You can download a PDF of the Broker Protocol here.
To learn more, read RIABiz articles about the Broker Protocol.
| Name of Firm | Date of Joining Protocol |
|---|---|
| Citigroup Global Markets Inc. ("SmithBarney") | Founding Member |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Founding Member |
| UBS Financial Services Inc. | Founding Member |
| Stephens Inc. | August 19, 2004 |
| UBS International Inc. | March 7, 2005 |
| Wells Fargo Advisors, LLC (formerly Wachovia Securities LLC) | January 10, 2006 |
| Wells Fargo Advisors Financial Network,
LLC (formerly Wachovia Securities Financial Network LLC) | January 10, 2006 |
| Smith Hayes Financial Services, Corp. | April 19, 2006 |
| Davenport & Company LLC | May 11, 2006 |
| Raymond, James & Associates, Inc. | July 31, 2006 |
| Corestates Capital Advisors, LLC | September 12, 2006 |
| Managed Account Services, LLC | September 19, 2006 |
| Stanford Group Company | October 12, 2006 |
| Mill Creek Capital Advisors, LLC | October 19, 2006 – |
| Morgan Stanley & Co. Incorporated | October 6, 2006 |
| Captrust Financial Advisors | November 14, 2006 |
| Cutter and Company, Inc. | November 20, 2006 |
| TD Wealth Management Services, Inc. (formerly Commerce Capital Markets, Inc.) | December 14, 2006 |
| Retirement & Investment Group, LLC | January 12, 2007 |
| Alexandra & James Co. | January 30, 2007 |
| MICG Investment Management | February 1, 2007 |
| Telemus Investment Brokers, LLC | February 14, 2007 |
| Jefferies & Company, Inc. | February 15, 2007 |
| A.G. Edwards & Sons, Inc. | March 1, 2007 |
| Cambridge Investment Research Advisors | March 2, 2007 |
| Cambridge Investment Research, Inc. | March 2, 2007 |
| Purshe Kaplan Sterling Investments, Inc. | March 9, 2007 |
| Summit Brokerage Services, Inc. | May 3, 2007 |
| Concert Wealth Management, Inc. | May 14, 2007 |
| Cypress Wealth Management, LLC | June 1, 2007 |
| Focus Financial Partners | June 20, 2007 Withdrew as Member (Notice Provided July 17, 2012) |
| Biltmore Capital Advisors, LLC | August 22, 2007 |
| Signature Securities | September 24, 2007 |
| Wheeler Financial, LLC | October 4, 2007 |
| The Retirement Planning Group | October 9, 2007 |
| Constellation Wealth Advisors, LLC | October 22, 2007 |
| Cary Street Partners Holdings, LLC | November 12, 2007 |
| Credit Suisse Securities (USA) LLC | November 20, 2007 |
| Kovack Securities, Inc. | December 6, 2007 |
| U.S. Fiduciary, Inc. | December 17, 2007 |
| Gurtin Fixed Income Management, LLC (formerly WillStar8, LLC) | January 22, 2008 |
| Delta Equity Services Corporation | February 6, 2008 |
| Freestone Capital Management, Inc. | February 15, 2008 |
| Highline Wealth Management LLC | March 6, 2008 |
| Valley Wealth, Inc. | March 7, 2008 |
| Seneca Wealth Strategies, LLC | March 13, 2008 |
| Thomas McDonald Partners, LLC | March 19, 2008 |
| Folger Nolan Fleming Douglas Incorporated | March 28, 2008 |
| HRC Investment Services, Inc. | March 31, 2008 |
| H. Beck, Inc. | April 2, 2008 |
| SeaCrest Wealth Management, LLC | April 23, 2008 |
| HighTower Securities, LLC (formerly United Fiduciary Securities, LLC) | April 25, 2008 & updated October 22, 2008 |
| WealthTrust Consulting Services, LLC | May 1, 2008 |
| NRP Financial, Inc. NRP Advisors, Inc. | May 5, 2008 Withdrew as Member (Notice Provided February 10, 2011) |
| Luminous Capital Holdings, LLC | May 7, 2008 |
| PW Capital LLC doing business as P & W Global Advisors | May 9, 2008 |
| Malaga Cove Capital, LLC | May 28, 2008 |
| D. A. Davidson & Co. | May 29, 2008 |
| Triad Advisors, Inc. | June 2, 2008 |
| Middlecove Capital LLC | June 6, 2008 |
| Oakview Capital Management, L.L.C. | June 9, 2008 |
| United Advisors, LLC | June 12, 2008 |
| NWF Advisory Group, Inc. NWF Advisory Services, Inc. New World Financial and Insurance Services, Inc. | June 25, 2008 |
| KMS Financial Services, Inc. | June 25, 2008 |
| Allen & Company of Florida, Inc. | June 26, 2008 |
| RBC Capital Markets Corporation | July 1, 2008 |
| Arcus Capital Management, LLC | July 1, 2008 |
| TCM Advisors, LLC | July 2, 2008 |
| Decision Investments, Inc. | July 11, 2008 |
| Copperwynd Financial LLC | July 28, 2008 |
| First Financial Equity Corp. | July 28, 2008 |
| Capital Insight Partners, LLC | August 1, 2008 |
| Signalpoint Asset Management LLC | August 4, 2008 |
| Stifel Nicolaus & Company,
Incorporated Century Securities Associates, Inc. | August 7, 2008 |
| Courage Partners, LLC | Friday, August 15, 2008 |
| Mutual Securities, Inc. | August 15, 2008 |
| Red Triangle, LLC | August 20, 2008 |
| Syntrinsic Investment Counsel, LLC | August 20, 2008 |
| Optimum Wealth Management, LLC dba Green Family Wealth Management | August 21, 2008 |
| Convergent Wealth Advisors, LLC | August 21, 2008 Withdrew as Member (Notice provided September 27, 2010) |
| Sagent Capital, LLC | August 28, 2008 |
| Monarch Capital, Inc. | August 29, 2008 |
| Silver Oak Securities, Inc | September 3, 2008 |
| Nelson Investment Advisors LLC | September 3, 2008 |
| LPL Financial Corporation | September 4, 2008 |
| First Allied Securities, Inc. | September 10, 2008 |
| Samoset Capital Group LLC | September 15, 2008 |
| Renaissance Financial Corporation | September 17, 2008 |
| RWWM, Inc. doing business as Roseman Wagner Wealth Management | September 24, 2008 |
| Uhlmann Price Securities, LLC | September 23, 2008 |
| ICW Investment Advisors LLC | October 8, 2008 Withdrew as Member (Notice Provided November 8, 2010) |
| FMA Advisory, Inc. | October 8, 2008 Withdrew as Member (Notice Provided August 4, 2010) |
| BSH Financial Services, LLC | October 9, 2008 |
| White Oak Wealth Advisors, LLC | October 10, 2008 |
| Nutmeg Securities, Ltd. | October 14, 2008 |
| Sterne Agee Financial Services, Inc. | October 16, 2008 |
| HighTower Advisors, LLC | October 24, 2008 |
| Martin Thomas Wealth Management LLC | October 24, 2008 |
| Sterne, Agee & Leach, Inc. | October 28, 2008 |
| Moors & Cabot, Inc. | October 28, 2008 |
| Meeschaert Capital Markets, Inc. | October 31, 2008 |
| Delta, L.L.C. | November 4, 2008 |
| Dominick & Dominick LLC | November 4, 2008 |
| Mariner Wealth Advisors, LLC | November 7, 2008 |
| Janney Montgomery Scott LLC | November 7, 2008 |
| Stanford Capital Management, LLC | November 7, 2008 |
| Gratus Capital Management, LLC | November 14, 2008 |
| Wunderlich Securities, Inc. | November 14, 2008 |
| Prospera Financial Services, Inc. | November 17, 2008 |
| Bannerstone Capital Management, LLC | November 20, 2008 |
| Level Paths, LLC | November 21, 2008 |
| Investment Centers of America, Inc. | November 25, 2008 |
| SII Investments, Inc. | November 25, 2008 |
| National Planning Corporation | November 25, 2008 |
| Anderson & Strudwick | November 25, 2008 |
| City Securities Corporation | November 25, 2008 |
| Mid Atlantic Capital Corporation | November 25, 2008 |
| Pandolfo Capital LLC (formerly PCapital, LLC) | December 2, 2008 |
| Tampa Asset Management, LLC | December 2, 2008 |
| Fulton Financial Advisors | December 10, 2008 |
| J. A. Glynn & Co. | December 10, 2008 |
| Rehmann Capital Advisory Group, LLC | December 11, 2008 |
| Main Street Financial Solutions, LLC | December 16, 2008 |
| Allegiance Capital, LLC | December 22, 2008 |
| Sheaff Brock Investment Advisors, LLC | December 22, 2008 |
| Fulcrum Securities, Inc. | January 5, 2009 |
| Fowler Financial Group, Inc. | January 5, 2009 |
| Agate Asset Management, LLC | January 5, 2009 |
| Spire Investment Partners | January 5, 2009 |
| David A. Noyes & Company | January 13, 2009 |
| Westminster Financial Securities, Inc. | January 13, 2009 |
| VIMA, LLC | January 23, 2009 |
| Brighton Wealth Management, Inc. | January 23, 2009 |
| Winslow, Evans & Crocker, Inc. | January 23, 2009 |
| Advisers Investment Management, Inc. | January 23, 2009 |
| BPU Investment Management Inc. | January 23, 2009 |
| VSR Financial Services, Inc. | January 23, 2009 |
| Capital Guardian, LLC | January 23, 2009 |
| Thurston, Springer, Miller, Herd & Titak, Inc. | January 23, 2009 |
| Actinver Securities, Inc. | January 26, 2009 |
| PCG Asset Management, LLC | January 26, 2009 |
| Heller Capital Resources | January 27, 2009 |
| Blue Creek Securities, LLC | January 27, 2009 |
| Sunbelt Securities | January 30, 2009 |
| Cantella & Co., Inc. | January 30, 2009 |
| Providence Wealth Advisory, LLC | January 30, 2009 |
| MPWA, Inc. dba Mestmaker & Petrey Wealth Advisors | February 2, 2009 |
| Sigma Financial Corporation | February 2, 2009 |
| Hazlett, Burt & Watson, Inc. | February 4, 2009 |
| Saxony Securities, Inc. | February 4, 2009 |
| Campbell Wealth Management Inc. dba Campbell Wealth Management Group | February 5, 2009 |
| Broadleaf Partners, LLC | February 5, 2009 |
| Capital Investment Advisors, Inc. | February 6, 2009 Withdrew as Member (Notice Provided January 31, 2011) |
| Beacon Capital Advisors, Inc. | February 6, 2009 |
| E.K. Riley Investments, LLC | February 9, 2009 |
| Delaware Valley Financial Group, Inc. | February 11, 2009 |
| Oppenheimer & Co. Inc. | February 12, 2009 |
| ClearPath Wealth Management, LLC | February 12, 2009 |
| Anthony M. Bondoch & Associates, LLC | February 12, 2009 |
| EFG, Inc. | February 12, 2009 |
| Callaway Financial Services, Inc. | February 17, 2009 |
| Edge Wealth Management, LLC | February 17, 2009 |
| Parallel Advisors, LLC | February 19, 2009 |
| Vanderbilt Securities, LLC | February 23, 2009 |
| Davis Securities LLC Davis Management, LLC (d/b/a Davis Capital Advisors) | March 3, 2009 |
| Robinswood Financial LLC | March 3, 2009 |
| James Caird Capital Partners, LLC | March 3, 2009 |
| Alpine Wealth Management LLC | March 3, 2009 |
| Hutchinson Financial, Inc. | March 4, 2009 |
| KFG Enterprises, Inc. and Kentucky Financial Group, Inc. and Private Client Services, Inc. | March 4, 2009 |
| Financial Advisers of America, LLC | March 5, 2009 |
| AFA Financial Group, LLC | March 9, 2009 Withdrew as Member (Notice Provided June 24, 2010) |
| Next Financial Group, Inc. | March 9, 2009 |
| Teak Tree Capital Management, LLC (formerly Rogers Wealth Management, LLC) | March 9, 2009 |
| Blue Prairie Group, LLC | March 10, 2009 |
| Biondo Asset Management, LLC | March 10, 2009 |
| Lara, Shull & May | March 12, 2009 |
| Sunset Partners Capital Management, LLC | March 12, 2009 |
| Ponte Vedra Financial, LLC | March 12, 2009 |
| James G. Anthony Financial Group, Inc. | March 13, 2009 |
| Morgan Keegan & Company, Inc. | March 16, 2009 |
| Riverstone Wealth Management | March 16, 2009 |
| RHS Financial LLC | March 16, 2009 |
| White Space Financial LLC | March 16, 2009 |
| Capital Investment Group, Inc., Capital Investment Brokerage, Inc. | March 16, 2009 |
| Pacific West Securities, Inc. | March 17, 2009 Withdrew as Member (Notice Provided June 21, 2012) |
| Eagle One Investments | March 17, 2009 |
| Integrated Wealth Management, Inc. | March 17, 2009 |
| Benjamin F. Edwards & Co., Inc. | March 17, 2009 |
| Elzey Financial Group | March 17, 2009 |
| Starry Financial Group | March 17, 2009 |
| American Money Management, LLC | March 17, 2009 |
| Signature Bank of Arkansas | March 19, 2009 |
| Glickenhaus & Co. | March 19, 2009 |
| DiLauro Financial Services, Inc. | March 19, 2009 |
| Zick Whitted Group, Inc. | March 19, 2009 |
| Americap Wealth Management | March 25, 2009 |
| Fintegra, LLC | March 25, 2009 |
| Strategic Portfolio Advisors | March 25, 2009 |
| Guillet Capital Management LLC | March 25, 2009 |
| SMH Capital Inc. | March 25, 2009 |
| Gamble Jones Investment Counsel | March 27, 2009 |
| Peroff Financial Group | March 27, 2009 |
| Walnut Street Securities, Inc. | March 27, 2009 |
| Tower Square Securities, Inc. | March 27, 2009 |
| SGB and LMC, Inc. | March 27, 2009 |
| Rothschild Investment Corporation | March 27, 2009 |
| Infinium Investment Advisors, LLC | March 30, 2009 |
| Lexington Wealth Management | April 2, 2009 Withdrew as Member (Notice Provided December 5, 2011) |
| NFP Securities, Inc. | April 2, 2009 |
| Plant Investment Services, Inc. | April 2, 2009 |
| AF Advisors, Inc. | April 7, 2009 |
| Woodbury Financial Services, Inc. | April 7, 2009 |
| Smith, Moore and Co. | April 7, 2009 |
| Confidential Management Financial Services, Inc. | April 9, 2009 |
| Confidential Management Planning Services, Inc. | April 9, 2009 |
| Fingerlakes Wealth Management, Inc. | April 9, 2009 |
| Exeter Financial, LLC | April 14, 2009 |
| Partners Investment Network, Inc. | April 14, 2009 |
| Cresap, Inc. | April 16, 2009 |
| Georgina Asset Management, LLC | April 16, 2009 |
| Riverflow Wealth Management, LLC | April 20, 2009 |
| Retirement Planning Services, Inc. | April 21, 2009 |
| Northland Capital Management, LLC | April 21, 2009 |
| Financeware, Inc. dba Wealthcare Capital Management | April 24, 2009 |
| ClearRock Capital, LLC | April 24, 2009 |
| Compass Financial Advisors, LLC | April 24, 2009 |
| First Harbor Financial Services, Inc. | April 24, 2009 |
| Zufall Financial Services, LLC | April 24, 2009 |
| Peak Wealth Advisors, Inc. | April 24, 2009 |
| Clearview Investment Partners, LLC | April 24, 2009 |
| Southwest Securities, Inc. | May 1, 2009 |
| True North Capital Group, Inc. | May 1, 2009 |
| Western International Securities, Inc. | May 1, 2009 |
| Wedbush Morgan Securities | May 4, 2009 |
| Arthur W. Wood Company, Inc. | May 4, 2009 |
| WMS Partners, LLC | May 8, 2009 |
| Crowell, Weedon & Co. | May 8, 2009 |
| Kapp Scanlon Financial Group | May 8, 2009 |
| Watermark Financial Services, Inc. | May 8, 2009 |
| Lake Superior Financial Services, Inc. | May 8, 2009 |
| JJD & Associates, Inc. | May 8, 2009 |
| Compass Capital Management, Inc. | May 8, 2009 |
| American Heritage Securities, Inc. | May 12, 2009 |
| EGI Financial, Inc. | May 15, 2009 |
| Shaffer Capital Advisers, LLC Shaffer Capital, LLC | May 15, 2009 |
| Washington Square Capital Management LLC | May 15, 2009 |
| Integrity Financial Advisors, LLC | May 15, 2009 |
| Microsigma Capital Management, LLC | May 15, 2009 |
| Resource Horizons Group, LLC | May 19, 2009 |
| Winans International, Inc. | May 19, 2009 |
| Wealth Service Team, LLC | May 22, 2009 |
| Champion Forest Financial Advisors | May 22, 2009 |
| Harrison & Company Wealth Management, LLC | May 22, 2009 |
| Alpha Omega Wealth Management, LLC | May 22, 2009 |
| Avisen Securities, Inc. | May 22, 2009 |
| Stillwater Capital Advisors, LLC | May 28, 2009 |
| Aventura Securities, LLC | May 28, 2009 |
| Chapin Davis, Inc. | June 1, 2009 |
| Capital Strategies Investment Group, LLC | June 1, 2009 |
| Morgan Stanley Smith Barney LLC | June 1, 2009 |
| McAdams Wright Ragen, Inc. | June 4, 2009 |
| Golden Assets, LLC | June 4, 2009 |
| PWM, LLC | June 4, 2009 |
| Servus Capital Management LLC | Effective June 5, 2009 |
| Extraco Banks | June 5, 2009 |
| The Kerr Mowry Porush Group, LLC | June 5, 2009 |
| DW Advisors LLC dba Daniel Wealth Advisors | June 5, 2009 |
| Liberty Bank Liberty Bank Investment Services | June 5, 2009 |
| Grey Owl Capital Management, LLC | June 5, 2009 |
| Polaris Equity Management, Inc. | June 5, 2009 |
| FSC Securities Corporation | June 5, 2009 |
| Royal Alliance Associates, Inc. | June 5, 2009 |
| SagePoint Financial, Inc. | June 5, 2009 |
| WESPAC Advisors, LLC | June 9, 2009 |
| Yellowstone Partners LLC | June 9, 2009 |
| DeSeranno Corp. | June 9, 2009 |
| Donnelly Steen & Company | June 9, 2009 |
| Luminous Capital, LLC | June 9, 2009 |
| Capital Wealth Partners, LLC | June 11, 2009 |
| Ameriprise Advisor Services, Inc. | June 11, 2009 |
| Ameriprise Financial Services, Inc. | June 11, 2009 |
| Financial Principles, LLC | June 16, 2009 |
| Congress Park Capital LLC | June 16, 2009 |
| Concert Private Wealth Advisor Solutions LLC | June 16, 2009 |
| Hancock Securities Group LLC | June 18, 2009 |
| MAM Wealth Management, LLC | June 19, 2009 |
| The Investment Center, Inc. | June 19, 2009 |
| Hynes, Himmelreich, Glennon & Company | June 24, 2009 |
| LaSalle St. Securities, LLC | June 24, 2009 |
| Ridgeway & Conger, Inc. | June 24, 2009 |
| Elliott Davis Brokerage Services, LLC | June 24, 2009 |
| Elliott Davis Investment Advisory Services, LLC | June 24, 2009 |
| Holden Global Financial Consulting, LLC | June 26, 2009 |
| Blossom Wealth Management LLC | June 30, 2009 |
| Glen Eagle Advisors, LLC | June 30, 2009 |
| M Advisory Group | July 2, 2009 |
| PKS Advisory Services, LLC | July 9, 2009 |
| Pinnacle Investments, LLC | July 9, 2009 |
| Bridgeway Wealth Services, LLC | July 9, 2009 |
| Chicago Investment Group, LLC | July 17, 2009 |
| Brighton Jones LLC | July 17, 2009 Withdrew as Member (Notice Provided November 14, 2011) |
| Westport Resources Investment Services | July 20, 2009 |
| Lanier Asset Management, LLC | July 20, 2009 |
| Palmetto Wealth Management LLC | July 20, 2009 |
| Wilbanks, Smith & Thomas Asset Management, LLC | July 20, 2009 |
| Yanke Financial, LLC | July 22, 2009 |
| WFG Investments, Inc. | July 22, 2009 |
| Hoxton Financial, Inc. | July 23, 2009 |
| Ace Financial Concepts, LLC | July 23, 2009 |
| National Securities Corporation | July 23, 2009 |
| Wayne Hummer Investments LLC | July 27, 2009 |
| DeMoss Capital, Inc. | July 28, 2009 |
| BCG Securities, Inc. | July 30, 2009 |
| The Fishel Group, Inc. | July 31, 2009 |
| Diastole Wealth Management, Inc. Collective Financial Services, LLC | July 31, 2009 |
| Integral Investment Advisors, Inc. | July 31, 2009 |
| Three Bridge Wealth Advisors, LLC | August 6, 2009 |
| Fusion Analytics Investment Partners, LLC | August 6, 2009 |
| Celadon Financial Group, LLC | August 6, 2009 |
| Up North Financial, LLC | August 6, 2009 |
| Artience Capital Management, LLC | August 10, 2009 |
| Breakwater Investment Management, LLC | August 14, 2009 |
| Dempsey Lord Smith, LLC | August 14, 2009 |
| Parrish & Company Private Wealth Management, LLC | August 14, 2009 |
| JFS Wealth Advisors, LLC | August 14, 2009 |
| Pillar Wealth Management Co. | August 20, 2009 |
| Capitol Securities Management | August 20, 2009 |
| Garde Capital, Inc. | August 20, 2009 |
| Capital Investment Management Group, Inc.
dba The Sullivan Group | August 20, 2009 |
| Smith & Howard Wealth Management | August 20, 2009 |
| Deuce Management, LLC | August 26, 2009 |
| Sloan Wealth Management, LLC | August 26, 2009 |
| Chicago Investment Group Advisors, LLC | August 26, 2009 |
| Anlyan & Hively Asset Management | August 28, 2009 |
| Goodrich Asset Management LLC | August 28, 2009 |
| Beacon Point Wealth Advisors | August 28, 2009 |
| Guardian Capital Advisors, LLC | August 31, 2009 |
| Lincoln Financial Advisors Corporation | August 31, 2009 |
| Lincoln Financial Securities Corporation | August 31, 2009 |
| Vellum Financial LLC | August 31, 2009 |
| Trustmont Financial Group, Inc. | August 31, 2009 |
| ToTy, Inc. | September 11, 2009 |
| ClaraPHI | September 11, 2009 |
| Lovett Financial Advisors, LLC | September 11, 2009 |
| Greystoke Consulting Inc. | September 17, 2009 |
| Landolt Securities, Inc. | September 17, 2009 |
| Greenwich Wealth Management LLC | September 17, 2009 |
| Dignitas, LLC | September 17, 2009 |
| World Equity Group, Inc. | September 17, 2009 |
| New York Wealth Management, LLC | September 17, 2009 |
| M. Griffith Investment Services, Inc. | September 25, 2009 |
| Moneta Group Investment Advisors, LLC | September 25, 2009 |
| Alliant Securities, Inc. | September 25, 2009 |
| Girard Securities, Inc. | September 25, 2009 |
| Anderson Wealth Management, Inc. | September 25, 2009 |
| Financial Benefit Services Corporation | September 25, 2009 |
| Dogwood Capital Advisors, LLC | September 25, 2009 |
| Brewer Investment Group, LLC Brewer Financial Services, LLC Brewer Investment Advisors, LLC | September 25, 2009 |
| DP Wealth Management, LLC | October 2, 2009 |
| Iron Capital Advisors, LLC Iron Capital Securities, LLC | October 2, 2009 |
| Comprehensive Asset Management and
Servicing, Inc. Comprehensive Capital Management | October 2, 2009 |
| American National Investment Advisors, LLC | October 2, 2009 |
| InterOcean Capital, LLC | October 2, 2009 |
| Philadelphia Investment Partners, LP | October 8, 2009 |
| Mentor Wealth Management, LLC | October 8, 2009 |
| Kubhera Enterprises, LLC | October 8, 2009 |
| NDWM, LLC d/b/a Nerad & Deppe Wealth Management | October 8, 2009 |
| Capital Advisory Group, LLC | October 19, 2009 |
| Nike Investment Partners, LLC | October 23, 2009 |
| Lifeline Wealth Advisors, Inc. | October 23, 2009 |
| Exos Advisors, LLC Exos Securities, LLC | October 30, 2009 |
| Verity Investments, Inc. Verity Asset Management | October 30, 2009 |
| Forefront Advisory, LLC | October 30, 2009 |
| Cactus Wealth Adisors, LLC | November 6, 2009 |
| Bounds & Company LLC | November 6, 2009 |
| Summit Creek Capital LLC | November 6, 2009 |
| Buckingham Asset Management, LLC | November 12, 2009 Withdrew as Member (Notice Provided July 23, 2012) |
| LWealth LLC | November 12, 2009 |
| Lakeview Capital Management LLC | November 16, 2009 |
| First Legacy Securities, LLC | November 16, 2009 |
| Dougherty & Company LLC | November 16, 2009 |
| TPG Advisors LLC dba The Phillips Group Advisors | November 16, 2009 |
| Aqua Capital Advisors LLC | November 16, 2009 |
| Zeit Capital LLC dba Zeit Capital | November 16, 2009 |
| Edge Capital Partners, LLC | November 20, 2009 |
| InvestForLess, LLC | November 20, 2009 |
| Investment & Retirement Solutions LLC | November 20, 2009 |
| Frank Financial, LLC | November 27, 2009 |
| Synergy Investment Group, LLC | November 27, 2009 |
| First Landing Financial, LLC | December 4, 2009 |
| National Asset Management, Inc. | December 4, 2009 |
| BFT Financial Group, LLC | December 11, 2009 |
| Signature Financial Management | December 11, 2009 |
| Madison Financial Group, LLC | December 11, 2009 |
| HonigstockGroup, LLC | December 11, 2009 |
| Collar Capital Management, LLC | December 11, 2009 |
| McGervey Wealth Management, LLC | December 16, 2009 |
| Meridian Wealth Management, LLC | December 16, 2009 |
| Harbor Financial Services, LLC | December 21, 2009 |
| Madison Avenue Securities, Inc. | December 21, 2009 |
| Vanguard Capital | December 21, 2009 |
| Advanced Financial Strategists, Inc. | December 21, 2009 |
| Bass Investors, LLC | December 21, 2009 |
| William Blair & Company | December 21, 2009 |
| Gateway Advisory, LLC | January 5, 2010 |
| McDermott Armati Wealth Strategies LLC | January 5, 2010 |
| Arete Wealth Management LLC | January 8, 2010 |
| Schilbach Capital Strategies, LLC | January 8, 2010 |
| DWM Advisors, LLC | January 22, 2010 |
| Private Wealth Northwest, LLC | January 22, 2010 |
| Beverly Hills Wealth Management, LLC | January 22, 2010 |
| Robinson, Tigue, Sponcil & Associates, LLC | January 22, 2010 |
| Biltmore Wealth Management, LLC | January 22, 2010 |
| Peninsula Wealth LLC | January 22, 2010 |
| JHJ Financial LLC | January 29, 2010 |
| JHS Capital Advisors, Inc. | January 29, 2010 |
| Korving & Company, LLC | January 29, 2010 |
| Berthel Fisher & Company Financial Services, Inc. | January 29, 2010 |
| Summit Asset Strategies Wealth Management, LLC | February 4, 2010 |
| C-PAS, LLC | February 4, 2010 |
| Affinity Wealth Services, LLC | February 4, 2010 |
| Brown Associates, Inc. | February 4, 2010 |
| Summit Alliance Securities, LLC Summit Alliance Advisors, LLC | February 10, 2010 |
| Harbor Investment Advisory, LLC | February 10, 2010 |
| Pure Capital Management Limited | February 10, 2010 |
| Investment Professionals, Inc. | February 19, 2010 |
| Baldwin Management LLC | February 19, 2010 |
| ChiVest LLC Meritrust LLC | February 19, 2010 |
| The Kavits/Frey Group, LLC | February 19, 2010 |
| HyLine Wealth Solutions, LLC | February 19, 2010 |
| Investment Architects, Inc. Resource Investment Architects, Inc. | February 19, 2010 |
| Hardin Capital Partners, LLC | February 26, 2010 |
| TransAm Securities, Inc. Certified Advisory Corp. | February 26, 2010 |
| JEF Financial Advisors, LLC | February 26, 2010 |
| Fisette Financial Services, LLC | February 26, 2010 |
| Peachtree Wealth Management, LLC | March 2, 2010 |
| C.B. Investment Services LLC | March 2, 2010 |
| Advocate Asset Management, LLC | March 2, 2010 |
| Glenmore Advisors, LLC | March 2, 2010 |
| Mt. Eden Investment Advisors, LLC | March 8, 2010 Withdrew as Member (Notice Provided May 24, 2011) |
| Northstar Wealth Advisors, LLC | March 8, 2010 |
| Arete Wealth Advisors, LLC | March 8, 2010 |
| Ataraxis Financial, LLC | March 12, 2010 |
| Centennial Securities Company LLC | March 12, 2010 |
| Frontier Wealth Management, LLC | March 12, 2010 |
| Medich, Brienza & Associates, LLC | March 12, 2010 |
| NWAM, LLC dba Northwest Asset Management | March 12, 2010 |
| Waddell & Reed, Inc. | March 12, 2010 |
| Thomas Financial Associates Inc. | March 19, 2010 |
| Center Street Wealth Strategies, LLC | March 19, 2010 |
| Client First Financial Services, LLC | March 19, 2010 |
| Ensemble Financial Services | April 1, 2010 |
| Fitch Wealth Management Group, L.L.C. | April 1, 2010 |
| Family Office Group LLC | April 1, 2010 |
| TriCor Financial, LLC | April 1, 2010 |
| QA3 Financial Corp. | April 1, 2010 |
| Denali Wealth Management, Inc. | April 1, 2010 |
| Dynamic Wealth Advisors | April 14, 2010 |
| Sequoia Wealth Management Group LLC | April 14, 2010 |
| First Citizens Bank | April 14, 2010 Withdrew as Member (Notice Provided June 30, 2011) |
| Pacific West Financial Consultants, Inc. | April 23, 2010 Withdrew as Member (Notice Provided June 21, 2012) |
| Viceroy Consulting LLC Viceroy Private Wealth LLC | April 23, 2010 |
| Financial Insights, Inc. | April 23, 2010 |
| TLA Capital Management, LLC | April 23, 2010 |
| SF Sentry Securities, Inc. | April 23, 2010 |
| Acela Capital Management, LLC | April 23, 2010 |
| Kenilworth Asset Management, LLC | April 23, 2010 |
| Spyglass Securities, LLC | April 30, 2010 |
| Roush Investments, LLC | April 30, 2010 |
| Hausinger Financial, LLC | May 6, 2010 |
| Wealth Management Network, LLC | May 6, 2010 |
| Brookstone Securities, Inc. | May 6, 2010 |
| Gore Mountain Advisors, LLC | May 6, 2010 |
| Roth Financial Partners, LLC | May 6, 2010 |
| Beacon Pointe Advisors | May 14, 2010 |
| ArcLight Asset Management, LLC | May 14, 2010 |
| Dynasty Financial Partners, LLC | May 14, 2010 |
| Tortuga Wealth Management, Inc. | May 14, 2010 |
| Financial Network Investment Corporation | May 14, 2010 |
| Multi-Financial Securities Corporation | May 14, 2010 |
| Prestige Capital Advisors, LLC | May 17, 2010 |
| HBA Advisers, LLC dba Haybel, Biel & Associates | May 19, 2010 |
| Insight Wealth Partners, LLC | May 19, 2010 |
| Palladium Partners, LLC | May 20, 1010 |
| Leonard Securities, Inc. | May 20, 1010 |
| Sigma Investment Counselors | May 20, 1010 Withdrew as Member (Notice Provided July 23, 2012) |
| Anchor Investment management, LLC | May 21, 2010 |
| Leerink Swann, LLC | May 24, 2010 |
| Albright Wealth Management | May 24, 2010 |
| TDC Advisors, Inc | May 28, 2010 |
| Fieldpoint Private Bank & Trust | June 2, 2010 |
| Glovista Investments LLC | June 2, 2010 |
| Tamar Securities LLC | June 3, 2010 |
| Maine Asset Management, LLC | June 9, 2010 |
| PRIME Financial Services, Inc. | June 11, 2010 |
| Hatton Consulting, Inc. | June 16, 2010 |
| Advisory Services Network, LLC | June 16, 2010 |
| Partnervest Advisory Services, LLC | June 17, 2010 |
| Atlanta Wealth Partners, LLC | June 17, 2010 |
| TWS Financial, LLC | June 17, 2010 |
| Sanctuary Wealth Services LLC | June 18, 2010 |
| Wolfson Wealth Management | June 18, 2010 |
| Savant Capital Management | June 21, 2010 Withdrew as Member (Notice Provided May 1, 2012) |
| Colony Park Financial Services, LLC | June 21, 2010 |
| Professional Financial Management, Inc. | June 22, 2010 |
| Saxon Financial Group | June 22, 2010 |
| Quad-Cities Investment Group, LLC | June 23, 2010 |
| Waycross Investment Management Company | June 25, 2010 |
| Vere Asset Management Inc. | June 25, 2010 |
| EVIM, LLC | July 2, 2010 |
| Scenic Wealth Management LLC | July 6, 2010 |
| O'Dell Jarvis Mandell LLC | July 8, 2010 |
| KC Asset Management, Inc. | July 12, 2010 |
| Umpqua Investments, Inc | July 13, 2010 |
| TWM Group LLC d/b/a Tower Financial | July 13, 2010 |
| B.C. Ziegler and Company | July 13, 2010 |
| Retirement Wealth Strategies, LLC | July 13, 2010 |
| Pure Wealth Management, Inc. | July 13, 2010 |
| Capital Management Partners, LLC | July 14, 2010 |
| Arsenal Investment Advisors, LLC | July 16, 2010 |
| Grand Strategy Capital LLC | July 19, 2010 |
| LTC Financial Services, Ltd. | July 22, 2010 |
| The Driscoll Group Inc. | July 22, 2010 |
| Cascade Financial Management Inc. | July 22, 2010 |
| Thomas Investment Management | July 23, 2010 |
| Nova Financial LLC | July 23, 2010 |
| Signature Estate and Investment Advisors, LLC (“SEIA”) | July 26, 2010 |
| Investment Partners Of Acadiana | July 27, 2010 |
| Landvik Financial | July 27, 2010 |
| Cambridge Wealth Management, LLC | August 9, 2010 |
| Nationwide Planning Associates, Inc. | August 11, 2010 |
| NPA Financial Services, Inc | August 11, 2010 |
| Questis Advisor Partners, LLC | August 13, 2010 |
| Sanner Financial Services | August 16, 2010 |
| The ETF Store, Inc. | August 16, 2010 |
| Trend Modus Capital Management LLC | August 19, 2010 |
| PrimeSolutions Securities, Inc | August 24, 2010 |
| Scott & Stringfellow, LLC | August 24, 2010 |
| Southwest Ohio Investment Advisory, LLC | August 26, 2010 |
| Generation Capital Management LLC | August 26, 2010 |
| McLean Asset Management Corporation | August 27, 2010 |
| Vantage Investment Advisors, LLC | September 2, 2010 |
| Krilogy Financial | September 2, 2010 |
| Level Four Advisory Services, LLC | September 7, 2010 |
| Vector Wealth Management, LLC | September 9, 2010 Withdrew as Member (Notice Provided November 6, 2011) |
| TAG Securities, Inc. | September 21, 2010 |
| CenTrust Wealth Management, Inc. | September 21, 2010 |
| Sapient Private Wealth management, LLC | September 22, 2010 |
| Southland Equity Partners | September 23, 2010 |
| Crossroads Wealth Services LLC | September 23, 2010 |
| Whitener Capital Management, Inc. | September 26, 2010 |
| U.S. Capital Advisors | September 27, 2010 |
| Danversbank Private Wealth Group | September 28, 2010 |
| HA&W Wealth Management, LLC | September 29, 2010 |
| Cadence Wealth Management LLC | September 29, 2010 |
| AllSquare Wealth Management, LLC | September 30, 2010 |
| Morin Private Client Group, LLC | September 30, 2010 |
| Retirement Design & Management, Inc. | October 1, 2010 Withdrew as Member (Notice Provided March 29, 2011) |
| RDM Investment Services, Inc. | October 1, 2010 Withdrew as Member (Notice Provided March 29, 2011) |
| Mesirow Financial Private Client (MFPC) | October 1, 2010 Withdrew as Member (Notice Provided May 2, 2012) |
| Royal Advisors, LLC | October 4, 2010 |
| Royal Securities Company | October 4, 2010 |
| BWA LLC | October 4, 2010 |
| Gill Capital Partners, Inc. | October 5, 2010 |
| Select Portfolio Management, Inc. | October 6, 2010 |
| Select Money Management, Inc. | October 6, 2010 |
| Securities Equity Group | October 6, 2010 |
| SCF Securities, Inc. SCF Investment Advisors, Inc. | October 7, 2010 |
| Jobes Solo Investment Group | October 14, 2010 |
| Pactolus Holdings, LLC | October 18, 2010 |
| MWH Advisers LLC | October 18, 2010 |
| ITA Financial Services Inc. | October 19, 2010 |
| TAE Capital Management, LLC | October 20, 2010 |
| WRP Investments, Inc. | October 25, 2010 |
| North Nassau Advisors, LLC | October 27, 2010 |
| Juncture Wealth Strategies, LLC | October 27, 2010 |
| Adele Financial Services, LLC | October 28, 2010 |
| Asset Management Strategies, Inc. | November 2, 2010 |
| Bryant Investment Management Group, LLC | November 2, 2010 |
| WBB Securities, LLC | November 2, 2010 |
| King & Co. Investment Counsel LLC | November 3, 2010 |
| CFMV Global Wealth Advisors LLC d/b/a Victus Capital Wealth | November 3, 2010 |
| Holderness Investments Company | November 3, 2010 |
| Washington Wealth Management, LLC | November 5, 2010 |
| Aureuseed Wealth management, LLC | November 12, 2010 |
| The Weston Banks Company, LLC | November 18, 2010 |
| Processus Wealth & Capital Management, LLC | November 18, 2010 |
| Transamerica Financial Advisors, Inc. | December 1, 2010 |
| Hudson Capital Management LLC | December 13, 2010 |
| Tehrani Wealth Management, LLC | December 15, 2010 |
| Capital Financial Group, LLC | December 30, 2010 |
| Efficient Market Advisors, LLC | December 30, 2010 |
| Goldey Capital LLC | January 3, 2011 |
| GoTo-Financial, Inc. | January 3, 2011 |
| Cobblestone Capital Advisors, LLC | January 3, 2011 |
| Packerland Brokerage Services | January 4, 2011 Withdrew as Member (Notice Provided April 19, 2011) |
| CPCM, LLC | January 4, 2011 |
| CMC Advisers, LLC | January 5, 2011 |
| Rappaport Reiches Capital Management, LLC | January 7, 2011 |
| Means Investment Co., Inc. | January 7, 2011 |
| J.P. Turner & Company, L.L.C. | January 10, 2011 |
| Mullins Investment Services, LLC | January 13, 2011 |
| Storehouse Wealth Management, LLC | January 13, 2011 |
| Altium Wealth Management, LLC | January 17, 2011 |
| Connor Capital Management, LLC | January 20, 2011 |
| Bedrock Wealth Management, LLC | January 21, 2011 |
| Compass Wealth Managament LLC | January 25, 2011 |
| Bellweather Investment Group, LLC | January 26, 2011 |
| Triune Capital Advisors, LLC | January 28, 2011 |
| SWS Financial Services, Inc. | January 28, 2011 |
| Colin Campbell, Sole Proprietor | January 28, 2011 |
| J.W. Cole Financial , Inc. | January 31, 2011 |
| Integrated Financial Planning | February 4, 2011 |
| FFG-I, LLC | February 8, 2011 |
| RJR Associates, Inc. | February 11, 2011 |
| MBR Capital Management, Inc. | February 17, 2011 |
| Christopher Patrick and Associates, LLC | February 17, 2011 |
| Grant Arthur & Associates Wealth Services, LLC | February 17, 2011 |
| Winthrop Capital Management, LLC | February 17, 2011 |
| The Mather Group, Inc. | February 18, 2011 Withdrew as Member (Notice Provided May 25, 2011) |
| Peregrine Diversified Investments | February 23, 2011 |
| Paulson Investment Company, Inc. | February 24, 2011 |
| Foothill Securities, Inc | February 25, 2011 |
| Morse Capital Partners | February 28, 2011 |
| Poehling Capital Management, Inc. | February 28, 2011 |
| Winkworth Group, LLC | February 28, 2011 |
| Arrow Wealth, LLC | February 28, 2011 |
| Broussard Financial Group, Inc. | March 5, 2011 |
| Marshall & Sullivan, Inc. | March 7, 2011 |
| Financially Healthy LLC | March 7, 2011 |
| Polar Investment Counsel, Inc. | March 7, 2011 |
| ZGL Investments and Financial Planning | March 9, 2011 |
| Miller & Gay Investment Management | March 10, 2011 |
| Founders Financial Securities LLC | March 11, 2011 |
| Evergreen Capital Management L.L.C. | March 14, 2011 |
| 5th Street Advisors, LLC | March 15, 2011 |
| Avant-Garde Advisors, LLC | March 18, 2011 |
| BEST Direct Securities, LLC | March 21, 2011 |
| Tri Counties Bank | March 25, 2011 |
| M & R Financial Services Inc. | March 25, 2011 |
| Puplava Securities, Inc. | March 30, 2011 |
| Investacorp, Inc. | March 30, 2011 |
| Hunter Associates, Inc. | March 30, 2011 |
| The Simmons Partnership, LLC | April 1, 2011 |
| ArMA Financial Services, Inc. | April 5, 2011 |
| Citrin Cooperman Wealth Management, LP | April 5, 2011 |
| Vestnomics Wealth Management LLC | April 7, 2011 |
| SightLine Investments LLC | April 8, 2011 |
| Dogwood Investment Partners, LLC | April 13, 2011 |
| Bremer Financial Services | April 14, 2011 |
| Alpine Financial Advisors, LLC | April 14, 2011 |
| Wareing Financial Group | April 15, 2011 |
| Raymond James/Fletcher Financial Group | April 18, 2011 |
| HPM Partners LLC | April 19, 2011 Withdrew as Member (Notice Provided October 5, 2011) |
| Novak Asset Management., LLC | April 19, 2011 |
| TTHH, LLC | April 20, 2011 |
| Leamnson Capital Advisory, LLC | April 25, 2011 |
| JAISM LLC | April 26, 2011 |
| TP Investment Advisory Services, LLC | May 11, 2011 |
| Lindbrook Capital, LLC | May 12, 2011 |
| Imus Wilkinson Investment Management, LLC | May 13, 2011 |
| Strategic Wealth Partners LLC | May 20, 2011 |
| RS Asset Management, LLC | May 25, 2011 |
| GJS Financial Services, LLC | May 27, 2011 |
| Alpha Asset Advisors, LLC | May 27, 2011 |
| Snowden Capital Advisors LLC | May 30, 2011 |
| Maclendon Wealth Management, LLC | June 2, 2011 |
| AVEO Capital Partners, LLC | June 2, 2011 |
| Cortina Enterprises d.b.a Cortina Capital | June 3, 2011 |
| Advanced Practice Advisors, LLC, RIA | June 7, 2011 |
| Wicker Park Advisors, LLC | June 9, 2011 |
| Kondo Wealth Advisors, LLC | June 9, 2011 |
| Clear Perspective Advisors, LLC | June 10, 2011 |
| Boston Standard Wealth Management, LLC | June 15, 2011 |
| EWM, LLC | June 15, 2011 |
| Abshier Webb Donnelly & Baker | June 15, 2011 |
| Gilford Securities Incorporated | June 17, 2011 |
| Nations Financial Group, Inc. | June 23, 2011 |
| Sagamore Wealth Management, LLC | June 23, 2011 |
| Core Investment Management | June 23, 2011 |
| Sunrise Advisors, Inc. | June 28, 2011 |
| T. S. Phillips Investments, Inc | June 29, 2011 |
| NorthStar Financial Partners, Inc. | June 29, 2011 |
| Aspen Gold Investment Management, Inc. | June 30, 2011 |
| Corrigan Wickman Advisory, LLC | July 6, 2011 |
| Apex Financial Advisors Inc. | July 21, 2011 |
| Alpha Wealth Management, LLC | July 21, 2011 |
| DHJ Advisors, LLC | July 21, 2011 |
| NY&A, LLC | July 22, 2011 |
| Protected Investors of America | July 22, 2011 |
| Securities Service Network, Inc. | July 28, 2011 |
| Hampton Financial, LLC | July 28, 2011 |
| Wolff Wiese Magana LLC | July 29, 2011 |
| Archetype Advisors, LLC | August 1, 2011 |
| Main Street Financial, LLC | August 1, 2011 |
| Tidewater Wealth Advisors LLC | August 2, 2011 |
| Leonard & Company | August 2, 2011 |
| Vintage Capital Advisors, LLC | August 8, 2011 |
| Sammons Securities Company, LLC | August 9, 2011 |
| Investment Planners, Inc. | August 18, 2011 |
| Ascential Wealth Advisors, LLC | August 25, 2011 |
| SPC | August 31, 2011 |
| Aspen Investment Management Inc. | September 2, 2011 |
| Alphapoint Investment Management, LLC | September 8, 2011 |
| Financial Concept Unlimited, Inc. | September 12, 2011 |
| Laurel Wealth Advisors, Inc. | September 20, 2011 |
| River Valley Financial Advisors, Inc. | September 22, 2011 |
| RPG Family Wealth Advisory, LLC | September 26, 2011 |
| Independent Advisors Network, LLC | September 28, 2011 |
| Mississippi Investment Management Co., LLC | September 28, 2011 |
| Adam Smith Advisors, LLC | September 28, 2011 |
| Hicks Capital Management, LLC | September 29, 2011 |
| Issaquah Holding Group, LLC | September 29, 2011 |
| Southeast Investments N.C., Inc | September 29, 2011 |
| Septumatics, Inc. | October 3, 2011 |
| Barclays Wealth, Americas | October 7, 2011 |
| Prestige Wealth Mangement Group, LLC | October 10, 2011 |
| Clark Financial Advisors | October 11, 2011 |
| Conestoga Wealth Management | October 14, 2011 |
| Global Investor Services, LC | October 18, 2011 |
| Capital Wealth Managers, LLC | October 21, 2011 |
| VectorGlobal WMG, Inc. | October 24, 2011 |
| Coastal Equities, Inc. | October 25, 2011 |
| Avalon Advisors, LLC | October 26, 2011 |
| Sensiba San Filippo Financial Advisors LLC | October 26, 2011 |
| Alsari Wealth Management Global Advisors, LLC f/k/a Aperture Wealth Management, LLC | October 26, 2011 |
| Viewpoint Capital Management LLC | November 2, 2011 |
| Thomas Leo Advisory, LLC | November 3, 2011 |
| MPM Investment Counsel LLC | November 3, 2011 |
| Arrowleaf Wealth Management, Inc. | November 8, 2011 |
| Pacific Capital Wealth Advisers, Inc d/b/a/ Pacific Capital | November 8, 2011 |
| Viking Wealth Advisors | November 14, 2011 |
| Wagener-Lee, LLC | November 15, 2011 |
| Bacchus Asset Management, LLC | November 21, 2011 |
| Titleist Asset Management | November 22, 2011 |
| Tom Powell Investment Management | November 22, 2011 |
| HighPass Asset Management LLC | November 30, 2011 |
| Michaud Capital Management LLC f/k/a Wolfe Capital Management LLC | December 1, 2011 |
| Olson, Cross & Alamo, LLC | December 1, 2011 |
| Clear Harbor Asset Management, LLC | December 6, 2011 |
| Northfork Financial, LLC | December 7, 2011 |
| GenTrust Wealth Management, LLC | December 8, 2011 |
| Jones Asset Management | December 13, 2011 |
| Lowe fs | December 14, 2011 |
| Ameritas Investment Corp. | December 14, 2011 |
| Oak & Reed Capital Management, LLC | December 16, 2011 |
| Bellweather Capital Management LLC | December 19, 2011 |
| San Francisco Sentry Investment Group | December 20, 2011 |
| Capital Wealth Management, Inc. | December 27, 2011 |
| GPWM, LLC | December 27, 2011 |
| Feltl and Copany, Inc. | December 29, 2011 |
| Edelman Financial Services, LLC | January 3, 2012 |
| Waddell Group | January 4, 2012 |
| BW Consulting, LLC | January 4, 2012 |
| TenBridge Partners, LLC | January 5, 2012 |
| 1650 Wealth Management | January 5, 2012 |
| John Carris Investments, LLC | January 9, 2012 |
| Solon Investment Services, Inc. | January 10, 2012 |
| Capin Investment Advisors, LLC | January 12, 2012 |
| Monroe Financial Group LLC | January 13, 2012 |
| Private Client Advisors, LLC | January 13, 2012 |
| CONCERT Advisor Solutions, Inc. | January 13, 2012 |
| CONCERT Capital Management, Inc. | January 18, 2012 |
| Capitol Financial Planning, Inc. | January 18, 2012 |
| ESG Wealth Management, LLC | January 19, 2012 |
| Broomham Financial Services, LLC | January 19, 2012 |
| Main Street Ventures, Inc. | January 19, 2012 |
| Concorde Investment Services, LLC | January 19, 2012 |
| Concorde Asset Management, LLC | January 20, 2012 |
| Washington Wealth Advisors, LLC | January 20, 2012 |
| Avondale Partners, LLC | January 24, 2012 |
| Claro Advisors, LLC | January 25, 2012 |
| Ultimate Financial Investments, LLC | January 26, 2012 |
| Bionic Capital LLC | January 26, 2012 |
| VE Capital Management, LLC | January 26, 2012 |
| Jonathan Roberts Advisory Group | January 27, 2012 |
| Palen Financial LLC | January 30, 2012 |
| Gregory Joseph Litts d/b/a RJ Capital | January 31, 2012 |
| HPM Partners LLC | January 31, 2012 |
| Argyle Wealth management, LLC | February 1, 2012 |
| Rademacher Financial, Inc. | February 6, 2012 |
| U.S. Bancorp Investments, Inc. | February 8, 2012 |
| Ausdal Financial Partners, Inc. | February 8, 2012 |
| Scott Rush LLC | February 8, 2012 |
| Cape Financial Group, LLC | February 9, 2012 |
| Sitrin Capital Management, LLC (formerly Braddish Wealth Advisors, LLC) | February 10, 2012 |
| Charles Genois & CO. LLC d/b/a Impera Wealth Management LLC | February 13, 2012 |
| Tomes Wealth Planning and Management, Inc. | February 14, 2012 |
| City Bank Texas | February 21, 2012 |
| Birkelbach Investment Securities, Inc. | February 22, 2012 |
| Cumberland Wealth Advisors LLC | February 23, 2012 |
| CVWM LLC d/b/a COVA Wealth Management | February 23, 2012 |
| Forest Securities, Inc. | February 27, 2012 |
| Harvard Advisors, LLC | February 28, 2012 |
| Clearview Global Wealth Advisors | March 5, 2012 |
| Womack Wealth Management, Inc. | March 5, 2012 |
| MacDougall Wealth Management | March 6, 2012 |
| Financial Advisors Group d/b/a SRTG LLC | March 7, 2012 |
| Financial Advisors Group d/b/a JKJANTHONY LLC | March 7, 2012 |
| American Bank & Trust | March 9, 2012 |
| Nashua Capital Management LLC | March 15, 2012 |
| Clapboard Hill Advisors, LLC | March 20, 2012 |
| Edward J. Sabo and Associates, LLC | March 30, 2012 |
| Tembion Capital Management, LLC | March 30, 2012 |
| Robert W. Baird & Co. | April 2, 2012 |
| First Farmers Bank & Trust Co. | April 2, 2012 |
| Lipset Wealth Strategies, LLC (formerly Birchwood Creek Capital Inc) | April 7, 2012 |
| Harbour Investments, Inc. | April 11, 2012 |
| Investment Management & Consulting Group | April 13, 2012 |
| Preston Wealth Management | April 20, 2012 |
| Syntal Capital Partners, LLC | April 25, 2012 |
| Prime Wealth Management L.L.C | April 25, 2012 |
| Fiduciary Services Corp d/b/a The Fiduciary Group | April 26, 2012 |
| NewBridge Bank | April 27, 2012 |
| iTrust Asset Management, LLC | May 3, 2012 |
| Kings Point Capital Management LLC | May 8, 2012 |
| Quarterwave Asset Management LLC | May 9, 2012 |
| Seattle-Northwest Securities Corporation | May 22, 2012 |
| MKT Advisors LLC | May 22, 2012 |
| Investment Managers Group, LLC | May 23, 2012 |
| Dees Financial Services LLC | May 24, 2012 |
| Forefront Capital Markets, LLC | May 31, 2012 |
| Weaver Tidwell Capital, LLC | May 30, 2012 |
| World Capital Brokerage Inc. | June 4, 2012 |
| Alpha Wealth Management and Planning LLC | June 7, 2012 |
| Boenning & Scattergood, Inc. | June 8, 2012 |
| Praxis Fiduciary Advisors, LLC | June 8, 2012 |
| Tetley Investments, LLC | June 11, 2012 |
| Avector Wealth Management, LLC. | June 13, 2012 |
| Arbor Capital Management, Inc. | June 13, 2012 |
| Whiterock Financial, LLC. | June 13, 2012 |
| MangoTree Capital, LLC | June 14, 2012 |
| Gitterman and Associates Wealth Management, LLC | June 14, 2012 |
| MadisonLee Partners, LLC | June 19, 2012 |
| HoyleCohen, LLC | June 22, 2012 |
| Tandragee Global Advisors, LLC. | June 26, 2012 |
| Northeast Securities, Inc. | June 27, 2012 |
| Ladenburg Thalmann & Co. Inc. | June 29, 2012 |
| First Republic Securities Company, LLC | July 2, 2012 |
| Argyle Capital Partners, LLC | July 2, 2012 |
| Kellogg Investment Group | July 3, 2012 |
| Roundtable Capital Services LLC | July 6, 2012 |
| Carleon Capital Partners LLC | July 6, 2012 |
| Southport Financial Group, LLC, | July 6, 2012 |
| HighMark Wealth Management, LLC | July 9, 2012 |
| MWM Group, LLC | July 12, 2012 |
| Blue Water Wealth, Inc. | July 18, 2012 |
| Pflueger & Baerwald Inc. | July 19, 2012 |
| WRIGHT Financial Group LLC | July 26, 2012 |
| Nepsis Advisor Services, Inc. | July 26, 2012 |
| Allatice Waelth Advisors, LLC. | July 26, 2012 |
| K2 Investment Advisors Inc. | July 26, 2012 |
| True North Global Research, Inc. | July 31, 2012 |
| Planning Solutions group, LLC | August 7, 2012 |
| Bridgeworth Financial, LLC | August 8, 2012 |
| BW Management, LLC | August 8, 2012 |
| Fairhaven Financial Advisors Inc. | August 8, 2012 |
| Personal Financial Consultants, LLC | August 8, 2012 |
| Raymond James Financial Services, Inc. Branch 45Z | 8/9/2012 Withdrew as Member (Notice Provided August 22, 2012) |
| Shoreline Financial Advisors, LLC | August 10, 2012 |
| Maltin Wealth Management, Inc. f/k/a Avempt Wealth Management, Inc. | August 15, 2012 |
| Sentinel Capital Group, LLC-ACM Wealth Solutions Series | August 17, 2012 |
| Manske Wealth Management, LLC f/k/a Surfside Wealth Management, LLC | August 20, 2012 |
| Williamson Wealth Group, Inc. | August 21, 2012 |
| WX TVS, Inc. | August 22, 2012 |
| Capital Wealth Advisors | August 24, 2012 |
| RDCJR, LLC | August 24, 2012 |
| Symetra Investment Services | August 27, 2012 |
| Noesis Capital Management Corp. | August 27, 2012 |
| FIC Capital, Inc. | August 30, 2012 |
| Camelot Wealth Management Inc. | August 30, 2012 |
| Parker Wealth Advisors Inc. | August 30, 2012 |
| Heithecker Financial Inc. | August 30, 2012 |
| LVW Advisors, LLC | September 4, 2012 |
| Polaris Wealth Advisers, LLC | September 6, 2012 |
| GK Capital Partners, LLC dba Ragnar Wealth | September 11, 2012 |
| The First National Bank of Ballinger | September 20, 2012 |
| The Meakem Group, LLC | September 24, 2012 |
| Atwill Financial Consulting Group, LLC | September 24, 2012 |
| Snowden Account Services, Inc. | September 26, 2012 |
| Steel Peak Wealth Management, LLC f/k/a Bernathy Wealth Advisors, LLC | September 27, 2012 |
| Domus Capital Group, LLC | October 2, 2012 |
| Garrison Point Capital, LLC | October 2, 2012 |
| Capital Planning Advisory Group, Inc. | October 2, 2012 |
| Hart Capital Management, Inc. | October 3, 2012 |
| Stewardship Concepts, LLC | October 4, 2012 |
| Vision Wealth Planning, LLC | October 5, 2012 |
| Oak Grove Capital, LLC | October 5, 2012 |
| Smith & Partners Financial Services, LLC | October 10, 2012 |
| WR Rice Financial Services | October 10, 2012 |
| Horwitz & Associates, Inc. | October 12, 2012 |
| Ferris Capital, LLC | October 12,2012 |
| Compass Rose Strategic Partners, LLC | October 16, 2012 |
| Poplar Global Wealth Management LLC | October 17, 2012 |
| MerCap Securities, LLC | October 18, 2012 |
| RDW & Associates, Inc. | October 22, 2012 |
| Sterling Wealth Management Group | October 29, 2012 |
| HB Asset Management LC | October 29, 2012 |
| Hotaling Investment Management, LLC | October 31, 2012 |
| Allied Beacon Partners | November 1, 2012 |
| Benson Wealth Management L.L.C. | November 1, 2012 |
| Quantum Leap Capital, LLC | November 6, 2012 |
| AbrahamsenRock, LLC | November 7, 2012 |
| Raymond James Financial Services, Inc. Independent Contractor Division (""ICD"") (Financial Institutions Division (""FID"") not subject to the Protocol) | November 7, 2012 |
| Keystone Global Partners, LLC | November 8, 2012 |
| Birch Run Financial, LLC | November 9, 2012 |
| GL Investment Services, LLC | November 15, 2012 |
| GL Capital Partners, LLC | November 15, 2012 |
| McKinley Carter Wealth Services, Inc. | November 19, 2012 |
| AM Investment Strategies LLC | November 21, 2012 |
| Moondance Investment Advisors, LLC. | December 4, 2012 |
| SilverLake Wealth Management LLC | December 6, 2012 |
| Greystone Financial Group, Inc. | December 7, 2012 |
| ACC Investment Management, Inc. | December 12, 2012 |
| J W Korth & Company | December 12, 2012 |
| CRA Financial Services, LLC | December 19, 2012 |
| Midwest Investment Management, LLC | December 21, 2012 |
| Potiphar Capital Management, LLC | December 24, 2012 |
| Focus Wealth Advisors, LLC f/k/a Adderack Wealth Management, LLC | December 24, 2012 |
| Securities America, Inc. | December 28, 2012 |
| Securities America Advisors, Inc. | December 28, 2012 |
| T.H. Rapko & Company, LLC | January 4, 2013 |
| B P Financial Associates, LLC | January 4, 2013 |
| Centricity Wealth Management, LLC | January 7, 2013 |
| Cedar Mountain Advisors, LLC | January 9, 2013 |
| Penn Wealth Advisors, LLC | January 9, 2013 |
| Bolton Securities Corporation | January 23, 2013 |
| Kitzinger, Lautmann Capital Management Inc. | January 28, 2013 |
| Pacific Mountain Advisor, Inc | January 28, 2013 |
| Locust Capital Management LLC | January 29, 2013 |
![Stuart DePina: If business hadn't exploded in the past six months, we would have taken on all comers [in-house].](http://images1.riabiz.com/i/18713318/t "Stuart DePina: If business hadn't exploded in the past six months, we would have taken on all comers [in-house].")
![Stuart DePina: If business hadn't exploded in the past six months, we would have taken on all comers [in-house].](http://images3.riabiz.com/i/18713318/t "Stuart DePina: If business hadn't exploded in the past six months, we would have taken on all comers [in-house].")
