Firms We Regulate - C

C. A. BOTZUM & CO.
18321 HILLCREST AVE, VILLA PARK, CA 92861
Mailing Address: 18321 HILLCREST AVE, VILLA PARK, CA 92861

C. L. KING & ASSOCIATES, INC.
NINE ELK STREET, ALBANY, NY 12207

C. R. DAVIS & COMPANY
939 CLOCKTOWER DRIVE, SUITE A, SPRINGFIELD, IL 62704-1303

CABIN SECURITIES, INC.
6240 W 135TH STREET, SUITE 214, OVERLAND PARK, KS 66223

CABOT LODGE SECURITIES LLC
200 VESEY STREET, 24TH FLOOR, NEW YORK, NY 10281

CABRERA CAPITAL MARKETS, LLC
10 SOUTH LA SALLE STREET, SUITE 1050, CHICAGO, IL 60603

CABRILLO BROKER, L.L.C
128 S. OAKHURST DR, UNIT 4, BEVERLY HILLS, CA 90212
Mailing Address: 8895 TOWNE CENTRE DR.,, SUITE 105-619, SAN DIEGO, CA 92122

CADARET, GRANT & CO., INC.
ONE LINCOLN CENTER, 110 W. FAYETTE ST. 5TH FLOOR, SYRACUSE, NY 13202
Mailing Address: 200 VALLEY ROAD-SUITE 106, MT. ARLINGTON, NJ 07856

CADENA SECURITIES SERVICES, LLC.
636 7TH AVENUE NORTH, SAINT PETERSBURG, FL 33701

CADIA CAPITAL ADVISORS, LLC
2ND FLOOR, EMBASSY HOUSE, BALLSBRIDGE, DUBLIN 4,  IRELAND
Mailing Address: 2ND FLOOR, EMBASSY HOUSE, BALLSBRIDGE, DUBLIN 4, D04 H6Y0 IRELAND

CAHN CAPITAL CORP.
820 SECOND AVENUE, 13C, NEW YORK, NY 10017

CAIS CAPITAL LLC
598 MADISON AVENUE, 11TH FLOOR, NEW YORK, NY 10022

CALAMAR FINANCIAL GROUP, LLC
3949 FOREST PARKWAY, SUITE 300, WHEATFIELD, NY 14120

CALAMOS FINANCIAL SERVICES LLC
2020 CALAMOS COURT, NAPERVILLE, IL 60563-2787

CALDWELL SUTTER CAPITAL, INC.
30 LIBERTY SHIP WAY #3225, SAUSALITO, CA 94965-3324
Mailing Address: PO BOX 190, SAUSALITO, CA 94966-0190

CALIBRE GROUP SECURITIES, LLC
707 GRANT STREET, SUITE 2320, PITTSBURGH, PA 15219

CALLAHAN FINANCIAL SERVICES, INC.
1001 CONNECTICUT AVE. NW, SUITE 1001, WASHINGTON, DC 20036

CALLAWAY FINANCIAL SERVICES, INC.
3700 BUFFALO SPEEDWAY, SUITE 950, HOUSTON, TX 77098
Mailing Address: PO BOX 27520, HOUSTON, TX 77227

CALTON & ASSOCIATES, INC.
2701 N ROCKY POINT DRIVE, SUITE 1000, TAMPA, FL 33607

CAMBRIA CAPITAL, LLC
488 E. WINCHESTER ST, SUITE 200, SALT LAKE CITY, UT 84107

CAMBRIDGE INTERNATIONAL PARTNERS LLC
780 THIRD AVENUE - 7TH FLOOR, NEW YORK, NY 10017-2024

CAMBRIDGE INTERNATIONAL SECURITIES, LLC
518 RIVERSIDE AVENUE, WESTPORT, CT 06880

CAMBRIDGE INVESTMENT RESEARCH, INC.
1776 PLEASANT PLAIN RD., FAIRFIELD, IA 52556-8757

CAMDEN FINANCIAL SERVICES
515 N. CABRILLO PARK, SUITE 305, SANTA ANA, CA 92701

CAMMACK LARHETTE BROKERAGE, INC.
100 WILLIAM STREET, SUITE 215, WELLESLEY, MA 02481

CAMPBELL FINANCIAL SERVICES, LLC
2850 QUARRY LAKE DRIVE, BALTIMORE, MD 21209

CAMPBELL LUTYENS & CO. INC.
630 FIFTH AVE., 25TH FLOOR, NEW YORK, NY 10111

CAMPFIRE CAPITAL
81 CAMPFIRE RD, CHAPPAQUA, NY 10514

CANACCORD GENUITY INC.
535 MADISON AVENUE, NEW YORK, NY 10022
Mailing Address: 99 HIGH STREET, BOSTON, MA 02110

CANACCORD GENUITY WEALTH MANAGEMENT (USA) INC.
609 GRANVILLE ST., SUITE 2200, VANCOUVER, V7Y 1H2 CANADA
Mailing Address: PMB 2300, 250 H STREET, BLAINE, WA 98230-4018

CANAM INVESTOR SERVICES, LLC
88 PINE STREET, 20TH FLOOR, NEW YORK, NY 10005-1801

CANDLEWOOD SECURITIES, LLC
600 SUPERIOR AVE. E, SUITE 1800, CLEVELAND, OH 44114
Mailing Address: 600 SUPERIOR AVENUE E. SUITE 1800, CLEVELAND, OH 44114

CANNON SECURITIES, INC.
649 SOUTH MILLEDGE AVE., SUITE 6, ATHENS, GA 30605
Mailing Address: 649 SOUTH MILLEDGE AVE, SUITE 6, ATHENS, GA 30605

CANTELLA & CO., INC.
28 STATE STREET, 40TH FLOOR, BOSTON, MA 02109

CANTONE RESEARCH INC.
766 SHREWSBURY AVENUE, SUITE E- 401, TINTON FALLS, NJ 07724
Mailing Address: 766 SHREWSBURY AVENUE, TINTON FALLS, NJ 07724

CANTOR FITZGERALD & CO.
110 EAST 59TH STREET, 4TH FLOOR, NEW YORK, NY 10022

CAPE SECURITIES INC.
1600 PENNSYLVANIA AVENUE, MCDONOUGH, GA 30253

CAPFI PARTNERS LLC
1750 TYSONS BLVD., SUITE 1500, MCLEAN, VA 22102

CAPFINANCIAL SECURITIES, LLC.
4208 SIX FORKS ROAD, SUITE 1700, RALEIGH, NC 27609

CAPITAL & ESTATE MANAGEMENT, INC.
7143 MARINER BLVD., SPRING HILL, FL 34609

CAPITAL BROKERAGE CORPORATION
6620 WEST BROAD STREET, BUILDING 2, RICHMOND, VA 23230

CAPITAL CITY SECURITIES, LLC
1335 DUBLIN RD., SUITE 122-D, COLUMBUS, OH 43215

CAPITAL DIRECTIONS, INC.
8038 ANNE COURT, ORLAND PARK, IL 60462

CAPITAL DYNAMICS BROKER DEALER LLC
10 EAST 53RD STREET, 17TH FLOOR, NEW YORK, NY 10022

CAPITAL FINANCIAL SERVICES, INC.
1821 BURDICK EXPRESSWAY W, MINOT, ND 58701

CAPITAL GROWTH ADVISORS LLC
60 E. 42ND STREET, SUITE 5310, NEW YORK, NY 10165

CAPITAL HILL GROUP, INC.
5 TUDOR CITY PLACE, APT. 1315, NEW YORK, NY 10017

CAPITAL INSTITUTIONAL SERVICES, INC.
1700 PACIFIC AVE., SUITE 1100, DALLAS, TX 75201

CAPITAL INVESTMENT BROKERAGE, INC.
100 E. SIX FORKS ROAD, STE 200, RALEIGH, NC 27609
Mailing Address: P.O. BOX 32249, RALEIGH, NC 27622

CAPITAL INVESTMENT GROUP, INC.
100 E. SIX FORKS ROAD, STE 200, RALEIGH, NC 27609
Mailing Address: P.O. BOX 32249, RALEIGH, NC 27622

CAPITAL MANAGEMENT OF THE CAROLINAS, LLC
1520 SOUTH BOULEVARD, SUITE 230, CHARLOTTE, NC 28203

CAPITAL MANAGEMENT PARTNERS, INC.
1100 NORTH FOURTH STREET, SUITE 141, FAIRFIELD, IA 52556

CAPITAL MANAGEMENT SECURITIES, INC.
7900 XERXES AVE S. #500, MINNEAPOLIS, MN 55431-1120
Mailing Address: 7900 XERXES AVENUE S #500, MINNEAPOLIS, MN 55431-1120

CAPITAL ONE INVESTING, LLC
1750 TYSONS BLVD., 12TH FLOOR, MCLEAN, VA 22102
Mailing Address: 7933 PRESTON ROAD, PLANO, TX 75024

CAPITAL ONE SECURITIES, INC.
201 ST. CHARLES AVENUE, SUITE 1830, NEW ORLEANS, LA 70170

CAPITAL PORTFOLIO MANAGEMENT, INC.
9515 DEERECO ROAD, SUITE 1010, TIMONIUM, MD 21093

CAPITAL RESEARCH BROKERAGE SERVICES, LLC
15 S. RAYMOND AVENUE, SUITE 200, PASADENA, CA 91105

CAPITAL SUISSE LLC
1325 FOURTH AVENUE, SUITE 1500, SEATTLE, WA 98101

CAPITAL SYNERGY PARTNERS
4400 MACARTHUR BLVD., SUITE 850, NEWPORT BEACH, CA 92660

CAPITALVALUE ADVISORS, LLC
101 UNIVERSITY BOULEVARD, SUITE 400, DENVER, CO 80206

CAPITOL SECURITIES MANAGEMENT, INC.
100 CONCOURSE BLVD, SUITE 101, GLEN ALLEN, VA 23059

CAPLINK SECURITIES, INC
200 PIER AVENUE, SUITE 123, HERMOSA BEACH, CA 90254

CAPRO CAPITAL
2300 WEST SAHARA AVENUE, SUITE 140, LAS VEGAS, NV 89102

CAPSTONE CAPITAL MARKETS LLC
176 FEDERAL STREET, 3RD FLOOR, BOSTON, MA 02110

CAPULENT LLC
4144 N 44TH STREET, STE 3, PHOENIX, AZ 85018

CAPWEALTH INVESTMENT SERVICES, LLC
3000 MERIDIAN BLVD, SUITE 250, FRANKLIN, TN 37067

CARDINAL INVESTMENTS, INC.
1600 NORTH BELT WEST, BELLEVILLE, IL 62226-5923

CARILLON FUND DISTRIBUTORS, INC.
880 CARILLON PARKWAY, ST. PETERSBURG, FL 33716

CARL M. HENNIG, INC.
206 NORTH MAIN STREET, OSHKOSH, WI 54901
Mailing Address: P O BOX 1069, OSHKOSH, WI 54903-1069

CARL MARKS SECURITIES LLC
900 THIRD AVENUE, 33RD FLOOR, NEW YORK, NY 10022
Mailing Address: 900 THIRD AVENUE, 33RD FLOOR, NEW YORK, NY 10022

CARLETON MCKENNA ADVISORS, LLC
1801 EAST 9TH ST. SUITE 1425, CLEVELAND, OH 44114-3199

CARNEGIE, INC.
20 WEST 55TH STREET, NEW YORK, NY 10019-5373

CARNES CAPITAL CORPORATION
8889 PELICAN BAY BOULEVARD, SUITE 500, NAPLES, FL 34108-7512

CAROLINA FINANCIAL SECURITIES, LLC
100 ELKS CLUB RD., BREVARD, NC 28712
Mailing Address: PO BOX 1076, BREVARD, NC 28712

CAROLINA SECURITIES, INC.
8400 HARBISON WAY, RALEIGH, NC 27615
Mailing Address: 8400 HARBISON WAY, 124701, RALEIGH, NC 27615

CAROLINAS INVESTMENT CONSULTING LLC
5605 CARNEGIE BOULEVARD - SUITE 400, CHARLOTTE, NC 28209

CARR, RIGGS & INGRAM CAPITAL ADVISORS, L.L.C.
7035 HALCYON PARK DRIVE, MONTGOMERY, AL 36117

CARREDEN GROUP, INC.
1100 MORAGA WAY, SUITE 209, MORAGA, CA 94556

CARTA SECURITIES, LLC
600 HARRISON STREET, SUITE 120, SAN FRANCISCO, CA 94107

CARTER CAPITAL CORPORATION
99 HARBOR ROAD, THE TIDE MILL BUILDING, SOUTHPORT, CT 06890

CARTER, TERRY & COMPANY, INC.
3060 PEACHTREE ROAD SUITE 1200, ATLANTA, GA 30305

CARTY & COMPANY, INC.
6263 POPLAR AVENUE, SUITE 800, MEMPHIS, TN 38119
Mailing Address: P.O. BOX 17527, MEMPHIS, TN 38187-0527

CARVER CROSS SECURITIES CORP.
152 PONDFIELD ROAD, BRONXVILLE, NY 10708
Mailing Address: P.O. BOX 223, BRONXVILLE, NY 10708

CARY STREET PARTNERS
901 EAST BYRD STREET, SUITE 1001, RICHMOND, VA 23219
Mailing Address: 901 EAST BYRD STREET, RICHMOND, VA 23219

CASCADE FINANCIAL MANAGEMENT, INC.
950 17TH STREET, SUITE 950, DENVER, CO 80202

CASCADE INVESTMENT GROUP, INC.
90 S. CASCADE AVENUE, SUITE 1250, COLORADO SPRINGS, CO 80903

CASCADE PARTNERS BD, LLC
29100 NORTHWESTERN HWY., SUITE 405, SOUTHFIELD, MI 48034-1081

CASCADIA CAPITAL, LLC
1000 2ND AVENUE, SUITE 1200, SEATTLE, WA 98104

CASGRAIN & COMPANY (USA) LIMITED
1200 MCGILL COLLEGE AVENUE, 21ST FLOOR, MONTREAL QUEBEC, H3B 4G7 CANADA
Mailing Address: 1200 MCGILL COLLEGE AVENUE, 21ST FLOOR, MONTREAL, QUEBEC, H3B 4G7 CANADA

CASIMIR CAPITAL L.P.
15 VALLEY DRIVE, GREENWICH, CT 06831

CASSEL SALPETER & CO., LLC
801 BRICKELL AVENUE, SUITE 1900, MIAMI, FL 33131

CASTLE HILL CAPITAL PARTNERS, INC.
216 EAST 45TH STREET, 16TH FLOOR, NEW YORK, NY 10017

CASTLE PLACEMENT, LLC
1460 BROADWAY, NEW YORK, NY 10036

CASTLEOAK SECURITIES, LP
110 EAST 59TH STREET, 2ND FLOOR, NEW YORK, NY 10022

CATALYTIC CAPITAL, LLC
25 BEVERLY ROAD, PURCHASE, NY 10577

CATAPULT ADVISORS LLC
135 MAIN STREET, SUITE 1300, SAN FRANCISCO, CA 94105

CATHAY SECURITIES, INC.
185 CANAL ST, SUITE 303, NEW YORK, NY 10013

CAVANAL HILL DISTRIBUTORS, INC,
ONE WILLIAMS CENTER, 15TH FLOOR, TULSA, OK 74172

CAVU SECURITIES LLC
800 THIRD AVENUE 10TH FLOOR, NEW YORK, NY 10022

CAYMUS SECURITIES LLC
2727 PACES FERRY RD SE, BUILDING 1, SUITE 1650, ATLANTA, GA 30339

CBIS FINANCIAL SERVICES, INC.
20 NORTH WACKER DRIVE, SUITE 2000, CHICAGO, IL 60606-3002

CBIZ FINANCIAL SOLUTIONS, INC.
6050 OAK TREE BLVD, SUITE 500, CLEVELAND, OH 44131

CBOE TRADING, INC.
8050 MARSHALL DRIVE, SUITE 120, LENEXA, KS 66214

CBRE CAPITAL ADVISORS, INC.
2100 MCKINNEY AVENUE, SUITE 900, DALLAS, TX 75201

CC SECURITIES, LLC
1540 BROADWAY, 10TH FLOOR, NEW YORK, NY 10036
Mailing Address: 1540 BROADWAY, 10TH FLOOR, NEW YORK, NY 10036

CCA CAPITAL LLC
ONE BOSTON PLACE, 201 WASHINGTON ST., SUITE 3825, BOSTON, MA 02108

CCB INTERNATIONAL OVERSEAS (USA) INC.
1095 AVENUE OF THE AMERICAS, NEW YORK, NY 10036

CCG SECURITIES, LLC
120 EAST DE LA GUERRA STREET, SANTA BARBARA, CA 93101

CCM SECURITIES, LLC
440 S. LASALLE STREET, SUITE 900, CHICAGO, IL 60605

CCO CAPITAL, LLC
2325 E. CAMELBACK RD., 10TH FLOOR, PHOENIX, AZ 85016
Mailing Address: 2325 E. CAMELBACK RD.,, 10TH FLOOR, PHOENIX, AZ 85016

CCS TRANSACTIONS, LLC
33 SOUTH SIXTH STREET, SUITE 4750, MINNEAPOLIS, MN 55402

CDK FINANCIAL SERVICES, LLC
135 EAST 57TH STREET, 11TH FLOOR, NEW YORK, NY 10022

CE CAPITAL ADVISORS, INC.
293 BOSTON POST RD., WEST, SUITE 500, MARLBOROUGH, MA 01752

CEA ATLANTIC ADVISORS, LLC
101 EAST KENNEDY BOULEVARD; SUITE 3300, TAMPA, FL 33602

CEDAR CREST ADVISORS, LLC
9017 S RIVERSIDE DRIVE, SUITE 210, SANDY, UT 84070

CEDAR POINT CAPITAL, LLC
4600 WEST 77TH STREET, SUITE 375, EDINA, MN 55435

CEDARBRIDGE SECURITIES, LLC
1985 CEDAR BRIDGE AVENUE, SUITE 1, LAKEWOOD, NJ 08701

CELADON FINANCIAL GROUP LLC
19 CENTER STREET, CHATHAM, NJ 07928-2599

CENTAURUS FINANCIAL, INC.
2300 E. KATELLA AVENUE, SUITE #200, ANAHEIM, CA 92806

CENTENIUM ADVISORS, LLC
420 LEXINGTON AVENUE, SUITE 2216, NEW YORK, NY 10170

CENTENNIAL SECURITIES COMPANY, INC.
3075 CHARLEVOIX DRIVE SE, GRAND RAPIDS, MI 49546

CENTER STREET SECURITIES, INC.
2740 OLD ELM HILL PIKE, SUITE 201, NASHVILLE, TN 37214

CENTERBOARD SECURITIES, LLC
6034 WEST COURTYARD DRIVE, SUITE 288, AUSTIN, TX 78730

CENTERPOINT M&A ADVISORS, INC.
21550 OXNARD STREET, SUITE 960, WOODLAND HILLS, CA 91367

CENTERVIEW PARTNERS LLC
31 WEST 52ND STREET, 22ND FLOOR, NEW YORK, NY 10019

CENTRAL FIXED INCOME SERVICES, LLC
1724 ENCLAVE GREEN COVE, GERMANTOWN, TN 38139

CENTRAL SECURITIES, LLC
9090 DEADMAN HILL ROAD, CASHMERE, WA 98815

CENTRAL STATES CAPITAL MARKETS, LLC
4200 W 83RD STREET, SUITE 101, PRAIRIE VILLAGE, KS 66208

CENTURY SECURITIES ASSOCIATES, INC.
ONE FINANCIAL PLAZA 501 NORTH BROADWAY, ST. LOUIS, MO 63102

CERES SECURITIES, LLC
1251 N. EDDY STREET, SUITE 200, SOUTH BEND, IN 46617
Mailing Address: 18 SHIP YARD DRIVE, HINGHAM, MA 02043

CEROS FINANCIAL SERVICES, INC.
1445 RESEARCH BOULEVARD, SUITE 530, ROCKVILLE, MD 20850

CERTIGROUP, INC
8302 GULF OF MEXICO BLVD, MARATHON, FL 33050
Mailing Address: 8302 GULF OF MEXICO BLVD., MARATHON, FL 33050

CETERA ADVISOR NETWORKS LLC
200 N. SEPULVEDA BLVD., SUITE 1300, EL SEGUNDO, CA 90245-5672

CETERA ADVISORS LLC
4600 SOUTH SYRACUSE STREET, SUITE 600, DENVER, CO 80237

CETERA FINANCIAL SPECIALISTS LLC
200 NORTH MARTINGALE ROAD, SEVENTH FLOOR, SCHAUMBURG, IL 60173

CETERA INVESTMENT SERVICES LLC
400 FIRST ST. S. SUITE 300, ST. CLOUD, MN 56302
Mailing Address: P.O. BOX 283, ST. CLOUD, MN 56302-0283

CF GLOBAL TRADING, LLC
60 EAST 42ND STREET, SUITE 1455, NEW YORK, NY 10165

CF SECURED, LLC
110 EAST 59TH STREET, 21ST FLOOR, NEW YORK, NY 10022
Mailing Address: 110 EAST 59TH STREET, NEW YORK, NY 10022

CFD INVESTMENTS, INC.
2704 S GOYER RD, KOKOMO, IN 46902
Mailing Address: P.O. BOX 2244, KOKOMO, IN 46904-2244

CFG CAPITAL MARKETS, LLC
6300 BLAIR HILL LANE, 4TH. FLOOR, BALTIMORE, MD 21209

CFI SECURITIES
830 TRACTION AVE, SUITE#3A, LOS ANGELES, CA 90013-1816

CFR-INC.
18804 NE 106TH STREET, REDMOND, WA 98052

CFS SECURITIES, INC.
3190 WHITNEY AVENUE BUILDING 6, HAMDEN, CT 06518

CFT SECURITIES, LLC
5 VAUGHN DRIVE, SUITE 302, PRINCETON, NJ 08540

CFWP SECURITIES, LLC
110 EAST 59TH STREET, NEW YORK, NY 10022

CG CAPITAL MARKETS, LLC
327 PLAZA REAL, SUITE 215, BOCA RATON, FL 33432

CG COMPASS (USA) LLC
135 EAST 57TH STREET, 30TH FLOOR, NEW YORK, NY 10022

CGA SECURITIES, LLC
9475 DEERECO ROAD, SUITE 300, TIMONIUM, MD 21093

CGIS SECURITIES LLC
990 BISCAYNE BLVD, SUITE 0-901, MIAMI, FL 33132

CGS - CIMB SECURITIES (USA), INC.
7 TIMES SQUARE, SUITE 1605, NEW YORK, NY 10036

CHAFFE SECURITIES, INC.
201 ST. CHARLES AVENUE, SUITE 1410, NEW ORLEANS, LA 70170-1410

CHALICE CAPITAL PARTNERS, LLC
16935 WEST BERNARDO DRIVE, SUITE 140, SAN DIEGO, CA 92127
Mailing Address: 16935 WEST BERNARDO DRIVE, KGREGG@CHALICECAPITALPARTNERS.COM, SAN DIEGO, CA 92127

CHAMPLAIN ADVISORS, LLC
GALERIA DE ARTES Y CIENCIAS, 875 CARRETERA 693, SUITE 102, DORADO, PR 00646
Mailing Address: P.O. BOX 542, DORADO, PR 00646-0542

CHAPIN, DAVIS
1411 CLARKVIEW ROAD, BALTIMORE, MD 21209

CHARDAN CAPITAL MARKETS LLC
17 STATE STREET, SUITE 1600, NEW YORK, NY 10004

CHARLES RIVER BROKERAGE, LLC
700 DISTRICT AVE, 2ND FLOOR, BURLINGTON, MA 01803

CHARLES SCHWAB & CO., INC.
211 MAIN STREET, SAN FRANCISCO, CA 94105
Mailing Address: 211 MAIN STREET, SF211MN-06-151, SAN FRANCISCO, CA 94105

CHARLES TOWNE SECURITIES, LLC
2 SANDWEDGE LANE, ISLE OF PALMS, SC 29451

CHARTER OAK ASSET MANAGEMENT, INC.
1520 HIGHLAND AVENUE, CHESHIRE, CT 06410-1276

CHARTWELL ADVISORS, LLC
425 EAST 58TH STREET, 38E, NEW YORK, NY 10022

CHARTWELL TSC SECURITIES CORP.
ONE OXFORD CENTRE, 301 GRANT STREET, PITTSBURGH, PA 15219
Mailing Address: ONE OXFORD CENTRE, 301 GRANT STREET, PITTSBURGH, PA 15219

CHATSWORTH SECURITIES LLC
95 EAST PUTNAM AVENUE, GREENWICH, CT 06830

CHAUNER SECURITIES, INC.
666 DUNDEE ROAD, SUITE 903, NORTHBROOK, IL 60062-2735
Mailing Address: 666 DUNDEE ROAD, SUITE 903, NORTHBROOK, IL 60062-2735

CHELSEA FINANCIAL SERVICES
242 MAIN STREET, STATEN ISLAND, NY 10307

CHERRY TREE & ASSOCIATES, LLC
301 CARLSON PARKWAY, SUITE103, MINNETONKA, MN 55305
Mailing Address: 301 CARLSON PARKWAY, SUITE 103, MINNETONKA, MN 55305

CHERTOFF CAPITAL, LLC
1399 NEW YORK AVENUE, N.W., SUITE 900, WASHINGTON, DC 20005

CHESSIECAP SECURITIES, INC.
7911 SHERWOOD AVENUE, TOWSON, MD 21204
Mailing Address: 3 BETHESDA METRO CENTER, SUITE 700, BETHESDA, MD 20814

CHESTER HARRIS & COMPANY, INCORPORATED
222 MAMARONECK AVENUE, WHITE PLAINS, NY 10605-1316
Mailing Address: P.O. BOX 668, WHITE PLAINS, NY 10602

CHESTNUT SECURITIES, INC.
ONE FINANCIAL CENTER, 24TH FLOOR, BOSTON, MA 02111

CHEVAL CAPITAL, INC.
901 N. PITT STREET-110, ALEXANDRIA, VA 22314

CHICAGO ANALYTIC TRADING COMPANY, LLC
4415 WEST HARRISON STREET, SUITE 237, HILLSIDE, IL 60162

CHICKASAW SECURITIES, LLC
6075 POPLAR AVENUE, SUITE 720, MEMPHIS, TN 38119

CHILDS ADVISORY PARTNERS LLC
3550 LENOX ROAD, SUITE 1200, ATLANTA, GA 30326

CHILIAN PARTNERS, L.P.
1701 S. FLAGLER DRIVE, SUITE 1001, WEST PALM BEACH, FL 33401
Mailing Address: P.O. BOX 2685, PALM BEACH, FL 33480

CHINA ECAPITAL PARTNERS, LLC
11150 SANTA MONICA BLVD., SUITE 450, LOS ANGELES, CA 90025

CHINA RENAISSANCE SECURITIES (US) INC.
600 FIFTH AVENUE, 21ST FLOOR, NEW YORK, NY 10020

CHIRON CAPITAL LLC
1301 MCKINNEY SUITE 2800, HOUSTON, TX 77010

CHOICETRADE
151 SAN FRANCISCO STREET, SUITE 200, SAN JUAN, PR 00901

CHRISTIAN FINANCIAL SERVICES LLC
10916 WEST HALF MOON PASS, LITTLETON, CO 80127
Mailing Address: P.O. BOX 270164, LITTLETON, CO 80127

CHRYSALIS CAPITAL GROUP, LLC
131 FRANKLIN STREET, SAN FRANCISCO, CA 94102

CHURCH, GREGORY, ADAMS SECURITIES CORPORATION
658 CLAIREMONT AVENUE, DECATUR, GA 30030

CHURCHILL CAPITAL USA, INC.
1270 AVENUE OF THE AMERICAS, SUITE 1910, NEW YORK, NY 10020-1700

CHURCHILL FINANCIAL, LLC
295 N. HUBBARDS LANE, SUITE 203, LOUISVILLE, KY 40207

CHURCHILL STATESIDE SECURITIES, LLC
2325 LAKEVIEW PARKWAY, SUITE 225, ALPHARETTA, GA 30009
Mailing Address: 2325 LAKEVIEW PARKWAY, ALPHARETTA, GA 30009

CHXBD, LLC
440 SOUTH LASALLE STREET - SUITE 800, CHICAGO, IL 60605-1070

CIBC WORLD MARKETS CORP.
425 LEXINGTON AVENUE, NEW YORK, NY 10017

CICC US SECURITIES, INC.
350 PARK AVENUE, 28TH FLOOR, NEW YORK, NY 10022

CIG SECURITIES
1000 TOWN CENTER, SUITE 2500, SOUTHFIELD, MI 48075

CIGNA BENEFITS FINANCING, INC.
900 COTTAGE GROVE RD., WILDE BUILDING-A4COL, BLOOMFIELD, CT 06002
Mailing Address: 900 COTTAGE GROVE RD, WILDE BUILDING-A4COL, BLOOMFIELD, CT 06002

CIM SECURITIES, LLC
6898 S. UNIVERSITY BLVD, SUITE 270, CENTENNIAL, CO 80122

CION SECURITIES, LLC
3 PARK AVENUE, 36TH FLOOR, NEW YORK, NY 10016

CIRCLEUP
30 MAIDEN LANE, 6TH FLOOR, SAN FRANCISCO, CA 94108

CIRRUS RESEARCH, LLC
303 SOUTH BROADWAY, SUITE 212, TARRYTOWN, NY 10591

CIT CAPITAL SECURITIES LLC
11 WEST 42ND STREET, 7TH FLOOR, NEW YORK, NY 10036

CITADEL CLEARING LLC
131 SOUTH DEARBORN STREET 32ND FLOOR, CHICAGO, IL 60603

CITADEL SECURITIES INSTITUTIONAL LLC
131 SOUTH DEARBORN STREET 32ND FLOOR, CHICAGO, IL 60603

CITADEL SECURITIES LLC
131 SOUTH DEARBORN STREET, 32ND FLOOR, CHICAGO, IL 60603

CITCO SECURITIES INC.
2 BLOOR ST. E, SUITE 2700, TORONTO, ON, M4W 1A8 CANADA

CITI INTERNATIONAL FINANCIAL SERVICES LLC
PARQUE LAS AMERICAS 1, 235 FEDERICO COSTA STREET-SUITE 101, SAN JUAN, PR 00918
Mailing Address: P.O. BOX 70263, SAN JUAN, PR 00936-8263

CITI ORDER ROUTING AND EXECUTION, LLC
11 EWALL STREET, SUITE 103, MT. PLEASANT, SC 29464

CITI PRIVATE ADVISORY, LLC
388 GREENWICH STREET, 29TH FLOOR, NEW YORK, NY 10013

CITIC SECURITIES INTERNATIONAL USA, LLC
1301 AVENUE OF THE AMERICAS, 15TH FLOOR, NEW YORK, NY 10019

CITICORP SECURITIES SERVICES, INC.
390 - 388 GREENWICH STREET, 388 GREENWICH STREET, NEW YORK, NY 10013
Mailing Address: REGISTRATION DEPARTMENT, 540 CROSSPOINT PARKWAY, GETZVILLE, NY 14068

CITIGROUP GLOBAL MARKETS INC.
390 - 388 GREENWICH STREET, NEW YORK, NY 10013-2396
Mailing Address: REGISTRATION DEPARTMENT, 540 CROSSPOINT PARKWAY, GETZVILLE, NY 14068

CITIZENS CAPITAL MARKETS
28 STATE STREET, MS1240, BOSTON, MA 02118
Mailing Address: 600 WASHINGTON BLVD, 11TH FLOOR, STAMFORD, CT 06091

CITIZENS SECURITIES, INC.
770 LEGACY PLACE, MLP240, DEDHAM, MA 02026
Mailing Address: 45 DAN ROAD, MCD340, CANTON, MA 02021

CITY CAPITAL ADVISORS, LLC
444 NORTH MICHIGAN AVENUE, SUITE 3200, CHICAGO, IL 60611

CITY NATIONAL SECURITIES, INC.
400 NORTH ROXBURY DRIVE, SUITE 700, BEVERLY HILLS, CA 90210

CJS SECURITIES, INC.
50 MAIN STREET, SUITE 325, WHITE PLAINS, NY 10606

CKS SECURITIES LLC
6263 SCOTTSDALE ROAD, SUITE 390, SCOTTSDALE, AZ 85250
Mailing Address: 6263 SCOTTSDALE ROAD, SUITE 390, SCOTTSDALE, AZ 85250

CLARENDON INSURANCE AGENCY, INC.
1601 TRAPELO ROAD, SUITE 30, WALTHAM, MA 02451

CLARION PARTNERS SECURITIES, LLC
230 PARK AVENUE, 12TH FLOOR, NEW YORK, NY 10169-0005

CLARITYSPRING SECURITIES LLC
142 W. 57TH STREET, 11TH FLOOR, NEW YORK, NY 10019

CLARK NOBIL & CO.
2500 E. HALLANDALE BEACH BLVD. #PH-5, HALLANDALE, FL 33009
Mailing Address: P.O. BOX 1797, HALLANDALE, FL 33008-1797

CLARKESON RESEARCH INC.
19 TOWNSEND SQUARE, OYSTER BAY, NY 11771

CLARKSONS PLATOU SECURITIES, INC.
280 PARK AVENUE, 21ST FLOOR, NEW YORK, NY 10017

CLASSIC, LLC
1220 28TH AVE N, FARGO, ND 58102

CLEARCREEK SECURITIES, LLC
1165 DELAWARE STREET, SUITE 130, DENVER, CO 80204

CLEARINGBID MARKETS, INC.
135 EAST 57TH STREET, 8/F, NEW YORK, NY 10022
Mailing Address: 135 EAST 57TH STREET, 14/F, NEW YORK, NY 10022

CLEARPOOL EXECUTION SERVICES, LLC
17 STATE STREET, 38TH FLOOR, NEW YORK, NY 10004

CLEARSIGHT CAPITAL ADVISORS, INC
1650 TYSONS BLVD., SUITE 710, MCLEAN, VA 22102

CLEARVIEW TRADING ADVISORS, INC.
230 PARK AVENUE, SUITE 900, NEW YORK, NY 10169

CLEARY GULL INC.
411 EAST WISCONSIN AVE., SUITE 1850, MILWAUKEE, WI 53202-3590

CLEVELAND RESEARCH COMPANY LLC
1375 E 9TH STREET, SUITE 2700, CLEVELAND, OH 44114
Mailing Address: 1375 E 9TH STREET, SUITE 2700, CLEVELAND, OH 44144

CLICK IPO SECURITIES, LLC
GAINEY OFFICE CENTER I, 8601 N. SCOTTSDALE RD., SUITE 335, SCOTTSDALE, AZ 85253
Mailing Address: GAINEY OFFICE CENTER I, 8601 N SCOTTSDALE RD, SUITE 335, SCOTTSDALE, AZ 85253

CLIENT ONE SECURITIES LLC
11460 TOMAHAWK CREEK PARKWAY, LEAWOOD, KS 66211

CLIFTONLARSONALLEN WEALTH ADVISORS, LLC
220 S. SIXTH STREET, SUITE 300, MINNEAPOLIS, MN 55402-4505

CLINGER & CO., INC.
6505 CLAWSON ST., HOUSTON, TX 77055-7103

CLSA AMERICAS, LLC
1301 AVENUE OF THE AMERICAS, 15TH FLOOR, NEW YORK, NY 10019

CLYDESDALE SECURITIES LLC
39 BROADWAY, SUITE 3300, ROOM 11B, NEW YORK, NY 10006

CM-CIC MARKET SOLUTIONS INC.
520 MADISON AVE, NEW YORK, NY 10022

CMG SECURITIES LLC
3160 CROW CANYON ROAD SUITE #345, SAN RAMON, CA 94583

CN ROOSEVELT, LLC
11/14/2017200 SOUTH TRYON STREET, SUITE 17000, CHARLOTTE, NC 28202
Mailing Address: 200 SOUTH TRYON STREET, SUITE 1700, CHARLOTTE, NC 28202

CNA INVESTOR SERVICES, INC.
39 BROADWAY, SUITE 3300 - ROOM 6, NEW YORK, NY 10006
Mailing Address: 333 S. WABASH, FLOOR 42S, CHICAGO, IL 60604

CND FINANCIAL LTD.
31240 BECK RD., BULVERDE, TX 78163

CNL SECURITIES CORP.
450 SOUTH ORANGE AVENUE, ORLANDO, FL 32801
Mailing Address: P.O BOX 4920, ORLANDO, FL 32802-4920

CNS SECURITIES, LLC
191 OLD PERRIN RD. STE. 101, SHERMAN, TX 75092
Mailing Address: 191 OLD PERRIN RD. STE. 101, SHERMAN, TX 75092

COADY DIEMAR PARTNERS, LLC
87 MAIN STREET, PEAPACK, NJ 07977
Mailing Address: PO BOX 305, PEAPACK, NJ 07977

COASTAL EQUITIES, INC.
1201 N. ORANGE STREET, SUITE 729, WILMINGTON, DE 19801

COBALT CAPITAL, INC.
600 WILKINSON STREET, SUITE 300, ORLANDO, FL 32803

COBRA TRADING, INC.
4800 HEDGCOXE ROAD, SUITE 300, PLANO, TX 75024

COBURN & MEREDITH, INC.
1 OLD MILL LANE, SIMSBURY, CT 06070
Mailing Address: 1 OLD MILL LANE, SIMSBURY, CT 06070

COBURN GROUP, LLC
1826 W. NEWPORT AVE., CHICAGO, IL 60657

CODA MARKETS, INC.
2624 PATRIOT BOULEVARD, GLENVIEW, IL 60026

CODE ADVISORS LLC
101 SECOND STREET, SUITE 2225, SAN FRANCISCO, CA 94105

COGENT ALTERNATIVE STRATEGIES, INC.
121 VIA FLORENZA, PALM BEACH GARDENS, FL 33418

COHEN & STEERS SECURITIES, LLC
280 PARK AVENUE, 10TH FLOOR, NEW YORK, NY 10017

COHNREZNICK CAPITAL
420 LEXINGTON AVENUE, SUITE 2533, NEW YORK, NY 10170

COIT CAPITAL SECURITIES LLC
238 FRANCISCO STREET, SAN FRANCISCO, CA 94113

COKER & PALMER
1667 LELIA DRIVE, JACKSON, MS 39216

COLCHESTER PARTNERS LLC
175 FEDERAL STREET, BOSTON, MA 02110

COLDSTREAM SECURITIES, INC.
ONE 100TH AVENUE NE SUITE 102, BELLEVUE, WA 98004

COLLINS/BAY ISLAND SECURITIES, LLC
1111 BAYSIDE DRIVE, SUITE #250, NEWPORT BEACH, CA 92625

COLONIAL SECURITIES, INC.
80 BOWERY, ROOM 603, NEW YORK, NY 10013-4689

COLONNADE SECURITIES LLC
125 S. WACKER DRIVE, SUITE 3020, CHICAGO, IL 60606-4422
Mailing Address: 125 S. WACKER DR, SUITE 3020, CHICAGO, IL 60606-4422

COLORADO FINANCIAL SERVICE CORPORATION
304 INVERNESS WAY SOUTH, SUITE 355, CENTENNIAL, CO 80112

COLUMBIA CAPITAL SECURITIES, INC.
1999 AVENUE OF THE STARS, SUITE 1100, LOS ANGELES, CA 90067

COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.
225 FRANKLIN STREET, BOSTON, MA 02110
Mailing Address: 225 FRANKLIN STREET, BX 29 20661, BOSTON, MA 02110

COLUMBIA WEST CAPITAL, LLC
14624 N. SCOTTSDALE ROAD, SUITE 124, SCOTTSDALE, AZ 85254

COLUMBUS ADVISORY GROUP, LTD.
245 5TH AVENUE, 14TH FLOOR, NEW YORK, NY 10016

COMCAP LLC
1031 FRANKLIN STREET, SAN FRANCISCO, CA 94109

COMERICA SECURITIES
411 W LAFAYETTE BLVD, DETROIT, MI 48226
Mailing Address: 411 W LAFAYETTE BLVD, MAIL CODE 3291, DETROIT, MI 48226

COMHAR CAPITAL MARKETS, LLC
311 S. WACKER DRIVE, SUITE 2280A, CHICAGO, IL 60606

COMMENDA SECURITIES, LLC
6300 POWERS FERRY ROAD, SUITE 600 - 231, ATLANTA, GA 30339

COMMERCE BROKERAGE SERVICES, INC.
8000 FORSYTH BLVD, SUITE 1200, CLAYTON, MO 63105-1707

COMMERCE ONE FINANCIAL INC.
100 JERICHO QUADRANGLE, SUITE 228, JERICHO, NY 11753

COMMERCE SECURITIES CORPORATION
710 NO. POST OAK RD., SUITE 400, HOUSTON, TX 77024

COMMERCE STREET CAPITAL, LLC
1445 ROSS AVE. SUITE 2700, DALLAS, TX 75202
Mailing Address: 1445 ROSS AVE. SUITE 2700, DALLAS, TX 75202

COMMERZ MARKETS LLC
225 LIBERTY STREET, NEW YORK, NY 10281

COMMONFUND SECURITIES, INC.
15 OLD DANBURY ROAD, WILTON, CT 06897
Mailing Address: P.O. BOX 812, WILTON, CT 06897-0812

COMMONGOOD SECURITIES LLC
275 EAST WEBSTER AVENUE, WINTER PARK, FL 32789

COMMONWEALTH ADVISORS, INC.
1017 MUMMA ROAD, SUITE 302, LEMOYNE, PA 17043

COMMONWEALTH AUSTRALIA SECURITIES LLC
599 LEXINGTON AVENUE, 30TH FL, NEW YORK, NY 10022

COMMONWEALTH CAPITAL SECURITIES CORP.
17755 US HIGHWAY 19 N, SUITE 400, CLEARWATER, FL 33764

COMMONWEALTH FINANCIAL GROUP, INC.
1233 HADDONFIELD-BERLIN RD., SUITE 10, VOORHEES, NJ 08043

COMMONWEALTH FINANCIAL NETWORK
29 SAWYER ROAD, WALTHAM, MA 02453-3483

COMMONWEALTH PHARMA SECURITIES LLC
33 BROAD STREET, SUITE 1100, BOSTON, MA 02109-4230
Mailing Address: 33 BROAD STREET, SUITE 1100, BOSTON, MA 02109-4230

COMMUNITYAMERICA FINANCIAL SOLUTIONS, LLC
9777 RIDGE DR., SUITE 360, LENEXA, KS 66219

COMPAK SECURITIES, INC.
1801 DOVE STREET, NEWPORT BEACH, CA 92660

COMPASS DISTRIBUTORS, LLC
THREE CANAL PLAZA 3RD FLOOR, PORTLAND, ME 04101
Mailing Address: THREE CANAL PLAZA SUITE 100, PORTLAND, ME 04101

COMPASS POINT RESEARCH & TRADING, LLC
1055 THOMAS JEFFERSON STREET, NW, SUITE 303, WASHINGTON, DC 20007

COMPASS SECURITIES CORPORATION
50 BRAINTREE HILL PARK, SUITE 105, BRAINTREE, MA 02184-8734

COMSTOCK PARTNERS, L.L.C.
3193 BENEDICT CANYON DR., BEVERLY HILLS, CA 90210

CON AM SECURITIES, INC.
3990 RUFFIN ROAD, SUITE 100, SAN DIEGO, CA 92123-1826

CONCORD WEALTH BROKERAGE, INC.
955 W. MAIN STREET, ABINGDON, VA 24210

CONCORDE INVESTMENT SERVICES, LLC
19500 VICTOR PARKWAY, SUITE 550, LIVONIA, MI 48152

CONDUENT SECURITIES, LLC
420 LEXINGTON AVE, SUITE 2220, NEW YORK, NY 10170-2220

CONFIDENTIAL MANAGEMENT FINANCIAL SERVICES, INC.
1700 WEST BIG BEAVER, SUITE 320, TROY, MI 48084

CONNELL SECURITIES LLC
200 CONNELL DRIVE, BERKELEY HEIGHTS, NJ 07922

CONNERS & CO., INC.
1 WEST FOURTH STREET, SUITE 2800, CINCINNATI, OH 45202-3843

CONNING INVESTMENT PRODUCTS, INC.
ONE FINANCIAL PLAZA, 755 MAIN STREET, HARTFORD, CT 06103-2627
Mailing Address: ONE FINANCIAL PLAZA, HARTFORD, CT 06103-2627

CONOVER SECURITIES CORPORATION
155 108TH AVE NE, SUITE 725, BELLEVUE, WA 98004-5948
Mailing Address: P.O BOX 90007, BELLEVUE, WA 98009-9007

CONSENSUS SECURITIES LLC
100 RIVER RIDGE DRIVE, SUITE 202, NORWOOD, MA 02062

CONSILIUM PARTNERS LLC
265 FRANKLIN ST., SUITE 504, BOSTON, MA 02110

CONSOLIDATED FINANCIAL INVESTMENTS, INC.
222 NORTH MERAMEC AVENUE, CLAYTON, MO 63105-3702

CONSOLIDATED SECURITIES
596 HERRONS FERRY ROAD, SUITE 300, ROCK HILL, SC 29730

CONTINENTAL INVESTORS SERVICES, INC.
1330 BROADWAY STREET, LONGVIEW, WA 98632-7552
Mailing Address: P.O. BOX 888, LONGVIEW, WA 98632-7552

COOK PINE SECURITIES LLC
2 SOUND VIEW DRIVE, 2ND FLOOR, GREENWICH, CT 06830

COOMBE FINANCIAL SERVICES, INC.
6872 ROUTE 209, WAWARSING, NY 12489

COOPER MALONE MCCLAIN, INC.
7701 E. KELLOGG, SUITE 700, WICHITA, KS 67207-1706
Mailing Address: P.O. BOX 781684, WICHITA, KS 67278-1684

COORDINATED CAPITAL SECURITIES, INC.
704 RIVER PLACE COMMERCE CENTER III, MADISON, WI 53716

COR CLEARING LLC
1200 LANDMARK CENTER, 1299 FARNAM STREET SUITE 800, OMAHA, NE 68102-1916

CORE FINANCIAL, LLC
21 EAST STATE STREET - SUITE 1800, COLUMBUS, OH 43215

CORECAP INVESTMENTS, INC.
27777 FRANKLIN ROAD, SUITE 700, SOUTHFIELD, MI 48034

CORINTHIAN PARTNERS, L.L.C.
850 THIRD AVENUE, SUITE 16C, NEW YORK, NY 10022
Mailing Address: 850 THIRD AVENUE, SUITE 16C, 16TH FLOOR, NEW YORK, NY 10022

CORMARK SECURITIES (USA) LIMITED
SUITE 2800 ROYAL BANK PLAZA SOUTH TOWER, TORONTO, M5J 2J2 CANADA

CORNERSTONE CAPITAL CORPORATION
655 METRO PLACE, SUITE 720, DUBLIN, OH 43017

CORNERSTONE FINANCIAL SERVICES, INC.
325 EAST MAIN STREET, GREENFIELD, IN 46140

CORNERSTONE MACRO LLC
650 FIFTH AVENUE, 21ST FLOOR, NEW YORK, NY 10019

CORNWALL PARTNERS, LLC
12806 TOUCHSTONE PLACE, PALM BEACH GARDENS, FL 33418
Mailing Address: 525 EAST 89 STREET, APT 2K, NEW YORK, NY 06753

CORONADO INVESTMENTS, LLC
18029 CALLE AMBIENTE, SUITE 519, RANCHO SANTA FE, CA 92067
Mailing Address: PO BOX 5005, PMB 147, RANCHO SANTA FE, CA 92067

CORPORATE DEVELOPMENT CAPITAL, LLC
14680 STERLING ROAD, COLORADO SPRINGS, CO 80921-2617

CORPORATE FINANCE SECURITIES, INC.
24461 RIDGE ROUTE, SUITE A200, LAGUNA HILLS, CA 92653

CORPORATE FUEL SECURITIES LLC
10 EAST 40TH STREET, SUITE 3210, NEW YORK, NY 10016

CORPORATE INVESTMENTS GROUP, INC.
238 W CERMAK ROAD, SUITE 3A, CHICAGO, IL 60616

CORPORATE PARTNERS & CO. LLC
45 ROCKEFELLER PLAZA, SUITE 2626, NEW YORK, NY 10111

CORRELL CO. INVESTMENT SERVICES CORP.
9655 SOUTH 78TH AVENUE, HICKORY HILLS, IL 60457-2211

CORSAIR ADVISORS LLC
717 FIFTH AVENUE, 24TH FLOOR, NEW YORK, NY 10022

COSSE' INTERNATIONAL SECURITIES, INC.
1301 5TH AVENUE #3024, SEATTLE, WA 98101

COUGHLIN & COMPANY, INC.
140 E. 19TH AVENUE - SUITE 700, DENVER, CO 80203-0135

COUNTRY CAPITAL MANAGEMENT COMPANY
1705 N TOWANDA AVENUE, BLOOMINGTON, IL 61701
Mailing Address: P.O. BOX 2222, BLOOMINGTON, IL 61702-2222

COUNTRY CLUB FINANCIAL SERVICES, INC.
ONE WARD PARKWAY, KANSAS CITY, MO 64112
Mailing Address: P.O. BOX 410889, KANSAS CITY, MO 64141

COURTLANDT SECURITIES CORPORATION
18218 MCDURMOTT, SUITE A, IRVINE, CA 92614
Mailing Address: P.O. BOX 11929, NEWPORT BEACH, CA 92658-1929

COVA CAPITAL PARTNERS LLC
6851 JERICHO TPKE, SUITE 120A, SYOSSET, NY 11791

COVENTRY SECURITIES, LLC
7111 VALLEY GREEN ROAD, FORT WASHINGTON, PA 19034

COVIEW CAPITAL, INC.
780 THIRD AVENUE, SUITE 3104, NEW YORK, NY 10017

COVINGTON ASSOCIATES, LLC
99 SUMMER STREET, 2ND FLOOR, BOSTON, MA 02110

COWEN AND COMPANY
599 LEXINGTON AVENUE, 20TH FLOOR, NEW YORK, NY 10022

COWEN EXECUTION SERVICES LLC
1633 BROADWAY, 48TH FLOOR, NEW YORK, NY 10019

COWEN PRIME SERVICES LLC
599 LEXINGTON AVENUE, 21ST FLOOR, NEW YORK, NY 10022

CP INVESTMENTS, LLC
2000 AVENUE OF THE STARS, 11TH FLOOR, LOS ANGELES, CA 90067-4700

CPIBD LLC
825 THIRD AVENUE, 32ND FLOOR, NEW YORK, NY 10022

CPS FINANCIAL & INSURANCE SERVICES, INC.
4400 MACARTHUR BLVD., SUITE 800, NEWPORT BEACH, CA 92660

CR CAPITAL DISTRIBUTORS, LLC
140 NEWPORT CENTER DR., SUITE 150, NEWPORT BEACH, CA 92660

CRAFT CAPITAL MANAGEMENT LLC
377 OAK STREET STE. 402, GARDEN CITY, NY 11530

CRAIG-HALLUM CAPITAL GROUP LLC
222 SOUTH NINTH ST, STE 350, MINNEAPOLIS, MN 55402

CRB SECURITIES, LLC
400 KELBY STREET, 14TH FLOOR, FORT LEE, NJ 07024

CREATIS CAPITAL LLC
120 EAST 23RD STREET, 4TH FLOOR, NEW YORK, NY 10010
Mailing Address: 100 WEST 18TH STREET, SUITE 7F, NEW YORK, NY 10011

CREATIVE INVESTOR SERVICES, INC.
4 BURRITTS LANDING, WESTPORT, CT 06880

CREDICORP CAPITAL SECURITIES, INC.
121 ALHAMBRA PLAZA, SUITE 1200, CORAL GABLES, FL 33134

CREDIT AGRICOLE SECURITIES (USA) INC.
1301 AVENUE OF THE AMERICAS - 13TH FLOOR, NEW YORK, NY 10019

CREDIT SUISSE PRIME SECURITIES SERVICES (USA) LLC
11 MADISON AVENUE, NEW YORK, NY 10010-3629
Mailing Address: ONE MADISON AVENUE, NEW YORK, NY 10010-3629

CREDIT SUISSE SECURITIES (USA) LLC
11 MADISON AVENUE, NEW YORK, NY 10010
Mailing Address: ONE MADISON AVENUE, 9TH FLOOR, NEW YORK, NY 10010

CREDITEX SECURITIES CORPORATION
55 EAST 52ND STREET, 40TH FLOOR, NEW YORK, NY 10055

CREDITSTATION ATS LLC
67W EASY STREET SUITE #127, SIMI VALLEY, CA 93065

CRESAP, INC.
259 N. RADNOR-CHESTER RD. STE. 140, RADNOR, PA 19087

CRESCENT SECURITIES GROUP, INC.
8750 N. CENTRAL EXPRESSWAY, SUITE 750, DALLAS, TX 75231

CREST CAPITAL LLC
741 N. GRAND AVE., SUITE 202, WAUKESHA, WI 53186

CRESTA WESTHALL LLP
17 SAVILE ROW, LONDON, W1S 3PN UK

CRESTONE SECURITIES LLC
1048 PEARL STREET, SUITE 450, BOULDER, CO 80302

CREWE CAPITAL, LLC
136 EAST SOUTH TEMPLE, #2440, SALT LAKE CITY, UT 84111

CREWS & ASSOCIATES, INC.
521 PRESIDENT CLINTON AVENUE, SUITE 800, LITTLE ROCK, AR 72201-1729
Mailing Address: P.O. BOX 1696, LITTLE ROCK, AR 72203-1696

CRI SECURITIES, LLC
400 ROBERT STREET NORTH, ST. PAUL, MN 55101-2098

CRITO CAPITAL LLC
8 WRIGHT STREET, WESTPORT, CT 06880

CROFT & BENDER, LP
4401 NORTHSIDE PARKWAY, SUITE 395, ATLANTA, GA 30327

CRONUS PARTNERS LLC
181 OLD POST ROAD, SOUTHPORT, CT 06890
Mailing Address: 181 OLD POST ROAD, P.O. BOX 103, SOUTHPORT, CT 06890

CROSS POINT CAPITAL LLC
1020 SPRINGFIELD AVE, SUITE 204, MOUNTAINSIDE, NJ 07092

CROSSMARK DISTRIBUTORS, INC.
3700 WEST SAM HOUSTON PARKWAY SOUTH, SUITE 250, HOUSTON, TX 77042

CROSSTREE CAPITAL SECURITIES, LLC
2701 NORTH ROCKY POINT DRIVE, SUITE 925, TAMPA, FL 33607

CROWDVEST SECURITIES, LLC.
150 4TH AVE N, NASHVILLE, TN 37219
Mailing Address: WEWORK  C/O CROWDVEST SECURITIES, 150 4TH AVE N, NASHVILLE, TN 37219

CROWN CAPITAL SECURITIES, L.P.
725 TOWN & COUNTRY ROAD, SUITE 530, ORANGE, CA 92868

CRUTCHFIELD SECURITIES, L.L.C.
5599 SAN FELIPE STREET, SUITE 555, HOUSTON, TX 77056

CRYSTAL BAY SECURITIES INC.
7499 WEST ATLANTIC AVENUE, SUITE 208, DELRAY BEACH, FL 33446

CSCA CAPITAL ADVISORS, LLC
800 THIRD AVENUE, 25TH FLOOR, NEW YORK, NY 10022

CSG CAPITAL ADVISORS, LLC
109 E. CHURCH STREET, SUITE 425, ORLANDO, FL 32801

CSP SECURITIES, LP
13355 NOEL ROAD, SUITE 1600, DALLAS, TX 75240

CSSC BROKERAGE SERVICES, INC.
755 WEST BIG BEAVER ROAD, SUITE 2000, TROY, MI 48084

CTL SECURITIES LLC
500 FIFTH AVE, SUITE 4830, NEW YORK, NY 10110

CU INVESTMENT SOLUTIONS LLC
8500 W. 110TH STREET, SUITE 650, OVERLAND PARK, KS 66210

CUE CAPITAL LIMITED PARTNERSHIP
2665 S. BAYSHORE DRIVE, SUITE 220, MIAMI, FL 33133

CULLEN INVESTMENT GROUP, LTD.
1404 SOUTH COLLEGE RD., LAFAYETTE, LA 70503
Mailing Address: PO BOX 53669, LAFAYETTE, LA 70505-3669

CUNA BROKERAGE SERVICES, INC.
2000 HERITAGE WAY, WAVERLY, IA 50677

CURBSTONE FINANCIAL MANAGEMENT CORPORATION
741 CHESTNUT STREET, MANCHESTER, NH 03104

CUREX SECURITIES (USA), LLC
120 WEST 45TH STREET, 22 FLOOR, NEW YORK, NY 10036

CURRAN ADVISORY SERVICES
30 SOUTH PEARL STREET, 9TH FLOOR, ALBANY, NY 12207

CURRENT CAPITAL SECURITIES LLC
950 THIRD AVE - 26TH FLOOR, NEW YORK, NY 10022

CURVATURE SECURITIES LLC
190 MAIN STREET, SUITE 101A, GLADSTONE, NJ 07934
Mailing Address: P.O. BOX 707, GLADSTONE, NJ 07934

CUSHMAN & WAKEFIELD SECURITIES, INC.
1290 AVENUE OF THE AMERICAS, 7TH FLOOR, NEW YORK, NY 10104

CUSO FINANCIAL SERVICES, L.P.
10150 MEANLEY DRIVE, 1ST FLOOR, SAN DIEGO, CA 92131

CUTTER & COMPANY, INC.
15415 CLAYTON ROAD, BALLWIN, MO 63011

CUTTONE & CO., LLC
11 WALL STREET, NEW YORK, NY 10005
Mailing Address: 97 MAIN STREET, SUITE 201, CHATHAM, NJ 07928

CV BROKERAGE, INC
1001 CONSHOHOCKEN STATE ROAD, SUITE 211, WEST CONSHOHOCKEN, PA 19428
Mailing Address: 200 FOUR FALLS CORPORATE CENTER, SUITE 211, WEST CONSHOHOCKEN, PA 19428

CVC FUNDING, LLC
712 FIFTH AVENUE, 43RD FLOOR, NEW YORK, NY 10019

CVCAPITAL SECURITIES, LLC
2735 SAND HILL ROAD, SUITE 225, MENLO PARK, CA 94025

CVF SECURITIES, INC.
343 MILLBURN AVE, SUITE 208, MILLBURN, NJ 07041

CW SECURITIES, LLC
8870 CEDAR SPRINGS LANE, SUITE 208, KNOXVILLE, TN 37923

CWS INVESTMENTS
14 CORPORATE PLAZA, SUITE 210, NEWPORT BEACH, CA 92660

CYNDX ADVISORS
757 THIRD AVENUE, NEW YORK, NY 10017

CYPRESS ASSOCIATES
52 VANDERBILT AVENUE, SUITE 501, NEW YORK, NY 10017

Last updated: 4/23/2018