EX-99.26(B) 3 d351337dex9926b.htm LIST OF THIRD PARTY BROKER-DEALER FIRMS INCLUDED AS ATTACHMENT A List of third party broker-dealer firms included as Attachment A

JHNY APPROVED BKR-DLRS as of 1-31-2012

 

1st Global Capital Corp.

   75-2429960

A&F Financial Securities, Inc.

   59-3487371

A.P. Securities, Inc.

   11-3031179

Advest, Inc.

   06-0950348

Advisory Group Equity Services, Ltd.

   04-2830039

Aegis Capital Corp.

   11-2671906

Allstate Financial Services, LLC

   47-0826838

All-Vest Securities, Inc.

   11-2591111

AM & M Investment Brokers, Inc.,

   16-1269648

American Capital Partners, LLC

   01-0564579

American Portfolios Financial Services, Inc.

   11-3018002

Ameriprise Financial Services, Inc

   41-0973005

Ameritas Investment Corp.

   47-0663374

Atlantic Financial, LLC

   26-1738719

AXA Advisors, LLC

   06-1555494

Bay Colony Securities Co., Inc.

   04-3333156

BB & T Investment Services, Inc.

   56-1815852

BCG Securities, Inc.

   23-1664237

Benjamin F. Edwards & Company, Inc.

   26-3199152

Bernard Herold & Co., Inc.

   13-2707317

Berthel, Fisher & Company Financial Services, Inc.

   42-1029773

BG Worldwide Securities, Inc.

   30-0039439

BNY Mellon Securities, LLC

   22-3582948

Brighton Securities Corp.

   16-0961085

Bristol Financial Services, Inc.

   20-3156765

Brokerageselect

   06-1549225

Brookstone Securities, Inc.

   61-1013147

Buckman, Buckman & Reid, Inc.

   22-2926943

C & S Securities Corp.

   13-3736484

Cadaret, Grant & Co., Inc.

   22-2361254

Calton & Associates, Inc.

   59-2845944

Cambridge Investment Research, Inc.

   42-1445429

Cambridge Legacy Securities

   75-2838858

Cantella & Co., Inc.

   04-3211861

Capital Analysts, Inc.

   23-1691523

Capital Brokerage

   91-1143830

Capital Financial Services, Inc.

   39-1361519

Capital Guardian, LLC

   20-2386043

Capital Investment Group, Inc.

   56-1394939

Capital One Investment Services LLC

   26-2445188

CBIZ Financial Solutions, Inc.

   52-1396995

CCO Investment Services Corp.

   05-0487400

Centauraus Financial, Inc.

   33-0530236

Centerre Capital, LLC

   20-4941341

CES Insurance Agency, Inc.

   04-2865307

CFD Investments, Inc.

   35-1692812

Chase Investment Services Corp

   13-3538956

Chelsea Financial Services

   11-3489062

Citigroup Global Markets, Inc.

   11-2418191

Clark Dodge & Co., Inc.

   59-2738888

Compass Securities Ins.

   04-2844064

Comprehensive Asset Management and Servicing, Inc

   22-3580765

Concorde Investment Services, LLC

   27-0498480

Coombe Financial Services, Inc

   14-6025667

Coordinated Capital Securities, Inc

   39-1468428

 

FOR INTERNAL USE ONLY

JHNY APPROVED BKR-DLRS as of 1-31-2012

 

CPI Capital

   13-5440082

Crown Capital Securities, L.P.

   33-0837984

CUNA Brokerage Services, Inc.

   39-1205591

Curtis Securities, LLC

   23-3024513

Delta Equity Services, Corp.

   04-3077774

Detwiler Fenton & Co

   04-2473303

Deutsche Bank Securities, Inc.

   13-2730828

Di Giulio Financial Services, Inc.

   16-1573323

Dinosaur Securities, LLC

   13-4123021

Dominick & Dominick, LLC

   13-4023549

Edward D. Jones, & Co., L.P.

   43-0345811

Equity Services Inc.

   03-0221141

Essex Financial Services, Inc.

   36-4529342

Essex National Securities, Inc.

   13-3526697

Essex National Securities, Inc.

   13-3526697

Essex National Securities, Inc.

   13-3526697

Essex National Securities, Inc.

   13-3526697

Essex National Securities, Inc.

   13-3526697

Essex National Securities, Inc.

   13-3526697

Excel Securities & Associates, Inc.

   16-1540153

Fairport Capital, Inc.

   06-1103413

Financial Advisers of America LLC

   20-5152969

Financial Network Investment Corp.

   95-3845382

Financial Telesis, Inc.

   68-0279977

Financial West Group

   95-3989258

Fintegra, LLC

   41-1906019

First Allied Securities, Inc.

   11-3152836

First Allied Securities, Inc.

   11-3152836

First Capital Equities, LTD

   11-2654162

First Heartland Capital, Inc.

   43-1635588

First Midwest Securities, Inc.

   39-1605425

First Savings Securities, Inc.

   20-0916490

First Williston Corporation

   11-2042681

Five Star Investment Services, Inc.

   16-1572019

Foresters Equity Services, Inc.

   33-0187144

Fortune Financial Services, Inc.

   25-1799740

Founders Financial Securities, LLC

   20-2052994

FSC Securities Corporation

   58-1288674

Fulcrum Securities, Inc

   20-1098652

G.A. Repple & Company

   59-2599605

Garden State Securities, Inc.

   22-2319866

Gary Goldberg & Company, Inc.

   13-2731002

GDC Securities, LLC

   06-1415515

Geneos Wealth Management, Inc.

   02-0580939

Genworth Financial Securities Corp

   36-3120284

GFA Securities, LLC

   57-1169794

Gilford Securities

   13-3926478

Girard Securities, Inc.

   33-0394862

Global Arena Capital Corp.

   13-3274676

Great American Investors, Inc.

   48-1099886

GWN Securities, Inc.

   65-0939556

H. Beck, Inc.

   52-1321340

H.D. Vest Investment Securities, Inc.

   75-1869963

Hamilton Cavanaugh Investment Brokers, Inc.

   13-3750891

Harbor Financial Services, LLC

   20-0629176

Hazard & Siegel, Inc.

   16-0954584

Henley & Company, LLC.

   02-0723575

 

FOR INTERNAL USE ONLY

JHNY APPROVED BKR-DLRS as of 1-31-2012

 

Highland Capital Securities, Inc.

   52-2265514

HighTower Securities, LLC

   36-4454225

Hornor, Townsend & Kent

   23-1706189

HRC Investment Services, Inc.

   11-3140280

HSBC Securities (USA), Inc.

   13-5101370

Hudson Heritage Capital Management, Inc.

   13-3970289

IBN Financial Services, Inc.

   16-1493299

IDB Capital Corp.

   13-4134872

Independent Financial Group, LLC

   71-0927304

ING Financial Advisers, LLC.

   06-1465377

ING Financial Partners, Inc.

   41-0945505

ING Financial Partners, Inc.

   41-0945505

International Financial Solutions, Inc.

   25-1717574

Intervest International Equities Corp.

   98-0096287

Invest Financial Corporation

   59-2195688

Investacorp, Inc.

   09-1790176

Investors Capital Corp.

   04-3161577

Investors Security Company, Inc. (ISCI)

   54-0759733

J J B Hilliard W L Lyons, Inc.

   61-0734935

J.P. Turner & Company, L.L.C.

   58-2304414

J.W. Cole Financial, Inc.

   16-1632597

Janney Montgomery Scott, Inc.

   23-0731260

JHS Capital Advisors

   20-4712373

John James Investments, LTD.

   16-1454436

Kern, Suslow Securities, Inc.

   13-3516214

Key Investment Services, LLC

   13-4300906

Key2Life Brokerage Inc.

   26-3013748

KMS Financial Services, Inc.

   91-0850651

Kovack Securities, Inc.

   65-0747270

L & M Financial Services

   34-1512271

L. M. Kohn and Company

   31-1311805

Larimer Capital Corporations

   84-1028373

Larson Financial Securities, LLC

   27-1372444

LaSalle St. Securities, LLC

   36-2797246

Leigh D. Baldwin & Co., Inc.

   22-3348632

Leonard & Company

   38-3153859

Lesko Securities Inc.

   16-1152736

Leumi Investment Services, Inc.

   13-4132289

Lifemark Securities Corp.

   16-1238365

Lincoln Financial Advisors Corporation

   35-1151034

Lincoln Financial Securities Corp.

   02-0275490

Lincoln Investment Planning, Inc.

   23-1702591

Lombard Securities, Inc.

   52-1695548

Long Island Financial Group, Inc.

   11-3136985

LPL Financial Corporation

   95-2834236

M & T Securities, Inc.

   16-1263079

M Holdings Securities, Inc.

   91-1802259

M. Griffith, Inc.

   15-0572891

Madison Avenue Securities, Inc.

   71-0987804

Marlin Trading, Inc.

   13-3990383

May Capital Group, LLC

   22-3324819

McDonald Investments Inc.

   34-1391952

Mercer Allied Company, LP

   14-1775694

Merrill Lynch, Pierce, Fenner & Smith (MLPF&S)

   13-2808480

Mesirow Financial, Inc.

   36-3429604

Metlife Securities, Inc. (formerly Metropolitan Life Insurance Company)

   13-3175978

 

FOR INTERNAL USE ONLY

JHNY APPROVED BKR-DLRS as of 1-31-2012

 

Mid Atlantic Capital Corporation

   25-1409618

MidAmerica Financial Services, Inc.

   42-1487429

Mid-Atlantic Securities, Inc.

   62-1726305

MMC Securities, Inc.

   06-1685865

MML Investor Services, Inc.

   04-2746212

Money Concepts Capital Corp.

   59-2268067

Morgan Keegan & Company

   64-0474907

Morgan Stanley Smith Barney LLC

   26-4310844

Multi-Financial Securities Corp.

   84-0858799

Mutual Funds Associates

   16-0922871

MWA Financial Services, Inc.

   36-4420471

National Planning Corporation

   38-3023534

National Planning Corporation

   38-3023534

National Securities Corporation

   91-0519466

Nations Financial Group, Inc.

   39-1909295

Nationwide Planning Associates, Inc.

   22-3196827

Nationwide Securities LLC (aka NSLLC)

   36-2434406

NDX Trading, Inc.

   75-2617676

Nelson Securities, Inc.

   91-1219910

New England Securities Corporation

   04-2436412

New Horizons Asset Management Group, LLC.

   14-1809293

Newbridge Securities Corp

   54-1879031

Next Financial Group, Inc.

   54-1900002

NFP Securities, Inc.

   74-2470431

NIA Securities, LLC

   22-3570392

North Ridge Securities Corp.

   11-3022165

Northeast Securities, Inc.

   11-2997095

Northern Lights Distributors, LLC

   77-0625792

Northwestern Mutual Investment Services, LLC.

   52-2114207

NPA Financial Services, Inc.

   22-2848218

NYLife Securities Inc.

   27-0145686

Obsidian Financial Group, LLC

   11-3529741

Ogilvie Security Advisors Corp.

   36-3126405

Ohanesian / Lecours, Inc

   06-1253940

O’Keefe Shaw & Co., Inc.

   16-1496435

Online Brokerage Services, Inc.

   20-5460834

Oppenheimer & Co., Inc.

   13-6567518

P & A Financial Securities, Inc.

   16-1533600

Pacific West Securities, Inc.

   91-0888407

Park Avenue Securities, LLC.

   13-4023176

Parsonex Securities, Inc.

   20-8580639

Partnervest Securities, Inc.

   77-0530263

Paulson Investment Company, Inc.

   93-0789804

Petersen Investments, Inc.

   22-2332595

Phoenix Equity Planning Corporation

   23-2795977

Pinnacle Investments, LLC

   20-5319494

PlanMember Securities Corporation

   95-3706234

Prime Capital Services, Inc.

   14-1691322

Prime Vest Financial Services, Inc.

   41-1483314

Princor Financial Services Corporation

   42-0941553

Private Client Services, LLC

   61-1383537

Pro Equities, Inc.

   63-0879387

Pro Integrity Securities, Inc.

   73-1552325

 

FOR INTERNAL USE ONLY

JHNY APPROVED BKR-DLRS as of 1-31-2012

 

Prospera Financial Services, Inc.

   75-1832551

Pruco Securities Corp

   22-1211670

Purshe Kaplan Sterling Investments

   13-3749682

QA3 Financial Corp.

   42-1212429

Quest Capital Strategies, Inc.

   95-3859254

Questar Capital Corporation

   38-3342968

R & W Brokerage, Inc.

   11-2779581

R. Seelaus & Co., Inc

   22-2501042

Rampart Financial Services, Inc.

   23-2893756

Rampart Financial Services, Inc.

   23-2893756

Raymond James Financial Services (fka I. M. & R, Inc.)

   59-1237041

RBC Capital Markets Corp

   41-1416330

RBC Capital Markets Corporation

   41-1416330

RDM Investment Services, Inc.

   06-1577756

Regal Securities, Inc.

   36-2916812

Resource Horizons Group, LLC

   22-3729961

Retirement Capital Group Securities, Inc.

   45-0498715

RNR Securities, LLC.

   11-3374561

Robb, P.J. Variable Corp.

   62-1592808

Robert W. Baird

   39-1236032

Rockwell Global Capital, LLC

   20-3993930

Royal Alliance Associates, Inc.

   93-0987232

S.C. Parker & Co., Inc.

   16-0876114

Sage, Rutty & Co., Inc.

   16-0620690

SagePoint Financial, Inc (formerly AIG Financial Advisors, Inc.)

   20-1741754

Sandgrain Securities, Inc.

   11-3006260

Saperston Asset Management Inc.

   16-1539208

Saxony Securities, Inc.

   43-1932300

Saybrus Equity Services, Inc.

   27-1869321

Scott & Stringfellow, LLC

   54-0294670

Securian Financial Services, Inc.

   41-1486060

Securities America, Inc.

   11-2551174

Securities Service Network, Inc.

   62-1560343

SEI Investments Distribution Co.

   23-2177800

Sentinel Securities, Inc.

   04-3527574

SIGMA Financial Corporation

   38-2472555

Signator Investors, Inc.

   04-2442399

Signature Securities Group Corporation

   13-4120476

SII Investments Inc.

   39-1099262

SMH Capital, Inc.

   76-0224835

Sorrento Pacific Financial, LLC

   04-3746212

Sorrento Pacific Financial, LLC

   04-3746212

Source Capital Group, Inc.

   06-1398455

Sovereign Legacy Securities, Inc.

   11-1738990

Spire Securities, LLC

   20-8920866

Stacey Braun Financial Services, Inc.

   13-4193719

Stanley Laman Group Securities LLC

   33-1027312

Sterling Monroe Securities, LLC

   75-3049285

Sterne Agee Financial Services, Inc.

   75-2975513

Stifel, Nicolaus & Company, Inc.

   43-0538770

Summit Brokerage Services, Inc.

   59-3202578

SunTrust Investment Services, Inc.

   58-1648698

Symetra Investment Services, Inc.

   91-1354455

Syndicated Capital, Inc.

   95-4042447

 

FOR INTERNAL USE ONLY

JHNY APPROVED BKR-DLRS as of 1-31-2012

 

Synergy Investment Group, LLC

   56-2087980

TD Waterhouse Investor Services, Inc.

   06-0988655

TFS Securities, Inc.

   22-2825878

The F.I. Group, Inc.

   16-1572019

The Investment Center, Inc.

   22-2699900

The Leaders Group, Inc.

   84-1275292

The Leaders Group, Inc.

   84-1275292

The Strategic Financial Alliance, Inc.

   03-0510324

Thrivent Investment Management, Inc.

   41-1780150

Timecapital Securities Corp.

   11-2339821

Tower Square Securities, Inc.

   06-0843577

Transamerica Financial Advisors, Inc.

   59-2476008

Trevor, Cole, Reid & Monroe, Inc.

   13-3100833

Triad Advisors, Inc.

   65-0173164

Trubee, Collins & Co., Inc.

   16-1406627

Trustmont Financial Group, Inc.

   25-1527294

TWS Financial, LLC

   03-0493609

UBS Financial Services, Inc.

   13-2638166

United Financial Group, Ltd.

   22-2573805

United Planners Financial Services of America

   86-0588303

Univest Securities Inc. DBA Universal Financial Group

   11-3188003

USA Financial Securities Corp.

   38-3397033

USI Securities, Inc.

   06-1493970

UVEST Investment Services

   56-1210987

VALIC Financial Advisors, Inc.

   76-0519992

Valmark Securities, Inc.

   34-1724087

Vanderbilt Securities, LLC.

   11-3639254

Vanguard Capital/VanCapital Insurance Agency

   33-0283738

Vaughan & Company Securities, Inc.

   22-2578806

Vision Brokerage Services, LLC

   13-4066286

VSR Financial Services Inc.

   43-1302302

Waddell and Reed, Inc.

   43-1357226

Wall Street Financial Group, Inc.

   16-7413437

Walnut Street Securities, Inc.

   43-1333368

WBB Securities, LLC

   33-0984561

Wedbush Morgan Securities, Inc.

   95-2495390

Wells Fargo Advisors Financial Network, LLC

   48-1305000

Wells Fargo Advisors, LLC

   34-1542819

Westco Investment Corp.

   11-2870554

Western International Securities, Inc.

   84-1314321

WFG Investments, Inc.

   75-2237860

White Mountain Capital, LLC

   13-4077093

Wilbanks Securities, Inc.

   73-1490645

Woodbury Financial Services, Inc.

   41-0944586

Woodstock Financial Group, Inc.

   58-2161804

World Equity Group, Inc.

   36-3797444

WRP Investments, Inc.

   34-1204606

 

FOR INTERNAL USE ONLY