Principal underwriter Record:
1 |
i. Full name |
Wells Fargo Securities, LLC |
ii. SEC file number (e.g., 8-) |
8-65876 |
iii. CRD number |
000126292 |
iv. LEI, if any | |
v. State, if applicable |
NORTH CAROLINA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Is the principal underwriter an affiliated person of the Registrant, or its investment adviser(s) or depositor?
|
Yes
X
No
|
Principal underwriter Record:
2 |
i. Full name |
Jesup & Lamont, Inc. |
ii. SEC file number (e.g., 8-) |
8-22790 |
iii. CRD number |
000006736 |
iv. LEI, if any | |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Is the principal underwriter an affiliated person of the Registrant, or its investment adviser(s) or depositor?
|
Yes
X
No
|
Principal underwriter Record:
3 |
i. Full name |
GunnAllen Financial, Inc. |
ii. SEC file number (e.g., 8-) |
8-35508 |
iii. CRD number |
000017609 |
iv. LEI, if any | |
v. State, if applicable |
FLORIDA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Is the principal underwriter an affiliated person of the Registrant, or its investment adviser(s) or depositor?
|
Yes
X
No
|
Principal underwriter Record:
4 |
i. Full name |
Morgan Keegan & Company, LLC |
ii. SEC file number (e.g., 8-) |
8-15001 |
iii. CRD number |
000004161 |
iv. LEI, if any | |
v. State, if applicable |
TENNESSEE
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Is the principal underwriter an affiliated person of the Registrant, or its investment adviser(s) or depositor?
|
Yes
X
No
|
Principal underwriter Record:
5 |
i. Full name |
Piper Jaffray & Co. |
ii. SEC file number (e.g., 8-) |
8-15204 |
iii. CRD number |
000000665 |
iv. LEI, if any | |
v. State, if applicable |
MINNESOTA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Is the principal underwriter an affiliated person of the Registrant, or its investment adviser(s) or depositor?
|
Yes
X
No
|
Principal underwriter Record:
6 |
i. Full name |
Anderson & Strudwick, Incorporated |
ii. SEC file number (e.g., 8-) |
8-18206 |
iii. CRD number |
000000048 |
iv. LEI, if any | |
v. State, if applicable |
VIRGINIA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Is the principal underwriter an affiliated person of the Registrant, or its investment adviser(s) or depositor?
|
Yes
X
No
|
Principal underwriter Record:
7 |
i. Full name |
Deutsche Bank Securities Inc. |
ii. SEC file number (e.g., 8-) |
8-17822 |
iii. CRD number |
000002525 |
iv. LEI, if any | |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Is the principal underwriter an affiliated person of the Registrant, or its investment adviser(s) or depositor?
|
Yes
X
No
|
Principal underwriter Record:
8 |
i. Full name |
KeyBanc Capital Markets Inc. |
ii. SEC file number (e.g., 8-) |
8-30177 |
iii. CRD number |
000000566 |
iv. LEI, if any | |
v. State, if applicable |
OHIO
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Is the principal underwriter an affiliated person of the Registrant, or its investment adviser(s) or depositor?
|
Yes
X
No
|
Principal underwriter Record:
9 |
i. Full name |
First Montauk Securities Corp. |
ii. SEC file number (e.g., 8-) |
8-29748 |
iii. CRD number |
000013755 |
iv. LEI, if any | |
v. State, if applicable |
NEW JERSEY
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Is the principal underwriter an affiliated person of the Registrant, or its investment adviser(s) or depositor?
|
Yes
X
No
|
Principal underwriter Record:
10 |
i. Full name |
RBC Capital Markets Corporation |
ii. SEC file number (e.g., 8-) |
8-1672 |
iii. CRD number |
000006579 |
iv. LEI, if any | |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Is the principal underwriter an affiliated person of the Registrant, or its investment adviser(s) or depositor?
|
Yes
X
No
|
Principal underwriter Record:
11 |
i. Full name |
William Blair & Company, L.L.C. |
ii. SEC file number (e.g., 8-) |
8-2698 |
iii. CRD number |
000001252 |
iv. LEI, if any | |
v. State, if applicable |
ILLINOIS
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Is the principal underwriter an affiliated person of the Registrant, or its investment adviser(s) or depositor?
|
Yes
X
No
|
Principal underwriter Record:
12 |
i. Full name |
Johnston, Lemon & Co. Incorporated |
ii. SEC file number (e.g., 8-) |
8-17530 |
iii. CRD number |
000000473 |
iv. LEI, if any | |
v. State, if applicable |
DISTRICT OF COLUMBIA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Is the principal underwriter an affiliated person of the Registrant, or its investment adviser(s) or depositor?
|
Yes
X
No
|
Principal underwriter Record:
13 |
i. Full name |
Crowell, Weedon & Co., Inc. |
ii. SEC file number (e.g., 8-) |
8-3710 |
iii. CRD number |
000000193 |
iv. LEI, if any | |
v. State, if applicable |
CALIFORNIA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Is the principal underwriter an affiliated person of the Registrant, or its investment adviser(s) or depositor?
|
Yes
X
No
|
Principal underwriter Record:
14 |
i. Full name |
STIFEL NICOLAUS & CO INC. |
ii. SEC file number (e.g., 8-) |
8-1447 |
iii. CRD number |
000000793 |
iv. LEI, if any | |
v. State, if applicable |
MISSOURI
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Is the principal underwriter an affiliated person of the Registrant, or its investment adviser(s) or depositor?
|
Yes
X
No
|
Principal underwriter Record:
15 |
i. Full name |
M. L. Stern & Co., LLC |
ii. SEC file number (e.g., 8-) |
8-25028 |
iii. CRD number |
000008327 |
iv. LEI, if any | |
v. State, if applicable |
CALIFORNIA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Is the principal underwriter an affiliated person of the Registrant, or its investment adviser(s) or depositor?
|
Yes
X
No
|
Principal underwriter Record:
16 |
i. Full name |
Huntleigh Securities Corporation |
ii. SEC file number (e.g., 8-) |
8-21893 |
iii. CRD number |
000007456 |
iv. LEI, if any | |
v. State, if applicable |
MISSOURI
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Is the principal underwriter an affiliated person of the Registrant, or its investment adviser(s) or depositor?
|
Yes
X
No
|
Principal underwriter Record:
17 |
i. Full name |
Robert W. Baird & Co. Incorporated |
ii. SEC file number (e.g., 8-) |
8-497 |
iii. CRD number |
000008158 |
iv. LEI, if any | |
v. State, if applicable |
KENTUCKY
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Is the principal underwriter an affiliated person of the Registrant, or its investment adviser(s) or depositor?
|
Yes
X
No
|
Principal underwriter Record:
18 |
i. Full name |
Axiom Capital Management, Inc |
ii. SEC file number (e.g., 8-) |
8-42638 |
iii. CRD number |
000026580 |
iv. LEI, if any | |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Is the principal underwriter an affiliated person of the Registrant, or its investment adviser(s) or depositor?
|
Yes
X
No
|
Principal underwriter Record:
19 |
i. Full name |
Paulson Investment Company LLC |
ii. SEC file number (e.g., 8-) |
8-26807 |
iii. CRD number |
000004560 |
iv. LEI, if any | |
v. State, if applicable |
ILLINOIS
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Is the principal underwriter an affiliated person of the Registrant, or its investment adviser(s) or depositor?
|
Yes
X
No
|
Principal underwriter Record:
20 |
i. Full name |
Dominick & Dickerman LLC |
ii. SEC file number (e.g., 8-) |
8-21076 |
iii. CRD number |
000007344 |
iv. LEI, if any | |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Is the principal underwriter an affiliated person of the Registrant, or its investment adviser(s) or depositor?
|
Yes
X
No
|
Principal underwriter Record:
21 |
i. Full name |
Susquehanna Financial Group, LLLP |
ii. SEC file number (e.g., 8-) |
8-44325 |
iii. CRD number |
000035865 |
iv. LEI, if any | |
v. State, if applicable |
PENNSYLVANIA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Is the principal underwriter an affiliated person of the Registrant, or its investment adviser(s) or depositor?
|
Yes
X
No
|
Principal underwriter Record:
22 |
i. Full name |
Stanford Group Company |
ii. SEC file number (e.g., 8-) |
8-48611 |
iii. CRD number |
000039285 |
iv. LEI, if any | |
v. State, if applicable |
TEXAS
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Is the principal underwriter an affiliated person of the Registrant, or its investment adviser(s) or depositor?
|
Yes
X
No
|
Principal underwriter Record:
23 |
i. Full name |
Oppenheimer & Co. Inc. |
ii. SEC file number (e.g., 8-) |
8-4077 |
iii. CRD number |
000000249 |
iv. LEI, if any | |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Is the principal underwriter an affiliated person of the Registrant, or its investment adviser(s) or depositor?
|
Yes
X
No
|
Principal underwriter Record:
24 |
i. Full name |
Sterne, Agee & Leach, Inc. |
ii. SEC file number (e.g., 8-) |
8-11754 |
iii. CRD number |
000000791 |
iv. LEI, if any | |
v. State, if applicable |
ALABAMA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Is the principal underwriter an affiliated person of the Registrant, or its investment adviser(s) or depositor?
|
Yes
X
No
|
Principal underwriter Record:
25 |
i. Full name |
Citigroup Global Markets Inc. |
ii. SEC file number (e.g., 8-) |
8-8177 |
iii. CRD number |
000007059 |
iv. LEI, if any | |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Is the principal underwriter an affiliated person of the Registrant, or its investment adviser(s) or depositor?
|
Yes
X
No
|
Principal underwriter Record:
26 |
i. Full name |
Northeast Securities Inc. |
ii. SEC file number (e.g., 8-) |
8-42227 |
iii. CRD number |
000025996 |
iv. LEI, if any | |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Is the principal underwriter an affiliated person of the Registrant, or its investment adviser(s) or depositor?
|
Yes
X
No
|
Principal underwriter Record:
27 |
i. Full name |
LaSalle St. Securities, L.L.C. |
ii. SEC file number (e.g., 8-) |
8-18860 |
iii. CRD number |
000007191 |
iv. LEI, if any | |
v. State, if applicable |
ILLINOIS
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Is the principal underwriter an affiliated person of the Registrant, or its investment adviser(s) or depositor?
|
Yes
X
No
|
Principal underwriter Record:
28 |
i. Full name |
Southwest Securities, Inc. |
ii. SEC file number (e.g., 8-) |
8-32458 |
iii. CRD number |
000015637 |
iv. LEI, if any | |
v. State, if applicable |
NEW MEXICO
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Is the principal underwriter an affiliated person of the Registrant, or its investment adviser(s) or depositor?
|
Yes
X
No
|
Principal underwriter Record:
29 |
i. Full name |
SunTrust Robinson Humphrey, Inc. |
ii. SEC file number (e.g., 8-) |
8-17212 |
iii. CRD number |
000006271 |
iv. LEI, if any | |
v. State, if applicable |
GEORGIA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Is the principal underwriter an affiliated person of the Registrant, or its investment adviser(s) or depositor?
|
Yes
X
No
|
Principal underwriter Record:
30 |
i. Full name |
Stephens Inc. |
ii. SEC file number (e.g., 8-) |
8-1927 |
iii. CRD number |
000003496 |
iv. LEI, if any | |
v. State, if applicable |
ARKANSAS
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Is the principal underwriter an affiliated person of the Registrant, or its investment adviser(s) or depositor?
|
Yes
X
No
|
Principal underwriter Record:
31 |
i. Full name |
Wedbush Securities Inc. |
ii. SEC file number (e.g., 8-) |
8-12987 |
iii. CRD number |
000000877 |
iv. LEI, if any | |
v. State, if applicable |
CALIFORNIA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Is the principal underwriter an affiliated person of the Registrant, or its investment adviser(s) or depositor?
|
Yes
X
No
|
Principal underwriter Record:
32 |
i. Full name |
Hoefer & Arnett, Incorporated |
ii. SEC file number (e.g., 8-) |
8-28148 |
iii. CRD number |
000010883 |
iv. LEI, if any | |
v. State, if applicable |
CALIFORNIA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Is the principal underwriter an affiliated person of the Registrant, or its investment adviser(s) or depositor?
|
Yes
X
No
|
Principal underwriter Record:
33 |
i. Full name |
The Seidler Companies Incorporated |
ii. SEC file number (e.g., 8-) |
8-14662 |
iii. CRD number |
000003911 |
iv. LEI, if any | |
v. State, if applicable |
CALIFORNIA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Is the principal underwriter an affiliated person of the Registrant, or its investment adviser(s) or depositor?
|
Yes
X
No
|
Principal underwriter Record:
34 |
i. Full name |
Bishop, Rosen & Co. Inc. |
ii. SEC file number (e.g., 8-) |
8-12140 |
iii. CRD number |
000001248 |
iv. LEI, if any | |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Is the principal underwriter an affiliated person of the Registrant, or its investment adviser(s) or depositor?
|
Yes
X
No
|
Principal underwriter Record:
35 |
i. Full name |
Maxim Group LLC |
ii. SEC file number (e.g., 8-) |
8-65337 |
iii. CRD number |
000120708 |
iv. LEI, if any | |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Is the principal underwriter an affiliated person of the Registrant, or its investment adviser(s) or depositor?
|
Yes
X
No
|
Principal underwriter Record:
36 |
i. Full name |
A. G. Edwards & Sons, LLC |
ii. SEC file number (e.g., 8-) |
8-13580 |
iii. CRD number |
000000004 |
iv. LEI, if any | |
v. State, if applicable |
MISSOURI
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Is the principal underwriter an affiliated person of the Registrant, or its investment adviser(s) or depositor?
|
Yes
X
No
|
Principal underwriter Record:
37 |
i. Full name |
Torrey Pines Securities, Inc. |
ii. SEC file number (e.g., 8-) |
8-35004 |
iii. CRD number |
000017120 |
iv. LEI, if any | |
v. State, if applicable |
CALIFORNIA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Is the principal underwriter an affiliated person of the Registrant, or its investment adviser(s) or depositor?
|
Yes
X
No
|
Principal underwriter Record:
38 |
i. Full name |
Stone & Youngberg LLC |
ii. SEC file number (e.g., 8-) |
8-3149 |
iii. CRD number |
000000795 |
iv. LEI, if any | |
v. State, if applicable |
MISSOURI
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Is the principal underwriter an affiliated person of the Registrant, or its investment adviser(s) or depositor?
|
Yes
X
No
|
Principal underwriter Record:
39 |
i. Full name |
Westminster Financial Securities, Inc. |
ii. SEC file number (e.g., 8-) |
8-38426 |
iii. CRD number |
000020677 |
iv. LEI, if any | |
v. State, if applicable |
OHIO
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Is the principal underwriter an affiliated person of the Registrant, or its investment adviser(s) or depositor?
|
Yes
X
No
|
Principal underwriter Record:
40 |
i. Full name |
Merrill Lynch, Pierce, Fenner & Smith Incorporated |
ii. SEC file number (e.g., 8-) |
8-7221 |
iii. CRD number |
000007691 |
iv. LEI, if any | |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Is the principal underwriter an affiliated person of the Registrant, or its investment adviser(s) or depositor?
|
Yes
X
No
|
Principal underwriter Record:
41 |
i. Full name |
Advest, Inc |
ii. SEC file number (e.g., 8-) |
8-21409 |
iii. CRD number |
000000010 |
iv. LEI, if any | |
v. State, if applicable |
CONNECTICUT
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Is the principal underwriter an affiliated person of the Registrant, or its investment adviser(s) or depositor?
|
Yes
X
No
|
Principal underwriter Record:
42 |
i. Full name |
Harris Nesbitt Corp. |
ii. SEC file number (e.g., 8-) |
8-13978 |
iii. CRD number |
000007299 |
iv. LEI, if any | |
v. State, if applicable |
ILLINOIS
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Is the principal underwriter an affiliated person of the Registrant, or its investment adviser(s) or depositor?
|
Yes
X
No
|
Principal underwriter Record:
43 |
i. Full name |
Ferris, Baker Watts, LLC |
ii. SEC file number (e.g., 8-) |
8-16427 |
iii. CRD number |
000000285 |
iv. LEI, if any | |
v. State, if applicable |
MARYLAND
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Is the principal underwriter an affiliated person of the Registrant, or its investment adviser(s) or depositor?
|
Yes
X
No
|
Principal underwriter Record:
44 |
i. Full name |
Brookstreet Securities Corporation |
ii. SEC file number (e.g., 8-) |
8-31032 |
iii. CRD number |
000014667 |
iv. LEI, if any | |
v. State, if applicable |
CALIFORNIA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Is the principal underwriter an affiliated person of the Registrant, or its investment adviser(s) or depositor?
|
Yes
X
No
|
Principal underwriter Record:
45 |
i. Full name |
David A. Noyes & Company |
ii. SEC file number (e.g., 8-) |
8-22752 |
iii. CRD number |
000000205 |
iv. LEI, if any | |
v. State, if applicable |
ILLINOIS
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Is the principal underwriter an affiliated person of the Registrant, or its investment adviser(s) or depositor?
|
Yes
X
No
|
b. Have any principal underwriters been hired or terminated during the reporting period?
|
Yes
X
No
|