This document is posted to help you gain knowledge. Please leave a comment to let me know what you think about it! Share it to your friends and learn new things together.
Transcript
Muni Alpha and Numerical References (Alpha sorted by Symbol; Numerical sorted by NSCC Clearing Participant then Executing Broker)
November 2014
1
MPID Clearing No. Name
Muni Clearing
AABT 5231 ABN Amro Chicago Corporation Bond Trading TFT
AALC 0226 Thrivent Investment Management, Inc. CNS
ABAI 0309 Abacus Investments, Inc. CNS ABAS 0226 Conover Securities Corporation CNS ABLE 0031 Natixis Securities Americas LLC CNS ABPI 0235 Allied Beacon Partners, Inc. CNS
ABYL 0226 North Star Investment Services, Inc. CNS
ACAD 0352 Academy Securities, Inc. CNS ACBD 0443 American Century Brokerage, Inc. CNS ACCP 0158 Aegis Capital Corp. CNS ACCU 0158 AltaCorp Capital (USA) Inc. CNS ACGP 0235 Andes Capital Group, LLC CNS ACLP 0235 Alexander Capital, L.P. CNS ACSL 0226 FinTrust Brokerage Services, LLC CNS ACTI 0443 Activner Securities, Inc. CNS ADAK 0052 Adirondack Trading Group, LLC CNS ADAM 0352 Canaccord Genuity Inc. CNS
ADFG 0235 American Diversified Financial Group, LLC CNS
ADKT 0309 Adirondack Trading Group LLC CNS ADSO 0141 Prospera Financial Services CNS ADVA 0052 Advanced Equities, Inc. CNS AEGC 0512 Aegis Capital Corp. CNS AEGS 0750 Aegis Investments, Inc. CNS AFCO 0284 Fried (Albert) & Company, LLC CNS AFGI 0352 Access Financial Group, Inc. CNS AFGL 0161 Atlas One Financial Group, LLC CNS AFGR 0052 Avenir Financial Group, Inc. CNS AFGT 0279 Ambassador Financial Group, Inc. CNS AFIN 0226 All Funds, Inc. CNS AGCP 0235 Aegis Capital Corp. CNS AGIS 0235 Aegis Capital Corp. CNS AGSS 0443 Great American Advisors, Inc. CNS AHBI 0352 Abner, Herrman & Brock, Inc. CNS AHSI 0141 American Heritage Securities, Inc. CNS AIAI 0226 LTC Investment Services, Inc. CNS AICO 0352 Arcadia Investment Corp. CNS AIGF 0443 Sagepoint Financial, Inc. CNS AIGI 0279 American Investors Group CNS AIGN 0226 Sagepoint Financial, Inc. CNS AIRS 0309 Hand Securities, Inc. CNS
AISG 0235 American Independent Securities Group, LLC CNS
AJCO 0443 Alexandra & James Co. CNS AKGS 0141 Alliance Financial Group, Inc. CNS ALAC 0309 Alamo Capital CNS ALAD 0235 Alliance Advisory & Securities, Inc. CNS ALEN 0141 Allen & Company of Florida, Inc. CNS ALIN 0309 Alanar Incorporated CNS
AMGN 0443 American General Securities Incorporated CNS
AMIC 0226 L.S.Y., Inc. CNS AMMI 0443 AM&M Investment Brokers, Inc. CNS AMMS 0141 American Municipal Securities Inc. CNS AMNN 0443 American Network Securities Corp. CNS AMTD 0188 Ameritrade, Inc. CNS ANBF 0309 ANB Financial Group LLC CNS ANDG 0235 Garrett (Andrew) Inc. CNS ANOV 0750 Anovest Financial Services, Inc. CNS ANSR 0443 Anderson & Strudwick, Inc. CNS ANZS 0443 ANZ Securities, Inc. CNS APEX 0443 Rice Financial Products Company CNS APFS 0443 America's Portfolio's CNS APTO 0103 Apto Partners, LLC CNS
AQUA 7310 Cantor Fitzgerald & Co./Aqua Securities, L.P. CNS
ARBI 0443 Aufhauser Securities, Inc. CNS ARCH 0226 Investacorp, Inc. CNS ARGA 0443 Auriga USA, Inc. CNS ARIV 0309 Arive Capital Markets LLC CNS ARKA 0443 ARKA Securities, Inc. CNS ARTI 0388 Arbor Research & Trading, Inc. CNS ARVS 0141 Arvest Investments, Inc. CNS ASCR 0595 Ascendiant Capital Markets, LLC CNS ASEL 0370 Tradition Asiel Securities, Inc. CNS ASGI 0235 Alton Securities Group Inc. CNS ASKR 0141 Askar Corp. CNS
ASOI 0226 Associated Investment Services, Inc. CNS
BNMI 0226 Bozarth, Newton & Murphy Securities, Inc. CNS
BNPS 2154 BNP Paribas Securities Corp. CNS BNYN 0226 Banyan Securities, LLC CNS BOBO 0235 Penates Group Inc. CNS
BOFA 0773 Merrill Lynch, Pierce, Fenner & Smith Incorporated/Fixed Income CNS
BOKF 6757 BOSC, Inc. TFT BOKI 0443 BOSC, Inc. CNS BOKL 6752 Bank of Oklahoma, N.A. TFT BOLL 0309 Bodell Overcash Anderson & Co. CNS BOSC 0141 Boenning & Scattergood, Inc. CNS BOTZ 0052 Botzum (C.A.) & Company CNS BOYR 0443 Mark Boyar & Co., Inc. CNS BOYS 0226 Financial Advisers of America, LLC CNS BPAT 0443 Baird Patrick & Co., Inc. CNS
BPBI 2154 BNP Paribas Prime Brokerage, Inc. CNS
Muni Alpha and Numerical References (Alpha sorted by Symbol; Numerical sorted by NSCC Clearing Participant then Executing Broker)
November 2014
3
BPCO 0750 Blount Parrish & Co., Inc. CNS
BPSG 0443 Gleacher & Company Securities, Inc. CNS
BPWP 0226 Buttonwood Partners, Inc. CNS BRBR 0279 Brown & Brown Securities, Inc. CNS BRCY 0443 BCP Securities, LLC CNS BRGE 0052 Newbridge Securities Corporation CNS BRGI 0235 Advanced Asset Trading, Inc. CNS BRIL 0352 Brill Securities, Inc. CNS BRIT 0226 Brittingham, Inc. CNS
BRKE 0443 Birkelbach Investment Securities, Inc. CNS
BRLI 0226 Brown, Lisle/Cummings, Inc. CNS
BRMF 0158 First Bermuda Securities (BVI), Ltd. CNS
BRNK 0226 Brinker Capital Securities Corp. CNS BRNM 0352 Burnham Securities Inc. CNS BRNT 0235 Brent (H.D.) & Company, Inc. CNS
BRRR 0352 Barrington Research Associates, Inc. CNS
BRSA 0103 Boursa Investments CNS BRSE 0226 Bradesco Securities, Inc. CNS BRST 0443 Braver Stern CNS BRVL 0443 Blaylock Robert Van, LLC CNS BSAZ 0103 Berry Shino Securities, Inc. CNS BSCO 0750 Brookshire Securities Corporation CNS BSEC 0141 Brown Advisory Securities, LLC CNS BSIN 0418 Bedford Securities, Inc. CNS
BSIS 0443 Bancorpsouth Investment Services, Inc. CNS
BSSC 0352 J.P. Morgan Clearing Corp. CNS BSTO 0443 Banesto Securities, Inc. CNS BTIX 0352 BTIG, LLC CNS BTSI 0595 B&T Securities, Inc. CNS
BUCK 0226 Buckingham Research Group Incorporated (The) CNS
BUEL 0443 Buell Securities Corp. CNS
BURK 0141 Burke, Lawton, Brewer & Burke, LLC CNS
BUZZ 0141 Heidtke & Company, Inc. CNS BVCM 0443 Unicredit Capital Markets, Inc. CNS BVIS 0235 BestVest Investments, Ltd. CNS BWEL 0443 Barclays Capital, Inc. CNS BWEX 0595 Birchwood Securities Corp. CNS BWNA 0235 Brown Associates, Inc. CNS BYAI 0226 Brecek & Young CNS BZPI 0443 BPU Investment Management Inc. CNS
BZTN 0141 Alliant Securities, Inc. Turner, Nord, Kienbaum CNS
CAMS 0443 Comprehensive Asset Management and Servicing, Inc. CNS
CANR 0103 Cantone Research, Inc. CNS CANT 0696 Cantor Fitzgerald & Co. TFT CAPB 0750 Capital Investment Brokerage Inc. CNS CAPE 0279 Cape Securities, Inc. CNS CAPG 0750 Capital Investment Group, Inc. CNS CAPI 0443 Capital Analysts Inc. CNS CAPT 0512 Capital Path Securties CNS CARC 0702 Carolina Capital Markets, Inc. CNS CARL 0443 Base Securities LLC CNS CART 0443 Carty & Company, Inc. CNS CARY 0141 Cary Street Partners LLC CNS
CATC 0443 Chicago Analytic Trading Company, LLC CNS
CATE 0235 Carter, Terry & Company, Inc. CNS CBAL 0443 Access Securities, Inc. CNS CBCI 0443 Cain Brothers & Company, LLC CNS
CBEV 0226 City National Bank, Beverly Hills, California CNS
CBFG 0750 CBG Financial Group, Inc. CNS CBII 0443 Wesbanco Securities, Inc. CNS CBIN 0443 Compass Brokerage, Inc. CNS CBOL 0226 Mutual Securities, Inc. CNS CBSS 2483 Compass Bank TFT CBTD 0226 Synovus Securities Inc. CNS CCBI 6744 Country Club Bank, Kansas City TFT CCCM 0352 Concept Capital Markets, LLC CNS CCMC 0443 CommerzeBank Capital Corp. CNS CCSS 0443 Crown Capital Securities, L.P. CNS CDSO 0750 Cert Direct Securities Inc. CNS CENT 0750 Central Securities, LLC CNS CEON 0352 Rice, Voelker LLC CNS CERS 0226 Ceros Financial Services, Inc. CNS CESI 0235 Cressman Esser Securities, Inc. CNS
CFCO 7311 Cantor Fitzgerald & Co./Debt Capital Markets CNS
CFCS 0501 Cantor Fitzgerald & Co. CNS CFDI 0235 CFD Investments CNS CFGM 0235 Trustmont Financial Group, Inc. CNS CFGO 0161 CF Global Trading, LLC CNS CFGT 0161 CF Global Trading, LLC CNS
CFII 0352 Consolidated Financial Investments, Inc. CNS
CFIN 0309 Chelsea Financial Services CNS CGAT 0443 Cadaret, Grant & Co., Inc. CNS CGCO 0443 CG Compass (USA) LLC CNS CGLN 0103 Coughlin & Co., Inc. CNS CHAS 0164 Charles Schwab & Co., Inc. CNS CHBC 0161 Cheevers & Company Inc CNS CHCH 0352 Churchill Financial LLC CNS CHCK 0352 Chickasaw Securities, LLC CNS CHDA 0141 Chapin, Davis CNS CHHS 0141 Harris (Chester) & Co., Inc. CNS
Muni Alpha and Numerical References (Alpha sorted by Symbol; Numerical sorted by NSCC Clearing Participant then Executing Broker)
November 2014
4
CHIL 0352 Chilian Partners L.P. CNS CHLM 0161 Craig-Hallum Capital Group, LLC CNS CHNR 0235 Chauner Securities, Inc. CNS
CSPD 0197 Cantor Fitzgerald & Co. - Cantor Clearing Services CNS
Muni Alpha and Numerical References (Alpha sorted by Symbol; Numerical sorted by NSCC Clearing Participant then Executing Broker)
November 2014
5
CSPI 0235 Capital Synergy Partners CNS CSTI 0352 Canaccord Genuity Securities LLC CNS CTBK 0279 Central Trust Bank CNS CTLA 0226 Cantella & Co., Inc. CNS
CTNL 0141 Centennial Securities Company, LLC CNS
CTRD 0595 Choice Trade CNS CTSC 0443 Creditex Securities Corporation CNS CUEF 0443 Cue Financial Group, Inc. CNS CUFT 0226 Frost Brokerage Services, Inc. CNS CURR 0352 Curren & Company CNS CUSO 0443 CUSO Financial Services, L.P. CNS CUTT 0141 Cutter & Company Brokerage, Inc. CNS CVBR 0388 CV Brokerage Inc. CNS CWAA 0443 Constellation Wealth Advisors LLC CNS CWEI 0443 Cantor, Weiss & Friedner, Inc. CNS CWMK 0438 CIBC World Markets Corp. CNS DADA 0361 Davidson (D.A.) & Co. Inc. CNS DAGH 0443 Daugherty Cole, Inc. CNS DAII 0235 Alexander (Don) Investments, Inc. CNS DAIN 0235 RBC Capital Markets Corporation CNS
DAKO 0052 Dakota Securities International, Inc. CNS
DALE 0443 America Northcoast Securities, Inc. CNS
DARA 0235 Darwood Associates, Inc. CNS DAVA 0715 Davenport & Company LLC CNS DAVE 0344 Diamant Investment Corp. CNS DAVI 0226 Shelby Cullom Davis & Co., LP CNS DAVS 0103 Davis Securities LLC CNS DAVW 0309 Seidel & Shaw, LLC CNS
DAWA 0647 Daiwa Capital Markets America Inc. CNS
DBAB 0573 Deutsche Bank Securities Inc. CNS DBIB 0573 Deutsche Bank Securities Inc. CNS DBKS 0573 Deutsche Bank Securities Inc. CNS DBMC 0725 McKenna (D.B.) & Co., Inc. CNS DBPC 0443 Deutsche Bank Securities Inc. CNS DCAN 0279 Duncan (R.M.) Securities Inc. CNS DCSD 0235 Dain Correspondent Services CNS DCVL 0501 Dart Executions, LLC CNS DEAN 0015 Morgan Stanley Smith Barney LLC CNS DEFA 0443 Jefferies LLC CNS DELA 0443 Delafield & Hambrecht, Inc. CNS DEMF 0443 Dempsey Financial Network CNS DENI 0279 H.C. Denison Co. CNS DETF 0501 Dart Executions, LLC CNS
DGLS 0443 Douglas & Co. Municipals CNS DHAN 0443 Hancock Securities Group, LLC CNS DHCO 0235 David Harris & Co., Inc. CNS DHLN 0235 Equinox Group Distributors, LLC CNS DIDI 0443 DXS Investment Distributors, Inc. CNS DILG 0279 Dillon Gage Securities Inc. CNS DIVA 0103 Divine Capital Markets, LLC CNS DJST 0443 D.J. St Germain Co., Inc. CNS
DKEI 0141 Dale K. Ehrhart, Inc. CNS DLAE 5144 Lerner (David) Associates, Inc. CNS DLNY 0052 Delaney Equity Group LLC CNS DLSC 0309 DLS Capital Partners, Inc. CNS DLSI 0226 Dempsey Lord Smith, LLC CNS DLTA 0161 Dealerweb Inc. CNS DMKC 0141 Kelley (D.M.) & Co. CNS DNWL 0443 Duncan & Williams, Inc. CNS DOFT 0443 Doft & Co., Inc. CNS DOMI 0309 Dominion Investor Services Inc. CNS DOMK 0443 Dominick & Dominick, Inc./CDS CNS DORS 0141 Dorsey & Co. Inc. CNS DOTC 0352 Dougherty & Company LLC CNS DOVE 0226 Securities Equity Group CNS DPAA 0235 Palmieri (Angnardo) & Co., Inc. CNS DRAT 0571 Dratel Group, Inc. (The) CNS DREX 0443 Drexel Hamilton, LLC CNS DSGG 0226 DMG Securities, Inc. CNS DSTC 0626 DST Market Services, LLC CNS DSTR 0443 Destra Capital Investments LLC CNS DTAP 0161 Direct Trading Institutional LP CNS DTII 0141 Delta Trust Investments, Inc. CNS DVNE 0443 Marco Polo Securities Inc. CNS DWFN 0443 DeWaay Financial Network, LLC CNS
EAMC 0352 Empire Asset Management Company CNS
EAST 6742 Eastern Bank Capital Markets TFT EBRD 0103 Earlybird Capital, Inc. CNS EBXL 0161 EBX LLC CNS
ECUT 0100 ConvergEx Execution Solutions LLC TFT
EDFC 0388 ED& F Man Capital Markets Inc. CNS EDIR 0235 EDI Financial, Inc. CNS EDJO 0057 Jones (Edward D.) & Co. CNS EDLR 0103 De La Rosa (E.J.) & Co., Inc. CNS EFGC 0352 EFG Capital International CNS EHSC 0161 Smith (E.H.) Jacobs & Co., Inc. CNS EKRI 0141 Riley (E.K.) Investments, LLC CNS ELEV 0161 Elevation, LLC CNS
ELSH 0052 Elish & Elish Brokerage and Research CNS
Muni Alpha and Numerical References (Alpha sorted by Symbol; Numerical sorted by NSCC Clearing Participant then Executing Broker)
November 2014
6
EURP 0226 Euro Pacific Capital, Inc. CNS EVER 0226 Evertrade Direct Brokerage, Inc. CNS EVOL 0226 Evolve Securities, Inc. CNS EVRS 0052 E1 Asset Management, Inc. CNS EWIN 0226 E-W Investments, Inc. CNS
EXCS 0443 Excel Securities and Associates, Inc. CNS
EXCU 0443 XCU Capital Corp. CNS EXTF 0235 Wynston Hill Capital, LLC CNS FACA 0443 Financial Assets Corporation CNS FAFT 0161 Factfet Systems, Inc. CNS FALC 0103 Falcon Square Capital, LLC CNS FALK 0235 Steven L. Falk & Associates CNS FAMI 0235 First American Municipals, Inc. CNS FAMS 0279 First American Securities CNS FAMV 0226 Family Investors Co. CNS FANC 0052 Finance 500, Inc. CNS FARA 0103 Farina & Associates, Inc. CNS FAST 0352 First Allied Securities Inc. CNS FATS 0443 First Brokers Securities LLC CNS FBAL 0226 First Brokerage America, LLC CNS
FBCO 0355 Credit Suisse Securities (USA) LLC CNS
FBLC 0161 Freimark Blair & Co., Inc. CNS FBLT 0750 First Ballantyne, LLC CNS FBNW 0418 Floor Broker Network Inc. CNS
FBPC 0443 Credit Suisse Securities (USA) LLC CNS
FBPR 0750 First Bank Puerto Rico Securities, Corp. CNS
FBRC 0352 Friedman, Billings, Ramsey & Co., Inc. CNS
FBSB 0280 U.S. Bancorp Investments Inc. TFT FBTI 0443 FBT Investments, Inc. CNS
FCBI 6755 First Commercial Bank of Birmingham, Alabama TFT
FCCP 0141 First Clearing LLC CNS FCFP 0141 First Citizens Financial Plus, Inc. CNS FCGA 0226 FCG Advisors LLC CNS
FCIT 0443 First Citizens Investor Services, Inc. CNS
FCML 0279 FNBB Capital Markets, LLC CNS FDMI 0571 Freedom Investments, Inc. CNS FDSC 0158 1st Discount Brokerage, Inc. CNS FDSI 0141 First Dallas Securities, Inc. CNS
FEDE 0226 Detwiler, Mitchell, Fenton & Graves, Inc. CNS
FESI 0443 First Empire Securities, Inc. CNS FFCB 0235 Forefront Capital Markets LLC CNS FFCI 0443 Frontier Financial Consultants, Inc. CNS FFCM 0235 Forefront Capital Markets LLC CNS FFPS 0443 FFP Securities CNS FGCC 0226 1st Global Capital Corp. CNS FGCS 0595 FGC Securities, LLC CNS
FGIC 0226 Financorp Group International Corp. CNS
FGOE 0226 First Georgetown Securities, Inc. CNS FHCI 0443 First Heartland Capital, Inc CNS
FHON 0235 First Honolulu Securities Inc. CNS FIAF 0443 Florida Investment Advisers CNS FIBS 0226 Fidelity Brokerage Services LLC CNS
FICP 0443 Fixed Income Capital Partners, LLC CNS
FIFS 0309 First Independent Financial CNS FILL 0352 Tradestation Securities, Inc. CNS FINC 0443 Financial Counseling Corporation CNS FINF 0235 Finance 500, Inc. CNS FINR 0352 Financial Research Company CNS FINT 0443 Fintegra, LLC CNS FINW 0226 Financial West Group CNS FINX 0161 Fintech Securities CNS FIRF 0279 First Research Finance Inc. CNS FISA 0443 Advisors Asset Management, Inc. CNS FISB 0226 Advisors Asset Management, Inc. CNS FISH 0235 Fisher (L.B.) & Company CNS FISN 0226 Landolt Securities, Inc. CNS FITE 0443 Foresight Investments, LLC CNS FJRF 0226 Pariter Securities, LLC CNS
FKSC 0235 First Kentucky Securities Corporation CNS
FLAT 0226 Florida Atlantic Securities Corp. CNS FLCO 6909 Frazer Lanier Company (The) TFT FLIB 0235 First Liberties Financial CNS FLOU 0443 First St. Louis Securities, Inc. CNS
FLSC 0309 First London Securities Corporation CNS
FLTL 0226 Feltl and Company CNS FMAC 0226 Feldman, Ingardona & Co. CNS FMAT 0608 Newedge USA LLC CNS FMCO 0443 First Manhattan Co. CNS FMFS 0226 Fisrt Merit Financial Services, Inc CNS
FMGT 0443 Family Management Securities, LLC CNS
FMID 6792 First Midstate Inc. TFT FNBB 6753 First National Banker's Bank TFT FNBS 0235 Alerus Securities Corporation CNS FNCM 6708 First National Capital Markets, Inc. TFT
HRBF 0756 American Enterprise Investment Services Inc. CNS
HRCS 0443 HRC Investment Services, Inc. CNS HRGR 0235 Harger and Company, Inc. CNS HRRS 0443 Harris Investors Services, Inc. CNS HRST 6713 BMO Harris Bank NA TFT HSBK 0816 HSBC Securities (USA) Inc. CNS
HSBM 0486 HSBC Securities (USA), Inc./Fixed Income Securities CNS
ITCC 0750 Sterne Agee Financial Services, Inc. CNS
ITDC 0750 ITradedirect.com Corp. CNS ITEC 0443 Hapoalim Securities USA, Inc. CNS ITFS 0226 Blue Creek Securities, Inc. CNS ITUS 0309 InterTrading USA Securities, Inc. CNS IVNT 0235 Investment Network, Inc. CNS IVOL 0235 Union Capital Company CNS
IVST 0443 Intervest International Equities Corporation CNS
JACK 0443 Jackson Securities LLC CNS JACQ 0226 Liberty Group, LLC CNS JANC 0443 Janco Partners Inc. CNS JANE 0352 Jane Street Markets, LLC CNS
Muni Alpha and Numerical References (Alpha sorted by Symbol; Numerical sorted by NSCC Clearing Participant then Executing Broker)
November 2014
9
JANY 0374 Janney Montgomery Scott LLC CNS JASC 0352 Jane Street Capital, LLC CNS JDAA 0443 Dardis (Jack) & Associates CNS JDCO 0235 Cummins Financial Corporation CNS JEFF 0019 Jefferies LLC CNS
JSSC 0352 J. Scott Securities Corp. CNS JSSF 0352 JMP Securities, LLC CNS
JVBF 0235 Jack V. Butterfield Investments Company CNS
JVBG 0443 J.V.B. Financial Group LLC CNS JWCF 0226 J. W. Cole Financial, Inc. CNS JWFS 0443 Financial Telesis Inc. CNS JWML 0235 Millegan (J.W.), Inc. CNS
KACI 0279 First Integrity Capital Partners Corp CNS
KALA 0352 K.A. Associates Inc. CNS KALO 0226 Kalos Capital Incorporated CNS KAPE 0279 Cape Securities, Inc. CNS KART 0750 Revere Securities Corp. CNS
LEAD 0226 Leaders Group, Inc. (The) CNS LEBO 0226 Baldwin (Leigh) & Co., LLC CNS
LEDG 0443 Ledgewood Capital Management, LLC CNS
LEER 0443 Leerink Swann & Company CNS LEGD 0052 Legend Securities, Inc. CNS LENX 0279 Lenox Financial Services Inc. CNS LEON 0235 Leonard Securities, Inc. CNS
Muni Alpha and Numerical References (Alpha sorted by Symbol; Numerical sorted by NSCC Clearing Participant then Executing Broker)
November 2014
10
LESW 0443 Leerink Swann & Company CNS LEVN 0418 Levco Securities, Inc. CNS LEVY 0352 Levy, Harkins & Co., Inc. CNS LEXI 0352 Lexington Investment Co. Inc. CNS LEYA 0235 Lemley, Yarling & Co. CNS LFAC 0226 Lincoln Financial Advisors CNS LFIN 0161 Lighthouse Financial Group, LLC CNS LFRO 0235 LF Rothschild, LLC CNS LGLL 0141 Feil Daily Investment Company CNS LGNT 0052 COR Clearing LLC CNS
LGSA 0443 Woori Investment & Securities America, Inc. CNS
LIBE 0443 KCG Americas LLC CNS LIFG 0309 Long Island Financial Group, Inc CNS LIIS 0226 USAA Financial Advisors, Inc. CNS LIJP 0352 Lime Brokerage LLC CNS LINC 0352 Liberum Capital Inc. CNS
MLCO 0161 Merrill Lynch, Pierce, Fenner & Smith Inc. CNS
MLMA 0161 Merrill Lynch, Pierce, Fenner & Smith Incorporated CNS
MLMS 0279 Mainline West Municipal Securities LLC CNS
MLVM 0161 McNicoll, Lewis & Vlak LLC CNS MLVN 0443 Melvin Securities, L.L.C. CNS MMAN 0443 McMahan Securities Co. L.P. CNS MNCO 0279 Nelson (Martin) & Co., Inc. CNS MNRC 0443 Monarch Capital Group LLC CNS MNXS 0443 Muniaxis Lebenthal LLC CNS MOJO 0103 Montag & Joselson CNS MOLO 0235 Moloney Securities CNS MOMY 0279 Ashton Young, Inc. CNS MONR 0352 Monroe Securities Inc. CNS MORA 0352 Mora WM Securities CNS MORG 0750 Morgenthau & Associates, Inc. CNS MPLM 0651 Momentum Trading Partners, LLC CNS
MPLW 0226 Maplewood Investment Advisors, Inc. CNS
MPSG 0161 E D & F Man Capital Markets Inc. CNS MRPH 0226 WM Financial Services, Inc. CNS MRSC 0287 Marsco Investment Corporation CNS MRSW 0727 Mesirow Financial, Inc. CNS MSCH 0443 Magna Securities Corp. CNS MSCO 0050 Morgan Stanley & Co. LLC CNS MSEC 0750 Mission Securities Corporation CNS MSFS 0052 Mystockfund Securities, Inc. CNS MSIE 0443 Mason Securities, Inc. CNS MSII 0443 Metlife Securities, Inc. CNS MSIM 0226 Michigan Securities, Inc. CNS
MSMC 0188 Main Street Management Company CNS
MSNY 0015? Morgan Stanley & Co., Inc. CNS MSPD 0050 Morgan Stanley & Co. LLC CNS MSPW 0050 Morgan Stanley Smith Barney LLC CNS MSRO 0226 Mesirow Financial, Inc. CNS MSSS 0050 MS Securities Services, Inc. CNS
Inc. MULT 0443 Multi-Financial Securities Group CNS MUNP 0443 Municipal Partners CNS MURF 0443 Murphy & Durieu CNS MVII 0235 Minnesota Valley Investments CNS MVSG 0226 MV Securities Group, Inc. CNS MWCO 0443 Madison Williams and Company CNS MWIL 0235 Morgan Wilshire Securities, Inc. CNS MXSI 0309 Maxwell Simon Inc. CNS MYDM 0595 MYD Market, Inc CNS MYLG 0052 Meyers Associates, L.P. CNS
MYMK 0443 Money Market One Institutional Investment Dealer CNS
MYRS 0750 Meyers Associates, L.P. CNS
NACL 0309 National Alliance Securities Corporation CNS
NADL 0235 Warren D. Nadel & Company CNS NAFA 0309 NAFA Capital Markets, LLC CNS NAIS 0443 N.A. Investments Services, Inc. CNS NAPK 0052 National Securities Corporation CNS NATL 0226 National Securities Corporation CNS NBAR 0226 Barron (Nancy) & Associates, Inc. CNS NBLB 0352 Neuberger Berman, LLC CNS NBNA 6737 Bank of America, N.A. TFT NBST 0103 Brandis Tallman LLC CNS NCFS 0052 New Castle Financial Group, Inc CNS NCIS 0052 Newport Coast Securities CNS NCSI 0103 Newport Coast Securities CNS
NDCM 0352 Nanes Delorme Capital Management, LLC CNS
NEED 0352 Needham & Company, LLC CNS NEHL 0235 Greenberg Financial Group CNS NELS 0235 Nelson Securities, Inc. CNS NESC 0443 Northeast Securities, Inc. CNS
NESS 0443 New England Securities Corporation CNS
NEWO 0443 NewOak Capital Markets LLC CNS NEXT 0443 Next Financial Group, Inc. CNS NFGR 0141 Nations Financial Group, Inc. CNS
NFSC 0226 National Financial Services Corporation CNS
NFTY 0235 Infinity Financial Services CNS
NHMG 0226 New Horizons Asset Management Group, LLC CNS
PRST 0551 Merrill Lynch Professional Clearing Corp. CNS
PRUC 0226 Pruco Securities, LLC CNS PSAE 0141 PSA Equities, Inc. CNS PSII 0226 NFP Securities, Inc. CNS PSIN 0443 Red Capital Markets, Inc. CNS PSRI 0103 Globalink Securities, Inc. CNS PSUS 0443 Pine Securities USA LLC CNS PTIS 0235 PTI Securities & Futures L.P. CNS
PTLV 0443 National Bank Financial of Canada Inc. CNS
PTRI 0443 Petrie Parkman & Company, Inc. CNS PULB 0052 Pulaski Bank CNS
PUMP 0141 Gaye (C.E.) & Sons Securities, Ltd. CNS
PUPL 0226 Puplava Securities, Inc. CNS PURP 0309 Liberty Capital Investment Corp. CNS PWJC 0221 UBS Financial Services Inc. CNS
PWPR 0221 UBS Financial Services INC of Puerto Rico CNS
QBSI 0352 CFT Securities LLC CNS QCAS 0226 Cass (Quincy) Associates Inc. CNS QUET 0235 Quest Capital Strategies, Inc. CNS QUOI 0309 Quoin Capital LLC CNS QWER 0443 Whitehall-Parker Securities, Inc. CNS RAAI 0226 Royal Alliance Associates, Inc. CNS RACO 0158 Shearman, Ralston, Inc. CNS RAIN 0226 Rainier Securities, LLC CNS
RAIS 0443 Royal American Investment Services, Inc. CNS
RAIT 0161 RAIT Securities CNS
RAJA 0725 Raymond James & Associates, Inc. CNS
RAYF 0161 Raymond C. Forbes & Co., Inc. CNS RAYG 0443 Bolton Global Capital CNS RBAC 0235 Robert B. Ausdal & Co., Inc. CNS RBCD 0235 RBC Capital Markets Corporation CNS RBCX 0235 RBC Capital Markets Corporation CNS RBII 0279 Regional Brokers, Inc. CNS RBMU 0279 Blum (Robert) Municipals Inc. CNS RCKF 0309 Rockfleet Financial Services, Inc. CNS RCLF 0235 Olympia Asset Management, Ltd. CNS RCML 0161 Dealerweb Inc. CNS RCRS 0352 Roosevelt & Cross, Incorporated CNS RCSK 0642 Ruane, Cunniff & Goldbarb LLC CNS RDMI 0226 RDM Investment Services, Inc. CNS RDNK 0279 Woodstock Financial Group Inc. CNS RDSS 0141 RDSC, LLC CNS REAV 0443 W.H. Reaves & Co., Inc CNS
REGN 0226 Regions Securities LLC CNS REID 0141 Reid and Associates CNS RENC 0352 Rencap Securities, Inc. CNS REND 0226 Ticonderoga Securities LLC CNS RENS 0279 Rensselaer Securities Corporation CNS REPG 0443 First Republic Group, LLC CNS REWI 0443 Redwine & Company, Inc. CNS
REYN 0352 Thomas P. Reynolds Securities Ltd CNS
RFRC 0309 The Rockwell Financial Group, Inc. CNS RGEL 0309 Regal Securities, Inc. CNS RGIC 0443 R-G Investment Corporation CNS RGIL 0750 Gilford Securities Incorporated CNS RGLS 0235 Regal Securities, Inc. CNS RGWD 0141 Ridgewood Associates Inc. NJ CNS RHCO 0418 SunTrust Capital Markets, Inc. CNS RHDS 0141 Rhodes Securities, Inc. CNS RHGL 0226 Resource Horizons Group, LLC CNS RHIC 0279 R H Investment Corporation CNS
RIED 0235 Riedl, First Securities Company of Kansas CNS
RINO 0443 Rhino Trading Partners, LLC CNS
RJFI 0390 Raymond James & Associates, Inc./Fl CNS
RJLB 0161 RJL Capital Group, LLC CNS RKWS 0235 Rockwell Securities LLC CNS RLUK 7607 Robinson & Lukens, Inc. CNS RMAT 0352 Ramat Securities Ltd. CNS RMPI 0141 Richards, Merrill & Peterson, Inc. CNS RMST 0443 Stark (R.M.) & Co., Inc. CNS ROAR 0103 Dinosaur Securities, L.L.C. CNS ROBI 0235 Robinson & Robinson, Inc. CNS ROBO 0235 Rodgers Brothers, Inc. CNS ROBT 0443 Robotti & Company, LLC CNS ROCH 0443 Rochdale Securities, LLC CNS ROCK 0443 Rockwell Global Capital, LLC CNS
RODE 0443 Rodecker & Co. Investment Brokers, Inc. CNS
ROGO 0750 Rogo Capital LLC CNS ROMO 0141 Romano Brothers and Company CNS ROND 0750 McKim Capital, Inc. CNS ROPK 0443 Reinoso & Company, Incorporated CNS ROTH 0161 Roth Capital Partners, LLC CNS ROYL 0443 Royal Alliance Associates, Inc. CNS RPCP 0052 RP Capital LLC CNS RPEX 0352 Repex & Co., Inc. CNS
RREZ 0352 Samuel A. Ramirez & Company, Inc. CNS
RRII 0443 Roberts & Ryan Investments, Inc. CNS
RRPR 0443 Samuel A. Ramirez & Company, Inc. CNS
RRUD 0235 Reid & Rudiger, LLC CNS
RRZP 6033 The Bank of New York Mellon/RRZ Public Markets, Inc. TFT
Muni Alpha and Numerical References (Alpha sorted by Symbol; Numerical sorted by NSCC Clearing Participant then Executing Broker)
November 2014
14
RSSE 0443 Russell Implementation Srvs., Inc. Pt of Russell Inv. CNS
RSWM 0141 Riverstone Wealth Management, Inc. CNS
RVSI 0103 Robert Van Securities, Inc. CNS RWCI 0052 Ridgeway & Conger, Inc. CNS RWPS 0352 Pressprich (R.W.) & Company Inc. CNS RWSM 0279 Smith (R.W.) & Associates, Inc. CNS
RWWI 0279 Reliance Worldwide Investments, LLC CNS
RYAL 0235 Royal Securities Company CNS RYAN 0443 Ryan, Beck & Co. CNS SABF 0161 Saudi American Bank CNS SABS 0443 Sabadell Securities USA, Inc. CNS SAFS 0750 Sterne Agee Financial Services CNS SAGE 0141 Sage, Rutty & Co., Inc. CNS SAIN 0226 Securities America, Inc. CNS
SAKL 0226 Stephen A. Kohn & Associates, Ltd. CNS
SALA 6523
The Bank of New York Mellon/Southtrust Bank of Alabama TFT
SALB 0274 Citigroup Global Markets Inc./Salomon Brothers CNS
SALC 0443 Sterne Agee & Leach, Inc CNS SALI 0750 Sterne, Agee & Leach, Inc. CNS SAMI 0352 Spectrum Asset Management Inc. CNS
SAPA 0141 Saperston Asset Management, Inc. CNS
SARG 0226 Purshe Kaplan Sterling Investments CNS
SAVY 0235 Savoy Capital Management, Inc. CNS SAYB 0103 Saybrook Capital Corporation CNS SBAM 0443 Investment Professionals, Inc. CNS SBER 0013? Bernstein (Sanford C.) & Co., LLC CNS
SBLT 0226 SunAmerica Capital Services, Inc./Valic CNS
TIBS 0443 Telemus Investment Brokers, LLC CNS TIGC 0235 Nelsonreid, Inc. CNS TKGA 0226 Kelt (The) Group, LLC CNS
TMBI 0235 Thurston, Springer, Miller, Herd & Titak, Inc. CNS
TMBR 0549 Timber Hill LLC CNS
Muni Alpha and Numerical References (Alpha sorted by Symbol; Numerical sorted by NSCC Clearing Participant then Executing Broker)
November 2014
16
TMBS 0443 Tradition Asiel Securities Inc. CNS TMCC 0443 TMC Bonds, L.L.C. CNS TMCD 0141 Thomas McDonald Partners, LLC CNS TMII 0226 Trustcore Investments, Inc. CNS TOCQ 0443 Tocqueville Securities, L.P. CNS TONG 0443 Tonge (R.M.) Company CNS TORI 0235 Torino Capital LLC CNS TORO 0309 Valdes & Moreno, Inc. CNS TOVC 0235 TOV Capital Markets, Inc. CNS TOWT 0750 R.W. Towt & Associates CNS TPMR 0141 Trade-PMR, Inc. CNS TRAD 0271 TradeStation Securities, Inc. CNS TRCO 0279 Tryco Securities, Inc. CNS TREK 0226 Ramirez Tradetrek Securities, LLC CNS TREX 0226 Dinosaur Securities, L.L.C. CNS TRID 0226 Triad Advisors, Inc. CNS TRIM 0161 Knight Capital Markets, LLC CNS TRIN 0141 Triangle Securities, LLC CNS TRIP 0235 Trident Partners Ltd. CNS TRKA 0443 Troika Dialog USA, Inc. CNS TRSC 0052 Transcend Capital, LP CNS TRSH 0309 Thrasher & Company CNS TRSQ 0443 Tower Square Securities, Inc. CNS TRSR 0279 Mutual Money Investments, Inc. CNS TRUB 0141 Trubee, Collins & Co., Inc. CNS TRWN 0443 T.R. Winston & Company, LLC CNS TRYN 0443 First Tryon Securities, LLC CNS TSCD 0235 Sturges Company (The) CNS TSFA 0443 Strategic Financial Alliance (The) CNS TSGI 0158 Tejas Securities Group, Inc. CNS TSII 0226 TradeStar Investments, Inc. CNS TSPI 0141 T.S Phillips Investments CNS TUNA 0443 Bluefin Research Partners, Inc. CNS TURN 0161 CCM Securities, LLC CNS TWFS 0188 21st Century Financial Services CNS
TWPL 0793 Stifel, Nicolaus & Company, Incorporated CNS
UBII 0221 UBS International, Inc. CNS UBKR 6732 United Bankers Bank TFT UBOC 2851 Union Bank N.A. TFT UBSI 0141 United Brokerage Services, Inc. CNS UBSW 0642 UBS Securities LLC CNS UCMI 0443 United Capital Markets, Inc. CNS UFSM 0750 Nelnet Capital LLC CNS ULAT 0443 Ultralat Corporation CNS UMBF 0226 UMB Financial Services, Inc. CNS UMBI 2451 UMB Bank National Association TFT UNIB 0443 Unibanco Securities Inc CNS
UPLN 0443 United Planners Financial Services of America CNS
USAA 0226 USAA Investment Management Company CNS
USCA 0226 U.S. CA Securities LLC CNS USCO 0052 Underhill Securities Corp CNS USDB 0279 U.S. Brokerage, Inc. CNS USFB 0595 U.S. Financial Investments, Inc CNS
USIC 0226 US Securities International Corp. CNS USIS 0226 USI Securities, Inc. CNS USSI 0309 U.S. Sterling Securities, Inc. CNS
UVST 0443 Uvest Financial Services Group, Inc. CNS
VABD 0295 Knight Capital Americas LLC CNS VALI 0226 Valley National Investments, Inc. CNS VALM 0235 Valmark Securities, Inc. CNS VARI 0352 Variant Research Corporation CNS VASL 0352 Vasiliou & Company Inc. CNS VBCS 0279 VBC Securities CNS VBLT 0226 Vanderbilt Securities, LLC CNS VCAP 0443 Vanguard Capital CNS VCAS 0352 VCA Securities, LP CNS VCLM 0279 Van Clemens & Co., Inc. CNS VCMS 0443 VCM Securities, LLC CNS VCSI 0443 Vaughan & Co. Securities, Inc. CNS VEGA 0443 Vega-Chi US Limited CNS VERT 0161 Vertical Trading Group, LLC (The) CNS VFGS 0750 VFG Securities, LLC CNS VFIN 0226 vFinance Investments, Inc. CNS VGRD 0062 Vanguard Marketing Corporation CNS VIEW 0595 Viewtrade Securities, Inc. CNS VISI 0443 Vision Investment Services, Inc. CNS VKMI 0692 Invesco Capital Markets, Inc. CNS
VLYF 0443 Valley Forge Asset Management Corporation CNS
VMEX 0352 Vectormex WMG, Inc. CNS VNDM 0161 Vandham Securities Corp. CNS VNDS 0161 Vandham Securities Corp. CNS VOLS 2447 Home Financial Services, Inc. TFT VOTO 0443 Banco Votorantim Securities, Inc. CNS VPEW 0158 VPE Wertpapierhandelsbank AG CNS VSIN 0595 Vision Financial Markets LLC CNS VSLP 6043 Vining-Sparks IBG, L.P. TFT VSRF 0141 VSR Financial Services, Inc. CNS VSTS 0279 Vista Securities, Inc. CNS VTDT 0158 ViewTrade Securities, Inc. CNS VTMW 0235 Emergent Financial Group, Inc. CNS WABR 0443 Wall Street Access CNS WACC 0279 Weller, Anderson & Co., Ltd. CNS WACL 0709 Wachtel & Co., Inc. TFT WAIN 0103 H.C. Wainwright & Co., Inc. CNS WANG 0279 Wang Investment Associates, Inc. CNS WARF 0235 Ward's Financial Services, Inc. CNS WAYN 0141 Wayne Hummer Investments LLC CNS WBBC 0226 WBB Securities, LLC CNS WBLR 0771 Blair (William) & Company, LLC CNS WBNA 2072 Wells Fargo Bank, N.A./SIG CNS WBRO 0443 Wiley Bros.-Aintree Capital, LLC CNS WCAH 0309 Westhoff Cone & Holmstedt CNS WCHV 0250 Wells Fargo Securities, LLC CNS
WCIG 0750 Willow Cove Investment Group, Inc. CNS
WCIS 0443 Wescorp Investment Services, LLC CNS
WCMS 0352 Westport Capital Markets, LLC CNS
Muni Alpha and Numerical References (Alpha sorted by Symbol; Numerical sorted by NSCC Clearing Participant then Executing Broker)
November 2014
17
WCSC 0235 Wilmington Capital Securities, LLC CNS WCSO 0052 World Choice Securities, Inc. CNS WDAC 0279 Wilson-Davis & Company, Inc. CNS WECK 0595 Weckstein (D.) & Co., Inc. CNS WEDB 0103 Wedbush Securities Inc. CNS WEED 0161 Weeden & Co. L.P. CNS WEFI 0103 Western Financial Corporation CNS WEGI 0235 World Equity Group Inc. CNS WEGP 0235 Western Equity Group, Inc. CNS WEIL 0226 Weil Company, Inc. (The) CNS WELC 0702 H. G. Wellington & Co., Inc. CNS WELD 0443 White, Weld & Co. Securities, LLC CNS WELL 0309 Wells Nelson & Associates, LLC CNS WESC 0141 Wellington Shields & Co., LLC CNS
0141 CITY City Securities Corporation CNS 0141 COAS Coastal Equities, Inc. CNS 0141 COBR Coburn & Meredith, Inc. CNS 0141 CONS Consultiva Securities, Inc. CNS
0141 COOR Coordinated Capital Securities, Inc. CNS
0141 CPAM Capital Securities of America, Inc. CNS
0141 CTNL Centennial Securities Company, LLC CNS
0141 CUTT Cutter & Company Brokerage, Inc. CNS 0141 DKEI Dale K. Ehrhart, Inc. CNS 0141 DMKC Kelley (D.M.) & Co. CNS 0141 DORS Dorsey & Co. Inc. CNS 0141 DTII Delta Trust Investments, Inc. CNS 0141 EKRI Riley (E.K.) Investments, LLC CNS 0141 FCCP First Clearing LLC CNS 0141 FCFP First Citizens Financial Plus, Inc. CNS 0141 FDSI First Dallas Securities, Inc. CNS
0161 GTSY GTS Securities, LLC CNS 0161 GZML Guzman & Company CNS 0161 INTL INTL Trading, Inc. CNS 0161 JJKE Dealerweb Inc. CNS 0161 JJKS Rafferty Capital Markets, LLC CNS 0161 JONE JonesTrading CNS 0161 LFIN Lighthouse Financial Group, LLC CNS 0161 MACM Madison Capital Markets, Inc. CNS 0161 MBSC MBSC Securities Corporation CNS 0161 MCIN Moors & Cabot, Inc. CNS 0161 MERQ Mercator Associates, LLC CNS 0161 MISL Mischler Financial Group, Inc. CNS 0161 MISM Mismi, Inc. CNS
0161 MLCO Merrill Lynch, Pierce, Fenner & Smith Inc. CNS
0161 MLMA Merrill Lynch, Pierce, Fenner & Smith Incorporated CNS
0161 MLVM McNicoll, Lewis & Vlak LLC CNS 0161 MPSG E D & F Man Capital Markets Inc. CNS 0161 NITE Knight Equity Markets, L.P. CNS 0161 OGRU Oscar Gruss & Son, Incorporated CNS 0161 ONEL O'Neil (William) & Co. Inc. CNS 0161 PICK Pickering Energy Partners, Inc. CNS 0161 PNSA Penserra Securities, LLC CNS 0161 PNSR Penserra Securities, LLC CNS 0161 RAIT RAIT Securities CNS 0161 RAYF Raymond C. Forbes & Co., Inc. CNS 0161 RCML Dealerweb Inc. CNS 0161 RJLB RJL Capital Group, LLC CNS 0161 ROTH Roth Capital Partners, LLC CNS 0161 SABF Saudi American Bank CNS 0161 SCSS Stonecastle Securities, LLC CNS 0161 SECS Second Street Securities, Inc. CNS 0161 SEPN Seapine Securities, LLC CNS
0161 SFGB Susquehanna Financial Group, LLP CNS
0161 SGCM S. Goldman Capital LLC CNS
Muni Alpha and Numerical References (Alpha sorted by Symbol; Numerical sorted by NSCC Clearing Participant then Executing Broker)
November 2014
21
0161 SPGS Seaport Global Securities LLC CNS 0161 STRS Strategas Research Partners, LLC CNS 0161 TAGC Telsey Advisory Group LLC CNS 0161 TRIM Knight Capital Markets, LLC CNS 0161 TURN CCM Securities, LLC CNS 0161 VERT Vertical Trading Group, LLC (The) CNS 0161 VNDM Vandham Securities Corp. CNS 0161 VNDS Vandham Securities Corp. CNS 0161 WEED Weeden & Co. L.P. CNS 0161 WNDR Wunderlich Securities, Inc. CNS
0161 WVBD Merrill Lynch Pierce Fenner & Smith Incorporated CNS
0163 NQBX NASDAQ OMX BX, INC CNS 0164 CHAS Charles Schwab & Co., Inc. CNS 0187 CHSI J.P. Morgan Securities LLC CNS 0188 AMTD Ameritrade, Inc. CNS 0188 FOMA TD Ameritrade Clearing, Inc. CNS 0188 LABR LaBrunerie Financial Services CNS
0188 MSMC Main Street Management Company CNS
0188 SPCA Spectrum Capital, Inc. CNS 0188 TDAR TD Ameritrade, Inc. CNS 0188 TWFS 21st Century Financial Services CNS 0189 SSBS State Street Global Markets, LLC CNS 0189 SSLL State Street Global Markets, LLC CNS 0197 COAK CastleOak Securities, L.P CNS
0197 CSPD Cantor Fitzgerald & Co. - Cantor Clearing Services CNS
0197 SEMT Mint Brokers CNS 0202 FTSC FTN Financial Services Corp. CNS 0221 PWJC UBS Financial Services Inc. CNS
0221 PWPR UBS Financial Services INC of Puerto Rico CNS
0221 UBII UBS International, Inc. CNS
0226 AALC Thrivent Investment Management, Inc. CNS
0226 ABAS Conover Securities Corporation CNS
0226 ABYL North Star Investment Services, Inc. CNS
0226 ACSL FinTrust Brokerage Services, LLC CNS 0226 AFIN All Funds, Inc. CNS 0226 AIAI LTC Investment Services, Inc. CNS 0226 AIGN Sagepoint Financial, Inc. CNS 0226 ALLE Alleghany Investments Inc. CNS 0226 AMIC L.S.Y., Inc. CNS 0226 ARCH Investacorp, Inc. CNS
0226 ASOI Associated Investment Services, Inc. CNS
0226 TMII Trustcore Investments, Inc. CNS 0226 TREK Ramirez Tradetrek Securities, LLC CNS 0226 TREX Dinosaur Securities, L.L.C. CNS 0226 TRID Triad Advisors, Inc. CNS 0226 TSII TradeStar Investments, Inc. CNS 0226 UMBF UMB Financial Services, Inc. CNS
0226 USAA USAA Investment Management Company CNS
0226 USCA U.S. CA Securities LLC CNS 0226 USIC US Securities International Corp. CNS 0226 USIS USI Securities, Inc. CNS 0226 VALI Valley National Investments, Inc. CNS 0226 VBLT Vanderbilt Securities, LLC CNS 0226 VFIN vFinance Investments, Inc. CNS 0226 WBBC WBB Securities, LLC CNS 0226 WEIL Weil Company, Inc. (The) CNS
0226 WISC Windsor, Sheffield & Company, Inc. CNS
0226 WMBU WFG Investments, Inc. CNS 0226 WSFG Wall Street Financial Group CNS 0226 WUNT Wunderlich Securities, Inc. CNS 0226 ZDNF Zions Direct, Inc. CNS 0229 BCLE Barclays Capital, Inc./LE CNS 0235 ABPI Allied Beacon Partners, Inc. CNS 0235 ACGP Andes Capital Group, LLC CNS 0235 ACLP Alexander Capital, L.P. CNS
0235 ADFG American Diversified Financial Group, LLC CNS
0235 AGCP Aegis Capital Corp. CNS 0235 AGIS Aegis Capital Corp. CNS
0235 AISG American Independent Securities Group, LLC CNS
0235 ALAD Alliance Advisory & Securities, Inc. CNS
0235 ALIS Alexander Investment Services Co. CNS
0235 ANDG Garrett (Andrew) Inc. CNS 0235 ASGI Alton Securities Group Inc. CNS
0235 BBGC Graham (B.B.) & Company CNS 0235 BBII Sierra Equity Group Ltd. CNS 0235 BCMI Blackwall Capital Markets, Inc. CNS 0235 BCOM Baker & Co., Incorporated CNS
0235 BEAF Beaconsfield Financial Services, Inc. CNS
0235 BEMC Berghoff & Company, Inc. CNS 0235 BFSL Briggs-Ficks Securities, LLC CNS 0235 BJRC Cascade Investment Group, Inc. CNS 0235 BKRT Buckman, Buckman & Reid, Inc. CNS 0235 BLTN Bolton Securities Corporation CNS 0235 BMRK Benchmark Investments, Inc. CNS 0235 BOBO Penates Group Inc. CNS 0235 BRGI Advanced Asset Trading, Inc. CNS 0235 BRNT Brent (H.D.) & Company, Inc. CNS 0235 BVIS BestVest Investments, Ltd. CNS 0235 BWNA Brown Associates, Inc. CNS 0235 CATE Carter, Terry & Company, Inc. CNS
Muni Alpha and Numerical References (Alpha sorted by Symbol; Numerical sorted by NSCC Clearing Participant then Executing Broker)
November 2014
24
0235 CESI Cressman Esser Securities, Inc. CNS 0235 CFDI CFD Investments CNS 0235 CFGM Trustmont Financial Group, Inc. CNS 0235 CHNR Chauner Securities, Inc. CNS 0235 CLRK Clark Dodge & Co., Inc. CNS 0235 CMGT Country Capital Inc. CNS
0235 CONF Conservative Financial Services, Inc. CNS
0235 COYL Coyle Securities LLC CNS 0235 CPLC Cova Capital Partners LLC CNS 0235 CRDL Cardinal Investments Inc. CNS 0235 CSIN Capital Select Investment CNS 0235 CSPI Capital Synergy Partners CNS 0235 DAII Alexander (Don) Investments, Inc. CNS
0235 DAIN RBC Capital Markets Corporation CNS
0235 DARA Darwood Associates, Inc. CNS 0235 DCSD Dain Correspondent Services CNS 0235 DHCO David Harris & Co., Inc. CNS 0235 DHLN Equinox Group Distributors, LLC CNS 0235 DPAA Palmieri (Angnardo) & Co., Inc. CNS 0235 EDIR EDI Financial, Inc. CNS 0235 EXTF Wynston Hill Capital, LLC CNS 0235 FALK Steven L. Falk & Associates CNS 0235 FAMI First American Municipals, Inc. CNS 0235 FFCB Forefront Capital Markets LLC CNS 0235 FFCM Forefront Capital Markets LLC CNS 0235 FHON First Honolulu Securities Inc. CNS 0235 FINF Finance 500, Inc. CNS 0235 FISH Fisher (L.B.) & Company CNS
0235 FKSC First Kentucky Securities Corporation CNS
0235 FLIB First Liberties Financial CNS 0235 FNBS Alerus Securities Corporation CNS 0235 FORE Forest Securities, Inc. CNS
0235 FPCI Financial Planning Consultants Inc. CNS
0235 FSII Forsyth Securities CNS 0235 GAFI Gardner Financial Services Inc. CNS 0235 GJSS Schwartz, Gregory J. & Co. Inc. CNS 0235 GRFC GRF Capital Investors Inc. CNS 0235 GRST Garden State Securities Inc. CNS 0235 GSAD Gatten Sadowski Inc CNS 0235 HACL Halen Capital Management, Inc CNS 0235 HAMR W.R. Hambrecht + Co., LLC CNS 0235 HENN Hennig (Carl M.) Inc. CNS 0235 HFSB Heritage Financial Systems, Inc. CNS 0235 HIGG Higgins Capital Management, Inc. CNS 0235 HLIX Lucia Securities, LLC CNS 0235 HMRB W.R. Hambrecht + Co., LLC CNS 0235 HRGR Harger and Company, Inc. CNS 0235 HVST Harvest Financial Corporation CNS
0235 ICMH Institutional Capital Management, Inc. CNS
0235 INCP Incapital, LLC CNS 0235 INPI Investment Planners Inc. CNS 0235 IVNT Investment Network, Inc. CNS 0235 IVOL Union Capital Company CNS 0235 JDCO Cummins Financial Corporation CNS
0235 JVBF Jack V. Butterfield Investments Company CNS
0235 JWML Millegan (J.W.), Inc. CNS
0235 KCIM Investment Management Corporation CNS
0235 KRTH Korth (J.W.) & Company, Inc. CNS 0235 KRUG Krueger Brokerage, Inc. CNS 0235 KWSC KW Securities Corporation CNS 0235 LAFB Lafferty (R.F.) & Co., Inc. CNS 0235 LAKE Lake Forest Securities, LLC CNS 0235 LAMA Lara, Shull & May, Ltd. CNS 0235 LARC Larimer Capital Corporation CNS 0235 LASE Legacy Asset Securities Inc. CNS 0235 LEON Leonard Securities, Inc. CNS 0235 LEYA Lemley, Yarling & Co. CNS 0235 LFRO LF Rothschild, LLC CNS 0235 LMFI Lauren & Merlin Inc. CNS 0235 LMKO Kohn (L.M.) & Company CNS 0235 LMSC Bay Colony Securities Co., Inc. CNS
0235 LOMU Loewen, Ondaatje, McCutcheon USA Limited CNS
0235 LPFS Liberty Partners Financial Services, Inc. CNS
0235 MAIA Maia Securities, Inc. CNS
0235 MCTY McCourtney-Breckenridge & Company CNS
0235 MERC Mercadien Securities CNS 0235 MINV Mack Investments Securities, Inc. CNS 0235 MOLO Moloney Securities CNS 0235 MTLE MTL Equity Products, Inc. CNS 0235 MVII Minnesota Valley Investments CNS 0235 MWIL Morgan Wilshire Securities, Inc. CNS 0235 NADL Warren D. Nadel & Company CNS 0235 NEHL Greenberg Financial Group CNS 0235 NELS Nelson Securities, Inc. CNS 0235 NFTY Infinity Financial Services CNS 0235 NORC Northern Capital Sec. Corp. CNS 0235 NSFP Northstar Financial Partners CNS 0235 NSRD Nestlerode & Co., Inc. CNS 0235 NYPP NYPPEX, LLC CNS
0235 OAKR The Oak Ridge Financial Services Group, Inc. CNS
0235 OCAC Olson, Cross & Alamo LLC CNS 0235 OFGF OFG Financial Services Inc. CNS 0235 PAAI Portfolio Advisors A CNS 0235 PAUL Paulson Investment Company, Inc. CNS
0235 PEER American Trust Investment Services, Inc. CNS
Muni Alpha and Numerical References (Alpha sorted by Symbol; Numerical sorted by NSCC Clearing Participant then Executing Broker)
November 2014
25
0235 PICC Planned Investment Co., Inc. CNS 0235 PODE Podesta & Co. CNS 0235 PPSI Pension Planners Securities, Inc. CNS 0235 PRBC Pointe Capital, LLC CNS 0235 PTIS PTI Securities & Futures L.P. CNS 0235 QUET Quest Capital Strategies, Inc. CNS 0235 RBAC Robert B. Ausdal & Co., Inc. CNS 0235 RBCD RBC Capital Markets Corporation CNS 0235 RBCX RBC Capital Markets Corporation CNS 0235 RCLF Olympia Asset Management, Ltd. CNS 0235 RGLS Regal Securities, Inc. CNS
0235 RIED Riedl, First Securities Company of Kansas CNS
0235 RKWS Rockwell Securities LLC CNS 0235 ROBI Robinson & Robinson, Inc. CNS 0235 ROBO Rodgers Brothers, Inc. CNS 0235 RRUD Reid & Rudiger, LLC CNS 0235 RYAL Royal Securities Company CNS 0235 SAVY Savoy Capital Management, Inc. CNS 0235 SDIC Sauer Dazey Investments Co. CNS 0235 SFSI Superior Financial Services, Inc. CNS 0235 SGLC Long (S.G.) & Company CNS 0235 SMCO Smith, Moore & Co. CNS 0235 SORS Sorsby Financial Corp. CNS 0235 STLR Prime Solutions Securities, Inc. CNS 0235 STSI Spencer Trask Ventures, Inc. CNS 0235 SUST Sunstreet Securities, LLC CNS 0235 TAIG Geoffrey Richards Securities Corp. CNS
0235 TFSC Twenty-First Securities Corporation CNS
0235 TFSL Teckmeyer Financial Services CNS 0235 TGUL Cleary Gull Inc. CNS 0235 TIGC Nelsonreid, Inc. CNS
0235 TMBI Thurston, Springer, Miller, Herd & Titak, Inc. CNS
0235 TORI Torino Capital LLC CNS 0235 TOVC TOV Capital Markets, Inc. CNS 0235 TRIP Trident Partners Ltd. CNS 0235 TSCD Sturges Company (The) CNS 0235 VALM Valmark Securities, Inc. CNS 0235 VTMW Emergent Financial Group, Inc. CNS 0235 WARF Ward's Financial Services, Inc. CNS 0235 WCSC Wilmington Capital Securities, LLC CNS 0235 WEGI World Equity Group Inc. CNS 0235 WEGP Western Equity Group, Inc. CNS 0235 WILB Wilbanks Securities, Inc. CNS 0235 WRGR Warner Group Inc. (The) CNS 0235 WRLD Hunter World Markets, Inc. CNS 0235 WSCC Washington Securities Corporation CNS 0235 WSCX Workman Securities Corp. CNS 0235 WTRI Waterford Investors Services, Inc. CNS 0235 YOST Young Stovall & Company CNS
0250 WFPB Wells Fargo Prime Services, LLC CNS 0271 TRAD TradeStation Securities, Inc. CNS
0274 SALB Citigroup Global Markets Inc./Salomon Brothers CNS
0279 AFGT Ambassador Financial Group, Inc. CNS 0279 AIGI American Investors Group CNS 0279 BAIN Bankers & Investors Co. CNS
0279 BLPC Butler Larsen Pierce & Company, Inc. CNS
0279 BRBR Brown & Brown Securities, Inc. CNS 0279 CAGI Crescent Securities Group, Inc. CNS 0279 CALT Calton & Associates, Inc. CNS 0279 CAPE Cape Securities, Inc. CNS 0279 CHTS Chatsworth Securities LLC CNS
0279 CISC Caldwell International Securities Corporation CNS
0279 CLSI Caprock Securities, Inc. CNS 0279 CMMC Cooper Malone McClain Inc. CNS 0279 COLS Colonial Securities Inc. CNS
0279 CONT Continental Investors Services, Inc. CNS
0279 CTBK Central Trust Bank CNS 0279 DCAN Duncan (R.M.) Securities Inc. CNS 0279 DENI H.C. Denison Co. CNS 0279 DILG Dillon Gage Securities Inc. CNS 0279 EMPR Selkirk Investments, Inc. CNS 0279 FAMS First American Securities CNS 0279 FCML FNBB Capital Markets, LLC CNS 0279 FIRF First Research Finance Inc. CNS 0279 FRIC Freedom Investors Corp. CNS 0279 GSBI Global Brokerage Services, Inc. CNS 0279 HAYV Haywood Securities (USA) Inc. CNS 0279 IAAK Isaak Bond Investment, Inc. CNS
0279 IMBB Indiana Merchant Banking & Brokerage Co., Inc. CNS
0279 ISCN Institutional Securities Corporation CNS 0279 JKFS J.K. Financial Services, Inc. CNS 0279 JRLC JRL Capital Corporation CNS
0279 KACI First Integrity Capital Partners Corp CNS
0279 MLMS Mainline West Municipal Securities LLC CNS
0279 MNCO Nelson (Martin) & Co., Inc. CNS 0279 MOMY Ashton Young, Inc. CNS 0279 NTBC Neidiger, Tucker, Bruner, Inc. CNS 0279 NWCM NW Capital Markets Inc. CNS 0279 OBSH O'Brien & Shepard, Inc. CNS
0279 PECA Peraza Capital and Investment, LLC CNS
0279 PERC Percival Financial Partners, Ltd. CNS
Muni Alpha and Numerical References (Alpha sorted by Symbol; Numerical sorted by NSCC Clearing Participant then Executing Broker)
November 2014
26
0279 PFCG Preferred Client Group, Inc. CNS 0279 PFFI Profinancial Inc. CNS
0279 PFIS Professional Investments Services, Inc. CNS
0279 PICI Polar Investment Counsel, Inc. CNS 0279 PRGA Gilboy (P.R.) & Associates, Inc. CNS 0279 RBII Regional Brokers, Inc. CNS 0279 RBMU Blum (Robert) Municipals Inc. CNS 0279 RDNK Woodstock Financial Group Inc. CNS 0279 RENS Rensselaer Securities Corporation CNS 0279 RHIC R H Investment Corporation CNS 0279 RWSM Smith (R.W.) & Associates, Inc. CNS
0279 RWWI Reliance Worldwide Investments, LLC CNS
0279 SCMT Southwestern Capital Market, Inc. CNS 0279 SEBR Sentinel Brokers Company CNS 0279 SGNL Signal Securities, Inc. CNS 0279 SKTR Stock Traders CNS 0279 SLAK Southlake Capital LLC CNS 0279 SPSR Stark Municipal Brokers CNS
0279 STGC Sterling Grace Municipal Securities Co. CNS
0279 SWST Southwest Securities, Inc. CNS 0279 TRCO Tryco Securities, Inc. CNS 0279 TRSR Mutual Money Investments, Inc. CNS 0279 USDB U.S. Brokerage, Inc. CNS 0279 VBCS VBC Securities CNS 0279 VCLM Van Clemens & Co., Inc. CNS 0279 VSTS Vista Securities, Inc. CNS 0279 WACC Weller, Anderson & Co., Ltd. CNS 0279 WANG Wang Investment Associates, Inc. CNS 0279 WDAC Wilson-Davis & Company, Inc. CNS 0279 WHIT WIC Corp. CNS
0279 WIDS Wisconsin Discount Securities Corp. CNS
0279 WMEI Meeschaert Capital Markets, Inc. CNS 0279 WODL Woodlands Securities Corp. CNS 0279 YQST YieldQuest Securities, LLC CNS 0280 FBSB U.S. Bancorp Investments Inc. TFT 0284 AFCO Fried (Albert) & Company, LLC CNS 0284 CLAN Clancy Financial Services, Inc CNS 0286 SGAS SG Americas Securities, LLC CNS 0286 SGOV SG Americas Securities, LLC CNS 0287 MRSC Marsco Investment Corporation CNS 0295 NITC KCG Americas LLC CNS 0295 VABD Knight Capital Americas LLC CNS 0309 ABAI Abacus Investments, Inc. CNS 0309 ADKT Adirondack Trading Group LLC CNS 0309 AIRS Hand Securities, Inc. CNS 0309 ALAC Alamo Capital CNS 0309 ALIN Alanar Incorporated CNS 0309 ANBF ANB Financial Group LLC CNS 0309 ARIV Arive Capital Markets LLC CNS 0309 ASPN Aspen Equity Partners, LLC CNS 0309 BCLT Barton Creek Ltd. CNS
0309 BCPI GVC Capital LLC CNS 0309 BCRK Bear Creek Securities, LLC CNS 0309 BHSE The Bond House CNS
0309 BLNS Braymen, Lambert and Noel Securities, Ltd. CNS
0309 BMKS Benchmark Securities LLC CNS 0309 BOLL Bodell Overcash Anderson & Co. CNS 0309 CALL Callaway Financial Services, Inc. CNS 0309 CFIN Chelsea Financial Services CNS 0309 CLAY Charleston Capital Corporation CNS
0309 COFS Colorado Financial Service Corporation CNS
0309 CSNT Crescent Securities Group, Inc. CNS 0309 DAVW Seidel & Shaw, LLC CNS 0309 DLSC DLS Capital Partners, Inc. CNS 0309 DOMI Dominion Investor Services Inc. CNS 0309 ESTR Estrada Hinojosa & Co. CNS 0309 FIFS First Independent Financial CNS
0309 FLSC First London Securities Corporation CNS
0309 FRST First Southern Securities LLC CNS 0309 FSWC First Southwest Company CNS 0309 GLLL Gill Capital Partners CNS 0309 GNTS Great Nation Investment Group CNS 0309 GWLP Grant Williams, L.P. CNS 0309 INDE Independent Brokers LLC CNS 0309 ITUS InterTrading USA Securities, Inc. CNS 0309 KCIX Kiley Partners, Inc. CNS 0309 KUYK Kuykendall & Schneider, Inc. CNS 0309 LANP Lancaster Pollard & Co. CNS 0309 LIFG Long Island Financial Group, Inc CNS 0309 LOWL Lowell & Company CNS 0309 MCMG Municipal Capital Market Group CNS 0309 MXSI Maxwell Simon Inc. CNS
0309 NACL National Alliance Securities Corporation CNS
0309 NAFA NAFA Capital Markets, LLC CNS 0309 NTCP Marv Capital Inc. CNS 0309 PHRS Navaid Financial Services CNS 0309 PURP Liberty Capital Investment Corp. CNS 0309 QUOI Quoin Capital LLC CNS 0309 RCKF Rockfleet Financial Services, Inc. CNS 0309 RFRC The Rockwell Financial Group, Inc. CNS 0309 RGEL Regal Securities, Inc. CNS 0309 SEQU Sequoia Investments, Inc. CNS
0309 SIGI Simmons First Investment Group, Inc. CNS
0309 SPAC Sierra Pacific Securities, LLC CNS 0309 SSLC Sanderlin Securities, LLC CNS 0309 TORO Valdes & Moreno, Inc. CNS 0309 TRSH Thrasher & Company CNS 0309 USSI U.S. Sterling Securities, Inc. CNS 0309 WCAH Westhoff Cone & Holmstedt CNS 0309 WELL Wells Nelson & Associates, LLC CNS 0309 WICK Bonwick Capital Partners, LLC CNS 0309 WNJC WNJ Capital, Inc CNS
Muni Alpha and Numerical References (Alpha sorted by Symbol; Numerical sorted by NSCC Clearing Participant then Executing Broker)
November 2014
27
0311 HPWD Piper Jaffray & Co. CNS 0311 PIPR Piper Jaffray & Co. CNS 0338 OXPS OptionsXpress, Inc. CNS 0344 DAVE Diamant Investment Corp. CNS 0352 ACAD Academy Securities, Inc. CNS 0352 ADAM Canaccord Genuity Inc. CNS 0352 AFGI Access Financial Group, Inc. CNS 0352 AHBI Abner, Herrman & Brock, Inc. CNS 0352 AICO Arcadia Investment Corp. CNS 0352 AXIO Axiom Capital Management, Inc. CNS 0352 BCSB Blue Capital Securities, Inc. CNS 0352 BDIR Jefferies & Co., Inc. CNS 0352 BDST Broad Street Securities CNS 0352 BEAR J.P. Morgan Securities, Inc. CNS 0352 BELS Bel Air Securities LLC CNS 0352 BEST J.P. Morgan Securities, Inc. CNS 0352 BGIS BlackRock Execution Services CNS 0352 BIGS PCBB Capital Markets, LLC CNS 0352 BNCH Benchmark Company, LLC (The) CNS 0352 BRIL Brill Securities, Inc. CNS 0352 BRNM Burnham Securities Inc. CNS
0352 BRRR Barrington Research Associates, Inc. CNS
0352 RWPS Pressprich (R.W.) & Company Inc. CNS 0352 SAMI Spectrum Asset Management Inc. CNS 0352 SDLR Sandler, O'Neill & Partners, L.P. CNS 0352 SEAP Seaport Securities Corp. CNS 0352 SEIC SEI Investments Distribution CNS 0352 SFSS SF Sentry Securities, Inc. CNS 0352 SHRE Shufro, Rose & Company, LLC CNS 0352 SIRI Safian Investment Research Inc. CNS 0352 SLRD Reed (S.L.) & Company CNS
Muni Alpha and Numerical References (Alpha sorted by Symbol; Numerical sorted by NSCC Clearing Participant then Executing Broker)
November 2014
28
0352 SMRD Sumridge Partners, LLC CNS 0352 SOLM Solium Financial Services LLC CNS 0352 STEW Collins Stewart, Inc. CNS 0352 STHR StormHarbour Securities LP CNS 0352 STRT Octavus, LLC CNS 0352 TDSI TD Securities (USA) LLC CNS 0352 VARI Variant Research Corporation CNS 0352 VASL Vasiliou & Company Inc. CNS 0352 VCAS VCA Securities, LP CNS 0352 VMEX Vectormex WMG, Inc. CNS 0352 WCMS Westport Capital Markets, LLC CNS 0352 WFSI Windham Financial Services Inc. CNS
0352 WISI Western International Securities, Inc. CNS
0352 WMCL White Mountain Capital, LLC CNS 0352 ZACK Zacks & Company CNS
0355 FBCO Credit Suisse Securities (USA) LLC CNS
0361 DADA Davidson (D.A.) & Co. Inc. CNS 0370 ASEL Tradition Asiel Securities, Inc. CNS 0370 SCSI Standard Credit Securities CNS 0374 JANY Janney Montgomery Scott LLC CNS 0385 ETCL E*Trade Clearing, LLC CNS 0385 ETRS E*Trade Securities, LLC CNS 0387 CRTG CRT Capital Group LLC CNS 0388 ARTI Arbor Research & Trading, Inc. CNS 0388 CVBR CV Brokerage Inc. CNS 0388 EDFC ED& F Man Capital Markets Inc. CNS
0388 ICBK Industrial and Commerical Bank of China Financial Services LLC CNS
0388 NVGT Navigate Advisors LLC CNS
0390 RJFI Raymond James & Associates, Inc./Fl CNS
0418 AUDO Audobon Securities, Inc. CNS 0418 BSIN Bedford Securities, Inc. CNS 0418 FBNW Floor Broker Network Inc. CNS 0418 LEVN Levco Securities, Inc. CNS 0418 RHCO SunTrust Capital Markets, Inc. CNS 0418 SBSH Citigroup Global Markets Inc. CNS 0419 SPHN Stephens, Inc. CNS 0438 CWMK CIBC World Markets Corp. CNS 0443 ACBD American Century Brokerage, Inc. CNS 0443 ACTI Activner Securities, Inc. CNS 0443 AGSS Great American Advisors, Inc. CNS 0443 AIGF Sagepoint Financial, Inc. CNS 0443 AJCO Alexandra & James Co. CNS
0443 AMGN American General Securities Incorporated CNS
0443 AMMI AM&M Investment Brokers, Inc. CNS 0443 AMNN American Network Securities Corp. CNS 0443 ANSR Anderson & Strudwick, Inc. CNS 0443 ANZS ANZ Securities, Inc. CNS 0443 APEX Rice Financial Products Company CNS 0443 APFS America's Portfolio's CNS 0443 ARBI Aufhauser Securities, Inc. CNS 0443 ARGA Auriga USA, Inc. CNS
0443 ARKA ARKA Securities, Inc. CNS 0443 AVIA Avian Securities, LLC CNS 0443 AXCB Access Securities, Inc. CNS 0443 BALL Ballew Investments, Inc. CNS 0443 BANF Banif Securities Inc. CNS 0443 BAQP Burke & Quick Partners LLC CNS 0443 BBBI Bluebid Brokerage, LLC CNS
0443 BBNI Performance Trust Capital Partners, Inc. CNS
0443 FORT Ticonderoga Securities LLC CNS 0443 FRSE Franklin Securities, LLC CNS 0443 FSCS FSC Securities Inc. CNS
0443 FSFA First Security Financial Advisors, Inc. CNS
0443 FSST Franklin Street Securities, Inc. CNS 0443 FUJI Mizuho Securities USA Inc. CNS 0443 FWCO First Washington Corp. CNS 0443 GATS Gates Capital Corporation CNS 0443 GBMT GBM International, Inc. CNS
0443 PAFA Pan-American Financial Advisors CNS 0443 PAMS Pacific American Securities, LLC CNS 0443 PANA Panamerica Securities CNS 0443 PARK Parker (S.C.) & Co., Inc. CNS 0443 PASC Park Avenue Securities LLC CNS 0443 PASL Pershing Advisor Solutions, LLC CNS 0443 PASQ Du Pasquier & Co., Inc. CNS 0443 PCCN Pactual Capital Corp. CNS
0443 PENG Pennsylvania Group Incorporated (The) CNS
0443 PERS Pershing LLC CNS 0443 PFPI Prebon Financial Products Inc. CNS 0443 PGRS PGR Securities, LLC CNS 0443 PGSI Prime Global Securities, Inc. CNS 0443 PHCO Phillips & Company Securities, Inc. CNS 0443 PHIN Philadelphia Investors, Ltd. CNS 0443 PIGS Penn Investment Group, Inc. (The) CNS 0443 PIRR Pirrone & Co., Inc. CNS 0443 PJEF Jefferies LLC CNS 0443 PMAS English Concepts, Inc. CNS 0443 PMFS Portsmouth Financial Services CNS 0443 PMLC Prager, Sealy & Co., LLC CNS 0443 POCM Powell Capital Markets, Inc. CNS 0443 POLI Hapoalim Securities USA, Inc. CNS 0443 POOH Questar Capital Corporation CNS 0443 POPP Oppenheimer & Close Inc. CNS 0443 POWL Powell (Elmer E.) Company CNS 0443 PROE ProEquities CNS 0443 PRPO Private Portfolio, Inc. CNS 0443 PSIN Red Capital Markets, Inc. CNS 0443 PSUS Pine Securities USA LLC CNS
0443 PTLV National Bank Financial of Canada Inc. CNS
0443 PTRI Petrie Parkman & Company, Inc. CNS 0443 QWER Whitehall-Parker Securities, Inc. CNS
0443 RAIS Royal American Investment Services, Inc. CNS
0443 RAYG Bolton Global Capital CNS 0443 REAV W.H. Reaves & Co., Inc CNS 0443 REPG First Republic Group, LLC CNS 0443 REWI Redwine & Company, Inc. CNS 0443 RGIC R-G Investment Corporation CNS 0443 RINO Rhino Trading Partners, LLC CNS 0443 RMST Stark (R.M.) & Co., Inc. CNS 0443 ROBT Robotti & Company, LLC CNS 0443 ROCH Rochdale Securities, LLC CNS 0443 ROCK Rockwell Global Capital, LLC CNS
0443 RODE Rodecker & Co. Investment Brokers, Inc. CNS
0443 ROPK Reinoso & Company, Incorporated CNS 0443 ROYL Royal Alliance Associates, Inc. CNS 0443 RRII Roberts & Ryan Investments, Inc. CNS
0443 RSSE Russell Implementation Srvs., Inc. Pt of Russell Inv. CNS
0443 RYAN Ryan, Beck & Co. CNS 0443 SABS Sabadell Securities USA, Inc. CNS 0443 SALC Sterne Agee & Leach, Inc CNS 0443 SBAM Investment Professionals, Inc. CNS 0443 SBRO Stern Brothers & Co. CNS
0443 SCFL Stanchart Securities International, Inc. CNS
0443 SCHM A. R. Schmeidler & Co., Inc. CNS 0443 SCTI Security Capital Brokerage, Inc. CNS 0443 SEGE Segerdahl and Company CNS 0443 SERL Searle & Co. CNS 0443 SFCO Signator Financial Services, Inc. CNS 0443 SFPS S.F. Investments, Inc. CNS 0443 SHAY Shay Financial Services, Inc. CNS 0443 SHRR Carl P. Sherr and Co., LLC CNS 0443 SIIW SII Investments, Inc. CNS
0443 SIMC Securities Industry Management Corp. CNS
0443 SIMM Simmons & Company International CNS
0443 SKFS Hefren-Tillotson/Shelby, Kern, Frederick and Shelby Div. CNS
0443 SMHI Sanders Morris Harris Inc. CNS 0443 SMPR Summit Brokerage Services, Inc. CNS 0443 SNWS Snowden Account Services, Inc. CNS 0443 SOCO Capital One Securities, Inc. CNS 0443 SPEN Spencer Clarke LLC CNS
0443 SPWM Stillpoint Wealth Management, LLC CNS
0443 SRAM Samco Capital Markets, Inc. CNS 0443 SRFL Securities Research, Inc. CNS 0443 SSGI Seton Securiteis Group, Inc. CNS 0443 SSGR Shareholders Services Group Inc. CNS 0443 SSNG Sisung Securities Corp. CNS 0443 SSPR Santander Securities Corporation CNS
Muni Alpha and Numerical References (Alpha sorted by Symbol; Numerical sorted by NSCC Clearing Participant then Executing Broker)
November 2014
32
0443 STLZ Bedrok Securities, LLC CNS 0443 STOV Stoever,Glass & Company Inc. CNS 0443 STTR State Trust Investments, Inc. CNS 0443 STYO Stone & Youngberg LLC CNS 0443 SUTT Sutter Securities Incorporated CNS 0443 SWTX SWBT Securities, Inc. CNS 0443 SYCA Syndicated Capital, Inc. CNS 0443 SYMP Symphonic Securities LLC CNS 0443 TAFI Nathan Hale Capital, LLC CNS 0443 TAGS Taglich Brothers, Inc. CNS 0443 TASE Tradition Asiel Securities, Inc. CNS 0443 TCAN TCAdvisors Network, Inc. CNS 0443 TCMU TCM Capital, Inc. CNS 0443 TCPX Toussaint Capital Partners, LLC CNS 0443 TDCO Thompson Davis & Co., Inc. CNS 0443 TFAS Tradition Aisel CNS 0443 TGHS TGH Securities, Inc. CNS 0443 TIBS Telemus Investment Brokers, LLC CNS 0443 TMBS Tradition Asiel Securities Inc. CNS 0443 TMCC TMC Bonds, L.L.C. CNS 0443 TOCQ Tocqueville Securities, L.P. CNS 0443 TONG Tonge (R.M.) Company CNS 0443 TRKA Troika Dialog USA, Inc. CNS 0443 TRSQ Tower Square Securities, Inc. CNS 0443 TRWN T.R. Winston & Company, LLC CNS 0443 TRYN First Tryon Securities, LLC CNS 0443 TSFA Strategic Financial Alliance (The) CNS 0443 TUNA Bluefin Research Partners, Inc. CNS 0443 UCMI United Capital Markets, Inc. CNS 0443 ULAT Ultralat Corporation CNS 0443 UNIB Unibanco Securities Inc CNS
0443 UPLN United Planners Financial Services of America CNS
0443 UVST Uvest Financial Services Group, Inc. CNS
0443 VCAP Vanguard Capital CNS 0443 VCMS VCM Securities, LLC CNS 0443 VCSI Vaughan & Co. Securities, Inc. CNS 0443 VEGA Vega-Chi US Limited CNS 0443 VISI Vision Investment Services, Inc. CNS
0443 VLYF Valley Forge Asset Management Corporation CNS
0443 VOTO Banco Votorantim Securities, Inc. CNS 0443 WABR Wall Street Access CNS 0443 WBRO Wiley Bros.-Aintree Capital, LLC CNS
0551 PRST Merrill Lynch Professional Clearing Corp. CNS
0551 SUFI Susquehanna Financial Group, LLC CNS
0551 SUSF Susquehanna Fixed Income, L.P. CNS 0551 SUSQ Susquehanna Capital Group CNS 0571 DRAT Dratel Group, Inc. (The) CNS 0571 FDMI Freedom Investments, Inc. CNS 0571 OPCO Oppenheimer & Co., Inc. CNS 0573 DBAB Deutsche Bank Securities Inc. CNS 0573 DBIB Deutsche Bank Securities Inc. CNS 0573 DBKS Deutsche Bank Securities Inc. CNS
0573 SIBI Sungard Institutional Brokerage Inc. CNS
0595 ASCR Ascendiant Capital Markets, LLC CNS 0595 BTSI B&T Securities, Inc. CNS
Muni Alpha and Numerical References (Alpha sorted by Symbol; Numerical sorted by NSCC Clearing Participant then Executing Broker)
November 2014
33
0595 BWEX Birchwood Securities Corp. CNS 0595 CTRD Choice Trade CNS 0595 FGCS FGC Securities, LLC CNS 0595 GLED Glendale Securities, Inc. CNS 0595 IBSH Integrity Brokerage Services, Inc. CNS 0595 IBSJ Integrity Brokerage Services, Inc. CNS 0595 MYDM MYD Market, Inc CNS 0595 USFB U.S. Financial Investments, Inc CNS 0595 VIEW Viewtrade Securities, Inc. CNS 0595 VSIN Vision Financial Markets LLC CNS 0595 WECK Weckstein (D.) & Co., Inc. CNS 0595 WHOT Whotrades, Inc. CNS 0608 FMAT Newedge USA LLC CNS 0608 PCAP Newedge USA LLC CNS
0651 LYON Credit Agricole Securities (USA) Inc. CNS
0651 MPLM Momentum Trading Partners, LLC CNS 0692 VKMI Invesco Capital Markets, Inc. CNS 0696 CANT Cantor Fitzgerald & Co. TFT 0701 BANK Cetera Investment Services LLC CNS 0701 HACA Harvest Capital LLC CNS 0702 BBNT BB&T Securities, LLC CNS 0702 BBTT BB&T Investment Services, Inc. CNS 0702 CARC Carolina Capital Markets, Inc. CNS
0702 CSCV Capitol Securities Management, Inc. CNS
0702 MCME McMillion Securities, Inc. CNS 0702 WELC H. G. Wellington & Co., Inc. CNS 0709 WACL Wachtel & Co., Inc. TFT 0712 KOSE Koonce Securities Inc. CNS 0715 DAVA Davenport & Company LLC CNS 0725 DBMC McKenna (D.B.) & Co., Inc. CNS
0725 RAJA Raymond James & Associates, Inc. CNS
0727 MRSW Mesirow Financial, Inc. CNS 0743 KING King (C.L.) & Associates, Inc. CNS 0750 AEGS Aegis Investments, Inc. CNS 0750 ALLU Alluvion Securities, LLC CNS 0750 ANOV Anovest Financial Services, Inc. CNS 0750 AURA Aura Financial Services, Inc. CNS 0750 AZAD Alzaid Financial Services, Inc. CNS 0750 BBCC BankersBanc Capital Corporation CNS 0750 BDON Bond One, LLC CNS 0750 BJCM Essex Securities LLC CNS 0750 BPCO Blount Parrish & Co., Inc. CNS 0750 BSCO Brookshire Securities Corporation CNS
0750 CAPB Capital Investment Brokerage Inc. CNS 0750 CAPG Capital Investment Group, Inc. CNS 0750 CBFG CBG Financial Group, Inc. CNS 0750 CDSO Cert Direct Securities Inc. CNS 0750 CENT Central Securities, LLC CNS 0750 CPSL Charter Pacific Securities, LLC CNS
0750 EMOC Magnus (E.) Oppenheim & Co., Inc. CNS
0750 FBLT First Ballantyne, LLC CNS
0750 FBPR First Bank Puerto Rico Securities, Corp. CNS
0750 FPBK First Partners Bank Investment Division CNS
0750 FRGP Forge Financial Group Inc. CNS 0750 GMCI Gardnyr Michael Capital, Inc. CNS 0750 GRBF GRB Financial LLC CNS 0750 GSCL Obsidian Financial Group LLC CNS 0750 IPRV DPEC Capital, Inc. CNS 0750 ITBS ITB Securities, LLC CNS
0750 ITCC Sterne Agee Financial Services, Inc. CNS
0750 ITDC ITradedirect.com Corp. CNS 0750 JKSI JK Securities, Inc. CNS 0750 KART Revere Securities Corp. CNS
Merrill Lynch, Pierce, Fenner & Smith Incorporated/Fixed Income CNS
0793 KBWI Keefe, Bruyette & Woods, Inc. CNS
0793 STFL Stifel, Nicolaus & Company Incorporated CNS
0793 TWPL Stifel, Nicolaus & Company, Incorporated CNS
0816 HSBK HSBC Securities (USA) Inc. CNS
0824 IBFS
Industrial and Commerical Bank of China Financial Services LLC/Equity Clearance CNS
0824 LSTR Lodestar Securities Corp. CNS
0922 MTSD Manufacturers & Traders Trust Company TFT
2072 WBNA Wells Fargo Bank, N.A./SIG CNS
2095 STCM SunTrust Robinson Humphrey Inc. CNS
2104 ZFNB Zions First National Bank TFT 2154 BNPS BNP Paribas Securities Corp. CNS
2154 BPBI BNP Paribas Prime Brokerage, Inc. CNS
2344 GKST BMO Capital Markets GKST Inc. CNS 2436 STBK SSB - Bank Portfolio TFT 2445 FTCM First Tennessee Capital Markets TFT 2447 VOLS Home Financial Services, Inc. TFT 2451 UMBI UMB Bank National Association TFT 2483 CBSS Compass Bank TFT
2781 CMMB U.S Bank N.A./U.S. Bank Municipal Securities Group CNS
2786 LTIN BBVA Securities Inc. CNS 2835 PNCM PNC Bank N.A. TFT 2851 UBOC Union Bank N.A. TFT 5144 DLAE Lerner (David) Associates, Inc. CNS 5158 CREW Crews & Associates, Inc. CNS
5231 AABT ABN Amro Chicago Corporation Bond Trading TFT
5234 EMET Emmet & Co., Inc. TFT 6001 GKST BMO Capital Markets GKST Inc. TFT
6033 RRZP The Bank of New York Mellon/RRZ Public Markets, Inc. TFT
6043 VSLP Vining-Sparks IBG, L.P. TFT 6069 BAKR James Baker & Associates, L.P. TFT 6409 BBID Bankers Bank TFT
6412 TIBD TIB The Independent Bankers Bank TFT
6414 WTNY Whitney National Bank TFT
6440 MIAM FMSBonds, Inc. TFT
6523 SALA
The Bank of New York Mellon/Southtrust Bank of Alabama TFT
6704 AVML AVM, L.P. TFT 6707 CNBS CNBS, LLC TFT
6708 FNCM First National Capital Markets, Inc. TFT
6713 HRST BMO Harris Bank NA TFT 6715 FWSS First Winston Securities TFT
6731 FSCC First South Carolina Securities, Inc. TFT
6732 UBKR United Bankers Bank TFT 6733 MCLL Merchant Capital, LLC TFT 6737 NBNA Bank of America, N.A. TFT 6741 MARX Hugo Marx & Co., Inc. TFT 6742 EAST Eastern Bank Capital Markets TFT 6744 CCBI Country Club Bank, Kansas City TFT 6751 FROS Frost Bank TFT 6752 BOKL Bank of Oklahoma, N.A. TFT 6753 FNBB First National Banker's Bank TFT
6755 FCBI First Commercial Bank of Birmingham, Alabama TFT
6757 BOKF BOSC, Inc. TFT
6770 CSFL CenterState Bank of Florida, N.A. TFT
6778 IBBF Independent Bankers' Bank of Florida TFT
6779 POPI Popular Securities, Inc. TFT 6782 SRCE 1st Source Bank TFT 6783 CLRT Arbor Research & Trading, LLC TFT 6792 FMID First Midstate Inc. TFT 6806 THFA Thornton, Farish & Gauntt TFT 6851 FOXR Fox, Reusch & Co., Inc. TFT 6909 FLCO Frazer Lanier Company (The) TFT
6963 HUTC Hutchinson, Shockey, Erley & Co. TFT
7027 SWEN Sweney, Cartwright & Company CNS 7031 BLCK Black (James I.) & Co. CNS
7256 BCAP Barclays Capital, Inc./Fixed Income CNS
7310 AQUA Cantor Fitzgerald & Co./Aqua Securities, L.P. CNS
7311 CFCO Cantor Fitzgerald & Co./Debt Capital Markets CNS
7607 RLUK Robinson & Lukens, Inc. CNS 8039 MCLI McLiney & Company TFT 8082 ZIVI ZIV Investment Co. CNS