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 |
CGF Securities, LLC |
|
|
2003 |
MN-FIN |
$5,000 |
Thomas G. Grace Advisors |
|
|
2008 |
MN-FIN |
$5,000 |
Cherokee Gas Systems, Inc. |
|
|
2009 |
MN-FIN |
$5,000 |
ING Financial Partners, Inc. |
Voya Financial |
financial services |
2012 |
MN-FIN |
$5,000 |
Revelle Resources, Inc. |
|
|
2012 |
MN-FIN |
$5,000 |
Strive Financial Group LLC and Wealth Security Firm LLC |
|
|
2013 |
MN-FIN |
$5,000 |
Life Organic Holdings, Inc. |
|
|
2017 |
MN-FIN |
$5,000 |
Bakken Workforce Housing, L.L.C. |
|
|
2017 |
MN-FIN |
$5,000 |
American Blast Systems, Inc. |
|
|
2017 |
MN-FIN |
$5,000 |
Vertical Securities, LLC and Vertical Group, LLC |
|
|
2005 |
MO-SEC |
$5,000 |
R.M. Duncan Securities, Inc. |
|
|
2005 |
MO-SEC |
$5,000 |
Easterday Exploration, Inc. |
|
|
2006 |
MO-SEC |
$5,000 |
Omni Media & Entertainment, Inc. |
|
|
2006 |
MO-SEC |
$5,000 |
Robert Olsen, P.C. |
|
|
2007 |
MO-SEC |
$5,000 |
Strand, Atkinson, Williams & York, Inc. |
|
|
2007 |
MO-SEC |
$5,000 |
Aisle 411, Inc. |
|
|
2009 |
MO-SEC |
$5,000 |
Boulder Wealth Management, LLC |
|
|
2010 |
MO-SEC |
$5,000 |
MFA Incorporated |
|
|
2011 |
MO-SEC |
$5,000 |
Capital Management Services, Inc. |
|
|
2011 |
MO-SEC |
$5,000 |
Berthel Fisher & Company Financial Services, Inc. |
Berthel Fisher |
financial services |
2011 |
MO-SEC |
$5,000 |
Guidepost Financial Limited Liability Company |
|
|
2011 |
MO-SEC |
$5,000 |
Blackbay Capital Advisors |
|
|
2012 |
MO-SEC |
$5,000 |
Valuepoint Partners, Inc. |
|
|
2012 |
MO-SEC |
$5,000 |
WealthCare, LLC |
|
|
2016 |
MO-SEC |
$5,000 |
Personal Financial Group |
|
|
2017 |
MO-SEC |
$5,000 |
Williamson Poultry Farms, Inc. |
|
|
2002 |
MS-SEC |
$5,000 |
American Wealth Management, Inc. |
|
|
2017 |
MS-SEC |
$5,000 |
MDM Energy |
|
|
2007 |
MT-SEC |
$5,000 |
Royal Alliance Associates, Inc. |
Reverence Capital Partners |
private equity (including portfolio companies) |
2007 |
MT-SEC |
$5,000 |
Rothschild Investment Corp. |
|
|
2008 |
MT-SEC |
$5,000 |
NEXT Financial Group, Inc. |
Atria Wealth Solutions |
financial services |
2010 |
MT-SEC |
$5,000 |
Loveless Wealth management, LLC |
|
|
2011 |
MT-SEC |
$5,000 |
Metlife Investors USA Insurance Co |
MetLife |
financial services |
2012 |
MT-SEC |
$5,000 |
Delano & Morgenroth Investment Advisors, LLC |
|
|
2013 |
MT-SEC |
$5,000 |
Close to My Heart, Inc. |
|
|
2014 |
MT-SEC |
$5,000 |
Kannaway, LLC |
|
|
2014 |
MT-SEC |
$5,000 |
Seacret Direct, LLC |
|
|
2014 |
MT-SEC |
$5,000 |
Nutrie, LLC |
|
|
2014 |
MT-SEC |
$5,000 |
Lawson Financial Corp. |
|
|
2015 |
MT-SEC |
$5,000 |
Halen Capital |
|
|
2017 |
MT-SEC |
$5,000 |
The Source |
|
|
2020 |
NC-SEC |
$5,000 |
Baxter, Banks & Smith Ltd. |
|
|
2000 |
ND-SEC |
$5,000 |