Prudential Equity Group, Inc. |
Prudential Financial |
financial services |
2005 |
AL-SEC |
$45,000 |
Caruba International, LLC |
|
|
2005 |
AL-SEC |
$20,000 |
Morgan Keegan & Co. |
Raymond James Financial |
financial services |
2005 |
AL-SEC |
$100,000 |
Fountain Capital Management, LLC |
|
|
2005 |
AZ-SEC |
$47,833 |
Solution, Sources, and Consulting, LLC and Energy Savings Solution, Inc. |
|
|
2005 |
AZ-SEC |
$1,229,186 |
Retirement Planning Center |
|
|
2005 |
AZ-SEC |
$167,944 |
Pristine Property & Investments, Inc. |
|
|
2005 |
AZ-SEC |
$107,704 |
Southwest Capital Advisors LLC |
|
|
2005 |
AZ-SEC |
$264,558 |
Check and Send, Inc. |
|
|
2005 |
AZ-SEC |
$807,484 |
M.A.C Investments, Inc. et al. |
|
|
2005 |
AZ-SEC |
$9,566,872 |
Universal FX Incorporated |
|
|
2005 |
AZ-SEC |
$5,000 |
Worldwide Forex, Inc. |
|
|
2005 |
AZ-SEC |
$5,000 |
Omni Horizon Group, LLP |
|
|
2005 |
AZ-SEC |
$661,676 |
Centenarios Gold, Inc. |
|
|
2005 |
AZ-SEC |
$5,000 |
Listo, Inc. |
|
|
2005 |
AZ-SEC |
$906,875 |
Brixon Group Ltd. |
|
|
2005 |
AZ-SEC |
$8,786,445 |
Ameriprise Financial Services, Inc. |
Ameriprise Financial |
financial services |
2005 |
AZ-SEC |
$1,000,000 |
Leedha, Inc. dba Flintridge Asset Management Co. |
|
|
2005 |
CA-DFPI |
$55,056 |
Shemano Capital Management |
|
|
2005 |
CA-DFPI |
$54,250 |
First Command Financial Planning, Inc. |
|
|
2005 |
CA-DFPI |
$470,959 |
Janney Montgomery Scott LLC |
Penn Mutual |
financial services |
2005 |
CO-SEC |
$259,227 |
Miller Johnson Steichen Kinnard, Inc. |
|
|
2005 |
DE-SEC |
$5,000 |
Wilmington Trust Co. |
M&T Bank |
financial services |
2005 |
DE-SEC |
$50,000 |
American Income Real Estate Investments, Inc. |
|
|
2005 |
FL-OFR |
$54,598 |
Idaho Big Sky Telecom |
|
|
2005 |
ID-SEC |
$240,000 |
Big West Telecom Corp. |
|
|
2005 |
ID-SEC |
$160,000 |
Leader Capital Corp. |
|
|
2005 |
ID-SEC |
$32,825 |
Ultimate Ventures, Inc. |
|
|
2005 |
ID-SEC |
$2,771,378 |
Salt Lake City Wireless, LLC aka Salt Lake Wireless, LLC |
|
|
2005 |
ID-SEC |
$60,000 |
First Security Investor Services, Inc. and Van Kasper LLC |
|
|
2005 |
ID-SEC |
$51,000 |
Arizona Idaho Mining, LLC |
|
|
2005 |
ID-SEC |
$1,730,000 |
Hubadex, Inc. |
|
|
2005 |
IL-SEC |
$50,000 |
Janas Associates |
|
|
2005 |
IL-SEC |
$10,000 |
Golden Years Planning |
|
|
2005 |
IL-SEC |
$10,000 |
Advisors Management Group, Inc. |
|
|
2005 |
IL-SEC |
$5,200 |
Janney Montgomery Scott LLC |
Penn Mutual |
financial services |
2005 |
IL-SEC |
$7,500 |
Bear, Stearns & Co., Inc. |
JPMorgan Chase |
financial services |
2005 |
IL-SEC |
$10,000 |
Christian Dream Builder Financial Planning, Inc. |
|
|
2005 |
IL-SEC |
$30,000 |
WCM Investment Management |
|
|
2005 |
IL-SEC |
$12,500 |
G.D. Castillo M.D. Ltd. Profit Sharing Plan |
|
|
2005 |
IL-SEC |
$5,000 |
R.J. Aubrey Investment Corp. |
|
|
2005 |
IL-SEC |
$7,500 |
Manarin Securities Corp. |
|
|
2005 |
IL-SEC |
$11,952 |
Berwick Black Cattle Co. and Source of Champions |
|
|
2005 |
IL-SEC |
$20,000 |
Bikini Vending, Inc. |
|
|
2005 |
IL-SEC |
$40,000 |
Millennium Associates |
|
|
2005 |
IL-SEC |
$30,000 |
Van On State, LLC |
|
|
2005 |
MD-SEC |
$15,000 |
Universal Financial Group |
|
|
2005 |
MD-SEC |
$150,000 |
Financial Concepts, Inc. |
|
|
2005 |
MD-SEC |
$8,000 |
Synvest, Inc. |
|
|
2005 |
MD-SEC |
$38,924 |
Financial Sources, Inc. |
|
|
2005 |
MD-SEC |
$25,000 |
Nelson Finance, Inc. et al. |
|
|
2005 |
MD-SEC |
$1,500,000 |
Maxim Growth Fund, LP |
|
|
2005 |
MD-SEC |
$100,000 |
Maxim Capital, LLC |
|
|
2005 |
MD-SEC |
$100,000 |
M.A.C. Investments, Inc. and M.A.C. Investment Sales, Inc. |
|
|
2005 |
MD-SEC |
$800,000 |
Daniel G. Falk & Associates, P.C. |
|
|
2005 |
MD-SEC |
$68,800 |
Secured Financial Services, Inc. |
|
|
2005 |
MD-SEC |
$17,500 |
DGF Investment Advisers, Inc. |
|
|
2005 |
MD-SEC |
$17,500 |
L.H. Ross & Company, Inc. |
|
|
2005 |
MD-SEC |
$10,000 |
Maryland Capital Advisors, Inc. |
|
|
2005 |
MD-SEC |
$5,930 |
Profitable Investments, Inc. |
|
|
2005 |
MD-SEC |
$5,795 |
Solutions Planning Group, Inc. |
|
|
2005 |
MD-SEC |
$37,500 |
E-Commerce Network.com, LLC and Wealth Systems, Inc. |
|
|
2005 |
MD-SEC |
$15,000 |
Wealth Management Institute, Ltd. |
|
|
2005 |
MD-SEC |
$13,406 |
My Plan Management group, LLC |
|
|
2005 |
MD-SEC |
$15,000 |
Bodell Overcash Anderson & Co., Inc. |
|
|
2005 |
ME-SEC |
$10,538 |
Cornerstone Ministries Investments, Inc. |
|
|
2005 |
MN-FIN |
$8,000 |
American Express Financial Advisors, Inc. |
Ameriprise Financial |
financial services |
2005 |
MN-FIN |
$2,000,000 |
Vertical Securities, LLC and Vertical Group, LLC |
|
|
2005 |
MO-SEC |
$5,000 |
Professional Resource Network, LLC |
|
|
2005 |
MO-SEC |
$15,000 |
Everen Securities, Inc. and First Union Securities, Inc. |
|
|
2005 |
MO-SEC |
$300,000 |
Oppenheimer & Co., Inc. |
Oppenheimer Holdings |
financial services |
2005 |
MO-SEC |
$122,050 |
Edward D. Jones & Co. L.P. |
Jones Financial |
financial services |
2005 |
MO-SEC |
$1,500,000 |
PureInvestor.com, Inc. and PIPS Inc. and PIC Trust Ltd. |
|
|
2005 |
MO-SEC |
$20,800 |
Securities Compliance Department |
|
|
2005 |
MO-SEC |
$13,298 |
Wyoming Financial Securities, Inc. |
|
|
2005 |
MO-SEC |
$10,000 |
Skamp Investments LLC et al. |
|
|
2005 |
MO-SEC |
$10,720 |
Worldwide Entertainment, Inc. |
|
|
2005 |
MO-SEC |
$2,698,892 |
R.M. Duncan Securities, Inc. |
|
|
2005 |
MO-SEC |
$5,000 |
MTW Investment Financing, LLC |
|
|
2005 |
MS-SEC |
$10,000 |
Montana Hedge Partners, LP |
|
|
2005 |
MT-SEC |
$150,000 |
W & R Insurance Agency of Montana, Inc. |
|
|
2005 |
MT-SEC |
$25,000 |
Waddell & Reed, Inc. |
Waddell & Reed Financial Inc. |
financial services |
2005 |
MT-SEC |
$25,000 |
Third Ridge Capital LP |
|
|
2005 |
ND-SEC |
$5,000 |
Piper Jaffray & Co. |
Piper Sandler |
financial services |
2005 |
ND-SEC |
$30,000 |
Assemblies of God Loan Fund |
|
|
2005 |
ND-SEC |
$10,000 |
Morgan Stanley DW Inc. |
Morgan Stanley |
financial services |
2005 |
NH-BSR |
$435,000 |
American Express Financial Advisors Inc. |
Ameriprise Financial |
financial services |
2005 |
NH-BSR |
$7,375,000 |
DCS Resources Inc. |
|
|
2005 |
OK-SEC |
$24,000 |
FR&J Investments Group Corp. |
|
|
2005 |
OK-SEC |
$14,350 |
First Liberty Financial |
|
|
2005 |
OR-FIN |
$5,000 |
Northwest Paytele Communications Inc. |
|
|
2005 |
OR-FIN |
$25,000 |
MetLife Securities |
MetLife |
financial services |
2005 |
OR-FIN |
$12,000 |
Brookstreet Securities Corporation Inc. |
|
|
2005 |
OR-FIN |
$9,000 |
Blackwell Donaldson & Company |
|
|
2005 |
OR-FIN |
$40,000 |
Dixon Insurance Agency |
|
|
2005 |
TN-SEC |
$9,268 |
New Millennium Investment Company |
|
|
2005 |
TN-SEC |
$12,000 |
SF Investments Inc. |
|
|
2005 |
TN-SEC |
$21,325 |
Granite Associates Inc. |
|
|
2005 |
TN-SEC |
$17,500 |
Shanklin Capital Management Inc. |
|
|
2005 |
TN-SEC |
$10,000 |
Tarpon Capital Management L.P. |
|
|
2005 |
TX-SEC |
$80,000 |
Cornerstone Ministries Investments Inc. et al. |
|
|
2005 |
TX-SEC |
$20,000 |