Investment advisors; registration cancellations,

CONTENT

[Federal Register: March 13, 1998 (Volume 63, Number 49)]

[Notices]

[Page 12526-12557]

From the Federal Register Online via GPO Access [wais.access.gpo.gov]

[DOCID:fr13mr98-131]

SECURITIES AND EXCHANGE COMMISSION

[Release No. IA-1705]

Notice of Intention to Cancel Registrations of Certain Investment Advisers

March 9, 1998

Notice is given that the Securities and Exchange Commission intends to issue orders, pursuant to section 203(h) of the Investment Advisers Act of 1940 (``Advisers Act''), cancelling the registrations of those investment advisers whose names appear in the attached Appendix.

FOR FURTHER INFORMATION CONTACT: Catherine M. Saadeh, Staff Attorney, at (202) 942-0650, Task Force on Investment Adviser Regulation, Division of Investment Management, Stop 5-6, Securities and Exchange Commission, 450 Fifth Street, N.W., Washington, D.C. 20549.

Background

On October 11, 1996, President Clinton signed into law the National Securities Markets Improvement Act of 1996 (``Improvement Act'').<SUP>1</SUP> Title III of the Improvement Act, the Investment Advisers Supervision Coordination Act (``Coordination Act''), amended the Advisers Act to reallocate federal and state responsibilities for the regulation of the approximately 23,350 investment advisers registered with the Commission at the time the legislation was signed. Under new section 203A(a) of the Advisers Act,<SUP>2</SUP> an investment adviser that is regulated or required to be regulated as an investment adviser in the state in which it maintains its principal office and place of business is prohibited from registering with the Commission unless the adviser (i) has assets under management of not less than $25 million (or such higher amount as the Commission, by rule, deems appropriate), or (ii) is an adviser to an investment company registered under the Investment Company Act of 1940.<SUP>3</SUP>

\1\ Pub. L. No. 104-290, 110 Stat. 3416 (1996) (codified in scattered sections of the United States Code).

\2\ 15 U.S.C. 80b-3a(a).

\3\ The Commission was given authority in section 203A(c) of the Advisers Act to exempt investment advisers, by rule or order, from the prohibition on Commission registration if the prohibition would be ``unfair, a burden on interstate commerce, or otherwise inconsistent with the purposes'' of section 203A. 15 U.S.C. 80b- 3a(c). Under its authority, the Commission adopted rule 203A-2 under the Advisers Act, which permits nationally recognized statistical rating organizations and certain pension consultants, affiliated investment advisers, and newly formed investment advisers to register with the Commission even if they otherwise would not meet the criteria for registration in section 203A(a). 17 CFR 275.203A-2.

The Coordination Act also amended section 203(h) of the Advisers Act to authorize the Commission to cancel the registration of any investment adviser that no longer meets the criteria for registration.<SUP>4</SUP> As amended, section 203(h) provides, in pertinent part, that if the Commission finds that any person registered with the Commission as an investment adviser is no longer in existence, is not engaged in business as an investment adviser, or is prohibited from registering as an investment adviser under section 203A, the Commission shall, by order, cancel the registration of such person. The Coordination Act became effective on July 8, 1997.<SUP>5</SUP>

\4\ 15 U.S.C. 80b-3(h).

\5\ See section 308(a) of the Coordination Act. The effective date of the Coordination Act was originally April 9, 1997. On March 31, 1997, President Clinton signed into law Pub. L. No. 105-8, which postponed the effective date of the Coordination Act to July 8, 1997. See 111 Stat. 15 (1997).

To implement the division of regulatory responsibility mandated by the Coordination Act, the Commission adopted Form ADV-T.<SUP>6</SUP> Form ADV-T required investment advisers to declare by July 8, 1997 whether they would continue to be eligible for Commission registration under the new regulatory scheme. For advisers that indicated that they were no longer eligible for Commission registration, filing of Form ADV-T served as such advisers' request for withdrawal from registration.<SUP>7</SUP> In the release adopting Form ADV-T and other rules to implement the Coordination Act, the Commission stated that advisers that did not return Form ADV-T would be subject to having their registrations cancelled pursuant to section 203(h).<SUP>8</SUP>

\6\ See Rules Implementing Amendments to the Investment Advisers Act of 1940, Investment Advisers Act Release No. 1633 (May 15, 1997)

[62 FR 28112 (May 22, 1997)] (``Adopting Release'').

\7\ See rule 203A-5(c) [17 CFR 275.203A-5(c)]; Instruction 6 to Form ADV-T.

\8\ See Adopting Release, supra note , at text accompanying notes 17 and 23. The instructions to Form ADV-T contained a similar statement. See Instruction 1(f) to Form ADV-T.

In May 1997, the Commission mailed copies of Form ADV-T to all investment advisers then registered with the Commission.<SUP>9</SUP> In October 1997, the

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Commission mailed additional copies of Form ADV-T to the 5,426 advisers that had not filedForm ADV-T, accompanied by a letter notifying them that they must file Form ADV-T by December 15, 1997 or their investment adviser registrations with the Commission would be cancelled without further notice.

\9\ The Commission mailed the Form ADV-Ts to the address provided by each investment adviser on their Form ADV. These addresses were assumed to be current, as investment advisers are required to update Form ADV promptly for any address changes. See Instruction 10 to Form ADV.

As of February 20, 1998, the 5,092 Commission-registered investment advisers listed in the Appendix have not fileda Form ADV-T with the Commission. Based on the facts above, the Commission finds that these registrants are no longer in existence, are not engaged in business as investment advisers, or are prohibited from registering as investment advisers under section 203A. Accordingly, at any time after April 30, 1998, the Commission may issue orders cancelling the registrations of any or all of the investment advisers listed in the Appendix.

Any investment adviser listed in the Appendix that has previously fileda Form ADV-T with the Commission and believes its name has been included in the Appendix in error must make a formal written objection to the cancellation of its registration prior to April 30, 1998. Written objections must be mailed to: Investment Adviser Cancellation Objections, Task Force on Investment Adviser Regulation, Division of Investment Management, Stop 5-6, Securities and Exchange Commission, 450 Fifth Street, N.W., Washington, D.C. 20549, or sent via facsimile to (202) 942-9659, Attention: Investment Adviser Cancellation Objections. Written objections must be received by the Commission by April 30, 1998.

Any investment adviser listed in the Appendix that wishes to file a Form ADV-T may do so by April 30, 1998. The registrations of advisers whose Form ADV-Ts are received by the Commission by April 30, 1998 will not be cancelled.<SUP>10</SUP> Copies of Form ADV-T may be obtained by contacting the Commission's Publication Office at (202) 942-4046.

\10\ The registrations of investment advisers that indicate on Form ADV-T that they are no longer eligible to register with the Commission will be withdrawn.

Dated: March 9, 1998.

By the Commission. Jonathan G. Katz, Secretary.

APPENDIX

80132230 1ST PRIORITY PLANNING ASSOCIATES INC 80139160 33 WALL STREET ASSET MANAGEMENT INC 80135556 833 FINANCIAL ENTERPRISES INC 80134874 900 TRADING INC 80131605 A B ASESORES BURSATILES SA 80130671 A&M WINTON ASSOCIATES LTD 80145319 AARON SUSAN SANDRA 80152696 AB INVESTMENT ADVISERS 80131102 ABACUS FINANCIAL CONSULTANTS LTD L 80149095 ABBE FINANCIAL SERVICES INC 80140402 ABEL BEHNKE CORP /HI/ 80139029 ABERDEEN FINANCIAL CORP /GA/ 80128864 ABERDEEN GOVERNMENT SECURITIES CORP 80126421 ABODEELY GEORGE S V 80137081 ABRAHAM & SONS INC /IL/ 80143390 ABRAMS LITTLE GILL TISHMAN & WITTY PC 80116102 ACA PRUDENT INVESTORS PLANNING CO /NJ 80138004 ACACIA REALTY ADVISORS INC 80139660 ACADEMY OF MEDICAL ECONOMICS 80137171 ACCI WORLDWIDE SA DE CV /MEXICO/ 80126734 ACEBAL INVESTMENT SERVICES INC 80138498 ACEVEDO LOUIS ANTHONY 80127120 ACHETS CORP 80141307 ACHIEVEMENT COUNSEL INC /NJ/ 80143422 ACKERMAN GERALD EDWARD 80137112 ACKERS ANDREW FRANKLYN 80119309 ACORN FINANCIAL SERVICES INC 80140302 ACORN INVESTMENT MANAGEMENT INC 80133985 ACTIVE FINANCIAL SERVICES 80141308 ACTIVE MANAGEMENT ADVISORS INC /NY/ 80132047 ACU FINANCIAL SERVICES INC 80138142 ADAMS GEOFFREY PAUL /TX/ 80122110 ADAMS INVESTMENT ADVISORS INC 80128832 ADAMS INVESTMENT COUNSEL CORP 80133398 ADAMS RICHARD LEE 80138346 ADAMS RICHARD VARIAN 80136317 ADAMS SALVATORE CHARLES 80110651 ADAMY JOSEPH FRANCIS 80124186 ADLER COLEMAN & CO INC 80129184 ADLER RICHARD ALLEN 80136087 ADMINISTRADORA DE CAPITALES SA 80128255 ADORIAN FINANCIAL LTD 80134781 ADQ INC /MA/ 80142539 ADS & CO INC 80127600 ADVANCE ASSET MANAGEMENT LTD 80135150 ADVANCED ADVISORY GROUP INC /MD/ 80153282 ADVANCED ADVISORY SERVICES INC 80145192 ADVANCED FINANCIAL ADVISORS INC 80130311 ADVANCED INVESTMENT MANAGEMENT INC/CT/ 80138729 ADVANTAGE ADVISORY & INVESTMENT MANAGEMENT CO INC 80143921 ADVANTAGE FINANCIAL CORP /MN/ 80146181 ADVANTAGE RESEARCH & TRADING INC 80151567 ADVENT CAPITAL MANAGEMENT PARTNERS INC 80144789 ADVISERV CO 80104911 ADVISOR 80109089 ADVISORS MUTUAL SERVICE CENTER INC /MI/ 80151658 ADVISORY ASSOCIATES INC 80132758 ADVISORY FINANCIAL ASSOCIATES 80146520 AEGIS INVESTMENT CO INC /GA/ 80141754 AEGIS RESEARCH & MANAGEMENT INC /NY/ 80134185 AEGIS SELECT ASSET MANAGEMENT CORP 80143665 AFFILIATED FINANCIAL GROUP INC /UT/ 80151874 AFFILIATED INVESTMENT ADVISORS INC /UT 80129115 AFFILIATED PLANNERS REALTY INC 80146875 AFFINA BROKERAGE SERVICES INC 80153551 AFFINITY INVESTMENT ADVISORS INC 80109917 AFFIRMATIVE INVESTMENT MANAGEMENT INC 80139699 AFIN INTERNATIONAL MANAGEMENT S A DE C V 80136774 AFM ADVISORY SERVICES INC 80139943 AFM INVESTMENTS INC /NJ/ 80151383 AFZAL IQBAL OMAR 80133122 AGINCOURT INVESTMENT ADVISERS INC 80133749 AHART WAYMON ELDRIDGE 80145986 AHLQUIST RONALD ALAN /MA/ 80141005 AHMADI HAMID /CA/ 80147901 AIFG CONSULTANTS LTD 80150353 AIM FINANCIAL GROUP INC 80140984 AINSWORTH MONEY MANAGEMENT INC 80141566 AJELLO MICHAEL C 80151456 AKJENSEN INC /FL/ 80132142 ALAMANA ASSET MANAGEMENT COUNSELS INC 80140512 ALBAYYA FINANCIAL SERVICES INC /MI/ 80147417 ALBERTSON DARREN MATTHEW 80139296 ALBRITTON CAPITAL MANAGEMENT CO /GA/ 80153501 ALCAR CAPITAL LLC 80142526 ALCOM MANAGEMENT & BROKERAGE INC 80142521 ALCOM MANAGEMENT & BROKERAGE INC /AZ/ 80131977 ALDERSON MANAGEMENT INC 80117868 ALDINGER JOHN STERN 80117868 ALDINGER JOHN STERN 80116049 ALDRICH EASTMAN & WALTCH INC 80138782 ALDRICH EASTMAN & WALTCH L P 80136746 ALEXANDER CLINNON 80151516 ALEXANDER JAMES PETER

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80130853 ALEXANDER JOHN R 80112923 ALFANDARY ALEXANDER MARK 80143758 ALFORD ASSOCIATES INC /MA/ 80150017 ALFORD R L & CO INC 80141791 ALIGEN INDEPENDENT LABORATORIES INC /WY/ 80146756 ALKER ROBERT 80132459 ALLEGHENY ASSET MANAGEMENT INC 80153723 ALLEN CAROL MAY 80121990 ALLEN DANIEL & CO PC/GA/ 80128574 ALLEN ELLIOTT & ALEXANDER INC 80147657 ALLEN GERALD VINCENT 80135987 ALLEN JAMES DALLAS 80147460 ALLEN JEFFREY NELSON 80119487 ALLEN WILLIAM CHARLES 80120829 ALLEN WILLIAM VICTOR 80151636 ALLIANCE FUND MANAGEMENT GROUP LTD 80133097 ALLIED COMPENSATION PLANNING INC /MI/ 80122839 ALLIED EQUITY GROUP 80142644 ALLOCATION ASSOCIATES 80139416 ALLY CAPITAL MANAGEMENT INC 80145607 ALPERT WILLIAM BALFOUR 80151345 ALPHA ANALYTICAL ADVISORS INC 80141361 ALTAMIRA CAPITAL CORP /CA/ 80150477 ALTERNATIVE INVESTMENT ADVISORS INC 80121867 ALTSHULER BENSON MAYER ADV 80124591 ALTSHULER KENDALL JAY 80153873 ALTVEST LTD 80142567 AMAN SIMON JOHN /NY/ 80143369 AMBER ASSET MANAGEMENT CORP /FL/ 80133034 AMBROSE JOHN CHARLES 80129834 AMERI VEST PLANNING INC 80147617 AMERICAN ASSET ADVISORS 80146136 AMERICAN ENTERPRISES INC /MA/ 80151317 AMERICAN EQUITY MANAGEMENT GROUP INC 80131785 AMERICAN EQUITY SECURITIES OF DELAWARE INC 80147540 AMERICAN FINANCIAL CENTER INC 80129738 AMERICAN FINANCIAL CORP INTERNATIONAL INC 80142122 AMERICAN FUND ADVISORS INC /CA/ 80149244 AMERICAN GBEX CAPITAL MANAGEMENT INC 80152833 AMERICAN GROWTH CAPITAL CORP /NV/ 80147638 AMERICAN HERITAGE FINANCIAL SERVICES LTD 80146207 AMERICAN HERITAGE INVESTMENT ADVISER CORP 80128010 AMERICAN INVESTMENT ADVISORS INC /GA/ 80118082 AMERICAN PROPERTY MORTGAGE INC ADV 80130203 AMERICAN SECURITIES & RESEARCH CORP 80139130 AMERICAN SECURITIES & RESEARCH CORPORATION 80146025 AMERICAN WEALTH MANAGEMENT INC 80140333 AMERICAP REALTY GROUP /CA/ 80140996 AMERIVET DYMALLY SECURITIES INC 80131005 AMIC ADVISERS INC 80147094 AMIC INC 80138572 AMIN AL HALEEM MUSLIM 80135378 AMP FINANCIAL PLANNERS INC 80144098 AMPTON INC /NY/ 80137700 AMRO SECURITIES INC /NY/ 80139090 AMT CAPITAL MANAGEMENT INC 80153733 ANDERSEN R FINANCIAL INC 80139544 ANDERSEN TERRY WARD 80150881 ANDERSON BRIAN WAYNE 80128940 ANDERSON BRIERLY W & ASSOCIATES INC 80147377 ANDERSON CAPITAL CORP 80150937 ANDERSON CHARLES PATRICK 80141921 ANDERSON DONALD KING /CA/ 80123679 ANDERSON FRANK EDWARD 80144586 ANDERSON GARY WILLIAM 80143096 ANDERSON JOHN PATRICK 80154363 ANDERSON STEPHEN JEFFERY 80142320 ANDREWS KYLE CRAIG /MI/ 80143595 ANDREWS MICHAEL ANTHONY /PA/ 80149410 ANDREWS ROBERT INC 80110487 ANDRON MCNEIL & CO INC 80147658 ANDSAR INC 80147295 ANEJA BHOLA NATH 80119102 ANGELES INSTITUTIONAL ADVISORS INC 80148001 ANGELIC ASSET MANAGEMENT INC 80118239 ANGELOCCI RONALD ERNEST 80134120 ANSAR CAPITAL MANAGEMENT INC 80128456 ANTELO LOPEZ LUIS FERNANDO 80148236 ANTHONY INVESTMENTS LP 80137459 ANTONUCCI GARY LOUIS 80150285 APEIRON CAPITAL MANAGEMENT INC 80145273 APEL DANIEL JOSEPH /CA/ 80151035 APEX ASSET MANAGEMENT CO 80153980 APODACA GROUP LLC 80150644 APOGEE ASSOCIATES LLC 80149487 APOLITO STEPHEN C LP 80152932 APPLE JAMES TERRY 80140006 APPLETON MARLYS MARIE 80133780 APPLETREE FINANCIAL SERVICES INC 80133715 APPLIED CAPITAL CONCEPTS INC 80146732 APPLIED DECISION SERVICES & CO INC /CA/ 80133017 APPLIED FINANCIAL MANAGEMENT INC 80134769 APPROVED MANAGEMENT INC 80140303 APS ADVISORY SERVICES INC 80140658 APT INVESTMENT MANAGEMENT INC 80150013 AQUEDUCT ADVISERS LLC 80101415 AQUINO MICHAEL ANGELO 80129475 ARAB MALAYSIAN CONSULTANT SDN BHD 80153390 ARCADIA FINANCIAL GROUP LLC 80151247 ARDETH HOLLO & ASSOCIATES INC 80128471 ARDIS THOMAS JOHN 80141868 ARDIZZONI DENNIS MICHAEL /TX/ 80132434 ARENSMAN WAYNE EARL 80133055 ARENSON PAUL JOSEPH 80147500 ARENZ DON L 80143906 ARGENT SECURITIES INC /GA/ 80135522 ARI EL ADVISORS INC 80138794 ARIS CAPITAL MANAGEMENT INC /CA/ 80149847 ARISTOCRAT CAPITAL MANAGEMENT LTD 80117934 ARIZONA GROUP FINANCIAL PLANNING INC 80146900 ARIZONA INVESTMENT ADVISORS INC 80139337 ARKA FINANCIAL SERVICES INC 80135389 ARMANINO ROBERT CARL /CA/ 80138386 ARMOUR CAPITAL ASSOCIATES INC 80132581 ARMOUR ROBERT CLINE 80147093 ARMSTRONG CAPITAL MANAGEMENT LTD 80149430 ARNETTE MACK LUSTER 80140878 ARNOLD KASHYAP & CO /MD/ 80130049 ARON EQUITY INC 80149745 ARRINGTON CHARLIE ROBERT 80117898 ARROL SECURITIES INC 80148434 ARROYO CONRADO 80120822 ARUNDEL SECURITIES INC /MD/ 80136478 AS CAPITAL MANAGEMENT INC 80142335 ASA FINANCIAL PLANNING INC /NY/ 80154619 ASCEND CAPITAL MANAGEMENT INC /NJ/ 80126237 ASF INC 80114009 ASH RICHARD J ASSOCIATE INC 80150049 ASHLAR FINANCIAL GROUP LTD 80152658 ASHLEY PATRICK MICHAEL 80139364 ASHOOH ELIAS E INC 80131516 ASHWORTH ASSOCIATES INC 80143827 ASI SECURITIES INC /PHILIPPINES/ 80151804 ASIAN CAPITAL ASSET MANAGEMENT INC 80135494 ASMAR ALEJANDRO GUILLERMO 80129891 ASPEN FINANCIAL SERVICES INC 80130599 ASPETUCK INVESTMENT MANAGEMENT CORP 80142901 ASSET & LIABILITY MANAGEMENT SERVICES INC 80148898 ASSET ADVISORS INC /TX/ 80142634 ASSET ADVISORY CO /CA/ 80115956 ASSET ADVISORY SERVICES INC /NY/ 80142069 ASSET ALLOCATION ADVISERS INC /MN/ 80147881 ASSET ALLOCATION STRATEGIES INC 80132533 ASSET MANAGEMENT & INSURANCE CONSULTANTS INC 80122645 ASSET MANAGEMENT ADVISORS INC /OH/ 80130727 ASSET MANAGEMENT ASSOCIATES /MO/ 80118772 ASSET MANAGEMENT GROUP /NY/ 80111444 ASSET MANAGEMENT INC /AZ

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80139070 ASSET MANAGEMENT SERVICES /TX/ 80126776 ASSET MANAGEMENT SYSTEMS INC 80140688 ASSET MANAGEMENT SYSTEMS INC /NY/ 80132754 ASSET PLANNING LTD 80123116 ASSETMANAGEMENT INC /CT/ 80130784 ASSOCIATED PLANNING GROUP OF COMPANIES INC 80133965 ASSOCIATED REAL ESTATE ADVISORS INC 80124625 ASSOCIATES IN FINANCIAL PLANNING 80121201 ATAP FINANCIAL SERVICES INC 80147685 ATHENA CAPITAL CORP 80144269 ATHENA GLOBAL INVESTMENTS LP /CT/ 80121557 ATHENE CORONADO MANAGEMENT CORP ADV 80128961 ATHERLY LAVERNE FRANCIS 80135962 ATHERTON REAL ESTATE ADVISORS INC 80136526 ATLANTA CAPITAL MANAGEMENT CO /GA/ 80152179 ATLANTA CAPITAL MANAGEMENT CO L L C 80118349 ATLANTIC ASSET MANAGEMENT INC 80149370 ATLANTIC FINANCIAL GROUP INC /NJ/ 80152914 ATLAS ASSET MANAGEMENT INC 80134881 ATLAS INVESTMENT ADVISORS 80147869 ATLASHEAD INC 80147092 ATM FINANCIAL GROUP INC 80142316 AUDUBON ASSET MANAGEMENT INC /LA/ 80138164 AUGUST INVESTMENT MANAGEMENT INC 80150181 AUGUSTUS ENTERPRISES INC 80149129 AUSTEN GOODWIN INC 80114424 AUSTIN CHARTISTS INC 80149592 AXA ASSET MANAGEMENT PARTENAIRES 80149594 AXIOMETRICS INC 80122334 AYALA ISAAC 80113398 AYRES JAMES H INVESTMENT CONSULTANT 80151721 AZZARA ROBERT C 80127614 B & M CAPITAL CORP 80138457 B T ASSOCIATES INC 80137979 B&B PROPERTY INVESTMENT DEVELOPMENT & MGMT CO INC /CA/ 80125008 BA GROUP INC 80129188 BACA INC 80154125 BACCAM OAI DAN QUANG 80148541 BACCUS MELINDA DIANE 80143466 BACKOFF JAMES STUART 80140154 BADURIA MICHAEL DANIEL 80136417 BAGGE RONN R INC 80145381 BAGNARDI ALBERT VICTOR /MA/ 80125111 BAIKIE & ALCANTARA INC 80140106 BAILEY ERNEST LAWRENCE III 80150188 BAIN DAVID WILLIAM 80151864 BAIRD CAPITAL MANAGEMENT LLC 80145193 BAKER BRIAN COURTNEY 80132678 BAKER DONALD DAVID 80123164 BAKER JOEL R INC 80129005 BAKER JOHN A 80133980 BAKER MARC LEE 80152933 BAKER WILTON WADE 80131702 BALAZIK JOSEPH CONRAD JR 80152807 BALDINGER PRASAD FINANCIAL ADVISORS INC 80137005 BALLANTINE ASSET MANAGEMENT /VT/ 80154430 BALLEN HOWARD LEON 80142940 BALLIN MICHAEL SETH /NY/ 80128606 BALSTON EDELTRAUDE HERMINE 80153569 BAMCO INC /NY/ 80151162 BANCAL INVESTMENT SERVICES INC 80131511 BANCO ICATU SA 80128979 BANKERS SYSTEMS INC 80145647 BANNER GARY SPENCER 80131913 BANQUE WORMS MANAGEMENT CORP 80145420 BANTAM MANAGEMENT INC 80143523 BARABAN SECURITIES INC 80137654 BARAJAS LOUIS 80125435 BARBANEL JERRY FRED 80124140 BARBANELL & ASSOCIATES LTD 80136591 BARBETTA JOSEPH ANTHONY 80134674 BARCLAY GROUP INC 80118863 BARCLAY TEAM INC 80142003 BARD HARRY /CA/ 80152155 BARGER ROBERT VINCENT 80115646 BARING ADVISORS INC /NY/ 80139031 BARKATE ANTHONY HAROLD 80138778 BARKER GREGORY WAYNE 80135033 BARKER PAUL EDWARD 80136812 BARKYOUMB WILLIAM LOUIS /CA/ 80140912 BARLEBEN RAYMOND JOHN 80142899 BARNES ALLIANCE INC 80151503 BARNES CHARLES BENJAMIN JR 80142449 BARNES HARRY MARVIN JR 80142337 BARNETT LESLIE MARC /CA/ 80115516 BARNEY WILLIAM RAYMOND JR 80141870 BARONE EDWARD FRANCIS /NY/ 80142243 BARR GEORGE BORIS /PA/ 80148861 BARR RIVER GROUP 80142850 BARRE HENRI LOUIS 80150239 BARREIRO SCUDDER & STEVENS 80126620 BARRETT PATRICK J & ASSOCIATES LTD 80142212 BARRINGTON INVESTMENT GROUP INC /IL/ 80125557 BARRONS JAMES ROBERT 80147425 BARROW STREET RESEARCH INC 80144267 BARRY JOHN ALOYSIUS /FL/ 80154222 BARSANO EDWARD JOSEPH 80132514 BARTELS BRIAN DESMOND 80147713 BARTHELS ROBERT PAUL 80128948 BARTHMAIER JAMES EUGENE 80139163 BARTLETT STEPHEN JAMES 80149664 BARTON PETER WILDEY 80120297 BASOM FRED VERNOR ADV 80129219 BATALION INVESTOR SERVICES INC 80148979 BATES FINANCIAL SERVICES INC 80150759 BAU ANNETTE MARION 80154038 BAUER CAPITAL MANAGEMENT 80121751 BAUER HAROLD GARRISON JR 80133116 BAUER LEO 80122195 BAVERO FINANCIAL SERVICES 80153199 BAXTER BANKS & SMITH LTD 80121150 BAY COLONY LTD 80148497 BAY DONALD MAXWELL 80126222 BAYBANKS INVESTMENT MANAGEMENT INC 80145558 BAYNE JAMES ROBERT 80118853 BAYSTATE INVESTMENT ADVISORS INC 80113974 BAYUK ANNE MARIE 80113138 BAYUK DENNIS JOHN 80113382 BAYUK LINDA ELIZABETH 80142804 BAZAN GUY 80120314 BAZZLE KENNETH LEE 80137221 BBC FINANCIAL PLANNING SERVICES INC /IL/ 80143104 BCF CAPITAL ADVISORS INC 80130981 BDK ASSOCIATES INC 80143953 BEACONCAP INC 80129725 BEAM HENRY HERRINGTON 80153422 BEASLEY DENNIS LEE 80148026 BEATIE WILLIAM EDWARD 80134320 BEATTY CAPITAL MANAGEMENT INC 80152464 BEATTY HUGH BRIAN 80133727 BEAVERS GARY LEE 80108893 BECHARD PAUL FRANCIS 80141751 BECK INVESTMENT ADVISORY INC /OK/ 80142085 BECK JAMES FRANKLIN /TX/ 80150112 BECKER JESSE ELI 80151038 BECKER-WEIDMAN ARTHUR ALAN 80118269 BECKMAN MARVIN LEROY 80144187 BECNEL MAURICE EMMETT /CA/ 80145430 BEEBE THOMAS STEWART 80146269 BEECHTREE CAPITAL INC /NY/ 80136167 BEER JEFFERY SINCLAIR 80126007 BEERS & CO INC 80150828 BEH ADVISORY GROUP INC 80125751 BEHAR NORMAN 80151657 BEHREN FINANCIAL STRATEGIES INC 80135896 BELANGER & CO PC /MA/ 80122161 BELARMINO FRANCASIO INTUD 80120708 BELEN REGOLO CALISEN 80150926 BELFORD PARTNERS INC 80147882 BELKIN LTD 80125824 BELL I A FINANCIAL & ECONOMIC PLANNING INC 80149998 BELL JAMES GLEN 80144071 BELL THOMAS WILLIAM /NY/ 80154106 BELMONTE BRADLEY STEPHEN 80142303 BELMONTE FRANK RICHARD / 80117593 BELSEN GETTY INC 80154012 BELTRAN FRANK GAMMANIEL 80129528 BENCHMARK ADVISORY SERVICES LTD 80134640 BENCHMARK INTERNATIONAL INVESTMENT CORP 80144901 BENDER GREGORY CHRISTOPHER /KS/ 80134952 BENDETOVITCH RUTH /NY/ 80140549 BENEFIT & INVESTMENT CONCEPTS INC 80133690 BENEFIT ALTERNATIVES INC 80120324 BENEFIT PLAN SECURITIES INC 80145675 BENEFIT PROFESSIONALS LTD /VA/ 80136188 BENINGHOF JOSEPH MICHAEL 80126440 BENNETT & KAHNWEILER REALTY ADVISORS INC 80147273 BENNETT JAMES EDWARD 80137055 BENNETT MICHELE CLEMENTS 80120745 BENSON ASSOCIATES INC ADV 80142174 BENT TREE GROUP INC /NC/

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80144440 BENTLEY FRANK ARTHUR 80130464 BENZ ROGER HAROLD 80145175 BERG INVESTMENT MANAGEMENT CORP 80140597 BERG JEROME BERNARD 80153134 BERG MICHAEL EUGENE 80150798 BERGSMA ERIC ROSS 80133370 BERGTHOLD DONALD EUGENE 80148114 BERKELEY INVESTMENTS INC 80143885 BERKSHIRE INVESTMENT ADVISORS LP /MA/ 80138505 BERMAN HENRY S /IN/ 80115238 BERNARD JAMES A 80138840 BERNARDO JOSEPH 80150612 BERNSTEIN STANLEY LLOYD 80124005 BERRY TOMS & ASSOCIATES 80154476 BERTOT PETER GARCIA 80143192 BERTRAM WILLIAM KEITH 80120455 BERUBE JOHN SCOTT 80149038 BEST ADVICE CORP 80135866 BETBADAL VICTOR ELIA 80141511 BETER ALEXANDER MATHIAS /MD/ 80141113 BETER JOSEE MARIE ELIZABETH 80110012 BETHANIS CONSTANTINE JAMES 80116502 BETTINGER & LEECH INC 80122777 BEVANS THOMAS REED 80150129 BEVER GLENN WAYNE 80128562 BEVINGTON RICHARD CARL 80132545 BFM ASSET MANAGEMENT INC 80147868 BFM INC 80137629 BGP ADVISORY INVESTMENT SA 80132483 BIANCO PETER JOSEPH 80119306 BICKEL HENRY JOSEPH ADV 80152906 BIGELOW ASSET MANAGEMENT LLC 80146543 BILIS JOHN /FL/ 80149509 BILTMORE ADVISORS INC 80125018 BINGHAM OSBORN & SCARBOROUGH 80144625 BINN EVAN LEONARD 80142595 BIRAM GEORGE ANTHONY /WA/ 80128525 BIRCHTREE FINANCIAL ADVISORS INC 80136977 BIRD CHRISTINE INC CFP /GA/ 80149355 BIRD STEPHEN VANCE 80125270 BISCEGLIA GROUP INC 80123979 BISHIN JANE SHARLEE 80119194 BISHOP ROBERT MICHAEL 80136111 BISHOP SAXONY CORP 80128755 BISHOP TERRY MELVIN 80130233 BISSONETTE THOMAS EDWARD 80138354 BJT ASSOCIATES GROUP INC 80139643 BLA ADVISORS INC 80142680 BLACK DAVID EUGENE 80128311 BLACK DOG INVESTMENTS INC 80146179 BLACK MICHAEL ROBERT 80146590 BLACK RIVER CAPITAL INC /SC/ 80134639 BLACK SHERRY JOE 80132206 BLACK WATCH FINANCIAL INC 80136920 BLACK WILLIAM ARCHIBALD 80137663 BLACKWELL BANKS /AR/ 80126366 BLAKE CHARLES MOWRY JR 80133588 BLAN SANTITO BALTAZAR 80146254 BLANCHE LEE M /CT/ 80128824 BLANCHET ROBERT DAVID 80120353 BLANDO PB & CO INC 80152684 BLANDO PROCULO BRINGAS 80127633 BLATT BARRY CHARLES 80146871 BLEEDEN ANDREW MARC 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80154021 BRYANT GROUP LLC 80137655 BRYNER MAURICE CLAIR 80149305 BRYSON GREGORY MICHAEL 80132717 BT FORECAST 80148359 BUCHANAN KEITH WAYNE 80149391 BUCK LESLIE SIMPSON 80137694 BUCKLEY BERNARD JAMES /IL/ 80137953 BUCKMAN WAYNE THOMAS /CA/ 80147804 BUCKSHADOW CORP 80128118 BUDNY KENNETH J 80133375 BUIE ELISSA PAULINE 80146162 BUJOK KAREL 80148673 BUMBALO ANTHONY 80146037 BUONO THOMAS /NY/ 80135967 BURACK SEYMOUR SHELDON 80134182 BURCHAM JAMES SAMUEL JR 80142965 BURCHETT KEVIN TODD 80136435 BURDELL WILLIAM MANAGEMENT CO 80122319 BURDICK D LAWRENCE 80149635 BURGER CAPITAL MANAGEMENT INC 80154025 BURGER GARY DEWITT 80139666 BURGER MARTIN EDWARD 80131707 BURGER MATTHEW JOHN 80122398 BURKE J B & CO 80151280 BURKE RICHARD MICHAEL 80114030 BURKHARDT GREGORY CHARLES 80150159 BURKLY PETER JOHN 80150693 BURLESON FINANCIAL STRATEGIES INC 80153326 BURNETT WILLIAM JOSEPH 80118175 BURNS FRY INC /NY/ 80132838 BURNS LEO GERALD 80147605 BURNSIDE DANIEL JAMES 80136217 BURNSTEIN SHAWN MICHAEL 80140454 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80145482 CASCADE FINANCIAL MANAGEMENT INC /WA/ 80138768 CASE CHARLES ALFRED 80139668 CASE SAMUEL 80138362 CASE W LYMAN & CO /OH/ 80150990 CASEBIER KEVIN WAYNE 80154545 CASEY FRANCIS JOSEPH JR 80130735 CASH FLOW INVESTORS INC 80125602 CASHMAN RAYMOND LEO SR 80136963 CASO TIMOTHY PAUL 80124102 CASSEL EDWARD ROY 80145832 CASSIDY CONSULTING CORP 80147353 CASTALDI RAPHAEL JOSEPH 80140468 CASTLE ROCK CAPITAL INC 80147854 CASTORIA JERRY JAMES 80150259 CATALANO JOHN DENIS 80142286 CATHAY ASSET MANAGEMENT LLC 80140737 CATLI VANDEN JOSEPH /NJ/ 80144454 CATTARUZZA LOUIS FRANCIS 80129428 CATTELONA RICHARD ANTHONY 80129781 CAUDELL DANIEL MARION 80122159 CAVILL & CO 80137838 CAZENOVE INVESTMENT MANAGEMENT LTD 80154294 CBL EQUITIES INC 80133901 CBS TRUST 80123241 CCF INTERNATIONAL FINANCE CORP 80147038 CCM ASSET MANAGEMENT INC 80126857 CDA INVESTMENT TECHNOLOGIES INC /MD/ 80112283 CECCHERINI RONALD FREDERICK WILLIAM 80123099 CEDRO FRANCISCO ALIPAO 80124175 CEFALU SALVATORE J 80153889 CELIA DANIEL 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80133393 COASTAL CAPITAL MANAGEMENT 80140871 COATES & SHERER INVESTMENTS INC 80143027 COBB KENNETH BERNARD II /FL/ 80119890 COBEY JACOBSON & GORDON INC 80130825 COCHRANE FLANNIGAN & HOLLENDER ADVISORS INC 80151042 CODY JEAN M CPA PC 80145462 COELHO LUIS MANUEL /MA/ 80149344 COFNAS ABRAHAM 80149265 COGHILL CLINT D 80130643 COGHLAN JEREMY MASON 80150657 COGSWELL INVESTMENT RESEARCH INC 80148849 COHEN EQUITY CONSULTING INC 80137246 COHEN JACK ORRIN /NH/ 80142869 COHEN JED 80143746 COHEN JERRY /CA/ 80139674 COHEN LESTER MELBOURNE 80138775 COHEN LOLA ANN 80130986 COHEN NORMAN JAY 80127612 COHN CHARLES MARCUS 80146382 COHN RICHARD JAY /CA/ 80154716 COLBERT INVESTMENT MANAGEMENT CO 80147772 COLBURN LEZLIE ANN 80126723 COLDIRON OTTO GREEN JR 80144601 COLE VENTURES INC 80109768 COLEMAN CLARENCE WILLIAM 80116941 COLEMAN GAINES FINANCIAL SERVICES INC /IN/ 80139392 COLEMAN LUCILLE 80144945 COLEMAN TERRY LANE 80149303 COLEMAN VERNAL JR 80151706 COLERIDGE GROUP INC 80141332 COLL ASSOCIATES INC /PA/ 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80132469 COTSWOLD MANAGEMENT INC 80141042 COTSWOLD MANAGEMENT PARTNERS LP /NY/ 80136818 COTTER THOMAS JOSEPH /NY/ 80133842 COTTLE & SWANSON CPA 80140791 COTTRELL JONATHAN LONG /MA 80123157 COUGHLIN ASSET MANAGEMENT GROUP LTD 80128167 COUGHLIN CHRISTOPHER PAUL 80132932 COUNSEL FINANCIAL INC 80152829 COUNTERPOINT ADVISERS CORP 80129800 COURTNEY DAVENPORT & KISSLING 80144999 COURTNEY FINANCIAL MANAGEMENT INC /MO/ 80143558 COVERT CHRISTEL MCLAREN 80125589 COVINGTON FINANCIAL CORP 80148544 COWAN ASSET MANAGEMENT INC 80149148 COWARD NEVILLE SHURLAND 80153651 COX & BRENNAN FINANCIAL SERVICES LLP 80143903 COX BARBARA LYNN /NY/ 80147542 COX DAVID EARL 80124974 COX JAMESON WINTHROP 80113996 COY JOHN OLIVER 80137138 COYOTE ADVISORY GROUP INC 80143452 CPR WEALTH STRATEGIES INC /GA/ 80140734 CPW ADVISORS INC 80153069 CRAFT JOHN D 80145360 CRAIG DAVID MCKEE /OH/ 80101734 CRAIG HALLUM INC 80124083 CRANDALL & SCOTT ASSOCIATES 80137161 CRANE FINANCIAL GROUP INC /IL/ 80146020 CRANE RICHARD ALAN 80147577 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80142043 DENTON NEVIL LLOYD /NY/ 80150424 DEPEW MICHAEL WILLIAM 80137073 DERUTAM B V 80138811 DESANTIS ANTHONY 80153446 DESANTO KEITH LEWIS 80142817 DESIO CAPITAL MANAGEMENT INC /NY/ 80154717 DEUTSCHE FUND MANAGEMENT INC 80149559 DEVILLIER LYNELLA ANN 80141099 DEVRIES GROUP 80125314 DEWEY ALLEN LEONARD 80135959 DF ADVISORS INC 80125401 DFG INVESTMENTS INC 80131665 DHL FINANCIAL SERVICES INC /MA/ 80139690 DI LORETO MICHAEL JOHN 80112604 DIAMOND JOEL RENN 80130307 DIAZ JOSE OWEN REQUIZ /MI/ 80149784 DIAZ MARK BALDWIN 80149123 DICK WILLIAM EDWARD 80143679 DICKER TIMOTHY CHRISTOPHER /CA/ 80150368 DICKERSON THOMAS EARL 80146843 DICKEY MICHAEL GEORGE 80119768 DIEDERICHS JOHN KUENSTING 80118788 DIETRICH HOWARD NELSON JR 80148332 DIETZ ALFRED EDWARD 80118931 DIETZ JOSEPH ROBERT 80146851 DIGGLE CAPITAL MANAGEMENT & RESEARCH INC 80145704 DIGIOVANNI JOSEPH 80140660 DIGN DOUGLAS ALLEN 80140136 DIMENSIONAL FUND ADVISORS LTD 80146349 DION DAVID ARTHUR 80151234 DIRECT MARKETING GROUP INC 80132675 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80146118 ELIAN DAVID MONSIEUR /HI/ 80133718 ELKING VALERIE JEAN 80120073 ELLERBACH RICHARD JOSEPH 80143805 ELLIOTT FINANCIAL SERVICES INC /LA/ 80152296 ELLIS DAVID VERON 80145572 ELLISON RICHARD WAYNE 80129363 ELLWOOD R S & CO INC 80154631 ELMOQADDEM SALAH 80151137 EM FINANCIAL SOLUTIONS LLC 80146073 EMERALD CAPITAL MANAGEMENT INC /PA/ 80139155 EMIC ADVISORS INC 80126070 EMMETT FINANCIAL SERVICES INC 80140216 EMMONS CHARLES CLIFFORD 80122210 EMMONS HARLEY RAY JR 80122731 EMPIRE CONTRACT CONSULTING INC 80135854 ENDICOTT INVESTMENT ADVISORS INC 80141472 ENERGY EQUITIES INC /NJ/ 80130709 ENERGY RECOVERY PARTNERS LIMITED PARTNERSHIP 80136903 ENFIELD MANAGEMENT CORP /MA/ 80132334 ENG ALBERT 80154323 ENGDAHL MICHAEL BRIAN 80143476 ENGEL STEVEN PETER 80147129 ENGLEMAN DAVID ANDREW 80130524 ENGLISH HARRY GORDON 80131782 ENGLISH JAMES LARUE 80132955 ENGLISH JOHN WILLIAM 80138624 ENGLISH PETER GEORGE JR 80142155 ENHOLM GREGORY BENTON /CA/ 80137000 ENRIGHT & CO /NY/ 80131012 ENSIGN FINANCIAL 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80146593 FINANCIAL CONTROLS INC /CO/ 80129859 FINANCIAL COUNSELORS INC /IL/ 80134528 FINANCIAL DESIGN ASSOCIATES INC 80124024 FINANCIAL DESIGNS INC /NC/ 80112507 FINANCIAL DESIGNS LTD 80121693 FINANCIAL DEVELOPMENT ASSOCIATES 80119650 FINANCIAL DIMENSIONS PLANNING CORP ADV 80135299 FINANCIAL DIRECTIONS GROUP /AZ/ 80114705 FINANCIAL DISCIPLINES INC 80117410 FINANCIAL EDGE CORP 80153412 FINANCIAL EDUCATION INSTITUTE OF NEVADA INC 80135551 FINANCIAL FOUNDATION ADVISORY CORP 80120328 FINANCIAL FOUNDATIONS INC 80122484 FINANCIAL GAME PLANS INC 80125119 FINANCIAL GROWTH ASSOCIATES INC 80134474 FINANCIAL GUARANTY CORP 80140676 FINANCIAL INFORMATION CENTER 80125415 FINANCIAL INSIGHTS INC /TX/ 80125533 FINANCIAL INTEGRATION SERVICES INC 80134789 FINANCIAL LINC CORP 80132281 FINANCIAL MANAGEMENT ASSOCIATES /OR/ 80126378 FINANCIAL MARKET SECURITIES 80144781 FINANCIAL MATTERS INC /CO/ 80150492 FINANCIAL NETWORK ADVISORY INC 80138132 FINANCIAL NETWORKS UNLIMITED /PA/ 80148580 FINANCIAL ONE GROUP 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80146035 FRAYSER WILLIAM ASHBY III /SPAIN/ 80123782 FRE MAR ENTERPRISES INC 80108386 FREDERICK RESEARCH CORP 80132915 FREED ERIC ROBERT 80128700 FREED SUSAN CAROL 80136751 FREEDOM INTERNATIONAL INVESTMENT MANAGERS INC 80145792 FREEMAN DARRELL DELOS 80140773 FREEMAN MARC 80153983 FREIDINGER TED L MBA CPA PA 80146198 FREIDUS JACOB /NY/ 80127062 FREITAS JEFFREY MICHAEL 80143108 FREMONT PATRICK WOODS 80135390 FRENCH CHARLES EDWIN 80124431 FRENCH PAUL COMLY JR 80154252 FRENCH RICHARD JAMES /IL/ 80131753 FRENCH ROBERT SIDNEY 80148836 FRICKS FINANCIAL ADVISORS INC 80143284 FRIEDLER JOHN P /NY/ 80140838 FRIEDMAN HERMAN 80143201 FRIEDMAN KENNETH STEPHEN /CO/ 80122669 FRIEDWALD DAVID CHARLES 80130604 FRIGERIO GIOVANNI NEPOMUCENO 80126580 FRITZ RONALD STEVEN 80126503 FROELICH FREDERICK KARL /NC/ 80154246 FUCHS LONNI A 80147486 FUERST KARL WILLIAM 80133821 FUHRER ROGER WURTH 80135321 FULFER DONNA KAY 80112075 FULLER KERMIT 80128835 FUND AMENTA LIST LTD 80130482 FUND MANAGEMENT INC /IL/ 80123234 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80130169 GOTTL & LANDSBERG 80120493 GOUSSIOS THEODORE 80151164 GRACY CAPITAL MANAGEMENT INC 80132067 GRADY ROBERT NEILL 80113479 GRAEBER & CO INC ADV 80129007 GRAHAM & ELLIOTT INC 80153680 GRAHAM BRADLEY THOMAS 80146636 GRAHAM INVESTMENT ADVISORS INC /NY/ 80141241 GRAHAM JEFFREY S /NY/ 80124484 GRAHAM RUTH INC 80150594 GRAICAP ASSET MANAGEMENT LLC 80147609 GRANATA THOMAS JOHN 80138856 GRANGER RESEARCH INC 80147121 GRANITE CAPITAL INTERNATIONAL MANAGEMENT LP 80142055 GRANT JEFFREY ROBERT /OH/ 80144389 GRASSI RICHARD JOSEPH /TX/ 80121207 GRASSO ROBERT ALPHONSE 80151128 GRAVES JEFFERY ROBERT 80153847 GRAY FINANCIAL GROUP /GA 80148460 GRAY RICHARD SPERRY 80115974 GRAYLION INVESTMENTS INC 80141710 GREAT LAKES CAPITAL INC/FL/ 80125865 GREAT PLAINS FINANCIAL DISTRIBUTORS 80125074 GREAVES CAPITAL MANAGEMENT INC 80146839 GREENBERG BARRY MARTIN 80129382 GREENBERG MICHAEL IRA 80127431 GREENE MARTIN HARVEY 80138563 GREENE ROGER ALLEN 80130342 GREENE STANLEY HAROLD SR 80131830 GREENMORE PORTFOLIO 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80138209 HARVEST FINANCIAL PLANNING INC 80146933 HARVEST SPREWELL GROUP LTD 80151901 HARVEY CAPITAL MANAGEMENT INC 80138018 HARWOOD KATHLEEN CULLEN 80146673 HASTINGS MARTHA LOU /WA/ 80131587 HASTON BROWN & CO 80115197 HASWELL RICHARD WARREN 80148458 HATFIELD CHARLES HOWARD 80128239 HATFIELD ROBERT EDWARD 80127410 HATTON JAMES EDWARD 80146739 HAUPT BRADLEY LEE 80139344 HAUSER MICHAEL ARTHUR 80141949 HAUTLY GLENN 80132036 HAVEN DOUGLAS FENNO GOSS 80140740 HAVENS VICCI DELORES /CA/ 80134308 HAVRE J B INC 80152822 HAWKES RUSSELL ASSOC INC 80125151 HAWKINS MARILYNN GERTRUDE 80118482 HAWKINS RAYMOND JERRY 80150606 HAWORTH INVESTMENT MANAGEMENT LTD 80118805 HAYDEN ASSOCIATES INC 80137400 HAYES JOHN BRUTON JR /CT/ 80118925 HAYES ROGER MATTHEW 80130503 HAYWARD ROBERT RODGER 80136630 HCL CONSULTING INC 80148747 HEACOCK PAUL JOHN 80148731 HEADWATERS CAPITAL MANAGEMENT LLC 80135697 HEALTH FINANCIAL GROUP INC 80150474 HEALY RICK ALLEN 80122592 HEARTLAND ADVISORY SERVICES LTD 80146158 HEARTWOOD 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80135914 IBM CREDIT INVESTMENT MANAGEMENT CORP 80147401 ICARUS TRADING LTD 80144662 ICATU ASSET MANAGEMENT INTERNATIONAL LTDA 80132562 IFR SECURITIES INC 80128514 IGNASIAS & ASSOCIATES FINANCIAL SERVICES 80144981 ILIE MARIO MARIAN 80121799 IMHOFF ROBERT NORMAN 80151557 IMMENSCHUH THOMAS ARTHUR 80142231 IMPACT FINANCIAL CORP 80137753 IMPERATO ANTHONY J /NY/ 80134523 IMS CPAS & ASSOCIATES /IL/ 80130029 INCADMIN LTD 80144311 INCOME INVESTMENT ADVISORY /AD 80124053 INCOME PLANNING ASSOCIATES INC 80120331 INCOMM ASSOCIATES INC 80124353 INCORVAIA PHILIP R 80138278 INDEPENDENT CAPITAL MANAGEMENT INC 80152267 INDEPENDENT EQUITY RESEARCH INC 80149731 INDEPENDENT FINANCIAL CONSULTING INC 80144373 INDEPENDENT FINANCIAL SECURITIES INC /NY/ 80138326 INDIALANTIC CAPITAL MANAGEMENT INC 80129925 INDIANA CORPORATE FEDERAL CREDIT UNION 80149372 INDO US CONSULTANTS LTD CO 80152268 INFINITY CAPITAL MANAGEMENT INC 80143858 INFINITY SECURITIES ADVISORS INC /CO/ 80143577 INGAR TITAI RAGHURMAN 80153023 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80147626 JACOBS CAPITAL MANAGEMENT INC 80126586 JACOBS GARY KENT 80133275 JACOBSON CHARLES MAY 80127444 JACOBSON JOEL E & CO PC 80128607 JACOBY AGENCY INC 80138140 JACOY DANIEL PAUL/MA/ 80130758 JACQUES WILLIAM RAY JR / 80138686 JAEGER & GILL CERTIFIED PUBLIC ACCOUNTANTS 80132083 JAFFE LEONARD MAURICE /CA/ 80132235 JAH INC 80150036 JAI DEVANG 80153890 JAMES JOHN FUTURES GROUP LTD 80129601 JAMES MARIE RUPPERT CLU CHFC 80146481 JAMES MICHAEL GEORGE /CA/ 80139342 JAMES VICTOR C JR 80146253 JAMES WILLIAM CONRAD /GA/ 80140975 JAMIESON JOHN RICHARD JR 80135399 JANCA GEORGE ALBERT 80150222 JANE STREET ADVISORS INC 80143166 JANSEN INVESTMENTS INC 80105937 JANUS MANAGEMENT CORP /CO/ 80153583 JARAMILLO ANDREW JUDE 80119504 JARON EQUITIES CORP 80146156 JARRELL WILLIAM GAMMON /CA/ 80148607 JARRETT GLOBAL CAPITAL MANAGEMENT INC 80122980 JASANSKY ANTONIN 80107047 JAUCH HEINZ 80142365 JBC INSTITUTIONAL SERVICES CORP /IL/ 80136754 JBL NEW ENGLAND LTD 80135443 JBT MANAGEMENT INC 80133775 JCW 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80142485 KETTLER NEMEC REBECCA /MO/ 80144650 KEY LATCH OF NEW YORK INC 80105714 KEY VOLUME STRATEGIES INC 80144853 KEYES WILLIAM AUGUSTUS IV 80117870 KEYSTONE SECURITIES LTD 80126851 KG EQUITY RESOURCES INC 80145495 KH ADVISORY SERVICES INC /CO/ 80146791 KHAN TARIQ SAMAD 80141810 KHANI FRED 80147485 KHEMET FINANCIAL PLANNING INC 80109703 KIDDER PEABODY ASSET MANAGEMENT INC /NY/ 80129767 KIELB DENISE JEAN 80124617 KIESCHNIK & ASSOCIATES INC 80127768 KILGORE DEBORAH ANN 80145106 KIMBALL & CO LTD 80135495 KINDER PINNEY & SCOFIELD 80122233 KING HINDSMAN & CO 80144212 KING JAMES JOSEPH II /NY/ 80125475 KING JANE VIRGINIA 80126263 KING JOSEPH EUGENE 80134210 KING KENNETH RICHARD 80134206 KING ROBERT S 80135377 KING VICTOR LEROY JR 80125403 KING WALTER CARROL II 80154359 KINYON DOUGLAS A 80139626 KIRK SECURITIES CORP 80153929 KIRKLAND ADVISORS INC 80113710 KIRKLAND INVESTMENT MANAGEMENT INC 80124099 KISSINGER ADVISORY INC 80140929 KISSINGER FINANCIAL SERVICES INC 80153852 KIYOHIRO LAURENCE 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80139319 LEE KENNETH KC 80148846 LEE LAURENCE FREDERICK III 80134968 LEE MICHAEL DAVID 80136940 LEEDHA INC 80151908 LEEDY SLUSAR & CO LTD 80120636 LEER PFEIFFER WARD CORPORATION 80139321 LEES CAPITAL MANAGEMENT INC 80142218 LEGACY FINANCIAL PLANNING ASSOCIATES INC /CA/ 80151227 LEGACY RESOURCES LLC 80137137 LEGRAND RIGHT FINANCIAL GROUP INC 80151570 LEHNER HARVEY SANDERS 80113931 LEHRENS IRVING 80128384 LEIGH ARTHUR EDWARD 80131931 LEMIER ROYAL ROBERT 80133223 LEMMER PAUL ALAN 80143918 LENHART SCOTT STEPHEN /CA/ 80151251 LENOX CAPITAL MANAGEMENT INC 80145471 LENZA MICHAEL JOSEPH /MA/ 80142958 LEONARD SCOTT ALAN 80117150 LEOPOLD JONATHAN PORTER AARON JR 80137883 LEPPERT NORMAN E 80154444 LERNER ERIC WILLIAM 80144531 LERNER LORI 80136927 LESLEIN JACK 80149882 LESSIN JUDITH LOUISE 80141939 LETCAVAGE RANDALL 80146993 LETSON ROBERT LEE JR 80135910 LEVALLEY CURTIS RAY 80152082 LEVECK STEVE LEWIS 80127482 LEVINE LAWRENCE EAGLE 80135504 LEVINE RICHARD HARVEY 80145145 LEVY ESTHER 80139041 LEVY JOSEPH 80146045 LEVY MOSES & ALBERT INVESTMENT ADVISORS INC /MD/ 80147457 LEVY PERRY ADRIAN & SPRINTZ HENRY 80122392 LEWIS BROCK ASSOCIATES LTD 80141101 LEWIS CRAIG EDWARD 80106438 LEWIS DANIEL ROBERT 80126986 LEWIS DANIEL ROBERT /WA/ 80146314 LEWIS ELLIOTT EDWARD /NY/ 80146145 LEWIS GORDON PHILIP /CA/ 80128532 LEWIS RICHARD S 80133930 LI HSIAO YUAN BRUCE 80143301 LIBERTY ADVISORY SERVICES CORP 80148860 LIBERTY CAPITAL MARKETS INC 80119872 LIBERTY FINANCIAL MANAGEMENT CO OF NORTH AMERICA ADV 80152327 LIBRA 80135758 LICA AMERICA INC 80133959 LICHTER JOHN ROBERT 80145307 LIEBOWITZ L & CO INC 80121212 LIEFER MARTHA 80130660 LIEN RECOVERY SERVICE INC 80129469 LIFESTYLE FINANCIAL PLANNERS INC 80154509 LIGHTHOUSE INVESTMENT ADVISORS INC 80141435 LIGHTNING GROWTH ENTERPRISES INC 80129012 LIGHTSEY EDDIE LEE 80128058 LIN GEORGE SEIN 80106633 LINAM RONALD HAMPTON 80128469 LINCOLN FINANCIAL GROUP INC 80144535 LINCOLN FINANCIAL INC 80129794 LINCOLN MYRON CARLTON JR 80146506 LINCOLN PARK ASSOCIATES INC /IL/ 80142403 LINCOLN PROPERTY CO INVESTMENT ADVISORS INC /CA/ 80112008 LINCORP RESEARCH INC 80140803 LINDBERG DONALD JOHN /TX/ 80145545 LINDSAY SANDBAK GROUP INC 80132346 LINDSAY WILLIAM DAVID 80127489 LINDSEY DAVID ERLE 80142367 LINHART ROBERT WALTER /NY/ 80120214 LINK FINANCIAL CORP 80131560 LINVILLE PAUL EUGENE 80135010 LINZMEIER OONAGH MARY 80147197 LITCHFIELD MANAGEMENT CORP 80136871 LITTLE LARRY G /AZ/ 80138592 LITTMAN ROBERT JACOB 80142131 LITWACK JEFFREY MARK /NY/ 80142295 LITZLER LINDA ANN /OH/ 80117365 LIVON SECURITIES INC 80121058 LJL INC 80127690 LJR ENTERPRISES INC 80149176 LOCKE LARRY VAN 80138108 LOCKE RICHARD KEITH 80124744 LOCKHART ANGELO DRAKE 80126600 LOETZ GORDON HENRY 80131242 LOEWI MANAGED ACCOUNT SERVICES INC 80144680 LOFGREN THOMAS EMIL /FL/ 80132666 LOFTON MYRON LIONEL 80154421 LOH JOHN 80145592 LOMENZO MICHAEL 80145062 LONG KYLE JONES /AZ/ 80151474 LONGVIEW INVESTMENT ADVISORS INC 80135224 LOPEZ J & M & ASSOCIATES INC 80154358 LOPEZ SAMUEL JR 80123448 LORD MICHAEL PHILLIP 80142112 LORGB INVESTMENT ADVISORS INC 80128981 LORING CHARLES S 80146367 LOSCH MANAGEMENT CO 80151797 LOSOFF RICHARD FRED 80144214 LOTT GERALD MAYNARD /CA/ 80144320 LOUGHRAN GERALD MORRIS 80148247 LOUISIANA ASSET MANAGEMENT POOL INC 80125443 LOUX DAKOTAH JAKE 80150431 LOVE MICHAEL GEORGE 80148157 LOVERN DAVID GEORGE 80149977 LOVETT RICHARD JAMES SR 80127028 LOWELL INVESTMENT MANAGEMENT CORP 80125382 LOWENTHAL RODGER DANIEL 80132981 LOWN JEFFREY BARRY 80122299 LUBARSKY NEIL ROBERT 80128291 LUCAS DELEON SOLOMON 80143132 LUCIA RAYMOND JOSEPH 80145031 LUCIE FINANCIAL SERVICES INC /GA/ 80141670 LUNA CARLOS MORENO 80146928 LUNN PARTNERS LP 80140169 LURIE JAMES L CERTIFIED FINANCIAL PLANNER LTD /IL/ 80142507 LUSSIER ADELARD JOSEPH /RI/ 80144956 LUTHER MICHAEL LOUIS /CA/ 80136014 LUTZ LARRY ALBERSON 80137129 LYMAN JOHN EDWIN 80151568 LYNCH DAVID ALAN 80137441 LYNCH E F & CO INC 80134214 LYNCH KENNETH NOLAN 80151502 LYNN BOYD & CO INC 80145204 LYNX ASSET MANAGEMENT INC 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JOHN INC /MA/ 80140784 MAGUIRE CHARLES DAVID 80146470 MAGUIRE WILLIAM JAMES /CA/ 80139465 MAHAN JON MARSHALL /MI/ 80145069 MAHAN ROBERT TYDE 80141436 MAHER JAMES RILEY 80125662 MAHOUBI INVESTMENT STRATEGIES LTD 80139886 MAHROK CHARANJIT S 80143210 MAIN STREET FINANCIAL CO 80150311 MAIN STREET FINANCIAL PARTNERS LLC 80147919 MAINLAND BRADLEY TIMOTHY 80148052 MAINSTREET CAPITAL MANAGEMENT INC 80148322 MALEKI ALEXANDER SCOTT 80133986 MALKASIAN HENRY ARAM JR 80124403 MALLAS GUSTAV JOHN 80119079 MALLEY EDWARD FRANCIS 80115000 MALLINSON CONSULTANTS INC 80126164 MALOOF RAYMOND EDWARD 80139012 MANAGED ASSET PROGRAMS INC /CO/ 80125923 MANAGEMENT BUSINESS AMERICA CO 80123609 MANDELL INSTITUTE INC 80138716 MANETTA JOHN RAYMOND

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80145915 MANHATTAN CAPITAL PARTNERS INC /NY/ 80139965 MANKAU HAROLD LEWIS 80143872 MANN JOHN DAVIDSON /TX/ 80142627 MANNING INSURANCE AGENCY INC 80142947 MANNING RICHARD JOHN /PA/ 80153243 MANSION HOUSE USA LLC 80122073 MARAM HARRY LEON 80128711 MARANT MICHAEL DAVID 80130178 MARANTETTE & CO 80146690 MARATHON FINANCIAL GROUP INC 80116168 MARCH DARRYL VICTOR 80132468 MARCUSSE JANET MAVIS 80120952 MARCY JOSEPH FREDERICK 80122485 MARDER BRIAN IRWIN 80141759 MARDER IRVING /NH/ 80127408 MARGAVIO MARK GERARD 80141574 MARICK CAPITAL MANAGEMENT INC /FL/ 80138322 MARIOTTI MARK CARL 80149938 MARIUS ERHARD VICTOR 80143427 MARKAS FINANCIAL SERVICES INC /NJ/ 80132641 MARKET MODEL CORP 80124966 MARKET RESEARCH & MANAGEMENT CORP 80112185 MARKET STUDIES REPORT 80114322 MARKET TIMING & RESEARCH INC 80128934 MARKETS ADVISORY INC 80154678 MARKETS ADVISORY INC /AZ 80137375 MARKEY MICHAEL LYNN 80135296 MARKOFF JOHN GREGORY 80136826 MARKOSKY THOMAS WILLIAM 80140144 MARKWELL INC 80144755 MARKWITH GERALD RALPH JR 80109943 MARQUETTE CAPITAL MANAGEMENT CORP /MN/ 80124813 MARSDEN MARGARET LOUISE 80148919 MARSH JAY KENNETH 80133607 MARSHALL & CO SECURITIES INC 80144982 MARSHALL & STERLING FINANCIAL CONSULTANTS INC 80129521 MARSHALL JAMES C PC 80143529 MARSHALL REALTY ADVISORS 80150002 MARTEL ERNEST LAURENT 80139547 MARTIN ANDREW LEE 80147763 MARTIN CHRISTOPHER /TX/ 80132613 MARTIN LINDA REDDEN 80146781 MARTIN MICHAEL LYNN 80131793 MARTIN MICHELE KATHARINE 80154405 MARTIN RALPH EDWARD 80128911 MARTIN RICHARD JAMES 80150001 MARTIN STEVEN EDWARD 80123725 MARTINDALE WIGHT JR 80144509 MARTINEZ JOHN LUIS 80137467 MARTINEZ LEONARD FRANCIS JR 80123317 MARTINEZ STANLEY FRANK 80121094 MARYLAND FINANCIAL GROUP INC 80133783 MAS CONSULTANT SERVICES INC /NY/ 80123473 MASSEY & CO INVESTMENT ADVISORS 80149161 MASSINGILL JAMES HORACE III 80138939 MASTER FINANCIAL CONSULTANTS INC 80136853 MASTER PLANNING SYSTEMS INC 80113090 MASTRANGELI ALFRED JAMES 80119101 MATHES DOUGLAS A FINANCIAL CORP 80129201 MATHIS WEST HUFFINES & CO 80143887 MATOFF RICHARD IRVING /CA/ 80132256 MATRAC GROUP INC 80118391 MATRIX FINANCIAL CONSULTING INC 80134236 MATRIX GROUP INC 80146352 MATRIX INVESTMENT ADVISORS INC 80123266 MATRIX PLANNING GROUP INC 80137573 MATTHEW A G & CO /CA/ 80143911 MATTHEWS HARLAN STUART /NY/ 80115775 MATTHEWS LEONARD 80113444 MATYLEWICH THADDEUS DANIEL 80145457 MAY DAVIS GROUP INC 80136282 MAYER GERALDINE THERESA 80140682 MAYES GREG C FINANCIAL GROUP 80138094 MAYES TRENDS INC 80147701 MAZZETTI INTERNATIONAL INVESTMENTS INC 80132982 MAZZOLA EUGENE CORNELIOUS 80150412 MBA FINANCIAL SERVICES INC /IL 80146418 MBS INVESTMENT RESEARCH /GA/ 80131428 MCALLISTER COOK ADVISORS INC 80147607 MCC SECURITIES INC 80150924 MCCAFFERY PINDJAK & ASSOCIATES INC 80143021 MCCALL & ALMY INVESTMENT ADVISORS INC /MA/ 80124605 MCCARTHY JOHN FRANCIS 80124755 MCCARTHY STEPHEN A 80112492 MCCARTHY WILSON 80146845 MCCAULEY DOUGLAS JOHN 80139340 MCCAULEY JOHN JOSEPH 80132657 MCCOLLUM TIM GORDON 80137791 MCCONICO DAVID & CO 80129442 MCCORD RICHARD DAVID JR 80138509 MCCORMICK LAURIE BECKWITH /CA/ 80120431 MCCOURT PATRICK JOSEPH 80134879 MCCRACKEN FLOYD A SECURITIES INC 80145553 MCCRACKEN MARSHA JO DASENBROCK 80135103 MCCRARY CAPITAL MANAGEMENT INC 80122427 MCCUISTION & CO 80112753 MCCUNE CHARLES ALEXANDER 80127534 MCCUTCHEN THURSTON BEN 80137617 MCDANIEL CORP /SC/ 80132228 MCDANIEL DAVID LEE 80147667 MCDEVITT CHRIS COLIN 80128484 MCDONALD DEWEY WANDELL 80152226 MCDONALD TIMOTHY JAMES 80129366 MCDONOUGH JOSEPH RICHARD JR 80136161 MCDOWELL FINANCIAL ADVICE INC 80127550 MCELROY FELIX PAUL JR 80148770 MCELVEEN WILLIAM EDWARD 80145488 MCEVOY CONSULTING PC /IL/ 80134233 MCGEE FINANCIAL GROUP INC 80142656 MCGINNIS SEAN WILLIAM 80148348 MCGOVERN LAWRENCE EDWARD 80154602 MCGUIGAN KEVIN FRANK 80130844 MCGUIRE DEBRA GLOVER 80130843 MCGUIRE JAMES HARRISON 80130115 MCINTIRE FRANCIS EDWARD JR 80141897 MCINTOSH JOHN NICHOLAS /CA/ 80122765 MCKAY JAMES BRUCE DOUGLAS 80140905 MCKEE W B SECURITIES INC /AZ/ 80134315 MCKEEVER SECURITIES INC 80140715 MCKENZIE GLOBAL INC /IL/ 80132841 MCKENZIE OBIE LEE 80131693 MCKINLEY BELCHER /DC/ 80132391 MCKINNIE RAYMOND MICHAEL 80122491 MCLAIN LOVINS & CO PC 80119433 MCLAREN ROY BURTON STEPHEN 80135706 MCMANN JOHN HATHAWAY STUART 80152370 MCMASTER MARK ALAN 80125641 MCNAIRY & CO INC 80142580 MCNEELEGE MATTHEW KENNETH /CA/ 80141932 MCNEIL EDMUND COLWELL 80139023 MCNEILL DON SCOTT 80133411 MCNEISH DAVID DIXON 80137930 MCPHILLIPS THOMAS PATRICK /OH/ 80148011 MCRENA THOMAS ANTHONY 80113510 MD MANAGEMENT ASSOCIATES INC 80130846 MDE ASSOCIATES INC 80120390 MDS INVESTMENTS ADV 80150590 MEAGHER BRIAN JAMES 80143139 MEAS INTERNATIONAL LTD /NY/ 80144009 MEC FINANCIAL GROUP INC /CA/ 80153146 MECHIGIAN KATHRYN KAY 80123712 MECKFESSEL JOY COTTLE 80146165 MEDCOR 80137483 MEES & HOPE FUNDMANAGEMENT BV 80123549 MEGARIAN INC 80149685 MEHL PHILIP EDWARD 80143334 MEIER RONALD EDWARD CFP 80139821 MEISTER LLOYD DUANE 80127447 MELF VINCENT LEONARD 80125265 MELLO CURTIS JOSEPH /MA/ 80140248 MENA CAPITAL MANAGEMENT CORP 80148163 MENDOLIA PETER RICHARD 80130131 MENES MELVIN 80137569 MENTAS HARRY JOHN /MA/ 80145346 MERAMEC INVESTMENT ADVISORS INC 80140596 MERCHANT GROUP /MO/ 80133889 MERCURY TRADING INC 80140343 MEREL VINCENT GEORGE /NJ/ 80129324 MERGER & ACQUISITION SCIENCES CORP 80146868 MERIDIAN ASSET MANAGEMENT INC /FL/ 80121982 MERIDIAN FINANCIAL SERVICES INC 80142989 MERJAN MONEY MANAGEMENT INC 80129251 MERLIN ASSET MANAGEMENT ASSOCIATION 80146009 MERRILL LYNCH PORTFOLIO SERVICES INC

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80136966 MERRITHEW LESLIE ROBERT /CA/ 80147363 MERRITT & CO INC /FL/ 80150627 MERRITT LESLIE SCOTT 80147815 MERRITT THOMAS HAINES 80148549 MESE JOHN CARL 80113258 MESENBURG J R & ASSOCIATES 80123021 MESENBURG J R ASSOCIATES 80135913 MESIROW CAPITAL INC 80128937 MESSAM LEROY ANTHONY 80128968 MESSAM RUBY PATRICIA 80153659 META CO INC 80143594 METIS CAPITAL MANAGEMENT INC 80130848 METRO EQUITIES CORP /IL/ 80137981 METROPOLITAN CAPITAL ADVISORS 80153613 METROPOLITAN FINANCIAL CLUB INC 80128158 METROWEST FINANCIAL GROUP INC 80127573 METZGER JEFFREY ROBERT 80141319 MEYER JAMES RODNEY /CA/ 80143131 MEYEROWITZ MARK 80150470 MEYERS GEORGE WENDEL 80150471 MEYERS GREGORY W 80150146 MEYERS PATRICK JOHN 80105397 MEYERSON & CO INC 80123001 MFG CONSULTING INC OF NJ 80138638 MFP FINANCIAL SERVICES AGENCY INC 80126525 MICHELS & DUFFY FINANCIAL PLANNERS /CA/ 80126213 MICHELS JOHN LOUIS 80125613 MICHELS ROGER LEON 80131231 MICHIGAN FINANCIAL PLANNERS INC 80146374 MID AMERICA CAPITAL ADVISORY INC /MI/ 80133123 MID ATLANTIC FINANCIAL MANAGEMENT CORP 80139600 MID ATLANTIC FINANCIAL MANAGEMENT CORP /VA/ 80125292 MID IOWA FINANCIAL SERVICES 80148772 MIDATLANTIC INVESTMENT ADVISORS INC 80135687 MIDDLETON R J & CO 80139882 MIDWEST MORTGAGE ADVISORS INC 80147931 MIELNICKI AMY LOUISE 80141960 MIHATA KENNETH KIYOSHI 80135204 MILES MANAGEMENT INC 80149281 MILLAR JAMES RANDOLPH JR 80143047 MILLENNIUM GROUP OF ILLINOIS INC /IL/ 80107311 MILLER ARTHUR & CO 80110562 MILLER DAVISON & CO INC 80144347 MILLER ENSIGN GIBSON & CO 80123730 MILLER FINANCIAL CORP 80138396 MILLER GARY STEPHEN 80140766 MILLER GROUP 80113185 MILLER LEONARD HANMER 80120593 MILLER LESLIE NOEL 80116230 MILLER MARION KERR 80113845 MILLER NATHAN 80149533 MILLER RICHARD//NY 80145752 MILLER WYNN CASWELL 80138479 MILLIAN ROBERT PAUL 80146601 MILLIGAN MICHAEL GEORGE /CA/ 80136448 MILLS MEADOW MANAGEMENT INC 80128882 MILLS ROBERT WADE 80146529 MILNE INVESTMENT SERVICES INC /FL/ 80130132 MINARD CHRISTOPHER MILTON 80149699 MINORITY FUNDCORP INC 80127031 MINUTEMAN FINANCIAL SERVICES INC 80115209 MINUTEMAN PUBLISHING CO 80146080 MINX KATHRYN ANN /IN/ 80115026 MIRCHANDANI LAL NARAINDAS 80134787 MIRRAS DONALD ROBERT 80145808 MISCHILER LIBERTY INC /CA/ 80136584 MISSION CAPITAL INC 80153000 MISSION FUNDING GROUP INC 80153623 MISSION SHORES FINANCIAL MANAGEMENT LLC 80146355 MITCHELL RICHARD EDWARD 80144887 MITSI CORP 80151004 MIYASHIRO JED NORIO 80151572 MIYOSHI & KITAMURA INC 80116007 MIZRACHI JOSEPH 80148280 MIZRAHI JOSEPH 80143087 MIZUNO NORIHIRO 80131698 MJB ASSOCIATES INC 80143481 MJC INVESTMENTS LTD 80147529 MJM PLANNING SERVICES INC /NY/ 80138867 MJS ASSOCIATES INC /NY/ 80128855 MKA FINANCIAL DESIGNS INC 80128822 MLADJENOVIC PAUL JOSEPH 80130095 MLM WORLDWIDE SECURITIES INC 80120411 MNC MORTGAGE & REALTY ADVISORS INC ADV 80137920 MO L ASSOCIATES INC 80129370 MOFIELD OWEN DEAN 80136741 MOIDEL JACOB SOLOMON 80150890 MOIR JAMES ANDERSON 80151997 MOIR JOHN STIRLING 80141614 MOLAMPHY PATRICK DECLAN 80148684 MOLDOVAN GEORGE JOHN 80123140 MOLINARI DONALD EUGENE 80146672 MOLINARI JAMES THOMAS /AZ/ 80143908 MOLITZ DAVID SAMUEL /CA/ 80143353 MOLNAR ANTHONY ALLAN 80144421 MOLOTSKY LEE STUART 80138212 MONAGHAN MICHAEL JAMES 80142440 MONCRIEF DAVID GUY 80120550 MONETA PLANNING CORP ADV 80146495 MONEY CONCEPTS INC /FL/ 80123893 MONEY FARMING INC 80126548 MONEY GROUP INC 80141934 MONEY MAGAZINE SERVICES INC 80130117 MONEY MANAGEMENT & ANALYTICAL RESEARCH INC 80122842 MONEY MANAGEMENT ADVISORS INC 80142144 MONEY MANAGEMENT INSTITUTE INC /NJ/ 80125370 MONEY MANAGER INC 80129094 MONEY MANAGER REVIEW 80116530 MONEY MARKET ADVISORS CORP 80149575 MONEY MONITORS INC 80133731 MONGERSON & CO SECURITIES CORP 80145294 MONITOR INVESTMENT GROUP INC /PA/ 80149501 MONTANARY WILLIAM BRUCE 80124136 MONTEREY BAY INVESTMENT CORP 80131859 MONTOYA GONZALO 80142508 MONUMENT CAPITAL MANAGEMENT INC /WY/ 80129623 MOONEY JOAN MAXFIELD 80134745 MOONEY WILLIAM STEVEN 80106938 MOORE & SCHLEY CAMERON & CO 80140058 MOORE ALEX JAMES 80134957 MOORE DAVID PAUL 80146295 MOORE FINANCIAL GROUP INC 80149098 MOORE KATHERINE ANN 80126480 MOORE ROBERT ALONZO 80153553 MOORE ROBERT DONNIE 80132425 MOORE ROBERT LEE 80150519 MOORE SHEILA JANE 80144245 MORA JOHN PAUL 80148476 MORAN KEVIN VINCENT 80132339 MORAN MARY KATHERINE DEAN 80133708 MORAN VIRGINIA FLYNN 80139217 MORAND JEFFREY PETER /CO/ 80134428 MORBANC FINANCIAL CORP 80119515 MORGAN CAPITAL MANAGEMENT INC /WA/ 80125723 MORGAN GENE FINANCIAL 80137716 MORGAN HENRY OTIS 80135632 MORGAN WILLIAM BRYAN 80144276 MORGAN WILLIAM FRANK /OH/ 80137855 MORGAN WILLIAM PAUL JR 80147339 MORGENWECK WILLIAM FRANK 80131735 MORIARTY DANIEL P & ASSOCIATES INC 80114845 MORIN VOLNEY F INC 80134813 MORRE JOHN JOSEPH /CA/ 80145119 MORRIS ALAN MILLER /UT/ 80141911 MORRIS ANDERSON INVESTMENT ADVISORS INC /IL/ 80116495 MORRIS INVESTMENT COUNSEL INC 80133042 MORRIS LYNN EARL 80137521 MORRISON MARC M 80151266 MORROW MARK DARREN 80143352 MORT STEVEN LINWOOD 80130140 MORTENSON MALENE PATRICIA 80148316 MORTGAGE CAPITAL ADVISORS INC 80137538 MORTGAGE INDUSTRY ADVISORY CORP/NY 80144969 MORTON RUPERT JAMES PHILIP /FL/ 80149404 MOSCHIANO FRANK LOUIS 80139117 MOSES DANIEL PAUL 80127985 MOSES NORRIS & TROSTLE FINANCIAL PLANNING INC 80142032 MOSS CHRISTOPHER RICHARD /TX/ 80117869 MOSS JOSEPH H INC 80112092 MOSS JOSEPH HENRY 80152237 MOSSE GEORGE EDWARD JR 80152625 MOTE EDWARD 80149888 MOULTON DOUGLAS DRISCOLL 80129649 MOY GEORGE 80151581 MOYERMAN DAVID ROBERT 80148411 MPS CAPITAL MANAGEMENT 80143824 MRK CAPITAL MANAGEMENT INC /NY/ 80141876 MSS ASSET MANAGEMENT INC /NY/ 80147522 MSW INTERNATIONAL INC 80131972 MTH ASSET MANAGEMENT 80142029 MTL INTERNATIONAL FINANCE INC 80130264 MUDD RICHARD PEERS 80130792 MUELLER HELEN GLADYS CFP

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80131528 MUENCH WILLIAM RANDALL 80136608 MUFFOLETTO MICHAEL D 80126671 MUHAMMAD INVESTMENTS 80128930 MULHALL THOMAS PATRICK 80116767 MULLIGAN MARTHA JANE 80146911 MULLIGAN ROBERT JAMES JR 80141664 MULLINS DAVID JERRY /DC/ 80148983 MULTIPLEX FINANCIAL GROUP INC 80141002 MUNDO DOMINIC PETER /NY/ 80136112 MUNI CALL INC 80153192 MUNICIPAL BOND ASSET MANAGEMENT INC 80119448 MUNK FREDERICK LOUIS JR 80122519 MUNOZ MANUEL ANTHONY 80139779 MUNROE ROBERT GEORGE /AZ/ 80142795 MURCHISON INVESTMENT ADVISORS INC /TX/ 80135912 MURCHISON PATTI JEAN 80149933 MURDOCK STUART LAIRD 80125029 MURPHY & CO PC /VA/ 80145117 MURPHY DANIEL ROBERT /IL/ 80132239 MURPHY DANIEL THOMAS 80144078 MURPHY DEAN THOMAS /AZ/ 80129437 MURPHY JAMES RICHARD 80146457 MURPHY PAUL THEODORE /CA/ 80145333 MURPHY WALTER WILLIAM /NY/ 80126902 MURRAY MARY HOWARD 80119094 MUSUMECI ANDREW ANTHONY 80136546 MUTEFF GEORGE MLADEN 80151002 MUTUAL FUND MANAGEMENT CO INC 80124430 MUTUAL FUND PATHFINDER INC 80114437 MUTUAL MANAGEMENT CORP 80134533 MVL FINANCIAL CORP 80142582 MYERS GERALD EUGENE /OR/ 80135251 MYERS JAMES MILTON 80135357 MYGRANT STEVEN J 80134040 MYLES MYRTIS YVONNE 80144277 MYRIN FOLKE ALARIK WILHELM II /RI/ 80141580 N & B CONSULTING INC 80129300 N A L ENTERPRISES CORP 80130625 NADEL WARREN D & CO 80141231 NAGLE INVESTMENT ADVISORS LTD 80147253 NAGLER WILLIAM MERLE 80147301 NALABOLU MALATHI REDDY 80132818 NALLEY GARY AND ASSOCIATES INC 80121713 NAMENSON RICHARD GARY 80133104 NANCE VICTOR GILES 80138934 NANCE WAYNE ELTON 80137642 NASCO CONSULTANTS LTD /NY/ 80141126 NASH MCKINLEY MERCHAND /CA/ 80145690 NATAPOFF MILTON /CA/ 80145948 NATIONAL CAPITAL MANAGEMENT CORP /TAIWAN/ 80147170 NATIONAL CITY INVESTMENTS CORP /OH/ 80120202 NATIONAL COMPUTER NETWORK CORP 80137554 NATIONAL FINANCIAL CO /CA/ 80143039 NATIONAL FINANCIAL GROUP INC /CA/ 80132098 NATIONAL FINANCIAL PLANNING INC /IL/ 80139641 NATIONSBANK PANMURE INVESTMENT MANAGEMENT LTD /ENGLAND/ 80150328 NATIONWIDE FINANCIAL ADVISORS GROUP INC 80134414 NATL BANK OF SUSSEX COUNTY INVESTMENT ADV SERVICES INC 80116298 NATWEST INVESTMENT MANAGEMENT LTD 80142864 NEAG FINANCIAL PLANNERS INC 80149956 NEFSCO 80134700 NEIDER FINANCIAL CONSULTANTS INC 80147722 NEIGHBORHOOD BANCORP /CA/ 80129476 NELKIN CAPITAL MANAGEMENT INC 80153901 NELLANS GALE DEVON 80147362 NELLIGAN STEVEN THOMAS 80143283 NELSON CHARLES ROBERT /CA/ 80127140 NELSON DALE WILLIAM 80141764 NELSON WILLIAM RICHARD /TX/ 80139044 NEMCHIK JOSEPH T & CO AGENCY INC 80145357 NEO STRATEGIES MARKETING ALLIANCES INC /TX/ 80140184 NET LEASE PARTNERS REALTY ADVISORS INC 80152526 NETGAIN ASSET MANAGEMENT INC 80154290 NETHERLAND SECURITIES INC 80146795 NETWORTH INC /MO/ 80126865 NEUBACHER JUDITH BARBARA 80140595 NEUMANN RANDOLPH ROBERT 80114328 NEW & ERA INVESTMENT MANAGEMENT CO 80133030 NEW APPRECIATION INC 80141206 NEW LONDON FINANCIAL CONSULTANTS INC /GA/ 80150438 NEW MILLENNIUM ADVISORS 80139203 NEW SOUTH ASSET MANAGEMENT INC 80138566 NEW WORLD ADVISORS INC 80139053 NEWBURY MARKET SOLUTIONS INC /MA/ 80129865 NEWCASTLE SECURITIES INC 80152493 NEWKIRK CRAIG WINFIELD 80143209 NEWMAN ROBERT MARSHALL 80118814 NEWMARK CONSULTANTS INC 80119236 NEWMARKET FINANCIAL SERVICES INC 80145751 NEWPORTFOLIOS LTD /CA/ 80153100 NEWSOM CINDY R 80132208 NEYREY RENE JEROME 80145823 NGO PIERRE NGOC /CA/ 80141489 NGUYEN NGHIA XUAN /CA/ 80154392 NIAGARA INVESTMENTS INC 80151861 NICHI CAPITAL LTD 80154681 NICHOLAS APPLEGATE CAPITAL MANAGEMENT HONG KONG LLC 80121072 NICHOLS INVESTMENT ADVISORY FIRM INC 80134742 NIEKAMP ANDREW JOSEPH III 80127009 NIELSEN DAVID R 80138689 NIEMAN WILLIAM ALBERT 80141659 NIERMAN KENNETH ALLEN 80132738 NILES JUDITH ELLEN 80138810 NIMS TERRY MICHAEL 80122877 NINE J CORP 80143914 NISSI DANIEL CORNELIUS /MA/ 80143557 NISSI JIREH & ROPHE 80131151 NIVETTE JAMES DEWAYNE 80148410 NIWOT CAPITAL GROUP LTD 80148010 NLV FINANCIAL GROUP INC 80140741 NNAJI GODSWILL IFEANYI /NY/ 80120471 NO LOAD TIMING SERVICE INC 80154646 NOFELT ULF WOLLMAR 80128501 NOHOWEL STEPHEN REHM 80120712 NOLLER CARL WILLIAM III 80136767 NOMURA RESEARCH INSTITUTE AMERICA INC /NY/ 80111603 NOMURA RESEARCH INSTITUTE LTD 80141561 NORCROSS FINANCIAL ADVISORS CORP 80129003 NORMAN & NORMAN INC 80133553 NORMAN GROUP LTD 80117658 NORMAN M E & CO INC 80121098 NORRIS CURTIS PAUL 80115942 NORRIS T R CO 80147070 NORTH AMERICAN MARKETING CO 80137444 NORTH AMERICAN REALTY ADVISORY SERVICES LP 80126216 NORTH HILL PLANNERS INC 80144908 NORTH SHORE FINANCIAL SERVICES INC 80154243 NORTHBRIDGE REALTY ADVISORS INC 80146910 NORTHEAST CAPITAL MANAGEMENT INC 80147646 NORTHSTAR INVESTMENT 80132854 NORTHWEST CAPITAL MANAGEMENT INC 80146535 NORTHWEST INVESTMENT ADVISORS INC /WA/ 80144900 NORTHWEST RETIREMENT PLANNING INC 80131136 NORTON RALPH G III 80146456 NORTON THOMAS ASSOCIATES INC /NY/ 80144356 NOVA FINANCIAL CORP 80146210 NOVAK TODD JAMES /AK/ 80129990 NOVAK TONY 80120095 NOVEMBER SIDNEY MILES 80123069 NOVKOV MARK WILLIAM 80146632 NUBIAN ASSET MANAGEMENT INC /NY/ 80143952 NUBIAN CAPITAL MANAGEMENT INC /FL/ 80147125 NUNEZ & HARRIMAN 80124003 NUPORT ASSOCIATES 80110833 NUSBAUM HARVEY MALCOLM 80145490 NYER LEONARD B /NY/ 80149574 NYLUND GERALD K 80137190 OAK HARBOR FINANCIAL 80150781 OAKHURST GROUP INC 80121643 OAKLEY JAMES EDWARD 80143235 OAKPARK INVESTMENT ADVISERS INC 80129556 OAKTREE EQUITY GROUP INC 80133929 OAKWOOD ASSET MANAGEMENT INC 80126878 OBERWEIS ASSET MANAGEMENT INC 80113291 OBERWEIS SECURITIES INC /IL/ 80112465 OBRIEN ALLAN ADRIAN 80142088 OBRIEN FINANCIAL SERVICES CO /MI/ 80138196 OBRIEN SHAWN THOMAS 80128428 OBRIEN THOMAS BOLTON 80133867 OBRIEN WILLIAM H 80145234 OCEAN STATE ADVISORY GROUP INC /RI/

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80139628 OCONNELL MICHAEL THOMAS /MA/ 80131524 OCONNOR FINANCIAL PLANNING INC 80113093 ODAY STANLEY RICHARD 80149838 ODELL PATRICK ALLEN 80144162 ODERBERG NATE /CO/ 80134680 OEMIG FRANK HERBERT 80150361 OFFENBERG SHAR 80136286 OGDEN DANIEL ALBERT 80139215 OGNIBENE MICHAEL ANTHONY /NY/ 80147965 OHAIRE RICHARD JOSEPH 80113770 OHIGGINS ASSET MANAGEMENT INC 80124985 OHIO FINANCIAL GROUP /OH/ 80140810 OHMAN JERALD EARLAND 80132314 OIS INC 80145664 OKSER LEWIS MICHAEL 80150489 OKUN ATH ART KINGSLEY 80141325 OLD DOMINION ASSET MANAGEMENT LP /VA/ 80146763 OLDS DENNIS LEREY 80142976 OLEJKO LINDA MARIE 80127257 OLIN RON INVESTMENT MANAGEMENT CO 80145525 OLIVER DANNY EDWIN 80143554 OLLROGGE JOHN PAUL 80135252 OLSEN JAMES LAWRENCE 80136660 OLYMPIA ASSET MANAGEMENT INC 80131439 OMALLEY JOHN CHARLES 80146468 OMANS ARTHUR LEROY /FL/ 80151475 OMEGA FINANCIAL SERVICES INC/CT 80137728 OMNI INVESTMENT ADVISORS INC 80139443 OMNI MANAGEMENT CORP /MA/ 80130473 ONE FINANCIAL GROUP INC 80135306 OPELLE WILLIAM ROBERT 80132175 OPR INVESTMENT & SERVICE CORP 80152975 OPSAHL THOMAS RONALD 80147046 OPTIMAL INVESTMENT STRATEGIES INC 80146438 OPTION ADVISERS INC /OH/ 80133177 OPTIONS MANAGEMENT GROUP INC 80145034 ORACLE CAPITAL MANAGEMENT INC 80151624 ORANGE CAPITAL MANAGEMENT CORP 80120067 ORCHARDS ACCOUNTING & TAX SERVICES INC ADV 80102730 ORNEST IRVING 80137488 ORO FINANCIAL INC /LA 80151362 OROURKE BERNARD FRANCIS 80146918 ORR BRUCE NEAL 80147368 ORR CLIFFORD DUAYNE 80136814 OSBORN FREDERICK HENRY III /NY/ 80133647 OSTER DAVID WAYNE 80141936 OSTERLUND KARL AUGUST /MA 80127908 OTTO JUDITH M /AZ/ 80134471 OVERSTREET ROBERT LEWIS 80130332 OXFORD REALTY ADVISORS CORP 80147071 PA REALTY ADVISORS INC 80154549 PACE DAVID ALAN 80128868 PACIFIC ASSET ADVISORS INC /CA/ 80133155 PACIFIC EQUITY GROWTH & MANAGEMENT INC 80137186 PACIFIC INSTITUTIONAL ADVISORS INC /OR/ 80146071 PACIFIC NORTHWEST PROFESSIONAL CONSULTANTS INC /WA/ 80137698 PACIFIC SOUTHWEST PLANNING GROUP /CA/ 80149593 PACIFIC SUN FINANCIAL CORP 80153071 PADDEN & CO LLC 80151060 PAINTER WILLIAM JACOB /MD 80135806 PALFFY KAI 80137775 PALM BEACH CAPITAL CORP 80148635 PALUMBI ROBERT FRANCIS 80126575 PAN AMERICAN INVESTMENT ADVISORS INC 80117205 PANAMINT STAR SURVEY 80134845 PARADIGM ASSET MANAGEMENT CO 80152647 PARADIGM CAPITAL ADVISORS INC 80138478 PARAGON ADVISORY SERVICES CORP 80138899 PARIKH PRAGNESH 80149781 PARIS DOUGLAS EUGENE 80146204 PARK AVENUE FINANCIAL INC /MI/ 80138300 PARK CAPITAL INC 80119171 PARKER LEE MERKEL 80150613 PARKER MICHAEL JOHN 80136694 PARKER WILLIAM NORMAN 80142176 PARKHURST STANLEY GORDON /CA/ 80118936 PARKMAN SHAW & CO INC 80140988 PARKS TUTTLE FINANCIAL SERVICES INC /NH/ 80128193 PARRAMORE JOHN ANDREW HARTSFIELD 80129478 PARRISH ROBERT CLIFFORD 80154203 PARSONS DAVID WILLIAM 80117815 PARSONS WILLIAM RAYMOND 80137509 PART JOSEPH ANDREW /NC/ 80138350 PARTNERS ADVISORY SERVICES INC 80133191 PARTNERSHIP PROFILES INC 80152168 PASCHAL JOHN PERRY 80136554 PASCHKE GERALD CARL JR 80145853 PASIONEK ROBERT ANTHONY /MI/ 80139092 PATE SHARON LEE 80129342 PATEL RAMESH N 80147969 PATRICK CAPITAL MANAGEMENT /IL/ 80143907 PATTERSON CHARLES WALTER 80127497 PATTERSON JERRY LEE 80142798 PATTERSON ROGER BRUCE /CA/ 80144432 PATTON GEORGE RAY JR 80134082 PATTY RON J 80129532 PAYNE DAVID JR /IL/ 80138809 PAYNE GEORGE ABIJAH JR 80144757 PAYNE MORRIS & ASSOCIATES INC 80128246 PAZ SECURITIES INC 80139905 PCM ASSOCIATES LTD 80133129 PDP INC /IL/ 80136688 PEALE DAVIES & CO INC 80117845 PEARL & ASSOCIATES ADVISORY CORP /MI/ 80141342 PEARLMAN FINANCIAL GROUP INC /NJ/ 80129216 PEARSON CATHERINE GAIL 80127656 PEARSON MICHAEL NOVEL 80144345 PEAVY FINANCIAL SERVICES INC 80144085 PECK THEODORE GORDON /NY/ 80137933 PEGASUS PARTNERS INC 80152993 PEISNER ROBERT N 80143487 PELED ANAT /NY/ 80143657 PELOSI MICHAEL JOSEPH /HI/ 80127112 PENDLEY DON WILLIAM 80117342 PENN CAPITAL ADVISORY INC /PA/ 80145286 PENN CENTER INVESTMENTS INC /PA/ 80135555 PENNISI CONCETTO JERRY 80141783 PENOBSCOT GROUP INC 80112226 PENRYN 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80134581 PETERSON ALBERT F III 80114442 PETERSON DANIEL EDWIN 80112529 PETERSON DAVID ERIC 80126751 PETERSON DONALD MARVIN 80125875 PETERSON LAVERLE CARL 80138738 PETERSON SPENCER FANSLER CO /MN/ 80149497 PETRILLO EUGENE N LP 80144819 PETROFF JOHN HENRY 80113965 PETROLEUM ANALYSIS LTD 80135864 PETRONE ELAINE 80145210 PETRONE PETRI & CO 80154009 PETRUS INC 80144906 PETTITT GARY JAY 80144878 PETTY WILLIAM WALLACE 80124015 PFA CONSULTING INC 80142533 PFAMCO INVESTMENT MANAGEMENT SERVICES CORP /CA/ 80135041 PFOHL PAUL J JR 80117190 PFS INSURANCE SERVICES INC 80113390 PHELPS GEORGE E CO 80135071 PHILBIN JAMES PATRICK 80146576 PHILIP J FUND MANAGEMENT INC /CA/ 80105528 PHILIPS APPEL & WALDEN INC /NY/ 80152704 PHILLIPS & CO INC /MN/ 80129074 PHILLIPS JEFFREY JOSEPH 80137839 PHOENIX MANAGEMENT SERVICES INC 80128645 PHYSICONOMICS INC 80137184 PIAGGESI KATHLEEN /NY/ 80145213 PIANOWSKI JOHN THOMAS 80120993 PICKERING WILLIAM ANDREW 80150571 PICTET OVERSEAS INC 80119317 PIEDMONT REALTY ADVISORS INC 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80133071 PROGRESSIVE VENTURES INC 80137851 PROKOP RUTH ELLEN 80123306 PRONK RAYMOND THOMAS 80136227 PROPLAN /NY/ 80143754 PROSTROLLO DANNY RAYNO /SD/ 80147683 PROTRUST CAPITAL INC 80153098 PROVIDENT FINANCIAL SERVICES INC 80140487 PROXY VOTER SERVICES INC /IL/ 80149108 PRUDENT INVESTMENT ADVISERS INC 80149212 PRUDENT INVESTMENT ADVISERS INC /CO 80110342 PRUDENTIAL MORTGAGE BANKERS & INVESTMENT CORP 80150873 PUBLIC & PENSION FUNDS INVESTMENT SERVICES INC 80138493 PUBLIC FUNDS ADVISORS INC 80152808 PUBLIC SECURITIES MANAGEMENT CORP 80146641 PUCCI WILLIAM J /MA/ 80142551 PUGH STEVEN THEODORE /CO/ 80117327 PULS RICHARD JOHN 80135614 PUMA DEL MAR INTERNATIONAL LTD 80125175 PURDY JAMED D 80149277 PURPURA PHILIP 80122455 PUTNAM SUSAN PARKER 80143138 PYFROM JUAN ANDRE /FL/ 80135173 QAMATZ INC 80147442 QPA CORP 80150869 QUALITY GROWTH MANAGEMENT INC 80146682 QUANTECH RESEARCH GROUP INC /CT/ 80149345 QUANTITATIVE SOLUTIONS INC 80129460 QUANTUM CAPITAL MANAGEMENT INC 80136050 QUANTUM FINANCIAL 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80127252 ROBBINS CO 80143527 ROBELEN FJELD & ASSOCIATES INC 80119477 ROBERSON EDWIN EARL 80141681 ROBERT J E CO INC 80130649 ROBERTS DONALD KENT 80142745 ROBERTS FINANCIAL GROUP INC /AL/ 80147365 ROBERTS GLENN LEE 80131553 ROBERTS JAMES MICHAEL /CA/ 80143589 ROBERTS RICHARD JAMES /IL/ 80104319 ROBERTS SCOTT & CO INC 80150899 ROBERTSON MARK ALAN 80128587 ROBERTSON PRESSMAN & MORRIS LTD 80126956 ROBINSON AUDREY SMITH 80136708 ROBINSON COLEMAN ROGERS 80136460 ROBINSON FARMER COX ASSOCIATES 80130629 ROBINSON TIMOTHY RAY 80133394 ROBISON STEPHEN VICTORY/FL/ 80143519 ROCKWELL CAPITAL MANAGEMENT INC 80135267 RODD CLIFFORD ARTEMUS /NY/ 80133040 RODERICK GONZER LEE 80123904 RODGERS ROBERT D & CO INC

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80117963 RODMAN ADVISORY SERVICES INC 80152253 RODRIGUEZ RICARDO MICHAEL 80142405 ROE FINANCIAL PLANNING & INVESTMENT ADVISORY INC 80110205 ROE MARTIN & NEIMAN INC 80133834 ROEDEL FINANCIAL CORPORATION /MN/ 80140279 ROGERS DAVID LEE 80137123 ROGERS GEORGE ALFRED 80136561 ROGERS HAROLD JAMES 80136524 ROGERS JAMES JOSEPH 80148881 ROGERS REPORT INC 80118645 ROHAN EDWARD PATRICK 80148856 ROLFES RICHARD JOHN 80143174 ROMEO ROSS VICTOR 80148167 RONAN PAUL JAMES 80145816 RONE NINA REINHARZ 80117991 ROOF BRODNAX ASSOCIATES INC 80135260 ROONEY FINANCIAL PLANNING INC /NJ/ 80154555 ROSA JACK KEITH 80136470 ROSE JEFFREY MALCOLM & COHEN JERRY 80129385 ROSELLI JOHN ANTHONY 80124898 ROSEN LOUIS AARON 80132933 ROSENBERG ARTHUR/PA 80144770 ROSENBERG DANIEL JOSEPH 80139291 ROSENBLATT MICHAEL ALAN 80111538 ROSENBLUM JESSE 80141012 ROSENDAHL STEVEN FREMONT /CA/ 80146135 ROSENFELD DAVE /NY/ 80118588 ROSENSTIEL ROBERT LEON 80144287 ROSENWALD ROGER WILLIAM 80133464 ROSKE MILDRED ELLEN 80151067 ROSKOPH DAVID 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80125042 SCHWARTZ STEVEN F 80119438 SCHWARTZBACH SAUL MARVIN 80110121 SCHWARZ ROBERT INC 80145096 SCHWEITZER SAMUEL /NJ/ 80139269 SCHWESER GILBERT CARL /IA/ 80130453 SCOFIN INTERNATIONAL INC 80148152 SCOTT BRIAN P 80149450 SCOTT MARK ALLISON 80136770 SCOTT MICHAEL DAVID 80153629 SCOTT NANCY JEAN 80145881 SCOTT RICHARD OLSON /CA/ 80141535 SCOTT ROBERT SECURITIES INC /CA/ 80153862 SCOTT ROY ROBERT 80124319 SCOTT RUPERT INC 80130870 SCOTTISH LIFE ASSET MANAGERS LTD 80126126 SCOTTSDALE FINANCIAL CONSULTING 80122577 SCRANTON VIDEO MARKETING INC 80123361 SCREES WILLIAM RUSSELL 80120350 SCS GROUP INC ADV 80132313 SCULLY BROTHERS & FOSS 80116351 SEA INVESTMENT MANAGEMENT INC 80146716 SEARS THOMPSON RUSSELL ADVISORS INC /FL/ 80133475 SEAUX LEROY 80139199 SEAWAY INVESTMENT MANAGEMENT CO /IL/ 80129927 SECO & ASSOCIATES LTD 80129919 SECURE FINANCIAL MANAGEMENT INC 80146545 SECURITIES & INVESTMENT PLANNING CO INC 80150433 SECURITIES ARBITRATION GROUP INC 80133154 SECURITIES INTERNATIONAL LTD 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80120030 SMITH EDWARD FARRELLY 80150712 SMITH GARY ALLEN 80139391 SMITH GREG A ASSET MANAGEMENT CORP 80149406 SMITH GREGORY WILLIAM 80147435 SMITH JACOBS INVESTMENT MANAGEMENT INC 80105023 SMITH JAMES HEYWARD 80148559 SMITH JEFFREY SCOTT 80143984 SMITH KEITH BRADFORD /NJ/ 80141863 SMITH KEVIN EUGENE /CA/ 80126314 SMITH LEO LESTER 80143322 SMITH LEON FRANCIS /CA/ 80114726 SMITH MILTON 80134007 SMITH MITCHELL & ASSOCIATES INC /WA/ 80143444 SMITH MITCHELL ASSET MANAGEMENT SERVICES GROUP LTD /WA/ 80124164 SMITH PERRY LYLE 80116932 SMITH PETER E 80154650 SMITH PETER E ASSOCIATES 80121857 SMITH ROBERT GABAY 80145310 SMITH ROBIN WEEKS 80130664 SMITH STEVEN ABBA 80153740 SMITH THOMAS WILLIAM 80140844 SMITH TOWNSEND & ASSOCIATES LTD 80141387 SMITH WADE ALAN 80114586 SMITH WARREN LEE 80137049 SMITHERS LISA BUCK 80148929 SMITHLINE CAPITAL ADVISORS INC 80125348 SMOLAR EDWARD N 80132475 SNIDER HELEN KAYE 80154136 SNOW WILLIAM JAMES 80139453 SNOWDEN JAMES HASTINGS III 80124194 SOARES FINANCIAL GROUP 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80133391 STRIBLING ROSS LEE 80133976 STRICKLER ELLEN BRAESTRUP 80145622 STRINGER RANDEL RAY 80123682 STRIVINGS PAUL DANA 80129539 STROMBERG LENNART ERIK 80138085 STRUMINGHER SERGIU STREJA 80136991 STUART DONALD JAMES 80150970 STUCKEMEYER PHILLIP LEE 80124154 STUDENT PLANS INC 80143120 STUMP FINANCIAL GROUP INC /MO/ 80152187 STURIALE JOHN V CFP 80152011 SUCCESSFUL MONEY MANAGEMENT OF GEORGIA INC 80145376 SUCCESSFUL MONEY MANAGEMENT SEMINARS OF UTAH LC /UT/ 80126917 SUGERMAN DAVID HENRY 80145896 SULLIVAN DANIEL OWEN /OH/ 80140250 SULLIVAN FINANCIAL PLANNERS INC 80129033 SULLIVAN HUGH & ASSOCIATES INC 80100707 SULLIVAN J LANGDON 80144974 SULLIVAN JOHN DENNIS /MA/ 80142350 SULLIVAN ROGER /NY/ 80119031 SUMMERFIELD JANET LYNN 80115569 SUMMERS CAPITAL SERVICES INC 80135948 SUMMERS FINANCIAL SERVICES INC 80122239 SUMMIT ANALYTICAL SCIENCES INC 80135234 SUMMIT ASSET ADVISORS INC 80132262 SUMMIT CAPITAL ADVISORS INC /IN/ 80152176 SUMMIT CAPITAL MANAGEMENT LLC 80129920 SUMMIT FINANCIAL ADVISORY INC 80151702 SUMMIT FINANCIAL CONSULTANTS INC 80136105 SUMMIT INTERNATIONAL CORPORATION 80151601 SUMMIT INVESTMENT TECHNOLOGIES LLC 80144174 SUN WEA /NY/ 80137576 SUNBURST FINANCIAL GROUP INC /MS/ 80146626 SUNCOAST FINANCIAL SERVICES OF CLEARWATER INC /FL/ 80147406 SUNDANCE ADVISORS 80151094 SUNPOINT ASSET MANAGERS INC 80134262 SUNRAY SECURITIES INC 80128635 SUNRISE DATA INC 80121273 SUPREME FINANCIAL SERVICES INC 80123212 SUSLOW MANAGEMENT CORP 80134983 SUTTON FINANCIAL SERVICES INC /IL/ 80127655 SWANSON BARRY ERNEST 80130272 SWANSON GAYLON ALFRED 80143593 SWANSON RONALD JAMES /TX/ 80124991 SWANSON SECURITIES INC 80133913 SWB INVESTMENT CENTRE INC 80140949 SWEDA PETER MICHAEL 80123714 SWIDER FINANCIAL COMPANIES INC 80153120 SWIFT FINANCIAL GROUP INC 80144411 SWISS AMERICA PRODUCT SALES INC 80145024 SWISS HELVETIA ASSET MANAGEMENT INC /NY/ 80111304 SWORD WM & CO INC 80135500 SYDNEY CAPITAL MANAGEMENT INC 80126582 SYMPHONY CAPITAL MANAGEMENT INC 80145738 SYNERGY CAPITAL MANAGEMENT INC 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TAUSSIG EDWARD HERMAN 80145765 TAX & FINANCIAL ADVISORS INC /FL/ 80149104 TAX & FINANCIAL MANAGEMENT INC /NJ/ 80138894 TAX & FINANCIAL SOLUTIONS /CA/ 80149927 TAX & FINANCIAL SOLUTIONS /OH/ 80141427 TAX & INVESTMENT CONSULTANTS INC 80147260 TAX & INVESTMENT STRATEGIES INC /MA/ 80146116 TAX BREAKS INC /FL/ 80147303 TAX STRATEGIES & FINANCIAL SOLUTIONS INC 80145656 TAYLOR ALAN R RETIREMENT PLANNING INC 80133645 TAYLOR DIANA RAHE 80124508 TAYLOR FRANKLIN WATKINS III 80123258 TAYLOR GEORGE PRESCOTT 80140854 TAYLOR LARRY INC 80142279 TAYLOR LESLIE BARRETT /CA/ 80148237 TAYLOR PRUITT CAPITAL MANAGEMENT INC 80138153 TAYLOR TIMOTHY ROBERT /OH/ 80146228 TCD FINANCE INC /IL/ 80143226 TCON INVESTMENT MANAGERS INC 80129726 TECHNICAL MANAGEMENT ADVISERS CORP 80127091 TECTUM FINANCIAL SERVICES 80138604 TEDESCHI & ASSOCIATES INC 80125069 TEHACHAPI TAX SERVICE 80146473 TEICHBERG MARKET STRATEGY 80135523 TEITELL CHARLES MARTIN 80135074 TELEKURS NORTH AMERICA INC 80126064 TEMPLIN RICHARD CHALMERS 80133012 TENAGLIA VINCENT 80145655 TERDIK JOHN GEORGE III 80145780 TERRILL THOMAS INC 80135384 TERRY ALVIN FRANCE/FL/ 80126947 TESSITORE AL R 80134441 TEXAS SECURITIES INC 80122067 TFP HAWAII INC 80149733 THL EQUITY ADVISORS III LTD PARTNERSHIP 80135352 THL EQUITY ADVISORS LIMITED PARTNERSHIP 80151891 THOMA JOSEPH OTTO 80126321 THOMAS & THOMAS 80141733 THOMAS BARRY NEAL 80115497 THOMAS DAVID WILLIAM 80134232 THOMAS FINANCIAL SERVICES INC 80132223 THOMAS RON 80148589 THOMAS WILLIAM DAVID JR 80131259 THOMPSON ASSET MANAGEMENT CORP 80126760 THOMPSON BILLY M 80142096 THOMPSON KEITH HOWARD 80148995 THOMPSON MARK A 80148826 THOMPSON MICHAEL DONNELL 80138465 THOMPSON NICHOLAS LEE 80134496 THOMPSON RICHARD ELTON 80128149 THOMPSON TED CLARENCE 80114829 THORN SAMUEL 80154218 THORNES & ASSOCIATES INC INVESTMENT SECURITIES 80125941 THORNHILL FINANCIAL CORP /CA/ 80138911 THORNTON EVELYN MAE /CA/ 80138367 THREE RS & ASSOCIATES INC 80135747 THUROW & ASSOCIATES INC 80114108 TICKER TAPE INVESTMENT 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80153946 TORKELSON BRYN HEYSER 80143085 TOTAL ASSET PLANNING 80117074 TOTAL FINANCIAL PLANNING INC /CA/ 80147153 TOTAL FINANCIAL PLANNING INC /MI/ 80137537 TOTAL FINANCIAL PLANNING INC /MN/ ADV 80130565 TOTAL RETURN INC 80129745 TOTH GEORGE /PA/ 80135412 TOTH WILBERT & HANNON LTD 80116689 TOUCHE REMNANT INVESTMENT MANAGEMENT LTD 80145253 TOUCHSTONE SECURITIES INC 80113804 TOVEY & CO INC 80148274 TOW STEPHEN I 80135416 TOWNS CLIFTON SR 80124227 TOWNSEND ROBERT WELLMAN JR 80118515 TRACK DATA CORP 80149247 TRADEWINDS INTERNATIONAL INC 80139501 TRADING POTENTIAL 80145094 TRAINER THOMAS WELDON JR /CA/ 80145245 TRAN HIEN TRONG NGHIA 80132188 TRANG R L & ASSOCIATES INC 80154019 TRANSAMERICA INVESTMENT SERVICES CO 80137864 TRANSGLOBAL PORTFOLIOS INC 80137150 TRANWOOD AMERICA INC /DE/ 80127303 TRAPP ROBERT F 80128956 TRAVERS MICHAEL J 80127930 TRECO FRANK S JR 80141254 TREISMAN & CO INC/NY/ 80129307 TRENCH ENTERPRISES INC 80154677 TRENDSGROUP FINANCIAL INC /CA 80146358 TRENTON FALLS ASSET 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80141888 UNITED STATES CAPITAL CORP /IL/ 80119077 UNITED STATES FINANCIAL SERVICES CORP 80146954 UNIVERSAL FINANCIAL PLANNING CONSULTANTS INC 80150417 UNIVERSAL MODELS & ACTORS INC 80105864 UNIVERSITY APPLIED MANAGEMENT CONSULTANTS CORP 80118166 UNIVERSITY BUSINESS SERVICES 80148334 UNIVERSITY CAPITAL MANAGEMENT 80118793 UNLISTED MARKET SERVICE CORP 80129675 UNTERHALTER MARC KYALL 80132274 UR FINANCIAL INC 80147315 URANGA VICTOR MANUEL 80142250 URBAN REALTY ADVISORS INC /IL/ 80122051 URBONAS ALGIE JOHN 80136542 URQUIJO PATRIMONIOS SOCIEDAD GESTORA DE CARTERAS S A 80136714 US SELECT MANAGEMENT INC 80150846 US STRATEGIES INVESTMENT CORP 80124957 USA MONEY NEWSLETTER 80142183 USAFFINITY ADVISORS LIMITED PARTNERSHIP 80139133 UTCHEL JOSEPH JAMES 80146813 VADAS ANDRE GABRIEL ALEXANDER 80126073 VALE JACK ROYE 80152505 VALENTINE JAMES ROBERT IV 80127335 VALENTINO GARY J 80142248 VALLAIR ROBERT WAYNE /TX/ 80136740 VALLEY ESTATE PLANNERS LTD 80151192 VALLEY FORGE COMMERCIAL MORTGAGE ADVISORS INC 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80129836 VINCENT JOSEPH CURRO 80144936 VIP INSURANCE AGENCY INC 80141142 VISION CAPITAL INC 80139299 VISION CAPITAL MANAGEMENT INC /OH/ 80109828 VISTA MANAGEMENT CO INC 80115078 VIVELO ROBERT F 80113940 VLAHAKIS EDWARD 80148633 VON WIENKEN UWE GERALD 80118784 VONSUSKIL HOWARD JR 80147159 VOYAGER INVESTMENTS INC 80123751 VS INVESTMENTS /HI/ 80127851 W&D EQUITIES CORP 80139430 WACH FINANCIAL PLANNING INC 80141424 WAGNER CAPITAL INC 80135886 WAGNER MARC S FINANCIAL SERVICES LTD 80150907 WAGNER STEPHEN HANS 80133374 WAGONER ERIC VERNE 80128096 WAHL MICHAEL THOMAS 80119694 WAIGHT JOHN F 80139798 WAIS ERIC JOHN 80133858 WALD HARVEY SEYMOUR 80139685 WALDNER INVESTMENT ADVISORS INC 80132607 WALGENBACH CHARLES JAMES 80151215 WALKER GREGORY STEPHEN 80152079 WALKER PETER CRAWFORD 80147775 WALKER WRIGHT LORENZO 80141967 WALKUP WILLIAM BASKIN 80152889 WALL STREET SMALL CAP REPORT INC 80142892 WALL STREET STRATEGIES /NY/ 80125308 WALL STREET STRATEGIES INC /GA/ 80138539 WALLACE ANTHONY INVESTMENT 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80116928 WHITWELL OMER DWIGHT 80133633 WHOLEHAN & ASSOCIATES INC 80124119 WICK PATRICK ANTHONY 80123892 WICKERS ALONZO B 80132703 WIEDERMAN ARTHUR STEWART 80125967 WIERE ENTERPRISES INC 80109688 WIGGINS ROBERT GLENN 80139921 WIGHT CHRISTOPHER SCOTT 80127353 WIGHT FINANCIAL CONCEPTS CORP 80135972 WILBER ROBERT BRIAN 80136739 WILCOX INVESTMENT ADVISORS INC 80123845 WILDSTEIN STEVEN EDWARD 80116266 WILE THOMAS FREDERICK 80139820 WILEY CHARLES INC /TX/ 80154401 WILEY PAUL JR 80148981 WILKENS KENT EUGENE 80123471 WILKERSON WILLIAM LANKFORD 80133693 WILKINS PATRICK LAWRENCE 80137192 WILKINSON DANIEL FRANCIS 80125352 WILLIAMS ALBERT GEORGE 80148277 WILLIAMS ALEXANDER BERNARD JR 80119669 WILLIAMS ARTHUR LYNCH JR 80137644 WILLIAMS ASSOCIATES & COMPANIES INC 80144235 WILLIAMS BRADLEY BRUCE 80146475 WILLIAMS DAVID MERIL /NY/ 80151883 WILLIAMS DENNIS TODD 80132086 WILLIAMS JACK OLIVER 80126626 WILLIAMS JEANETTE R 80128886 WILLIAMS JEFFREY SCOTT 80104675 WILLIAMS JOHN MINORS 80131120 WILLIAMS 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80134739 WOOD JOHN EDMUND FITZGERALD JR 80143901 WOODALL NICK DON /TX/ 80132949 WOODBURY R F INVESTMENT CORP 80143237 WOODCOCK BRUCE FREMONT JR 80134083 WOODLAND INVESTMENT CO 80145538 WOODS GROUP INC 80122123 WOODS THEOPHILOUS HENRY 80149228 WOODSDALE CAPITAL PARTNERS INC 80140756 WOODSHIRE CAPITAL MANAGEMENT INC 80123135 WOODSIDE BETH WRIGHT /SC/ 80142075 WOOSHIN INVESTMENT MANAGEMENT CO LTD 80130964 WORCESTER JOHN PHILLIP JR 80139573 WORDEN FRANK NEWELL /VA/ 80122350 WORDWAY PLANNING CORP 80148469 WORLD CAPITAL ADVISORS CORP 80154427 WORLDWIDE FINANCIAL MANAGEMENT GROUP LLC 80151550 WORTH CAPITAL MANAGEMENT LLC 80143439 WOUTERS WILLY RENE ELISABETH 80138293 WP SECURITIES INC 80138356 WRIGHT CHRISTEL MESTNIK 80142143 WRIGHT CYNTHIA ROSEMAN PHD /TX/ 80124495 WRIGHT DUGLAS EVANS 80151613 WRIGHT JAMES EDWARD 80137795 WRIGHT JEFFREY LEE 80142541 WRIGHT JOHN WINGO 80132275 WRITERS & RESEARCH INC 80140671 WURTZ MARK THOMAS 80140321 WYCKOFF SYSTEMS TECHNOLOGY INC /NJ/ 80146282 WYCOFF CAPITAL MANAGEMENT LLC /OK/ 80139697 WYMAC CAPITAL INC 80145790 XPONENT HOLDINGS LTD /MI/ 80144060 YACHAN GEORGE II /NC/ 80141085 YACHECHAK KENNETH /MT/ 80123350 YAEGER SECURITIES INC 80147382 YAGALLA MARK 80126242 YAGLE VERA ANN 80146178 YAMAICHI INTERNATIONAL AMERICA INC/NY/ 80137526 YANG YUN FANG 80142117 YANOSKY DANIEL JEROME /GA/ 80138985 YARMOUTH GROUP UK LTD 80129314 YEE PHILLIPS ASSOCIATES INC 80135538 YORK INVESTMENT MANAGEMENT 80152973 YORK MITCHELL PAUL 80147029 YORKSHIRE INVESTMENT COUNSEL INC 80129814 YOUENS VANCE GEORGE 80144779 YOUNG ASSET ADVISER INC 80145439 YOUNG CHAUNCY CFP /NY/ 80136124 YOUNG DEAN WILLIAM 80123681 YOUNG KENNETH WILLIAM 80121027 YOUNG STEPHEN CASSIN 80116342 YOUNG STUART WESLEY 80150741 YOUNGER PATRICK TIMOTHY 80111141 YOUNKIN WILLIAM MICHAEL 80137872 YOUSEM JOSEPH L CO INC 80135763 YUNG DAVID KWOK 80128138 YUNKER FINANCIAL MANAGEMENT 80136204 ZABETIAN MANSOUR 80105077 ZABRONSKY ALAN /NY/ 80131236 ZALE JOHN HENRY 80152229 ZALL MILTON 80140529 ZAMMIELLO ROBERT CHARLES SR /PA/ 80149173 ZAMPERINI MARK EDWARD 80142013 ZANETTE ANTHONY FRANCIS 80138879 ZB SECURITIES CORP 80149951 ZEBA CAPITAL INC 80152496 ZEPHYR INVESTMENT MANAGEMENT INC 80142933 ZETSCH KURT JOHANN III /CA/ 80153169 ZHANG BILL 80126901 ZIEGER ALFRED RODNEY 80124490 ZIMMERMAN DRAKE H 80149466 ZIMMERMAN THOMAS EARL 80133065 ZINDEL Z CORP 80116494 ZINITI STEPHEN PAUL 80140386 ZINSSER AUGUST III 80121598 ZIOBRON EUGENE GERARD 80144879 ZITSMAN JAMES ARTHUR 80153670 ZOE FINANCIAL GROUP INC 80136985 ZOELLER & ASSOCIATES SC /WI/ 80144041 ZUKERMAN GERALD JULES /AZ/ 80131530 ZWOLINSKI RAYMOND JOSEPH

[FR Doc. 98-6431Filed3-12-98; 8:45 am]

BILLING CODE 8010-01-P