2200
             BOCA RATON            FL   33431-4931


CRD Number   Broker Dealer:                          Status:
145135       K.C. WARD FINANCIAL                     Registered   3/27/2008
             K.C. WARD FINANCIAL
             4175 VETERANS MEMORIAL HWY
             STE 300
             RONKONKOMA            NY   11779


CRD Number   Broker Dealer:                          Status:
32029        KA ASSOCIATES, INC.                     Registered   6/8/1995
             KA ASSOCIATES, INC.
             1800 AVE OF THE STARS
             THIRD FLOOR
             LOS ANGELES           CA   90067


CRD Number   Broker Dealer:                          Status:
7720         KAHN BROTHERS LLC                       Registered   4/24/1979
             KAHN BROTHERS LLC
             555 MADISON AVE
             22ND FL
             NEW YORK              NY   10022-3301


CRD Number   Broker Dealer:                          Status:
14186        KAISER AND COMPANY                      Registered   10/23/1998
             KAISER AND COMPANY
             6101 YELLOWSTONE RD.
             STE 100
             CHEYENNE              WY   82009


CRD Number   Broker Dealer:                          Status:
44337        KALOS CAPITAL, INC.                     Registered   6/5/2003
             KALOS CAPITAL, INC.
             3780 MANSELL RD.
             STE 150
             ALPHARETTA            GA   30022
CRD Number   Broker Dealer:                     Status:
32383        KANSAS CITY BROKERAGE. INC         Registered   9/29/2008
             KANSAS CITY BROKERAGE. INC
             PO BOX 7027


             KANSAS CITY           MO   64113


CRD Number   Broker Dealer:                     Status:
153157       KAPITALL GENERATION, LLC           Registered   8/30/2011
             KAPITALL GENERATION, LLC
             241 CENTRE STREET
             6TH FLOOR, SUITE 7
             NEW YORK              NY   10013


CRD Number   Broker Dealer:                     Status:
37909        KAUFMAN BROS., L.P.                Registered   8/29/1995
             KAUFMAN BROS., L.P.
             800 THIRD AVENUE
             30TH FL
             NEW YORK              NY   10022


CRD Number   Broker Dealer:                     Status:
46709        KBC SECURITIES USA, INC.           Registered   10/29/1999
             KBC SECURITIES USA, INC.
             1177 AVE OF THE AMERICAS
             7TH FL
             NEW YORK              NY   10036


CRD Number   Broker Dealer:                     Status:
128800       KBR CAPITAL MARKETS, LLC           Registered   4/27/2004
             KBR CAPITAL MARKETS, LLC
             255 SHORELINE DRIVE
             SUITE 428
             REDWOOD CITY          CA   94065


CRD Number   Broker Dealer:                     Status:
132299       KBS CAPITAL MARKETS GROUP LLC      Registered   10/20/2005
             KBS CAPTIAL MARKETS GROUP LLC
             660 NEWPORT CENTER DRIVE
             SUITE 1200
             NEWPORT BEACH         CA   92660


CRD Number   Broker Dealer:                     Status:
34528        KCCI, LTD.                         Registered   7/12/2004
             KCCI, LTD.
             66 YORK STREET
             3RD FLOOR
             JERSEY CITY           NJ   07302
CRD Number   Broker Dealer:                               Status:
127473       KCD FINANCIAL, INC.                          Registered   1/20/2005
             KCD FINANCIAL, INC.
             3313 S. PACKERLAND DRIVE
             SUITE E
             DE PERE               WI   54115


CRD Number   Broker Dealer:                               Status:
18178        KEDEM CAPITAL CORPORATION                    Registered   3/24/1994
             KEDEM CAPITAL CORPORATION
             52 BEAUMONT DRIVE


             MELVILLE              NY   11747-2502


CRD Number   Broker Dealer:                               Status:
481          KEEFE, BRUYETTE & WOODS, INC.                Registered   7/25/1962
             KEEFE, BRUYETTE & WOODS, INC.
             787 7TH AVENUE
             4TH FL
             NEW YORK              NY   10019


CRD Number   Broker Dealer:                               Status:
7346         KEELEY INVESTMENT CORP.                      Registered   8/13/1993
             KEELEY INVESTMENT CORP.
             401 S. LA SALLE STREET


             CHICAGO               IL   60605


CRD Number   Broker Dealer:                               Status:
149477       KELSON CAPITAL LLC                           Registered   6/17/2010
             KELSON CAPITAL LLC
             56 S. SUNNYCREST DRIVE


             LITTLE SILVER         NJ   07739


CRD Number   Broker Dealer:                               Status:
40301        KENDRICK PIERCE & CO                         Registered   7/22/2005
             KENDRICK PIERCE & COMPANY SECURITIES, INC.
             511 W. BAY STREET
             SUITE 300
             TAMPA                 FL   33606


CRD Number   Broker Dealer:                               Status:
29375        KENMAR SECURITIES INC.                       Registered   1/14/2005
             KENMAR SECURITIES INC.
             900 KING STREET
             SUITE 100
             RYE BROOK             NY   10573
CRD Number   Broker Dealer:                         Status:
15541        KENNETH, JEROME & CO.,INC.             Registered   6/16/1992
             KENNETH, JEROME & CO.,INC.
             POB 38


             FLORHAM PK          NJ   07932-0038


CRD Number   Broker Dealer:                         Status:
139148       KEPLER CAPITAL MARKETS, INC.           Registered   2/29/2008
             KEPLER CAPITAL MARKETS, INC.
             600 LEXINGTON AVE
             28TH FL
             NEW YORK            NY   10022


CRD Number   Broker Dealer:                         Status:
24755        KERN, SUSLOW SECURITIES, INC.          Registered   12/3/1993
             KERN, SUSLOW SECURITIES, INC.
             50 BROAD STREET
             SUITE 1600
             NEW YORK            NY   10004


CRD Number   Broker Dealer:                         Status:
20787        KEVIN HART KORNFIELD & COMPANY, INC.   Registered   9/29/1987
             KEVIN HART KORNFIELD & COMPANY, INC.
             PO BOX 6423


             LANCASTER           PA   17607-6423


CRD Number   Broker Dealer:                         Status:
136300       KEY INVESTMENT SERVICES LLC            Registered   12/15/2005
             KEY INVESTMENT SERVICES LLC
             4900 TIEDEMAN ROAD


             BROOKLYN            OH   44144


CRD Number   Broker Dealer:                         Status:
566          KEYBANC CAPITAL MARKETS INC.           Registered   1/10/1946
             KEYBANC CAPITAL MARKETS INC.
             127 PUBLIC SQUARE


             CLEVELAND           OH   44114


CRD Number   Broker Dealer:                         Status:
10722        KEYSTONE CAPITAL CORPORATION           Registered   2/14/2002
             KEYSTONE CAPITAL CORPORATION
             3511 CAMINO DEL RIO SOUTH
             STE 406
             SAN DIEGO           CA   92108
CRD Number   Broker Dealer:                        Status:
151705       KGS-ALPHA CAPITAL MARKETS, L.P.       Registered   7/15/2010
             KGS-ALPHA CAPITAL MARKETS, L.P.
             850 THIRD AVENUE
             16TH FL
             NEW YORK            NY   10022


CRD Number   Broker Dealer:                        Status:
149826       KIDRON CAPITAL ADVISORS LLC           Registered   4/27/2011
             KIDRON CAPITAL ADVISORS LLC
             1450 BROADWAY
             39TH FL
             NEW YORK            NY   10018


CRD Number   Broker Dealer:                        Status:
45796        KILDARE CAPITAL, INC.                 Registered   3/12/2002
             KILDARE CAPITAL, INC.
             555 LANCASTER AVE
             STE 540
             RADNOR              PA   19087


CRD Number   Broker Dealer:                        Status:
2440         KIMELMAN & BAIRD, LLC                 Registered   6/28/1999
             KIMELMAN & BAIRD, LLC
             100 PARK AVENUE


             NEW YORK            NY   10017-5516


CRD Number   Broker Dealer:                        Status:
780          KINETICS FUNDS DISTRIBUTOR LLC        Registered   4/4/2000
             KINETICS FUNDS DISTRIBUTOR LLC
             555 TAXTER ROAD
             SUITE 175
             ELMSFORD            NY   10523


CRD Number   Broker Dealer:                        Status:
41196        KIPLING CAPITAL, INC.                 Registered   6/1/2005
             KIPLING CAPITAL, INC.
             100 SHORELINE HIGHWAY
             200-B
             MILL VALLEY         CA   94941


CRD Number   Broker Dealer:                        Status:
143571       KKR CAPITAL MARKETS LLC               Registered   7/15/2010
             KKR CAPITAL MARKETS LLC
             9 W. 57TH ST
             41ST FL, STE 4160
             NEW YORK            NY   10019
CRD Number   Broker Dealer:                             Status:
3866         KMS FINANCIAL SERVICES, INC.               Registered   4/29/1992
             KMS FINANCIAL SERVICES, INC.
             2001 SIXTH AVENUE
             SUITE 2801
             SEATTLE             WA    98121-1866


CRD Number   Broker Dealer:                             Status:
38599        KNIGHT CAPITAL AMERICAS, L.P.              Registered   7/5/2002
             KNIGHT CAPITAL AMERICAS, L.P.
             545 WASHINGTON BLVD.


             JERSEY CITY         NJ    07310-1607


CRD Number   Broker Dealer:                             Status:
149823       KNIGHT EXECUTION & CLEARING SERVICES LLC   Registered   12/23/2010
             KNIGHT EXECUTION & CLEARING SERVICES LLC
             545 WASHINGTON BLVD.


             JERSEY CITY         NJ    07310


CRD Number   Broker Dealer:                             Status:
41067        KOHN (STEPHEN A.) & ASSOCIATES, LTD.       Registered   5/20/2009
             STEPHEN A. KOHN & ASSOCIATES, LTD.
             3232 SOUTH VANCE ST
             SUITE 210
             LAKEWOOD            CO    80227


CRD Number   Broker Dealer:                             Status:
8089         KOONCE SECURITIES, INC.                    Registered   5/28/1985
             KOONCE SECURITIES, INC.
             6550 ROCK SPRING DR
             STE 600
             BETHESDA            MD    20817-6550


CRD Number   Broker Dealer:                             Status:
47251        KOTAK MAHINDRA, INC.                       Registered   7/6/2006
             KOTAK MAHINDRA, INC.
             50 MAIN STREET
             SUITE 310
             WHITE PLAINS        NY    10606


CRD Number   Broker Dealer:                             Status:
44848        KOVACK SECURITIES INC.                     Registered   10/21/1999
             KOVACK SECURITIES INC.
             6451 N FEDERAL HWY
             SUITE 1201
             FT LAUDERDALE       FL    33308
CRD Number   Broker Dealer:                          Status:
129878       KOVITZ SECURITIES, LLC                  Registered   10/6/2004
             KOVITZ SECURITIES, LLC
             115 S. LASALLE ST.
             27TH FL
             CHICAGO              IL   60603


CRD Number   Broker Dealer:                          Status:
103973       KPMG CORPORATE FINANCE LLC              Registered   3/26/2010
             KPMG CORPORATE FINANCE LLC
             303 EAST WACKER DRIVE
             FLOOR 22
             CHICAGO              IL   60601


CRD Number   Broker Dealer:                          Status:
20935        KRIEBEL GAS & OIL INVESTMENTS CORP.     Registered   10/16/1987
             KRIEBEL GAS & OIL INVESTMENTS CORP.
             P.O. BOX 765


             CLARION              PA   16214


CRD Number   Broker Dealer:                          Status:
47331        KUHNS BROTHERS SECURITIES CORPORATION   Registered   5/29/2001
             KUHNS BROTHERS SECURITIES CORPORATION
             558 LIME ROCK ROAD


             LAKEVILLE            CT   06039


CRD Number   Broker Dealer:                          Status:
43783        KURT SALMON CAPITAL ADVISORS, INC.      Registered   2/27/2009
             KURT SALMON CAPITAL ADVISORS, INC.
             1355 PEACHTREE STREET
             SUITE 900
             ATLANTA              GA   30309


CRD Number   Broker Dealer:                          Status:
27913        L.M. KOHN & COMPANY                     Registered   4/11/1997
             L.M. KOHN & COMPANY
             9810 MONTGOMERY ROAD


             CINCINNATI           OH   45242-6414


CRD Number   Broker Dealer:                          Status:
23657        L.O. THOMAS & CO. INC.                  Registered   5/16/1996
             L.O. THOMAS & CO. INC.
             LINWOOD COMMONS-STE A-6
             2106 NEW RD POB 293
             LINWOOD              NJ   08221
CRD Number   Broker Dealer:                    Status:
151403       LADDER CAPITAL SECURITIES LLC     Registered   8/9/2010
             LADDER CAPITAL SECURITIES LLC
             345 PARK AVENUE
             8TH FLOOR
             NEW YORK          NY      10154


CRD Number   Broker Dealer:                    Status:
505          LADENBURG, THALMANN & CO. INC.    Registered   7/3/1972
             LADENBURG THALMANN & CO., INC.
             520 MADISON AVENUE
             9TH FL
             NEW YORK          NY      10022


CRD Number   Broker Dealer:                    Status:
119037       LAIDLAW & COMPANY (UK) LTD.       Registered   11/4/2002
             LAIDLAW & COMPANY (UK) LTD.
             90 PARK AVENUE


             NEW YORK          NY      10016


CRD Number   Broker Dealer:                    Status:
25005        LAKERIDGE CAPITAL INC.            Registered   2/17/2006
             LAKERIDGE CAPITAL INC.
             1040 FIRST AVE.
             #320
             NEW YORK          NY      10022


CRD Number   Broker Dealer:                    Status:
24110        LANCASTER POLLARD & CO.           Registered   11/8/2011
             LANCASTER POLLARD & CO.
             65 EAST STATE STREET
             SUITE 1600
             COLUMBUS          OH      43215


CRD Number   Broker Dealer:                    Status:
47487        LANDAAS & COMPANY                 Registered   2/14/2002
             LANDAAS & COMPANY
             411 E. WISCONSIN AVNEUE


             MILWAUKEE         WI      53202


CRD Number   Broker Dealer:                    Status:
44602        LANDMARK INVESTMENT GROUP, INC    Registered   10/25/2006
             LANDMARK INVESTMENT GROUP, INC
             350 CAYUGA RD


             CHEEKTOWAGA       NY      14225
CRD Number   Broker Dealer:                          Status:
30996        LANTERN INVESTMENTS, INC.               Registered   7/6/1993
             LANTERN INVESTMENTS, INC.
             35 PINELAWN ROAD
             STE 101E
             MELVILLE              NY   11747


CRD Number   Broker Dealer:                          Status:
145589       LARA, SHULL & MAY, LLC (SUCCESSOR)      Registered   6/24/2008
             LARA, SHULL & MAY, LLC
             7600 LEESBURG PIKE
             STE 120 E
             FALLS CHURCH          VA   22043


CRD Number   Broker Dealer:                          Status:
136801       LARGO TRADING, L.P.                     Registered   10/26/2005
             LARGO TRADING, L.P.
             361 NORTH HIGHLAND AVENUE


             MERION STATION        PA   19066


CRD Number   Broker Dealer:                          Status:
38028        LARKSPUR CAPITAL CORPORATION            Registered   3/7/1996
             LARKSPUR CAPITAL CORPORATION
             445 PARK AVENUE
             15TH FLOOR
             NEW YORK              NY   10022


CRD Number   Broker Dealer:                          Status:
152517       LARSON FINANCIAL SECURITIES, LLC        Registered   8/2/2010
             LARSON FINANCIAL SECURITIES, LLC
             1015 CORPORATE SQUARE DR.
             SUITE 300
             ST. LOUIS             MO   63132


CRD Number   Broker Dealer:                          Status:
38357        LARSONALLEN FINANCIAL, LLC              Registered   10/11/2006
             LARSONALLEN FINANCIAL, LLC
             220 S. 6TH ST
             STE 300
             MINNEAPOLIS           MN   55402-4505


CRD Number   Broker Dealer:                          Status:
7191         LASALLE ST SECURITIES, L.L.C.           Registered   5/11/1979
             LASALLE ST SECURITIES, L.L.C.
             940 N. INDUSTRIAL DR


             ELMHURST              IL   60126-1131
CRD Number   Broker Dealer:                           Status:
15261        LAWSON FINANCIAL CORPORATION             Registered   1/27/1992
             LAWSON FINANCIAL CORPORATION
             3352 E. CAMELBACK RD


             PHOENIX            AZ   85018


CRD Number   Broker Dealer:                           Status:
129119       LAZARD ASSET MANAGEMENT SECURITIES LLC   Registered   3/17/2004
             LAZARD ASSET MANAGEMENT SECURITIES LLC
             30 ROCKEFELLER PLAZA
             59TH FLOOR
             NEW YORK           NY   10112


CRD Number   Broker Dealer:                           Status:
134736       LAZARD CAPITAL MARKETS LLC               Registered   4/21/2005
             LAZARD CAPITAL MARKETS LLC
             30 ROCKEFELLER PLAZA


             NEW YORK           NY   10020-5900


CRD Number   Broker Dealer:                           Status:
2528         LAZARD FRERES & CO. LLC                  Registered   1/1/1938
             LAZARD FRERES & CO. LLC
             30 ROCKEFELLER PLAZA


             NEW YORK           NY   10020-5900


CRD Number   Broker Dealer:                           Status:
146092       LAZARD MIDDLE MARKET LLC                 Registered   7/22/2008
             LAZARD MIDDLE MARKET LLC
             225 SOUTH 6TH STREET
             46TH FL
             MINNEAPOLIS        MN   55402


CRD Number   Broker Dealer:                           Status:
148245       LBC CAPITAL PARTNERS LLC                 Registered   2/25/2011
             LBC CAPITAL PARTNERS LLC
             700 13TH STREET, NW
             SUITE 925
             WASHINGTON         DC   20005


CRD Number   Broker Dealer:                           Status:
129311       LCG CAPITAL ADVISORS, LLC                Registered   4/13/2011
             LCG CAPITAL ADVISORS, LLC
             201 E. KENNEDY BLVD.
             SUITE 325
             TAMPA              FL   33602
CRD Number   Broker Dealer:                     Status:
140147       LCS SECURITIES, LLC                Registered   4/5/2006
             LCS SECURITIES, LLC
             595 MADISON AVENUE
             17TH FLOOR
             NEW YORK              NY   10022


CRD Number   Broker Dealer:                     Status:
145750       LEBENTHAL & CO., LLC               Registered   2/8/2008
             LEBENTHAL & CO., LLC
             521 FIFTH AVE
             15TH FL
             NEW YORK              NY   10175


CRD Number   Broker Dealer:                     Status:
25336        LEC INVESTMENT CORP.               Registered   12/20/2000
             LEC INVESMTENT CORP.
             1015 FINANCIAL CENTER


             BIRMINGHAM            AL   35203


CRD Number   Broker Dealer:                     Status:
145009       LEDGEMONT SECURITIES LLC           Registered   3/7/2008
             LEDGEMONT SECURITIES LLC
             595 MADISON AVENUE
             19TH FLOOR
             NEW YORK              NY   10022


CRD Number   Broker Dealer:                     Status:
39011        LEERINK SWANN LLC                  Registered   11/17/1995
             LEERINK SWANN LLC
             1 FEDERAL STREET
             37TH FLOOR
             BOSTON                MA   02110


CRD Number   Broker Dealer:                     Status:
30999        LEGEND EQUITIES CORPORATION        Registered   7/6/1993
             LEGEND EQUITIES CORPORATION
             4600 E. PARK DRIVE
             SUITE 300
             PALM BEACH GARD       FL   33410


CRD Number   Broker Dealer:                     Status:
5155         LEGEND MERCHANT GROUP, INC.        Registered   4/27/1987
             LEGEND MERCHANT GROUP, INC.
             30 BROAD ST
             38TH FLOOR
             NEW YORK              NY   10004
CRD Number   Broker Dealer:                          Status:
44952        LEGEND SECURITIES, INC.                 Registered   1/5/2000
             LEGEND SECURITIES, INC.
             45 BROADWAY
             32ND FL
             NEW YORK            NY     10006


CRD Number   Broker Dealer:                          Status:
117176       LEGENT CLEARING                         Registered   6/13/2002
             LEGENT CLEARING LLC
             9300 UNDERWOOD AVE
             SUITE 400
             OMAHA               NE     68114


CRD Number   Broker Dealer:                          Status:
109064       LEGG MASON INVESTOR SERVICES, LLC       Registered   11/1/2005
             LEGG MASON INVESTOR SERVICES, LLC
             100 INTERNATIONAL DRIVE


             BALTIMORE           MD     21202


CRD Number   Broker Dealer:                          Status:
38751        LEIGH BALDWIN & CO., LLC                Registered   6/3/1996
             LEIGH BALDWIN & CO., LLC
             112 ALBANY STREET


             CAZENOVIA           NY     13035-0660


CRD Number   Broker Dealer:                          Status:
33135        LEK SECURITIES CORPORATION              Registered   2/2/1996
             LEK SECURITIES CORPORATION
             1 LIBERTY PLAZA, 52ND FL
             165 BROADWAY
             NEW YORK            NY     10006


CRD Number   Broker Dealer:                          Status:
36527        LEONARD & COMPANY                       Registered   5/13/1998
             LEONARD & COMPANY
             1450 W LONG LAKE RD
             STE 150
             TROY                MI     48098


CRD Number   Broker Dealer:                          Status:
10091        LESKO SECURITIES INC.                   Registered   6/26/1998
             LESKO SECURITIES INC.
             P.O. BOX 1890


             BINGHAMTON          NY     13902-1890
CRD Number   Broker Dealer:                             Status:
105387       LEUMI INVESTMENT SERVICES INC.             Registered   5/10/2001
             LEUMI INVESTMENT SERVICES INC.
             562-564 FIFTH AVENUE


             NEW YORK             NY     10036


CRD Number   Broker Dealer:                             Status:
8041         LEVY, HARKINS & CO., INC.                  Registered   9/23/1983
             LEVY, HARKINS & CO., INC.
             366 MADISON AVE.
             14TH FL
             NEW YORK             NY     10017


CRD Number   Broker Dealer:                             Status:
15071        LIBERTY ASSOCIATES, INC.                   Registered   7/10/2001
             LIBERTY ASSOCIATES, INC.
             36 WEST 44TH STREET
             SUITE 1100
             NEW YORK             NY     10036


CRD Number   Broker Dealer:                             Status:
106036       LIBERTY GROUP, LLC                         Registered   1/7/2009
             LIBERTY GROUP, LLC
             3923 GRAND AVENUE


             OAKLAND              CA     94610


CRD Number   Broker Dealer:                             Status:
130390       LIBERTY PARTNERS FINANCIAL SERVICES, LLC   Registered   2/17/2005
             LIBERTY PARTNERS FINANCIAL SERVICES, LLC
             5060 CALIFORNIA AVENUE
             SUITE 620
             BAKERSFIELD          CA     93309


CRD Number   Broker Dealer:                             Status:
123066       LIBUCKI & CO., LLC                         Registered   2/11/2003
             LIBUCKI & CO., LLC
             1900 MARKET STREET
             SUITE 113
             PHILADELPHIA         PA     19103


CRD Number   Broker Dealer:                             Status:
16204        LIFEMARK SECURITIES CORP.                  Registered   6/23/1994
             LIFEMARK SECURITIES CORP.
             400 WEST METRO PARK


             ROCHESTER            NY     14623
CRD Number   Broker Dealer:                                  Status:
35519        LIGHTSPEED TRADING, LLC                         Registered   1/30/2003
             LIGHTSPEED TRADING, LLC
             148 MADISON AVE.
             9TH FL
             NEW YORK              NY   10016


CRD Number   Broker Dealer:                                  Status:
104369       LIME BROKERAGE LLC                              Registered   6/28/2005
             LIME BROKERAGE LLC
             625 BROADWAY
             12TH FL
             NEW YORK              NY   10012


CRD Number   Broker Dealer:                                  Status:
155578       LINCOLN DOUGLAS INVESTMENTS, LLC                Registered   10/21/2011
             LINCOLN DOUGLAS INVESTMENTS, LLC
             135 SOUTH MAIN STREET


             MT. VERNON            OH   43050-3323


CRD Number   Broker Dealer:                                  Status:
3978         LINCOLN FINANCIAL ADVISORS CORPORATION          Registered   7/1/1969
             LINCOLN FINANCIAL ADVISORS CORPORATION
             PO BOX 2239


             FORT WAYNE            IN   46801-2239


CRD Number   Broker Dealer:                                  Status:
145          LINCOLN FINANCIAL DISTRIBUTORS, INC.            Registered   1/16/1968
             LINCOLN FINANCIAL DISTRIBUTORS, INC.
             350 CHURCH ST


             HARTFORD              CT   06103


CRD Number   Broker Dealer:                                  Status:
5178         LINCOLN FINANCIAL INVESTMENT SERVICES CORPORA   Registered   6/4/2010
             LINCOLN FINANCIAL INVESTMENT SERVICES CORPORA
             1300 S. CLINTON ST.
             7C-01
             FORT WAYNE            IN   46802


CRD Number   Broker Dealer:                                  Status:
3870         LINCOLN FINANCIAL SECURITIES CORPORATION        Registered   3/3/1970
             LINCOLN FINANCIAL SECURITIES CORPORATION
             P.O. BOX 2005


             CONCORD               NH   03302
CRD Number   Broker Dealer:                             Status:
519          LINCOLN INVESTMENT                         Registered   1/21/1969
             LINCOLN INVESTMENT PLANNING, INC.
             FORST PAVILION
             218 GLENSIDE AVENUE
             WYNCOTE              PA     19095-1595


CRD Number   Broker Dealer:                             Status:
103987       LIQUIDNET, INC.                            Registered   7/27/2011
             LIQUIDNET, INC.
             498 7TH AVE.
             12TH FL
             NEW YORK             NY     10018


CRD Number   Broker Dealer:                             Status:
147364       LIVINGSTON SECURITIES, LLC                 Registered   2/9/2009
             LIVINGSTON SECURITIES, LLC
             825 THIRD AVENUE
             SUITE 223
             NEW YORK             NY     10022-7519


CRD Number   Broker Dealer:                             Status:
137476       LOCKTON FINANCIAL ADVISORS, LLC            Registered   5/12/2008
             LOCKTON FINANCIAL ADVISORS, LLC
             444 W. 47TH STREET
             SUITE 900
             KANSAS CITY          MO     64112


CRD Number   Broker Dealer:                             Status:
156174       LOCUST WALK SECURITIES, LLC                Registered   9/23/2011
             LWP ADVISORS, LLC
             ONE BROADWAY
             3RD FLOOR
             CAMBRIDGE            MA     02142


CRD Number   Broker Dealer:                             Status:
10929        LOEB PARTNERS CORPORATION                  Registered   3/16/1983
             LOEB PARTNERS CORPORATION
             61 BROADWAY


             NEW YORK             NY     10006


CRD Number   Broker Dealer:                             Status:
35205        LOEWEN, ONDAATJE, MCCUTCHEON USA LIMITED   Registered   11/17/1995
             LOEWEN, ONDAATJE, MCCUTCHEON USA LIMITED
             HAZLETON LANES, E TWR
             55 AVE RD, STE 2250 BOX 8
             TOR. ONTARIO CAN            M5R 3L2
CRD Number   Broker Dealer:                       Status:
27954        LOMBARD SECURITIES INCORPORATED      Registered   4/18/1991
             LOMBARD SECURITIES INCORPORATED
             1820 LANCASTER STREET
             2ND FL
             BALTIMORE         MD    21231


CRD Number   Broker Dealer:                       Status:
31148        LONG ISLAND FINANCIAL GROUP, INC.    Registered   7/9/1997
             LONG ISLAND FINANICAL GROUP, INC.
             2 WOODCREST DRIVE


             ROSLYN            NY    11576


CRD Number   Broker Dealer:                       Status:
135738       LONGBOW SECURITIES, LLC              Registered   2/2/2006
             LONGBOW SECURITIES, LLC
             6000 LOMBARDO CENTER
             #500
             INDEPENDENCE      OH    44131


CRD Number   Broker Dealer:                       Status:
41795        LOOMIS SAYLES DISTRIBUTORS, L.P.     Registered   1/2/1997
             LOOMIS SAYLES DISTRIBUTORS, L.P.
             ONE FINANCIAL CENTER


             BOSTON            MA    02111-2620


CRD Number   Broker Dealer:                       Status:
43098        LOOP CAPITAL MARKETS LLC             Registered   10/4/2000
             LOOP CAPITAL MARKETS LLC
             200 W JACKSON
             SUITE 1600
             CHICAGO           IL    60606


CRD Number   Broker Dealer:                       Status:
530          LORD ABBETT DISTRIBUTOR LLC          Registered   4/17/1997
             LORD ABBETT DISTRIBUTOR LLC
             90 HUDSON ST


             JERSEY CITY       NJ    07302-3973


CRD Number   Broker Dealer:                       Status:
46337        LORING WARD SECURITIES INC.          Registered   1/5/1999
             LORING WARD SECURITIES INC.
             3055 OLIN AVE.
             SUITE 2000
             SAN JOSE          CA    95128
CRD Number   Broker Dealer:                           Status:
48013        LOUIS CAPITAL MARKETS, LP                Registered   1/4/2002
             LOUIS CAPITAL MARKETS, LP
             445 PARK AVENUE
             16TH FL
             NEW YORK            NY   10022


CRD Number   Broker Dealer:                           Status:
6413         LPL FINANCIAL LLC                        Registered   11/6/1980
             LPL FINANCIAL LLC
             ONE BEACON ST
             22ND FL
             BOSTON              MA   02108-3106


CRD Number   Broker Dealer:                           Status:
37179        LUCIA SECURITIES, LLC                    Registered   5/25/2011
             LUCIA SECURITIES, LLC
             13520 EVENING CREEK DR, NORTH
             SUITE 300
             SAN DIEGO           CA   92128


CRD Number   Broker Dealer:                           Status:
140762       LYNCH & ASSOCIATES                       Registered   12/6/2006
             WJ LYNCH INVESTOR SERVICES LLC
             535 BOYLSTON ST.
             SUITE 1104
             BOSTON              MA   02116


CRD Number   Broker Dealer:                           Status:
137178       LYNX CAPITAL, LLC                        Registered   3/10/2011
             LYNX CAPITAL, LLC
             10900 WILSHIRE BOULEVARD
             SUITE 300
             LOS ANGELES         CA   90024


CRD Number   Broker Dealer:                           Status:
30210        LYSTER WATSON SECURITIES, INC.           Registered   11/22/2005
             LYSTER WATSON SECURITIES, INC.
             888 SEVENTH AVE
             40TH FL
             NEW YORK CITY       NY   10019


CRD Number   Broker Dealer:                           Status:
139304       M FINANCIAL SECURIITES MARKETING, INC.   Registered   8/24/2006
             M FINANCIAL SECURITIES MARKETING, INC.
             1125 NW COUCH STREET
             SUITE 900
             PORTLAND            OR   97209
CRD Number   Broker Dealer:                                Status:
43285        M HOLDINGS SECURITIES, INC.                   Registered   7/14/1998
             M HOLDINGS SECURITIES, INC.
             P.O. BOX 2207


             PORTLAND            OR     97208-2207


CRD Number   Broker Dealer:                                Status:
146711       M&I DISTRIBUTORS LLC                          Registered   7/14/2008
             M&I DISTRIBUTORS LLC
             111 EAST KILBOURN AVENUE
             SUITE 200
             MILWAUKEE           WI     53202-2039


CRD Number   Broker Dealer:                                Status:
16517        M&I FINANCIAL ADVISORS, INC.                  Registered   1/22/2001
             M&I FINANCIAL ADVISORS, INC.
             111 EAST KILBOURNE AVE
             STE 200
             MILWAUKEE           WI     53202


CRD Number   Broker Dealer:                                Status:
17358        M&T SECURITIES, INC.                          Registered   4/20/1994
             M&T SECURITIES, INC.
             285 DELAWARE AVE.
             STE 2000
             BUFFALO             NY     14202


CRD Number   Broker Dealer:                                Status:
2078         M. GRIFFITH INVESTMENT SERVICES, INC.         Registered   3/12/1999
             M. GRIFFITH INVESTMENT SERVICES, INC.
             P.O. BOX 895, BUILDING 2
             555 FRENCH ROAD
             NEW HARTFORD        NY     13413-0895


CRD Number   Broker Dealer:                                Status:
22088        M. R. BEAL & COMPANY                          Registered   2/12/2007
             M. R. BEAL & COMPANY, A LIMITED PARTNERSHIP
             110 WALL STREET
             6TH FLOOR
             NEW YORK            NY     10005


CRD Number   Broker Dealer:                                Status:
29318        M. RAMSEY KING SECURITIES, INC.               Registered   5/27/2003
             M. RAMSEY KING SECURITIES, INC.
             93 TOMLIN CIRCLE


             BURR RIDGE          IL     60527
CRD Number   Broker Dealer:                           Status:
104100       M. S. HOWELLS & CO.                      Registered   9/8/2000
             M. S. HOWELLS & CO.
             20555 N. PIMA ROAD
             STE #100
             SCOTTSDALE            AZ    85255


CRD Number   Broker Dealer:                           Status:
139760       M.D. SASS SECURITIES, L.L.C.             Registered   10/1/2010
             M.D. SASS SECURITIES, L.L.C.
             1185 AVENUE OF THE AMERICAS


             NEW YORK              NY    10036-2699


CRD Number   Broker Dealer:                           Status:
136138       M.E.S.A. SECURITIES, INC.                Registered   7/23/2008
             M.E.S.A. SECURITIES, INC.
             85 FIFTH AVENUE
             6TH FL
             NEW YORK              NY    10003


CRD Number   Broker Dealer:                           Status:
122481       M.J. WHITMAN LLC                         Registered   9/18/2002
             M.J. WHITMAN LLC
             622 THIRD AVE
             32ND FL
             NEW YORK              NY    10017-6715


CRD Number   Broker Dealer:                           Status:
19878        M.M. DILLON & CO. LLC                    Registered   6/29/1987
             M.M. DILLON & CO LLC
             262 HARBOR DRIVE
             3RD FL
             STAMFORD              CT    06902


CRD Number   Broker Dealer:                           Status:
108888       M3 CAPITAL PARTNERS LLC                  Registered   3/19/2001
             M3 CAPITAL PARTNERS LLC
             150 SOUTH WACKER DRIVE
             SUITE 3100
             CHICAGO               IL    60606


CRD Number   Broker Dealer:                           Status:
154411       MAA-MENTOR ALTERNATIVE ADVISORS LLC      Registered   6/28/2011
             MAA-MENTOR ALTERNATIVE ADVISORS LLC
             500 W. PUTNAM AVE
             STE 400
             GREENWICH             CT    06830
CRD Number   Broker Dealer:                                 Status:
39670        MACKIE RESEARCH USA INC.                       Registered   7/14/1997
             MACKIE RESEARCH USA INC.
             199 BAY STREET, SUITE 4500
             COMMERCE COURT W
             TORONTO ONTARI            M5L 1G2


CRD Number   Broker Dealer:                                 Status:
36368        MACQUARIE CAPITAL (USA) INC.                   Registered   4/6/2007
             MACQUARIE CAPITAL (USA) INC.
             125 W 55TH ST
             LEVEL 22
             NEW YORK            NY    10019


CRD Number   Broker Dealer:                                 Status:
38108        MACQUARIE CAPITAL MARKETS NORTH AMERICA LTD.   Registered   8/15/1996
             MACQUARIE CAPITAL MARKETS NORTH AMERICA LTD.
             BROOKFIELD PL., 181 BAY ST.
             STE 3100, POB 830
             TORONTO, ONTARI           M5J 2T3


CRD Number   Broker Dealer:                                 Status:
104204       MACQUARIE PRIVATE WEALTH CORP                  Registered   5/23/2001
             MACQUARIE PRIVATE WEALTH CORP
             BCE PL, 181 BAY ST, STE 3200
             P.O. BOX 779
             TORONTO ONTARI            M5J 2T3


CRD Number   Broker Dealer:                                 Status:
23224        MADISON AVENUE SECURITIES, INC.                Registered   1/3/2006
             MADISON AVENUE SECURITIES, INC.
             15050 AVE OF SCIENCE
             SUITE 150
             SAN DIEGO           CA    92128


CRD Number   Broker Dealer:                                 Status:
139515       MADISON CAPITAL MARKETS, INC.                  Registered   6/28/2006
             MADISON CAPITAL MARKETS, INC.
             666 FIFTH AVE.
             14TH FLOOR
             NEW YORK CITY       NY    10103


CRD Number   Broker Dealer:                                 Status:
35690        MAFG RIA SERVICES, INC.                        Registered   10/11/1994
             MAFG RIA SERVICES, INC.
             102 GAITHER DRIVE
             SUITE 5
             MT. LAUREL          NJ    08054
CRD Number   Broker Dealer:                           Status:
154132       MAGELLAN GLOBAL PARTNERS INC.            Registered   8/30/2011
             MAGELLAN GLOBAL PARTNERS INC.
             2901 SOUTH BAYSHORE DRIVE
             SUITE 1E
             MIAMI               FL   33133


CRD Number   Broker Dealer:                           Status:
129940       MAGNER SECURITIES, LLC                   Registered   6/4/2004
             MAGNER SECURITIES, LLC
             3414 PEACHTREE ROAD, NE
             SUITE 1020
             ATLANTA             GA   30326


CRD Number   Broker Dealer:                           Status:
7826         MAHLER & EMERSON INC.                    Registered   5/12/1992
             MAHLER & EMERSON INC.
             POB 3146
             GRAND CENTRAL STATION
             NEW YORK            NY   10163-3146


CRD Number   Broker Dealer:                           Status:
111394       MAIA SECURITIES, INC.                    Registered   1/8/2010
             MAIA SECURITIES, INC.
             17800 CASTLETON ST.
             SUITE 435
             CITY OF INDUSTRY    CA   91748


CRD Number   Broker Dealer:                           Status:
148020       MAINLINE WEST MUNICIPAL SECURITIES LLC   Registered   2/19/2009
             MAINLINE WEST MUNICIPAL SECURITIES LLC
             700 SEVENTEENTH ST.
             SUITE 1500
             DENVER              CO   80202


CRD Number   Broker Dealer:                           Status:
14305        MALKIN SECURITIES CORP.                  Registered   9/27/1985
             MALKIN SECURITIES CORP.
             60 E. 42ND STREET


             NEW YORK            NY   10165-0015


CRD Number   Broker Dealer:                           Status:
108486       MALLORY CAPITAL GROUP, LLC               Registered   6/16/2010
             MALLORY CAPITAL GROUP, LLC
             19 OLD KING'S HWY, SOUTH
             STE 14
             DARIEN              CT   06820
CRD Number   Broker Dealer:                             Status:
15770        MAN INVESTMENTS INC.                       Registered   8/31/2001
             MAN INVESTMENTS INC.
             1 ROCKEFELLER PLZ
             16TH FL
             NEW YORK            NY   10022


CRD Number   Broker Dealer:                             Status:
133803       MANAGED ACCOUNT SERVICES, LLC              Registered   7/19/2005
             MANAGED ACCOUNT SERVICES, LLC
             565 E. SWEDESFORD RD.
             SUITE 310
             WAYNE               PA   19087


CRD Number   Broker Dealer:                             Status:
27314        MANAGERS DISTRIBUTORS, INC.                Registered   5/11/1994
             MANAGERS DISTRIBUTORS, INC.
             333 WEST WACKER DRIVE
             STE 1200
             CHICAGO             IL   60606


CRD Number   Broker Dealer:                             Status:
37611        MANARIN SECURITIES CORPORATION             Registered   7/25/2003
             MANARIN SECURITIES CORPORATION
             15858 WEST DODGE ROAD
             SUITE 310
             OMAHA               NE   68118


CRD Number   Broker Dealer:                             Status:
137389       MANN MANN JENSEN PARTNERS LP               Registered   1/9/2006
             MANN MANN JENSEN PARTNERS LP
             733 THIRD AVENUE
             24TH FL
             NEW YORK            NY   10017


CRD Number   Broker Dealer:                             Status:
552          MANNA CAPITAL MANAGEMENT                   Registered   3/10/2009
             MANNA CAPITAL MANAGEMENT
             6521 ARLINGTON BLVD.
             SUITE 502
             FALLS CHURCH        VA   22042


CRD Number   Broker Dealer:                             Status:
26266        MANNING & NAPIER INVESTOR SERVICES, INC.   Registered   6/29/1990
             MANNING & NAPIER INVESTOR SERVICES, INC.
             290 WOODCLIFF DRIVE


             FAIRPORT            NY   14450
CRD Number   Broker Dealer:                        Status:
140863       MANOR HOUSE CAPITAL LLC               Registered   11/7/2006
             MANOR HOUSE CAPITAL LLC
             2005 MARKET STREET
             8TH FLOOR, SUITE 820
             PHILADELPHIA         PA   19103


CRD Number   Broker Dealer:                        Status:
38069        MAP SECURITIES, INC.                  Registered   1/3/2002
             MAP SECURITIES, INC.
             1682 E. GUDE DRIVE
             SUITE 201
             ROCKVILLE            MD   20850


CRD Number   Broker Dealer:                        Status:
103723       MAPLEWOOD INVESTMENT ADVISORS, INC.   Registered   5/19/2000
             MAPLEWOOD INVESTMENT ADVISORS, INC.
             8750 N. CENTRAL EXPRESSWAY
             SUITE 715
             DALLAS               TX   75231


CRD Number   Broker Dealer:                        Status:
41181        MARATHON FINANCIAL GROUP, INC.        Registered   9/16/1998
             MARATHON FINANCIAL GROUP, INC.
             401 S LASALLE STREET
             STE 204
             CHICAGO              IL   60605


CRD Number   Broker Dealer:                        Status:
146952       MARCH GROUP FINANCIAL, LLC            Registered   2/9/2010
             MARCH GROUP FINANCIAL, LLC
             26651 CORSICA ROAD


             MISSION VIEJO        CA   92692


CRD Number   Broker Dealer:                        Status:
46561        MARCO POLO SECURITIES INC.            Registered   8/3/2007
             MARCO POLO SECURITIES INC.
             75 BROAD STREET
             15TH FL
             NEW YORK             NY   10004


CRD Number   Broker Dealer:                        Status:
133392       MARCUM CRONUS PARTNERS LLC            Registered   5/6/2005
             MARCUM CRONUS PARTNERS LLC
             53 STATE STREET
             38TH FL
             BOSTON               MA   02109
CRD Number   Broker Dealer:                               Status:
25878        MARINER GROUP CAPITAL MARKETS, INC.          Registered   10/11/2006
             MARINER GROUP CAPITAL MARKETS, INC.
             500 MAMARONECK AVE
             1ST FL
             HARRISON           NY   10528


CRD Number   Broker Dealer:                               Status:
44542        MARKETAXESS CORPORATION                      Registered   1/7/1999
             MARKETAXESS CORPORATION
             299 PARK AVENUE
             10TH FL
             NEW YORK           NY   10171


CRD Number   Broker Dealer:                               Status:
132652       MARKS BAUGHAN SECURITIES LLC                 Registered   3/7/2005
             MARKS BAUGHAN SECURITIES LLC
             ONE TOWER BRIDGE
             SUITE 275
             CONSHOHOCKEN       PA   19428


CRD Number   Broker Dealer:                               Status:
152650       MARLIN & ASSOCIATES SECURITIES LLC           Registered   8/17/2010
             MARLIN & ASSOCIATES SECURITIES LLC
             600 LEXINGTON
             36TH FL
             NEW YORK           NY   10022


CRD Number   Broker Dealer:                               Status:
1612         MARQUETTE DE BARY CO., INC.                  Registered   7/20/2010
             MARQUETTE DE BARY CO., INC.
             270 MADISON AVENUE
             STE 1503
             NEW YORK           NY   10016


CRD Number   Broker Dealer:                               Status:
20733        MARQUIS FINANCIAL SERVICES, INC.             Registered   8/9/2001
             MARQUIS FINANCIAL SERVICES OF INDIANA INC.
             16501 VENTURA BLVD.
             SUITE 512
             ENCINO             CA   91436


CRD Number   Broker Dealer:                               Status:
18483        MARSCO INVESTMENT CORPORATION                Registered   1/28/1998
             MARSCO INVESTMENT CORPORATION
             101 EISENHOWER PARKWAY


             ROSELAND           NJ   07068
CRD Number   Broker Dealer:                                Status:
2903         MARTIN NELSON & CO., INC.                     Registered   2/7/2006
             MARTIN NELSON & CO., INC.
             1500 WESTLAKE AVE N.
             STE 200
             SEATTLE              WA    98109-3031


CRD Number   Broker Dealer:                                Status:
109838       MARTINEZ-AYME SECURITIES                      Registered   10/4/2005
             MARTINEZ-AYME SECURITIES GROUP INCORPORATED
             9495 SUNSET DRIVE
             STE B275
             MIAMI                FL    33173


CRD Number   Broker Dealer:                                Status:
12967        MASON SECURITIES, INC.                        Registered   6/20/1985
             MASON SECURITIES, INC.
             11130 SUNRISE VALLEY DR
             STE 200
             RESTON               VA    20191-5321


CRD Number   Broker Dealer:                                Status:
47883        MASTERTRADER.COM                              Registered   6/19/2000
             PRISTINE SECURITIES, LLC
             7-11 S BROADWAY
             STE 210A
             WHITE PLAINS         NY    10601


CRD Number   Broker Dealer:                                Status:
33364        MATRIX CAPITAL GROUP, INC.                    Registered   8/8/1994
             MATRIX CAPITAL GROUP, INC.
             420 LEXINGTON AVE.
             SUITE 601
             NEW YORK             NY    10170


CRD Number   Broker Dealer:                                Status:
46039        MAX INTERNATIONAL BROKER/DEALER CORP.         Registered   11/16/2000
             MAX INTERNATIONAL BROKER/DEALER CORP.
             75 MAIDEN LANE
             SUITE 503
             NEW YORK             NY    10038


CRD Number   Broker Dealer:                                Status:
120708       MAXIM GROUP LLC                               Registered   9/26/2002
             MAXIM GROUP LLC
             450 LEXINGTON AVE


             NEW YORK             NY    10174
CRD Number   Broker Dealer:                                   Status:
12667        MAXWELL SIMON, INC.                              Registered   2/3/2011
             MAXWELL SIMON, INC.
             708 S 3RD ST
             STE 400E
             MINNEAPOLIS        MN   55415


CRD Number   Broker Dealer:                                   Status:
149177       MAYFAIR CAPITAL MARKETS LLC                      Registered   9/1/2009
             MAYFAIR CAPITAL MARKETS LLC
             93 E. MIDDLE PATENT ROAD


             GREENWICH          CT   06831-2807


CRD Number   Broker Dealer:                                   Status:
30330        MB TRADING                                       Registered   4/4/2000
             MANHATTAN BEACH TRADING FINANCIAL SERVICES, IN
             1926 MAPLE ST
             1ST FL
             EL SEGUNDO         CA   90245


CRD Number   Broker Dealer:                                   Status:
155065       MBS CAPITAL MARKETS, LLC                         Registered   9/2/2011
             MBS CAPITAL MARKETS, LLC
             4890 W. KENNEDY BLVD
             SUITE 288
             TAMPA              FL   33609


CRD Number   Broker Dealer:                                   Status:
231          MBSC SECURITIES CORPORATION                      Registered   4/2/1968
             MBSC SECURITIES CORPORATION
             200 PARK AVE
             8TH FL
             NEW YORK           NY   10166


CRD Number   Broker Dealer:                                   Status:
23330        MC FINANCIAL SERVICES LTD.                       Registered   9/11/1990
             MC FINANCIAL SERVICES LTD.
             655 THIRD AVENUE
             2ND FL
             NEW YORK           NY   10017


CRD Number   Broker Dealer:                                   Status:
45899        MCADAMS WRIGHT RAGEN, INC.                       Registered   1/7/1999
             MCADAMS WRIGHT RAGEN, INC.
             925 FOURTH AVE
             SUITE #3900
             SEATTLE            WA   98104
CRD Number   Broker Dealer:                           Status:
14684        MCCLENDON,MORRISON & PARTNERS, INC.      Registered   8/25/1998
             MCCLENDON,MORRISON & PARTNERS, INC.
             150 N. MICHIGAN AVENUE
             SUITE 2800
             CHICAGO                IL   60601-7586


CRD Number   Broker Dealer:                           Status:
154926       MCDERMOTT INVESTMENT SERVICES, LLC       Registered   5/20/2011
             MCDERMOTT INVESTMENT SERVICES, LLC
             PO BOX 1889


             BETHLEHEM              PA   18016


CRD Number   Broker Dealer:                           Status:
135414       MCDONALD PARTNERS LLC                    Registered   4/27/2006
             MCDONALD PARTNERS LLC
             959 W. ST. CLAIR AVE
             3RD FL
             CLEVELAND              OH   44113


CRD Number   Broker Dealer:                           Status:
25768        MCFARLAND DEWEY SECURITIES CO., L.P.     Registered   8/16/1999
             MCFARLAND DEWEY SECURITIES CO., L.P.
             420 LEXINGTON AVE


             NEW YORK               NY   10170-2699


CRD Number   Broker Dealer:                           Status:
47639        MCGLADREY CAPITAL MARKETS, LLC           Registered   1/24/2000
             MCGLADREY CAPITAL MARKETS, LLC
             575 ANTON BLVD
             11TH FL
             COSTA MESA             CA   92626


CRD Number   Broker Dealer:                           Status:
21907        MCKINNON & COMPANY, INC.                 Registered   4/14/1998
             MCKINNON & COMPANY, INC.
             999 WATERSIDE DRIVE
             SUITE 1200
             NORFOLK                VA   23510


CRD Number   Broker Dealer:                           Status:
147529       MCLAUGHLIN RYDER INVESTMENTS, INC.       Registered   8/31/2010
             MCLAUGHLIN RYDER INVESTMENTS, INC.
             1421 PRINCE STREET
             SUITE 400
             ALEXANDRIA             VA   22314
CRD Number   Broker Dealer:                           Status:
104117       MCLEAN SECURITIES, LLC                   Registered   11/10/2010
             MCLEAN SECURITIES, LLC
             7900 WESTPARK DRIVE
             SUITE A320
             MCLEAN              VA   22102


CRD Number   Broker Dealer:                           Status:
121196       MCNALLY FINANCIAL SERVICES CORPORATION   Registered   5/5/2010
             MCNALLY FINANICAL SERVICES CORPORATION
             P.O. BOX 701928


             SAN ANTONIO         TX   78270-1928


CRD Number   Broker Dealer:                           Status:
31466        MCNAMARA TRADING COMPANY                 Registered   6/28/1989
             MCNAMARA TRADING COMPANY
             1601 WALNUT ST, 8TH FL
             C/O ROMEO CHIAVERELLI CPAS
             PHIL                PA   19102


CRD Number   Broker Dealer:                           Status:
42677        MDB CAPITAL GROUP LLC                    Registered   5/14/2009
             MDB CAPITAL GROUP LLC
             401 WILSHIRE BLVD
             STE 1020
             SANTA MONICA        CA   90401


CRD Number   Broker Dealer:                           Status:
153755       MEDITERRANEAN SECURITIES GROUP, LLC      Registered   5/26/2011
             MEDITERRANEAN SECURITIES GROUP, LLC
             301 YAMATO ROAD
             SUITE 4160
             BOCA RATON          FL   33431


CRD Number   Broker Dealer:                           Status:
17012        MEESCHAERT CAPITAL MARKETS, INC.         Registered   7/8/2010
             MEESCHAERT CAPITAL MARKETS, INC.
             600 MADISON AVENUE
             23RD FL
             NEW YORK            NY   10022


CRD Number   Broker Dealer:                           Status:
150842       MELIO SECURITIES COMPANY, LLC            Registered   7/14/2010
             MELIO SECURITIES COMPANY, LLC
             ONE NORTHFIELD PLAZA
             SUITE 300
             NORTHFIELD          IL   60093-1251
CRD Number   Broker Dealer:                                Status:
29767        MELVIN SECURITIES, L.L.C.                     Registered   1/29/2007
             MELVIN SECURITIES, L.L.C.
             111 WEST JACKSON BLVD
             #2110
             CHICAGO             IL      60604


CRD Number   Broker Dealer:                                Status:
122461       MERCADIEN SECURITIES                          Registered   1/29/2004
             MERCADIEN SECURITIES, LLC
             3625 QUAKERBRIDGE ROAD


             HAMILTON            NJ      08619


CRD Number   Broker Dealer:                                Status:
112903       MERCATOR ASSOCIATES, LLC                      Registered   11/15/2001
             MERCATOR ASSOCIATES, LLC
             121 RICHMOND STREET WEST
             STE 601
             TORONTO CANADA              M5H 2K1


CRD Number   Broker Dealer:                                Status:
37404        MERCER ALLIED COMPANY, L.P.                   Registered   11/16/1994
             MERCER ALLIED COMPANY, L.P.
             P.O. BOX 860


             SARATOGA SPRING NY          12866-0860


CRD Number   Broker Dealer:                                Status:
152338       MERCURY CAPITAL ADVISORS, LLC                 Registered   10/6/2010
             MERCURY CAPITAL ADVISORS, LLC
             2 WORLD FIN CTR
             29TH FL
             NEW YORK            NY      10281


CRD Number   Broker Dealer:                                Status:
40368        MERCURY SECURITIES, LLC                       Registered   8/17/2011
             MERCURY SECURITIES, LLC
             1299 FOURTH STREET
             SUITE 200
             SAN RAFAEL          CA      94901


CRD Number   Broker Dealer:                                Status:
135113       MERGER & ACQUISITION CAPITAL SERVICES, INC.   Registered   1/24/2006
             MERGER & ACQUISITION CAPITAL SERVICES, INC.
             336 EAST 53RD STREET


             NEW YORK            NY      10022
CRD Number   Broker Dealer:                              Status:
133849       MERIDIAN EQUITY PARTNERS, INC.              Registered   4/4/2008
             MERIDIAN EQUITY PARTNERS, INC.
             40 WALL ST, 34TH FL
             C/O ACCOUNTING & COMPLIANCE INTERNATIO
             NEW YORK              NY   10005


CRD Number   Broker Dealer:                              Status:
13225        MERIDIAN INVESTMENTS, INC.                  Registered   8/29/1985
             MERIDIAN INVESTMENTS, INC.
             1266 FURNACE BROOK PKWY


             QUINCY                MA   02169


CRD Number   Broker Dealer:                              Status:
122924       MERIDIAN UNITED CAPITAL, LLC                Registered   8/8/2003
             MERIDIAN UNITED CAPITAL, LLC
             8800 N. GAINEY CENTER DR.
             SUITE 176
             SCOTTSDALE            AZ   85258


CRD Number   Broker Dealer:                              Status:
10143        MERIDIEN FINANCIAL GROUP, INC.              Registered   2/15/2002
             MERIDIEN FINANCIAL GROUP, INC.
             10 DORRANCE STREET
             SUITE 524
             PROVIDENCE            RI   02903


CRD Number   Broker Dealer:                              Status:
133068       MERLIN SECURITIES, LLC                      Registered   2/14/2006
             MERLIN SECURITIES, LLC
             101 CALIFORNIA ST
             STE 3050
             SAN FRANCISCO         CA   94111


CRD Number   Broker Dealer:                              Status:
131322       MERRILL LYNCH FINANCIAL MARKETS, INC.       Registered   3/15/2006
             MERRILL LYNCH FINANCIAL MARKETS, INC.
             ONE BRYANT PARK


             NEW YORK              NY   10036


CRD Number   Broker Dealer:                              Status:
16139        MERRILL LYNCH PROFESSIONAL CLEARING CORP.   Registered   3/29/1985
             MERRILL LYNCH PROFESSIONAL CLEARING CORP.
             ONE BRYANT PARK, 6TH FLOOR
             NY1-100-06-01
             NEW YORK              NY   10036
CRD Number   Broker Dealer:                                   Status:
7691         MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPOR   Registered   1/12/1959
             MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPOR
             101 S. TRYON ST.
             NC1-002-19-44
             CHARLOTTE           NC    28255


CRD Number   Broker Dealer:                                   Status:
35463        MERRIMAC CORPORATE SECURITIES, INC.              Registered   3/20/2003
             MERRIMAC CORPORATE SECURITIES, INC.
             1150 DOUGLAS AVENUE
             STE 1080
             ALTAMONTE SPRIN     FL    32714


CRD Number   Broker Dealer:                                   Status:
6380         MERRIMACK VALLEY INVESTMENT, INC.                Registered   10/12/2011
             MERRIMACK VALLEY INVESTMENT, INC.
             109 MERRIMACK STREET


             HAVERHILL           MA    01830


CRD Number   Broker Dealer:                                   Status:
18296        MERRIMAN CAPITAL, INC.                           Registered   9/5/1996
             MERRIMAN CAPITAL, INC.
             600 CALIFORNIA ST
             STE 900
             SAN FRANCISCO       CA    94108


CRD Number   Broker Dealer:                                   Status:
30145        MERRION SECURITIES, LLC                          Registered   6/14/2004
             MERRION SECURITIES, LLC
             210 ELMER STREET


             WESTFIELD           NJ    07090


CRD Number   Broker Dealer:                                   Status:
2764         MESIROW FINANCIAL, INC.                          Registered   2/18/1976
             MESIROW FINANCIAL, INC.
             353 N. CLARK ST


             CHICAGO             IL    60654


CRD Number   Broker Dealer:                                   Status:
132690       METCIRCLE SECURITIES LLC                         Registered   11/9/2006
             METCIRCLE SECURITIES LLC
             103 EAST 84TH STREET
             SUITE 5B
             NEW YORK            NY    10028
CRD Number   Broker Dealer:                           Status:
107622       METLIFE INVESTORS DISTRIBUTION COMPANY   Registered   3/20/2003
             METLIFE INVESTORS DISTRIBUTION COMPANY
             5 PARK PLAZA


             IRVINE             CA      92614


CRD Number   Broker Dealer:                           Status:
14251        METLIFE SECURITIES, INC.                 Registered   12/8/1983
             METLIFE SECURITIES, INC.
             1095 AVE OF THE AMERICAS


             NEW YORK           NY      10036


CRD Number   Broker Dealer:                           Status:
34171        MEYERS ASSOCIATES, L.P.                  Registered   10/12/1994
             MEYERS ASSOCIATES, L.P.
             45 BROADWAY
             2ND FL
             NEW YORK           NY      10006


CRD Number   Broker Dealer:                           Status:
6731         MF GLOBAL INC.                           Registered   12/21/1979
             MF GLOBAL INC.
             717 FIFTH AVE
             9TH FL
             NEW YORK           NY      10022


CRD Number   Broker Dealer:                           Status:
36308        MFR SECURITIES, INC.                     Registered   6/16/2009
             MFR SECURITIES, INC.
             675 THIRD AVENUE
             SUITE 1129
             NEW YORK           NY      10017


CRD Number   Broker Dealer:                           Status:
31052        MFS FUND DISTRIBUTORS, INC.              Registered   4/6/1993
             MFS FUND DISTRIBUTORS, INC.
             500 BOYLSTON STREET


             BOSTON             MA      02116-3741


CRD Number   Broker Dealer:                           Status:
35682        MGI FUNDS DISTRIBUTORS, INC.             Registered   7/14/1998
             MGI FUNDS DISTRIBUTORS, INC.
             760 MOORE ROAD


             KING OF PRUSSIA    PA      19406
CRD Number   Broker Dealer:                        Status:
7462         MHA FINANCIAL CORP                    Registered   11/22/1993
             MHA FINANCIAL CORP
             P.O. BOX 409


             WESTWOOD            MA   02090-0409


CRD Number   Broker Dealer:                        Status:
119441       MHT SECURITIES, L.P.                  Registered   8/15/2007
             MHT SECURITIES, L.P.
             2000 MCKINNEY AVENUE
             STE 1200
             DALLAS              TX   75201


CRD Number   Broker Dealer:                        Status:
101600       MICHIGAN SECURITIES, INC.             Registered   11/2/2007
             MICHIGAN SECURITIES, INC.
             21415 CIVIC CENTER DR
             STE 200
             SOUTHFIELD          MI   48076-1901


CRD Number   Broker Dealer:                        Status:
143403       MICROPLACE, INC.                      Registered   8/28/2007
             MICROPLACE, INC.
             2211 N. FIRST ST.


             SAN JOSE            CA   95131


CRD Number   Broker Dealer:                        Status:
152513       MICROVENTURE MARKETPLACE INC.         Registered   9/9/2010
             MICROVENTURE MARKETPLACE INC.
             12513 UVALDE CREEK DR


             AUSTIN              TX   78732


CRD Number   Broker Dealer:                        Status:
10674        MID ATLANTIC CAPITAL CORPORATION      Registered   4/1/1982
             MID ATLANTIC CAPITAL CORPORATION
             1251 WATERFORNT PLACE
             STE 510
             PITTSBURGH          PA   15222-6368


CRD Number   Broker Dealer:                        Status:
47351        MIDAMERICA FINANCIAL SERVICES, INC.   Registered   1/24/2008
             MIDAMERICA FINANCIAL SERVICES, INC.
             2230 EAST 32ND ST
             SUITE B
             JOPLIN              MO   64804
CRD Number   Broker Dealer:                            Status:
14009        MIDAS SECURITIES GROUP, INC.              Registered   11/29/1993
             MIDAS SECURITIES GROUP, INC.
             11 HANOVER SQUARE
             12TH FL
             NEW YORK             NY   10005


CRD Number   Broker Dealer:                            Status:
18836        MID-ATLANTIC SECURITIES, INC.             Registered   7/20/1999
             MID-ATLANTIC SECURITIES, INC.
             4001 BARRETT DRIVE
             SUITE 100
             RALEIGH              NC   27609


CRD Number   Broker Dealer:                            Status:
120448       MID-CONTINENT SECURITIES ADVISORS, LTD.   Registered   3/25/2011
             MID-CONTINENT SECURITIES ADVISORS, LTD.
             1218 WEBSTER STREET


             HOUSTON              TX   77002-8841


CRD Number   Broker Dealer:                            Status:
122602       MIDDLEBURY SECURITIES LLC                 Registered   5/5/2009
             MIDDLEBURY SECURITIES LLC
             1043 SHEEP FARM RD


             WEYBRIDGE            VT   05753


CRD Number   Broker Dealer:                            Status:
21544        MIDDLEGATE SECURITIES, LTD.               Registered   6/9/1988
             MIDDLEGATE SECURITIES, LTD.
             8 WEST 40TH ST 4TH FL


             NEW YORK             NY   10018-3805


CRD Number   Broker Dealer:                            Status:
6634         MID-OHIO SECURITIES CORP                  Registered   7/25/2003
             MID-OHIO SECURITIES CORP
             P.O. BOX 1529


             ELYRIA               OH   44035-1529


CRD Number   Broker Dealer:                            Status:
35039        MIDSOUTH CAPITAL, INC.                    Registered   5/15/1996
             MIDSOUTH CAPITAL, INC.
             1050 CROWN POINTE PARKWAY
             SUITE 200
             ATLANTA              GA   30338
CRD Number   Broker Dealer:                         Status:
104223       MIDTOWN PARTNERS & CO., LLC            Registered   3/14/2005
             MIDTOWN PARTNERS & CO., LLC
             380 LEXINGTON AVE.
             SUITE 1769
             NEW YORK             NY   10168


CRD Number   Broker Dealer:                         Status:
112481       MILESTONE ADVISORS LLC                 Registered   5/27/2003
             MILESTONE ADVISORS LLC
             1775 I STREET, NW
             STE 800
             WASHINGTON           DC   20006


CRD Number   Broker Dealer:                         Status:
17606        MILKIE/FERGUSON INVESTMENTS, INC.      Registered   5/27/1994
             MILKIE/FERGUSON INVESTMENTS, INC.
             8750 N. CENTRAL EXPRESSWAY
             STE 1700
             DALLAS               TX   75231


CRD Number   Broker Dealer:                         Status:
128378       MILLENNIUM WAVE INVESTMENTS            Registered   6/26/2006
             MILLENNIUM WAVE SECURITIES, LLC
             3204 BEVERLY


             DALLAS               TX   75205


CRD Number   Broker Dealer:                         Status:
104156       MILLER BUCKFIRE & CO., LLC             Registered   9/10/2002
             MILLER BUCKFIRE & CO., LLC
             601 LEXINGTON AVE.
             22ND FL
             NEW YORK             NY   10022


CRD Number   Broker Dealer:                         Status:
47293        MILLER TABAK + CO., LLC                Registered   6/30/2000
             MILLER TABAK + CO., LLC
             331 MADISON AVENUE


             NEW YORK             NY   10017


CRD Number   Broker Dealer:                         Status:
41025        MILLER TABAK ROBERTS SECURITIES, LLC   Registered   3/10/1999
             MILLER TABAK ROBERTS SECURITIES, LLC
             331 MADSON AVE
             12TH FL
             NEW YORK             NY   10017
CRD Number   Broker Dealer:                         Status:
37818        MISCHLER FINANCIAL GROUP, INC.         Registered   9/1/2009
             MISCHLER FINANCIAL GROUP, INC.
             1111 BAYSIDE DRIVE
             STE 100
             CORONA DEL MAR       CA   92625


CRD Number   Broker Dealer:                         Status:
147058       MISMI, INC.                            Registered   6/20/2011
             MISMI, INC.
             810 7TH AVENUE
             SUITE 2200
             NEW YORK             NY   10019


CRD Number   Broker Dealer:                         Status:
19647        MIZUHO SECURITIES USA INC.             Registered   5/11/1992
             MIZUHO SECURITIES USA INC.
             320 PARK AVENUE
             12TH FL
             NEW YORK             NY   10022


CRD Number   Broker Dealer:                         Status:
150959       MLV & CO. LLC                          Registered   3/11/2011
             MLV & CO. LLC
             1251 AVENUE OF THE AMERICAS


             NEW YORK             NY   10020


CRD Number   Broker Dealer:                         Status:
103846       MMC SECURITIES CORP.                   Registered   7/31/2000
             MMC SECURITIES CORP.
             1166 AVENUE OF THE AMERICAS
             22ND FLOOR
             NEW YORK             NY   10036


CRD Number   Broker Dealer:                         Status:
38030        MML DISTRIBUTORS, LLC                  Registered   6/9/1995
             MML DISTRIBUTORS, LLC
             1295 STATE ST


             SPRINGFIELD          MA   01111-0001


CRD Number   Broker Dealer:                         Status:
10409        MML INVESTORS SERVICES, LLC            Registered   4/20/1982
             MML INVESTORS SERVICES, LLC
             1295 STATE ST


             SPRINGFIELD          MA   01111-0001
CRD Number   Broker Dealer:                         Status:
119003       MMLISI FINANCIAL ALLIANCES, LLC        Registered   5/10/2006
             MMLISI FINANCIAL ALLIANCES, LLC
             1295 STATE STREET


             SPRINGFIELD          MA   01111-0001


CRD Number   Broker Dealer:                         Status:
131833       MND PARTNERS, INC.                     Registered   5/11/2007
             MND PARTNERS, INC.
             20 BROAD STREET
             5TH FL
             NEW YORK             NY   10005


CRD Number   Broker Dealer:                         Status:
145115       MOELIS & COMPANY LLC                   Registered   1/9/2008
             MOELIS & COMPANY LLC
             399 PARK AVE.
             5TH FL
             NEW YORK             NY   10022


CRD Number   Broker Dealer:                         Status:
32723        MOGAVERO LEE & CO INC.                 Registered   10/9/1997
             MOGAVERO, LEE & CO., INC.
             20 BROAD STREET
             14TH FL
             NEW YORK             NY   10005


CRD Number   Broker Dealer:                         Status:
38535        MOLONEY SECURITIES CO., INC.           Registered   10/19/1998
             MOLONEY SECURITIES CO., INC.
             13537 BARRETT PARKWAY DRIVE
             STE #300
             MANCHESTER           MO   63021


CRD Number   Broker Dealer:                         Status:
124605       MONADNOCK CAPITAL MANAGEMENT, LP       Registered   5/3/2004
             MONADNOCK CAPITAL MANAGEMENT, LP
             1845 WALNUT STREET
             #940
             PHILADELPHIA         PA   19103


CRD Number   Broker Dealer:                         Status:
150062       MONADNOCK SECURITIES, LP               Registered   2/18/2011
             MONADNOCK SECURITIES, LP
             219 WEST NINTH STREET
             #220
             WILMINGTON           DE   19801
CRD Number   Broker Dealer:                             Status:
47815        MONARCH CAPITAL GROUP, LLC                 Registered   1/30/2002
             MONARCH CAPITAL GROUP, LLC
             500 FIFTH AVENUE
             SUITE 2240
             NEW YORK                   NY   10110


CRD Number   Broker Dealer:                             Status:
23437        MONARCH FINANCIAL CORPORATION OF AMERICA   Registered   3/13/1989
             MONARCH FINANCIAL CORPORATION OF AMERICA
             420 LEXINGTON AVE
             SUITE 300
             NEW YORK                   NY   10170


CRD Number   Broker Dealer:                             Status:
12963        MONEY CONCEPTS CAPITAL CORP                Registered   3/9/1984
             MONEY CONCEPTS CAPITAL CORP
             11440 NORTH JOG ROAD


             PALM BEACH GARD            FL   33418


CRD Number   Broker Dealer:                             Status:
14983        MONEY MANAGEMENT ADVISORY, INC.            Registered   5/21/1984
             MONEY MANAGEMENT ADVISORY, INC.
             102 W STREET RD


             FEASTERVILLE               PA   19053


CRD Number   Broker Dealer:                             Status:
2811         Monroe Securitites, Inc.                   Registered   9/2/2011
             Craig Carlino
             100 N. RIVERSIDE PLAZA
             SUITE 1620
             CHICAGO                    IL   60606


CRD Number   Broker Dealer:                             Status:
5506         MONTAG & JOSELSON                          Registered   11/10/1997
             MONTAG & JOSELSON
             21 PARK DRIVE SOUTH


             RYE                        NY   10580


CRD Number   Broker Dealer:                             Status:
154327       MONTAGE SECURITIES, LLC                    Registered   6/24/2011
             MONTAGE SECURITIES, LLC
             4200 W 115TH STREET
             SUITE 100
             LEAWOOD                    KS   66211
CRD Number   Broker Dealer:                         Status:
104004       MONTECITO ADVISORS, INC.               Registered   10/21/2004
             MONTECITO ADVISORS, INC.
             2015 STATE STREET
             SUITE B
             SANTA BARBARA        CA   93105


CRD Number   Broker Dealer:                         Status:
42300        MONTGOMERY & CO., LLC                  Registered   2/16/2006
             MONTGOMERY & CO., LLC
             100 WILSHIRE BLVD.
             SUITE 400
             SANTA MONICA         CA   90401


CRD Number   Broker Dealer:                         Status:
36399        MONUMENT GROUP, INC.                   Registered   3/25/2002
             MONUMENT GROUP, INC.
             500 BOYLSTON ST.
             SUITE 1650
             BOSTON               MA   02116


CRD Number   Broker Dealer:                         Status:
148771       MOODY SECURITIES, LLC                  Registered   2/9/2009
             MOODY SECURITIES, LLC
             6363 WOODWAY
             SUITE 110
             HOUSTON              TX   77057


CRD Number   Broker Dealer:                         Status:
594          MOORS & CABOT, INC.                    Registered   6/23/1989
             MOORS & CABOT, INC.
             111 DEVONSHIRE STREET


             BOSTON               MA   02109


CRD Number   Broker Dealer:                         Status:
10948        MORGAN JOSEPH TRIARTISAN LLC           Registered   11/7/2001
             MORGAN JOSEPH TRIARTISAN LLC
             600 FIFTH AVENUE
             19TH FLOOR
             NEW YORK             NY   10020


CRD Number   Broker Dealer:                         Status:
4161         MORGAN KEEGAN & COMPANY, INC.          Registered   1/20/1981
             MORGAN KEEGAN & COMPANY, INC.
             FIFTY FRONT STREET
             MORGAN KEEGAN TWR
             MEMPHIS              TN   38103-9980
CRD Number   Broker Dealer:                          Status:
8209         MORGAN STANLEY & CO. LLC                Registered   2/16/1971
             MORGAN STANLEY & CO. LLC
             1300 THAMES ST WHARF, 6TH FL
             C/O N AMERICAN REG
             BALTIMORE          MD    21231


CRD Number   Broker Dealer:                          Status:
30344        MORGAN STANLEY DISTRIBUTION, INC.       Registered   9/29/1992
             MORGAN STANLEY DISTRIBUTION, INC.
             201 PLAZA TWO - 2ND FL


             JERSEY CITY        NJ    07311


CRD Number   Broker Dealer:                          Status:
149777       MORGAN STANLEY SMITH BARNEY             Registered   5/21/2009
             MORGAN STANLEY SMITH BARNEY LLC
             1300 THAMES ST.
             6TH FL
             BALTIMORE          MD    21231


CRD Number   Broker Dealer:                          Status:
44807        MORGAN WILSHIRE SECURITIES, INC.        Registered   8/5/1998
             MORGAN WILSHIRE SECURITIES, INC.
             960 FRANKLIN AVENUE
             2ND FLOOR
             GARDEN CITY        NY    11530


CRD Number   Broker Dealer:                          Status:
37182        MORTON CLARKE INC                       Registered   4/12/2000
             MORTON CLARKE INC
             520 PIKE ST
             STE 2250
             SEATTLE            WA    98109-8101


CRD Number   Broker Dealer:                          Status:
44930        MOSAIC FUNDS DISTRIBUTOR, LLC           Registered   9/2/1998
             MOSAIC FUNDS DISTRIBUTOR, LLC
             8777 N GAINEY CENTER DR
             STE 220
             SCOTTSDALE         AZ    85258


CRD Number   Broker Dealer:                          Status:
114950       MOSS ADAMS SECURITIES & INSURANCE LLC   Registered   7/6/2006
             MOSS ADAMS SECURITIES & INSURANCE LLC
             999 THIRD AVE
             STE 200
             SEATTLE            WA    98104
CRD Number   Broker Dealer:                           Status:
155731       MOTIF INVESTING, INC.                    Registered   6/24/2011
             MOTIF INVESTING, INC.
             400 SOUTH EL CAMINO REAL
             SUITE 575
             SAN MATEO              CA   94402


CRD Number   Broker Dealer:                           Status:
7882         MOUNTAINVIEW SECURITIES, LLC             Registered   3/12/1999
             MOUNTAINVIEW SECURITIES, LLC
             999 18TH STREET
             STE 1001
             DENVER                 CO   80202


CRD Number   Broker Dealer:                           Status:
38192        MPI SECURITIES, INC.                     Registered   4/16/1997
             MPI SECURITIES, INC.
             101 POOR FARM ROAD


             PRINCETON              NJ   08540


CRD Number   Broker Dealer:                           Status:
154096       MPS FIXED INCOME LLC                     Registered   11/14/2011
             MPS FIXED INCOME LLC
             101 PARK AVENUE
             14TH FLOOR
             NEW YORK               NY   10178


CRD Number   Broker Dealer:                           Status:
148689       MPS GLOBAL SECURITIES, LLC               Registered   6/29/2009
             MPS GLOBAL SECURITIES, LLC
             101 PARK AVENUE
             14TH FL
             NEW YORK               NY   10178


CRD Number   Broker Dealer:                           Status:
130955       MT RUSHMORE SECURITIES LLC               Registered   10/14/2004
             MT RUSHMORE SECURITIES LLC
             1703 PADMAVANI LN


             FAIRFIELD              IA   52556


CRD Number   Broker Dealer:                           Status:
15764        MTL EQUITY PRODUCTS, INC.                Registered   9/1/1992
             MTL EQUITY PRODUCTS, INC.
             1200 JORIE BLVD


             OAK BROOK              IL   60523-2269
CRD Number   Broker Dealer:                           Status:
104059       MTS SECURITIES, LLC                      Registered   3/7/2008
             MTS SECURITIES, LLC
             623 FIFTH AVENUE
             14TH FLOOR
             NEW YORK           NY   10022


CRD Number   Broker Dealer:                           Status:
132353       MUFSON HOWE HUNTER & PARTNERS LLC        Registered   1/11/2005
             MUFSON HOWE HUNTER & PARTNERS LLC
             1717 ARCH STREET
             32ND FLOOR
             PHILADELPHIA       PA   19103


CRD Number   Broker Dealer:                           Status:
22098        MULTI-BANK SECURITIES, INC.              Registered   3/7/1994
             MULTI-BANK SECURITIES, INC.
             24280 WOODWARD AVENUE


             PLEASANT RIDGE     MI   48069


CRD Number   Broker Dealer:                           Status:
10299        MULTI-FINANCIAL SECURITIES CORPORATION   Registered   7/11/1985
             MULTI-FINANCIAL SECURITIES CORPORATION
             4600 SOUTH SYRACUSE
             SUITE 600
             DENVER             CO   80237


CRD Number   Broker Dealer:                           Status:
5376         MURIEL SIEBERT & CO., INC.               Registered   6/22/1977
             MURIEL SIEBERT & CO., INC.
             885 THIRD AVENUE
             STE. 1720
             NEW YORK           NY   10022


CRD Number   Broker Dealer:                           Status:
6292         MURPHY & DURIEU                          Registered   11/23/1998
             MURPHY & DURIEU
             120 BROADWAY
             17TH FLOOR
             NEW YORK           NY   10271


CRD Number   Broker Dealer:                           Status:
30599        MUSKET RESEARCH ASSOCIATES INC.          Registered   5/27/2003
             MUSKET RESEARCH ASSOCIATES INC.
             125 CAMBRIDGEPARK DRIVE
             1ST FLOOR
             CAMBRIDGE          MA   02140
CRD Number   Broker Dealer:                             Status:
27878        MUTUAL OF AMERICA SECURITIES CORPORATION   Registered   9/7/1995
             MUTUAL OF AMERICA SECURITIES CORPORATION
             320 PARK AVE


             NEW YORK            NY    10022-3869


CRD Number   Broker Dealer:                             Status:
611          MUTUAL OF OMAHA INVESTOR SERVICES, INC.    Registered   6/11/1968
             MUTUAL OF OMAHA INVESTOR SERVICES, INC.
             MUTUAL OF OMAHA PLAZA


             OMAHA               NE    68175-1020


CRD Number   Broker Dealer:                             Status:
13092        MUTUAL SECURITIES, INC.                    Registered   3/7/1989
             MUTUAL SECURITIES, INC.
             PO BOX 2864


             CAMARILLO           CA    93011


CRD Number   Broker Dealer:                             Status:
37613        MV SECURITIES GROUP, INC.                  Registered   8/8/1996
             MV SECURITIES GROUP, INC.
             1001 MCKINNEY
             SUITE 1200
             HOUSTON             TX    77002


CRD Number   Broker Dealer:                             Status:
122242       MVISION PRIVATE EQUITY ADVISERS USA LLC    Registered   2/10/2003
             MVISION PRIVATE EQUITY ADVISERS USA LLC
             CONNAUGHT HOUSE
             1-3 MOUNT ST
             LONDON, UNITED K          W1K 3NB


CRD Number   Broker Dealer:                             Status:
112630       MWA FINANCIAL SERVICES INC.                Registered   10/19/2001
             MWA FINANCIAL SERVICES INC.
             1701 FIRST AVENUE


             ROCK ISLAND         IL    61201


CRD Number   Broker Dealer:                             Status:
103956       MYSTOCKFUND SECURITIES, INC.               Registered   10/19/2000
             MYSTOCKFUND SECURITIES, INC.
             13700 US HIGHWAY ONE
             SUITE 202E
             JUNO BEACH          FL    33408
CRD Number   Broker Dealer:                             Status:
47390        NABSECURITIES, LLC                         Registered   7/8/2011
             NABSECURITIES, LLC
             245 PARK AVENUE
             28TH FL
             NEW YORK             NY   10167


CRD Number   Broker Dealer:                             Status:
7270         NASDAQ EXECUTION SERVICES, LLC             Registered   8/19/1997
             NASDAQ EXECUTION SERVICES, LLC
             ONE LIBERTY PLAZA
             51ST FL
             NEW YORK             NY   10006


CRD Number   Broker Dealer:                             Status:
104295       NASDAQ OPTIONS SERVICES, LLC               Registered   3/26/2001
             NASDAQ OPTIONS SERVICES, LLC
             1 LIBERTY PLAZA
             51ST FLOOR
             NEW YORK             NY   10006


CRD Number   Broker Dealer:                             Status:
39455        NATIONAL ALLIANCE SECURITIES CORPORATION   Registered   11/21/2001
             NATIONAL ALLIANCE SECURITIES CORPORATION
             1605 LBJ FREEWAY
             SUITE 710
             DALLAS               TX   75234


CRD Number   Broker Dealer:                             Status:
22698        NATIONAL BANK OF CANADA FINANCIAL INC.     Registered   1/27/1998
             NATIONAL BANK OF CANADA FINANCIAL INC.
             65 EAST 55TH ST
             31ST FL
             NEW YORK             NY   10022


CRD Number   Broker Dealer:                             Status:
13041        NATIONAL FINANCIAL SERVICES LLC            Registered   1/7/1983
             NATIONAL FINANCIAL SERVICES LLC
             200 SEAPORT BLVD.
             Z1N
             BOSTON               MA   02210


CRD Number   Broker Dealer:                             Status:
29604        NATIONAL PLANNING CORPORATION              Registered   3/11/1992
             NATIONAL PLANNING CORPORATION
             401 WILSHIRE BLVD
             STE 1100
             SANTA MONICA         CA   90401
CRD Number   Broker Dealer:                               Status:
7569         NATIONAL SECURITIES CORPORATION              Registered   10/26/1987
             NATIONAL SECURITIES CORPORATION
             1001 FOURTH AVENUE
             SUITE 3750
             SEATTLE            WA    98154-1100


CRD Number   Broker Dealer:                               Status:
44181        NATIONS FINANCIAL GROUP, INC.                Registered   3/9/1998
             NATIONS FINANCIAL GROUP, INC.
             4000 RIVER RIDGE DRIVE NE


             CEDAR RAPIDS       IA    52402


CRD Number   Broker Dealer:                               Status:
25910        NATIONWIDE FUND DISTRIBUTORS LLC             Registered   6/8/2001
             NATIONWIDE FUND DISTRIBUTORS LLC
             1000 CONTINENTAL DRIVE
             SUITE 400
             KING OF PRUSSIA    PA    19406


CRD Number   Broker Dealer:                               Status:
7110         NATIONWIDE INVESTMENT SERVICES CORPORATION   Registered   11/4/1985
             NATIONWIDE INVESTMENT SERVICES CORPORATION
             ONE NATIONWIDE PLAZA
             1-33-401
             COLUMBUS           OH    43215


CRD Number   Broker Dealer:                               Status:
31029        NATIONWIDE PLANNING ASSOCIATES INC.          Registered   5/17/1996
             NATIONWIDE PLANNING ASSOCIATES INC.
             115 WEST CENTURY ROAD
             SUITE 360
             PARAMUS            NJ    07652


CRD Number   Broker Dealer:                               Status:
11173        NATIONWIDE SECURITIES, LLC                   Registered   7/10/1957
             NATIONWIDE SECURITIES, LLC
             ONE NATIONWIDE PLZ.
             MC 01-33-401
             COLUMBUS           OH    43215


CRD Number   Broker Dealer:                               Status:
122430       NATIVEONE INSTITUTIONAL TRADING, LLC.        Registered   11/23/2011
             NATIVEONE INSTITUTIONAL TRADING, LLC.
             30 BROAD STREET
             20TH FLOOR
             NEW YORK           NY    10004
CRD Number   Broker Dealer:                         Status:
1101         NATIXIS SECURITIES AMERICAS LLC        Registered   2/28/1973
             NATIXIS SECURITIES AMERICAS LLC
             9 W. 57TH ST
             35TH FL
             NEW YORK             NY   10019


CRD Number   Broker Dealer:                         Status:
42607        NAVAID FINANCIAL SERVICES, INC.        Registered   4/29/1997
             NAVAID FINANCIAL SERVICES, INC.
             1522 LOCUST ST.
             FL 2
             PHILADELPHIA         PA   19102


CRD Number   Broker Dealer:                         Status:
114155       NAVIGANT CAPITAL ADVISORS, LLC         Registered   5/16/2002
             NAVIGANT CAPITAL ADVISORS, LLC
             30 S. WACKER DRIVE
             STE 3100
             CHICAGO              IL   60606


CRD Number   Broker Dealer:                         Status:
104393       NAVPOINT, LLC                          Registered   9/27/2006
             BLUE TRADING, LLC
             70 E. 55TH STREET
             17 FLOOR
             NEW YORK             NY   10022


CRD Number   Broker Dealer:                         Status:
138459       NAVY FEDERAL BROKERAGE SERVICES, LLC   Registered   6/29/2006
             NAVY FEDERAL BROKERAGE SERVICES, LLC
             1007 ELECTRIC AVENUE


             VIENNA               VA   22180


CRD Number   Broker Dealer:                         Status:
17870        NBC SECURITIES, INC.                   Registered   6/30/1995
             NBC SECURITIES, INC.
             POST OFFICE BOX 10686


             BIRMINGHAM           AL   35202-0686


CRD Number   Broker Dealer:                         Status:
25541        NBF SECURITIES (USA) CORP.             Registered   2/1/1991
             NBF SECURITIES (USA) CORP.
             130 KING ST W STE 3200
             EXCHANGE TWR, POB 21
             TORONTO ONTARI            M5X 1J9
CRD Number   Broker Dealer:                         Status:
145896       NCB SECURITIES, LLC                    Registered   4/25/2008
             NCB SECURITIES, LLC
             330 MADISON AVE
             6TH FL
             NEW YORK             NY   10017


CRD Number   Broker Dealer:                         Status:
39940        NDX TRADING, INC.                      Registered   4/5/2002
             NDX TRADING, INC.
             900 LONG LAKE RD
             SUITE 101
             NEW BRIGHTON         MN   55112


CRD Number   Broker Dealer:                         Status:
16360        NEEDHAM & COMPANY, LLC                 Registered   9/27/1985
             NEEDHAM & COMPANY, LLC
             445 PARK AVE


             NEW YORK             NY   10022-2602


CRD Number   Broker Dealer:                         Status:
7425         NEIDIGER, TUCKER, BRUNER, INC.         Registered   3/4/1983
             NEIDIGER, TUCKER, BRUNER, INC.
             9540 SOUTH MAROON CIRCLE
             SUITE 250
             ENGLEWOOD            CO   80112


CRD Number   Broker Dealer:                         Status:
104050       NELNET CAPITAL LLC                     Registered   4/23/2001
             NELNET CAPITAL LLC
             P.O. BOX 82618


             LINCOLN              NE   68501


CRD Number   Broker Dealer:                         Status:
14377        NELSON SECURITIES, INC.                Registered   11/5/1992
             NELSON SECURITIES, INC.
             601 W. MAIN AVENUE
             SUITE 1118
             SPOKANE              WA   99201


CRD Number   Broker Dealer:                         Status:
2907         NESTLERODE & LOY, INC.                 Registered   10/5/1965
             NESTELRODE & LOY, INC.
             P.O. BOX 343


             STATE COLLEGE        PA   16804-0343
CRD Number   Broker Dealer:                             Status:
13577        NETWORK 1 FINANCIAL SECURITIES, INC.       Registered   9/5/1984
             NETWORK 1 FINANCIAL SECURITIES, INC.
             THE GALLERIA PENTHOUSE, STE 241
             2 BRIDGE AVE - BLDG 2
             RED BANK            NJ   07701


CRD Number   Broker Dealer:                             Status:
2908         NEUBERGER BERMAN LLC                       Registered   1/10/1972
             NEUBERGER BERMAN LLC
             605 THIRD AVENUE


             NEW YORK            NY   10158-3698


CRD Number   Broker Dealer:                             Status:
5493         NEUBERGER BERMAN MANAGEMENT LLC            Registered   2/20/1987
             NEUBERGER BERMAN MANAGEMENT LLC
             605 THIRD AVENUE


             NEW YORK            NY   10158-0180


CRD Number   Broker Dealer:                             Status:
119518       NEW ALBION PARTNERS LLC                    Registered   6/9/2003
             NEW ALBION PARTNERS LLC
             220 MONTGOMERY STREET
             SUITE 462
             SAN FRANCISCO       CA   94104


CRD Number   Broker Dealer:                             Status:
615          NEW ENGLAND SECURITIES                     Registered   12/3/1968
             NEW ENGLAND SECURITIES CORPORATION
             1095 AVE OF THE AMERICAS
             C/O METLIFE SECURITIES , INC.
             NEW YORK            NY   10036


CRD Number   Broker Dealer:                             Status:
103340       NEW HORIZONS ASSET MANAGEMENT GROUP, LLC   Registered   5/10/2001
             NEW HORIZONS ASSET MANAGEMENT GROUP, LLC
             P.O. BOX 10009


             NEWBURGH            NY   12552


CRD Number   Broker Dealer:                             Status:
104065       NEWBRIDGE SECURITIES CORPORATION           Registered   10/16/2000
             NEWBRIDGE SECURITIES CORPORATION
             1451 CYPRESS CREEK ROAD
             SUITE 204
             FT. LAUDERDALE      FL   33309
CRD Number   Broker Dealer:                               Status:
32240        NEWBURY STREET CAPITAL LIMITED PARTNERSHIP   Registered   9/15/2010
             NEWBURY STREET CAPITAL LIMITED PARTNERSHIP
             500 BOYLSTON STREET
             SUITE 440
             BOSTON               MA   02116


CRD Number   Broker Dealer:                               Status:
36118        NEWEDGE USA, LLC                             Registered   10/11/1995
             NEWEDGE USA, LLC
             550 W. JACKSON
             SUITE 500
             CHICAGO              IL   60661


CRD Number   Broker Dealer:                               Status:
104063       NEWOAK CAPITAL MARKETS LLC                   Registered   9/21/2000
             NEWOAK CAPITAL MARKETS LLC
             485 LEXINGTON AVE.
             25TH FL
             NEW YORK             NY   10017


CRD Number   Broker Dealer:                               Status:
16944        NEWPORT COAST SECURITIES, INC.               Registered   10/17/1995
             NEWPORT COAST SECURITIES, INC.
             18872 MACARTHUR BLVD.
             SUITE 100
             IRVINE               CA   92612


CRD Number   Broker Dealer:                               Status:
29722        NEWPORT GROUP SECURITIES, INC.               Registered   6/1/1999
             NEWPORT GROUP SECURITIES, INC.
             300 INTERNATIONAL PARKWAY
             SUITE 270
             HEATHROW             FL   32746-5035


CRD Number   Broker Dealer:                               Status:
133267       NEXBANK SECURITIES INC                       Registered   5/25/2006
             NEXBANK SECURITIES INC
             13455 NOEL RD.
             SUITE 1710
             DALLAS               TX   75240


CRD Number   Broker Dealer:                               Status:
46214        NEXT FINANCIAL GROUP, INC.                   Registered   6/28/1999
             NEXT FINANCIAL GROUP, INC.
             2500 WILCREST DR
             STE. 620
             HOUSTON              TX   77042
CRD Number   Broker Dealer:                          Status:
42046        NFP SECURITIES, INC.                    Registered   4/16/1997
             NFP SECURITIES, INC.
             1250 CAPITAL OF TEXAS HIGHWAY
             SOUTH, #2-125
             AUSTIN               TX   78746


CRD Number   Broker Dealer:                          Status:
34754        NGAM DISTRIBUTION, L.P.                 Registered   9/14/1993
             NGAM DISTRIBUTION, L.P.
             399 BOYLSTON STREET


             BOSTON               MA   02116-9848


CRD Number   Broker Dealer:                          Status:
145082       NGC FINANCIAL, LLC                      Registered   2/15/2008
             NGC FINANCIAL, LLC
             2444 FRANCIS LEWIS BLVD


             WHITESTONE           NY   11357


CRD Number   Broker Dealer:                          Status:
44254        NIA SECURITIES, L.L.C.                  Registered   1/2/2001
             NIA SECURITIES, L.L.C.
             66 ROUTE 17


             PARAMUS              NJ   07652


CRD Number   Broker Dealer:                          Status:
135327       NIAGARA INTERNATIONAL CAPITAL LIMITED   Registered   4/23/2010
             NIAGARA INTERNATIONAL CAPITAL LIMITED
             8940 MAIN STREET


             CLARENCE             NY   14031


CRD Number   Broker Dealer:                          Status:
44134        NIGHTHAWK PARTNERS INC.                 Registered   1/29/2004
             NIGHTHAWK PARTNERS INC.
             120 SYLVAN AVE


             ENGLEWOOD CLIFF NJ        07632


CRD Number   Broker Dealer:                          Status:
15768        NOBLE FINANCIAL CAPITAL MARKETS         Registered   2/13/1992
             NOBLE FINANCIAL CAPITAL MARKETS
             951 YAMATO ROAD
             SUITE 210
             BOCA RATON           FL   33431
CRD Number   Broker Dealer:                          Status:
146870       NOBLES & RICHARDS, INC.                 Registered   6/11/2009
             NOBLES & RICHARDS, INC.
             801 EAST PLANO PARKWAY
             SUITE 220
             PLANO              TX     75074


CRD Number   Broker Dealer:                          Status:
4297         NOMURA SECURITIES INTERNATIONAL, INC.   Registered   10/28/1969
             NOMURA SECURITIES INTERNATIONAL, INC.
             2 WORLD FIN CTR BLDG B


             NEW YORK           NY     10281-1198


CRD Number   Broker Dealer:                          Status:
103797       NORFOLK MARKETS, LLC                    Registered   3/4/2010
             NORFOLK MARKETS, LLC
             360 MADISON AVENUE
             24TH FL
             NEW YORK           NY     10017


CRD Number   Broker Dealer:                          Status:
123435       NORTH ATLANTIC SECURITIES, L.L.C.       Registered   2/22/2011
             NORTH ATLANTIC SECURITIES, L.L.C.
             16 MIDDLE STREET


             SACO               ME     04072


CRD Number   Broker Dealer:                          Status:
107320       NORTH BRIDGE CAPITAL, LLC               Registered   7/8/2005
             NORTH BRIDGE CAPITAL, LLC
             45 SCHOOL STREET
             2ND FLOOR
             BOSTON             MA     02108


CRD Number   Broker Dealer:                          Status:
27098        NORTH RIDGE SECURITIES CORP.            Registered   3/11/1992
             NORTH RIDGE SECURITIES CORP.
             1895 WALT WHITMAN RD


             MELVILLE           NY     11747-3031


CRD Number   Broker Dealer:                          Status:
35530        NORTH SEA SECURITIES L.P.               Registered   3/19/2010
             NORTH SEA SECURITIES L.P.
             350 MADISON AVENUE
             8TH FL
             NEW YORK           NY     10017
CRD Number   Broker Dealer:                            Status:
7984         NORTH STAR INVESTMENT SERVICES, INC.      Registered   6/28/2004
             NORTH STAR INVESTMENT SERVICES, INC.
             20 N WACKER DRIVE
             STE 1416
             CHICAGO             IL   60606


CRD Number   Broker Dealer:                            Status:
32117        NORTHEAST CAPITAL & ADVISORY, INC.        Registered   5/27/1994
             NORTHEAST CAPITAL & ADVISORY, INC.
             7 AIRPORT PARK BLVD
             FL 2
             LATHAM              NY   12110


CRD Number   Broker Dealer:                            Status:
25996        NORTHEAST SECURITIES, INC.                Registered   7/12/1990
             NORTHEAST SECURITIES, INC.
             333 EARLE OVINGTON BLVD
             7TH FL
             MITCHELFIELD        NY   11553


CRD Number   Broker Dealer:                            Status:
40659        NORTHERN CAPITAL SECURITIES CORPORATION   Registered   1/19/2011
             NORTHERN CAPITAL SECURITIES CORPORATION
             300 BRICKSTONE SQUARE
             10TH FL
             ANDOVER             MA   01810-1435


CRD Number   Broker Dealer:                            Status:
45943        NORTHERN FUNDS DISTRIBUTORS, LLC          Registered   2/22/1999
             NORTHERN FUNDS DISTRIBUTORS, LLC
             3 CANAL PLZ
             SUITE 100
             PORTLAND            ME   04101


CRD Number   Broker Dealer:                            Status:
126159       NORTHERN LIGHTS DISTRIBUTORS, LLC         Registered   10/28/2003
             NORTHERN LIGHTS DISTRIBUTORS, LLC
             4005 S 148TH ST


             OMAHA               NE   68137


CRD Number   Broker Dealer:                            Status:
7927         NORTHERN TRUST SECURITIES, INC.           Registered   4/24/1989
             NORTHERN TRUST SECURITIES, INC.
             50 SOUTH LASALLE STREET


             CHICAGO             IL   60603
CRD Number   Broker Dealer:                                Status:
21188        NORTHGATE SECURITIES INC.                     Registered   7/24/1989
             NORTHGATE SECURITIES INC.
             14505 TORREY CHASE
             #410
             HOUSTON            TX   77014


CRD Number   Broker Dealer:                                Status:
40258        NORTHLAND SECURITIES, INC.                    Registered   11/7/2002
             NORTHLAND SECURITIES, INC.
             45 SOUTH 7TH STREET
             20TH FLOOR
             MINNEAPOLIS        MN   55402


CRD Number   Broker Dealer:                                Status:
107708       NORTHSTAR FINANCIAL PARTNERS, INC.            Registered   5/21/2010
             NORTHSTAR FINANCIAL PARTNERS, INC.
             2150 BUTTERFIELD DR.
             SUITE 220
             TROY               MI   48084


CRD Number   Broker Dealer:                                Status:
150409       NORTHSTAR REALTY SECURITIES, LLC              Registered   4/23/2010
             NRF CAPITAL MARKETS, LLC
             5299 DTC BOULEVARD
             SUITE 900
             GREENWOOD VILL     CO   80111


CRD Number   Broker Dealer:                                Status:
2881         NORTHWESTERN MUTUAL INVESTMENT SERVICES, LL   Registered   5/22/2000
             NORTHWESTERN MUTUAL INVESTMENT SERVICES, LL
             611 E WISCONSIN AVE


             MILWAUKEE          WI   53202-4797


CRD Number   Broker Dealer:                                Status:
21406        NPA FINANCIAL SERVICES, INC.                  Registered   5/5/2009
             NPA FINANCIAL SERVICES, INC.
             115 WEST CENTURY ROAD
             SUITE 360
             PARAMUS            NJ   07652


CRD Number   Broker Dealer:                                Status:
137743       NPB FINANCIAL GROUP, LLC                      Registered   6/7/2006
             NPB FINANCIAL GROUP, LLC
             3500 W. OLIVE AVENUE
             3RD FL
             BURBANK            CA   91505
CRD Number   Broker Dealer:                         Status:
134357       NSM SECURITIES, INC.                   Registered   5/3/2007
             NSM SECURITIES, INC.
             1700 PALM BEACH LAKES BLVD
             SUITE 900
             WEST PALM BEACH      FL   33401


CRD Number   Broker Dealer:                         Status:
18975        NUTMEG SECURITIES, LLC                 Registered   10/24/1995
             NUTMEG SECURITIES, LLC
             257 RIVERSIDE AVE.
             1ST FL
             WESTPORT             CT   06880


CRD Number   Broker Dealer:                         Status:
469          NUVEEN SECURITIES, LLC                 Registered   8/1/1961
             NUVEEN SECURITIES, LLC
             333 W. WACKER DRIVE


             CHICAGO              IL   60606-1286


CRD Number   Broker Dealer:                         Status:
17622        NW CAPITAL MARKETS INC.                Registered   3/5/2010
             NW CAPITAL MARKETS INC.
             10 EXCHANGE PLACE
             17TH FL
             JERSEY CITY          NJ   07302


CRD Number   Broker Dealer:                         Status:
35350        NYLIFE DISTRIBUTORS LLC                Registered   12/21/2000
             NYLIFE DISTRIBUTORS LLC
             169 LACKAWANNA AVE


             PARSIPPANY           NJ   07054


CRD Number   Broker Dealer:                         Status:
5167         NYLIFE SECURITIES LLC                  Registered   4/5/1984
             NYLIFE SECURITIES LLC
             51 MADISON AVE
             RM 713
             NEW YORK             NY   10010


CRD Number   Broker Dealer:                         Status:
47654        NYPPEX, LLC                            Registered   12/9/1999
             NYPPEX, LLC
             800 WESTCHESTER AVENUE
             SUITE N349
             RYE BROOK            NY   10573
CRD Number   Broker Dealer:                     Status:
132598       OBERON SECURITIES, LLC             Registered   3/24/2005
             OBERON SECURITIES, LLC
             1412 BROADWAY
             23RD FL
             NEW YORK              NY   10018


CRD Number   Broker Dealer:                     Status:
42060        OBERWEIS SECURITIES, INC.          Registered   1/10/1997
             OBERWEIS SECURITIES, INC.
             3333 WARRENVILLE ROAD
             SUITE 500
             LISLE                 IL   60532


CRD Number   Broker Dealer:                     Status:
104281       OBS BROKERAGE SERVICES, INC.       Registered   1/4/2002
             OBS BROKERAGE SERVICES, INC.
             10200 WATERVILLE ST.


             WHITEHOUSE            OH   43571


CRD Number   Broker Dealer:                     Status:
104255       OBSIDIAN FINANCIAL GROUP, LLC      Registered   5/1/2001
             OBSIDIAN FINANICAL GROUP, LLC
             1000 WOODBURY ROAD
             STE 110
             WOODBURY              NY   11797


CRD Number   Broker Dealer:                     Status:
133264       OC SECURITIES, INC.                Registered   7/21/2005
             OC SECURITIES, INC.
             22672 LAMBERT ST
             STE 602
             LAKE FOREST           CA   92630


CRD Number   Broker Dealer:                     Status:
153501       OCCOM CAPITAL PARTNERS, LLC        Registered   7/11/2011
             OCCOM CAPITAL PARTNERS, LLC
             75 PEARL STREET


             PORTLAND              OR   04101


CRD Number   Broker Dealer:                     Status:
128803       OCM INVESTMENTS, LLC               Registered   3/12/2004
             OCM INVESTMENTS, LLC
             333 SOUTH GRAND AVENUE
             28TH FLOOR
             LOS ANGELES           CA   90071
CRD Number   Broker Dealer:                          Status:
148493       ODEON CAPITAL GROUP LLC                 Registered   7/28/2010
             ODEON CAPITAL GROUP LLC
             750 LEXINGTON AVENUE
             26TH FL
             NEW YORK           NY   10022


CRD Number   Broker Dealer:                          Status:
10105        OGILVIE SECURITY ADVISORS CORPORATION   Registered   3/6/1984
             OGILVIE SECURITY ADVISORS CORPORATION
             71 S WACKER DR
             STE 3025
             CHICAGO            IL   60606


CRD Number   Broker Dealer:                          Status:
23757        OHANESIAN / LECOURS, INC.               Registered   9/22/1992
             OHANESIAN / LECOURS, INC.
             433 SOUTH MAIN STREET
             STE 104
             WEST HARTFORD      CT   06110-9944


CRD Number   Broker Dealer:                          Status:
41081        OHIO NATIONAL EQUITIES, INC.            Registered   12/7/1998
             OHIO NATIONAL EQUITIES, INC.
             P.O. BOX 371


             CINCINNATI         OH   45201-0371


CRD Number   Broker Dealer:                          Status:
44916        OLD MUTUAL INVESTMENT PARTNERS          Registered   6/5/1998
             OLD MUTUAL INVESTMENT PARTNERS
             200 CLARENDON ST
             53RD FL
             BOSTON             MA   02116


CRD Number   Broker Dealer:                          Status:
38474        OLSTEIN CAPITAL MANAGEMENT, L.P.        Registered   9/27/1995
             OLSTEIN CAPITAL MANAGEMENT, L.P.
             4 MANHATTANVILLE RD


             PURCHASE           NY   10577


CRD Number   Broker Dealer:                          Status:
126331       OLYMPIA ASSET MANAGEMENT, LTD.          Registered   9/11/2003
             OLYMPIA ASSET MANAGEMENT, LTD.
             888 7TH AVE
             17TH FLOOR
             NEW YORK           NY   10019
CRD Number   Broker Dealer:                          Status:
114050       OLYMPUS SECURITIES, LLC                 Registered   3/22/2004
             OLYMPUS SECURITIES, LLC
             170 CHANGEBRIDGE RD
             SUITE B1
             MONTVILLE             NJ   07045


CRD Number   Broker Dealer:                          Status:
13396        OMNIVEST, INC.                          Registered   2/20/2002
             OMNIVEST, INC.
             8801 E. HAMPDEN AVENUE
             #202
             DENVER                CO   80231


CRD Number   Broker Dealer:                          Status:
4173         ONEAMERICA SECURITIES, INC.             Registered   2/24/1970
             ONEAMERICA SECURITIES, INC.
             433 N. CAPITOL AVE.
             P.O. BOX 1984
             INDIANAPOLIS          IN   46204-1984


CRD Number   Broker Dealer:                          Status:
894          O'NEIL SECURITIES, INCORPORATED         Registered   12/27/1967
             O'NEIL SECURITIES, INCORPORATED
             12655 BEATRICE STREET
             SUITE 2B
             LOS ANGELES           CA   90066


CRD Number   Broker Dealer:                          Status:
15168        OPPENHEIMER & CLOSE, INC.               Registered   8/20/1984
             OPPENHEIMER & CLOSE, INC.
             119 WEST 57TH STREET
             STE 1515
             NEW YORK              NY   10019


CRD Number   Broker Dealer:                          Status:
249          OPPENHEIMER & CO. INC.                  Registered   4/11/1972
             OPPENHEIMER & CO. INC.
             125 BROAD ST
             16TH FL
             NEW YORK              NY   10004


CRD Number   Broker Dealer:                          Status:
7834         OPPENHEIMER FUNDS DISTRIBUTOR, INC.     Registered   1/30/1996
             OPPENHEIMER FUNDS DISTRIBUTOR, INC.
             6803 SOUTH TUCSON WAY


             CENTENNIAL            CO   80112
CRD Number   Broker Dealer:                        Status:
135625       OPTIONSHOUSE, LLC                     Registered   1/23/2006
             OPTIONSHOUSE, LLC
             141 W. JACKSON BLVD.
             SUITE 800
             CHICAGO             IL   60604


CRD Number   Broker Dealer:                        Status:
103849       OPTIONSXPRESS, INC.                   Registered   5/10/2001
             OPTIONSXPRESS, INC.
             311 WEST MONROE ST.
             STE 1000
             CHICAGO             IL   60606-4661


CRD Number   Broker Dealer:                        Status:
150077       OPUS POINT & CO., LLC                 Registered   4/7/2011
             OPUS POINT & CO., LLC
             787 SEVENTH AVENUE
             48TH FL
             NEW YORK            NY   10019


CRD Number   Broker Dealer:                        Status:
133378       ORCHARD SECURITIES, LLC               Registered   11/15/2006
             ORCHARD SECURITIES, LLC
             11650 S. STATE STREET
             SUITE 225
             DRAPER              UT   84020


CRD Number   Broker Dealer:                        Status:
2091         OSCAR GRUSS & SON INCORPORATED        Registered   3/18/1988
             OSCAR GRUSS & SON INCORPORATED
             292 MADISON AVENUE


             NEW YORK            NY   10017


CRD Number   Broker Dealer:                        Status:
155187       OTKRITIE INC.                         Registered   7/1/2011
             OTKRITIE INC.
             1350 AVENUE OF THE AMERICAS
             SUITE 730
             NEW YORK            NY   10019


CRD Number   Broker Dealer:                        Status:
138116       OTR GLOBAL TRADING LLC                Registered   6/6/2006
             OTR GLOBAL TRADING LLC
             1 MANHATTANVILLE ROAD


             PURCHASE            NY   10577
CRD Number   Broker Dealer:                          Status:
143381       OUNAVARRA CAPITAL LLC                   Registered   4/7/2008
             OUNAVARRA CAPITAL LLC
             410 PARK AVENUE
             SUITE 510
             NEW YORK              NY   10022


CRD Number   Broker Dealer:                          Status:
43870        P & A FINANCIAL SECURITIES, INC.        Registered   9/9/1998
             P & A FINANCIAL SECURITIES, INC.
             5900 MAIN ST.


             WILLIAMSVILLE         NY   14221


CRD Number   Broker Dealer:                          Status:
129624       P & M CORPORATE FINANCE, LLC            Registered   7/2/2004
             P & M CORPORATE FINANCE, LLC
             P.O. BOX 442


             SOUTHFIELD            MI   48037-0442


CRD Number   Broker Dealer:                          Status:
2185         P. R. HERZIG & CO. INC.                 Registered   5/12/1994
             P. R. HERZIG & CO. INC.
             1 EXPRESSWAY PLAZA
             SUITE 200
             ROSLYN HEIGHTS        NY   11577


CRD Number   Broker Dealer:                          Status:
38339        P.J. ROBB VARIABLE CORPORATION          Registered   5/21/1996
             P.J. ROBB VARIABLE CORPORATION
             4135 NORTH FRONT STREET


             HARRISBURG            PA   17110


CRD Number   Broker Dealer:                          Status:
137040       PACER FINANCIAL, INC.                   Registered   2/27/2006
             PACER FINANCIAL, INC.
             16 INDUSTRIAL BLVD.
             SUITE 201
             PAOLI                 PA   19301


CRD Number   Broker Dealer:                          Status:
42999        PACIFIC AMERICAN SECURITIES, LLC        Registered   1/28/1998
             PACIFIC AMERICAN SECURITIES, LLC
             9191 TOWNE CENTRE DR
             STE 406
             SAN DIEGO             CA   92122
CRD Number   Broker Dealer:                             Status:
40397        PACIFIC CORNERSTONE CAPITAL INCORPORATED   Registered   4/21/2006
             PACIFIC CORNERSTONE CAPITAL INCORPORATED
             1920 MAIN ST.
             SUITE 400
             IRVINE               CA   92614


CRD Number   Broker Dealer:                             Status:
23772        PACIFIC FINANCIAL ASSOCIATES, INC.         Registered   6/22/2011
             PACIFIC FINANCIAL ASSOCIATES, INC.
             30240 RANCHO VIEJO RD
             STE A
             SAN JUAN CAPISTR     CA   92675-1515


CRD Number   Broker Dealer:                             Status:
30642        PACIFIC GLOBAL FUND DISTRIBUTORS, INC.     Registered   3/4/1993
             PACIFIC GLOBAL FUND DISTRIBUTORS, INC.
             101 N. BRAND BLVD.
             SUITE 1950
             GLENDALE             CA   91203


CRD Number   Broker Dealer:                             Status:
150272       PACIFIC POINT SECURITIES, LLC              Registered   1/8/2010
             PACIFIC POINT SECURITIES, LLC
             2300 E. KATELLA
             SUITE 275
             ANAHEIM              CA   92806-6047


CRD Number   Broker Dealer:                             Status:
4452         PACIFIC SELECT DISTRIBUTORS, INC.          Registered   1/26/1988
             PACIFIC SELECT DISTRIBUTORS, INC.
             700 NEWPORT CENTER DRIVE


             NEWPORT BEACH        CA   92660-6397


CRD Number   Broker Dealer:                             Status:
6390         PACIFIC WEST SECURITIES, INC.              Registered   9/8/2000
             PACIFIC WEST SECURITIES, INC.
             P.O. BOX 860


             RENTON               WA   98057-0860


CRD Number   Broker Dealer:                             Status:
37031        PACKERLAND BROKERAGE SERVICES, INC.        Registered   9/13/2002
             PACKERLAND BROKERAGE SERVICES, INC.
             432 SECURITY BLVD.
             SUITE 101
             GREEN BAY            WI   54313
CRD Number   Broker Dealer:                        Status:
10865        PAINTER, SMITH AND GORIAN INC.        Registered   6/17/1997
             PAINTER, SMITH AND GORIAN INC.
             1200 CALIFORNIA ST.
             STE 220
             REDLANDS              CA   92374


CRD Number   Broker Dealer:                        Status:
129400       PALLADIUM CAPITAL ADVISORS, LLC       Registered   1/4/2011
             PALLADIUM CAPITAL ADVISORS, LLC
             230 PARK AVENUE
             STE 539
             NEW YORK              NY   10169


CRD Number   Broker Dealer:                        Status:
132016       PAPALIA SECURITIES, INC.              Registered   11/22/2004
             FIRST SAVINGS SECURITIES, INC.
             2 WALNUT STREET


             DANVILLE              PA   17821


CRD Number   Broker Dealer:                        Status:
10963        PAPAMARKOU WELLNER & CO., INC.        Registered   12/8/1993
             PAPAMARKOU WELLNER & CO., INC.
             399 PARK AVENUE
             38TH FL
             NEW YORK              NY   10022


CRD Number   Broker Dealer:                        Status:
104425       PARADIGM CAPITAL U.S. INC.            Registered   6/2/2003
             PARADIGM CAPITAL U.S. INC.
             95 WELLINGTON STREET WEST
             SUITE 2101
             TORONTO ONTARI             M5J 2N7


CRD Number   Broker Dealer:                        Status:
44390        PARCHMAN, VAUGHAN & COMPANY, L.L.C.   Registered   8/1/2000
             PARCHMAN, VAUGHAN & COMPANY, L.L.C.
             1040 PARK AVE
             STE 120
             BALTIMORE             MD   21201


CRD Number   Broker Dealer:                        Status:
44734        PARETO SECURITIES INC.                Registered   5/4/2001
             PARETO SECURITIES INC.
             150 EAST 52ND STREET
             29TH FL
             NEW YORK              NY   10022
CRD Number   Broker Dealer:                      Status:
46173        PARK AVENUE SECURITIES LLC          Registered   3/19/1999
             PARK AVENUE SECURITIES LLC
             7 HANOVER SQUARE


             NEW YORK           NY     10004


CRD Number   Broker Dealer:                      Status:
16861        PARK CITY CAPITAL, INC.             Registered   4/3/1998
             PARK CITY CAPITAL, INC.
             261 OLD YORK RD #914


             JENKINTOWN (MON    PA     19046


CRD Number   Broker Dealer:                      Status:
135898       PARK HILL GROUP LLC                 Registered   1/8/2008
             PARK HILL GROUP LLC
             345 PARK AVE
             15TH FL
             NEW YORK           NY     10154


CRD Number   Broker Dealer:                      Status:
139491       PARK HILL REAL ESTATE GROUP LLC     Registered   1/8/2008
             PARK HILL REAL ESTATE GROUP LLC
             345 PARK AVE
             15TH FL
             NEW YORK           NY     10154


CRD Number   Broker Dealer:                      Status:
15883        PARNASSUS FUNDS DISTRIBUTOR         Registered   8/21/1990
             PARNASSUS FUNDS DISTRIBUTOR
             ONE MARKET ST.
             STE #1600
             SAN FRANCISCO      CA     94105


CRD Number   Broker Dealer:                      Status:
144412       PARSONEX SECURITIES, INC.           Registered   2/24/2009
             PARSONEX SECURITIES, INC.
             2851 S. PARKER ROAD
             SUITE 800
             AURORA             CO     80014


CRD Number   Broker Dealer:                      Status:
22423        PARTNERS INVESTMENT NETWORK, INC.   Registered   8/6/2001
             PARTNERS INVESTMENT NETWORK, INC.
             601 W. RIVERSIDE
             SUITE 940
             SPOKANE            WA     99201
CRD Number   Broker Dealer:                        Status:
140385       PARTNERSHIP CAPITAL GROWTH, LLC       Registered   9/28/2006
             PARTNERSHIP CAPITAL GROWTH, LLC
             1 EMBARCADERO CENTER
             SUITE 3810
             SAN FRANCISCO       CA   94111


CRD Number   Broker Dealer:                        Status:
117323       PASSCO CAPITAL, INC.                  Registered   2/10/2011
             PASSCO CAPITAL, INC.
             96 CORPORATE PARK
             SUITE 200
             IRVINE              CA   92606


CRD Number   Broker Dealer:                        Status:
16518        PATRICK CAPITAL MARKETS, LLC          Registered   2/9/2010
             PATRICK CAPITAL MARKETS, LLC
             88 KENRICK PLAZA


             ST. LOUIS           MO   63119


CRD Number   Broker Dealer:                        Status:
5670         PAULSON INVESTMENT CO., INC.          Registered   2/19/1981
             PAULSON INVESTMENT CO., INC.
             811 SW NAITO PKWY
             STE 200
             PORTLAND            OR   97204-3332


CRD Number   Broker Dealer:                        Status:
39733        PAYCHEX SECURITIES CORPORATION        Registered   5/22/1996
             PAYCHEX SECURITIES CORPORATION
             1175 JOHN STREET


             WEST HENRIETTA      NY   14586


CRD Number   Broker Dealer:                        Status:
29868        PAYDEN & RYGEL DISTRIBUTORS           Registered   8/31/1992
             PAYDEN & RYGEL DISTRIBUTORS
             333 SOUTH GRAND AVENUE
             32ND FL.
             LOS ANGELES         CA   90071-1536


CRD Number   Broker Dealer:                        Status:
47588        PCS SECURITIES, INC.                  Registered   5/4/2004
             PCS SECURITIES, INC.
             19020 88TH AVE W


             EDMONDS             WA   98026
CRD Number   Broker Dealer:                        Status:
25590        PEACHTREE CAPITAL CORPORATION         Registered   2/25/2004
             PEACHTREE CAPITAL CORPORATION
             3060 PEACHTREE RD, NW
             STE 1830, 1 BUCKHEAD PLAZA
             ATLANTA            GA    30305


CRD Number   Broker Dealer:                        Status:
11604        PENNALUNA & COMPANY                   Registered   7/30/1999
             PENNALUNA & COMPANY INC.
             POB 1889


             COEUR D'ALENE      ID    83816-1889


CRD Number   Broker Dealer:                        Status:
25866        PENSON FINANCIAL SERVICES, INC.       Registered   8/29/1996
             PENSION FINANCIAL SERVICES, INC.
             1700 PACIFIC AVE
             STE 1400
             DALLAS             TX    75201


CRD Number   Broker Dealer:                        Status:
40393        PENTALPHA CAPITAL, LLC                Registered   2/25/1997
             PENTALPHA CAPITAL, LLC
             ONE GREENWICH OFFICE PARK


             GREENWICH          CT    06831


CRD Number   Broker Dealer:                        Status:
26249        PENTEGRA DISTRIBUTORS INC.            Registered   7/23/1990
             PENTEGRA DISTRIBUTORS INC.
             108 CORPORATE PARK DRIVE


             WHITE PLAINS       NY    10604


CRD Number   Broker Dealer:                        Status:
13704        PEOPLE'S SECURITIES, INC.             Registered   3/7/1990
             PEOPLE'S SECURITIES, INC.
             P.O. BOX 31


             BRIDGEPORT         CT    06601-0031


CRD Number   Broker Dealer:                        Status:
41813        PERCIVAL FINANCIAL PARTNERS, LTD.     Registered   8/25/2003
             PERCIVAL FINANCIAL PARTNERS, LTD.
             2 VILLAGE SQ.
             SUITE 252
             BALTIMORE          MD    21210
CRD Number   Broker Dealer:                             Status:
138618       PERELLA WEINBERG PARTNERS LP               Registered   12/8/2006
             PERELLA WEINBERG PARTNERS LP
             767 FIFTH AVENUE


             NEW YORK             NY   10153


CRD Number   Broker Dealer:                             Status:
36155        PERFORMANCE TRUST CAPITAL PARTNERS, LLC    Registered   9/29/2008
             PERFORMANCE TRUST CAPITAL PARTNERS, LLC
             500 W. MADISON
             SUITE 350
             CHICAGO              IL   60661


CRD Number   Broker Dealer:                             Status:
45642        PERKINS FUND MARKETING, L.L.C.             Registered   5/21/1999
             PERKINS FUND MARKETING, L.L.C.
             136 OLD POST ROAD


             SOUTHPORT            CT   06890


CRD Number   Broker Dealer:                             Status:
36671        PERSHING ADVISOR SOLUTIONS LLC             Registered   1/12/1995
             PERSHING ADVISOR SOLUTIONS LLC
             ONE PERSHING PLAZA
             14TH FL
             JERSEY CITY          NJ   07399-0002


CRD Number   Broker Dealer:                             Status:
7560         PERSHING LLC                               Registered   4/19/1966
             PERSHING LLC
             ONE PERSHING PLAZA


             JERSEY CITY          NJ   07399


CRD Number   Broker Dealer:                             Status:
24409        PETER ELISH INVESTMENTS SECURITIES         Registered   10/25/1989
             ELISH & ELISH INC.
             165 EAST PIKE STREET


             CANONSBURG           PA   15307-1765


CRD Number   Broker Dealer:                             Status:
28041        PETER J. SOLOMON SECURITIES COMPANY, LLC   Registered   11/10/1997
             PETER J. SOLOMON SECURITIES COMPANY, LLC
             520 MADISON AVE


             NEW YORK             NY   10022
CRD Number   Broker Dealer:                        Status:
18275        PETER R. MACK & CO., INC.             Registered   1/14/1992
             PETER R. MACK & CO., INC.
             19 E 71ST STREET


             NEW YORK           NY   10021


CRD Number   Broker Dealer:                        Status:
38165        PETERS & CO. EQUITIES INC.            Registered   1/2/1997
             PETERS & CO. EQUITIES INC.
             2300 JAMIESON PLACE
             308 4TH AVE., SW
             CALGARY, AB, CAN        T2P 0H7


CRD Number   Broker Dealer:                        Status:
38537        PETERSEN INVESTMENTS, INC.            Registered   3/10/1997
             PETERSEN INVESTMENTS, INC.
             2221 LANDMARK PLACE


             WALL               NJ   08736


CRD Number   Broker Dealer:                        Status:
131953       PETRO CAPITAL SECURITIES, LLC         Registered   12/17/2004
             PETRO CAPITAL SECURITIES, LLC
             3838 OAK LAWN
             SUITE 1775
             DALLAS             TX   75219


CRD Number   Broker Dealer:                        Status:
146679       PETSKY PRUNIER SECURITIES, LLC        Registered   5/28/2010
             PETSKY PRUNIER SECURITIES, LLC
             60 BROAD STREET
             38TH FL
             NEW YORK           NY   10004


CRD Number   Broker Dealer:                        Status:
101161       PFA SECURITY ASSET MANAGEMENT, INC.   Registered   8/9/2001
             PFA SECURITY ASSET MANAGEMENT, INC.
             704 LISBURN RD
             STE 102
             CAMP HILL          PA   17011


CRD Number   Broker Dealer:                        Status:
3023         PFLUEGER & BAERWALD INC.              Registered   5/16/2000
             PFLUEGER & BAERWALD INC.
             220 SANSOME ST
             SUITE 700
             SAN FRANCISCO      CA   94104-2722
CRD Number   Broker Dealer:                                Status:
114474       PFM FUND DISTRIBUTORS, INC.                   Registered   7/5/2002
             PFM FUND DISTRIBUTORS, INC.
             ONE KEYSTONE PLAZA
             STE 300, N FRONT & MARKET STS
             HARRISBURG        PA      17101


CRD Number   Broker Dealer:                                Status:
10111        PFS INVESTMENTS INC.                          Registered   9/23/1981
             PFS INVESTMENTS INC.
             3120 BRECKINRIDGE BLVD.
             BLDG. 700
             DULUTH            GA      30099-0001


CRD Number   Broker Dealer:                                Status:
148002       PHARUS SECURITIES, LLC                        Registered   6/29/2009
             PHARUS SECURITIES, LLC
             551 5TH AVENUE
             STE 1125
             NEW YORK          NY      10176


CRD Number   Broker Dealer:                                Status:
38785        PHD CAPITAL                                   Registered   7/5/1996
             PERRIN, HOLDEN AND DAVENPORT CAPITAL CORP.
             5 HANOVER SQ


             NEW YORK          NY      10004


CRD Number   Broker Dealer:                                Status:
25534        PHILADELPHIA BROKERAGE CORPORATION            Registered   3/23/1990
             PHILADELPHIA BROKERAGE CORPORATION
             2 RADNOR CORPORATE CTR
             STE 111, 100 MATSONFORD RD
             RADNOR            PA      19087


CRD Number   Broker Dealer:                                Status:
38383        PHILADELPHIA FINANCIAL DISTRIBUTION COMPANY   Registered   4/10/1996
             PHILADELPHIA FINANCIAL DISTRIBUTION COMPANY
             1650 MARKET STREET
             54TH FL
             PHILADELPHIA      PA      19103


CRD Number   Broker Dealer:                                Status:
23905        PHILADELPHIA INVESTORS, LTD.                  Registered   4/4/1989
             PHILADELPHIA INVESOTRS, LTD.
             1528 WALNUT ST
             STE 510
             PHILADELPHIA      PA      19102
CRD Number   Broker Dealer:                       Status:
35800        PHILLIPS & COMPANY                   Registered   6/2/1999
             PHILLIPS & COMPANY SECURITIES INC.
             1300 SW FIFTH AVE.
             SUITE 2100
             PORTLAND             OR   97201


CRD Number   Broker Dealer:                       Status:
25802        PHOENIX DERIVATIVES GROUP, LLC       Registered   4/27/2011
             PHOENIX DERIVATIVES GROUP, LLC
             315 PARK AVE., SOUTH


             NEW YORK             NY   10010


CRD Number   Broker Dealer:                       Status:
127404       PI FINANCIAL (US) CORP.              Registered   1/19/2010
             PI FINANICAL (US) CORP.
             1900-666 BURRARD STREET


             VANCOUVER            BC   V6C 3N1


CRD Number   Broker Dealer:                       Status:
130672       PICKWICK CAPITAL PARTNERS, LLC       Registered   4/8/2009
             PICKWICK CAPITAL PARTNERS, LLC
             445 HAMILTON AVENUE
             SUITE 1102
             WHITE PLAINS         NY   10601


CRD Number   Broker Dealer:                       Status:
36500        PICTET OVERSEAS INC.                 Registered   1/19/2011
             PICTET OVERSEAS INC.
             1000 DE LA GAUCHETIERE WEST
             SUITE 3100
             MONTREAL QC H3B           CANADA


CRD Number   Broker Dealer:                       Status:
150696       PIERPONT SECURITIES LLC              Registered   1/8/2010
             PIERPONT SECURITIES LLC
             281 TRESSLER BLVD.
             9TH FL
             STAMFORD             CT   06901


CRD Number   Broker Dealer:                       Status:
154957       PIMCO INVESTMENTS LLC                Registered   1/25/2011
             PIMCO INVESTMENTS LLC
             1633 BROADWAY
             45TH FL
             NEW YORK             NY   10019
CRD Number   Broker Dealer:                          Status:
5967         PINEBRIDGE SECURITIES LLC               Registered   1/11/1995
             PINEBRIDGE SECURITIES LLC
             399 PARK AVENUE
             4TH FLOOR
             NEW YORK            NY   10022


CRD Number   Broker Dealer:                          Status:
142910       PINNACLE INVESTMENTS, LLC               Registered   6/18/2007
             PINNACLE INVESTMENTS, LLC (SUCCESSOR)
             507 PLUM ST.
             STE 120
             SYRACUSE            NY   13204


CRD Number   Broker Dealer:                          Status:
24497        PIONEER FUNDS DISTRIBUTOR, INC.         Registered   11/8/1996
             PIONEER FUNDS DISTRIBUTOR, INC.
             60 STATE STREET


             BOSTON              MA   02109-1820


CRD Number   Broker Dealer:                          Status:
128453       PIPELINE TRADING SYSTEMS LLC            Registered   7/14/2005
             PIPELINE TRADING SYSTEMS LLC
             60 E. 42ND STREET
             SUITE 624
             NEW YORK            NY   10165


CRD Number   Broker Dealer:                          Status:
665          PIPER JAFFRAY & CO.                     Registered   1/9/1980
             PIPER JAFFRAY & CO.
             800 NICOLLET MALL
             MAIL STOP J09S05
             MINNEAPOLIS         MN   55402-7020


CRD Number   Broker Dealer:                          Status:
11869        PLANMEMBER SECURITIES CORPORATION       Registered   4/29/1987
             PLANMEMBER SECURITIES CORPORATION
             6187 CARPINTERIA AVENUE


             CARPINTERIA         CA   93013-2060


CRD Number   Broker Dealer:                          Status:
3050         PLANNED INVESTMENT CO., INC.            Registered   7/21/2005
             PLANNED INVESTMENT CO., INC.
             9265 COUNSELORS ROW
             STE 150
             INDIANAPOLIS        IN   46240
CRD Number   Broker Dealer:                      Status:
151910       PLYMOUTH REAL ESTATE CAPITAL, LLC   Registered   5/20/2011
             PLYMOUTH REAL ESTATE CAPITAL, LLC
             TWO LIBERTY SQ
             SUITE 10 (10TH FL)
             BOSTON                MA   02109


CRD Number   Broker Dealer:                      Status:
132710       PM SECURITIES, LLC                  Registered   1/10/2005
             PM SECURITIES, LLC
             110 CHADDS FORD COMMONS


             CHADDS FORD           PA   19317


CRD Number   Broker Dealer:                      Status:
30397        PMA SECURITIES, INC.                Registered   5/8/2009
             ENGLISH CONCEPTS, INC.
             2135 CITYGATE LANE
             7TH FL
             NAPERVILLE            IL   60563


CRD Number   Broker Dealer:                      Status:
40145        PMK SECURITIES & RESEARCH, INC.     Registered   9/11/2000
             PMK SECURITIES & RESEARCH, INC.
             105 E. ATLANTIC AVE
             STE 200
             DELRAY BEACH          FL   33444


CRD Number   Broker Dealer:                      Status:
15647        PNC CAPITAL MARKETS LLC             Registered   1/7/1985
             PNC CAPITAL MARKETS LLC
             225 FIFTH AVENUE
             5TH FLOOR
             PITTSBURGH            PA   15222


CRD Number   Broker Dealer:                      Status:
130745       PNC FUND DISTRIBUTOR, LLC           Registered   6/1/2004
             PNC FUND DISTRIBUTOR, LLC
             3 CANAL PLAZA
             SUITE 100
             PORTLAND              MI   04101


CRD Number   Broker Dealer:                      Status:
129052       PNC INVESTMENTS                     Registered   12/19/2003
             PNC INVESTMENTS LLC
             620 LIBERTY AVE
             26TH FL
             PITTSBURGH            PA   15222
CRD Number   Broker Dealer:                         Status:
6906         POINT CAPITAL MARKETS, LLC             Registered   9/10/1975
             POINT CAPITAL MARKETS, LLC
             383 MAIN STREET
             SUITE 202
             CHATHAM              NJ   07928


CRD Number   Broker Dealer:                         Status:
42847        POLAR INVESTMENT COUNSEL, INC.         Registered   7/19/1999
             POLAR INVESMTENT COUNSEL, INC.
             19547 210TH AVE NE


             THIEF RIVER FALLS    MN   56701


CRD Number   Broker Dealer:                         Status:
8096         POPULAR SECURITIES, INC.               Registered   4/16/2004
             POPULAR SECURITIES, INC.
             208 AVE PONCE DE LEON
             POPULAR CTR, STE 1200
             SAN JUAN             PR   00918-1035


CRD Number   Broker Dealer:                         Status:
101680       PORTFOLIO ADVISORS ALLIANCE, INC.      Registered   2/12/2009
             PORTFOLIO ADVISORS ALLIANCE, INC.
             275 MADISON AVENUE
             STE. 1410
             NEW YORK             NY   10016


CRD Number   Broker Dealer:                         Status:
18554        PORTFOLIO BROKERAGE SERVICES, INC.     Registered   8/16/1990
             PORTFOLIO BROKERAGE SERVICES, INC.
             1999 BROADWAY
             42ND FL
             DENVER               CO   80202-3922


CRD Number   Broker Dealer:                         Status:
31155        PORTFOLIO RESOURCES GROUP, INC.        Registered   12/12/2007
             PORTFOLIO RESOURCES GROUP, INC.
             800 BRICKELL AVE
             STE 903
             MIAMI                FL   33131


CRD Number   Broker Dealer:                         Status:
125865       PORTICO CAPITAL SECURITIES LLC         Registered   2/2/2009
             PORTICO CAPITAL SECURITIES LLC
             39 LEWIS ST
             3RD FL
             GREENWICH            CT   06830
CRD Number   Broker Dealer:                               Status:
15869        PPA INVESTMENTS, INC.                        Registered   3/11/2004
             PPA INVESTMENTS, INC.
             500 COLONIAL CENTER PARKWAY
             SUITE 600
             ROSWELL             GA    30076


CRD Number   Broker Dealer:                               Status:
21567        PRAGER, SEALY & CO., LLC                     Registered   2/6/1995
             PRAGER & CO., LLC
             ONE MARITIME PLAZA
             SUITE 1000
             SAN FRANCISCO       CA    94111


CRD Number   Broker Dealer:                               Status:
103976       PRECISION SECURITIES, LLC                    Registered   6/27/2002
             PRECISION SECURITIES, LLC
             16885 VIA DEL CAMPO CT.
             SUITE 120
             SAN DIEGO           CA    92127


CRD Number   Broker Dealer:                               Status:
28784        PRESIDENTIAL BROKERAGE, INC.                 Registered   5/20/1992
             PRESIDENTIAL BROKERAGE, INC.
             5445 DTC PKWY.
             STE. 1100
             GREENWOOD VILL      CO    80111


CRD Number   Broker Dealer:                               Status:
10010        PRESIDIO FINANCIAL SERVICES, INC.            Registered   7/30/2007
             PRESIDIO FINANCIAL SERVICES, INC.
             755 E. MULBERRY
             SUITE 430
             SAN ANTONIO         TX    78212


CRD Number   Broker Dealer:                               Status:
41461        PRICEWATERHOUSECOOPERS CORPORATE FINANCE L   Registered   11/4/1996
             PRICEWATERHOUSECOOPERS CORPORATE FINANCE L
             1 N. WACKER DRIVE
             10TH FL
             CHICAGO             IL    60606


CRD Number   Broker Dealer:                               Status:
45527        PRIDE FINANCIAL, LLC                         Registered   7/7/1999
             PRIDE FINANCIAL, LLC
             9127 POINTE COURT


             FISHERS             IN    46038
CRD Number   Broker Dealer:                            Status:
30504        PRIM SECURITIES, INCORPORATED             Registered   11/2/1994
             PRIM SECURITIES, INCORPORATED
             6500 ROCKSIDE RD
             STE 370
             INDEPENDENCE        OH   44131


CRD Number   Broker Dealer:                            Status:
127921       PRIMARY CAPITAL, LLC                      Registered   5/1/2009
             PRIMARY CAPITAL, LLC
             80 WALL STREET
             5TH FL
             NEW YORK            NY   10005


CRD Number   Broker Dealer:                            Status:
18334        PRIME CAPITAL SERVICES, INC.              Registered   8/15/1990
             PRIME CAPITAL SERVICES, INC.
             11 RAYMOND AVENUE


             POUGHKEEPSIE        NY   12603


CRD Number   Broker Dealer:                            Status:
46017        PRIMESOLUTIONS SECURITIES, INC.           Registered   2/1/1999
             PRIMESOLUTIONS SECURITIES, INC.
             17601 WEST 130TH ST.
             SUITE 7
             CLEVELAND           OH   44133


CRD Number   Broker Dealer:                            Status:
15340        PRIMEVEST FINANCIAL SERVICES, INC.        Registered   3/29/1985
             PRIMEVEST FINANCIAL SERVICES, INC.
             PO BOX 283


             ST. CLOUD           MN   56302-0283


CRD Number   Broker Dealer:                            Status:
29394        PRIMEX                                    Registered   3/25/1998
             PRIMEX PRIME ELECTRONIC EXECUTION, INC.
             45 KNOLLWOOD ROAD
             4TH FL
             ELMSFORD            NY   10523


CRD Number   Broker Dealer:                            Status:
41233        PRINCETON SECURITIES GROUP, INC.          Registered   4/24/1998
             PRINCETON SECURITIES GROUP, INC.
             2115 LINWOOD AVE.
             4TH FL
             FORT LEE            NJ   07024
CRD Number   Broker Dealer:                           Status:
43261        PRINCIPAL FUNDS DISTRIBUTOR, INC.        Registered   2/21/2002
             PRINCIPAL FUNDS DISTRIBUTOR, INC.
             1100 INVESTMENT BLVD.
             SUITE 200
             EL DORADO HILLS       CA   95762


CRD Number   Broker Dealer:                           Status:
1137         PRINCOR FINANCIAL SERVICES CORPORATION   Registered   11/5/1969
             PRINCOR FINANCIAL SERVICES CORPORATION
             711 HIGH STREET
             PRINCIPAL FINANCIAL GROUP
             DES MOINES            IA   50392-2080


CRD Number   Broker Dealer:                           Status:
150215       PRIORITY CAPITAL INVESTMENTS, LLC        Registered   2/9/2010
             PRIORITY CAPITAL INVESTMENTS, LLC
             33300 EGYPT LANE
             SUITE L-500
             MAGNOLIA              TX   77354


CRD Number   Broker Dealer:                           Status:
115141       PRISOL SECURITIES, INC.                  Registered   1/24/2002
             PRISOL SECURITIES, INC.
             3415 WEST CHESTER PIKE
             SUITE 204
             NEWTOWN SQUAR         PA   19073


CRD Number   Broker Dealer:                           Status:
100480       PRITCHARD CAPITAL PARTNERS, LLC          Registered   4/5/2000
             PRITCHARD CAPITAL PARTNERS, LLC
             103 NORTHPARK BOULEVARD
             SUITE 101
             COVINGTON             LA   70433


CRD Number   Broker Dealer:                           Status:
120222       PRIVATE CLIENT SERVICES, LLC             Registered   1/22/2010
             PRIVATE CLIENT SERVICES, LLC
             2225 LEXINGTON RD.


             LOUISVILLE            KY   40206


CRD Number   Broker Dealer:                           Status:
36644        PRIVATE PORTFOLIO OF SAN DIEGO, INC.     Registered   2/26/2003
             PRIVATE PORTFOLIO OF SAN DIEGO, INC.
             7534 LA JOLLA BLVD.


             LA JOLLA              CA   92037-4328
CRD Number   Broker Dealer:                                 Status:
123421       PRO SECURITIES, L.L.C.                         Registered   5/14/2007
             PRO SECURITIES, L.L.C.
             109 WHITE OAK LANE
             SUITE 200P
             OLD BRIDGE           NJ   08857


CRD Number   Broker Dealer:                                 Status:
115876       PROBITAS FUNDS GROUP, LLC                      Registered   10/24/2007
             PROBITAS FUNDS GROUP, LLC
             425 CALIFORNIA STREET
             STE 2300
             SAN FRANCISCO        CA   94104


CRD Number   Broker Dealer:                                 Status:
15708        PROEQUITIES, INC.                              Registered   2/20/1987
             PROEQUITIES, INC.
             P.O. BOX 518


             BIRMINGHAM           AL   35201-0518


CRD Number   Broker Dealer:                                 Status:
23651        PROFESSIONAL BROKER-DEALER FINANCIAL PLANNIN   Registered   5/7/1991
             PROFESSIONAL BROKER-DEALER FINANCIAL PLANNIN
             1111 W WOLFENSBERGER RD


             CASTLE ROCK          CO   80109-9629


CRD Number   Broker Dealer:                                 Status:
118787       PROFESSIONAL FUNDS DISTRIBUTOR, LLC            Registered   5/16/2002
             PROFESSIONAL FUNDS DISTRBUTOR, LLC
             760 MOORE ROAD


             KING OF PRUSSIA      PA   19406


CRD Number   Broker Dealer:                                 Status:
19541        PROFUNDS DISTRIBUTORS, INC.                    Registered   1/5/1988
             PROFUNDS DISTRIBUTORS, INC.
             7501 WISCONSIN AVE.
             SUITE 1000
             BETHESDA             MD   20814


CRD Number   Broker Dealer:                                 Status:
10740        PROSPERA FINANCIAL SERVICES, INC.              Registered   10/24/1991
             PROSPERA FINANCIAL SERVICES, INC.
             5429 LBJ FREEWAY
             SUITE 400
             DALLAS               TX   75240
CRD Number   Broker Dealer:                                 Status:
6082         PROTECTED INVESTORS OF AMERICA                 Registered   6/3/1998
             PROTECTED INVESTORS OF AMERICA
             235 MONTGOMERY STREET
             #1050
             SAN FRANCISCO        CA   94104


CRD Number   Broker Dealer:                                 Status:
44513        PROVIDENT PRIVATE CAPITAL PARTNERS, INC.       Registered   3/12/1998
             PROVIDENT PRIVATE CAPITAL PARTNERS, INC.
             3527 WEST 26TH STREET


             ERIE                 PA   16506


CRD Number   Broker Dealer:                                 Status:
5685         PRUCO SECURITIES LLC.                          Registered   12/4/1981
             PRUCO SECURITIES LLC.
             751 BROAD ST


             NEWARK               NJ   07102-3777


CRD Number   Broker Dealer:                                 Status:
33426        PRUDENT BROKERAGE ASSOCIATES                   Registered   1/27/1994
             PRUDENT BROKERAGE ASSOCIATES
             1735 MARKET STREET
             SUITE 3902
             PHILADELPHIA         PA   19103-7598


CRD Number   Broker Dealer:                                 Status:
21570        PRUDENTIAL ANNUITIES DISTRIBUTORS, INC         Registered   1/26/1996
             PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
             ONE CORPORATE DRIVE


             SHELTON              CT   06484


CRD Number   Broker Dealer:                                 Status:
18353        PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LL   Registered   7/5/1995
             PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LL
             3 GATEWAY CENTER
             14TH FL
             NEWARK               NJ   07102-4077


CRD Number   Broker Dealer:                                 Status:
15676        PSA EQUITIES, INC.                             Registered   5/9/1986
             PSA EQUITIES, INC.
             11311 MCCORMICK ROAD


             HUNT VALLEY          MD   21031-8622
CRD Number   Broker Dealer:                          Status:
29275        PTI SECURITIES & FUTURES L.P.           Registered   9/21/1992
             PTI SECURITIES & FUTURES L.P.
             411 S WELLS
             SUITE 900
             CHICAGO               IL   60607


CRD Number   Broker Dealer:                          Status:
136832       PTP SECURITIES, LLC                     Registered   1/9/2006
             PTP SECURITIES, LLC
             540 HOPMEADOW STREET


             SIMSBURY              CT   06070


CRD Number   Broker Dealer:                          Status:
31559        PTR, INC.                               Registered   2/17/2000
             PTR, INC.
             1800 JFK BLVD
             SUITE 401
             PHILADELPHIA          PA   19103


CRD Number   Broker Dealer:                          Status:
119307       PTS BROKERAGE, LLC                      Registered   4/28/2003
             PTS BROKERAGE, LLC
             125C GAITHER DR
             EAST GATE BUSINESS CTR
             MT. LAUREL            NJ   08054-1706


CRD Number   Broker Dealer:                          Status:
104022       PULSE TRADING, INC.                     Registered   1/4/2002
             PULSE TRADING, INC.
             2 LIBERTY SQUARE
             2ND FL
             BOSTON                MA   02109


CRD Number   Broker Dealer:                          Status:
39301        PUPLAVA SECURITIES, INC.                Registered   10/10/2003
             PUPLAVA SECURITIES, INC.
             P.O. BOX 503147


             SAN DIEGO             CA   92127-3147


CRD Number   Broker Dealer:                          Status:
144445       PURITAN BROKERAGE SERVICES, INC.        Registered   11/14/2007
             PURITAN BROKERAGE SERVICES, INC.
             16801 ADDISON RD.
             STE 430
             ADDISON               TX   75001
CRD Number   Broker Dealer:                                 Status:
35747        PURSHE KAPLAN STERLING INVESTMENTS             Registered   6/19/2000
             PURSHE KAPLAN STERLING INVESTMENTS, INC.
             18 CORPORATE WOODS BLVD.


             ALBANY             NY    12211


CRD Number   Broker Dealer:                                 Status:
7325         PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP   Registered   8/25/1982
             PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
             ONE POST OFFICE SQUARE


             BOSTON             MA    02109-2137


CRD Number   Broker Dealer:                                 Status:
145097       PWA SECURITIES, INC.                           Registered   1/24/2008
             PWA SECURITIES, INC.
             4900 PERRY HIGHWAY
             SUITE 300
             PITTSBURGH         PA    15229


CRD Number   Broker Dealer:                                 Status:
8485         PWMCO, LLC                                     Registered   3/10/1995
             PWMCO, LLC
             311 S. WACKER DRIVE
             SUITE 2360
             CHICAGO            IL    60606


CRD Number   Broker Dealer:                                 Status:
146430       PYRAMIS DISTRIBUTORS CORPORATION LLC           Registered   11/20/2008
             PYRAMIS DISTRIBUTORS CORPORATION LLC
             900 SALEM ST


             SMITHFIELD         RI    02917


CRD Number   Broker Dealer:                                 Status:
7842         QUANTITATIVE ANALYSIS SERVICE, INC.            Registered   4/25/1983
             QUANTITATIVE ANALYSIS SERVICE, INC.
             95 CHRISTOPHER COLUMBUS DR
             FLOOR 12
             JERSEY CITY        NJ    07302-2927


CRD Number   Broker Dealer:                                 Status:
119955       QUANTLAB SECURITIES LP                         Registered   4/25/2003
             QUANTLAB SECURITIES LP
             4200 MONTROSE BOULEVARD
             SUITE 200
             HOUSTON            TX    77006
CRD Number   Broker Dealer:                            Status:
103848       QUASAR DISTRIBUTORS, LLC                  Registered   6/22/2000
             QUASAR DISTRIBUTORS, LLC
             615 EAST MICHIGAN STREET


             MILWAUKEE            WI      53202


CRD Number   Broker Dealer:                            Status:
39289        QUATTRO M SECURITIES INC.                 Registered   6/27/2005
             QUATTRO M SECURITIES INC.
             2 WHITE BIRCH ROAD


             POUND RIDGE          NY      10576-2324


CRD Number   Broker Dealer:                            Status:
104277       QUEENS ROAD SECURITIES, LLC               Registered   1/28/2005
             QUEENS ROAD SECURITIES, LLC
             1031 SOUTH CALDWELL ST
             SUITE 200
             CHARLOTTE            NC      28203


CRD Number   Broker Dealer:                            Status:
16783        QUEST CAPITAL STRATEGIES, INC.            Registered   5/16/1988
             QUEST CAPITAL STRATEGIES, INC.
             23832 ROCKFIELD BLVD.
             SUITE 130
             LAKE FOREST          CA      92630


CRD Number   Broker Dealer:                            Status:
43100        QUESTAR CAPITAL CORPORATION               Registered   9/16/1997
             QUESTAR CAPITAL CORPORATION
             PO BOX 59177


             MINNEAPOLIS          MN      55459-0177


CRD Number   Broker Dealer:                            Status:
136160       QUOIN CAPITAL LLC                         Registered   11/22/2005
             QUOIN CAPITAL LLC
             1515 MARKET STREET
             SUITE 1808
             PHILADELPHIA         PA      19102


CRD Number   Broker Dealer:                            Status:
2498         R. F. LAFFERTY & CO., INC.                Registered   4/24/1979
             R. F. LAFFERTY & CO., INC.
             80 BROAD STREET
             26TH FLOOR
             NEW YORK             NY      10004
CRD Number   Broker Dealer:                           Status:
14974        R. SEELAUS & CO., INC.                   Registered   11/14/1990
             R. SEELAUS & CO., INC.
             25 DEFOREST AVE
             SUITE 304
             SUMMIT              NJ   07901


CRD Number   Broker Dealer:                           Status:
14344        R.M. DUNCAN SECURITIES, INC.             Registered   7/23/2003
             R.M. DUNCAN SECURITIES, INC.
             501 NORTH UNIVERSITY
             SUITE 101
             LITTLE ROCK         AR   72205


CRD Number   Broker Dealer:                           Status:
7612         R.M. STARK & CO., INC.                   Registered   6/12/1996
             R.M. STARK & CO., INC.
             701 SE 6TH AVE
             STE 203
             DELRAY BEACH        FL   33483


CRD Number   Broker Dealer:                           Status:
26460        R.W. PRESSPRICH & CO.                    Registered   11/14/1994
             R.W. PRESSPRICH & CO.
             520 MADISON AVE
             28TH FL
             NEW YORK            NY   10022


CRD Number   Broker Dealer:                           Status:
40992        RA CAPITAL ADVISORS LLC                  Registered   5/10/2006
             RA CAPITAL ADVISORS LLC
             12340 EL CAMINO REAL
             STE 250
             SAN DIEGO           CA   92130


CRD Number   Broker Dealer:                           Status:
122657       RABO SECURITIES USA, INC.                Registered   4/16/2003
             RABO SECURITIES USA, INC.
             245 PARK AVENUE
             38TH FLOOR
             NEW YORK            NY   10167-0062


CRD Number   Broker Dealer:                           Status:
130120       RADNOR RESEARCH & TRADING COMPANY, LLC   Registered   7/1/2004
             RADNOR RESEARCH & TRADING COMPANY, LLC
             290 KING OF PRUSSIA RD
             RADNOR STATION 2, STE 120
             RADNOR              PA   19087
CRD Number   Broker Dealer:                           Status:
23682        RAFFERTY CAPITAL MARKETS, LLC            Registered   11/26/1997
             RAFFERTY CAPITAL MARKETS, LLC
             59 HILTON AVENUE


             GARDEN CITY            NY   11530


CRD Number   Broker Dealer:                           Status:
137873       RAINE SECURITIES LLC                     Registered   6/26/2006
             RAINE SECURITIES LLC
             810 SEVENTH AVENUE
             39TH FL
             NEW YORK               NY   10019


CRD Number   Broker Dealer:                           Status:
37670        RAMAT SECURITIES LTD.                    Registered   6/22/2000
             RAMAT SECURITIES LTD.
             23811 CHAGRIN BLVD.
             SUITE 200
             BEACHWOOD              OH   44122


CRD Number   Broker Dealer:                           Status:
43294        RAMPART FINANCIAL SERVICES, INC.         Registered   6/30/1997
             RAMPART FINANCIAL SERVICES, INC.
             2005 S EASTON RD, STE 202
             DOYLESTOWN COMMERCE CTR
             DOYLESTOWN             PA   18901


CRD Number   Broker Dealer:                           Status:
143324       RAPTOR PARTNERS LLC                      Registered   7/26/2007
             RAPTOR PARTNERS LLC
             ONE NORTH SHORE CTR
             12 FEDERAL ST., SUITE 201
             PITTSBURGH             PA   15212-5700


CRD Number   Broker Dealer:                           Status:
35201        RAVEN SECURITIES CORP.                   Registered   1/19/2011
             RAVEN SECURITIES CORP.
             ACCT & COMPL. INTER
             40 WALL ST., 17TH FL
             NEW YORK               NY   10005


CRD Number   Broker Dealer:                           Status:
705          RAYMOND JAMES & ASSOCIATES, INC.         Registered   12/9/1969
             RAYMOND JAMES & ASSOCIATES, INC.
             P.O. BOX 12749


             ST. PETERSBURG         FL   33733-2749
CRD Number   Broker Dealer:                           Status:
25853        RAYMOND JAMES (USA) LTD.                 Registered   4/16/1991
             RAYMOND JAMES (USA) LTD.
             925 WEST GEORGIA STREET
             2200
             VANCOUVER BC, C            V6C 3L2


CRD Number   Broker Dealer:                           Status:
6694         RAYMOND JAMES FINANCIAL SERVICES, INC.   Registered   7/16/1975
             RAYMOND JAMES FINANCIAL SERVICES, INC.
             880 CARILLON PARKWAY


             ST. PETERSBURG        FL   33716


CRD Number   Broker Dealer:                           Status:
31194        RBC CAPITAL MARKETS LLC                  Registered   11/12/1997
             RBC CAPITAL MARKETS LLC
             3 WORLD FINANCIAL CENTER
             200 VESEY ST.
             NEW YORK              NY   10281


CRD Number   Broker Dealer:                           Status:
11707        RBS SECURITIES INC.                      Registered   4/14/1987
             RBS SECURITIES INC.
             600 WASHINGTON BLVD


             STAMFORD              CT   06901


CRD Number   Broker Dealer:                           Status:
147952       RCAP SECURITIES, INC.                    Registered   2/11/2009
             RCAP SECURITIES, INC.
             1211 AVE OF THE AMERICAS
             SUITE 2902
             NEW YORK              NY   10036


CRD Number   Broker Dealer:                           Status:
104266       RDM INVESTMENT SERVICES, INC.            Registered   11/5/2004
             RDM INVESTMENT SERVICES, INC.
             1555 POST ROAD EAST


             WESTPORT              CT   06880


CRD Number   Broker Dealer:                           Status:
7519         RDSC, LLC                                Registered   11/5/1980
             RDSC, LLC
             300 MAIN ST.


             CINCINNATI            OH   45202
CRD Number   Broker Dealer:                        Status:
26643        RE INVESTMENT CORPORATION             Registered   10/11/1990
             RE INVESTMENT CORPORATION
             4301 WILSON BLVD


             ARLINGTON           VA   22203


CRD Number   Broker Dealer:                        Status:
145454       REALTY CAPITAL SECURITIES, LLC        Registered   2/29/2008
             REALTY CAPITAL SECURITIES, LLC
             3 COPLEY PLACE
             SUITE 330
             BOSTON              MA   02116


CRD Number   Broker Dealer:                        Status:
14840        RED CAPITAL MARKETS, LLC              Registered   3/21/2000
             RED CAPITAL MARKETS, LLC
             2 MIRANOVA PLACE
             12TH FL
             COLUMBUS            OH   43215


CRD Number   Broker Dealer:                        Status:
149860       RED RIVER SECURITIES, LLC             Registered   1/15/2010
             RED RIVER SECURITIES, LLC
             5601 DEMOCRACY DRIVE
             SUITE 280
             PLANO               TX   75024


CRD Number   Broker Dealer:                        Status:
140564       REDBURN PARTNERS (USA) LP             Registered   4/9/2009
             REDBURN PARTNERS (USA) LP
             565 FIFTH AVENUE
             26TH FLOOR
             NEW YORK            NY   10017


CRD Number   Broker Dealer:                        Status:
133646       REEF RESOURCES, LLC                   Registered   6/29/2010
             REEF RESOURCES, LLC
             140 LAKESIDE AVE.
             STE 100
             SEATTLE             WA   98122


CRD Number   Broker Dealer:                        Status:
31951        REEF SECURITIES, INC.                 Registered   7/19/1993
             REEF SECURITIES, INC.
             1901 N. CENTRAL EXPWY
             STE 400
             RICHARDSON          TX   75080-3558
CRD Number   Broker Dealer:                         Status:
7297         REGAL SECURITIES, INC.                 Registered   11/9/1983
             REGAL SECURITIES, INC.
             950 MILWAUKEE AVE
             STE 102
             GLENVIEW             IL   60025-3766


CRD Number   Broker Dealer:                         Status:
30392        REGIONAL BROKERS, INC.                 Registered   8/13/1992
             REGIONAL BROKERS, INC.
             1628 JOHN F. KENNEDY BLVD


             PHILADELPHIA         PA   19103-2925


CRD Number   Broker Dealer:                         Status:
30568        REGISTER FINANCIAL ASSOCIATES, INC.    Registered   10/7/1992
             REGISTER FINANCIAL ASSOCIATES, INC.
             3500 LENOX ROAD
             SUITE 1700
             ATLANTA              GA   30326


CRD Number   Broker Dealer:                         Status:
28078        REICH & TANG DISTRIBUTORS, INC.        Registered   3/20/1991
             REICH & TANG DISTRIBUTORS, INC.
             1411 BROADWAY
             28TH FL
             NEW YORK             NY   10018-3450


CRD Number   Broker Dealer:                         Status:
47263        REID & RUDIGER LLC                     Registered   9/27/1999
             REID & RUDIGER LLC
             110 WALL STREET


             NEW YORK             NY   10005


CRD Number   Broker Dealer:                         Status:
143546       RELIANCE WORLDWIDE INVESTMENTS, LLC    Registered   7/17/2007
             RELIANCE WORLDWIDE INVESTMENTS, LLC
             2033 N. MILWAUKEE AVE.
             #125
             RIVERWOODS           IL   60015-3581


CRD Number   Broker Dealer:                         Status:
152765       RELIQUID CAPITAL NETWORK, LLC          Registered   8/16/2010
             RELIQUID CAPITAL NETWORK, LLC
             5241 S QUEBEC ST
             SUITE 250
             GREENWOOD VILL       CO   80111
CRD Number   Broker Dealer:                               Status:
37821        RENCAP SECURITIES, INC.                      Registered   1/12/2001
             RENCAP SECURITIES, INC.
             780 THIRD AVE
             20TH FL
             NEW YORK            NY     10017


CRD Number   Broker Dealer:                               Status:
10116        REPEX & CO., INC.                            Registered   8/26/1994
             REPEX & CO., INC.
             550 DURIE AVENUE


             CLOSTER             NJ     07624-0577


CRD Number   Broker Dealer:                               Status:
14209        REPUBLIC SECURITIES OF AMERICA, INC.         Registered   7/23/1991
             REPUBLIC SECURITIES OF AMERICA, INC.
             600 EAST COLONIAL DRIVE
             SUITE 100
             ORLANDO             FL     32803


CRD Number   Broker Dealer:                               Status:
104368       RESOURCE HORIZONS GROUP LLC                  Registered   3/7/2001
             RESOURCE HORIZONS GROUP LLC
             1350 CHURCH ST EXT.
             3RD FL
             MARIETTA            GA     30060


CRD Number   Broker Dealer:                               Status:
133022       RESOURCE SECURITIES, INC.                    Registered   4/12/2005
             RESOURCE SECURITIES, INC.
             ONE COMMERCE SQUARE
             2005 MARKET ST., 15TH FL
             PHILADELPHIA        PA     19103


CRD Number   Broker Dealer:                               Status:
111392       RETIREMENT PLAN ADVISORS, INC.               Registered   4/17/2009
             RETIREMENT PLAN ADVISORS, INC.
             3218 EMERALD LANE
             SUITE C
             JEFFERSON CITY      MO     65109


CRD Number   Broker Dealer:                               Status:
47723        RETIREMENT RESOURCES INVESTMENT CORPORATIO   Registered   10/21/1999
             RETIREMENT RESOURCES INVESTMENT CORPORATIO
             100 CORPORATE PLACE


             PEABODY             MA     01960
CRD Number   Broker Dealer:                                Status:
13245        REUTERS TRANSACTION SERVICES LLC              Registered   8/10/2005
             REUTERS TRANSACTION SERVICES LLC
             3 TIMES SQUARE


             NEW YORK            NY    10036


CRD Number   Broker Dealer:                                Status:
140910       REUVEN ENTERPRISES SECURITIES DIVISION, LLC   Registered   11/21/2006
             REUVEN ENTERPRISES SECURITIES DIVISION, LLC
             90 BROAD STREET
             SUITE 1504
             NEW YORK            NY    10004


CRD Number   Broker Dealer:                                Status:
105791       REVA CAPITAL MARKETS LLC                      Registered   7/2/2001
             REVA CAPITAL MARKETS LLC
             230 PARK AVENUE
             10TH FL
             NEW YORK            NY    10169


CRD Number   Broker Dealer:                                Status:
14178        REVERE SECURITIES CORP.                       Registered   2/19/1998
             REVERE SECURITIES CORP.
             3200 N. MILITARY TRAIL
             STE 215
             BOCA RATON          FL    33431


CRD Number   Broker Dealer:                                Status:
18119        RFS PARTNERS                                  Registered   4/23/1999
             RFS PARTNERS
             44 MONTGOMERY STREET
             SUITE 2100
             SAN FRANCISCO       CA    94104


CRD Number   Broker Dealer:                                Status:
19610        RHODES SECURITIES, INC.                       Registered   6/14/1996
             RHODES SECURITIES, INC.
             306 W. 7TH STREET
             SUITE 1000
             FORT WORTH          TX    76102


CRD Number   Broker Dealer:                                Status:
106342       RHONE GROUP ADVISORS LLC                      Registered   3/23/2001
             RHONE GROUP ADVISORS LLC
             630 FIFTH AVENUE
             #2710
             NEW YORK            NY    10111
CRD Number   Broker Dealer:                                 Status:
21606        RICE FINANCIAL PRODUCTS COMPANY                Registered   7/23/1992
             RICE SECURITIES, LLC
             17 STATE STREET
             40TH FL
             NEW YORK             NY   10004


CRD Number   Broker Dealer:                                 Status:
13071        RIDGE CLEARING & OUTSOURCING SOLUTIONS, INC.   Registered   5/11/1984
             RIDGE CLEARING & OUTSOURCING SOLUTIONS, INC.
             2 JOURNAL SQUARE PLZ
             3RD FL
             JERSEY CITY          NJ   07306


CRD Number   Broker Dealer:                                 Status:
113055       RIDGEWAY & CONGER, INC.                        Registered   1/28/2005
             RIDGEWAY & CONGER, INC.
             2123 MAIN STREET
             PO BOX 460
             NEW WOODSTOCK        NY   13122


CRD Number   Broker Dealer:                                 Status:
15453        RIDGEWOOD SECURITIES CORPORATION               Registered   9/21/1988
             RIDGEWOOD SECURITIES CORPORATION
             14 PHILIPS PARKWAY


             MONTVALE             NJ   07645


CRD Number   Broker Dealer:                                 Status:
13494        RIDGEWORTH DISTRIBUTORS LLC                    Registered   6/9/1993
             RIDGEWORTH DISTRIBUTORS LLC
             3 CANAL PLAZA
             SUITE 100
             PORTLAND             OR   04101


CRD Number   Broker Dealer:                                 Status:
18466        RIM SECURITIES LLC                             Registered   4/25/1991
             RIM SECURITIES LLC
             570 LEXINGTON AVE


             NEW YORK             NY   10022


CRD Number   Broker Dealer:                                 Status:
153272       RIVER BRANCH CAPITAL LLC                       Registered   5/20/2011
             RIVER BRANCH CAPITAL LLC
             300 N. LASALLE
             SUITE 200
             CHICAGO              IL   60654-3413
CRD Number   Broker Dealer:                        Status:
141919       RIVER CROSS SECURITES, LLLP           Registered   3/30/2007
             RIVER CROSS SECURITIES, LLLP
             401 CITY AVE.
             STE 912
             BALA CYNWYD         PA   19004


CRD Number   Broker Dealer:                        Status:
135310       RIVERBANK CAPITAL SECURITIES, INC.    Registered   10/4/2005
             RIVERBANK CAPITAL SECURITIES, INC.
             689 5TH AVENUE
             SUITE 12
             NEW YORK            NY   10022


CRD Number   Broker Dealer:                        Status:
139135       RIVERSOURCE DISTRIBUTORS, INC.        Registered   8/3/2006
             RIVERSOURCE DISTRIBUTORS, INC.
             50606 AMERIPRISE FIN CTR


             MINNEAPOLIS         MN   55474


CRD Number   Broker Dealer:                        Status:
40418        RIVERSTONE WEALTH MANAGEMENT, INC.    Registered   6/30/2003
             RIVERSTONE WEALTH MANAGEMENT, INC.
             7801 CAPITAL OF TEXAS HWY.
             SUITE 310
             AUSTIN              TX   78731


CRD Number   Broker Dealer:                        Status:
43689        RNR SECURITIES, L.L.C.                Registered   1/22/1998
             RNR SECURITIES, L.L.C.
             1802 HEMPSTEAD TURNPIKE


             EAST MEADOW         NY   11554-1032


CRD Number   Broker Dealer:                        Status:
2998         ROBECO SECURITIES, L.L.C.             Registered   1/3/1977
             ROBECO SECURITIES, L.L.C.
             909 THIRD AVE
             32ND FL
             NEW YORK            NY   10022


CRD Number   Broker Dealer:                        Status:
11807        ROBERT A. STANGER & COMPANY, INC.     Registered   9/24/2007
             ROBERT A. STANGER & COMPANY, INC.
             1129 BROAD ST.
             SUITE 201
             SHREWSBURY          NJ   07702
CRD Number   Broker Dealer:                         Status:
8158         ROBERT W. BAIRD & CO. INCORPORATED     Registered   11/5/1984
             ROBERT W. BAIRD & CO. INCORPORATED
             POB 672


             MILWAUKEE            WI   53201


CRD Number   Broker Dealer:                         Status:
30022        ROBERTS MITANI, LLC                    Registered   6/22/2006
             ROBERTS MITANI, LLC
             145 WEST 57TH STREET
             21ST FLOOR
             NEW YORK             NY   10019


CRD Number   Broker Dealer:                         Status:
23686        ROBINSON & LUKENS, INC.                Registered   4/2/2003
             ROBINSON & LUKENS, INC.
             P.O. BOX 956


             MCLEAN               VA   22101-0956


CRD Number   Broker Dealer:                         Status:
3199         ROBINSON & ROBINSON, INC.              Registered   4/1/1972
             ROBINSON & ROBINSON, INC.
             1337 HAMILTON ST.


             ALLENTOWN            PA   18102


CRD Number   Broker Dealer:                         Status:
13251        ROBOTTI & COMPANY, LLC                 Registered   1/3/1984
             ROBOTTI & COMPANY, LLC
             6 EAST 43RD STREET
             23RD FL
             NEW YORK             NY   10017-4651


CRD Number   Broker Dealer:                         Status:
6863         ROCHDALE SECURITIES LLC                Registered   8/27/1996
             ROCHDALE SECURITIES LLC
             750 E MAIN STREET
             7TH FL
             STAMFORD             CT   06902


CRD Number   Broker Dealer:                         Status:
149325       ROCKFLEET FINANCIAL SERVICES, INC      Registered   2/23/2010
             ROCKFLEET FINANCIAL SERVICES, INC.
             515 MADISON AVE.
             27TH FL
             NEW YORK             NY   10022
CRD Number   Broker Dealer:                     Status:
113748       ROCKPORT VENTURE SECURITIES, LLC   Registered   1/3/2002
             ROCKPORT VENTURE SECURITIES, LLC
             215 MORRIS AVE


             SPRING LAKE       NJ    07762


CRD Number   Broker Dealer:                     Status:
142485       ROCKWELL GLOBAL CAPITAL LLC        Registered   5/24/2007
             ROCKWELL GLOBAL CAPITAL LLC
             125 BAYLIS ROAD
             SUITE 280
             MELLVILLE         NY    11747


CRD Number   Broker Dealer:                     Status:
142483       ROCKWELL SECURITIES LLC            Registered   5/11/2007
             ROCKWELL SECURITIES LLC
             1 PENN PLAZA
             STE 1624
             NEW YORK          NY    10119


CRD Number   Broker Dealer:                     Status:
16197        RODGERS BROTHERS, INC.             Registered   4/10/1985
             RODGERS BROTHERS, INC.
             800 CRANBERRY WOODS DRIVE
             STE 200
             CRANBERRY TOWN    PA    16066


CRD Number   Broker Dealer:                     Status:
16415        RODMAN & RENSHAW, LLC              Registered   4/25/2006
             RODMAN & RENSHAW, LLC
             1251 AVENUE OF THE AMERICAS
             20TH FL
             NEW YORK          NY    10020


CRD Number   Broker Dealer:                     Status:
146337       ROLLOVER SECURITIES                Registered   7/17/2008
             ROLLOVER SECURITIES, LLC
             4135 SOUTH STREAM BOULEVARD
             STE 500
             CHARLOTTE         NC    28217


CRD Number   Broker Dealer:                     Status:
6964         ROOSEVELT & CROSS, INCORPORATED    Registered   1/17/1996
             ROOSEVELT & CROSS, INCORPORATED
             ONE EXCHANGE PLAZA
             55 BROADWAY
             NEW YORK          NY    10006
CRD Number   Broker Dealer:                        Status:
18377        ROSENBLATT SECURITIES INC.            Registered   8/18/1998
             ROSENBLATT SECURITIES INC.
             20 BROAD STREET
             26TH FL
             NEW YORK            NY   10005


CRD Number   Broker Dealer:                        Status:
113796       ROSS SECURITIES CORPORATION           Registered   5/8/2002
             ROSS SECURITIES CORPORATION
             1270 AVENUE OF THE AMERICAS
             20TH FLOOR
             NEW YORK            NY   10020


CRD Number   Broker Dealer:                        Status:
25440        ROSS, SINCLAIRE & ASSOCIATES, LLC     Registered   6/16/2004
             ROSS, SINCLAIRE & ASSOCIATES, LLC
             700 WALNUT STREET
             SUITE 600
             CINCINNATI          OH   45202


CRD Number   Broker Dealer:                        Status:
15407        ROTH CAPITAL PARTNERS, LLC            Registered   1/20/1989
             ROTH CAPITAL PARTNERS, LLC
             888 SAN CLEMENTE
             SUITE 150
             NEWPORT BEACH       CA   92660


CRD Number   Broker Dealer:                        Status:
13907        ROTHMAN SECURITIES, INC.              Registered   10/31/1983
             ROTHMAN SECURITIES, INC.
             1111 STREET ROAD
             SUITE 201
             SOUTHAMPTON         PA   18966


CRD Number   Broker Dealer:                        Status:
2910         ROTHSCHILD INC.                       Registered   10/30/1973
             ROTHSCHILD INC.
             1251 AVENUE OF THE AMERICAS


             NEW YORK            NY   10020


CRD Number   Broker Dealer:                        Status:
728          ROTHSCHILD INVESTMENT CORPORATION     Registered   7/13/1994
             ROTHSCHILD INVESTMENT CORPORATION
             311 S WACKER DR


             CHICAGO             IL   60606-6618
CRD Number   Broker Dealer:                        Status:
142784       ROUNDTABLE CAPITAL SERVICES LLC       Registered   4/3/2007
             ROUNDTABLE CAPITAL SERVICES LLC
             280 PARK AVENUE
             23RD FL
             NEW YORK            NY   10017-1216


CRD Number   Broker Dealer:                        Status:
23131        ROYAL ALLIANCE ASSOCIATES, INC.       Registered   7/17/1989
             ROYAL ALLIANCE ASSOCIATES, INC.
             ONE WORLD FIN CTR
             15TH FL
             NEW YORK            NY   10281


CRD Number   Broker Dealer:                        Status:
10702        ROYAL SECURITIES COMPANY              Registered   5/31/2005
             ROYAL SECURITIES COMPANY
             P.O. BOX 509
             4095 CHICAGO DR., SW
             GRANDVILLE          MI   49418-0509


CRD Number   Broker Dealer:                        Status:
14470        ROYCE FUND SERVICES, INC.             Registered   7/20/1983
             ROYCE FUND SERVICES, INC.
             745 5TH AVENUE


             NEW YORK            NY   10151


CRD Number   Broker Dealer:                        Status:
134768       RP CAPITAL LLC                        Registered   3/2/2011
             RP CAPITAL LLC
             7191 WAGNER WAY NW
             SUITE 302
             GIG HARBOR          WA   98335


CRD Number   Broker Dealer:                        Status:
130062       RUANE, CUNNIFF & GOLDFARB LLC         Registered   6/7/1993
             RUANE, CUNNIFF & GOLDFARB LLC
             767 FIFTH AVENUE
             SUITE 4701
             NEW YORK            NY   10153-4798


CRD Number   Broker Dealer:                        Status:
128045       RUCKER CAPITAL PARTNERS, LLC          Registered   3/11/2011
             RUCKER CAPITAL PARTNERS, LLC
             6 MOUNT DRIVE


             PERRINEVILLE        NJ   08535
CRD Number   Broker Dealer:                                     Status:
21771        RUSSELL FINANCIAL SERVICES, INC., PART OF RUSSEL   Registered   4/22/1988
             RUSSELL FINANCIAL SERVICES, INC.
             1301 SECOND AVE.
             18TH FL
             SEATTLE               WA   98101


CRD Number   Broker Dealer:                                     Status:
113392       RUTBERG & COMPANY, LLC                             Registered   1/20/2004
             RUTBERG & COMPANY, LLC
             351 CALIFORNIA ST.
             STE 1100
             SAN FRANCISCO         CA   94104


CRD Number   Broker Dealer:                                     Status:
40805        RYDEX DISTRIBUTORS, LLC                            Registered   11/26/1996
             RYDEX DISTRIBUTORS, LLC
             805 KING FARM BLVD.
             STE 600
             ROCKVILLE             MD   20850-6478


CRD Number   Broker Dealer:                                     Status:
27432        S F SENTRY SECURITIES, INC.                        Registered   11/28/1995
             S F SENTRY SECURITIES, INC.
             100 PINE ST
             STE 2700
             SAN FRANCISCO         CA   94111


CRD Number   Broker Dealer:                                     Status:
18421        S&P INVESTORS, INC.                                Registered   9/25/2008
             S&P INVESTORS, INC.
             12720 HILLCREST RD.
             STE 108
             DALLAS                TX   75230


CRD Number   Broker Dealer:                                     Status:
734          S.C. PARKER & CO., INC.                            Registered   6/23/1970
             S.C. PARKER & CO., INC.
             5892 MAIN STREET


             WILLIAMSVILLE         NY   14221-8284


CRD Number   Broker Dealer:                                     Status:
47511        S.G. LONG & COMPANY                                Registered   1/27/2000
             S.G. LONG & COMPANY
             283 WEST FRONT
             SUITE 302
             MISSOULA              MT   59802-4328
CRD Number   Broker Dealer:                          Status:
143867       S.J. LEVINSON & SONS LLC                Registered   10/26/2007
             S.J. LEVINSON & SONS LLC
             2700 WESTCHESTER AVE.
             SUITE 109
             PURCHASE            NY     10577


CRD Number   Broker Dealer:                          Status:
31256        SAFEGUARD SECURITIES, INC.              Registered   3/3/1993
             SAFEGUARD SECURITIES, INC.
             2000 AUBURN DRIVE
             SUITE 300
             CLEVELAND           OH     44122


CRD Number   Broker Dealer:                          Status:
47873        SAFRA SECURITIES LLC                    Registered   8/30/2004
             SAFRA SECURITIES LLC
             546 FIFTH AVENUE


             NEW YORK            NY     10036


CRD Number   Broker Dealer:                          Status:
104381       SAGE PARTNERS SECURITIES, LLC           Registered   2/12/2001
             SAGE PARTNERS SECURITIES, LLC
             11111 SANTA MONICA BOULEVARD
             SUITE 2200
             LOS ANGELES         CA     90025


CRD Number   Broker Dealer:                          Status:
144051       SAGE SOUTHEASTERN SECURITIES, INC.      Registered   4/14/2010
             SAGE SOUTHEASTERN SECURITIES, INC.
             1100 ABERNATHY ROAD
             500 NORTHPARK, SUITE 400
             ATLANTA             GA     30328


CRD Number   Broker Dealer:                          Status:
3254         SAGE, RUTTY & CO., INC.                 Registered   11/22/1994
             SAGE, RUTTY & CO., INC.
             100 CORPORATE WOODS
             SUITE 300
             ROCHESTER           NY     14623


CRD Number   Broker Dealer:                          Status:
133763       SAGEPOINT FINANCIAL, INC.               Registered   6/27/2005
             SAGEPOINT FINANCIAL, INC.
             2800 N. CENTRAL AVENUE
             SUITE 2100
             PHOENIX             AZ     85004-1072
CRD Number   Broker Dealer:                       Status:
43363        SALEM PARTNERS, LLC                  Registered   12/5/2006
             SALEM PARTNERS, LLC
             11111 SANTA MONICA BOULEVARD
             SUITE 1070
             LOS ANGELES        CA   90025


CRD Number   Broker Dealer:                       Status:
147912       SALIENT CAPITAL L.P.                 Registered   11/12/2008
             SALIENT CAPITAL L.P.
             4265 SAN FELIPE
             8TH FL
             HOUSTON            TX   77027


CRD Number   Broker Dealer:                       Status:
145012       SALOMON WHITNEY LLC                  Registered   7/14/2008
             SALOMON WHITNEY LLC
             15 DEER PARK AVE
             SUITE 1
             BABYLON VILLAGE    NY   11702


CRD Number   Broker Dealer:                       Status:
136532       SAMCO CAPITAL MARKETS, INC.          Registered   10/28/2005
             SAMCO CAPITAL MARKETS, INC.
             6805 CAPITAL OF TEXAS HIGHWAY
             STE 350
             AUSTIN             TX   78731


CRD Number   Broker Dealer:                       Status:
115368       SAMMONS SECURITIES COMPANY, LLC      Registered   1/30/2002
             SAMMONS SECURITIES COMPANY, LLC
             4261 PARK ROAD


             ANN ARBOR          MI   48103


CRD Number   Broker Dealer:                       Status:
6963         SAMUEL A RAMIREZ & CO., INC.         Registered   3/25/1983
             SAMUEL A RAMIREZ & CO., INC.
             61 BROADWAY
             STE 2924
             NEW YORK           NY   10006


CRD Number   Broker Dealer:                       Status:
20580        SANDERS MORRIS HARRIS INC.           Registered   5/6/1992
             SANDERS MORRIS HARRIS INC.
             600 TRAVIS
             STE 5800
             HOUSTON            TX   77002-3003
CRD Number   Broker Dealer:                            Status:
26004        SANDGRAIN SECURITIES, INC.                Registered   6/14/1993
             SANDGRAIN SECURITIES, INC.




CRD Number   Broker Dealer:                            Status:
137906       Sandlapper Securities, LLC                Registered   9/2/2011
             Trevor Gordon
             101 N. MAIN ST.
             SUITE 207
             GREENVILLE            SC     29601


CRD Number   Broker Dealer:                            Status:
23328        SANDLER, O'NEILL & PARTNERS, L.P.         Registered   11/30/1988
             SANDLER, O'NEILL & PARTNERS, L.P.
             919 THIRD AVE


             NEW YORK              NY     10022


CRD Number   Broker Dealer:                            Status:
104474       SANFORD C. BERNSTEIN & CO., LLC           Registered   12/6/2000
             SANFORD C. BERNSTEIN & CO., LLC
             1345 AVE OF THE AMERICAS
             17TH FL
             NEW YORK              NY     10105


CRD Number   Broker Dealer:                            Status:
41791        SANTANDER SECURITIES LLC                  Registered   2/24/2000
             SANTANDER SECURITIES LLC
             SANTANDER TOWER B7
             TABONUCO ST, STE 1800
             GUAYNABO              PR     00968-3028


CRD Number   Broker Dealer:                            Status:
44379        SAPERSTON ASSET MANAGEMENT, INC.          Registered   4/3/1998
             SAPERSTON ASSET MANAGEMENT, INC.
             172 LAKE ST


             HAMBURG               NY     14075


CRD Number   Broker Dealer:                            Status:
120888       SARATOGA CAPITAL MARKETS                  Registered   5/7/2003
             SARATOGA CAPITAL MARKETS
             111 BROADWAY
             SUITE 1001
             NEW YORK              NY     10006
CRD Number   Broker Dealer:                         Status:
15412        SATURN CAPITAL, INC.                   Registered   3/31/1986
             SATURN CAPITAL, INC.
             75 FEDERAL ST
             13TH FL
             BOSTON              MA    02110-1904


CRD Number   Broker Dealer:                         Status:
18437        SATURNA BROKERAGE SERVICES, INC.       Registered   5/22/1996
             SATURNA BROKERAGE SERVICES, INC.
             1300 N. STATE ST


             BELLINGHAM          WA    98225-4730


CRD Number   Broker Dealer:                         Status:
146103       SAXIS GROUP, LLC.                      Registered   9/1/2009
             SAXIS GROUP, LLC.
             17 STATE ST., 11TH FL
             MAILBOX 101
             NEW YORK            NY    10004


CRD Number   Broker Dealer:                         Status:
115547       SAXONY SECURITIES, INC.                Registered   9/18/2002
             SAXONY SECURITIES, INC.
             86 KENRICK PLAZA


             ST. LOUIS           MO    63119


CRD Number   Broker Dealer:                         Status:
153319       SAYBRUS EQUITY SERVICES, INC.          Registered   9/8/2010
             SAYBRUS EQUITY SERVICES, INC.
             P.O. BOX 5056


             HARTFORD            CT    06102-5056


CRD Number   Broker Dealer:                         Status:
151152       SC DISTRIBUTORS, LLC                   Registered   10/6/2010
             SC DISTRIBUTORS, LLC
             610 NEWPORT CENTER DRIVE
             SUITE 350
             NEWPORT BEACH       CA    92660


CRD Number   Broker Dealer:                         Status:
35451        SCA DEVELOPMENT, LLC                   Registered   7/26/1994
             SCA DEVELOPMENT, LLC
             300 RIVERCHASE GALLERIA
             STE 500
             BIRMINGHAM          AL    35244
CRD Number   Broker Dealer:                          Status:
47275        SCF SECURITIES, INC.                    Registered   10/13/2006
             SCF SECURITIES, INC.
             155 E. SHAW AVE.
             SUITE 102
             FRESNO             CA   93710


CRD Number   Broker Dealer:                          Status:
133841       SCHNEIDER DOWNS CORPORATE FINANCE, LP   Registered   7/1/2005
             SCHNEIDER DOWNS CORPORATE FINANCE, LP
             1133 PENN AVENUE


             PITTSBURGH         PA   15222


CRD Number   Broker Dealer:                          Status:
128103       SCHOTTENFELD GROUP LLC                  Registered   5/18/2004
             SCHOTTENFELD GROUP LLC
             800 THIRD AVE
             10TH FL
             NEW YORK           NY   10022


CRD Number   Broker Dealer:                          Status:
24129        SCHRODER FUND ADVISORS LLC              Registered   8/20/1990
             SCHRODER FUND ADVISORS LLC
             875 THIRD AVE
             22ND FL
             NEW YORK           NY   10022-6225


CRD Number   Broker Dealer:                          Status:
113223       SCIUS SECURITIES LLC                    Registered   2/11/2003
             SCIUS SECURITIES LLC
             211 MADISON AVE


             NEW YORK           NY   10016


CRD Number   Broker Dealer:                          Status:
2739         SCOTIA CAPITAL (USA) INC.               Registered   7/23/1987
             SCOTIA CAPITAL (USA) INC.
             1 LIBERTY PLAZA
             165 BROADWAY
             NEW YORK           NY   10006


CRD Number   Broker Dealer:                          Status:
6255         SCOTT & STRINGFELLOW, LLC               Registered   8/17/1984
             SCOTT & STRINGFELLOW, LLC
             POB 1575


             RICHMOND           VA   23213
CRD Number   Broker Dealer:                     Status:
104374       SCOTT JAMES GROUP, INC.            Registered   8/10/2001
             SCOTT JAMES GROUP, INC.
             6700 ALRINGTON BOULEVARD


             FALLS CHURCH       VA   22042


CRD Number   Broker Dealer:                     Status:
17406        SCOTT-MACON SECURITIES, INC.       Registered   6/30/1995
             SCOTT-MACON SECURITIES, INC.
             800 THIRD AVENUE
             16TH FL
             NEW YORK           NY   10022


CRD Number   Broker Dealer:                     Status:
8206         SCOTTRADE, INC.                    Registered   7/26/1985
             SCOTTRADE, INC.
             PO BOX 31759


             ST. LOUIS          MO   63131


CRD Number   Broker Dealer:                     Status:
118786       SCOTTSDALE CAPITAL ADVISORS CORP   Registered   5/29/2002
             SCOTTSDALE CAPITAL ADVISORS CORP
             7170 E MCDONALD RD
             SUITE 6
             SCOTTSDALE         AZ   85253


CRD Number   Broker Dealer:                     Status:
20582        SCULLY CAPITAL SECURITIES CORP.    Registered   7/17/2001
             SCULLY CAPITAL SECURITIES CORP.
             1133 15TH STREET NW
             SUITE 900
             WASHINGTON         DC   20005


CRD Number   Broker Dealer:                     Status:
116270       SEA PORT GROUP SECURITIES, LLC     Registered   3/25/2002
             SEA PORT GROUP SECURITIES, LLC
             360 MADISON AVE
             22ND FL
             NEW YORK           NY   10017


CRD Number   Broker Dealer:                     Status:
8330         SEAPORT SECURITIES CORP.           Registered   10/31/1983
             SEAPORT SECURITIES CORP.
             60 BROAD STREET


             NEW YORK           NY   10004
CRD Number   Broker Dealer:                        Status:
38329        SEAPOWER CARPENTER CAPITAL, INC.      Registered   9/7/2006
             SEAPOWER CARPENTER CAPITAL, INC.
             5 PARK PLAZA
             SUITE 950
             IRVINE             CA    92614-8527


CRD Number   Broker Dealer:                        Status:
13035        SEARLE & CO.                          Registered   2/4/1992
             SEARLE & CO.
             333 GREENWICH AVENUE


             GREENWICH          CT    06830


CRD Number   Broker Dealer:                        Status:
126180       SEAVIEW SECURITIES LLC                Registered   12/11/2003
             SEAVIEW SECURITIES LLC
             117 EAST 55TH STREET
             4TH FLOOR
             NEW YORK           NY    10022


CRD Number   Broker Dealer:                        Status:
13281        SECONDCAP AMERICA LLC                 Registered   3/25/2011
             SECONDCAP AMERICA LLC
             35 PURCHASE STREET
             SUITE 202
             RYE                NY    10580


CRD Number   Broker Dealer:                        Status:
136962       SECONDMARKET, INC.                    Registered   4/25/2006
             SECONDMARKET, INC.
             26 BROADWAY
             12TH FL
             NEW YORK           NY    10004


CRD Number   Broker Dealer:                        Status:
42179        SECURE PLANNING, INC.                 Registered   7/1/2004
             SECURE PLANNING, INC.
             42 MIDDLE STREET


             PORTSMOUTH         NH    03801


CRD Number   Broker Dealer:                        Status:
10100        SECUREVEST FINANCIAL GROUP            Registered   4/22/2008
             SECUREVEST FINANCIAL GROUP
             163 MADISON AVE
             SUITE 100
             MORRISTOWN         NJ    07960
CRD Number   Broker Dealer:                           Status:
15296        SECURIAN FINANCIAL SERVICES, INC.        Registered   1/14/1985
             SECURIAN FINANCIAL SERVICES, INC.
             400 ROBERT STREET N


             ST. PAUL           MN   55101-2098


CRD Number   Broker Dealer:                           Status:
10205        SECURITIES AMERICA, INC.                 Registered   2/13/1986
             SECURITIES AMERICA, INC.
             PO BOX 460001


             PAPILLION          NE   68046-0001


CRD Number   Broker Dealer:                           Status:
47215        SECURITIES EQUITY GROUP                  Registered   7/17/2000
             SECURITIES EQUITY GROUP
             26800 ALISO VIEJO PARKWAY
             SUITE 150
             ALISO VIEJO        CA   92656


CRD Number   Broker Dealer:                           Status:
759          SECURITIES MANAGEMENT & RESEARCH, INC.   Registered   4/9/1968
             SECURITIES MANAGEMENT & RESEARCH, INC.
             P.O. BOX 868


             MARION             IA   52302


CRD Number   Broker Dealer:                           Status:
13318        SECURITIES SERVICE NETWORK, INC.         Registered   9/27/1989
             SECURITIES SERVICE NETWORK, INC.
             POST OFFICE BOX 30977


             KNOXVILLE          TN   37930


CRD Number   Broker Dealer:                           Status:
3336         SECURITY DISTRIBUTORS, INC.              Registered   1/21/1997
             SECURITY DISTRIBUTORS, INC.
             ONE SECURITY BENEFIT PLACE


             TOPEKA             KS   66636-0001


CRD Number   Broker Dealer:                           Status:
8200         SECURITY RESEARCH ASSOCIATES, INC.       Registered   1/28/2005
             SECURITY RESEARCH ASSOCIATES, INC.
             80 E. SIR FRANCIS DRAKE BLVD.
             #3F
             LARKSPUR           CA   94939-1709
CRD Number   Broker Dealer:                         Status:
10690        SEI INVESTMENTS DISTRIBUTION CO.       Registered   7/19/1982
             SEI INVESTMENTS DISTRIBUTION CO.
             ONE FREEDOM VALLEY DRIVE


             OAKS                 PA   19456


CRD Number   Broker Dealer:                         Status:
42821        SEIDEL & SHAW L.L.C.                   Registered   4/16/1999
             SEIDEL & SHAW L.L.C.
             40 EXCHANGE PLACE


             NEW YORK             NY   10005


CRD Number   Broker Dealer:                         Status:
145997       SELECT CAPITAL CORPORATION             Registered   3/26/2008
             SELECT CAPITAL CORPORATION
             31351 RANCHO VIEJO RD
             SUITE 205
             SAN JUAN CAPISTR     CA   92675


CRD Number   Broker Dealer:                         Status:
13854        SELKIRK INVESTMENTS, INC.              Registered   8/23/1991
             SELKIRK INVESTMENTS, INC.
             222 N WALL ST.
             SUITE 310
             SPOKANE              WA   99201-0831


CRD Number   Broker Dealer:                         Status:
13681        SEMINOLE FINANCIAL                     Registered   2/23/2009
             SEMINOLE FINANCIAL
             ONE SEAPORT PLAZA
             19TH FL
             NEW YORK             NY   10038


CRD Number   Broker Dealer:                         Status:
148739       SENECA PARTNERS BD, LLC                Registered   3/2/2010
             SENECA PARTNERS BD, LLC
             300 PARK ST
             SUITE 400
             BIRMINGHAM           MI   48009


CRD Number   Broker Dealer:                         Status:
40305        SENTINEL BROKERS COMPANY, INC.         Registered   10/5/2006
             SENTINEL BROKERS COMPANY, INC.
             20 BROADWAY


             MASSAPEQUA           NY   11758
CRD Number   Broker Dealer:                           Status:
31175        SENTINEL FINANCIAL SERVICES COMPANY      Registered   3/8/1993
             SENTINEL FINANCIAL SERVICES COMPANY
             ONE NATIONAL LIFE DRIVE


             MONTPELIER          VT    05604


CRD Number   Broker Dealer:                           Status:
110942       SENTINEL SECURITIES, INC.                Registered   1/28/2002
             SENTINEL SECURITIES, INC.
             55 WALKERS BROOK DR
             STE 100
             READING             MA    01867


CRD Number   Broker Dealer:                           Status:
5069         SENTRY EQUITY SERVICES, INC.             Registered   4/1/1970
             SENTRY EQUITY SERVICES, INC.
             1800 NORTH POINT DRIVE


             STEVENS POINT       WI    54481


CRD Number   Broker Dealer:                           Status:
39341        SEQUOIA INVESTMENTS, INC.                Registered   8/18/1998
             SEQUOIA INVESTMENTS, INC.
             3301 CHIMNEY LANE, N.E.


             ROSWELL             GA    30075


CRD Number   Broker Dealer:                           Status:
152896       SES CAPITAL ADVISORS, INC.               Registered   6/15/2011
             SES CAPITAL ADVISORS, INC.
             6 SOUTH STREET
             UNIT 202
             MORRISTOWN          NJ    07960


CRD Number   Broker Dealer:                           Status:
30624        SESLIA SECURITIES                        Registered   3/9/1993
             SESLIA VIRGIN ISLANDS SECURITIES, INC.
             111 S INDEPENDANCE MALL #830


             PHILADELPHIA        PA    19106


CRD Number   Broker Dealer:                           Status:
151337       SEVARA CAPITAL MARKETS, LLC              Registered   9/20/2010
             SEVARA CAPITAL MARKETS, LLC
             1270 AVENUE OF THE AMERICAS
             SUITE 2911
             NEW YORK            NY    10020
CRD Number   Broker Dealer:                     Status:
144211       SEVEN POINTS CAPITAL, LLC          Registered   2/17/2009
             SEVEN POINTS CAPITAL, LLC
             825 THIRD AVE
             2ND FL
             NEW YORK             NY   10022


CRD Number   Broker Dealer:                     Status:
6564         SF INVESTMENTS, INC.               Registered   6/30/1995
             SF INVESTMENTS, INC.
             799 CENTRAL AVE.
             STE 350
             HIGHLAND PARK        IL   60035


CRD Number   Broker Dealer:                     Status:
128351       SG AMERICAS SECURITIES, LLC        Registered   5/18/2004
             SG AMERICAS SECURITIES, LLC
             1221 AVENUE OF THE AMERICAS


             NEW YORK             NY   10020


CRD Number   Broker Dealer:                     Status:
118934       SGC SECURITIES LP                  Registered   7/19/2005
             SGC SECURITIES LP
             107 FORREST AVENUE
             SUITE 11
             NARBERTH             PA   19072


CRD Number   Broker Dealer:                     Status:
11226        SHARE FINANCIAL SERVICES, INC.     Registered   8/25/1999
             SHARE FINANCIAL SERVICES, INC.
             15770 DALLAS PARKWAY
             STE 860
             DALLAS               TX   75248


CRD Number   Broker Dealer:                     Status:
125226       SHAREHOLDERS SERVICE GROUP, INC.   Registered   4/8/2004
             SHAREHOLDERS SERVICE GROUP, INC.
             9845 ERMA ROAD
             SUITE 312
             SAN DIEGO            CA   92131


CRD Number   Broker Dealer:                     Status:
43981        SHAY FINANCIAL SERVICES, INC.      Registered   11/12/1997
             SHAY FINANCIAL SERVICES, INC.
             1000 BRICKWELL AVE
             SUITE 500
             MIAMI                FL   33131
CRD Number   Broker Dealer:                         Status:
38619        SHEARSON FINANCIAL SERVICES, LLC       Registered   6/7/1996
             SHEARSON FINANCIAL SERVICES, LLC
             700 W. PALMETTO PARK RD.
             STE 306
             BOCA RATON         FL     33433


CRD Number   Broker Dealer:                         Status:
767          SHELBY CULLOM DAVIS & CO., L.P.        Registered   2/26/1993
             SHELBY CULLOM DAVIS & CO., L.P.
             620 5TH AVENUE
             2ND FL
             NEW YORK           NY     10020


CRD Number   Broker Dealer:                         Status:
22882        SHELYN SECURITIES CORP                 Registered   10/2/2003
             SHELYN SECURITIES CORP
             12250 ROCKVILLE PIKE
             SUITE 200
             ROCKVILLE          MD     20852


CRD Number   Broker Dealer:                         Status:
104417       SHORELINE PACIFIC, LLC                 Registered   8/8/2001
             SHORELINE PACIFIC, LLC
             655 MONTGOMERY STREET
             SUITE 1010
             SAN FRANCISCO      CA     94111


CRD Number   Broker Dealer:                         Status:
41888        SHORELINE TRADING GROUP LLC            Registered   10/2/2000
             SHORELINE TRADING GROUP LLC
             2301 ROSECRANS AVE
             STE 4195
             EL SEGUNDO         CA     90245


CRD Number   Broker Dealer:                         Status:
3403         SHUFRO, ROSE & CO., LLC                Registered   5/27/1980
             SHUFRO, ROSE & CO., LLC
             745 FIFTH AVENUE
             26TH FLOOR
             NEW YORK           NY     10151-2600


CRD Number   Broker Dealer:                         Status:
16195        SICOR SECURITIES INC                   Registered   3/13/1997
             SICOR SECURITIES INC
             6500 POE AVENUE
             STE 105
             DAYTON             OH     45414-2556
CRD Number   Broker Dealer:                            Status:
102860       SIDOTI & COMPANY, LLC                     Registered   7/5/2000
             SIDOTI & COMPANY, LLC
             317 MADISON AVE
             STE 1410
             NEW YORK            NY    10017


CRD Number   Broker Dealer:                            Status:
42568        SIEBERT, BRANDFORD, SHANK & CO., L.L.C.   Registered   3/15/2000
             SIEBERT, BRANDFORD, SHANK & CO., L.L.C.
             1999 HARRISON ST.
             SUITE 2720
             OAKLAND             CA    94612


CRD Number   Broker Dealer:                            Status:
155160       SIERRA PACIFIC SECURITIES, LLC            Registered   7/25/2011
             SIERRA PACIFIC SECURITIES, LLC
             9440 W. SAHARA
             SUITE 215
             LAS VEGAS           NV    89117


CRD Number   Broker Dealer:                            Status:
14303        SIGMA FINANCIAL CORPORATION               Registered   3/24/1994
             SIGMA FINANCIAL CORPORATION
             4261 PARK ROAD


             ANN ARBOR           MI    48103-9508


CRD Number   Broker Dealer:                            Status:
15916        SIGNAL SECURITIES, INC.                   Registered   1/24/2006
             SIGNAL SECURITIES, INC.
             700 THROCKMORTON ST


             FORT WORTH          TX    76102-5036


CRD Number   Broker Dealer:                            Status:
468          SIGNATOR INVESTORS, INC.                  Registered   3/4/1969
             SIGNATOR INVESTORS, INC.
             197 CLARENDON STREET, (C-8-05)


             BOSTON              MA    02116


CRD Number   Broker Dealer:                            Status:
43557        SIGNATURE CAPITAL SECURITIES LLC          Registered   5/8/1998
             SIGNATURE CAPITAL SECURITIES LLC
             100 COMMERCIAL STREET
             SUITE 414
             PORTLAND            ME    04101
CRD Number   Broker Dealer:                           Status:
104233       SIGNATURE SECURITIES                     Registered   1/2/2001
             SIGNATURE SECURITIES GROUP CORPORATION
             29 WEST 38TH STREET
             9TH FL
             NEW YORK            NY   10018


CRD Number   Broker Dealer:                           Status:
2225         SII INVESTMENTS, INC.                    Registered   1/26/1996
             SII INVESTMENTS, INC.
             POB 5097


             APPLETON            WI   54912-5097


CRD Number   Broker Dealer:                           Status:
156435       SILBER BENNETT FINANCIAL, INC.           Registered   10/24/2011
             SILBER BENNETT FINANCIAL, INC.
             4717 VAN NUYS BLVD.
             SUITE 204
             SHERMAN OAKS        CA   91403


CRD Number   Broker Dealer:                           Status:
46947        SILVER OAK SECURITIES, INCORPORATED      Registered   12/3/2009
             SILVER OAK SECURITIES, INCORPORATED
             3339 N. HIGHLAND AVE.


             JACKSON             TN   38305


CRD Number   Broker Dealer:                           Status:
115589       SILVERWOOD PARTNERS                      Registered   8/9/2010
             SILVERWOOD PARTNERS LLC
             SILVERWOOD FARM PLACE
             32 PLEASANT STREET
             SHERBORN            MA   01770


CRD Number   Broker Dealer:                           Status:
23974        SIMMONS & COMPANY INTERNATIONAL          Registered   6/14/1991
             SIMMONS & COMPANY INTERNATIONAL
             700 LOUISIANA
             STE 1900
             HOUSTON             TX   77002-2753


CRD Number   Broker Dealer:                           Status:
130710       SIMMONS FIRST INVESTMENT GROUP, INC.     Registered   2/25/2005
             SIMMONS FIRST INVESTMENT GROUP, INC.
             8315 CANTRELL ROAD
             SUITE 200
             LITTLE ROCK         AR   72227
CRD Number   Broker Dealer:                               Status:
153094       SIP NORDIC AMERICA LLC                       Registered   10/1/2010
             SIP NORDIC AMERICA LLC
             263 TRESSER BLVD.


             STAMFORD            CT   06901


CRD Number   Broker Dealer:                               Status:
38761        SKB SECURITIES                               Registered   9/9/1998
             SKB SECURITIES, LLC
             810 NW MARSHALL STREET
             SUITE 300
             PORTLAND            OR   97209


CRD Number   Broker Dealer:                               Status:
22885        SLAVIC INVESTMENT CORPORATION                Registered   6/7/1993
             SLAVIC INVESTMENT CORPORATION
             1075 BROKEN SOUND PKWY NW
             STE 100
             BOCA RATON          FL   33487-3540


CRD Number   Broker Dealer:                               Status:
17930        SLOAN SECURITIES CORP.                       Registered   1/15/1988
             SLOAN SECURITIES CORP.
             270 SYLVAN AVE
             SUITE 260
             ENGLEWOOD CLIFF NJ       07632


CRD Number   Broker Dealer:                               Status:
28602        SMBC NIKKO SECURITIES AMERICA, INC.          Registered   4/29/1997
             SMBC NIKKO SECURITIES AMERICA, INC.
             277 PARK AVENUE
             5TH FLOOR
             NEW YORK            NY   10172


CRD Number   Broker Dealer:                               Status:
43164        SMITH ASSET MANAGEMENT, INC.                 Registered   9/8/1997
             SMITH ASSET MANAGEMENT, INC.
             111 BROADWAY
             STE 808
             NEW YORK            NY   10006


CRD Number   Broker Dealer:                               Status:
17059        SMITH HAYES FINANCIAL SERVICES CORPORATION   Registered   7/17/1996
             SMITH HAYES FINANCIAL SERVICES CORPORATION
             POB 83000


             LINCOLN             NE   68501-3000
CRD Number   Broker Dealer:                         Status:
1329         SMITH, BROWN & GROOVER, INC.           Registered   12/16/1999
             SMITH, BROWN & GROOVER, INC.
             4001 VINEVILLE AVENUE


             MACON                GA   31210-5039


CRD Number   Broker Dealer:                         Status:
3441         SMITH, MOORE & CO.                     Registered   2/5/1992
             SMITH, MOORE & CO.
             7777 BONHOMME AVE
             STE 2400
             CLAYTON              MO   63105


CRD Number   Broker Dealer:                         Status:
143299       SOLEBURY CAPITAL LLC                   Registered   7/11/2007
             SOLEBURY CAPITAL LLC
             400 S RIVER ROAD
             STE 300
             NEW HOPE             PA   18938


CRD Number   Broker Dealer:                         Status:
104357       SONENSHINE & COMPANY LLC               Registered   2/13/2009
             SONENSHINE & COMPANY LLC
             400 PARK AVENUE
             17TH FLOOR
             NEW YORK             NY   10022


CRD Number   Broker Dealer:                         Status:
127787       SORRENTO PACIFIC FINANCIAL, LLC        Registered   9/7/2005
             SORRENTO PACIFIC FINANCIAL, LLC
             10455 SORRENTO VALLEY ROAD
             SUITE 101
             SAN DIEGO            CA   92121


CRD Number   Broker Dealer:                         Status:
36719        SOURCE CAPITAL GROUP, INC.             Registered   11/15/2001
             SOURCE CAPITAL GROUP, INC.
             276 POST RD WEST


             WESTPORT             CT   06880


CRD Number   Broker Dealer:                         Status:
125202       SOUTH STREET SECURITIES LLC            Registered   7/29/2003
             SOUTH STREET SECURITIES LLC
             825 THIRD AVE
             35TH FLOOR
             NEW YORK             NY   10022
CRD Number   Broker Dealer:                        Status:
43035        SOUTHEAST INVESTMENTS, N.C., INC.     Registered   7/28/1997
             SOUTHEAST INVESTMENTS, N.C., INC.
             820 TYVOLA ROAD
             SUITE 104
             CHARLOTTE         NC     28217


CRD Number   Broker Dealer:                        Status:
6220         SOUTHWEST SECURITIES, INC.            Registered   9/17/1981
             SOUTHWEST SECURITIES, INC.
             1201 ELM ST.
             STE. 3500
             DALLAS            TX     75270-2180


CRD Number   Broker Dealer:                        Status:
21727        SOVEREIGN-AMERICAN SECURITIES, INC.   Registered   3/24/2005
             SOVEREIGN-AMERICAN SECURITIES, INC.
             1016 COLLIER CENTER WAY
             SUITE 100
             NAPLES            FL     34110


CRD Number   Broker Dealer:                        Status:
146251       SPARTAN CAPITAL SECURITIES, LLC       Registered   7/17/2008
             SPARTAN CAPITAL SECURITIES, LLC
             45 BROADWAY
             9TH FLOOR
             NEW YORK          NY     10006


CRD Number   Broker Dealer:                        Status:
104478       SPARTAN SECURITIES GROUP, LTD.        Registered   3/7/2005
             SPARTAN SECURITIES GROUP, LTD.
             15500 ROOSEVELT BLVD
             SUITE 303
             CLEARWATER        FL     33760


CRD Number   Broker Dealer:                        Status:
28303        SPECTRUM CAPITAL, INC.                Registered   7/23/2004
             SPECTRUM CAPITAL, INC.
             6910 PACIFIC STREET
             SUITE 214
             OMAHA             NE     68106


CRD Number   Broker Dealer:                        Status:
22067        SPENCER EDWARDS, INC.                 Registered   4/24/1992
             SPENCER EDWARDS, INC.
             6041 S SYRACUSE WAY
             STE 305
             ENGLEWOOD         CO     80111
CRD Number   Broker Dealer:                           Status:
28373        SPENCER TRASK VENTURES, INC.             Registered   10/3/1991
             SPENCER TRASK VENTURES, INC.
             750 THIRD AVE
             11TH FL
             NEW YORK             NY   10017


CRD Number   Broker Dealer:                           Status:
8300         SPENCER-WINSTON SECURITIES CORPORATION   Registered   4/7/1992
             SPENCER-WINSTON SECURITIES CORPORATION
             45 WEST 47TH STREET
             SUITE 402
             NEW YORK             NY   10036-2825


CRD Number   Broker Dealer:                           Status:
144131       SPIRE SECURITIES, LLC                    Registered   10/25/2007
             SPIRE SECURITIES, LLC
             12355 SUNRISE VALLEY DRIVE
             SUITE 305
             RESTON               VA   20191


CRD Number   Broker Dealer:                           Status:
143180       SPOUTING ROCK CAPITAL ADVISORS, LLC      Registered   6/4/2007
             SPOUTING ROCK CAPITAL ADVISORS, LLC
             100 MATSONFORD RD
             BLDG FIVE, STE 441
             RADNOR               PA   19087


CRD Number   Broker Dealer:                           Status:
38103        SPP CAPITAL PARTNERS L L C               Registered   1/28/2005
             SPP CAPITAL PARTNERS, LLC
             340 MADISON AVENUE
             10TH FLOOR
             NEW YORK             NY   10173


CRD Number   Broker Dealer:                           Status:
150898       SPRING HILL CAPITAL MARKETS, L.L.C.      Registered   4/1/2010
             SPRING HILL CAPITAL MARKTES, L.L.C.
             1095 AVE OF THE AMERICAS
             26TH FL
             NEW YORK             NY   10036


CRD Number   Broker Dealer:                           Status:
153322       SQN SECURITIES LLC                       Registered   4/13/2011
             SQN SECURITIES LLC
             110 WILLIAM STREET
             26TH FL
             NEW YORK             NY   10038
CRD Number   Broker Dealer:                         Status:
150750       SSG CAPITAL ADVISORS, LLC              Registered   4/23/2010
             SSG CAPITAL ADVISORS, LLC
             300 BARR HARBOR DRIVE
             SUITE 420
             WEST CONSHOHO      PA     19428


CRD Number   Broker Dealer:                         Status:
3255         ST. GERMAIN SECURITIES, INC.           Registered   12/4/1989
             ST. GERMAIN SECURITIES, INC.
             1500 MAIN ST


             SPRINGFIELD        MA     01115


CRD Number   Broker Dealer:                         Status:
149882       STALWART CAPITAL, LLC                  Registered   4/14/2010
             STALWART CAPITAL, LLC
             132 CENTRAL AVE


             HILLSDALE          NJ     07642


CRD Number   Broker Dealer:                         Status:
19517        STANCORP EQUITIES, INC.                Registered   1/25/2002
             STANCORP EQUITIES, INC.
             1100 SW SIXTH AVENUE
             P8A
             PORTLAND           OR     97204-1093


CRD Number   Broker Dealer:                         Status:
42813        STANDARD CREDIT SECURITIES INC.        Registered   11/14/2008
             STANDARD CREDIT SECURITIES INC.
             75 PARK PLACE
             4TH FL
             NEW YORK           NY     10007


CRD Number   Broker Dealer:                         Status:
126160       STANLEY LAMAN GROUP SECURITIES, LLC    Registered   9/4/2003
             STANLEY LAMAN GROUP SECURITIES, LLC
             1235 WESTLAKES DRIVE
             SUITE 295
             BERWYN             PA     19312


CRD Number   Broker Dealer:                         Status:
124667       STANWICH ADVISORS LLC                  Registered   9/9/2005
             STANWICH ADVISORS LLC
             ONE DOCK STREET
             6TH FL
             STAMFORD           CT     06902
CRD Number   Broker Dealer:                           Status:
146057       STARWOOD CAPITAL, L.L.C.                 Registered   7/25/2008
             STARWOOD CAPITAL, L.L.C.
             591 WEST PUTNAM AVENUE


             GREENWICH              CT   06830


CRD Number   Broker Dealer:                           Status:
43036        STATE FARM VP MANAGEMENT CORP.           Registered   2/8/2001
             STATE FARM VP MANAGEMENT CORP.
             ONE STATE FARM PLAZA


             BLOOMINGTON            IL   61710-0001


CRD Number   Broker Dealer:                           Status:
30107        STATE STREET GLOBAL MARKETS, LLC         Registered   6/15/1992
             STATE STREET GLOBAL MARKETS, LLC
             1 LINCOLN ST, 5TH FL
             STATE ST FIN CTR
             BOSTON                 MA   02111


CRD Number   Broker Dealer:                           Status:
104651       STATETRUST INVESTMENTS INC.              Registered   10/30/2002
             STATETRUST INVESTMENTS INC.
             800 BRICKELL AVE.
             SUITE 100
             MIAMI                  FL   33131


CRD Number   Broker Dealer:                           Status:
141277       STEADFAST CAPITAL MARKETS GROUP, LLC     Registered   4/3/2007
             STEADFAST CAPITAL MARKETS GROUP, LLC
             18100 VON KARMAN AVE.
             STE 500
             IRVINE                 CA   92612


CRD Number   Broker Dealer:                           Status:
117808       STEBEN & COMPANY, INC.                   Registered   6/4/2002
             STEBEN & COMPANY, INC.
             2099 GAITHER ROAD
             STE 200
             ROCKVILLE              MD   20850


CRD Number   Broker Dealer:                           Status:
3496         STEPHENS                                 Registered   11/18/1976
             STEPHENS INC.
             111 CENTER STREET


             LITTLE ROCK            AR   72201-3507
CRD Number   Broker Dealer:                                   Status:
103934       STERLING CAPITAL DISTRIBUTORS, INC.              Registered   7/20/2000
             STERLING CAPITAL DISTRIBUTORS, INC.
             760 MOORE ROAD


             KING OF PRUSSIA      PA   19406


CRD Number   Broker Dealer:                                   Status:
122696       STERLING MONROE SECURITIES, LLC                  Registered   2/13/2003
             STERLING MONROE SECURITIES, LLC
             168 FOREST AVENUE


             LOCUST VALLEY        NY   11560


CRD Number   Broker Dealer:                                   Status:
7155         STERLING, GRACE MUNICIPAL SECURITIES CORPORATI   Registered   10/24/2002
             STERLING, GRACE MUNICIPAL SECURITIES COPORATIO
             100 SUMMERHILL RD


             SPOTSWOOD            NJ   08884-1278


CRD Number   Broker Dealer:                                   Status:
16325        STERN BROTHERS & CO.                             Registered   9/15/2008
             STERN BROTHERS & CO.
             8000 MARYLAND AVE.
             SUITE 800
             ST. LOUIS            MO   63105-3911


CRD Number   Broker Dealer:                                   Status:
7548         STERN FISHER EDWARDS INC                         Registered   10/8/2009
             STERN FISHER EDWARDS INC
             801 SOUTH FIGUEROA ST.
             SUITE 2100
             LOS ANGELES          CA   90017-2457


CRD Number   Broker Dealer:                                   Status:
23952        STERNE AGEE CLEARING INC                         Registered   9/11/2000
             STERNE AGEE CLEARING INC.
             800 SHADES CREEK PKWY
             STE 700
             BIRMINGHAM           AL   35209


CRD Number   Broker Dealer:                                   Status:
18456        STERNE AGEE FINANICAL SERVICES, INC.             Registered   1/4/1994
             SAL FINANCIAL SERVICES, INC.
             800 SHADES CREEK PKWY
             STE 550
             BIRMINGHAM           AL   35209
CRD Number   Broker Dealer:                              Status:
791          STERNE, AGEE & LEACH, INC.                  Registered   11/19/1993
             STERNE, AGEE & LEACH, INC.
             800 SHADES CREEK PARKWAY
             SUITE 700
             BIRMINGHAM           AL   35209


CRD Number   Broker Dealer:                              Status:
793          STIFEL , NICOLAUS & COMPANY, INCORPORATED   Registered   7/6/1983
             STIFEL, NICOLAUS & COMPANY, INCORPORATED
             501 NORTH BROADWAY


             ST. LOUIS            MO   63102


CRD Number   Broker Dealer:                              Status:
133146       STILLPOINT CAPITAL, LLC                     Registered   4/26/2010
             STILLPOINT CAPITAL, LLC
             16456 MARVIN ROAD


             CHARLOTTE            NC   28277


CRD Number   Broker Dealer:                              Status:
107403       STOCK USA EXECUTION SERVICES, INC           Registered   8/7/2001
             STOCK USA EXECUTION SERVICES, INC
             1717 ROUTE 6
             STE 102
             CARMEL               NY   10512


CRD Number   Broker Dealer:                              Status:
6670         STOCKCROSS FINANCIAL SERVICES, INC.         Registered   12/17/1985
             STOCKCROSS FINANCIAL SERVICES, INC.
             9464 WILSHIRE BLVD


             BEVERLY HILLS        CA   90212


CRD Number   Broker Dealer:                              Status:
7031         STOEVER, GLASS & CO., INC.                  Registered   3/28/1978
             STOEVER, GLASS & CO., INC.
             30 WALL STREET


             NEW YORK             NY   10005


CRD Number   Broker Dealer:                              Status:
795          STONE & YOUNGBERG LLC                       Registered   1/6/1997
             STONE & YOUNGBERG LLC
             1 FERRY BLDG
             STE 275
             SAN FRANCISCO        CA   94111
CRD Number   Broker Dealer:                     Status:
131211       STONECASTLE SECURITIES, LLC        Registered   6/16/2010
             STONECASTLE SECURITIES, LLC
             142 WEST 57TH ST
             12TH FL
             NEW YORK             NY   10019


CRD Number   Broker Dealer:                     Status:
148159       STONECROFT SECURITIES LLC          Registered   10/13/2011
             STONECROFT SECURITIES LLC
             23253 MEADOWVALE GLEN CT.


             DULLES               VA   20166


CRD Number   Broker Dealer:                     Status:
118913       STONEHAVEN, LLC                    Registered   8/30/2005
             STONEHAVEN, LLC
             275 MADISON AVE
             STE 2002
             NEW YORK             NY   10016


CRD Number   Broker Dealer:                     Status:
148291       STOUT CAUSEY CAPITAL CORPORATION   Registered   1/7/2009
             STOUT CAUSEY CAPITAL CORPORATION
             910 RIDGEBROOK ROAD


             SPARKS               MD   21152


CRD Number   Broker Dealer:                     Status:
127302       STOUT RISIUS ROSS ADVISORS, LLC    Registered   2/17/2011
             STOUT RISIUS ROSS ADVISORS, LLC
             4000 TOWN CENTER
             20TH FL
             SOUTHFIELD           MI   48075


CRD Number   Broker Dealer:                     Status:
149326       STRATEGAS RESEARCH PARTNERS, LLC   Registered   6/9/2010
             STRATEGAS RESEARCH PARTNERS, LLC
             52 VANDERBILT AVE.
             8TH FL
             NEW YORK             NY   10017


CRD Number   Broker Dealer:                     Status:
124753       STRATEGIC POINT SECURITIES, LLC    Registered   6/2/2003
             STRATEGIC POINT SECURITIES, LLC
             294 WEST EXCHANGE STREET


             PROVIDENCE           RI   02903
CRD Number   Broker Dealer:                               Status:
104122       STRATTON CAPITAL MANAGEMENT, LTD.            Registered   7/15/2004
             STRATTON CAPITAL MANAGEMENT, LTD.
             575 MADISON AVENUE
             SUITE 1006
             NEW YORK            NY     10022


CRD Number   Broker Dealer:                               Status:
136093       STRAUS CAPITAL, LLC                          Registered   8/10/2011
             STRAUS CAPITAL, LLC
             50 PRINCETON-HIGHSTOWN RD.
             SUITE J
             PRINCETON JUNCTI NJ        08550


CRD Number   Broker Dealer:                               Status:
35504        STRONGTOWER FINANCIAL, INC.                  Registered   5/17/2004
             STRONGTOWER FINANCIAL, INC.
             7084 N. MAPLE AVE


             FRESNO              CA     93720-0101


CRD Number   Broker Dealer:                               Status:
7675         STROUSE GREENBERG REALTY INVESTMENTS, INC.   Registered   8/2/1978
             STROUSE GREENBERG REALTY INVESTMENTS, INC.
             200 S. BROAD ST., 3RD FL
             THE BELLEVUE
             PHILADELPHIA        PA     19102


CRD Number   Broker Dealer:                               Status:
24583        STURDIVANT & CO. INC.                        Registered   10/8/1993
             STURDIVANT & CO. INC.
             3000 ATRIUM WAY
             SUITE 520
             MT. LAUREL          NJ     08054


CRD Number   Broker Dealer:                               Status:
46027        SUCCESS TRADE SECURITIES, INC.               Registered   3/17/1999
             SUCCESS TRADE SECURIITES, INC.
             1900 L. STREET NW
             SUITE 301
             WASHINGTON          DC     20036


CRD Number   Broker Dealer:                               Status:
127142       SUMMER STREET RESEARCH PARTNERS              Registered   5/31/2011
             CUSTOM EQUITY RESEARCH, INC.
             101 ARCH STREET
             SUITE 2010
             BOSTON              MA     02110
CRD Number   Broker Dealer:                          Status:
34643        SUMMIT BROKERAGE SERVICES, INC.         Registered   3/21/1997
             SUMMIT BROKERAGE SERVICES, INC.
             595 S. FEDERAL HIGHWAY
             SUITE 500
             BOCA RATON         FL    33432


CRD Number   Broker Dealer:                          Status:
11039        SUMMIT EQUITIES, INC.                   Registered   3/4/1983
             SUMMIT EQUITIES, INC.
             4 CAMPUS DRIVE


             PARSIPPANY         NJ    07054-4405


CRD Number   Broker Dealer:                          Status:
45915        SUMMITALLIANCE SECURITIES, L.L.C.       Registered   1/22/2003
             SUMMITALLIANCE SECURITIES, L.L.C.
             14785 PRESTON ROAD
             STE 1000
             DALLAS             TX    75254


CRD Number   Broker Dealer:                          Status:
152437       SUMRIDGE PARTNERS, LLC                  Registered   9/9/2010
             SUMRIDGE PARTNERS, LLC
             111 TOWN SQUARE PLACE


             JERSEY CITY        NJ    07310


CRD Number   Broker Dealer:                          Status:
5496         SUN LIFE FINANCIAL DISTRIBUTORS, INC.   Registered   6/29/1971
             SUN LIFE FINANCIAL DISTRIBUTORS, INC.
             ONE SUN LIFE EXECUTIVE PARK


             WELLESLEY HILLS    MA    02481


CRD Number   Broker Dealer:                          Status:
13158        SUNAMERICA CAPITAL SERVICES, INC.       Registered   5/12/1986
             SUNAMERICA CAPITAL SERVICES, INC.
             HARBORSIDE FINANCIAL CTR
             3200 PLAZA 5
             JERSEY CITY        NJ    07311-4992


CRD Number   Broker Dealer:                          Status:
42180        SUNBELT SECURITIES, INC.                Registered   3/29/2005
             SUNBELT SECURITIES, INC.
             5065 WESTHEIMER
             SUITE 600
             HOUSTON            TX    77056
CRD Number   Broker Dealer:                         Status:
8509         SUNGARD INSTITUTIONAL BROKERAGE INC.   Registered   2/20/2003
             SUNGARD INSTITUTIONAL BROKERAGE INC.
             377 EAST BUTTERFIELD RD
             STE 800
             LOMBARD            IL    60148


CRD Number   Broker Dealer:                         Status:
29804        SUNRISE SECURITIES CORP.               Registered   7/28/1992
             SUNRISE SECURITIES CORP.
             600 LEXINGTON AVENUE
             23RD FLOOR
             NEW YORK           NY    10022


CRD Number   Broker Dealer:                         Status:
3538         SUNSET FINANCIAL SERVICES, INC.        Registered   3/7/1995
             SUNSET FINANCIAL SERVICES, INC.
             POB 219365


             KANSAS CITY        MO    64141-9365


CRD Number   Broker Dealer:                         Status:
17499        SUNTRUST INVESTMENT SERVICES, INC.     Registered   8/28/1986
             SUNTRUST INVESTMENT SERVICES, INC.
             303 PEACHTREE CTR AVE.
             STE 140
             ATLANTA            GA    30303


CRD Number   Broker Dealer:                         Status:
6271         SUNTRUST ROBINSON HUMPHREY, INC.       Registered   10/1/1991
             SUNTRUST ROBINSON HUMPHREY, INC.
             303 PEACHTREE ST NE
             STE 2300
             ATLANTA            GA    30308


CRD Number   Broker Dealer:                         Status:
147069       SUPERFUND USA, INC.                    Registered   11/6/2008
             SUPERFUND USA, INC.
             489 FIFTH AVENUE


             NEW YORK           NY    10017


CRD Number   Broker Dealer:                         Status:
104165       SUPERIOR FINANCIAL SERVICES, INC.      Registered   8/22/2001
             SUPERIOR FINANCIAL SERVICES, INC.
             PO BOX 139


             JACKSON            WI    53037
CRD Number   Broker Dealer:                                      Status:
29337        SUSQUEHANNA CAPITAL GROUP                           Registered   3/6/1997
             SUSQUEHANNA CAPITAL GROUP
             401 CITY AVE
             STE 220
             BALA CYNWYD        PA   19004-1122


CRD Number   Broker Dealer:                                      Status:
35865        SUSQUEHANNA FINANCIAL GROUP, LLLP                   Registered   2/19/1997
             SUSQUEHANNA FINANCIAL GROUP, LLLP
             401 CITY AVE
             STE 220
             BALA CYNWYD        PA   19004-1122


CRD Number   Broker Dealer:                                      Status:
33875        SUSQUEHANNA INVESTMENT GROUP                        Registered   7/15/1987
             SUSQUEHANNA INVESTMENT GROUP
             401 CITY AVENUE
             SUITE 220
             BALA CYNWYD        PA   19004-1122


CRD Number   Broker Dealer:                                      Status:
35874        SUSQUEHANNA SECURITIES                              Registered   11/14/2007
             SUSQUEHANNA SECURITIES
             401 CITY AVE
             STE 220
             BALA CYNWYD        PA   19004-1122


CRD Number   Broker Dealer:                                      Status:
30770        SUTTER SECURITIES INCORPORATED                      Registered   10/8/1993
             SUTTER SECURITIES INCORPORATED
             220 MONTGOMERY STREET
             SUITE 1700
             SAN FRANCISCO      CA   94104-1609


CRD Number   Broker Dealer:                                      Status:
46902        SVB SECURITIES, A NON-BANK AFFILIATE OF SILICON V   Registered   12/8/1999
             SVB SECURITIES, A NON-BANK AFFILIATE OF SILICON V
             3003 TASMAN DR


             SANTA CLARA        CA   95054


CRD Number   Broker Dealer:                                      Status:
133715       SWBC INVESTMENT SERVICES, LLC                       Registered   2/12/2007
             SWBC INVESMTENT SERVICES, LLC
             9311 SAN PEDRO
             SUITE 600
             SAN ANTONIO        TX   78216
CRD Number   Broker Dealer:                         Status:
3546         SWENEY CARTWRIGHT & COMPANY            Registered   11/27/1989
             SWENEY CARTWRIGHT & COMPANY
             17 S. HIGH ST.
             SUITE 300
             COLUMBUS           OH   43215-3438


CRD Number   Broker Dealer:                         Status:
39978        SWISS RE CAPITAL MARKETS CORPORATION   Registered   7/5/1996
             SWISS RE CAPITAL MARKETS CORPORATION
             55 EAST 52ND ST


             NEW YORK           NY   10055


CRD Number   Broker Dealer:                         Status:
32244        SWORD SECURITIES CORPORATION           Registered   10/8/1993
             SWORD SECURITIES CORPORATION
             34 CHAMBERS ST


             PRINCETON          NJ   08540-3708


CRD Number   Broker Dealer:                         Status:
17587        SWS FINANCIAL SERVICES, INC.           Registered   7/2/1992
             SWS FINANCIAL SERVICES, INC.
             1201 ELM ST.
             SUITE 3500
             DALLAS             TX   75270


CRD Number   Broker Dealer:                         Status:
14143        SYCAMORE FINANCIAL GROUP               Registered   2/21/1992
             SYCAMORE FINANICAL GROUP
             2713 ROCKFORD LANE


             KOKOMO             IN   46902


CRD Number   Broker Dealer:                         Status:
131593       SYKES FINANCIAL SERVICES LLC           Registered   10/15/2004
             SYKES FINANICAL SERVICES LLC
             213 N MARKET ST.
             SUITE 201
             WASHINGTON         NC   27889


CRD Number   Broker Dealer:                         Status:
19061        SYMETRA INVESTMENT SERVICES, INC.      Registered   5/5/1987
             SYMETRA INVESTMENT SERVICES, INC.
             P.O. BOX 34695


             SEATTLE            WA   98124-1695
CRD Number   Broker Dealer:                               Status:
739          SYMETRA SECURITIES, INC.                     Registered   8/20/1986
             SYMETRA SECURITIES, INC.
             PO BOX 34690


             SEATTLE             WA   98124-1695


CRD Number   Broker Dealer:                               Status:
139512       SYMPHONIC SECURITIES LLC                     Registered   9/15/2006
             SYMPHONIC SECURITIES LLC
             570 LEXINGTON AVENUE


             NEW YORK            NY   10022


CRD Number   Broker Dealer:                               Status:
29037        SYNDICATED CAPITAL, INC.                     Registered   3/30/1994
             SYNDICATED CAPITAL, INC.
             1299 OCEAN AVE.
             2ND FLOOR
             SANTA MONICA        CA   90401


CRD Number   Broker Dealer:                               Status:
128264       SYNERGY ADVISORS, LLC                        Registered   8/5/2011
             SYNERGY ADVISORS GROUP, LLC
             840 APOLLO STREET
             SUITE 213
             EL SEGUNDO          CA   90245


CRD Number   Broker Dealer:                               Status:
46035        SYNERGY INVESTMENT GROUP, LLC                Registered   11/8/1999
             SYNERGY INVESTMENT GROUP, LLC
             8320 UNIVERSITY EXECUTIVE PARK DR.
             SUITE 112
             CHARLOTTE           NC   28262


CRD Number   Broker Dealer:                               Status:
14023        SYNOVUS SECURITIES, INC.                     Registered   1/5/1993
             SYNOVUS SECURITIES, INC.
             P.O. BOX 2628


             COLUMBUS            GA   31902-2628


CRD Number   Broker Dealer:                               Status:
19242        SYSTEMATIZED BENEFITS ADMINISTRATORS, INC.   Registered   1/19/1988
             SYSTEMATIZED BENEFITS ADMINISTRATORS, INC.
             ONE ORANGE WAY
             C2N
             WINDSOR             CT   06095
CRD Number   Broker Dealer:                            Status:
8348         T. ROWE PRICE INVESTMENT SERVICES, INC.   Registered   4/23/1981
             T. ROWE PRICE INVESTMENT SERVICES, INC.
             100 E. PRATT ST.


             BALTIMORE           MD   21202


CRD Number   Broker Dealer:                            Status:
10571        T.R. WINSTON & COMPANY, LLC               Registered   6/16/1988
             T.R. WINSTON & COMPANY, LLC
             P.O. BOX 74
             376 MAIN STREET
             BEDMINSTER          NJ   07921


CRD Number   Broker Dealer:                            Status:
124348       T.S. PHILLIPS INVESTMENTS, INC.           Registered   4/2/2003
             T.S. PHILLIPS INVESTMENTS, INC.
             3555 NW 58TH STREET
             SUITE 600
             OKLAHOMA CITY       OK   73112


CRD Number   Broker Dealer:                            Status:
154431       T3 TRADING GROUP, LLC                     Registered   10/24/2011
             T3 TRADING GROUP, LLC
             ONE STATE STREET PLAZA
             10TH FLOOR
             NEW YORK            NY   10004


CRD Number   Broker Dealer:                            Status:
35513        TAG SECURITIES, INC.                      Registered   10/12/2010
             TAG SECURITIES, INC.
             5429 LBJ FREEWAY
             SUITE 400
             DALLAS              TX   75240


CRD Number   Broker Dealer:                            Status:
1357         TAG WEALTH MANAGEMENT, INC.               Registered   1/10/1991
             TAG WEALTH MANAGEMENT, INC.
             20815 N CAVE CREEK ROAD


             PHOENIX             AZ   85024


CRD Number   Broker Dealer:                            Status:
29102        TAGLICH BROTHERS, INC.                    Registered   4/22/1992
             TAGLICH BROTHERS, INC.
             790 NEW YORK AVE.
             SUITE 209
             HUNTINGTON          NY   11743
CRD Number   Broker Dealer:                           Status:
140546       TANDEM SECURITIES, INC.                  Registered   1/24/2008
             TANDEM SECURITIES, INC.
             3706 SW TOPEKA BLVD.
             SUITE 420
             TOPEKA                KS    66609


CRD Number   Broker Dealer:                           Status:
43559        Taylor Capital Management Inc.           Registered   9/23/2011
             Taylor Capital Management Inc.
             2230 TOWNE LAKE PKWY
             BLDG 800-STE 130
             WOODSTOCK             GA    30189


CRD Number   Broker Dealer:                           Status:
122804       TBC SECURITIES, LLC                      Registered   4/8/2005
             TBC SECURITIES, LLC
             2690 CLEARDON BLVD.
             SUITE 200
             ARLINGTON             VA    22201


CRD Number   Broker Dealer:                           Status:
35794        TCADVISORS NETWORK INC.                  Registered   4/8/1997
             TCADVISORS NETWORK INC.
             7103 S. REVERE PARKWAY


             CENTENNIAL            CO    80112-3992


CRD Number   Broker Dealer:                           Status:
154788       TCG SECURITIES, L.L.C.                   Registered   7/22/2011
             TCG SECURITIES, L.L.C.
             1001 PENNSYLVANIA AVE
             NW, SUITE 220 SOUTH
             WASHINGTON            DC    20004-2505


CRD Number   Broker Dealer:                           Status:
16670        TCW FUNDS DISTRIBUTORS                   Registered   5/25/1993
             TCW FUNDS DISTRIBUTORS
             865 S FIGUEROA STREET
             SUITE 1800
             LOS ANGELES           CA    90017


CRD Number   Broker Dealer:                           Status:
5633         TD AMERITRADE CLEARING, INC.             Registered   12/28/1978
             TD AMERITRADE CLEARING, INC.
             4211 SOUTH 102ND ST


             OMAHA                 NE    68127
CRD Number   Broker Dealer:                                Status:
7870         TD AMERITRADE, INC.                           Registered   10/27/1981
             TD AMERITRADE, INC.
             4211 S. 102ND ST


             OMAHA               NE    68127


CRD Number   Broker Dealer:                                Status:
18476        TD SECURITIES (USA) LLC                       Registered   12/16/1994
             TD SECURITIES (USA) LLC
             31 W. 52ND STREET


             NEW YORK            NY    10019-6101


CRD Number   Broker Dealer:                                Status:
36130        TEACHERS PERSONAL INVESTORS SERVICES, INC.    Registered   10/26/1994
             TEACHERS PERSONAL INVESTORS SERVICES, INC.
             8500 ANDREW CARNEGIE BLVD.
             MS SSC/C2/08
             CHARLOTTE           NC    28262-8500


CRD Number   Broker Dealer:                                Status:
36705        TEJAS SECURITIES GROUP, INC.                  Registered   12/11/1997
             TEJAS SECURITIES GROUP, INC.
             8226 BEE CAVES ROAD


             AUSTIN              TX    78746


CRD Number   Broker Dealer:                                Status:
133957       TELEMUS INVESTMENT BROKERS, LLC               Registered   7/14/2005
             TELEMUS INVESTMENT BROKERS, LLC
             TWO TOWNE SQUARE
             STE. 800
             SOUTHFIELD          MI    48076


CRD Number   Broker Dealer:                                Status:
148234       TELSEY ADVISORY GROUP LLC                     Registered   3/13/2009
             TELSEY ADVISORY GROUP LLC
             535 FIFTH AVE.
             12TH FL
             NEW YORK            NY    10017


CRD Number   Broker Dealer:                                Status:
39753        TEMPER OF THE TIMES INVESTOR SERVICES, INC.   Registered   9/12/1997
             TEMPER OF THE TIMES INVESTOR SERVICES, INC.
             411 THEODORE FREMD AVE.
             STE 132
             RYE                 NY    10580
CRD Number   Broker Dealer:                                 Status:
27884        TEMPLETON/FRANKLIN INVESTMENT SERVICES, INC.   Registered   8/13/1991
             TEMPLETON/FRANKLIN INVESTMENT SERVICES, INC.
             PO BOX 7777


             SAN MATEO            CA   94403-7777


CRD Number   Broker Dealer:                                 Status:
123762       TERRA SECURITIES, LLC                          Registered   1/28/2011
             TERRA SECURITIES, LLC
             805 THIRD AVENUE


             NEW YORK             NY   10022


CRD Number   Broker Dealer:                                 Status:
120148       TEXAS SECURITIES, INC.                         Registered   1/22/2003
             TEXAS SECURITIES, INC.
             4024 NAZARENE
             SUITE B
             CARROLLTON           TX   75010


CRD Number   Broker Dealer:                                 Status:
17860        TFG EQUITIES, INC.                             Registered   10/26/2006
             TFG EQUITIES, INC.
             6111 BROKEN SOUND PKWY
             NW , STE 150
             BOCA RATON           FL   33487


CRD Number   Broker Dealer:                                 Status:
30395        TFS DERIVATIVES CORPORATION                    Registered   6/8/2011
             TFS DERIVATIVES CORPORATION
             32 OLD SLIP
             34TH FL
             NEW YORK             NY   10005


CRD Number   Broker Dealer:                                 Status:
20626        TFS SECURITIES, INC.                           Registered   4/13/1988
             TFS SECURITIES, INC.
             437 NEWMAN SPRINGS ROAD


             LINCROFT             NJ   07738


CRD Number   Broker Dealer:                                 Status:
116269       THE BANK STREET GROUP L.L.C.                   Registered   8/13/2002
             THE BANK STREET GROUP L.L.C.
             4 LANDMARK SQUARE
             3RD FL.
             STAMFORD             CT   06901
CRD Number   Broker Dealer:                         Status:
22982        THE BENCHMARK COMPANY, LLC             Registered   1/26/1993
             THE BENCHMARK COMPANY, LLC
             40 FULTON STREET
             19TH FL
             NEW YORK             NY   10038


CRD Number   Broker Dealer:                         Status:
23418        THE CHAMPION GROUP, INC.               Registered   2/23/1993
             THE CHAMPION GROUP, INC.
             401 E. SONTERRA BLVD
             STE 215
             SAN ANTONIO          TX   78258


CRD Number   Broker Dealer:                         Status:
133558       THE FIG GROUP, LLC                     Registered   6/24/2011
             THE FIG GROUP, LLC
             3710 RAWLINS
             SUITE 975
             DALLAS               TX   75219


CRD Number   Broker Dealer:                         Status:
8000         THE GMS GROUP, LLC                     Registered   2/21/1989
             THE GMS GROUP, LLC
             5N REGENT STREET
             STE. 513
             LIVINGSTON           NJ   07039-9850


CRD Number   Broker Dealer:                         Status:
32944        THE GRISWOLD COMPANY, INCORPORATED     Registered   6/27/2002
             THE GRISWOLD COMPANY, INCORPORATED
             61 BROADWAY
             STE 2825
             NEW YORK             NY   10006


CRD Number   Broker Dealer:                         Status:
16986        THE HUNTINGTON INVESTMENT COMPANY      Registered   2/2/1989
             THE HUNTINGTON INVESTMENT COMPANY
             41 S. HIGH STREET
             7TH FL
             COLUMBUS             OH   43287-6101


CRD Number   Broker Dealer:                         Status:
149422       THE HUTCHISON COMPANY                  Registered   1/13/2010
             C.E. HUTCHISON & COMPANY
             1200 BROAD ST.
             SUITE 205
             DURHAM               NC   27705-3573
CRD Number   Broker Dealer:                                 Status:
17839        THE INVESTMENT CENTER INC.                     Registered   8/19/1987
             THE INVESTMENT CENTER INC.
             1420 ROUTE 206 NORTH
             STE 210
             BEDMINSTER         NJ   07921


CRD Number   Broker Dealer:                                 Status:
41282        THE JEFFREY MATTHEWS FINANCIAL GROUP, L.L.C.   Registered   2/10/1997
             THE JEFFREY MATTHEWS FINANCIAL GROUP, L.L.C.
             284 MILLBURN AVE


             MILLBURN           NJ   07041


CRD Number   Broker Dealer:                                 Status:
133104       THE KELT GROUP, LLC                            Registered   1/19/2005
             THE KELT GROUP, LLC
             2050 ALAMEDA PADRE SERRAD
             SUITE 201
             SANTA BARBARA      CA   93103


CRD Number   Broker Dealer:                                 Status:
127529       THE KEYSTONE EQUITIES GROUP, L.P.              Registered   10/20/2003
             THE KEYSTONE EQUITIES GROUP, L.P.
             P.O. BOX 1155


             OAKS               PA   19456-1155


CRD Number   Broker Dealer:                                 Status:
37157        THE LEADERS GROUP, INC.                        Registered   4/1/1996
             THE LEADERS GROUP, INC.
             26 W DRY CREEK CIRCLE
             STE 575
             LITTLETON          CO   80120-4475


CRD Number   Broker Dealer:                                 Status:
2936         THE O.N. EQUITY SALES COMPANY                  Registered   4/8/1969
             THE O.N. EQUITY SALES COMPANY
             P.O. BOX 371


             CINCINNATI         OH   45201-0371


CRD Number   Broker Dealer:                                 Status:
42941        THE OAK RIDGE FINANICAL SERVICES GROUP, INC.   Registered   4/29/1997
             THE OAK RIDGE FINANCIAL SERVICES GROUP, INC.
             701 XENIA AVE. S
             STE 100
             GOLDEN VALLEY      MN   55416-1089
CRD Number   Broker Dealer:                           Status:
35192        THE PETROLEUM CLEARINGHOUSE, INC.        Registered   5/21/1999
             THE PETROLEUM CLEARINGHOUSE, INC.
             POB 671787


             HOUSTON            TX     77267-1787


CRD Number   Broker Dealer:                           Status:
149758       THE PRINCERIDGE GROUP LLC                Registered   9/4/2009
             THE PRINCERIDGE GROUP LLC
             1633 BROADWAY
             28TH FL
             NEW YORK           NY     10019


CRD Number   Broker Dealer:                           Status:
26153        THE ROCKWELL FINANCIAL GROUP, INC.       Registered   7/14/1998
             THE ROCKWELL FINANCIAL GROUP, INC.
             242 W. OLD COUNTRY ROAD


             HICKSVILLE         NY     11801


CRD Number   Broker Dealer:                           Status:
118148       THE SECURITIES GROUP, LLC                Registered   6/6/2002
             THE SECURITIES GROUP, LLC
             6465 N QUAIL HOLLOW ROAD
             STE 400
             MEMPHIS            TN     38120-1417


CRD Number   Broker Dealer:                           Status:
126514       THE STRATEGIC FINANCIAL ALLIANCE, INC.   Registered   10/2/2003
             THE STRATEGIC FINANICAL ALLIANCE, INC.
             2200 CENTURY PARKWAY
             STE 500
             ATLANTA            GA     30345


CRD Number   Broker Dealer:                           Status:
18004        THE TAVENNER COMPANY                     Registered   11/17/2000
             THE TAVENNER COMPANY
             P.O. BOX 1368


             SPRINGFIELD        OH     45501-1368


CRD Number   Broker Dealer:                           Status:
39782        THE TIDAL GROUP, INC.                    Registered   7/27/2005
             THE TIDAL GROUP, INC.
             5501 MID CITIES PARKWAY
             SUITE 100
             SCHERTZ            TX     78154-2413
CRD Number   Broker Dealer:                        Status:
150132       THE VALENCE GROUP, LLC                Registered   1/12/2010
             THE VALENCE GROUP, LLC
             52 VANDERBILT AVENUE
             SUITE 1410
             NEW YORK          NY     10017


CRD Number   Broker Dealer:                        Status:
104353       THE VERTICAL GROUP                    Registered   2/12/2008
             THE VERTICAL TRADING GROUP, LLC
             417 FIFTH AVE.
             6TH FL
             NEW YORK          NY     10016


CRD Number   Broker Dealer:                        Status:
27704        THE WINCHESTER GROUP, INC.            Registered   6/11/1991
             THE WINCHESTER GROUP, INC.
             780 THIRD AVE


             NEW YORK          NY     10017-2024


CRD Number   Broker Dealer:                        Status:
120116       THEMIS TRADING LLC                    Registered   10/30/2002
             THEMIS TRADING LLC
             10 TOWN SQUARE
             STE 100
             CHATHAM           NJ     07928


CRD Number   Broker Dealer:                        Status:
44274        THINKEQUITY LLC                       Registered   3/12/1998
             THINKEQUITY LLC
             600 MONTGOMERY ST
             3RD FL
             SAN FRANCISCO     CA     94111


CRD Number   Broker Dealer:                        Status:
17047        THOMAS M. NIXON & ASSOCIATES, INC.    Registered   1/3/1986
             THOMAS M. NIXON & ASSOCIATES, INC.
             4775 WALLINGFORD ST


             PITTSBURGH        PA     15213-1711


CRD Number   Broker Dealer:                        Status:
6414         THOMAS P. REYNOLDS SECURITIES LTD.    Registered   6/14/2002
             THOMAS P. REYNOLDS SECURITIES LTD.
             410 JERICHO TURNPIKE
             SUITE 304A
             JERICHO           NY     11753
CRD Number   Broker Dealer:                                      Status:
46237        THOMAS WEISEL PARTNERS LLC                          Registered   1/13/1999
             THOMAS WEISEL PARTNERS LLC
             ONE MONTGOMERY ST
             STE 3700
             SAN FRANCISCO       CA   94104


CRD Number   Broker Dealer:                                      Status:
41353        THOMPSON DAVIS & CO., INC.                          Registered   8/10/2001
             THOMPSON DAVIS & CO., INC.
             PO BOX 1854


             RICHMOND            VA   23218


CRD Number   Broker Dealer:                                      Status:
14857        THORNBURG SECURITIES CORPORATION                    Registered   6/14/1994
             THORNBURG SECURITIES COPRORATION
             2300 NORTH RIDGETOP ROAD


             SANTA FE            NM   87506


CRD Number   Broker Dealer:                                      Status:
22333        THORNHILL SECURITIES, INC.                          Registered   3/25/1999
             THORNHILL SECURITIES, INC.
             336 S CONGRESS AVE
             STE 200
             AUSTIN              TX   78704


CRD Number   Broker Dealer:                                      Status:
18387        THRIVENT INVESTMENT MANAGEMENT INC.                 Registered   7/17/1987
             THRIVENT INVESTMENT MANAGEMENT INC.
             625 4TH AVE SOUTH


             MINNEAPOLIS         MN   55415-1665


CRD Number   Broker Dealer:                                      Status:
8478         THURSTON, SPRINGER, MILLER, HERD & TITAK, INC.      Registered   8/29/2008
             THURSTON, SPRINGER, MILLER, HERD & TITAK, INC.
             9000 KEYSTONE CROSSING
             SUITE 740
             INDIANAPOLIS        IN   46240-2142


CRD Number   Broker Dealer:                                      Status:
20472        TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LL   Registered   1/3/1992
             TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LL
             8500 ANDREW CARNEGIE BLVD.
             MS SSC/C2/08
             CHARLOTTE           NC   28262-8500
CRD Number   Broker Dealer:                        Status:
7671         TICONDEROGA SECURITIES LLC            Registered   11/17/1992
             TICONDEROGA SECURITIES LLC
             520 MADISON AVE


             NEW YORK            NY   10022


CRD Number   Broker Dealer:                        Status:
33319        TIMBER HILL LLC                       Registered   4/30/1997
             TIMBER HILL LLC
             ONE PICKWICK PLAZA
             STE 200
             GREENWICH           CT   06830


CRD Number   Broker Dealer:                        Status:
114422       TIME EQUITIES SECURITIES LLC          Registered   11/30/2001
             TIME EQUITIES SECURITIES LLC
             55 FIFTH AVENUE
             15TH FLOOR
             NEW YORK            NY   10003


CRD Number   Broker Dealer:                        Status:
6845         TIMECAPITAL SECURITIES CORPORATION    Registered   11/30/1994
             TIMECAPITAL SECURITIES CORPORATION
             ONE ROOSEVELT AVENUE


             PORT JEFFERSON      NY   11776-3336


CRD Number   Broker Dealer:                        Status:
41835        TIMOTHY PARTNERS, LTD.                Registered   3/3/1997
             TIMOTHY PARTNERS, LTD.
             1055 MAITLAND CENTER COMMONS


             MAITLAND            FL   32751


CRD Number   Broker Dealer:                        Status:
46300        TJM INVESTMENTS, LLC                  Registered   11/7/2002
             TJM INVESTMENTS, LLC
             318 W. ADAMS STREET
             9TH FL
             CHICAGO             IL   60606


CRD Number   Broker Dealer:                        Status:
27438        TM CAPITAL CORP.                      Registered   7/5/2002
             TM CAPITAL CORP.
             641 LEXINGTON AVE
             30TH FL
             NEW YORK            NY   10022
CRD Number   Broker Dealer:                       Status:
149178       TNP SECURITIES, LLC                  Registered   7/22/2009
             TNP SECURITIES, LLC
             1900 MAIN STREET
             SUITE 700
             IRVINE             CA   92614


CRD Number   Broker Dealer:                       Status:
26001        TOCQUEVILLE SECURITIES, L.P.         Registered   5/3/1990
             TOCQUEVILLE SECURITIES, L.P.
             40 W 57TH ST
             19TH FL
             NEW YORK           NY   10019


CRD Number   Broker Dealer:                       Status:
1526         TOUCHSTONE SECURITIES, INC.          Registered   3/13/1992
             TOUCHSTONE SECURITIES, INC.
             303 BROADWAY
             SUITE 1100
             CINCINNATI         OH   45202


CRD Number   Broker Dealer:                       Status:
154492       TOURMALINE PARTNERS, LLC             Registered   1/4/2011
             TOURMALINE PARTNERS, LLC
             680 WASHINGTON BLVD.
             10TH FL
             STAMFORD           CT   06901


CRD Number   Broker Dealer:                       Status:
130290       TOUSSAINT CAPITAL PARTNERS, LLC      Registered   8/16/2006
             TOUSSAINT CAPITAL PARTNERS, LLC
             110 WALL STREET
             2ND FLOOR
             NEW YORK           NY   10005


CRD Number   Broker Dealer:                       Status:
833          TOWER SQUARE SECURITIES, INC.        Registered   12/6/1995
             TOWER SQUARE SECURITIES, INC.
             1095 AVENUE OF THE AMERICAS
             C/O METLIFE SECURITIES, INC.
             NEW YORK           NY   10036


CRD Number   Broker Dealer:                       Status:
146485       TOWERS WATSON CAPITAL MARKETS INC.   Registered   10/27/2008
             TOWERS WATSON CAPITAL MARKETS INC.
             335 MADISON AVE


             NEW YORK           NY   10017-4605
CRD Number   Broker Dealer:                                  Status:
154377       TOWN HALL                                       Registered   5/26/2011
             TOWN HALL CAPITAL LLC
             570 LEXINGTON AVENUE
             16TH FL
             NEW YORK              NY   10022


CRD Number   Broker Dealer:                                  Status:
135978       TOYOTA FINANCIAL SERVICES SECURITIES USA CORP   Registered   1/20/2006
             TOYOTA FINANCIAL SERVICES SECURITIES USA CORP
             19001 S WESTERN AVE
             NF10
             TORRANCE              CA   90501


CRD Number   Broker Dealer:                                  Status:
143876       TPG CAPITAL BD, LLC                             Registered   10/10/2007
             TPG CAPITAL BD, LLC
             301 COMMERCE STREET
             STE 3300
             FORT WORTH            TX   76102


CRD Number   Broker Dealer:                                  Status:
103802       TRACK DATA SECURITIES CORPORATION               Registered   7/17/2000
             TRACK DATA SECURITIES CORPORATION
             95 ROCKWELL PLACE


             BROOKLYN              NY   11217


CRD Number   Broker Dealer:                                  Status:
7263         TRADE MANAGE CAPITAL, INC.                      Registered   10/24/1996
             TRADE MANAGE CAPITAL, INC.
             299 MARKET STREET


             SADDLE BROOK          NJ   07663


CRD Number   Broker Dealer:                                  Status:
145562       TRADE MONSTER                                   Registered   5/15/2008
             OM SECURITIES, LLC.
             10 S. RIVERSIDE PLAZA
             SUITE 2050
             CHICAGO               IL   60606


CRD Number   Broker Dealer:                                  Status:
136131       TRADEKING                                       Registered   12/1/2005
             KANE REID SECURITIES GROUP, INC.
             888 E. LAS OLAS BLVD.
             SUITE 300
             FORT LAUDERDALE       FL   33301
CRD Number   Broker Dealer:                         Status:
46350        TRADE-PMR INC.                         Registered   1/5/2000
             TRADE-PMR INC.
             P.O. BOX 358230


             GAINESVILLE          FL   32635-8230


CRD Number   Broker Dealer:                         Status:
29683        TRADESPOT MARKETS INC.                 Registered   3/11/1992
             TRADESPOT MARKETS INC.
             13900 SW 24TH STREET


             DAVIE                FL   33325


CRD Number   Broker Dealer:                         Status:
39473        TRADESTATION SECURITIES, INC.          Registered   4/11/1997
             TRADESTATION SECURITIES, INC.
             8050 SW 10TH STREET
             SUITE 2000
             PLANTATION           FL   33324


CRD Number   Broker Dealer:                         Status:
128605       TRADINGBLOCK                           Registered   3/11/2004
             AOS, INC.
             311 S. WACKER DRIVE
             SUITE 650
             CHICAGO              IL   60606


CRD Number   Broker Dealer:                         Status:
28269        TRADITION ASIEL SECURITIES INC.        Registered   11/22/2000
             TRADITION ASIEL SECURITIES INC.
             75 PARK PLACE
             4TH FL
             NEW YORK             NY   10007


CRD Number   Broker Dealer:                         Status:
8217         TRANSAMERICA CAPITAL, INC.             Registered   6/1/2000
             TRANSAMERICA CAPITAL, INC.
             4600 S SYRACUSE ST
             STE 1100
             DENVER               CO   80237


CRD Number   Broker Dealer:                         Status:
16164        TRANSAMERICA FINANCIAL ADVISORS, INC   Registered   3/4/1985
             TRANSAMERICA FINANCIAL ADVISORS, INC
             P.O. BOX 9053


             CLEARWATER           FL   33758-9053
CRD Number   Broker Dealer:                          Status:
104483       TRANSCEND CAPITAL                       Registered   8/6/2009
             TRANSCEND CAPITAL, LLC
             6500 RIVER PLACE BLVD.
             SUITE 102, BLDG 4
             AUSTIN               TX    78730


CRD Number   Broker Dealer:                          Status:
138494       TRESTLE POINT, LLC                      Registered   1/20/2011
             TRESTLE POINT, LLC
             1861 AMERICAN WALK
             SUITE 1660
             LAWRENCEVILLE        GA    30043


CRD Number   Broker Dealer:                          Status:
25803        TRIAD ADVISORS, INC.                    Registered   1/28/1998
             TRIAD ADVISORS, INC.
             5185 PEACHTREE PARKWAY
             STE 280
             NORCROSS             GA    30092


CRD Number   Broker Dealer:                          Status:
11363        TRIAD SECURITIES CORP                   Registered   10/18/1990
             TRIAD SECURITIES CORP
             111 BROADWAY
             11TH FL
             NEW YORK             NY    10006-9401


CRD Number   Broker Dealer:                          Status:
143529       TRIAGO                                  Registered   10/29/2008
             TRIAGO AMERICAS, INC.
             499 PARK AVENUE
             SUITE 2001
             NEW YORK             NY    10022


CRD Number   Broker Dealer:                          Status:
41258        TRIDENT PARTNERS LTD.                   Registered   4/18/2000
             TRIDENT PARTNERS LTD.
             181 CROSSWAYS PARK DR


             WOODBURY             NY    11797


CRD Number   Broker Dealer:                          Status:
44857        TRINITY SECURITIES, INC.                Registered   12/6/2001
             TRINITY SECURITIES, INC.
             3303 OAKWELL COURT
             SUITE 220
             SAN ANTONIO          TX    78218
CRD Number   Broker Dealer:                     Status:
143174       TRIPOINT GLOBAL EQUITIES, LLC      Registered   10/29/2008
             TRIPOINT GLOBAL EQUITIES, LLC
             17 STATE STREET
             SUITE 2000
             NEW YORK             NY   10004


CRD Number   Broker Dealer:                     Status:
32458        TRI-STAR FINANCIAL                 Registered   9/1/1994
             MUTUAL MONEY INVESTMENTS, INC.
             5718 WESTHEIMER RD
             STE 950
             HOUSTON              TX   77057


CRD Number   Broker Dealer:                     Status:
45500        TRITAURIAN CAPITAL, INCORPORATED   Registered   5/12/2000
             TRITAURIAN CAPITAL, INCORPORATED
             1365 YORK AVENUE
             SUITE 23B
             NEW YORK             NY   10021


CRD Number   Broker Dealer:                     Status:
139919       TRITON PACIFIC SECURITIES, LLC     Registered   5/18/2007
             TRITON PACIFIC SECURITIES, LLC
             10877 WILSHIRE BLVD.
             12TH FL
             LOS ANGELES          CA   90027


CRD Number   Broker Dealer:                     Status:
45519        TRIUMPH GLOBAL SECURITIES, LTD.    Registered   12/10/1998
             TRIUMPH GLOBAL SECURITIED, LTD.
             45 ROCKEFELLER PLAZA
             PMB 16, 20TH FL
             NEW YORK             NY   10111


CRD Number   Broker Dealer:                     Status:
47972        TROIKA DIALOG USA, INC.            Registered   3/6/2006
             TROIKA DIALOG USA, INC.
             CARNEGIE HALL TOWER
             152 W 57TH ST., 44TH FL
             NEW YORK             NY   10019


CRD Number   Broker Dealer:                     Status:
131489       TROUT CAPITAL LLC                  Registered   2/29/2008
             TROUT CAPITAL LLC
             740 BROADWAY
             SUITE 903
             NEW YORK             NY   10003
CRD Number   Broker Dealer:                                  Status:
3618         TRUBEE, COLLINS & CO., INC.                     Registered   4/30/1999
             TRUBEE, COLLINS & CO., INC.
             1350 ONE M&T PLAZA


             BUFFALO              NY   14203-2396


CRD Number   Broker Dealer:                                  Status:
47107        TRUMP SECURITIES, LLC                           Registered   10/21/1999
             TRUMP SECURITIES, LLC
             39 BROADWAY
             SUITE 3300
             NEW YORK             NY   10006


CRD Number   Broker Dealer:                                  Status:
18312        TRUSTMONT FINANCIAL GROUP, INC.                 Registered   9/2/1986
             TRUSTMONT FINANCIAL GROUP, INC.
             200 BRUSH RUN RD
             STE A, SCENIC DR PROF CTR
             GREENSBURG           PA   15601


CRD Number   Broker Dealer:                                  Status:
46258        TSR ASSOCIATES, LLC                             Registered   6/20/2000
             TSR ASSOCIATES, LLC
             2409 FITLER'S WALK


             PHILADELPHIA         PA   19103


CRD Number   Broker Dealer:                                  Status:
129772       TUDOR, PICKERING, HOLT & CO. SECURITIES, INC.   Registered   6/7/2004
             TUDOR, PICKERING, HOLT & CO. SECURITIES, INC.
             1111 BAGBY
             SUITE 5000
             HOUSTON              TX   77002


CRD Number   Broker Dealer:                                  Status:
28196        TULLETT PREBON FINANCIAL SERVICES LLC           Registered   6/22/2009
             TULLETT PREBON FINANCIAL SERVICES LLC
             101 HUDSON STREET


             JERSEY CITY          NJ   07302


CRD Number   Broker Dealer:                                  Status:
30029        TULLY & HOLLAND, INCORPORATED                   Registered   9/15/2005
             TULLY & HOLLAND, INCORPORATED
             20 WILLIAM STREET
             STE 135
             WELLESLEY            MA   02481
CRD Number   Broker Dealer:                     Status:
6857         TWEEDY, BROWNE COMPANY LLC         Registered   12/14/1990
             TWEEDY, BROWNE COMPANY LLC
             350 PARK AVE


             NEW YORK              NY   10022


CRD Number   Broker Dealer:                     Status:
14461        TWENTY-FIRST SECURITIES CORP.      Registered   12/13/1985
             TWENTY-FIRST SECURITIES CORP.
             780 THIRD AVENUE
             15TH FLOOR
             NEW YORK              NY   10017


CRD Number   Broker Dealer:                     Status:
143626       TWG SECURITIES, INC.               Registered   10/4/2007
             TWG SECURITIES, INC.
             175 W. JACKSON BLVD.
             11TH FL
             CHICAGO               IL   60604


CRD Number   Broker Dealer:                     Status:
128572       TWS FINANCIAL, LLC.                Registered   4/16/2004
             TWS FINANCIAL, LLC.
             1101 PENNSYLVANIA AVE.
             STE 600
             WASHINGTON            DC   20004


CRD Number   Broker Dealer:                     Status:
17868        U.S. BANCORP INVESTMENTS, INC.     Registered   8/30/1989
             U.S. BANCORP INVESTMENTS, INC.
             60 LIVINGSTON ROAD
             EP-MN-WN2S
             SAINT PAUL            MN   55107


CRD Number   Broker Dealer:                     Status:
5251         U.S. BOSTON CAPITAL CORPORATION    Registered   1/3/1991
             U.S. BOSTON CAPITAL CORPORATOIN
             55 OLD BEDFORD RD
             SUITE 202
             LINCOLN               MA   01773


CRD Number   Broker Dealer:                     Status:
39307        U.S. BROKERAGE, INC.               Registered   4/22/1996
             U.S. DISCOUNT BROKERAGE, INC.
             673 MOHAWK ST
             SUITE 200
             COLUMBUS              OH   43206
CRD Number   Broker Dealer:                          Status:
120804       U.S. FINANCIAL INVESTMENTS, INC.        Registered   1/14/2009
             U.S. FINANCIAL INVESTMENTS, INC.
             90 BROAD STREET
             17TH FLOOR
             NEW YORK            NY   10004


CRD Number   Broker Dealer:                          Status:
44721        U.S. GLOBAL BROKERAGE, INC.             Registered   6/26/1998
             U.S. GLOBAL BROKERAGE, INC.
             7900 CALLAGHAN ROAD


             SAN ANTONIO         TX   78229


CRD Number   Broker Dealer:                          Status:
11238        U.S. SECURITIES, INTL. CORP.            Registered   7/5/2002
             U.S. SECURITIES, INTL. CORP.
             120 BROADWAY


             NEW YORK            NY   10271


CRD Number   Broker Dealer:                          Status:
35912        U.S. STERLING SECURITIES, INC.          Registered   6/2/2003
             U.S. STERLING SECURITIES, INC.
             1393 VETERANS MEM HWY
             UNIT 412N
             HAUPPAUGE           NY   11788


CRD Number   Broker Dealer:                          Status:
8174         UBS FINANICAL SERVICES INC.             Registered   10/1/1970
             UBS FINANCIAL SERVICES INC.
             1000 HARBOR BLVD, 8TH FL
             COMPLIANCE DEPT
             WEEHAWKEN           NJ   07086


CRD Number   Broker Dealer:                          Status:
41848        UBS FUND SERVICES (USA) LLC             Registered   3/20/1997
             UBS FUND SERVICES (USA) LLC
             242 TRUMBULL STREET


             HARTFORD            CT   06103-1212


CRD Number   Broker Dealer:                          Status:
583          UBS GLOBAL ASSET MANAGEMENT (US) INC.   Registered   7/12/1973
             UBS GLOBAL ASSET MANAGEMENT (US) INC.
             1285 AVENUE OF THE AMERICAS
             12TH FL
             NEW YORK            NY   10019
CRD Number   Broker Dealer:                    Status:
7654         UBS SECURITIES LLC                Registered   8/24/1992
             UBS SECURITIES LLC
             677 WASHINGTON BLVD


             STAMFORD             CT   06901


CRD Number   Broker Dealer:                    Status:
42854        UHLMANN PRICE SECURITIES, LLC     Registered   6/6/2002
             UHLMANN PRICE SECURITIES, LLC
             141 W. JACKSON BLVD.
             SUITE 1340A
             CHICAGO              IL   60604


CRD Number   Broker Dealer:                    Status:
104177       ULTIMUS FUND DISTRIBUTORS, LLC    Registered   10/13/2000
             ULTIMUS FUND DISTRIBUTORS, LLC
             225 PICTORIA DR
             STE 450
             CINCINNATI           OH   45246


CRD Number   Broker Dealer:                    Status:
25938        UMB DISTRIBUTION SERVICES, LLC    Registered   8/21/1990
             UMB DISTRIBUTION SERVICES, LLC
             803 W. MICHIGAN ST
             SUITE A
             MILWAUKEE            WI   53233


CRD Number   Broker Dealer:                    Status:
17073        UMB FINANCIAL SERVICES, INC.      Registered   1/24/1995
             UMB FINANCIAL SERVICES, INC.
             928 GRAND AVENUE


             KANSAS CITY          MO   64106


CRD Number   Broker Dealer:                    Status:
1254         UMPQUA INVESTMENTS, INC.          Registered   10/27/2006
             UMPQUA INVESTMENTS, INC.
             ONE SW COLUMBIA STREET
             SUITE 300
             PORTLAND             OR   97258


CRD Number   Broker Dealer:                    Status:
148001       UNDERHILL SECURITIES CORP.        Registered   2/8/2010
             UNDERHILL SECURITIES CORP.
             4045 S. SPENCER STREET
             SUITE 108
             LAS VEGAS            NV   89119
CRD Number   Broker Dealer:                           Status:
7789         UNICREDIT CAPITAL MARKETS, LLC           Registered   1/13/2010
             UNICREDIT CAPITAL MARKETS, LLC
             150 EAST 42ND ST


             NEW YORK               NY   10017-4679


CRD Number   Broker Dealer:                           Status:
7868         UNIFIED FINANCIAL SECURITIES, INC.       Registered   5/7/1984
             UNIFIED FINANICAL SECURITIES, INC.
             2960 N. MERIDIAN ST.
             STE 300
             INDIANAPOLIS           IN   46208


CRD Number   Broker Dealer:                           Status:
110301       UNION CAPITAL COMPANY                    Registered   11/8/2007
             UNION CAPITAL COMPANY
             6425 E. GRANT ROAD


             TUCSON                 AZ   85715


CRD Number   Broker Dealer:                           Status:
151592       UNION GAMING ADVISORS                    Registered   9/29/2010
             UNION GAMING ADVISORS, LLC
             3930 HOWARD HUGHES PKWY
             STE 230
             LAS VEGAS              NV   89169


CRD Number   Broker Dealer:                           Status:
141254       UNION SQUARE ADVISORS LLC                Registered   5/12/2008
             UNION SQUARE ADVISORS LLC
             TWO EMBARCADERO CTR
             SUITE 1330
             SAN FRANCISCO          CA   94111


CRD Number   Broker Dealer:                           Status:
14455        UNIONBANC INVESTMENT SERVICES, LLC       Registered   7/19/1995
             UNIONBANC INVESTMENT SERVICES, LLC
             445 S. FIGUEROA ST
             2ND FL
             LOS ANGELES            CA   90071


CRD Number   Broker Dealer:                           Status:
21274        UNITED AMERICAN SECURITIES, INC.         Registered   1/4/1989
             UNITED AMERICAN SECURITIES, INC.
             441 LEXINGTON AVE
             STE 806
             NEW YORK               NY   10017
CRD Number   Broker Dealer:                                       Status:
39062        UNITED BROKERAGE SERVICES, INC                       Registered   11/26/1996
             UNITED BROKERAGE SERVICES, INC
             PO BOX 1508


             PARKERSBURG         WV     26102-1508


CRD Number   Broker Dealer:                                       Status:
40980        UNITED CAPITAL MARKETS, INC.                         Registered   4/28/2006
             UNITED CAPITAL MARKETS, INC.
             240 CRANDON BLVD.
             SUITE 167
             KEY BISCAYNE        FL     33149


CRD Number   Broker Dealer:                                       Status:
20804        UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA       Registered   2/25/1988
             UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA
             P.O. BOX 5750


             SCOTTSDALE          AZ     85261-5750


CRD Number   Broker Dealer:                                       Status:
1834         UNIVEST INVESTMENTS, INC.                            Registered   10/8/1968
             UNIVEST INVESTMENTS, INC.
             14 N. MAIN ST
             ATTN ANNETTE KNIBBS
             SOUDERTON           PA     18964


CRD Number   Broker Dealer:                                       Status:
36105        UNIVEST SECURITIES, INC. D/B/A/ UNIVERSAL FINANCIA   Registered   10/24/1995
             UNIVEST SECURITIES, INC.
             153 CENTRE STREET
             SUITE 208
             NEW YORK            NY     10013


CRD Number   Broker Dealer:                                       Status:
46145        UNX LLC                                              Registered   6/30/2000
             UNX LLC
             175 E OLIVE AVE
             STE 200
             BURBANK             CA     91502


CRD Number   Broker Dealer:                                       Status:
36478        UPROMISE INVESTMENTS, INC.                           Registered   8/2/1994
             UPROMISE INVESTMENTS, INC.
             95 WELLS AVE
             STE 160
             NEWTON              MA     02459
CRD Number   Broker Dealer:                           Status:
133615       UPRR SECURITIES, LLC                     Registered   4/29/2005
             UPRR SECURITIES, LLC
             450 SEVENTH AVENUE
             SUITE 1300
             NEW YORK               NY   10123


CRD Number   Broker Dealer:                           Status:
15579        US PARTICIPATIONS LTD.                   Registered   10/24/1984
             US PARTICIPATIONS LTD.
             3909 HARTZDALE DRIVE
             STE 901
             CAMP HILL              PA   17011


CRD Number   Broker Dealer:                           Status:
103857       USA FINANCIAL SECURITIES CORPORATION     Registered   8/29/2000
             USA FINANCIAL SECURITIES CORPORATION
             6020 EAST FULTON


             ADA                    MI   49301


CRD Number   Broker Dealer:                           Status:
129035       USAA FINANCIAL ADVISORS, INC.            Registered   12/18/2003
             USAA FINANCIAL ADVISORS, INC.
             9800 FREDERICKSBURG ROAD


             SAN ANTONIO            TX   78288-0227


CRD Number   Broker Dealer:                           Status:
5475         USAA INVESTMENT MANAGEMENT COMPANY       Registered   10/5/1983
             USAA INVESTMENT MANAGEMENT COMPANY
             9800 FREDERICKSBURG RD


             SAN ANTONIO            TX   78288-0227


CRD Number   Broker Dealer:                           Status:
103789       USCA SECURITIES LLC                      Registered   12/8/2010
             USCA SECURITIES LLC
             1330 POST OAK BLVD
             SUITE 900
             HOUSTON                TX   77056


CRD Number   Broker Dealer:                           Status:
43793        USI SECURITIES, INC.                     Registered   4/13/1998
             USI SECURITIES, INC.
             95 GLASTONBURY BLVD.
             SUITE 102
             GLASTONBURY            CT   06033
CRD Number   Broker Dealer:                         Status:
47725        USP SECURITIES CORPORATION             Registered   3/12/2004
             USP SECURITIES CORPORATION
             15305 DALLAS PARKWAY
             SUITE 1600
             ADDISON            TX   75001


CRD Number   Broker Dealer:                         Status:
13787        UVEST FINANCIAL SERVICES GROUP, INC.   Registered   5/27/1994
             UVEST FINANCIAL SERVICES GROUP, INC.
             9785 TOWNE CENTRE DR


             SAN DIEGO          CA   92121-1968


CRD Number   Broker Dealer:                         Status:
42803        VALIC FINANCIAL ADVISORS, INC.         Registered   7/9/1997
             VALIC FINANCIAL ADVISORS, INC.
             P.O. BOX 3206


             HOUSTON            TX   77253-3206


CRD Number   Broker Dealer:                         Status:
7438         VALLEY FORGE ASSET MANAGEMENT CORP.    Registered   12/11/1973
             VALLEY FORGE ASSET MANAGEMENT CORP.
             PO BOX 960


             VALLEY FORGE       PA   19482


CRD Number   Broker Dealer:                         Status:
16715        VALLEY NATIONAL INVESTMENTS, INC.      Registered   2/14/1986
             VALLEY NATIONAL INVESTMENTS, INC.
             1605 VALLEY CENTER PKWY
             STE 160
             BETHLEHEM          PA   18017


CRD Number   Broker Dealer:                         Status:
31243        VALMARK SECURITIES, INC.               Registered   7/29/1997
             VALMARK SECURITIES, INC.
             130 SPRINGSIDE DRIVE
             STE 300
             AKRON              OH   44333-2431


CRD Number   Broker Dealer:                         Status:
6914         VAN CLEMENS & CO. INCORPORATED         Registered   10/9/2002
             VAN CLEMENS & CO. INCORPORATED
             527 MARQUETTE AVE S
             STE 2000
             MINNEAPOLIS        MN   55402
CRD Number   Broker Dealer:                    Status:
2269         VAN ECK SECURITIES CORPORATION    Registered   1/8/1990
             VAN ECK SECURITIES CORPORATION
             335 MADISON AVENUE
             19TH FL
             NEW YORK             NY   10017


CRD Number   Broker Dealer:                    Status:
6939         VAN KAMPEN FUNDS INC.             Registered   4/11/1980
             VAN KAMPEN FUNDS INC.
             11 GREENWAY PLAZA
             SUITE 2500
             HOUSTON              TX   77046


CRD Number   Broker Dealer:                    Status:
5953         VANDERBILT SECURITIES, LLC        Registered   8/6/1974
             VANDERBILT SECURIITES, LLC
             P.O. BOX 868


             MELLVILLE            NY   11747


CRD Number   Broker Dealer:                    Status:
26258        VANDHAM SECURITIES CORP.          Registered   4/7/2010
             VANDHAM SECURITIES CORP.
             50 TICE BOULEVARD


             WOODCLIFF LAKE       NJ   07677


CRD Number   Broker Dealer:                    Status:
22081        VANGUARD CAPITAL                  Registered   8/17/1988
             VANGUARD CAPITAL
             777 S. HIGHWAY 101
             SUITE 204
             SOLANA BEACH         CA   92075


CRD Number   Broker Dealer:                    Status:
7452         VANGUARD MARKETING CORPORATION    Registered   10/22/1986
             VANGUARD MARKETING CORPORATION
             400 DEVON PARK DRIVE
             A-39
             WAYNE                PA   19087


CRD Number   Broker Dealer:                    Status:
156214       VARA SECURITIES, LLC              Registered   10/26/2011
             VARA SECURITIES, LLC
             1375 RED BUTTE DR.


             ASPEN                CO   81611
CRD Number   Broker Dealer:                              Status:
44412        VARIABLE INVESTMENT ADVISORS, INC.          Registered   2/13/2003
             VARIABLE INVESMTENT ADVISORS, INC.
             4305 S. LOUISE AVENUE
             SUITE 101A
             SIOUX FALLS           SD   57106-3115


CRD Number   Broker Dealer:                              Status:
125547       VARIANT TRADING INSTITUTIONAL GROUP, INC.   Registered   2/17/2011
             VARIANT TRADING INSTITUTIONAL GROUP, INC.
             225 N.E. MIZNER BLVD
             STE 730
             BOCA RATON            FL   33432


CRD Number   Broker Dealer:                              Status:
5407         VBC SECURITIES, LLC                         Registered   6/10/1999
             VBC SECURITIES, LLC
             348 CLIFTON AVENUE


             CLIFTON               NJ   07011-2619


CRD Number   Broker Dealer:                              Status:
130748       VCA SECURITIES, LP                          Registered   11/5/2004
             VCA SECURITIES, LP
             2000 MCKINNEY AVE
             6TH FLOOR
             DALLAS                TX   75201


CRD Number   Broker Dealer:                              Status:
149083       VCG SECURITIES, LLC                         Registered   9/17/2009
             VCG SECURITIES, LLC
             407 S.E. 1ST STREET


             DELRAY BEACH          FL   33483


CRD Number   Broker Dealer:                              Status:
32396        VECTORGLOBAL WMG                            Registered   5/8/2008
             VECTORGLOBAL WMG, INC.
             801 BRICKELL AVE
             SUITE 2500
             MIAMI                 FL   33131


CRD Number   Broker Dealer:                              Status:
46895        VERITAS SECURITIES CORP.                    Registered   6/10/1999
             VERITAS SECURITIES CORP.
             40 WALL ST.
             28TH FL, SUITE 2819
             NEW YORK              NY   10006
CRD Number   Broker Dealer:                        Status:
106594       VERITRUST FINANCIAL, LLC              Registered   4/12/2001
             VERITRUST FINANCIAL, LLC
             3755 CAPITAL HIGHWAY SOUTH
             SUITE 130
             AUSTIN              TX   78704


CRD Number   Broker Dealer:                        Status:
41527        VERITY INVESTMENTS, INC.              Registered   4/7/2004
             VERITY INVESTMENTS, INC.
             280 S. MANGUM ST.
             SUITE 550
             DURHAM              NC   27701


CRD Number   Broker Dealer:                        Status:
135167       VERSANT PARTNERS USA, INC.            Registered   11/20/2007
             VERSANT PARTNERS USA, INC.
             1100 BOUL. RENE-LEVESQUE W
             SUITE 1310
             MONTREAL QUEBE           H3B 4N4


CRD Number   Broker Dealer:                        Status:
154697       VERTICAL CAPITAL SECURITIES, LLC      Registered   9/16/2011
             VERTICAL CAPITAL SECURITIES, LLC
             20 PACIFICA
             SUITE 190
             IRVINE              CA   92618


CRD Number   Broker Dealer:                        Status:
15809        VESTOR CAPITAL SECURITIES, LLC        Registered   3/19/1998
             VESTOR CAPITAL SECURITIES, LLC
             10 S. RIVERSIDE PLAZA
             STE1434
             CHICAGO             IL   60606-3840


CRD Number   Broker Dealer:                        Status:
103160       VFIC SECURITIES, INC.                 Registered   1/24/2000
             VFIC SECURITIES, INC.
             1030 OLD VALLEY FORGE ROAD


             KING OF PRUSSIA     PA   19406


CRD Number   Broker Dealer:                        Status:
44962        VFINANCE INVESTMENTS, INC             Registered   9/24/1998
             VFINANCE INVESTMENTS, INC
             1200 N. FEDERAL HIGHWAY
             SUITE 400
             BOCA RATON          FL   33432
CRD Number   Broker Dealer:                           Status:
46948        VIANT CAPITAL LLC                        Registered   7/5/2006
             VIANT CAPITAL LLC
             500 WASHINGTON ST.
             SUITE 325
             SAN FRANCISCO       CA    94111


CRD Number   Broker Dealer:                           Status:
146664       VICTOR SECURITIES, INC.                  Registered   7/23/2008
             VICTOR SECURITIES, INC.
             285 GRAND AVENUE
             BUILDING 3
             ENGLEWOOD           NJ    07631


CRD Number   Broker Dealer:                           Status:
37059        VICTORY CAPITAL ADVISERS, INC.           Registered   3/1/2004
             VICTORY CAPITAL ADVISERS, INC.
             127 PUBLIC SQUARE
             21ST FL
             CLEVELAND           OH    44114-1306


CRD Number   Broker Dealer:                           Status:
147796       VICTORY PARK SECURITIES, LLC             Registered   1/8/2009
             VICTORY PARK SECURITIES, LLC
             227 W. MONROE ST.
             SUITE 3900
             CHICAGO             IL    60606


CRD Number   Broker Dealer:                           Status:
104226       VIEWPOINT SECURITIES, LLC                Registered   9/4/2009
             VIEWPOINT SECURITIES, LLC
             401 WEST A STREET
             STE 325
             SAN DIEGO           CA    92101


CRD Number   Broker Dealer:                           Status:
46987        VIEWTRADE SECURITIES, INC.               Registered   1/5/2000
             VIEWTRADE SECURITIES, INC.
             7280 W. PALMETTO PARK ROAD
             SUITE 105
             BOCA RATON          FL    33433


CRD Number   Broker Dealer:                           Status:
27502        VINING SPARKS                            Registered   5/19/1998
             VINING-SPARKS IBG, LIMITED PARTNERSHIP
             775 RIDGE LAKE BLVD
             STE 200
             MEMPHIS             TN    38120
CRD Number   Broker Dealer:                         Status:
133371       VISCOGLIOSI & COMPANY, LLC             Registered   3/11/2011
             VISCOGLIOSI & COMPANY, LLC
             505 PARK AVENUE
             14TH FLOOR
             NEW YORK             NY   10022


CRD Number   Broker Dealer:                         Status:
142271       VISION FINANCIAL MARKETS LLC           Registered   1/24/2008
             VISION FINANCIAL MARKETS LLC
             4 HIGH RIDGE PARK
             STE 100
             STAMFORD             CT   06905-1325


CRD Number   Broker Dealer:                         Status:
46609        VISION INVESTMENT SERVICES, INC.       Registered   2/6/2001
             VISION INVESTMENT SERVICES, INC.
             6111 NORTH RIVER RD
             8TH FL
             ROSEMONT             IL   60018


CRD Number   Broker Dealer:                         Status:
47927        VISION                                 Registered   11/9/2000
             VISION BROKERAGE SERVICES, LLC
             4 HIGH RIDGE PARK


             STAMFORD             CT   06905


CRD Number   Broker Dealer:                         Status:
151145       VLS SECURITIES LLC                     Registered   6/7/2010
             VLS SECURITIES LLC




CRD Number   Broker Dealer:                         Status:
3036         VP DISTRIBUTORS LLC                    Registered   1/14/1969
             VP DISTRIBUTORS LLC
             100 PEARL STREET
             8TH FL
             HARTFORD             CT   06103


CRD Number   Broker Dealer:                         Status:
14503        VSR FINANCIAL SERVICES, INC.           Registered   3/26/1985
             VSR FINANCIAL SERVICES, INC.
             P.O. BOX 26250


             SHAWNEE MISSION      KS   66225-6250
CRD Number   Broker Dealer:                          Status:
156048       VTB CAPITAL INC.                        Registered   9/27/2011


             405 LEXINGTON AVENUE, 25TH FLOOR
             THE CHRYSLER CENTER
             NEW YORK            NY     10174


CRD Number   Broker Dealer:                          Status:
36700        W R RICE FINANCIAL SERVICES, INC.       Registered   5/9/2011
             W R RICE FINANCIAL SERVICES, INC.
             2222 WEISS


             SAGINAW             MI     48602


CRD Number   Broker Dealer:                          Status:
8099         W&S BROKERAGE SERVICES, INC.            Registered   11/26/1984
             W&S BROKERAGE SERVICES, INC.
             400 BROADWAY
             4TH FL, MS36
             CINCINNATI          OH     45202


CRD Number   Broker Dealer:                          Status:
117789       W. H. COLSON SECURITIES, INC.           Registered   4/12/2002
             W. H. COLSON SECURITIES, INC.
             P.O. BOX 4007


             GREENVILLE          NC     27836-2007


CRD Number   Broker Dealer:                          Status:
23635        W. H. MELL ASSOCIATES, INC.             Registered   10/3/1997
             W. H. MELL ASSOCIATES, INC.
             450 SPRINGFIELD AVENUE
             SUITE 204
             SUMMIT              NJ     07901


CRD Number   Broker Dealer:                          Status:
3140         W. H. REAVES & CO., INC.                Registered   11/22/1989
             W. H. REAVES & CO., INC.
             10 EXCHANGE PLACE


             JERSEY CITY         NJ     07302


CRD Number   Broker Dealer:                          Status:
45040        W.R. HAMBRECHT + CO., LLC               Registered   4/7/1999
             W.R. HAMBRECHT + CO., LLC
             PIER 1, BAY 3


             SAN FRANCISCO       CA     94111
CRD Number   Broker Dealer:                         Status:
866          WADDELL & REED, INC.                   Registered   5/15/1939
             WADDELL & REED, INC.
             POB 29217
             ATTN: TERRY LISTER
             SHAWNEE MISSION      KS   66201-9217


CRD Number   Broker Dealer:                         Status:
5844         WADSWORTH INVESTMENT CO., INC.         Registered   2/4/1994
             WADSWORTH INVESTMENT CO., INC.
             879 CHURCH ST. RT. 68


             WALLINGFORD          CT   06492-2001


CRD Number   Broker Dealer:                         Status:
10012        WALL STREET ACCESS                     Registered   11/19/1982
             WALL STREET ACCESS
             17 BATTERY PLACE
             11TH FL
             NEW YORK             NY   10004


CRD Number   Broker Dealer:                         Status:
23568        WALL STREET ADVISOR SERVICES, LLC      Registered   6/8/2004
             WALL STREET ADVISOR SERVICES, LLC
             17 BATTERY PLACE
             11TH FL
             NEW YORK             NY   10004


CRD Number   Broker Dealer:                         Status:
35830        WALL STREET FINANCIAL GROUP, INC.      Registered   7/15/1996
             WALL STREET FINANCIAL GROUP, INC.
             255 WOODCLIFF DR


             FAIRPORT             NY   14450


CRD Number   Broker Dealer:                         Status:
147853       WALLACHBETH CAPITAL LLC                Registered   12/12/2008
             WALLACHBETH CAPITAL LLC
             100 WALL STREET
             6TH FLOOR
             NEW YORK             NY   10005


CRD Number   Broker Dealer:                         Status:
15840        WALNUT STREET SECURITIES, INC.         Registered   5/22/1985
             WALNUT STREET SECURITIES, INC.
             1095 AVENUE OF THE AMERICAS
             C/O METLIFE SECURITIES, INC.
             NEW YORK             NY   10036
CRD Number   Broker Dealer:                         Status:
129291       WALTER GREENBLATT & ASSOCIATES, LLC    Registered   8/6/2004
             WALTER GREENBLATT & ASSOCIATES, LLC
             430 NASSAU STREET


             PRINCETON           NJ    08540


CRD Number   Broker Dealer:                         Status:
143763       WALTON SECURITIES, INC.                Registered   11/9/2007
             WALTON SECURITIES, INC.
             4800 N SCOTTSDALE RD.
             STE 4000
             SCOTTSDALE          AZ    85251


CRD Number   Broker Dealer:                         Status:
17912        WANG INVESTMENT ASSOCIATES, INC.       Registered   6/20/1995
             WANG INVESTMENT ASSOCIATES, INC.
             50 BROAD STREET
             STE 1288
             NEW YORK            NY    10004


CRD Number   Broker Dealer:                         Status:
46213        WASHINGTON SECURITIES CORPORATION      Registered   12/1/1999
             WASHINGTON SECURITIES CORPORATION
             6935 WISCONSIN AVENUE
             NO. 510
             CHEVY CHASE         MD    20815-6113


CRD Number   Broker Dealer:                         Status:
40054        WAVELAND CAPITAL PARTNERS LLC          Registered   9/18/2003
             WAVELAND CAPITAL PARTNERS LLC
             19800 MACARTHUR BLVD
             STE 650
             IRVINE              CA    92612


CRD Number   Broker Dealer:                         Status:
875          WAYNE HUMMER INVESTMENTS L.L.C.        Registered   4/12/1982
             WAYNE HUMMER INVESTMENTS L.L.C.
             P.O. BOX 750


             CHICAGO             IL    60690-0750


CRD Number   Broker Dealer:                         Status:
118440       WBB SECURITIES, LLC                    Registered   1/18/2002
             WBB SECURITIES, LLC
             16835 WEST BERNARDO DRIVE
             SUITE 120
             SAN DIEGO           CA    92127
CRD Number   Broker Dealer:                                Status:
130139       WEALTH ENHANCEMENT BROKERAGE SERVICES, LLC    Registered   9/3/2004
             WEALTH ENHANCEMENT BROKERAGE SERVICES, LLC.
             505 NORTH HWY 169
             STE 900
             PLYMOUTH            MN   55441


CRD Number   Broker Dealer:                                Status:
153407       WEALTHFRONT BROKERAGE CORPORATION             Registered   10/28/2010
             WEALTHFRONT BROKERAGE CORPORATION
             203 FOREST AVENUE


             PALO ALTO           CA   94301


CRD Number   Broker Dealer:                                Status:
17826        WEALTHSTONE EQUITIES, INC.                    Registered   1/22/2007
             WEALTHSTONE EQUITIES, INC.
             5000 HORIZONS DR.


             COLUMBUS            OH   43220


CRD Number   Broker Dealer:                                Status:
877          WEDBUSH SECURITIES INC.                       Registered   2/20/1987
             WEDBUSH SECURITIES, INC.
             P.O. BOX 30014


             LOS ANGELES         CA   90030-0014


CRD Number   Broker Dealer:                                Status:
21923        WEDGEWOOD PARTNERS, INC.                      Registered   10/13/1989
             WEDGEWOOD PARTNERS, INC.
             9909 CLAYTON ROAD
             STE 103
             ST. LOUIS           MO   63124-5142


CRD Number   Broker Dealer:                                Status:
16835        WEEDEN & CO.L.P.                              Registered   1/4/1994
             WEEDEN & CO.L.P.
             145 MASON STREET


             GREENWICH           CT   06830


CRD Number   Broker Dealer:                                Status:
39166        WEISS CAPITAL SECURITIES, INC.                Registered   6/3/1996
             WEISS CAPITAL SECURITIES, INC.
             15430 ENDEAVOUR DRIVE


             JUPITER             FL   33478
CRD Number   Broker Dealer:                                Status:
130991       WEISS MULTI-STRATEGY FUNDS LLC                Registered   9/11/2007
             WEISS MULTI-STRATEGY FUNDS LLC
             320 PARK AVENUE
             10TH FL
             NEW YORK            NY   10022


CRD Number   Broker Dealer:                                Status:
18488        WELLFLEET INVESTMENTS LLC                     Registered   2/23/1996
             WELLFLEET INVESTMENTS LLC
             PO BOX 222142


             GREAT NECK          NY   11022-2142


CRD Number   Broker Dealer:                                Status:
152768       WELLINGTON MANAGEMENT ADVISERS, INC           Registered   8/31/2010
             WELLINGTON MANAGEMENT ADVISERS, INC
             280 CONGRESS STREET


             BOSTON              MA   02110


CRD Number   Broker Dealer:                                Status:
149021       WELLINGTON SHIELDS & CO., LLC                 Registered   11/24/2009
             WELLINGTON SHIELDS & CO., LLC
             140 BROADWAY
             SUITE 4400
             NEW YORK            NY   10005


CRD Number   Broker Dealer:                                Status:
11025        WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC   Registered   6/13/1986
             WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
             1 NORTH JEFFERSON AVE


             ST. LOUIS           MO   63103


CRD Number   Broker Dealer:                                Status:
19616        WELLS FARGO ADVISORS, LLC                     Registered   6/1/1989
             WELLS FARGO ADVISORS, LLC
             1 NORTH JEFFERSON AVE


             ST. LOUIS           MO   63103


CRD Number   Broker Dealer:                                Status:
133366       WELLS FARGO FUNDS DISTRIBUTOR, LLC            Registered   3/22/2005
             WELLS FARGO FUNDS DISTRIBUTOR, LLC
             525 MARKET STREET
             12TH FLOOR
             SAN FRANCISCO       CA   94105
CRD Number   Broker Dealer:                                 Status:
5958         WELLS FARGO INSTITUTIONAL SECURITIES, LLC      Registered   5/10/2001
             WELLS FARGO INSTITUTIONAL SECURITIES, LLC
             301 S. COLLEGE ST.
             1 WACHOVIA CTR, 8TH FL
             CHARLOTTE            NC   28202


CRD Number   Broker Dealer:                                 Status:
35419        WELLS FARGO INSURANCE SERVICES INVESTMENT AD   Registered   1/26/1994
             WELLS FARGO INSURANCE SERVICES INVESTMENT AD
             301 S. COLLEGE ST., D1053-190
             19TH FL., MC
             CHARLOTTE            NC   28202


CRD Number   Broker Dealer:                                 Status:
126292       WELLS FARGO SECURITIES, LLC                    Registered   6/16/2003
             WELLS FARGO SECURITIES, LLC
             301 S. COLLEGE STREET, MAIL CODE D1053-0
             ONE WELLS FARGO CENTER, 8TH FLOOR
             CHARLOTTE            NC   28202


CRD Number   Broker Dealer:                                 Status:
15252        WELLS INVESTMENT SECURITIES, INC.              Registered   8/24/1994
             WELLS INVESTMENT SECURITIES, INC.
             6200 THE CORNERS PARKWAY
             STE 250
             NORCROSS             GA   30092


CRD Number   Broker Dealer:                                 Status:
104030       WELLS NELSON & ASSOCIATES, L.L.C.              Registered   9/14/2000
             WELLS NELSON & ASSOCIATES, L.L.C.
             TWO LEADERSHIP SQ
             211 N. ROBINSON, STE 1600
             OKLAHOMA CITY        OK   73102


CRD Number   Broker Dealer:                                 Status:
43276        WESBANCO SECURITIES, INC.                      Registered   11/17/1998
             WESBANCO SECURITIES, INC.
             1 BANK PLAZA


             WHEELING             WV   26003


CRD Number   Broker Dealer:                                 Status:
125650       WESCOM FINANCIAL SERVICES                      Registered   7/27/2005
             WESCOM FINANCIAL SERVICES LLC
             123 SOUTH MARENGO AVENUE
             4TH FLOOR
             PASADENA             CA   91101
CRD Number   Broker Dealer:                           Status:
129985       WESTBURY GROUP LLC                       Registered   8/22/2005
             WESTBURY GROUP LLC
             49 CLINTON AVENUE


             WESTPORT             CT   06880


CRD Number   Broker Dealer:                           Status:
39262        WESTERN INTERNATIONAL SECURITIES, INC.   Registered   9/25/1996
             WESTERN INTERNATIONAL SECURITIES, INC.
             70 S LAKE AVE
             STE 700
             PASADENA             CA   91101


CRD Number   Broker Dealer:                           Status:
127112       WESTLAKE SECURITIES                      Registered   10/2/2008
             WESTLAKE SECURITIES, LLC
             2700 VIA FORTUNA
             SUITE 250
             AUSTIN               TX   78746


CRD Number   Broker Dealer:                           Status:
20677        WESTMINSTER FINANCIAL SECURITIES, INC.   Registered   4/1/1996
             WESTMINSTER FINANCIAL SECURITIES, INC.
             865 SOUTH DIXIE DR


             VANDALIA             OH   45377


CRD Number   Broker Dealer:                           Status:
46187        WESTMINSTER INVESTMENT GROUP, INC.       Registered   4/7/1999
             WESTMINSTER INVESTMENT GROUP, INC.
             23 EAST NORTH STREET


             NEW CASTLE           PA   16101


CRD Number   Broker Dealer:                           Status:
117946       WESTON FINANCIAL SERVICES LLC            Registered   9/9/2002
             WESTON FINANCIAL SERVICES LLC
             767 THIRD AVE
             25TH FLOOR
             NEW YORK             NY   10017


CRD Number   Broker Dealer:                           Status:
15743        WESTON SECURITIES CORPORATION            Registered   12/5/1988
             WESTON SECURITIES CORPORATION
             100 WILLIAM STREET
             SUITE 200
             WELLESLEY            MA   02481
CRD Number   Broker Dealer:                                 Status:
103823       WESTOR CAPITAL GROUP, INC.                     Registered   4/17/2009
             WESTOR CAPITAL GROUP, INC.
             1039 ROBINSON ROAD


             MAHAWK                NY   13407


CRD Number   Broker Dealer:                                 Status:
39914        WESTPARK CAPITAL, INC.                         Registered   9/15/2000
             WESTPARK CAPITAL, INC.
             1900 AVENUE OF THE STARS
             STE 310
             LOS ANGELES           CA   90067


CRD Number   Broker Dealer:                                 Status:
41562        WESTPORT CAPITAL MARKETS, LLC                  Registered   12/11/2008
             WESTPORT CAPITAL MARKETS, LLC
             257 RIVERSIDE AVENUE


             WESTPORT              CT   06880


CRD Number   Broker Dealer:                                 Status:
38449        WESTPORT FINANCIAL SERVICES, L.L.C.            Registered   5/18/1995
             WESTPORT FINANCIAL SERVICES, L.L.C.
             101 MERRITT 7
             CORP PARK, 5TH FL
             NORWALK               CT   06851


CRD Number   Broker Dealer:                                 Status:
24535        WESTPORT RESOURCES INVESTMENT SERVICES, INC.   Registered   4/29/1993
             WESTPORT RESOURCES INVESTMENT SERVICES, INC.
             PO BOX 3089


             WESTPORT              CT   06880


CRD Number   Broker Dealer:                                 Status:
22704        WFG INVESTMENTS, INC.                          Registered   6/20/1995
             WFG INVESTMENTS, INC.
             2711 N HASKELL AVE.
             SUITE 2900
             DALLAS                TX   75204


CRD Number   Broker Dealer:                                 Status:
116778       WFS, LLC                                       Registered   1/24/2003
             WFS, LLC
             ONE BOSTON PLACE
             41ST FL
             BOSTON                MA   02108
CRD Number   Broker Dealer:                      Status:
149075       WHEELHOUSE SECURITIES CORPORATION   Registered   7/1/2009
             WHEELHOUSE SECURITIES CORPORATION
             8230 FORSYTH BLVD.
             SUITE 210
             ST. LOUIS            MO   63105


CRD Number   Broker Dealer:                      Status:
121465       WHITAKER SECURITIES LLC             Registered   3/13/2006
             WHITAKER SECURITIES LLC
             233 BROADWAY
             17TH FLOOR
             NEW YORK             NY   10279


CRD Number   Broker Dealer:                      Status:
104123       WHITE MOUNTAIN CAPITAL, LLC         Registered   12/8/2000
             WHITE MOUNTAIN CAPITAL, LLC
             352 7TH AVE
             17TH FL PH
             NEW YORK             NY   10001


CRD Number   Broker Dealer:                      Status:
42505        WHITE PACIFIC SECURITIES, INC.      Registered   4/9/1999
             WHITE PACIFIC SECURITIES, INC.
             100 PINE STREET
             SUITE 500
             SAN FRANCISCO        CA   94111


CRD Number   Broker Dealer:                      Status:
2509         WHITEWOOD GROUP, INC                Registered   8/5/2011
             WHITEWOOD GROUP, INC
             135 MAXESS ROAD
             SUITE 100
             MELVILLE             NY   11747


CRD Number   Broker Dealer:                      Status:
11826        WHOTRADES, INC.                     Registered   8/17/2011
             WHOTRADES, INC.
             1370 BROADWAY
             5TH FL, STE 512
             NEW YORK             NY   10018


CRD Number   Broker Dealer:                      Status:
17510        WIC CORP.                           Registered   9/18/1995
             WIC CORP.
             100 N 6TH STREET
             STE 620B
             MINNEAPOLIS          MN   55403
CRD Number   Broker Dealer:                         Status:
40673        WILBANKS SECURITIES, INC.              Registered   10/30/2001
             WILBANKS SECURITIES, INC.
             4334 NORTHWEST EXPRESSWAY
             SUITE 222
             OKLAHOMA CITY        OK   73116


CRD Number   Broker Dealer:                         Status:
41082        WILDWOOD CAPITAL SECURITIES, INC.      Registered   8/29/1996
             WILDWOOD CAPITAL SECURITIES, INC.
             373 E MAIN ST
             STE 100
             COLLEGEVILLE         PA   19426


CRD Number   Broker Dealer:                         Status:
3767         WILEY BROS.-AINTREE CAPITAL, LLC       Registered   4/12/1994
             WILEY BROS.-AINTREE CAPITAL, LLC
             40 BURTON HILLS BLVD.
             SUITE 350
             NASHVILLE            TN   37215


CRD Number   Broker Dealer:                         Status:
1252         WILLIAM BLAIR & COMPANY L.L.C.         Registered   4/1/1965
             WILLIAM BLAIR & COMPANY L.L.C.
             222 WEST ADAMS ST.


             CHICAGO              IL   60606-5312


CRD Number   Broker Dealer:                         Status:
43678        WILLIAMS TRADING LLC                   Registered   6/30/2006
             WILLIAMS TRADING LLC
             860 CANAL STREET
             3RD FLOOR
             STAMFORD             CT   06902


CRD Number   Broker Dealer:                         Status:
116605       WILLIS SECURITIES, INC.                Registered   3/25/2002
             WILLIS SECURITIES, INC.
             ONE WORLD FIN CTR
             200 LIBERTY ST, 3RD FL
             NEW YORK             NY   10281


CRD Number   Broker Dealer:                         Status:
133839       WILMINGTON CAPITAL SECURITIES, LLC     Registered   6/13/2005
             WILMINGTON CAPITAL SECURITIES, LLC
             600 OLD COUNTRY ROAD
             STE 200
             GARDEN CITY          NY   11530
CRD Number   Broker Dealer:                          Status:
3777         WILSON-DAVIS & CO., INC.                Registered   10/23/1985
             WILSON-DAVIS & CO., INC.
             P.O. BOX 11587


             SALT LAKE CITY       UT    84147-0587


CRD Number   Broker Dealer:                          Status:
37068        WINDSOR, SHEFFIELD & CO., INC.          Registered   3/15/1996
             WINDOSR, SHEFFIELD & CO., INC.
             489 DEVON PARK DR.
             SUITE 316
             WAYNE                PA    19087


CRD Number   Broker Dealer:                          Status:
29686        WINSLOW, EVANS & CROCKER, INC.          Registered   8/2/1994
             WINSLOW, EVANS & CROCKER, INC.
             175 FEDERAL ST


             BOSTON               MA    02110


CRD Number   Broker Dealer:                          Status:
156960       WINTERFLOOD SECURITIES INCORPORATED     Registered   11/15/2011
             WINTERFLOOD SECURITIES INCORPORATED
             61 BROADWAY
             13TH FLOOR
             NEW YORK             NY    10006


CRD Number   Broker Dealer:                          Status:
37334        WJB CAPITAL GROUP, INC.                 Registered   9/6/2002
             WJB CAPITAL GROUP, INC.
             909 THIRD AVENUE
             9TH FL
             NEW YORK             NY    10022


CRD Number   Broker Dealer:                          Status:
30777        WM SMITH & CO.                          Registered   1/25/1996
             WM SMITH & CO.
             1700 LINCOLN ST
             STE 2545
             DENVER               CO    80203


CRD Number   Broker Dealer:                          Status:
27274        WM. H. MURPHY & CO., INC.               Registered   8/29/2006
             WM. H. MURPHY & CO., INC.
             770 SOUTH POST OAK LANE
             SUITE 690
             HOUSTON              TX    77056
CRD Number   Broker Dealer:                        Status:
36174        WNC CAPITAL CORPORATION               Registered   3/15/1995
             WNC CAPITAL CORPORATION
             17782 SKYPARK CIRCLE


             IRVINE             CA    92614-6404


CRD Number   Broker Dealer:                        Status:
421          WOODBURY FINANCIAL SERVICES, INC.     Registered   5/13/1969
             WOODBURY FINANCIAL SERVICES, INC.
             POB 64284


             ST. PAUL           MN    55164-0284


CRD Number   Broker Dealer:                        Status:
22373        WOODLANDS SECURITIES CORPORATION      Registered   9/18/2000
             WOODLANDS SECURITIES CORPORATION
             10077 GROGANS MILL RD.
             #130
             THE WOODLANDS      TX    77380


CRD Number   Broker Dealer:                        Status:
117365       WOODMEN FINANCIAL SERVICES, INC.      Registered   6/17/2002
             WOODMEN FINANCIAL SERVICES, INC.
             1700 FARNAM STREET


             OMAHA              NE    68102


CRD Number   Broker Dealer:                        Status:
38095        WOODSTOCK FINANCIAL GROUP, INC.       Registered   6/19/1996
             WOODSTOCK FINANCIAL GROUP, INC.
             117 TOWNE LAKE PARKWAY
             STE 200
             WOODSTOCK          GA    30188


CRD Number   Broker Dealer:                        Status:
148366       WORDEN CAPITAL MANAGEMENT LLC         Registered   3/23/2009
             WORDEN CAPITAL MANAGEMENT LLC
             1981 MARCUS AVE.
             SUITE 240
             LAKE SUCCESS       NY    11042


CRD Number   Broker Dealer:                        Status:
37           WORLD CAPITAL BROKERAGE, INC.         Registered   8/31/1979
             WORLD CAPITAL BROKERAGE, INC.
             1917 MARKET STREET


             DENVER             CO    80202-5202
CRD Number   Broker Dealer:                                 Status:
30933        WORLD CHOICE SECURITIES, INC.                  Registered   2/24/2003
             WORLD CHOICE SECURITIES, INC.
             1420 BROWN TRAIL


             BEDFORD              TX   76022


CRD Number   Broker Dealer:                                 Status:
29087        WORLD EQUITY GROUP, INC.                       Registered   7/29/1992
             WORLD EQUITY GROUP, INC.
             1650 N. ARLINGTON HTS RD
             STE 100
             ARLINGTON HTS        IL   60004-3984


CRD Number   Broker Dealer:                                 Status:
114473       WORLD GROUP SECURITIES, INC.                   Registered   2/26/2002
             WORLD GROUP SECURITIES, INC.
             11315 JOHNS CREEK PARKWAY


             DULUTH               GA   30097-1517


CRD Number   Broker Dealer:                                 Status:
42638        WORLD TRADE FINANCIAL CORPORATION              Registered   3/13/1998
             WORLD TRADE FINANCIAL CORPORATION
             2010 HANCOCK ST
             2ND FL
             SAN DIEGO            CA   92110


CRD Number   Broker Dealer:                                 Status:
13478        WORTH FINANCIAL GROUP INC.                     Registered   8/21/2008
             WORTH FINANCIAL GROUP INC.
             16660 DALLAS PKWY
             STE 1600
             DALLAS               TX   75248


CRD Number   Broker Dealer:                                 Status:
151850       WR SECURITIES, LLC                             Registered   6/17/2010
             WR SECURITIES, LLC
             420 LEXINGTON AVE
             STE 648
             NEW YORK             NY   10170-0699


CRD Number   Broker Dealer:                                 Status:
13645        WRIGHT INVESTORS' SERVICE DISTRIBUTORS, INC.   Registered   10/29/1990
             WRIGHT INVESTORS' SERVICE DISTRIBUTORS, INC.
             440 WHEELERS FARMS RD


             MILFORD              CT   06461
CRD Number   Broker Dealer:                   Status:
7365         WRP INVESTMENTS, INC.            Registered   5/20/1977
             WRP INVESTMENTS, INC.
             4407 BELMONT AVE


             YOUNGSTOWN          OH   44505


CRD Number   Broker Dealer:                   Status:
145544       WSA FIXED INCOME, LLC            Registered   11/12/2009
             WSA FIXED INCOME, LLC
             17 BATTERY PL
             11TH FL
             NEW YORK            NY   10004


CRD Number   Broker Dealer:                   Status:
2543         WUNDERLICH SECURITIES, INC.      Registered   1/22/1997
             WUNDERLICH SECURITIES, INC.
             6000 POPLAR AVE
             STE 150
             MEMPHIS             TN   38119


CRD Number   Broker Dealer:                   Status:
103811       WYNSTON HILL CAPITAL, LLC        Registered   2/22/2005
             WYNSTON HILL CAPITAL, LLC
             488 MADISON AVE


             NEW YORK            NY   10022


CRD Number   Broker Dealer:                   Status:
151143       XPERT SECURITIES, INC.           Registered   1/12/2011
             XPERT SECURITIES, INC.
             1825 S. GRANT STREET
             STE 400
             SAN MATEO           CA   94402


CRD Number   Broker Dealer:                   Status:
135041       YIELDQUEST SECURITIES, LLC       Registered   8/30/2005
             YIELDQUEST SECURITIES, LLC
             3280 PEACHTREE RD
             STE 2600
             ATLANTA             GA   30305


CRD Number   Broker Dealer:                   Status:
8056         YORK SECURITIES, INC.            Registered   3/14/1988
             YORK SECURITIES, INC.
             160 BROADWAY


             NEW YORK            NY   10038
CRD Number   Broker Dealer:                                         Status:
40702        YOUNG & PARTNERS LLC                                   Registered   7/2/1996
             YOUNG & PARTNERS LLC
             230 PARK AVE
             STE 1145
             NEW YORK             NY   10169


CRD Number   Broker Dealer:                                         Status:
7874         ZACKS & COMPANY                                        Registered   7/28/1997
             ZACKS & COMPANY
             111 N CANAL ST
             STE 1101
             CHICAGO              IL   60606


CRD Number   Broker Dealer:                                         Status:
135398       ZECCO TRADING, INC.                                    Registered   7/11/2005
             ZECCO TRADING, INC.
             500 N. BRAND AVE
             SUITE 1700
             GLENDALE             CA   91203


CRD Number   Broker Dealer:                                         Status:
145187       ZELMAN PARTNERS, LLC                                   Registered   4/3/2008
             ZELMAN PARTNERS, LLC
             25101 CHAGRIN BLVD
             STE 200
             BEACHWOOD            OH   44122


CRD Number   Broker Dealer:                                         Status:
17776        ZIONS DIRECT, INC.                                     Registered   9/7/1995
             ZIONS DIRECT, INC.
             1 S MAIN ST
             17TH FL
             SALT LAKE CITY       UT   84133


CRD Number   Broker Dealer:                                         Status:
4316         ZIV INVESTMENT COMPANY                                 Registered   3/12/2002
             ZIV INVESTMENT COMPANY
             141 W JACKSON BLVD
             STE 2095
             CHICAGO              IL   60604-2983

                                            Total Broker-Dealers:                            2287

				
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