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Comments on Proposed Rule: Custody of Funds or Securities of Clients by Investment Advisers

[Release No. IA-2876; File No. S7-09-09]


Comments have been received from individuals and entities using the following Letter Type A: 37
Comments have been received from individuals and entities using the following Letter Type B: 234
Comments have been received from individuals and entities using the following Letter Type C: 18
Comments have been received from individuals and entities using the following Letter Type D: 14
Comments have been received from individuals and entities using the following Letter Type E: 6
Comments have been received from individuals and entities using the following Letter Type F: 77
Comments have been received from individuals and entities using the following Letter Type G: 8
Dec. 23, 2009 Marvin S. Heiman, RIA, deerfield, Illinois
Dec. 11, 2009 Kurt N. Schacht, CFA, Managing Director, and Linda L. Rittenhouse, Director, Capital Markets Policy, CFA Institute Centre for Financial Market Integrity
Oct. 22, 2009 Mary Eitel, Eitel Investment Management
Oct. 21, 2009 Memorandum from the Office of Commissioner Aguilar regarding a September 16, 2009, meeting with representatives of Investment Advisers Association
Oct. 20, 2009 Memorandum from the Division of Investment Management regarding an October 14, 2009, meeting with representatives of Deloitte & Touche LLP
Oct. 14, 2009 Memorandum from the Office of Commissioner Aguilar regarding a September 21, 2009 Meeting with representatives of the Managed Funds Association
Sep. 30, 2009 Memorandum from the Office of Commissioner Paredes Regarding a Meeting with representatives of Investment Adviser Association and Asset Management, Legg Mason
Sep. 22, 2009 Thomas F. Mullaney, Jr., President, Mullaney Keating & Wright
Sep. 22, 2009 Bobby Eubank, CFP, MSFS, Registered Investment Advisor, Certified Financial Planner, Plano, Texas
Sep. 21, 2009 Memorandum from the Office of Commissioner Paredes regarding a September 21, 2009 Meeting with representatives of the Managed Funds Association
Sep. 16, 2009 Memorandum from the Office of the Chairman Regarding a September 10, 2009 Meeting with representatives of the Investment Adviser Association, Heritage Investment Management, and T. Rowe Price
Sep. 11, 2009 Memorandum from the Office of Commissioner Walter Regarding a September 10, 2009 Meeting with representatives of the Investment Adviser Association, T. Rowe Price, and Heritage Investors Management Corporation
Sep. 10, 2009 Memorandum from the Office of Commissioner Casey Regarding a Meeting with representatives of the Investment Adviser Association, T. Rowe Price, and Heritage Investors Management Corporation
Sep. 3, 2009 Memorandum from the Division of Investment Management Regarding a Meeting with the Representatives of the Financial Planning Association and Cohen Fund Audit Services, Ltd.
Sep. 2, 2009 Memorandum from the Division of Investment Management Regarding a Meeting with the Representatives of the Investment Adviser Association
Sep. 2, 2009 William T. George, Encino, California
Aug. 27, 2009 David L. Weirich, Snohomish, Washington
Aug. 26, 2009 Memorandum from the Division of Investment Management Regarding Meeting with Representatives of Charles Schwab
Aug. 26, 2009 Conrad Kozak, Chief Executive Officer, Worldwide Securities Services
Aug. 24, 2009 Dominick Paoloni, Lakewood, Colorado
Aug. 21, 2009 M. Barry Erwin, CPA/PFS, Lifetime Strategies LLC
Aug. 19, 2009 Steven K. McGinnis, General Counsel, LWI Financial Inc., San Jose, California
Aug. 18, 2009 Ryan Vermillion
Aug. 18, 2009 Mark R. Kriss, Principal, Kriss Investment Group LLC, San Francisco, California
Aug. 18, 2009 Rick A. Johnson, CASL, CFP, RFC, Marian Financial Services, Inc., Greenwood, Indiana
Aug. 17, 2009 Simon M. Lorne, Chief Legal Officer, and Martin Z. Schwartz, CCO, Millennium Management LLC, New York, New York
Aug. 17, 2009 Ray Galarneault
Aug. 14, 2009 Memorandum from the Division of Investment Management regarding an August 14, 2009, meeting with a representative of Pinnacle Advisory Group, Inc.
Aug. 13, 2009 Daniel P. Hylard, CFP, President, Financial Wealth Management, LLC
Aug. 12, 2009 William McElroy, Guardian Plus
Aug. 10, 2009 Andrew Wang, Senior Vice President, Runnymede Capital Management, Inc.
Aug. 10, 2009 Eugene Hammons, Pres., Creekside Investment Mgmt., Inc., Brenham, Texas
Aug. 10, 2009 Erik Wolfers, MBA, CFP Principal, Wolfers Asset Management
Aug. 10, 2009 David C. Luck, CPA PC
Aug. 10, 2009 Gillian Curran, Certified Financial PlannerTM, Arlington, Virginia
Aug. 7, 2009 Richard Bracket, High Desert Investment Advisors, LLC
Aug. 7, 2009 Ed Ostrom
Aug. 7, 2009 Leora Garner, President, Laurel Grove Capital, LLC, Los Angeles, CA
Aug. 7, 2009 Richard H. Brackett, President, High Desert Investment Advisors, LLC, Albuquerque, New Mexico
Aug. 7, 2009 Donald S. Loveless, CFA, CFP
Aug. 6, 2009 Helen Huntley, Holifield Huntley Financial Advisers, St. Petersburg, Florida
Aug. 5, 2009 Patricia D. Struck, Administrator, Wisconsin Securities Division, and Chair, NASAA Investment Adviser Section
Aug. 5, 2009 Debra A. Hanley, CFP Business Manager, Omega Wealth Management, LLC
Aug. 5, 2009 John R. Goodrich, CFP, San Diego, California
Aug. 4, 2009 Randolph Elder, CFP
Aug. 4, 2009 Susanne Trimbath, Ph.D., STP Advisory Services, LLC, Omaha, Nebraska
Aug. 4, 2009 Bradley L. Kelly, President, Magnum Opus Financial, Winston-Salem, North Carolina
Aug. 3, 2009 Dan W. Schneider, Baker & McKenzie LLP, Counsel to the Association
Jul. 31, 2009 Christine M . Flynn, Chief Operating Officer & Chief Financial Officer, Foothill Securities, Inc.
Jul. 31, 2009 Michael D. Prescott, Stockbroker, Registered Investment Advisor, Hudson, Ohio
Jul. 31, 2009 William E. McDonnell, Jr.
Jul. 31, 2009 James Chanos, Chairman, Coalition of Private Investment Companies
Jul. 30, 2009 Greg Phelps, CFP, CLU, AAMS, President & Financial Advisor, Red Rock Wealth Management, LLC
Jul. 30, 2009 Willard C. Lipe, CFA and Patrick M. Dalton, CFA
Jul. 29, 2009 Jason Lawit, Director, Waterline Partners LLC
Jul. 29, 2009 Patricia A. Poglinco and Robert B. Van Grover, Seward & Kissel LLP
Jul. 29, 2009 Michael F. Greco
Jul. 29, 2009 Angela Thompson, Compliance, Prodigy Asset Management, LLC
Jul. 29, 2009 Mark E. Fields, CFP, President, EstateMark Financial, Inc.
Jul. 29, 2009 Malcolm Clissold, CFA, President, SCC Capital Group, LLC
Jul. 29, 2009 John C. Slupski, III, Financial Planner, Pegaesus Advisors, Woburn, Massachusetts
July 28, 2009 Walter Jarrell, Mio, Michigan
Jul. 28, 2009 Sharon L. Thornton, Senior Director of Investments, Karpus Investment Management
Jul. 28, 2009 Adrian Day, President, Adrian Day Asset Management
Jul. 28, 2009 Walter Jarrell, Mio, Michigan
Jul. 28, 2009 Ernst & Young LLP
Jul. 28, 2009 PricewaterhouseCoopers LLP
Jul. 28, 2009 Bruce A. Siegel, Executive Vice President & General Counsel, First Long Island Investors, LLC
Jul. 28, 2009 Garry Lischin, General Counsel, Pershing LLC
Jul. 28, 2009 Paul Chavasse, Chief Operating Officer, Rathbone Investment Management Limited
Jul. 28, 2009 Andrew M. Cantor, Principal, Sawgrass Asset Management, LLC
Jul. 28, 2009 Tae-Gene K. Cho, Grandfield & Dodd, LLC
Jul. 28, 2009 David Grumer, Partner, Citrin Cooperman & Co., LLP and Robert Kaufmann, Partner, Citrin Cooperman & Co., LLP
Jul. 28, 2009 Kathleen Piaggesi, K/A/P Planning Advisory
Jul. 28, 2009 Joseph W. Sack, SIFMA Asset Management Group
Jul. 28, 2009 Bartholamew A. Mallon, Mallon P.C.
Jul. 28, 2009 Sutherland Asbill & Brennan LLP On behalf of the Committee of Annuity Insurers
Jul. 28, 2009 Louis E. Conrad, COMPASS Wealth Management, LLC
Jul. 28, 2009 Christopher Gilkerson, Charles Schwab & Co., Inc
Jul. 28, 2009 Clifford E. Kirsch, Sutherland, Asbill & Brennan, on behalf of Curian
Jul. 28, 2009 Kirsten Mires, Lee Financial Corporation
Jul. 28, 2009 Allen A. Osgood, Financial Freedom, LLC
Jul. 28, 2009 McGladrey & Pullen LLP
Jul. 28, 2009 Richard H. Murray, Center for Capital Markets Competitiveness
Jul. 28, 2009 Craig A. Cook, Oakbrook Solutions, Inc.
Jul. 28, 2009 Mark G. Heesen, National Venture Capital Association
Jul. 28, 2009 Darin Bemis, Lederer Associates Investment Counsel
Jul. 28, 2009 John Gebauer, National Regulatory Services
Jul. 28, 2009 William J. Hupp, Adams Street Partners, LLC,
Jul. 28, 2009 Cynthia M. Fornelli, Center for Audit Quality
Jul. 28, 2009 Dilia M. Caballero, E*TRADE Brokerage Services, Inc.
Jul. 28, 2009 Mari-Anne Pisarri, Pickard and Djinis LLP
Jul. 28, 2009 Stephanie L. Brown, LPL Financial Corporation
Jul. 28, 2009 Stefan M. Gavell, State Street Corporation
Jul. 28, 2009 Joan Hinchman, National Society of Compliance Professionals, Inc.
Jul. 28, 2009 David Oestreicher, T. Rowe Price
Jul. 28, 2009 John A. Ehinger, The Money Management Institute
Jul. 28, 2009 Mark Shelton, SIFMA
Jul. 28, 2009 Brad Travis, Capital Investment Management, Inc
Jul. 28, 2009 Deloitte & Touche LLP
Jul. 28, 2009 Brian Nielsen, General Counsel, CLS Investments
Jul. 28, 2009 Brian S. Hamburger, Managing Director and Daniel A. Bernstein, Director, Professional Services, MarketCounsel
Jul. 28, 2009 James M. Gockley, Deputy General Counsel, The Bank of New York Mellon Corporation
Jul. 28, 2009 Duane Thompson, Managing Director, Washington Office, Financial Planning Association
Jul. 28, 2009 Richard G. Zeiger, Secretary and Counsel, Victory Capital Management Inc.
Jul. 28, 2009 Dechert LLP
Jul. 28, 2009 Krista S. Zipfel, CFA, President & CEO, Advisor Solutions Group, Inc.
Jul. 28, 2009 Leo Andrew Hanlein, President, Alexander Investment Services
Jul. 28, 2009 Nora M. Jordan, Danforth Townley, Yukako Kawata, John Crowley, and Leor Landa, Davis Polk & Wardwell LLP
Jul. 28, 2009 Jim Berliner, President, Westmount Asset Management, Inc.
Jul. 28, 2009 Joseph Connolly
Jul. 28, 2009 Sam C. Bills, Jr. CPA, CFP, Bills Asset Management
Jul. 28, 2009 Sidley Austin LLP
Jul. 28, 2009 Ronald Rollins, CCO, Comprehensive Capital Management, Inc., Parsippany, New Jersey
Jul. 28, 2009 Stuart J. Kaswell, Executive Vice President and Managing Director, General Counsel, Managed Funds Association
Jul. 28, 2009 Aimee A. Toth, Chief Compliance Officer, General Counsel, Allegheny Investments/Allegheny Financial Group, Pittsburgh, Pennsylvania
Jul. 28, 2009 Brad K. Travis, President, Capital Investment Management, Leitchfield, Kentucky
Jul. 28, 2009 Cheryl M. Kallem, Senior Managing Director, First Manhattan Co. and Neal K. Steams, Senior Managing Director, First Manhattan Co.
Jul. 28, 2009 Daniel Kopack, Jr., CPA, CFP, Pensacola, Florida
Jul. 28, 2009 Dale E. Brown, CAE, President & CEO, Financial Services Institute
Jul. 28, 2009 Thomas G. Knipper, CPA, Chief Compliance Officer, Summit Investment Partners, Cincinnati, Ohio
Jul. 28, 2009 Keith F. Higgins, Chair, Committee on Federal Regulation of Securities, American Bar Association Business Law Section, Boston, Mass
Jul. 28, 2009 Michelle Burton, IACCP
Jul. 28, 2009 Mary K. Collins, President, Spectrum Financial, Inc., Virginia Beach, Virginia
Jul. 28, 2009 Sammy D. Tally, CFP, CCO, Bedford, Texas
Jul. 28, 2009 Janice Campbell
Jul. 28, 2009 George B. Gordon, Investment Advisory, President, WASI
Jul. 28, 2009 Phoebe A. Papageorgiou, Senior Counsel, Center for Securities, Trust and Investments, American Bankers Association
Jul. 28, 2009 Sullivan & Cromwell LLP
Jul. 28, 2009 Ken Majmudar, JD, CFA, President and CIO, Ridgewood Investments LLC, Short Hills, New Jersey
Jul. 27, 2009 Jerome W. Anderson
Jul. 28, 2009 Robert B. Needham, CFA, R. B. Needham Advisory Corporation, North Andover, Massachusetts
Jul. 28, 2009 John T. Cooke, CFP
Jul. 28, 2009 Scott Horsburgh
Jul. 28, 2009 John H. Vineyard, CFA, Sunlake Investment Management, Ithaca , New York
Jul. 28, 2009 William A. Jacobson, Esq., Associate Clinical Professor of Law, Director, Cornell Securities Law Clinic and Sang loon Kim, Cornell Law School 'II
Jul. 28, 2009 John Ellison
Jul. 28, 2009 Mark E. Schikowski, CPA, Vice-president, Cohen Fund Audit Services Ltd., Akron, Ohio
Jul. 28, 2009 Douglas Lowenstein, President, Private Equity Council
Jul. 28, 2009 David E. Bunker, Topsfield, Massachusetts
Jul. 28, 2009 Shawn Meade, MS, CPA, CFP, Partner/Owner - Redwood Wealth Management, LLC, Alpharetta, Georgia
Jul. 28, 2009 Lori Nadglowski, Controller/CCO, Florida Investment Advisers , Tampa, Florida
Jul. 28, 2009 Jeffrey B. Yamada, Michael C. Stalker, and James C. Tarvin, MCS Financial Advisors
Jul. 28, 2009 Barbara E. Shields, CCO, Diesslin Associates, Inc., Fort Worth, Texas
Jul. 28, 2009 Rich Colman
Jul. 28, 2009 Nancy L. H. Boyd, Director of Compliance, Lincoln Investment Planning, Inc., Wyncote, Pennsylvania
Jul. 27, 2009 Gerard A. Rocchi, President & Chief Executive Officer, Eagle Strategies, LLC
Jul. 28, 2009 Barry C. Melancon, CPA, President & CEO, AICPA and Ernest A. Almonte, CPA Chairman, AICPA Board of Directors
Jul. 28, 2009 Linda C. Bass, Little Rock, Arkansas
Jul. 28, 2009 E. Keith Wirtz, CFA, President and Chief Investment Officer, Fifth Third Asset Management, Inc.
Jul. 28, 2009 Richard T. Feight, CFP
Jul. 28, 2009 Jeffrey L. Friedberg, CEO, Friedberg Investment Management, Inc., Houston, Texas
Jul. 27, 2009 Renee M. Toth, President, National Association of Active Investment Managers
Jul. 28, 2009 Kevin R. Keller, CAE, Chief Executive Officer, Certified Financial Planner Board of Standards, Inc.
Jul. 28, 2009 Michael R. Reid, CFA, Exchange Capital Management, Inc.
Jul. 28, 2009 Kim Gardey, Gardey Financial Advisors
Jul. 28, 2009 Beth Peters, Brentwood, Tennessee
Jul. 28, 2009 Jeffrey M. Garell, CFP, Silversage Advisors, Irvine, California
Jul. 28, 2009 Daniel D. Sands, CFP, Silversage Advisors, Irvine, California
Jul. 28, 2009 Donald P. Gould, President, Gould Asset Management LLC, Claremont, California
Jul. 28, 2009 KPMG LLP
Jul. 28, 2009 James Livingston, President/CEO, National Planning Holdings, Inc.
Jul. 27, 2009 Kevin J. Donnelly
Jul. 27, 2009 John A. Waldichuk, CFA, La Jolla, California
Jul. 27, 2009 John Hamel, CCO, Greenwood Village, Colorado
Jul. 27, 2009 Michael Ball
Jul. 27, 2009 David Spector, President, Legal Advantage Investments, Inc., Los Altos Hills, California
Jul. 27, 2009 Douglas B May, CFA, Grand Junction, Colorado
Jul. 27, 2009 Alan J. Liebman, President, American Superior Company
Jul. 27, 2009 Melinda K. Corporon; Chief Executive Officer; Richard W. Boyer, Chief Investment Officer; and Brian Hackleman, Overland Park, Boyer & Corporon Wealth Management
Jul. 27, 2009 Gerald I White, President, Grace White, Inc., New York, New York
Jul. 27, 2009 Mike Haubrich
Jul. 27, 2009 Elizabeth Kelly
Jul. 27, 2009 Humam K. Sirhal, RIA, Washington Financial Group
Jul. 27, 2009 Charles Joseph Ramos, Larkspur, California
Jul. 27, 2009 Brian Terry
Jul. 27, 2009 Gary Silverman, Financial planner, Wichita Falls, Texas
Jul. 27, 2009 David Witherbee
Jul. 27, 2009 Brian Roehl
Jul. 27, 2009 Julie C Morgan, MBA, Englewood, Colorado
Jul. 27, 2009 Clare Stenstrom
Jul. 27, 2009 James F. Beley
Jul. 27, 2009 David J. Moynihan, President, New York State Society of Certified Public Accountants
Jul. 27, 2009 Gary A. Sanders, Vice President, Securities and State, Government Relations, National Association of Insurance and Financial Advisors
Jul. 27, 2009 James H Robbins, Registered Investment Advisor CFP, Erie, Pennsylvania
Jul. 27, 2009 Howard Jacobson, Craig Novorr, Ward Williams, Elizabeth McLeod, & Ethel Davis, Partners, Paragon Capital Management, LLC
Jul. 27, 2009 Jim Goodland
Jul. 27, 2009 Thomas Lomanto
Jul. 27, 2009 Abe Gruenwald
Jul. 27, 2009 Kevin Paulsen, CFP, RPA, Fee-Only Financial Advisor, Chicago, Illinois
Jul. 27, 2009 Steven Landis
Jul. 27, 2009 Jerl Franklin, Franklin, Turner & Welch LLC
Jul. 27, 2009 Philip Laughlin, Wellesley Asset Management, LLC
Jul. 27, 2009 Joseph S. Codrick, Chapel Hill Investment Analysts, Inc.
Jul. 27, 2009 Patricia Melnick, Seaward Management
Jul. 27, 2009 George N. Luciani, Covered Bridge Tactical, LLC
Jul. 27, 2009 Michelle Katauskas
Jul. 27, 2009 Francis McNulty
Jul. 27, 2009 Keith Marks, Ascendant Compliance Management, Inc.
Jul. 27, 2009 Joe Kubic, Fairlane Investment Advisors, Inc.
Jul. 27, 2009 Laura Roberts, USA Tax & Insurance Services,
Jul. 27, 2009 T. Scott Harding, Harding and Hittesdorf, P.C.
Jul. 26, 2009 Timothy P. Turner
Jul. 26, 2009 Jim McGurren
Jul. 25, 2009 John Wynn
Jul. 25, 2009 Julie Jason, Jackson, Grant Investment Advisers, Inc.
Jul. 25, 2009 William C. Jerome
Jul. 25, 2009 Philip E. Merchant
Jul. 25, 2009 Michael Aponte
Jul. 24, 2009 Jeffrey D. Carter, Managing Member, Smart Portfolio Management, LLC
Jul. 24, 2009 Weston Howland III, CFA, President, Howland Capital Management
Jul. 24, 2009 Dan Peterson
Jul. 24, 2009 Robert E. Frey
Jul. 24, 2009 Bruce Brotnov, Poormans Investment Strategy
Jul. 24, 2009 Gil Hanoch
Jul. 24, 2009 Valerie Baruch, Investment Adviser Association
Jul. 24, 2009 Steve K. Rumsey, Optimus Advisory Group
Jul. 24, 2009 Scott Healey
Jul. 24, 2009 J. Thomas Bradley, TD Ameritrade Inc.
Jul. 24, 2009 Weston Howland, Howland Capital Management
Jul. 24, 2009 Dawn Bond, Compliance Advisory Services, Inc.
Jul. 24, 2009 Alfred M. Sanders, Valued Retirements
Jul. 24, 2009 William B. Smith, WB Smith Companies
Jul. 24, 2009 Justin Buller, Zevenbergen Capital Investments LLC
Jul. 24, 2009 David Demming
Jul. 24, 2009 Dorigen Hofmann
Jul. 24, 2009 Heidi Strauss, Strauss Financial Group, Inc.
Jul. 24, 2009 Mark Armbruster, Fulreader & Komma Management
Jul. 24, 2009 Scott R. Snyder, Newton One Advisors
Jul. 24, 2009 Janet R. Murtha, Warshaw Burstein Cohen Schlesinger & Kuh,
Jul. 24, 2009 Dave Ragan, Grunden Financial Advisory, Inc.
Jul. 24, 2009 Gary T. Jeffers, ITS Asset Management, L.P.
Jul. 24, 2009 David Partheymuller
Jul. 24, 2009 Matthew J. Simpson, GE Asset Management
Jul. 24, 2009 Robby T. Bryant, Magnolia Financial Planning Services, Inc.
Jul. 23, 2009 Barbara Alberty, Alberty Asset Management LLC
Jul. 23, 2009 Georgia Bruggeman, Meridian Financial Advisors, LLC
Jul. 23, 2009 Eric E. Turloff, Turloff Financial Consulting, Inc.
Jul. 23, 2009 Rozanna Patane
Jul. 23, 2009 Loyd J. Stegent, Stegent Equity Advisors, Inc.
Jul. 23, 2009 Rodney S. Coleman, SYM Financial Advisors
Jul. 23, 2009 David C. Partheymuller, Normandy Capital Managment, LLC
Jul. 23, 2009 Mark L. Kornblau, Financial Design Management, Inc.
Jul. 23, 2009 Mark L. Kornblau, Financial Design Management, Inc.
Jul. 23, 2009 Jerald W. Yeager
Jul. 23, 2009 John M. Nowicki
Jul. 23, 2009 R. Scott Ponder, Ponder Financial Group
Jul. 23, 2009 Jeffrey Thompson, Thompson Wealth Advisors
Jul. 23, 2009 Chitra Staley, TPW Financial
Jul. 23, 2009 Jon Ferguson, FIC Capital, Inc.
Jul. 23, 2009 Ron Moskat, Personal Investment Management, Inc.
Jul. 23, 2009 Greg Morgan
Jul. 23, 2009 August J. Stone
Jul. 23, 2009 Mike Leibowiz
Jul. 23, 2009 Lawrence E. May, May Financial Group, Ltd.
Jul. 23, 2009 Douglass C. Lyon, Lyon Capital Management, LLC
Jul. 23, 2009 Ben Lipschitz
Jul. 23, 2009 Thomas Hamilton
Jul. 23, 2009 Brett Schwartz
Jul. 23, 2009 Bradley A. Keene, Meridian Financial Group, Ltd.
Jul. 23, 2009 John F. McAvoy, Waterstone Retirement Services
Jul. 23, 2009 Larry McDonald, Tricord Investment Advisors, Inc.
Jul. 22, 2009 S. Katherine Campbell, Principal, North Berkeley Investment Partners
Jul. 22, 2009 Michelle Rand, CFA, President, Cascads lnvestment Advisors, Inc.
Jul. 22, 2009 Robert J. Graham, CEO, Riggs Asset Management Co., Inc.
Jul. 22, 2009 Linda Ferentchak
Jul. 22, 2009 Jamie Padgett, Wealth Strategies by Bayliss & McAninch, Inc.
Jul. 22, 2009 Richard Holbrook
Jul. 22, 2009 Stephanie Brown, Merriman, Inc.
Jul. 22, 2009 V. Peter Traphagen, Jr., Traphagen Investments Advisors, LLC
Jul. 22, 2009 Becky Connery, D3 Financial Counselors LLC
Jul. 22, 2009 Dave Fulkerson
Jul. 22, 2009 Thomas N. Alvare, Comprehensive Investment Solutions, LLC
Jul. 22, 2009 Warren Wall, Wall & Company
Jul. 22, 2009 Kathleen Carlson, Parker Carlson & Johnson
Jul. 22, 2009 Roxanne Fleszar
Jul. 22, 2009 Kim Schwichtenberg
Jul. 22, 2009 H.W. Youngblood, Financial Network Associates, Inc.
Jul. 22, 2009 Leon LaBrecque
Jul. 22, 2009 James M. Griesser, Strategic Wealth Management Group, LLC
Jul. 22, 2009 Kevin P. Ellis, Kyle Financial Services, Inc.
Jul. 22, 2009 Lynn M. Vance, Center for Financial Management One, LLC
Jul. 22, 2009 Allen B. Kaufmann
Jul. 22, 2009 Peter M. Kult, Kult Wealth Management Group, LLC
Jul. 22, 2009 John E. Redfearn, III, Fiduciary Solutions, LLC
Jul. 22, 2009 Ken Kaltman, National Compliance Services, Inc.
Jul. 22, 2009 Jonathan Scharlau, SilverOak Wealth Management LLC
Jul. 22, 2009 Gary P. Desjardins, Strategic Wealth Management Group, LLC
Jul. 21, 2009 Rick Rodgers, CRP, CRPC, Certified Retirement Counselor, President, Rodgers & Associates
Jul. 21, 2009 Deborah L. Thomas, JD, CFP
Jul. 21, 2009 Diahann Lassus, Chair, NAPFA; Ellen Turf, CEO, NAPFA; and Susan MacMichael John, CFP, Chair, Industry Issues Committee
Jul. 21, 2009 Deborah L. Thomas, Silver Oak Advisory Group, Inc.
Jul. 21, 2009 James Eichelberger, Strategic Wealth Management Group, LLC
Jul. 21, 2009 William W. Farley, Jr.
Jul. 21, 2009 Evan P. Welch
Jul. 21, 2009 Randall C. Griggs
Jul. 21, 2009 Michael J. Searcy, Searcy Financial Services, Inc.
Jul. 21, 2009 Jeffrey N. Bogue, Bogue Asset Management LLC
Jul. 21, 2009 Edward J. Durica, Johnston & Associates, Inc.
Jul. 21, 2009 William B. Bissett, Pinnacle Advisory Group
Jul. 21, 2009 Rick Rodgers
Jul. 21, 2009 John Smith
Jul. 21, 2009 Susan J. Serre
Jul. 21, 2009 Steven Elwell, Schroeder, Braxton & Vogt Financial Advisors
Jul. 21, 2009 Kenneth Cotner, Sterling Capital Management LLC
Jul. 21, 2009 Douglas R. Thorne
Jul. 20, 2009 Herbert Diamant, Diamant Asset Management, Inc.
Jul. 20, 2009 Heather Cleland, Willow Creek Financial Services, Inc.
Jul. 20, 2009 Bert A. Doerhoff
Jul. 20, 2009 Charles S. Brewster, Brewster Financial Planning LLC
Jul. 20, 2009 Arthur F. von der Linden, Wingate Financial Group, Inc.
Jul. 20, 2009 Mark McClanahan, Robertson, Griege & Thoele
Jul. 17, 2009 Dean T. Umemoto, Managing Principal, McLean Asset Management Corporation and Alex Murguia, Managing Principal, McLean Asset Management Corporation
Jul. 17, 2009 Nancy Lininger, The Consortium
Jul. 17, 2009 Scott Houser, CFP, Atlanta, Georgia
Jul. 17, 2009 A. Raymond Benton
Jul. 17, 2009 Peter T. Palion, CFP, East Meadow, New York
Jul. 17, 2009 Saverio N. Paglioni, Kennesaw, Georgia
Jul. 17, 2009 E.A. Ostedgaard
Jul. 17, 2009 Roger E. Klein, Ph.D., Mercerville, New Jersey
Jul. 17, 2009 Raymond L. Hines, Marketmetrics, Inc.
Jul. 17, 2009 Neal J. Solomon, CFP, CLU, ChFC, CASL, Certified Financial Planner, Managing Director and Chief Compliance Officer, WealthPro, LLC
Jul. 17, 2009 Jay B. Leonard, Classic Capital
Jul. 16, 2009 Pamela D. Grey, Raymond James
Jul. 16, 2009 Charles Unice, ChFC
Jul. 16, 2009 Thomas J. Bonomo, Chief Executive Officer, CPIC International
Jul. 16, 2009 Kevin T. Kral, CPA/PFS, CFP, Kral Financial Advisors, LLC
Jul. 16, 2009 Diane C. Jakubowski, President, CPIC International
Jul. 16, 2009 Stephen B. Moore, CEO, Financial Strategies Group
Jul. 16, 2009 Jeffrey A. Bogartd, Registered Investment Advisor
Jul. 16, 2009 Anthony J. Abbate, Managing Director, Granite Value Capital, LLC
Jul. 16, 2009 Daniel J. Galli, CFP, Daniel J. Galli & Associates
Jul. 16, 2009 Jeffrey S. Markewich, Markewich Financial Group
Jul. 16, 2009 Jennifer L. Davidson, CPA MSFP CFP(R), Milestone Financial Planning, Inc.
Jul. 16, 2009 David L. Anneken, CPA/CFP
Jul. 16, 2009 Steve Doucette, CFP(r), Proctor Financial, Inc., Retire Better (tm)
Jul. 16, 2009 James Miller, Woodward Financial Advisors
Jul. 16, 2009 Terry C. Seely, Registered Representative, SagePoint Financial
Jul. 16, 2009 Kevin Brosious, MBA, CPA/PFS, CFP, President, Wealth Management, Inc.
Jul. 16, 2009 Kristine Porcaro, Lexington, Massachusetts
Jul. 16, 2009 Ben Birken, Woodward Financial Advisors
Jul. 16, 2009 Barry Bailey
Jul. 16, 2009 Bill Boatwright
Jul. 16, 2009 Martin L. Schmidt
Jul. 16, 2009 Stefan Garcia, Monitor Wealth Group
Jul. 16, 2009 Michael Peterson
Jul. 16, 2009 Michael L. Shipman, Shipman & Associates, LP
Jul. 15, 2009 John D. Black, West End Advisors
Jul. 15, 2009 James Stewart, Carmichael Hill
Jul. 15, 2009 Tony J. Proctor, CFP Proctor Financial, Inc.
Jul. 15, 2009 Michael T. Tarrant, Financial Network Associates, Inc.
Jul. 15, 2009 Margaret F. Eddy, President, Creative Capital Management Incorporated
Jul. 15, 2009 Debra A. Neiman, Neiman & Associates Financial Services, LLC
Jul. 15, 2009 Michael S. Carey, Cassaday & Company, Inc
Jul. 15, 2009 Russel Duckworth, Duckworth Capital Management, Inc.
Jul. 15, 2009 Richard Erickson
Jul. 15, 2009 Ron Turner, Covenant Advisors LLC
Jul. 15, 2009 Michael E. Ford
Jul. 15, 2009 Thomas P. Holland, Global Vision Advisors
Jul. 15, 2009 Steven F. Wertime, Wertime Financial Services, Inc.
Jul. 15, 2009 Phillips "Flip" Ruben, Vision Financial Planning, Inc.,
Jul. 15, 2009 Dave Lough, Lough Investment Advisory, LLC
Jul. 15, 2009 F. Richard Bowen, Winslow Evans & Crocker, Inc.
Jul. 15, 2009 Tim Halls, Moneta Group Investment Advisors, LLC
Jul. 15, 2009 Ted Wolfstich Wolfstich Capital Management, LLC
Jul. 15, 2009 Thomas G. Feenan, Feenan Financial Group
Jul. 15, 2009 Brenda L. Hinds, LPL Financial
Jul. 15, 2009 Brian Carruthers, Brian Carruthers & Associates
Jul. 15, 2009 Davis Knight, The Palmer Knight Company
Jul. 15, 2009 Antoinette Laferriere
Jul. 15, 2009 Jacqueline Bos, Butensky & Cohen Financial Security, Inc.
Jul. 15, 2009 Scott Watts
Jul. 15, 2009 Paul J. Corr, Capital Financial Advisors of New York, LLC
Jul. 15, 2009 Kathy S. Boobar, Fiduciary Financial Services of the Southwest, Inc.
Jul. 14, 2009 Tom Walsh, CFP, Frontier Investment Management Co.
Jul. 14, 2009 James M. Mcclone, Senior Partner, Kerntke Otto Mcglone Wealth Management Group
Jul. 14, 2009 Thomas H. Breiter, President, Breiter Capital Management, Inc.
Jul. 14, 2009 James W. Spence
Jul. 14, 2009 James W. Spence
Jul. 14, 2009 Martin F. Kurtz, CFP, CEO,The Planning Center and NAPFA Member and FPA Member, Moline, Illinois
Jul. 14, 2009 Buck, Orr Financial
Jul. 14, 2009 William B. Madden, Madden Securities Corporation
Jul. 14, 2009 Fred E. Murphy, IV, CFA, Murphy, Middleton, Hinkle & Parker
Jul. 14, 2009 Naushad Virji, Senior Investment Advisor, Virji Investments, Inc.
Jul. 14, 2009 Angela Dyches, CPA/PFS, CPA Financial Solutions, PA, CPA Investment Solutions, Inc.
Jul. 14, 2009 Richard C. Chambers, CFP
Jul. 14, 2009 Allan Cohen
Jul. 14, 2009 Michael C. Provine, Traditional Capital Management, LLC
July 14, 2009 Michael . Keeler, FPA, CFP, Las Vegas, Nevada
July 14, 2009 Kevin P. Ellis, CFP, CPA, President, Kyle Financial Services, Inc., Milwaukee, Wisconsin
Jul. 14, 2009 Gary L. Breneman, CPA/PFS, Breneman & Company
Jul. 14, 2009 Nathan A. Raabe, Mr, Norfolk, Nebraska
Jul. 13, 2009 David M. Robinson,
Jul. 13, 2009 D. Timothy Pinkney, The Savant Group
Jul. 13, 2009 Kenneth N. Bickford
Jul. 13, 2009 Greg Phelps
Jul. 13, 2009 Steven D. Urban, Urban Financial Advisory Corporation
Jul. 13, 2009 Dean Dawson
Jul. 13, 2009 Richard Clarke, ZRC Financial Services, LLC
Jul. 13, 2009 James D. Bratcher
Jul. 13, 2009 Chip Thiel, CFP, Vice President, Ascension Capital Advisors, Inc.
Jul. 13, 2009 John Hetzel, JWA Financial Group, Inc.
Jul. 13, 2009 Mickey Reeves, JWA Financial Group, Inc.
Jul. 13, 2009 John W. Eckel, Pinnacle Investment Management Inc.
Jul. 13, 2009 Dennis Gibb
Jul. 13, 2009 Greg Werlinich, President, Werlinich Asset Management, LLC
Jul. 13, 2009 Louis S. Harvey, Dalbar, Inc.
Jul. 13, 2009 Scott Kays, Kays Financial Advisory Corporation
Jul. 13, 2009 Sharon Morrison, The Savant Group
Jul. 13, 2009 Judith I. Weisman LifeWealth Advisors, Inc.
Jul. 13, 2009 Gary Gardner, LifeWealth Advisors, Inc.
Jul. 12, 2009 Joe Downs, Reality Financial Planning Services, LLC
Jul. 12, 2009 Jeffrey N. Coffee
Jul. 11, 2009 Bill Beach
Jul. 10, 2009 Rick M. Stein
Jul. 10, 2009 Roy Kissin, Capital Capital Advisors LLC
Jul. 10, 2009 Rita G. Dew, National Compliance Services, Inc.
Jul. 10, 2009 Robert R. Patterson, Capital Advisory Group
Jul. 10, 2009 W. Richard Smith, III, Capital Advisory Group
Jul. 10, 2009 Thomas H. Burkhart, The Savant Group
Jul. 10, 2009 Susan S. Rudzinski, Convergent Capital Management, LLC
Jul. 10, 2009 James Stuart, Ativo Capital Management, LLC
Jul. 10, 2009 Donald W. Nicholson, Donald W. Nicholson & Associates, Ltd.
Jul. 10, 2009 Thomas A. Barrett
Jul. 10, 2009 Rita G. Dew, National Compliance Services, lnc.
Jul. 10, 2009 Carl A. Loden, Keiter Stephens, Hurst, Gary, & Shreaves
Jul. 10, 2009 Richard S. Hayes, Wingate Financial Group, Inc.
Jul. 10, 2009 Mark G. Smith, Capital Advisory Group
Jul. 10, 2009 George P. Beal, The Boston Family Office
Jul. 10, 2009 John Male, Gassman & Golodny
Jul. 10, 2009 Jim Thomas
Jul. 10, 2009 Jonathan Gassman, Gassman & Golodny
Jul. 10, 2009 Susan Fuhrman Holin, Fuhrman Management Associates
Jul. 9, 2009 Jonathan L. Korb, General Counsel, Loring, Wolcott and Coolidge Office
Jul. 9, 2009 Roy Kissin, Capital Capital Advisors, LLC
Jul. 9, 2009 Gregory L. Smith, G. L. Smith & Associates
Jul. 9, 2009 John Frankola, Vista Investment Management, LLC
Jul. 9, 2009 P. Roger Kumler
Jul. 9, 2009 F. Dennis De Stefano, De Stefano Wealth Management
Jul. 9, 2009 Tom O'Connor
Jul. 9, 2009 Patricia Bailey, Bailey and Associates
Jul. 9, 2009 Dennis C. Delphenich, Capital Portfolio Advisors, Inc.
Jul. 9, 2009 Kenneth J. Bloom
Jul. 9, 2009 Michael F. Kay, Financial Focus, LLC
Jul. 9, 2009 Brian E. Smith
Jul. 9, 2009 Matt Ulsas, The Windsor Group, Ltd.
Jul. 9, 2009 James P. King, J.P. King & Associates, Inc.
Jul. 9, 2009 Warren W. Wick, II, Lesesne Capital Management
Jul. 9, 2009 Brian Loy, Sage Financial Advisors, Inc.
Jul. 9, 2009 Larry A. Kuyper
Jul. 9, 2009 David M. Fluett, Core Capital Solutions LLC
Jul. 9, 2009 Leonard J. Klucar
Jul. 9, 2009 Bernard P. Franceschi, McDonald Franceschi, LLC
Jul. 9, 2009 John E. Mullins, Greystone Financial Group, Inc.
Jul. 9, 2009 Julie VanTilburg, Lincoln Financial Advisors Corp
Jul. 9, 2009 George A. Loomis, Focus Financial Network, Inc.
Jul. 9, 2009 William Taylor, Cypress Wealth Management, LLC
Jul. 9, 2009 Jud Durel, Montoya Brower Financial Strategies
Jul. 9, 2009 Daniel Wildermuth, Kalos Management, Inc.
Jul. 9, 2009 Myles J. Crowe, The Foundry Financial Group, Inc.
Jul. 9, 2009 James M. McGlone, Kerntke Otto McGlone Wealth Management Group
Jul. 9, 2009 Larry Waller, Waller Financial Planning Group, Inc.
Jul. 9, 2009 Stephen C. Merrell, Willow Ridge Capital Advisors, Inc.
Jul. 9, 2009 Jimmy Kull, Cypress Wealth Management LLC
Jul. 9, 2009 Parker Consaul
Jul. 8, 2009 William E. Fender, CPA, J.D., Principal, Chief Compliance OfficerInnovest Portfolio Solutions, LLC
Jul. 8, 2009 Richard A. Stone, CLU, CFP, CEO, Salient-Friedman Wealth Management, LLC and Gregory H. Friedman, MS, CFP, President, Salient-Friedman Wealth Management, LLC
Jul. 8, 2009 Donald L. Haisman, CFP, President, Haisman Wealth Management
Jul. 8, 2009 Michael B. O'Higgins, President, O'Higgins Asset Management Inc.
Jul. 8, 2009 Anonymous
Jul. 8, 2009 Steven R. Vela, CFA, Frederick B. Stattman, CFA, and Philip S. Price, CFA
Jul. 8, 2009 Dennis R. Marin, CPA
Jul. 8, 2009 Robert Katz, CPA
Jul. 8, 2009 Michael Fischer
Jul. 8, 2009 Lance D. MacKenzie, eAdvisor Compliance, Inc.
Jul. 8, 2009 John Goott, Investec Advisory Group, L.P.
Jul. 8, 2009 Alfred C. Frank, Frank Capital Partners, LLC
Jul. 8, 2009 David Dreher, Senior Vice President, The Retirement Planning Group, Inc.
Jul. 8, 2009 Scott P. Noyes, Noyes Capital Management LLC
Jul. 8, 2009 Greg Morgan, SFMG
Jul. 8, 2009 Frank Akridge Jr., Alexandria Capital Inc.
Jul. 8, 2009 Jeffrey Bonvallat, Bon Investments LLC
Jul. 8, 2009 Steven M. King, Christensen King & Associates
Jul. 8, 2009 Stephen Schulmerich, Schulmerich Associates LLC
Jul. 8, 2009 Kirk B. Young, BARR Financial Services LLC
Jul. 8, 2009 Justin B. Whelan, Biechele Royce Advisors
Jul. 8, 2009 Fred A. Lockwood, FALCO Financial Services
Jul. 8, 2009 Jeffrey R. Scharf, Scharf Investments LLC
Jul. 8, 2009 David S. Paul, Red Oak Capital Management, Inc.
Jul. 8, 2009 Tony M. Reed, Millennium Investment Services
Jul. 8, 2009 Thomas Pflug, Pflug Koory LLC
Jul. 8, 2009 David B. Miller, Powell Financial, Inc.
Jul. 8, 2009 Stephen C. Peters, VisionQuest Wealth Management
Jul. 8, 2009 William T. Spiropoulos, Corestates Capital Advisors LLC
Jul. 8, 2009 Thomas S. Mench, Mench Financial, Inc.
Jul. 8, 2009 Joel M. Shaps, Bedrock Captial Mnagement, Inc.
Jul. 8, 2009 Robert P. Porter, Paladin Investment LLC
Jul. 8, 2009 Lon L. Mishler, Financial Planning Information Services
Jul. 8, 2009 Mark P. Stein, AeGIS Financial Group, Inc.
Jul. 8, 2009 Ted Ingraham, EGI Financial, Inc.
Jul. 8, 2009 Nicholas Anastasakis, Cornerstone Asset Management Services, Inc.
Jul. 8, 2009 Casey D. Hunt, St. Louis Financial Planners, Inc.
Jul. 8, 2009 David S. Thomas, Jr.
Jul. 8, 2009 Art Zaske, Arthur Zaske & Associates
Jul. 8, 2009 Thomas B. Fleishel, Fleishel Financial Associates
Jul. 8, 2009 John Cress, Practical Portfolios
Jul. 8, 2009 Michael J. Crew
Jul. 8, 2009 John B. Gjertsen, Steadfast Financial Services
Jul. 8, 2009 Henry Lester
Jul. 8, 2009 Bruce Raabe, Collins Company, LLC
Jul. 8, 2009 John R. Goltermann, Chief Compliance Officer, Obermeyer Asset Management Company
Jul. 7, 2009 Steven S. Bremner, CPA, Executive Vice President, Chief Compliance Officer, Kennedy Associates Real Estate Counsel, LP, Seattle
Jul. 7, 2009 Eric Giesler, Managing Director, Comprehensive Financial Consultants Institutional Inc.
Jul. 7, 2009 Robert S. Robbins, Robbins Capital Management
Jul. 7, 2009 Gary J. Harloff, Harloff Capital Management, RIA
Jul. 7, 2009 Eric E. Haas
Jul. 7, 2009 Donn Merrill
Jul. 7, 2009 Michael J. Norris, Valued Investment Partners, LLC
Jul. 7, 2009 Heydon Traub, Traub Capital Management, LLC
Jul. 7, 2009 Kevin F. O'Grady, Palo Capital, Inc.
Jul. 7, 2009 Robert T. Stenson
Jul. 7, 2009 William L. Valentine, IV, Valentine Ventures, LLC
Jul. 7, 2009 Alex Fisher, Archstone Portfolio Solutions
Jul. 7, 2009 Lee Harris, Lee Harris Capital Management Inc.
Jul. 7, 2009 Kathleen M. Murray
Jul. 7, 2009 Robert B. Goldbaugh
Jul. 7, 2009 Mary Helen Varner
Jul. 7, 2009 Brint Detwiler, Barnstone Advisors
Jul. 7, 2009 JK Engle
Jul. 7, 2009 Lisa Woodside
Jul. 7, 2009 Bernie M. Kielye, Kiely Capital Management, Inc.
Jul. 7, 2009 Jeff J. Groves
Jul. 7, 2009 Hugh T. Boyle
Jul. 7, 2009 Paul E. Palmer, Jr., Cypress Advisory Services Ltd., LLP
Jul. 7, 2009 Sue Harford Ferdig
Jul. 7, 2009 Thomas Nasta
Jul. 7, 2009 Patrick E. McClelland
Jul. 7, 2009 Paul V. Herzfeld, Pres., The Herzfeld Group, Inc.
Jul. 7, 2009 Kurt Box, Cypress Advisory Services Ltd., L.L.P.
Jul. 6, 2009 Austin L. Maschino
Jul. 6, 2009 Sonja White, Fortune Financial Services, LLC
Jul. 6, 2009 Gordon T. Robinson
Jul. 6, 2009 Tom Nasta, Personal Financial Planning, Inc.
Jul. 6, 2009 T. Montgomery Jones, FCM Investments
Jul. 6, 2009 Bonner C. Barnes, Corda Investment Management
Jul. 6, 2009 Ross Millie
Jul. 6, 2009 Bonner C. Barnes, CORDA Investment Management
Jul. 6, 2009 Mark G. Wayton, Advance Capital Management
Jul. 6, 2009 Bruce W. Miller
Jul. 6, 2009 James H. Applegate, Applegate Investment Management, LLC
Jul. 6, 2009 Glenn Woody, Financial Consultants, Inc.
Jul. 6, 2009 Linda Sueing-Jackson
Jul. 6, 2009 Terry Pender
Jul. 6, 2009 William Muhs
Jul. 6, 2009 Walker Sandlin, Stonebridge Capital Management NW, LLC
Jul. 6, 2009 Kim C. Christensen
Jul. 6, 2009 Jim Loquai, Excel Financial
Jul. 6, 2009 Mark J. Smith, M.J. Smith and Associates
Jul. 6, 2009 William Wu, Opus Investments, Inc.
Jul. 6, 2009 Marie M. Beckman
Jul. 6, 2009 Jeffrey J. Powell, Polaris Equity Management, Inc.
Jul. 6, 2009 William I. Meyer
Jul. 6, 2009 Ron Butt
Jul. 6, 2009 David J. Ceponis, Ceponis Financial Group
Jul. 6, 2009 Eric J. Robbins
Jul. 6, 2009 H. Jude Boudreaux, Bellingrath Wealth Management
Jul. 3, 2009 Ronald P. Denk
Jul. 3, 2009 L. A. Schnase
Jul. 3, 2009 Ram Kolluri, ICICI Securities Holdings, Inc.
Jul. 3, 2009 Jay Healy
Jul. 3, 2009 Richard J. Bosler
Jul. 3, 2009 Robert Richards, EPA Financial Services, Corp.
Jul. 3, 2009 G. Douglas Dunham, Dunham & Associates Financial Planning LLC
Jul. 2, 2009 William T. Ward, Jr.
Jul. 2, 2009 Gil Hanoch
Jul. 2, 2009 Gary Finke
Jul. 2, 2009 Aaron B. Wilbanks
Jul. 2, 2009 Tammera L. Prouty, Sound Financial Planning, Inc.
Jul. 2, 2009 Eric J. Smith
Jul. 2, 2009 Joseph B. Bronson, ECM Investment Management, Inc.
Jul. 2, 2009 Ralph Feith
Jul. 2, 2009 Robert J. Sullivan, Sullivan & Serwitz
Jul. 2, 2009 Alan Locke, Locke Financial Services, Inc.
Jul. 2, 2009 Ralph E. Duckworth, ATI Financial Services, LLC
Jul. 2, 2009 Brian W. Albig
Jul. 2, 2009 Richard D. Smith, Protected Capital Management
Jul. 2, 2009 Haynes Financial, Inc.
Jul. 2, 2009 Jonathan Sard, Sard Wealth Management Group, LLC
Jul. 2, 2009 Anthony W. Payne, John E. Sestina & Company
Jul. 2, 2009 Cornelius H. Van Zutphen, Delta Ventures Financial Counsel, Inc.
Jul. 2, 2009 Jackie Karnavas, Torrey Capital Investments
Jul. 2, 2009 Steven Erickson, Erickson Financial Solutions, LLC
Jul. 2, 2009 Eugene C. Hammons, Creekside Investment Management, Inc.
Jul. 2, 2009 Laura Roberts, USA Tax & Insurance Services
Jul. 2, 2009 James E. Kearney, Quadrant Capital Management, LLC
Jul. 2, 2009 Patrick J. Horan, Horan Capital Management, LLC
Jul. 2, 2009 Sammy D. Tally
Jul. 2, 2009 Michael Axel
Jul. 2, 2009 John J. Hutchins
Jul. 2, 2009 Donald J. DePalma, Buckeye Wealth Management LLC
Jul. 2, 2009 Dennis H. Vogt, Personal Investment Management, Inc.
Jul. 2, 2009 HFH Planning Inc.
Jul. 2, 2009 Susan B. Fulton, FBB Capital Partners
Jul. 2, 2009 Bobbie D. Munroe, Fraser Financial
Jul. 2, 2009 Richard LaFargue, LaFargue Financial Group
Jul. 2, 2009 Stephen A. Little, The Rose Investment Management & Research
Jul. 2, 2009 Theodore Schwartz, Capstone Investment Financial Group
Jul. 2, 2009 Nancy L. Anderson
Jul. 2, 2009 Michael J. Maye, MJM Financial Advisors, LLC
Jul. 2, 2009 Paul C. Barbehenn
Jul. 2, 2009 Bertram H. Rosen
Jul. 2, 2009 Michael F. Greco, GCI Financial Group, Inc.
Jul. 2, 2009 Stephen M. Rosenberg, Rosenberg Financial Group
Jul. 1, 2009 David W. Otto, CFP, President, Owner, and Chief Compliance Officer, Otto & Associatres, Inc.
Jul. 1, 2009 Michael B. O'Higgins, O'Higgins Asset Management, Inc.
Jul. 1, 2009 Alan S. Wardyga, Wealth Management Resources, Inc.
Jul. 1, 2009 Tom Berghage
Jul. 1, 2009 Jonathan S. Krasney, Krasney Financial LLC
Jul. 1, 2009 Justin B. Whelan, III, Biechele Royce Advisors, Inc.
Jul. 1, 2009 Memorandum from the Division of Investment Management Regarding a Meeting with Paul N. Roth
Jul. 1, 2009 Charles K. Arnold, Protected Investors of America
Jul. 1, 2009 D. A. Barfield
Jul. 1, 2009 Joanne D. Mungall
Jul. 1, 2009 Ernest Giacobba, CLU
Jul. 1, 2009 Diane Stack, North Point Portfolio Managers, Corp.
Jul. 1, 2009 Memorandum from the Office of the Chairman regarding a June 30, 2009 meeting with representatives of LPL Financial and Rich Feuer Group
Jul. 1, 2009 Steven Re
Jul. 1, 2009 Curt Weil, Lasecke Weil Wealth Advisory Group, LLC
Jul. 1, 2009 Deborah Frazier
Jul. 1, 2009 Asset Planning Inc.
Jul. 1, 2009 Eugene J. Kostrewa
Jul. 1, 2009 Paul Schnitman
Jul. 1, 2009 Adam Miller, Elderado Financial
Jul. 1, 2009 Vivian Holzer, Holzer & Company, Inc.
Jul. 1, 2009 Janet Elder, ElderAdo Financial
Jul. 1, 2009 Phil Taggart, Taggart Financial Group Inc.
Jul. 1, 2009 Laurie Bagley, Strategic Wealth Advisors, LLC
Jul. 1, 2009 A. R. (Rob) Hoxton IV
Jul. 1, 2009 Michael J. Fischer, Sequoia Financial Advisors
Jul. 1, 2009 Mike Babin
Jul. 1, 2009 Evelyn Zohlen
Jul. 1, 2009 Walter Marbert
Jul. 1, 2009 Jill Hollander
Jul. 1, 2009 James D. Hohman, Stone Quarry Crossing
Jul. 1, 2009 John Malzone
Jul. 1, 2009 David Maurice
Jul. 1, 2009 Mark S. Young, Clearview Financial, Inc.
Jul. 1, 2009 Mark Deschaine
Jul. 1, 2009 John J. Malzone
Jul. 1, 2009 Joseph Alotta
Jul. 1, 2009 Brody Saxon
Jul. 1, 2009 Max W. Smith, Hillspring Financial, Inc.
Jul. 1, 2009 Anthony A. Josephson, Carmel Capital Partners
Jul. 1, 2009 Steve Wenstrup, Tillar-Wenstrup Advisors, LLC
Jul. 1, 2009 Samson Wang, Runnymede Capital Management, Inc.
Jul. 1, 2009 Marvin Appel, Appel Asset Management Corp.
Jul. 1, 2009 Christopher Rich
Jul. 1, 2009 Baron Benham
Jul. 1, 2009 Nedra Low
Jul. 1, 2009 Robert Keenan, St. Bernard Financial Services, Inc.
Jul. 1, 2009 Lowell R. Lemesany, Ameriprise Advisor Services, Inc.
Jul. 1, 2009 Robert Jung, Crew Capital Management, Ltd.
Jul. 1, 2009 Barry J. Swaim, Wealth Management Group, Inc.
Jul. 1, 2009 Jerold Tweddell, Tweddell Goldberg Investment Management
Jul. 1, 2009 Charles F. Steege, SFG Investment Advisors, Inc.
Jul. 1, 2009 Alan Bewley
Jul. 1, 2009 Robert Galowich, Strategic Wealth Partners
Jul. 1, 2009 William Cuthbertson
Jul. 1, 2009 Morris Armstrong, Armstrong Financial Strategies
Jul. 1, 2009 Melissa MacLeod
Jul. 1, 2009 Richard S. Winer, Winer Wealth Management, Inc.
Jul. 1, 2009 James P. Dew, Dew Wealth Management
Jul. 1, 2009 Peter W. Raber, Aldebaran Financial, Inc.
Jul. 1, 2009 David Handmaker
Jul. 1, 2009 Lynn S. Evans, Northeastern Financial Consultants, Inc.
Jul. 1, 2009 Anthony Welch
Jul. 1, 2009 Anthony W. Welch, Sarasota Capital Strategies Inc.
Jul. 1, 2009 Marc J. Anselme RIA
Jul. 1, 2009 Alvin Miller, James River Asset Management
Jul. 1, 2009 Milton E. Fullen, Fullen Financial Group, Inc.
Jul. 1, 2009 Brian M. Murphy, Pathways Financial Partners
Jul. 1, 2009 Joseph Bronson, ECM Investment Management, Inc.
Jul. 1, 2009 Jeff Liautaud
Jul. 1, 2009 Kenneth W. James, Greenwood Investment Management, Inc.
Jul. 1, 2009 John D. Moore
Jul. 1, 2009 Don Slabaugh
Jul. 1, 2009 James B. Dorman
Jul. 1, 2009 Mark Ivcevich, QP Consulting
Jul. 1, 2009 Donald F. Dempsey, Jr., Dempsey Investment Management, LLC
Jul. 1, 2009 Kerry G. Mayo, Capital Financial Advisors of New York, LLC
Jul. 1, 2009 Tony Moeller
Jul. 1, 2009 Raphael Martorello, Martorello Money Management, Inc.
Jul. 1, 2009 Timothy Jones, CJM Wealth Advisers
Jul. 1, 2009 Steven Goldberg, Tweddell Goldberg, LLC
Jul. 1, 2009 John Borger
Jul. 1, 2009 Ronald Golden, FGMK/Preservation Capital Partners, LLC
Jul. 1, 2009 Anonymous
Jul. 1, 2009 David Daughtrey, Copperwynd Financial
Jul. 1, 2009 Alan M. Jotkoff, Jotkoff & Associates
Jul. 1, 2009 William Hepburn
Jul. 1, 2009 Scoby Zook
Jul. 1, 2009 Ron Dickinson
Jul. 1, 2009 Armstrong Francis, III, Investor Solutions, Inc.
Jul. 1, 2009 Melinda Thomas, FIT Financial LLC.
Jul. 1, 2009 Brian Carney
Jul. 1, 2009 Mark S. Germain, BeaconWealth Management, LLC
Jul. 1, 2009 Thomas Rauba, Eagle Rock Financial Advisers, Ltd.
Jul. 1, 2009 Connie Guelich
Jul. 1, 2009 Jane Lordeman, Lordeman Associates
Jul. 1, 2009 James Denney, Mohawk Asset Management, Inc.
Jul. 1, 2009 David D. Greene, CJM Wealth Advisers, Ltd.
Jul. 1, 2009 Bryce James, Smart Portfolios, LLC
Jul. 1, 2009 Eric A. Norberg, EAN Equity Financial Services, LLC
Jul. 1, 2009 Joseph Borriello
Jul. 1, 2009 Michael J. Smith, RTD Financial Advisors, Inc.
Jul. 1, 2009 Matthew E. Chope, Center for Financial Planning, Inc.
Jul. 1, 2009 John T. Orlando, Financial Security
Jul. 1, 2009 Jonathan Krasney, Krasney Financial
Jul. 1, 2009 Thomas J. Lo Manto, American Portfolios Advisors, Inc.
Jul. 1, 2009 Lona I. Landauer
Jul. 1, 2009 Larry Hilkemann, Christensen Brozek Faltys
Jul. 1, 2009 Clifford Michaels, Institutional Investment Advisors.com
Jul. 1, 2009 Nathan Snodgrass, Evanston Advisors
Jul. 1, 2009 Valerie E. Swan, Allegheny Investments, Ltd.
Jul. 1, 2009 Jeff Toadvine, Ingram Financial Group
Jul. 1, 2009 Jason Lampe, Lampe Asset Management
Jul. 1, 2009 Bryan Berry, Trendline Capital Management
Jul. 1, 2009 Bruce W. Davison
Jul. 1, 2009 Michael G. Seymour, Ingram Financial Group
Jul. 1, 2009 Mark Waldman
Jul. 1, 2009 Carol K. Lampe, Lampe Asset Management
Jul. 1, 2009 Tim Decker
Jul. 1, 2009 Scott A. McCord, Owner, Financial Planning Services, Peoria, Illinois
Jul. 1, 2009 Timothy T, Corcoran, CPA, RIA
Jul. 1, 2009 John D. Brennan
Jun. 30, 2009 J. Harold Williams, CPA, CFP, Chief Compliance Officer, Linscomb & Williams, Inc.
Jun. 30, 2009 Louis R. Miceli, RFC
Jun. 30, 2009 Christopher Peck, Natural Investments, LLC
Jun. 30, 2009 Paul Drescher, CFP, Foothill Securities, Inc.
Jun. 30, 2009 Brent J. Beverly, CFP, The Advisory Group
Jun. 30, 2009 Jim Elder, CFO, Elderado Financial
Jun. 30, 2009 W. Howard Thompson, CFA, CFP, Crescent Sterling, Ltd.
Jun. 30, 2009 Amy Klein, President, Classic Portfolio Management, Inc., Menlo Park, California
Jun. 30, 2009 Shannon King, SilverOak Wealth Management, LLC
Jun. 30, 2009 Kathleen Lenover, MEd, CFP
Jun. 30, 2009 Harold Evensky, Evensky & Katz
Jun. 30, 2009 Michael L. Fenison, CFP, AIF, RFC, Pure Financial Advisors, Inc.
Jun. 30, 2009 Jeff Bright, CFP
Jun. 30, 2009 Richard Rogers, CPA, CFP, PFS
Jun. 30, 2009 Tyrone C. Phillippi, President of LifePlan Financial Group, Inc., Miamisburg, Ohio
Jun. 30, 2009 Robert V. Bolen, CFP, CFA, Bolen | Dodson & Associates
Jun. 30, 2009 Gordon E. Jones, CFP, Jones Advisory Group LLC
Jun. 30, 2009 Lowell Gossell
Jun. 30, 2009 James Maddux, CFP, CTFA, BancFirst Trust & Investment Management
Jun. 30, 2009 John A. Black, Wealth Management Advisor
Jun. 30, 2009 Gregory Lawrence
Jun. 30, 2009 Jeffrey A. Bogart, Financial Planning Association, Beachwood, Ohio
Jun. 30, 2009 Rich Arzaga, Cornerstone Wealth Management
Jun. 30, 2009 Donna L. Harrington, Bond and Devick Financial Network
Jun. 30, 2009 Richard L. Dobbyn, CFP
Jun. 30, 2009 Kevin L. Friday, CFP
Jun. 30, 2009 William S. Hart, CFP, MBA, Retirement Strategies, Inc
Jun. 30, 2009 Kevin M. Reardon, CFP, Shakespeare Wealth Management, Inc.
Jun. 30, 2009 Alfred J. Hicks, Certified Financial Planner
Jun. 30, 2009 Dennis M. Strasser, CFP
Jun. 30, 2009 Stanley E. Thomas, Thomas & Atkinson Capital Management LLC
Jun. 30, 2009 Ellen R. Siegel, CFP
Jun. 30, 2009 Clifford P. Ryan, CLU, ChFC, RHU, Elder Planning Advisors of Maine, Inc.
Jun. 30, 2009 Jane E. Marchand, Jacksonville, Florida
Jun. 30, 2009 Barry M. Freedman CFP, Chairman, Foundation For Financial Planning
Jun. 30, 2009 Sean Sebold, CFA, CFP, Naperville, Illinois
Jun. 30, 2009 George N. Luciani, CFP, Capital Planning Advisory Group, Inc
Jun. 30, 2009 Ronald M. Robins, Beacon Financial Advisors, Inc
Jun. 30, 2009 James B. Carano, Certified Financial Planner, Meridian Advisory Services, LLC
Jun. 30, 2009 Thomas A. Haunty, CFP, RHU, REBC, ChFC, Northstar Research Group
Jun. 30, 2009 Richard Mikula, Liberty Financial Group
Jun. 30, 2009 Janet Tyler Johnson, CFP, RFC, JATAJ Wealth Management, LLC
Jun. 30, 2009 Scott Whytock, CFP, Aurora Financial Group, LLC
Jun. 30, 2009 Dan Serra
Jun. 30, 2009 William Powers, CFP
Jun. 30, 2009 Stewart Welch, III, CFP, AEP, Partner & Founder, The Welch Group, LLC
Jun. 30, 2009 Jim Uren, CFP
Jun. 30, 2009 Stephen E. Simmons, First Command Financial Planning
Jun. 30, 2009 Steven J. Stanganelli,CRPC, CFP, Focus Capital Wealth Management, Inc.
Jun. 30, 2009 Anthony J. Zalesky, CFP, ChFC, CLU, Scharf Group, LLC
Jun. 30, 2009 A.T. "Al" Benelli, CFP, FIC, The Merlin Group
Jun. 30, 2009 Lisa A. Haupt, CFP, Rowling, Dold & Associates LLP
Jun. 30, 2009 Seth B. Fierston, Vice President, Fierston Financial Group, Inc.
Jun. 30, 2009 Richard H. Wagener, Wagener-Lee, LLC
Jun. 30, 2009 Elizabeth Eden, Diastole Wealth Management
Jun. 30, 2009 Ronald Scott Colson, CFP, MBA, President, Colson Financial Group, Inc
Jun. 30, 2009 Ronald Scott Colson, CFP, MBA, President, Colson Financial Group, Inc
Jun. 30, 2009 Donald J. Moulton, CFP, RFC, Director of Financial Services, Retirement & Tax Planning Specialists, Inc.
Jun. 30, 2009 William G. Hammond, CFP , Hammond Investment Planning Corp.
Jun. 30, 2009 David Lindau
Jun. 30, 2009 Neil Brown CPA, CFP
Jun. 30, 2009 Marshall Jaffe, Jaffe Asset Management, LLC, Beverly Hills, California
Jun. 30, 2009 Thomas R. Foster, CFP
Jun. 30, 2009 Christopher L. Phelps, CPA/PFS, CFP, Financial Life Concepts, San Diego, California
Jun. 30, 2009 Roger Kiger, CFP, Visionary Horizons, Knoxville, Tennessee
Jun. 30, 2009 Burt Williamson, MBA, CFP, President, Chief Planning Officer, PlanPrep LLC
Jun. 30, 2009 Patricia Solberg CLU, CFP, CFDP, MSW, LUTCF
Jun. 30, 2009 Jon D. Walton, CFP, CLU
Jun. 30, 2009 Melvyn E. Wicks, CFP, ChFC, Independent Retirement Solutions, LLC, Toledo, Ohio
Jun. 30, 2009 Joseph J. McCusker, Sr., Celtic Consulting Services, Inc., Denver, Colorado
Jun. 30, 2009 Misti Spencer, Remington Financial Services, Inc.
Jun. 30, 2009 Joy R. Roberts, Hester Capital Management, L.L.C.
Jun. 30, 2009 Linda Kuehn, McCormack Financial Planning, Inc., Atlanta, Georgia
Jun. 30, 2009 Barbara McCormack, CFP, McCormack Financial Planning, Inc., Atlanta, Georgia
Jun. 30, 2009 Robert J. Bohner, President, Financial Planner, Personal Financial Consulting, Inc.
Jun. 30, 2009 Carl Amos Johnson, MBA, CFP, AIF, Ames Planning Associates, Inc., Peterborough, New Hampshire
Jun. 30, 2009 Saxon Birdsong, Baltimore-Washington Financial Advisors, Inc.
Jun. 30, 2009 Justin C. Waller
Jun. 30, 2009 Kim Nourie, CFP, CPA, Cross Financial Services
Jun. 30, 2009 Phillips M. Bragg, CFP, Bragg Financial Advisors, Inc., Charlotte, North Carolina
Jun. 30, 2009 Alvin Gebhart
Jun. 30, 2009 William B. Burns, Jr., CFP, Burns Matteson Capital Management
Jun. 30, 2009 Blake P. King
Jun. 30, 2009 Bob Gordon CFP, M.A.
Jun. 30, 2009 Peter F. Tedstrom, CFP, Partner & LPL Branch Manager, Brown & Tedstrom, Inc.
Jun. 30, 2009 Tim A. Konicke
Jun. 30, 2009 Conrad E. Seastrunk, CFP, Seastrunk Financial Management, LLC
Jun. 30, 2009 Chris Kimball
Jun. 30, 2009 Mark Wallace CFP CRPC, Financial Advisor, Bay City Financial Services, Inc.
Jun. 30, 2009 Daniel H. Boyce, CFP, Center for Financial Planning, Inc.
Jun. 30, 2009 Brian T. Sells, CPA CFP, President & Chief Investment Officer, Peak Financial Advisors, LLC, Denver, Colorado
Jun. 30, 2009 Tom McGlinchey
Jun. 30, 2009 G.M. "Buz" Livingston III, Santa Rosa Beach, Florida
Jun. 30, 2009 Bobby Cummings, CFP, CFBS, CLTC, Lighthouse Financial of Charleston, Mount Pleasant, South Carolina
Jun. 30, 2009 Timothy W. Wyman, CFP, JD
Jun. 30, 2009 Heather Rock
Jun. 30, 2009 Bryan Sadoff, Sadoff Investment Management, Milwaukee, Wisconsin
Jun. 29, 2009 Amy Klein, Menlo Park, California
Jun. 29, 2009 Sy Lippman, CEO, L S Advisors, Inc., Los Angeles, California
Jun. 27, 2009 Robert N. Veres, San Diego, California
Jun. 26, 2009 Robert B. Clelland, CIMA, President, Clelland Company, Inc., La Jolla, California
Jun. 26, 2009 Michael A. Pagano, CCO, 1st Global Advisors, Inc., Dallas, Texas
Jun. 25, 2009 Aaron C. Matheny, CCO, Capital Strategies Group, LLC, Tempe, Arizona
Jun. 25, 2009 James B. Cornehlsen, CFA, Chief Investment Officer, Dunn Warren Investment Advisors, Denver, Colorado
Jun. 24, 2009 Michael Ferman, RubinBrown Advisors
Jun. 24, 2009 Donna L. Jordan, CFP, Money Professionals LLC, Pensacola, Florida
Jun. 24, 2009 Stephanie Burris, President, Prosperity Investment Advisors, Inc., Longmont, Colorado
Jun. 23, 2009 Melissa K. Hammel, CFP, Brentwood, Tennessee
Jun. 23, 2009 Curt Weil, CFP, President, Lasecke Weil Wealth Advisory Group, LLC, Palo Alto, California
Jun. 23, 2009 Rick A. Huff, CPA/PFS, Wealth Manager, Huff, Stuart & Carlton
Jun. 22, 2009 Jeffrey W. McClure, CFP, President and Chief Investment Officer, The Personal Wealth Coach, Salado, Texas
Jun. 22, 2009 John Barnes, Chief Operating Officer, WHM Capital Advisors, LLC
Jun. 22, 2009 Kirk B. Young, Managing Member, BARR Financial Services, LLC, Winter Park, Florida
Jun. 22, 2009 Kenneth M. Moore, Jr., CFP, AIF, Greenville, South Carolina
Jun. 22, 2009 Patricia C. Patterson, CFP, CMFC, Premier Financial Planning, Inc., San Diego, California
Jun. 22, 2009 Charles Jonathan Denyer, NDB Accountants and Consultants, Atlanta, Georgia
Jun. 22, 2009 Alan Lachowitz, Registered Investment Advisor, Edgartown, Massachusetts
Jun. 21, 2009 June A. Schroeder, RN, CFP, Liberty Financial Group, Inc.
Jun. 21, 2009 Brant J. Donis, Financial Planning Association, St. Louis, Missouri
Jun. 19, 2009 A. J."Sandy" Stuart, III, CPA, Investment Advisor, Huff, Stuart & Carlton, Forest, Virginia
Jun. 18, 2009 Memorandum from the Office of Commissioner Aguilar regarding a June 16, 2009, meeting with representatives of LPL Financial and Rich Feuer Group
Jun. 18, 2009 Memorandum from the Division of Investment Management regarding a June 18, 2009, meeting with representatives of KPMG LLP
Jun. 17, 2009 Roger S. Asel, AICPA, NAPFA, FPA, Dallas, Texas
Jun. 17, 2009 Brian R. Carlton, CFP, Forest, Virginia
Jun. 16, 2009 Theodore Schwartz, Investment Advisor Representative, Cambridge Investment, Colorado Springs, Colorado
Jun. 15, 2009 Phillip Q. Couture, Couture Financial, Inc., Sarasota, Florida
Jun. 15, 2009 Carol Y. Godsave, CFP, Santa Clara, California
Jun. 12, 2009 John Fiege, CFP, Onancock, Virginia
Jun. 12, 2009 John J. Hutchins, CFP, AIF, CEO, Comprehensive Planning Associates, Inc., Lebanon, New Hampshire
Jun. 12, 2009 Brent R. Brodeski, Managing Director, Savant Capital Management Inc, Rockford, Illinois
Jun. 12, 2009 Sheryl L. Rowling, CPA/PFS, NAPFA, AICPA, San Diego, California
Jun. 12, 2009 Thomas A. Muldowney, Managing Director, Savant Capital Management, Inc, Rockford, Illinois
Jun. 11, 2009 Paul T. Dorian, Chief Compliance Officer, Dorian Eason Asset Management, LLC, Memphis, Tennessee
Jun. 10, 2009 Charles Webb, President, The Alder Financial Group, Atlanta, Georgia
Jun. 10, 2009 Derek H. Baugh, Baugh and Associates, LLC, Atlanta, Georgia
Jun. 10, 2009 Lorinda Roth, FPA, West Des Moines, Iowa
Jun. 10, 2009 Kristopher Bonocore
Jun. 10, 2009 Stephen Cicali, Cherry Hill, New Jersey
Jun. 9, 2009 Paul J. Carroll, CFP - Sole Proprietor, The Woodlands, Texas
Jun. 9, 2009 Jonathan R. Kelley, CFP, LAkewood, Colorado
Jun. 9, 2009 Donald S. Huber, Jr., CCO Cornerstone Advisory, Baltimore, Maryland
Jun. 4, 2009 Kay Conheady, CFPR, Apropos Financial Planning, Rush, New York
Jun. 3, 2009 Donald L. Haisman, CFP, CFP, Fort Myers, Florida
Jun. 2, 2009 Anne Gardner, Compliance Officer, Gardner Russo & Gardner, Lancaster, Pennsylvania
Jun. 1, 2009 Robert J. Reed, Jr., FPA, NAPFA, Covington, Louisiana
May 30, 2009 Bruce Kitchin, Newark, Delaware
May 29, 2009 William C. Jerome, Glenville, New York
May 29, 2009 Gerald E. Gasber, CFP, FPA, NAPFA, Gold River, California
May 29, 2009 Thomas H. Breiter, Anna Maria, Florida
May 28, 2009 Arlen Olberding, Fort Collins, Colorado
May 27, 2009 Memorandum regarding a May 21, 2009, meeting with representatives of the Managed Funds Association
May 27, 2009 Peter J.Chepucavage, The International Association of Small Broker Dealers and Advisors
May 27, 2009 Martin Dirks, Adjunct Professor, Golden Gate University, Former California Registered Investment Advisor, San Francisco, California
May 26, 2009 Dr. Douglas Rice, CFP, Registered Investment Adviser
May 26, 2009 Warren J. Mackensen, President, Mackensen & Company, Inc., Hampton, New Hampshire
May 25, 2009 Carolyn Santo, CFP, President, Essential Financial, Ltd., Honolulu, Hawaii
May 25, 2009 Rosamond R. Dewart, retired federal employee (DHHS), Decatur, Georgia
May 23, 2009 William C. Jerome, Glenville, New York
May 23, 2009 John M. Smartt, Jr., CPA, NAPFA member, Knoxville, Tennessee
May 22, 2009 David John Marotta, NAPFA, Charlottesville, Virginia
May 22, 2009 Robert S. Rexford
May 22, 2009 Steven D. Podnos, MD, CFP, Merritt Island, Florida
May 22, 2009 Dave Lough, CPA-CFP, Clearwater, Florida
May 22, 2009 Dale A. Walters, CPA, CEO, Keats Connelly and Associates, LLC, Phoenix, Arizona
May 22, 2009 Ricardo Ulivi, NAPFA, Orange, California
May 22, 2009 Warren Udd, Victoria, Texas
May 22, 2009 John C. Gay, Registered Investment Adviser (State of Texas) and CFP Professional, Frisco, Texas
May 22, 2009 Jeffrey Feldman, Ph.D., CFP, Registered Investment Advisor, Pittsford, New York
May 21, 2009 Rick K. Shapiro, CPA, AICPA, FPA, NAPFA, W. Hartford, Connecticut
May 21, 2009 Jeffrey J. Cobb, Leawood, Kansas
May 15, 2009 Gunther Karger

 

http://www.sec.gov/comments/s7-09-09/s70909.shtml

Modified: 12/24/2009