J.P. Morgan Securities LLC |
JPMorgan Chase |
financial services |
2018 |
DC-DISB |
$5,000 |
Miller Johnson Steichen Kinnard, Inc. |
|
|
2005 |
DE-SEC |
$5,000 |
Condor and Eagle, Inc., Contact Generation, Inc. and TCI |
|
|
2000 |
FL-OFR |
$5,000 |
The Providence Group dba The Providence Investment Club |
|
|
2001 |
FL-OFR |
$5,000 |
Trinity Investment Club Ltd. |
|
|
2001 |
FL-OFR |
$5,000 |
Sterling Associates |
|
|
2002 |
FL-OFR |
$5,000 |
C.J.M. Planning Corp. |
|
|
2002 |
FL-OFR |
$5,000 |
Rushmore Securities Corp. |
|
|
2002 |
FL-OFR |
$5,000 |
ICMA-RC Services, LLC |
|
|
2002 |
FL-OFR |
$5,000 |
International Securities Corp. |
|
|
2002 |
FL-OFR |
$5,000 |
Triad Advisors, Inc. |
|
|
2002 |
FL-OFR |
$5,000 |
PRS Latam, LLC |
|
|
2003 |
FL-OFR |
$5,000 |
Veravest Investments, Inc. |
|
|
2003 |
FL-OFR |
$5,000 |
ProEquities, Inc. |
Dai-ichi Life |
financial services |
2004 |
FL-OFR |
$5,000 |
PFS Investments, Inc. |
|
|
2006 |
FL-OFR |
$5,000 |
Sine Capital, Inc. |
|
|
2016 |
FL-OFR |
$5,000 |
Investment Planning, LLC |
|
|
2017 |
GA-SEC |
$5,000 |
CSG Wealth Management |
|
|
2018 |
GA-SEC |
$5,000 |
Blazer Financial Advisors, Inc. |
|
|
2019 |
GA-SEC |
$5,000 |
Power Supplies & Equipment Ltd. |
|
|
2020 |
GA-SEC |
$5,000 |
Morgan Sterling Currency Exchange, Inc. |
|
|
2001 |
ID-SEC |
$5,000 |
Lost Rivers Hospital District dba Lost Rivers Medical Center |
|
|
2003 |
ID-SEC |
$5,000 |
Multi-Financial Securities Corp. |
|
|
2004 |
ID-SEC |
$5,000 |
John Thomas Financial |
|
|
2009 |
ID-SEC |
$5,000 |
Strategic Capital Alternatives, LLC |
|
|
2012 |
ID-SEC |
$5,000 |
Beacon Rock Investment Advisors, LLC |
|
|
2013 |
ID-SEC |
$5,000 |
SeaQuest Holdings LLC |
|
|
2017 |
ID-SEC |
$5,000 |
Russ Trading Inc. and Cactus Partners LP |
|
|
2017 |
ID-SEC |
$5,000 |
Polite and Company |
|
|
2003 |
IL-SEC |
$5,000 |
High Tech Financial Products aka EBD Consulting, Inc. |
|
|
2004 |
IL-SEC |
$5,000 |
Janney Montgomery Scott LLC |
Penn Mutual |
financial services |
2004 |
IL-SEC |
$5,000 |
G.D. Castillo M.D. Ltd. Profit Sharing Plan |
|
|
2005 |
IL-SEC |
$5,000 |
Stralem & Company, Inc. |
|
|
2006 |
IL-SEC |
$5,000 |
Z Touch Systems, Inc. |
|
|
2006 |
IL-SEC |
$5,000 |
SilverShore Investment Group |
|
|
2009 |
IL-SEC |
$5,000 |
Ghetzler Aero-Power Corp. |
|
|
2010 |
IL-SEC |
$5,000 |
Tax Recovery Team |
|
|
2011 |
IL-SEC |
$5,000 |
Fran Span Global, LLC et al. |
|
|
2011 |
IL-SEC |
$5,000 |
Government Benefit Advisors, LLC |
|
|
2015 |
IL-SEC |
$5,000 |
Elite Group Financial, LLC |
|
|
2015 |
IL-SEC |
$5,000 |
LT Solutions Corp. |
|
|
2016 |
IL-SEC |
$5,000 |
72Vest Level Three, LLC |
|
|
2016 |
IL-SEC |
$5,000 |
Elite Group Financial, LLC |
|
|
2016 |
IL-SEC |
$5,000 |
Beard Financial Services, Inc. |
|
|
2016 |
IL-SEC |
$5,000 |
Resources Planning Group, Inc. |
|
|
2018 |
IL-SEC |
$5,000 |
Aggressive Lending Co. |
|
|
2019 |
IL-SEC |
$5,000 |
Swift Excelsior Investments, Inc. |
|
|
2009 |
IN-SEC |
$5,000 |
Christian Service Foundation, Inc. |
|
|
2010 |
IN-SEC |
$5,000 |
Global Wealth Investments, LLC |
|
|
2011 |
IN-SEC |
$5,000 |
The McCormick Group, LLC |
|
|
2011 |
IN-SEC |
$5,000 |
Genesis Advisors, LLC |
|
|
2011 |
IN-SEC |
$5,000 |
Steven W. Songer & Associates, Inc. |
|
|
2012 |
IN-SEC |
$5,000 |
Twin Rocks Asset Management, Inc. |
|
|
2013 |
IN-SEC |
$5,000 |
5 Star Investment Group, LLC |
|
|
2015 |
IN-SEC |
$5,000 |
Kovack Securities Inc. |
|
|
2015 |
IN-SEC |
$5,000 |
Legacy Practice Management, LLC |
|
|
2016 |
IN-SEC |
$5,000 |
Blue Crab Partners, LLC |
|
|
2017 |
IN-SEC |
$5,000 |
RSF Social Investment Fund, Inc. |
|
|
2017 |
IN-SEC |
$5,000 |
Martin Financial Management, Inc. |
|
|
2017 |
IN-SEC |
$5,000 |
Legacy Wealth Management |
|
|
2018 |
IN-SEC |
$5,000 |
DS VI, LLC and DS VII, LLC and DS X, LLC and DS XII, LLC |
|
|
2019 |
IN-SEC |
$5,000 |
Kingdom Oil, Inc. |
|
|
2006 |
KY-FIN |
$5,000 |
Berry Resources, Inc. |
|
|
2007 |
KY-FIN |
$5,000 |
Mammoth Resource Partners, Inc., Mammoth Resource Partners, LLC |
|
|
2007 |
KY-FIN |
$5,000 |
Money Concepts Capital Corp. |
|
|
2008 |
KY-FIN |
$5,000 |
East Fork Energy Partners, Inc. |
|
|
2010 |
KY-FIN |
$5,000 |
Envit Capital Holdings, Inc. |
|
|
2011 |
KY-FIN |
$5,000 |
Envit Holdings, Inc. |
|
|
2011 |
KY-FIN |
$5,000 |
Envit Capital, LLC |
|
|
2011 |
KY-FIN |
$5,000 |
Angel Rose Energy, LLC |
|
|
2012 |
KY-FIN |
$5,000 |
M Holdings Securities, Inc. |
|
|
2018 |
KY-FIN |
$5,000 |
Euclid Systems Corp. |
|
|
2004 |
MD-SEC |
$5,000 |
Quizno's Franchising LLC and Quizno's Franchising II LLC |
|
|
2006 |
MD-SEC |
$5,000 |
JHJ Funding, LLC |
|
|
2009 |
MD-SEC |
$5,000 |
Money Management Advisory, Inc. |
|
|
2010 |
MD-SEC |
$5,000 |
AFC Asset Management Services, Inc. |
|
|
2010 |
MD-SEC |
$5,000 |
Dominion Partners Worldwide, LLC |
|
|
2010 |
MD-SEC |
$5,000 |
Vocelli, LLC |
|
|
2013 |
MD-SEC |
$5,000 |
First Command Financial Planning, Inc. |
|
|
2013 |
MD-SEC |
$5,000 |
1-800-Flowers.com Franchise Co., Inc. |
|
|
2014 |
MD-SEC |
$5,000 |
Bambu Desserts and Drinks, Inc. |
|
|
2016 |
MD-SEC |
$5,000 |
Balsam Capital Group, LLC and River Source Wealth Management, LLC |
|
|
2017 |
MD-SEC |
$5,000 |
Caffebene, Inc. |
|
|
2018 |
MD-SEC |
$5,000 |
Prosper Marketplace, Inc. |
Prosper Marketplace |
financial services |
2011 |
ME-SEC |
$5,000 |
Tech Financial Group |
|
|
2014 |
ME-SEC |
$5,000 |
SF Investments, Inc. |
|
|
2017 |
ME-SEC |
$5,000 |
Option Mint |
|
|
2018 |
ME-SEC |
$5,000 |
Kensington I.P. Limited |
|
|
2018 |
ME-SEC |
$5,000 |
Salem Advisory Group LLC |
|
|
2018 |
ME-SEC |
$5,000 |
Real Estate Man LLC |
|
|
2018 |
ME-SEC |
$5,000 |
Solium Financial Services, LLC |
Morgan Stanley |
financial services |
2020 |
ME-SEC |
$5,000 |
Rein Construction, LLC |
|
|
2015 |
MI-SEC |
$5,000 |
Wedgewood Properties, LLC |
|
|
2016 |
MI-SEC |
$5,000 |
Wealth Management Group, Inc. |
|
|
2017 |
MI-SEC |
$5,000 |
Manaia Capital Management, Inc. |
|
|
2017 |
MI-SEC |
$5,000 |
Legacy Planning & Associates, Inc. |
|
|
2017 |
MI-SEC |
$5,000 |
Goldeneye Asset Management, LLC |
|
|
2018 |
MI-SEC |
$5,000 |
Royal Securities Co. and Royal Advisers, LLC |
|
|
2018 |
MI-SEC |
$5,000 |
ASI Capital, LLC et al. |
|
|
2020 |
MI-SEC |
$5,000 |
FSC Securities Corp. |
|
|
2000 |
MN-FIN |
$5,000 |
American Express Financial Advisors, Inc. |
Ameriprise Financial |
financial services |
2002 |
MN-FIN |
$5,000 |