Brokers
Broker Dealer
Broker CRD#
Recipient Name
Recipient CRD#
COMMONWEALTH FINANCIAL NETWORK
E. NEIL GILLIS
COMMONWEALTH FINANCIAL NETWORK
ROBERT HOEY
COMMONWEALTH FINANCIAL NETWORK
J. MICHAEL JOHNSON
INDEPENDENT FINANCIAL GROUP
JAMES LAMONT
COMMONWEALTH FINANCIAL NETWORK
MICHELLE MABRY
PACIFIC WEST SECURITIES
STEVEN MEAHAN
COMMONWEALTH FINANCIAL NETWORK
WILLIAM J. O-BRIEN
INDEPENDENT FINANCIAL GROUP
ROY J. SCHIEFFER
COMMONWEALTH FINANCIAL NETWORK
JACOB C. SHORT
COMMONWEALTH FINANCIAL NETWORK
MARK SPARHAWK
COMMONWEALTH FINANCIAL NETWORK
JOSEPH SULLIVAN
COMMONWEALTH FINANCIAL NETWORK
ADDISON B. THOMPSON
SANDERS MORRIS HARRIS
ALAN J. DOLE
SANDERS MORRIS HARRIS
ALEXANDER PAOLETTO
COMMONWEALTH FINANCIAL NETWORK
ANDREW R. LIPPMAN
THE STRATEGIC FINANCIAL ALLIANCE
ANN L. EGAN
THE STRATEGIC FINANCIAL ALLIANCE
MICHAEL SPIELER
M HOLDINGS SECURITIES
ANTHONY T. PACE
SANDERS MORRIS HARRIS
WILLIAM H. MEDLIN
COMMONWEALTH FINANCIAL NETWORK
BRADLEY A. LEVIN
FIRST FINANCIAL EQUITY CORPORATION
BRIAN W. ARMSTRONG
COMMONWEALTH FINANCIAL NETWORK
BRIAN G. GREENWOOD
COMMONWEALTH FINANCIAL NETWORK
BRUCE C. WORTHINGTON
COMMONWEALTH FINANCIAL NETWORK
BRYN T. HENRY
COMMONWEALTH FINANCIAL NETWORK
CHARLES R. HERROD
COMMONWEALTH FINANCIAL NETWORK
CARY B. STAMP
COMMONWEALTH FINANCIAL NETWORK
CHARLES G. PECKHAM
COMMONWEALTH FINANCIAL NETWORK
CHARLES P. BROWN
COMMONWEALTH FINANCIAL NETWORK
ADAM ROBINSON
COMMONWEALTH FINANCIAL NETWORK
CHARLES E. ROBERTS
THE STRATEGIC FINANCIAL ALLIANCE, INC.
CHERYL L. KNIGHT
OMNI BROKERAGE INC.
CHRISTINA S. NIELSON
COMMONWEALTH FINANCIAL NETWORK
CHRISTOPHER W. PASCALE
COMMONWEALTH FINANCIAL NETWORK
JEREMY M. LOBO
COMMONWEALTH FINANCIAL NETWORK
CRAIG G. RICHMAN
MADISON AVENUE SECURITIES INC.
DOUGLAS MCKENNA
SANDERS MORRIS HARRIS INC.
DALE RUBIN
SANDERS MORRIS HARRIS INC.
DALE E. WRIGHT
MADISON AVENUE SECURITIES INC.
DANIEL P. BENSON
SANDERS MORRIS HARRIS INC.
DANEIL F. HEY SR
SMH CAPITAL INC.
DANIEL L. BONDER
COMMONWEALTH FINANCIAL NETWORK
DAVID B. ROOT JR
COMMONWEALTH FINANCIAL NETWORK
DAVID N. NAVARRO
COMMONWEALTH FINANCIAL NETWORK
JOHN A. FERRANTE II
COMMONWEALTH FINANCIAL NETWORK
DAVID R. GIBBS
INDEPENDENT FINANCIAL GROUP LLC
DAVID R. KOEHLER
COMMONWEALTH FINANCIAL NETWORK
DAVID T. TRACY
PACIFIC WEST SECURITIES INC.
DIANE E. ROOK JOHNSON
THE STRATEGIC FINANCIAL ALLIANCE INC.
DOUGLAS G. HESSE
THE STRATEGIC FINANCIAL ALLIANCE INC.
WARREN D. PREHMUS
WORKMAN SECURITIES CORPORATION
DWIGHT A. SMITH
WORKMAN SECURITIES CORPORATION
EDGAR A. WADE
COMMONWEALTH FINANCIAL NETWORK
EDWARD H. MAASS
COMMONWEALTH FINANCIAL NETWORK
EDWARD J. SOKOLOWSKI
COMMONWEALTH FINANCIAL NETWORK
ERIC E. ELEK
MADISON AVENUE SECURITIES INC.
ERIC J. REDING SR
ADVISORY GROUP EQUITY SERVICES LTD
EUGENE T. CINDRICH
COMMONWEALTH FINANCIAL NETWORK
FRANK W. KIMMEL
MADISON AVENUE SECURITIES INC.
GARY L. IMEL
COMMONWEALTH FINANCIAL NETWORK
GEORGE M. BOWEN
COMMONWEALTH FINANCIAL NETWORK
GEORGE H. GARDNER III
COMMONWEALTH FINANCIAL NETWORK
GERALD H. DENNEY JR.
COMMONWEALTH FINANCIAL NETWORK
GERALD LOFTIN
COMMONWEALTH FINANCIAL NETWORK
GILBERT N. GREER
PACIFIC WEST SECURITIES INC.
GREG S. BOWEN
PACIFIC WEST SECURITIES INC.
DOUGLAS K. PERRY
SMH CAPITAL INC.
GREGORY G. RANDALL
COMMONWEALTH FINANCIAL NETWORK
GREGORY F. PARTALIS
COMMONWEALTH FINANCIAL NETWORK
JOHN W. BOWMAN
COMMONWEALTH FINANCIAL NETWORK
JAMES MAHONEY
COMMONWEALTH FINANCIAL NETWORK
NICHOLAS T. CHRISTIE
COMMONWEALTH FINANCIAL NETWORK
JAMES K. DUNCKLEE
THE STRATEGIC FINANCIAL ALLIANCE INC.
JARRATT G. BENNETT
THE STRATEGIC FINANCIAL ALLIANCE INC.
MARK A. KEEN
COMMONWEALTH FINANCIAL NETWORK
JAY M. DIAMOND
COMMONWEALTH FINANCIAL NETWORK
JEFFREY A. SEGAL
COMMONWEALTH FINANCIAL NETWORK
SETH A. RENAUD
COMMONWEALTH FINANCIAL NETWORK
JEFFERY D. ISAACSON
COMMONWEALTH FINANCIAL NETWORK
JEFFREY D. MOSCARET
COMMONWEALTH FINANCIAL NETWORK
JOHN M. AUGUSTINE
COMMONWEALTH FINANCIAL NETWORK
MATTHEW J. ZULEGER
OMNI BROKERAGE INC.
JOHN P HARVEY JR
SMH CAPITAL INC.
ANDREW H. WALKER
COMMONWEALTH FINANCIAL NETWORK
JOHN R. PETERS
SANDERS MORRIS HARRIS INC.
JOHN B. ROBINSON
CAPWEST SECURITIES INC.
JOHN L. TYLER JR
MADISON AVENUE SECURITIES INC.
JONATHAN MAXSON
COMMONWEALTH FINANCIAL NETWORK
JONATHAN C. WOLFF
COMMONWEALTH FINANCIAL NETWORK
JOSEPH A. LEONCZYK
COMMONWEALTH FINANCIAL NETWORK
JOSEPH R. MONTECARLO
OMNI BROKERAGE INC.
JOSEPH R> BROADBENT
PACIFIC WEST SECURITIES INC.
KARI L. KENNARD
LPL FINANCIAL CORPORATION
KATIE W. BREWER
SANDERS MORRIS HARRIS INC.
KENNETH J. ELKINS
MADISON AVENUE SECURITIES INC.
KEVIN C. MCCARTHY
COMMONWEALTH FINANCIAL NETWORK
KEVIN M. OBRIEN
COMMONWEALTH FINANCIAL NETWORK
KEVIN P. MOORE
COMMONWEALTH FINANCIAL NETWORK
SALLY W. MUNFORD
COMMONWEALTH FINANCIAL NETWORK
KRIS T. MAKSIMOVICH
MADISON AVENUE SECURITIES INC.
MARCUS G. WARREN
13760 NOEL ROAD, SUITE 800, DALLAS, TX 75240