Brokers
Broker Dealer
Broker CRD#
Recipient Name
Recipient CRD#
AXIOM CAPITAL MANAGEMENT, INC
AXIOM CAPITAL MANAGEMENT, INC
ASCENDANT ALTERNATIVE STRATEGIES, LLC
ASCENDANT ALTERNATIVE STRATEGIES, LLC
ACCELERATED CAPITAL GROUP
ACCELERATED CAPITAL GROUP
ADVISORY GROUP EQUITY SERVICES LTD.
ADVISORY GROUP EQUITY SERVICES LTD.
AEGIS CAPITAL CORP.
AEGIS CAPITAL CORP.
AUSDAL FINANCIAL PARTNERS, INC.
AUSDAL FINANCIAL PARTNERS, INC.
CENTER STREET SECURITIES, INC.
CENTER STREET SECURITIES, INC.
ARKADIOS CAPITAL
ARKADIOS CAPITAL
AEON CAPITAL INC
AEON CAPITAL INC
AVERE FINANCIAL GROUP, LLC
AVERE FINANCIAL GROUP, LLC
BCG SECURITIES, INC.
BCG SECURITIES, INC.
FINANCIAL WEST GROUP
FINANCIAL WEST GROUP
CABOT LODGE SECURITIES LLC
CABOT LODGE SECURITIES LLC
CALTON + ASSOCIATES, INC.
CALTON + ASSOCIATES, INC.
LION STREET FINANCIAL, LLC
LION STREET FINANCIAL, LLC
CAPITAL INVESTMENT GROUP, INC.
CAPITAL INVESTMENT GROUP, INC.
IBN FINANCIAL SERVICES, INC.
IBN FINANCIAL SERVICES, INC.
COASTAL EQUITIES, INC.
COASTAL EQUITIES, INC.
CROWN CAPITAL SECURITIES, L.P.
CROWN CAPITAL SECURITIES, L.P.
CRYSTAL BAY SECURITIES INC.
CRYSTAL BAY SECURITIES INC.
EMERSON EQUITY LLC
EMERSON EQUITY LLC
GENEOS WEALTH MANAGEMENT, INC.
GENEOS WEALTH MANAGEMENT, INC.
PARITER SECURITIES, LLC
PARITER SECURITIES, LLC
SANDLAPPER SECURITIES, LLC
SANDLAPPER SECURITIES, LLC
VESTECH SECURITIES, INC.
VESTECH SECURITIES, INC.
STEPHEN A. KOHN + ASSOCIATES, LTD.
STEPHEN A. KOHN + ASSOCIATES, LTD.
WESTERN INTERNATIONAL SECURITIES, INC.
WESTERN INTERNATIONAL SECURITIES, INC.
NATIONAL SECURITIES CORPORATION
NATIONAL SECURITIES CORPORATION
ORCHARD SECURITIES, LLC
ORCHARD SECURITIES, LLC
INTERNATIONAL ASSETS ADVISORY, LLC
INTERNATIONAL ASSETS ADVISORY, LLC
CAPITAL FINANCIAL SERVICES, INC.
CAPITAL FINANCIAL SERVICES, INC.
CASCADE FINANCIAL MANAGEMENT, INC.
CASCADE FINANCIAL MANAGEMENT, INC.
D.H. HILL SECURITIES, LLLP
D.H. HILL SECURITIES, LLLP
DETALUS SECURITIES, LLC
DETALUS SECURITIES, LLC
HIGHTOWER SECURITIES, LLC
HIGHTOWER SECURITIES, LLC
INNOVATION PARTNERS LLC
INNOVATION PARTNERS LLC
KINGSBURY CAPITAL, INC.
KINGSBURY CAPITAL, INC.
PRIVATE CLIENT SERVICES, LLC
PRIVATE CLIENT SERVICES, LLC
ROYAL ALLIANCE ASSOCIATES, INC.
ROYAL ALLIANCE ASSOCIATES, INC.
VANDERBILT SECURITIES, LLC
VANDERBILT SECURITIES, LLC
WESTPARK CAPITAL, INC
WESTPARK CAPITAL, INC
UNITED PLANNERS- FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
UNITED PLANNERS- FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
DAVID A. NOYES + COMPANY
DAVID A. NOYES + COMPANY
WILMINGTON CAPITAL SECURITIES, LLC
WILMINGTON CAPITAL SECURITIES, LLC
DEMPSEY LORD SMITH, LLC
DEMPSEY LORD SMITH, LLC
DFPG INVESTMENTS, INC.
DFPG INVESTMENTS, INC.
DINOSAUR FINANCIAL GROUP, L.L.C
DINOSAUR FINANCIAL GROUP, L.L.C
FSA SECURITIES CORPORATION
FSC SECURITIES CORPORATION
GREAT POINT CAPITAL LLC
GREAT POINT CAPITAL LLC
LANDOLT SECURITIES, INC.
LANDOLT SECURITIES, INC.
LOWELL + COMPANY, INC.
LOWELL + COMPANY, INC.
INVESTMENT ARCHITECTS, INC
INVESTMENT ARCHITECTS, INC
MCDONALD PARTNERS LLC
MCDONALD PARTNERS LLC
MOLONEY SECURITIES CO., INC.
MOLONEY SECURITIES CO., INC.
MSC - BD, LLC
MSC - BD, LLC
KALOS CAPITAL, INC
KALOS CAPITAL, INC
NEWBRIDGE SECURITIES CORPORATION
NEWBRIDGE SECURITIES CORPORATION
PURSHE KAPLAN STERLING INVESTMENTS
PURSHE KAPLAN STERLING INVESTMENTS
SAGEPOINT FINANCIAL, INC
SAGEPOINT FINANCIAL, INC
MONEY CONCEPTS CAPITAL CORP
MONEY CONCEPTS CAPITAL CORP
SILBER BENNETT FINANCIAL, INC
SILBER BENNETT FINANCIAL, INC
UHLMANN PRICE SECURITIES, LLC
UHLMANN PRICE SECURITIES, LLC
WHITEHALL-PARKER SECURITIES, INC.
WHITEHALL-PARKER SECURITIES, INC.
WOODBURY FINANCIAL SERVICES, INC
WOODBURY FINANCIAL SERVICES, INC
535 WEST 24TH STREET, FLOOR 4, NEW YORK, NY 10011