0001752724-20-003762.txt : 20200113
0001752724-20-003762.hdr.sgml : 20200113
20200113125750
ACCESSION NUMBER: 0001752724-20-003762
CONFORMED SUBMISSION TYPE: N-CEN
PUBLIC DOCUMENT COUNT: 3
CONFORMED PERIOD OF REPORT: 20191031
FILED AS OF DATE: 20200113
DATE AS OF CHANGE: 20200113
EFFECTIVENESS DATE: 20200113
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: BLACKROCK GLOBAL ALLOCATION FUND, INC.
CENTRAL INDEX KEY: 0000834237
IRS NUMBER: 222937779
STATE OF INCORPORATION: MD
FISCAL YEAR END: 1031
FILING VALUES:
FORM TYPE: N-CEN
SEC ACT: 1940 Act
SEC FILE NUMBER: 811-05576
FILM NUMBER: 20523375
BUSINESS ADDRESS:
STREET 1: 100 BELLEVUE PARKWAY
CITY: WILMINGTON
STATE: DE
ZIP: 19809
BUSINESS PHONE: 800-441-7762
MAIL ADDRESS:
STREET 1: 100 BELLEVUE PARKWAY
CITY: WILMINGTON
STATE: DE
ZIP: 19809
FORMER COMPANY:
FORMER CONFORMED NAME: MERRILL LYNCH GLOBAL ALLOCATION FUND INC
DATE OF NAME CHANGE: 19920703
FORMER COMPANY:
FORMER CONFORMED NAME: MERRILL LYNCH GLOBAL INCOME FUND INC
DATE OF NAME CHANGE: 19890706
0000834237
S000002245
BLACKROCK GLOBAL ALLOCATION FUND, INC.
C000005790
Investor A
C000005792
Investor C
C000005793
Institutional
C000005794
Class R
C000172904
Class K
N-CEN
1
primary_doc.xml
X0201
N-CEN
LIVE
0000834237
XXXXXXXX
811-05576
false
false
false
N-1A
S000002245
C000005790
C000172904
C000005792
C000005793
C000005794
BlackRock Global Allocation Fund, Inc.
811-05576
0000834237
32P8B6BZ084LSNAF2753
100 Bellevue Parkway
Wilmington
19809
US-DE
US
800-441-7762
State Street Bank and Trust Company
1 Lincoln Street
Boston
02111
617-786-3000
Records related to its functions as sub-administrator and accounting agent
Brown Brothers Harriman & Co.
40 Water Street
Boston
02109
617-772-1818
Records related to its functions as custodian
BlackRock Investments, LLC
40 East 52nd Street
New York
10022
609-282-3046
Records related to its functions as distributor
BNY Mellon Investment Servicing (US) Inc.
301 Bellevue Parkway
Wilmington
19809
302-791-1700
Records related to its functions as transfer agent
BlackRock Advisors, LLC
100 Bellevue Parkway
Wilmington
19809
302-797-2000
Records related to its functions as advisor and administrator
N
N
N-1A
1
Y
Joseph P. Platt
000000000
N
John M. Perlowski
000000000
Y
Kenneth L. Urish
005352005
N
Lena G. Goldberg
000000000
N
Robert Fairbairn
004992372
Y
Mark Stalnecker
000000000
N
Claire A. Walton
000000000
N
Cynthia A. Montgomery
000000000
N
Collette Chilton
000000000
N
Susan J. Carter
000000000
N
Bruce R. Bond
000000000
N
Henry R. Keizer
000000000
N
Donald C. Opatrny
000000000
N
Neil A. Cotty
000000000
N
Robert M. Hernandez
000000000
N
Charles Park
000000000
55 East 52nd Street
New York
10055
XXXXXX
N
N
N
N
BlackRock Investments, LLC
8-48436
000038642
00000000000000000000
Y
N
Deloitte & Touche LLP
34
00000000000000000000
N
N
N
N
N
N
N
BlackRock Global Allocation Fund, Inc.
S000002245
32P8B6BZ084LSNAF2753
N
5
0
0
N/A
N
Y
N
N
BlackRock Investment Management, LLC
5493006MRTEZZ4S4CQ20
Y
N
Revenue sharing split
Cash collateral reinvestment fee
Other
Rebates paid to borrowers
99277511.00000000
902503.00000000
Rule 22d-1 (17 CFR 270.22d-1)
Rule 32a-4 (17 CFR 270.32a-4)
Rule 12d1-1 (17 CFR 270.12d1-1)
Rule 17a-7 (17 CFR 270.17a-7)
Rule 17e-1 (17 CFR 270.17e-1)
Y
Y
N
N
BlackRock Advisors, LLC
801-47710
000106614
5493001LN9MRM6A35J74
N
BNY Mellon Investment Servicing (US) Inc.
084-01761
549300CFZQLI9QMJ1Z03
N
N
N
ICE Data Services, Inc.
13-3668779
Tax ID
N
Refinitiv US Holdings Inc.
549300NF240HXJO7N016
N
Bloomberg L.P.
549300B56MD0ZC402L06
N
IHS Markit Ltd.
549300HLPTRASHS0E726
GB
N
N
Merrill Lynch, Pierce, Fenner & Smith Incorporated
8NAV47T0Y26Q87Y0QP81
N
Y
Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Bank Handlowy w Warszawie Spolka Akcyjna
XLEZHWWOI4HFQDGL4793
PL
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
UniCredit Bank Austria AG (Amstetten, Niederosterreich, AT, Branch)
D1HEB8VEU6D9M8ZUXG17
AT
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
UniCredit Bank Hungary Zrt.
Y28RT6GGYJ696PMW8T44
HU
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Credit Suisse (Schweiz) AG
549300CWR0W0BCS9Q144
CH
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
HSBC France (Athens, Attica, GR, Branch)
F0HUI1NY1AZMJMD8LP67
GR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
BNP Paribas Securities Services (Frankfurt am Main, Hessen, DE, Branch)
549300WCGB70D06XZS54
DE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Standard Bank Namibia Limited
254900K6TJFDYKSQWV49
NA
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Euroclear Bank
549300OZ46BRLZ8Y6F65
BE
N
Y
Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Citibank, Anonim Sirketi
CWZ8NZDH5SKY12Q4US31
TR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Banco Nacional de Mexico, S. A., Integrante del Grupo Financiero Banamex (Juarez, Chihuahua, MX, Branch)
2SFFM4FUIE05S37WFU55
MX
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Skandinaviska Enskilda Banken AB (Helsinki, Uusimaa, FI, Branch)
F3JS33DEI6XQ4ZBPTN86
FI
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Citibank, National Association (New York, NY, US, Branch)
E57ODZWZ7FF32TWEFA76
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Mizuho Bank, Ltd.
RB0PEZSDGCO3JS6CEU02
JP
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Standard Chartered Bank (China) Limited
549300VGE7QN15BPTZ72
CN
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Credit Suisse Securities (USA) LLC
1V8Y6QCX6YMJ2OELII46
N
Y
Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Goldman Sachs & Co. LLC
FOR8UP27PHTHYVLBNG30
N
Y
Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Banco Itau Uruguay S.A.
549300HU8OQS1VTVXN55
UY
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Bank Hapoalim B.M.
B6ARUI4946ST4S7WOU88
IL
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
HSBC Bank Malaysia Berhad
P3RPN9OJFCXUPJWB1Q09
MY
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Swedbank AS
549300PHQZ4HL15HH975
EE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Stanbic IBTC Bank PLC
549300NIVXF92ZIOVW61
NG
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
'Swedbank' AS
549300FXBIWWGK7T0Y98
LV
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Standard Chartered Bank (Taiwan) Limited
549300QJEO1B92LSHZ06
TW
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
RBC Investor Services Trust
5493002MUOV04NSPT571
CA
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
HSBC Securities (Philippines), Inc
2HI3YI5320L3RW6NJ957
PH
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
BofA Securities, Inc.
549300HN4UKV1E2R3U73
N
Y
Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Standard Chartered Bank (Ghana) Limited
549300WFGKTC3MGDCX95
GH
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Nordea Bank AB (Stockholm, Stockholm, SE, Branch)
6SCPQ280AIY8EP3XFW53
SE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Banco de Chile
8B4EZFY8IHJC44TT2K84
CL
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Joint Stock Company Commercial Bank Citibank
CHSQDSVI1UI96Y2SW097
RU
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Standard Chartered Bank (London, GB, Branch)
RILFO74KP1CM8P6PCT96
GB
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Citibank Europe Public Limited Company (Bucharest, Bucharest, RO, Branch)
N1FBEDJ5J41VKZLO2475
RO
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Barclays Capital Inc.
AC28XWWI3WIBK2824319
N
Y
Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Citibank del Peru S.A.
MYTK5NHHP1G8TVFGT193
PE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Morgan Stanley & Co. LLC
9R7GPTSO7KV3UQJZQ078
N
Y
Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Standard Bank Swaziland Limited
2549000IV408A4RRND84
SZ
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
HSBC Saudi Arabia Limited
558600MV09XWUB38H245
SA
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
HSBC Bank Bermuda Limited
0W1U67PTV5WY3WYWKD79
BM
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Banco Bilbao Vizcaya Argentaria Sociedad Anonima
K8MS7FD7N5Z2WQ51AZ71
ES
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Societe Generale Securities Services S.p.A
549300SAMQW7TYZ1TR74
IT
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
HSBC Bank Australia Limited (Melbourne, VIC, AU, Branch)
DY9DBNI4W8J63Z298033
AU
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
HSBC Bank Middle East Limited (Manama, Capital, BH, Branch)
549300F99IL9YJDWH369
BH
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
KBL European Private Bankers S.A.
KHCL65TP05J1HUW2D560
LU
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Cititrust Colombia S A Sociedad Fiduciaria
549300242J3IJCOSGI49
CO
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Citigroup Global Markets Inc.
MBNUM2BPBDO7JBLYG310
N
Y
Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
HSBC Bank Oman S.A.O.G.
213800YRPSOSH9OA2V29
OM
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Citibank Maghreb S.A
5493003FVWLMBFTISI11
MA
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Brown Brothers Harriman & Co.
5493006KMX1VFTPYPW14
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
N
Samuel A. Ramirez & Company, Inc.
254900CBKVW7O2ENQA21
N
N
First Citizens Investor Services, Inc.
8-50696
SEC File Number
N
N
Joseph Gunnar & Co., L.L.C.
2549001XBRI5XQ0ZDA12
N
N
Whitehall-Parker Securities, Inc.
8-27688
SEC File Number
N
N
Transamerica Financial Advisors, Inc.
549300JW32XCZSHI0878
N
N
Lexington Investment Company, Inc.
8-43085
SEC File Number
N
N
Brokers International Financial Services, LLC
8-67239
SEC File Number
N
N
TD Private Client Wealth LLC
8-69105
SEC File Number
N
N
Coker & Palmer, Inc.
254900V1KTPDN88TDS68
N
N
Ska Securities, Inc.
8-53366
SEC File Number
N
N
Consolidated Financial Investments, Inc.
8-37004
SEC File Number
N
N
Investments For You, Inc.
8-44179
SEC File Number
N
N
T.R. Winston & Company, LLC
8-27519
SEC File Number
N
N
Access Financial Group, Inc.
8-46065
SEC File Number
N
N
Abacus International Capital Corp.
8-46418
SEC File Number
N
N
Duncan-Williams, Inc.
25490045VHLUZ7H92Y27
N
N
Gardner Financial Services, Inc.
8-38631
SEC File Number
N
N
Kingsbury Capital, Inc.
8-22741
SEC File Number
N
N
Rhodes Securities, Inc.
8-37689
SEC File Number
N
N
Cannon Securities, Inc.
8-68437
SEC File Number
N
N
Amegy Investments, Inc.
8-65399
SEC File Number
N
N
Fifth Third Securities, Inc.
5493003IMO3TYX51WE43
N
N
Gill Capital Partners, LLC
8-30563
SEC File Number
N
N
Capital Financial Services, Inc.
213800PYR36G9EYDS485
N
N
Perryman Securities, Inc.
8-53546
SEC File Number
N
N
Liberty Capital Investment Corp.
8-42051
SEC File Number
N
N
L. B. Fisher & Company
8-21023
SEC File Number
N
N
Wall Street Access Corporation
549300Z0MOT47D6OQV22
N
N
Investment Architects, Inc.
8-35724
SEC File Number
N
N
American Capital Partners, LLC
254900I8NH46ZJJ4Z956
N
N
Penates Group, Inc.
8-50594
SEC File Number
N
N
Classic, LLC
8-68981
SEC File Number
N
N
Cape Securities, Inc.
8-20747
SEC File Number
N
N
First Financial Securities of America, Inc.
8-29565
SEC File Number
N
N
Quincy Cass Associates
8-5743
SEC File Number
N
N
Chauner Securities, Inc.
8-33980
SEC File Number
N
N
Maxim Group LLC
254900OJ6JZO6SDMHQ83
N
N
Inverness Securities, LLC
8-66278
SEC File Number
N
N
Westminster Financial Securities, Inc.
8-38426
SEC File Number
N
N
VectorGlobal WMG Inc.
254900K52VRYBHUGBC64
N
N
Ace Diversified Capital, Inc.
8-49555
SEC File Number
N
N
Raymond James & Associates, Inc.
U4ONQX15J3RO8XCKE979
N
N
BD4RIA, INC.
8-70022
SEC File Number
N
N
Oscar Gruss & Son Incorporated
549300V78DH9XCK5UI63
N
N
William Blair & Company, L.L.C.
549300J0P7XYE8BMZ775
N
N
American National Trust And Investment Management Company
28-00344
SEC File Number
N
N
Bankoh Investment Services, Inc.
8-44201
SEC File Number
N
N
The Huntington Investment Company
5493004MEJ6IU9SR1R78
N
N
The First Mercantile Trust Company
28-10498
SEC File Number
N
Y
N.I.S. Financial Services, Inc.
8-15919
SEC File Number
N
N
NI Advisors
8-66841
SEC File Number
N
N
Wells Fargo Clearing Services, LLC
88KRVSOEKUGQZJ3DKW55
N
Y
Allianz Life Financial Services, LLC
5493008TSI0TRWDDGW79
N
N
ICMA-RC Services, LLC
8-40268
SEC File Number
N
N
Client One Securities LLC
8-68494
SEC File Number
N
N
Capital Portfolio Management, Inc.
8-44225
SEC File Number
N
N
Cresap, Inc.
8-42117
SEC File Number
N
N
Commerce Brokerage Services, Inc.
8-35096
SEC File Number
N
N
IFP Securities, LLC
8-70150
SEC File Number
N
N
Harvest Financial Corporation
8-26037
SEC File Number
N
N
Mid Atlantic Capital Corporation
8-27663
SEC File Number
N
N
Trustmont Financial Group, Inc.
8-36439
SEC File Number
N
N
Grant Williams L.P.
8-51249
SEC File Number
N
N
F.C.G. Advisors, L.L.C.
8-49104
SEC File Number
N
N
Paradigm Equities Inc
8-45593
SEC File Number
N
N
Farmers Financial Solutions, LLC
8-52361
SEC File Number
N
N
Vorpahl Wing Securities, Inc.
8-51823
SEC File Number
N
N
BAC Florida Investments Corp.
254900CAF9OPVE8VT408
N
N
Founders Financial Securities, LLC
8-67137
SEC File Number
N
N
Amuni Financial, Inc
8-25338
SEC File Number
N
N
Cary Street Partners LLC
8-66085
SEC File Number
N
N
Integrity Investments, Inc.
8-45302
SEC File Number
N
N
MerCap Securities, LLC
27-4412372
Tax ID
N
N
Keel Point Capital, LLC
8-22990
SEC File Number
N
N
Stannard Financial Services, LLC
8-50654
SEC File Number
N
N
Securities Service Network, LLC
8-28980
SEC File Number
N
N
Emerson Equity LLC
8-66296
SEC File Number
N
N
K. W. Chambers & Co.
8-10533
SEC File Number
N
N
State Farm VP Management Corp.
8-50128
SEC File Number
N
N
Kovitz Securities, LLC
8-66267
SEC File Number
N
N
Voya Financial Partners, LLC
8-46451
SEC File Number
N
N
North Ridge Securities Corp.
8-42879
SEC File Number
N
N
Rogan & Associates, Inc.
8-49995
SEC File Number
N
N
Devenir, LLC
8-65837
SEC File Number
N
N
Interactive Brokers LLC
8-47257
SEC File Number
N
N
Genworth Life and Annuity Insurance Company
TAI340D9BWT9R77O0P03
N
N
Hancock Whitney Investment Services, Inc.
8-49106
SEC File Number
N
N
Heim, Young & Associates, Inc.
8-48500
SEC File Number
N
N
Silber Bennett Financial, Inc.
8-68795
SEC File Number
N
N
Principled Advisors, Inc.
8-66451
SEC File Number
N
N
McDonald Partners LLC
8-66985
SEC File Number
N
N
American Financial Securities, Inc.
8-53205
SEC File Number
N
N
Profinancial, Inc.
8-32026
SEC File Number
N
N
D.M. Kelly & Company
8-48398
SEC File Number
N
N
Bolton Securities Corporation
8-68187
SEC File Number
N
N
BNY Mellon Securities Corporation
8-13801
SEC File Number
N
N
Mid Atlantic Clearing & Settlement Corporation
8-47758
SEC File Number
N
N
Monex Securities, Inc.
254900VTZ3HYHNEJRX35
N
N
Alliant Securities, Inc. Turner, Nord, Kienbaum
8-23305
SEC File Number
N
N
Leigh Baldwin & Co., L.L.C.
8-48385
SEC File Number
N
N
St. Bernard Financial Services, Inc.
8-47566
SEC File Number
N
N
First Southern LLC
8-69733
SEC File Number
PR
N
N
Alight Financial Solutions, LLC
8-47344
SEC File Number
N
N
BTG Pactual US Capital, LLC
549300EUEDL5GKQW8U35
N
N
Wells Fargo Securities, LLC
8-65876
SEC File Number
N
N
BMO Harris Bank National Association
3Y4U8VZURTYWI1W2K376
N
N
Southeast Investments, N.C. Inc.
8-50127
SEC File Number
N
N
PNC Capital Markets LLC
7OGNSSLOQJ8U3B9Y5F18
Y
N
Northeast Securities Inc.
8-42227
SEC File Number
N
N
Dorn & Co., Inc.
8-08707
SEC File Number
N
N
Vanderbilt Securities, Inc.
8-16712
SEC File Number
N
N
Davenport & Company LLC
254900GN2SAXJGLMS075
N
N
Itau International Securities Inc.
54930086LDFU8Z86AH91
N
N
AdCap Securities, LLC
254900EMZBEIM1FAO022
N
N
Lantern Investments, Inc.
8-45285
SEC File Number
N
N
Bernard Herold & Co., Inc.
8-17005
SEC File Number
N
N
Windmill Group Inc/The
8-25280
SEC File Number
N
N
Credit Suisse Securities (USA) LLC
1V8Y6QCX6YMJ2OELII46
N
N
VALIC Retirement Services Company
84-06057
SEC File Number
N
N
Voya Retirement Insurance and Annuity Company
OK3MKCDYPD4NN6QDGK18
N
Y
Wedbush Securities Inc.
549300CSX55MXZ47EI78
N
N
Midwestern Securities Trading Company, LLC
8-52074
SEC File Number
N
N
Landolt Securities, Inc.
254900B2XEQ2HZGN7K90
N
N
Lockton Financial Advisors, LLC
8-67090
SEC File Number
N
N
FMN Capital Corporation
8-48082
SEC File Number
N
N
IFS Securities, Inc
254900R5PCYOD9HN6C41
N
N
Halliday Financial, LLC
8-45529
SEC File Number
N
N
NPB Financial Group, LLC
8-67113
SEC File Number
N
N
Fairport Capital, Inc.
8-32162
SEC File Number
N
N
GLS & Associates Inc
8-51808
SEC File Number
N
N
MSEC, LLC
8-68627
SEC File Number
N
N
GF Investments Inc
549300H21KCB3JPC9K76
CA
N
N
First Bankers' Banc Securities, Inc
8-31584
SEC File Number
N
N
Brooklight Place Securities, Inc.
8-32673
SEC File Number
N
N
Moors & Cabot, Inc.
8-23060
SEC File Number
N
N
Sentinel Securities, Inc.
8-53142
SEC File Number
N
N
Amerant Investments, Inc.
254900M8G8SSAIMHET60
N
N
Chelsea Morgan Securities, Inc.
8-51916
SEC File Number
N
N
Buell Securities Corp.
8-22058
SEC File Number
N
N
Teachers Insurance And Annuity Association of America
O06XD7BJ4EPXNABVFN69
N
Y
Benefit Trust Company
43-1971558
Tax ID
N
Y
Santander Securities LLC
8-49571
SEC File Number
N
N
Fifth Third Bank
QFROUN1UWUYU0DVIWD51
N
N
Morgan Stanley & Co. LLC
9R7GPTSO7KV3UQJZQ078
N
N
Commonwealth Equity Services, Inc.
8-24040
SEC File Number
N
N
BMO Harris Financial Advisors, Inc.
8-67064
SEC File Number
N
N
Investment Network, Inc
8-66036
SEC File Number
N
N
Securevest Financial Group Inc.
254900LG3HPQV4J0WH27
N
N
Corecap Investments, Inc.
8-47783
SEC File Number
N
N
The Garbacz Group Inc
8-42366
SEC File Number
N
N
Lincoln Financial Distributors, Inc.
8-13431
SEC File Number
N
N
American Financial Associates, Inc.
8-44065
SEC File Number
N
N
Uhlmann Price Securities, LLC
8-50041
SEC File Number
N
N
VALIC Financial Advisors, Inc.
8-50018
SEC File Number
N
N
Marsco Investment Corporation
8-36754
SEC File Number
N
N
Key West Investments, LLC
8-68166
SEC File Number
N
N
Carty & Company, Inc.
8-19082
SEC File Number
N
N
Fortune Financial Services, Inc.
8-49727
SEC File Number
N
N
Federated Securities, Inc.
8-15644
SEC File Number
N
N
Smith, Moore & Co.
8-27480
SEC File Number
N
N
T. Rowe Price Investment Services, Inc.
8-25130
SEC File Number
N
N
Principal Securities, Inc.
8-13975
SEC File Number
N
N
Detalus Securities, LLC
8-52180
SEC File Number
N
N
Henley & Company LLC
8-66463
SEC File Number
N
N
Herbert J Sims & Co. Inc.
254900SV6UESQBS8XP98
N
N
Hand Securities, Inc.
8-51001
SEC File Number
N
N
First Honolulu Securities, Inc.
8-23919
SEC File Number
N
N
David A. Noyes & Company
2549007WBAL2Z578XQ34
N
N
M Holdings Securities, Inc.
8-50214
SEC File Number
N
N
Intercontinental Asset Management Group, Ltd.
549300F2QPJLMFZGJV43
N
N
MML Investors Services, LLC
8-27250
SEC File Number
N
N
MMC Securities LLC
2549001ZA93O65N2ZM60
N
N
Harbor Investment Advisory, LLC
8-68334
SEC File Number
N
N
Gregory J. Schwartz & Co., Inc.
8-20955
SEC File Number
N
N
General Securities Corp.
8-31654
SEC File Number
N
N
Oak Tree Securities, Inc.
8-36138
SEC File Number
N
N
Conduent HR Services, LLC
84-06035
SEC File Number
N
Y
Voya Institutional Plan Services, LLC
02-0488491
Tax ID
N
N
B.B. Graham & Company, Inc.
8-49477
SEC File Number
N
N
Signal Securities, Inc.
8-32948
SEC File Number
N
N
Massachusetts Mutual Life Insurance Company
R6ZXK5P01NP6HXSY1S07
N
Y
Syndicated Capital, Inc.
8-44162
SEC File Number
N
N
Mutual Trust Company of America Securities
254900PUBUB7IS4GNY27
N
N
Capitol Securities Management, Inc.
8-30353
SEC File Number
N
N
Lesko Securities, Inc.
8-26408
SEC File Number
N
N
Great American Investors, Inc.
8-44380
SEC File Number
N
N
Feltl and Company, Inc.
8-18435
SEC File Number
N
N
Prospera Financial Services, Inc.
8-28164
SEC File Number
N
N
Centaurus Financial, Inc.
8-45185
SEC File Number
N
N
American Equity Investment Corporation
8-49078
SEC File Number
N
N
Benefit Plans Administrative Services, Inc.
BBG001FF0T85
Bloomberg Global ID
N
Y
First Financial Equity Corporation
8-34082
SEC File Number
N
N
Slavic Investment Corporation
8-40024
SEC File Number
N
N
BBVA Securities Inc.
549300RJFN0Z663VE860
N
N
Coldstream Securities, Inc.
8-51549
SEC File Number
N
N
State Street Bank and Trust Company
571474TGEMMWANRLN572
N
N
J.P. Morgan Securities LLC
ZBUT11V806EZRVTWT807
N
N
Westco Investment Corp.
8-38452
SEC File Number
N
N
Cutter And Company Brokerage, Inc.
8-39590
SEC File Number
N
N
Intercarolina Financial Services, Inc.
8-37519
SEC File Number
N
N
MGO Securities Corp.
8-47814
SEC File Number
N
N
Camden Financial Services
8-37303
SEC File Number
N
N
Freimark Blair & Company, Inc.
254900KMG5B3QSG4Z252
N
N
PNC Investments LLC
8-66195
SEC File Number
Y
N
United States Life Insurance Company in the City of New York
549300C1JQGJ0MNUMG79
N
Y
Raymond James Financial, Inc.
RGUZHJ05YTITL6D76949
N
N
Weston Securities Corporation
8-32664
SEC File Number
N
N
CUSO Financial Services, L.P.
8-49711
SEC File Number
N
N
Omni Financial Securities, Inc.
8-44034
SEC File Number
N
N
Simmons First Investment Group, Inc.
8-51795
SEC File Number
N
N
First Republic Securities Company, LLC
5493000IMDFZDQYB2Q11
N
N
Bancwest Investment Services, Inc.
5493001GJYTESEZEBA51
N
N
Dominion Investor Services, Inc.
8-39029
SEC File Number
N
N
Investment Placement Group
5493005L3RL45FY4HR07
N
N
American Trust Investment Services, Inc.
8-14394
SEC File Number
N
N
Harold W. Dance, Inc.
8-12160
SEC File Number
N
N
Horace Mann Life Insurance Company
5493000HR2JKKNH2FL09
N
N
Smith, Brown & Groover, Inc.
8-13079
SEC File Number
N
N
The Logan Group Securities
8-48995
SEC File Number
N
N
XP Securities, LLC
549300HDFLS7P433PO89
N
N
CapFinancial Securities, LLC
8-65870
SEC File Number
N
N
SEI Private Trust Company
28-10625
SEC File Number
N
Y
Rnr Securities, L.L.C.
8-50366
SEC File Number
N
N
Umpqua Investments, Inc.
8-02915
SEC File Number
N
N
Mercer HR Services, LLC
20-1932099
Tax ID
N
Y
Questar Capital Corporation
8-50174
SEC File Number
N
N
USA Financial Securities Corporation
8-52342
SEC File Number
N
N
Portfolio Resources Group, Inc.
549300TKCYL1XNXOL896
N
N
PFS Investments Inc.
8-26486
SEC File Number
N
N
BNP Paribas Securities Corp.
RCNB6OTYUAMMP879YW96
N
N
Great Pacific Securities
254900QRZ90SUI8C4W84
N
N
Woodbury Financial Services, Inc.
8-13846
SEC File Number
N
N
Broker Dealer Financial Services Corp.
254900WWWQ4XOG28NS72
N
N
Foresters Equity Services, Inc.
8-36703
SEC File Number
N
N
Labrunerie Financial Services, Inc.
8-47830
SEC File Number
N
N
The Strategic Financial Alliance, Inc.
8-65885
SEC File Number
N
N
Reliance Worldwide Investments, LLC
8-67575
SEC File Number
N
N
Cascade Financial Management, Inc.
8-53730
SEC File Number
N
N
Vanguard Marketing Corporation
8-21570
SEC File Number
N
N
New England Pension Plan Systems, LLC
00000000000000000000
N
Y
World Choice Securities, Inc.
8-45235
SEC File Number
N
N
WBB Securities, LLC
8-53660
SEC File Number
N
N
Reliance Trust Company
549300NV8FSQRNOUQO50
N
Y
WesBanco Securities, Inc.
8-50220
SEC File Number
N
N
Pershing Advisor Solutions LLC
549300KTC63JRN36GZ84
N
N
Allen C. Ewing & Co.
8-42393
SEC File Number
N
N
TCAdvisors Network Inc
8-46909
SEC File Number
N
N
TFS Securities, Inc.
8-38377
SEC File Number
N
N
Michigan Securities Inc.
8-52094
SEC File Number
N
N
Mutual Funds Associates, Inc.
8-13026
SEC File Number
N
N
Mid-atlantic Securities, Inc.
8-36997
SEC File Number
N
N
Nelson Ivest Brokerage Services, Inc.
8-26448
SEC File Number
N
N
Equity Services Inc
8-14286
SEC File Number
N
N
Investment Planners, Inc.
8-35642
SEC File Number
N
N
Talcott Resolution Life Insurance Company
8CE7JPU9IU72L3PPD756
N
Y
McClurg Capital Corporation
8-34473
SEC File Number
N
N
Dougherty & Company LLC
549300OD1C69R64IVC38
N
N
The Leaders Group, Inc.
8-47639
SEC File Number
N
N
Fiduciary Trust Company International
N1YKEWO2IYPRS4742F57
N
N
Boreal Capital Securities LLC
549300NMHK6HTSKCG696
N
N
FMSbonds, Inc.
549300TUTBK58NSF2517
N
N
Hantz Financial Services, Inc.
8-51291
SEC File Number
N
N
Dorsey & Company Inc.
8-7541
SEC File Number
N
N
Multiple Financial Services Inc
8-52017
SEC File Number
N
N
Alerus Securities Corporation
8-47152
SEC File Number
N
N
Regions Bank
EQTWLK1G7ODGC2MGLV11
N
N
Winslow, Evans & Crocker, Inc.
549300EVLXSCM40LO982
N
N
Polar Investment Counsel, Inc.
8-50039
SEC File Number
N
N
Verity Investments, Inc.
8-49474
SEC File Number
N
N
Teckmeyer Financial Services, L.L.C.
8-48501
SEC File Number
N
N
Carter, Terry & Company, Inc.
8-33797
SEC File Number
N
N
Stephen A. Kohn & Associates, Ltd.
8-49279
SEC File Number
N
N
Leumi Investment Services Inc.
5493005SJQ3VQ5DEE756
N
N
OneAmerica Securities, Inc.
8-15009
SEC File Number
N
N
Lucia Securities, LLC
8-47643
SEC File Number
N
N
Rehmann Financial Network, LLC
8-69134
SEC File Number
N
N
Northwestern Mutual Investment Services, LLC
CYO86L8D7HTXW9SOZX28
N
N
Institutional Securities Corporation
2549007EJ1PSLA8XVA50
N
N
Blakeslee & Blakeslee, Inc.
8-32071
SEC File Number
N
N
Maplewood Investment Advisors Inc.
8-52221
SEC File Number
N
N
Citizens Securities, Inc.
2138006RAPI5PE2ZGW36
N
N
City National Bank
593C3GZG957YOJPS2Z63
N
N
Arete Wealth Management LLC
8-50854
SEC File Number
N
N
UMB Financial Services, Inc.
254900GFVO9NGQ21JC37
N
N
S.G. Long & Company
8-51816
SEC File Number
N
N
D.H. Hill Securities, LLLP
8-49475
SEC File Number
N
N
R. Seelaus & Co. Inc
2138004J7AJDLCOJYA06
N
N
Wells Fargo Bank, N.A.
KB1H1DSPRFMYMCUFXT09
N
N
Coburn & Meredith, Inc.
8-02474
SEC File Number
N
N
R. F. Lafferty & Co., Inc
254900KLPTMWPBZWH264
N
N
KMS Financial Services, Inc.
8-15433
SEC File Number
N
N
First Western Advisors, Inc.
8-28729
SEC File Number
N
N
Ballew Investments, Inc.
8-45660
SEC File Number
N
N
COUNTRY Capital Management Company
8-12645
SEC File Number
N
N
World Trend Financial Planning Services, Ltd
8-43693
SEC File Number
N
N
J. A. Glynn & Co.
8-39465
SEC File Number
N
N
Capital Institutional Services, Inc.
54930061X8RDWFDJIS05
N
N
Private Client Services, LLC
8-68183
SEC File Number
N
N
North South Capital LLC
549300ODEKJCRN2AM859
N
N
Capital Management Securities, Inc.
8-27779
SEC File Number
N
N
LifeMark Securities Corp.
8-33478
SEC File Number
N
N
CGIS Securities LLC
254900GOI7SHVRZ5BG90
N
N
Ascensus Broker Dealer Services, LLC
8-47312
SEC File Number
N
Y
NEXT Financial Group, Inc.
8-51356
SEC File Number
N
N
Valley National Investments, Inc.
8-34427
SEC File Number
N
N
American Independent Securities Group, LLC
8-66905
SEC File Number
N
N
John Hancock Life Insurance Company of New York
5493007RYG4GXIKSQI18
N
Y
Regulus Advisors, LLC
8-68275
SEC File Number
N
N
N.E. Private Client Advisors, Ltd.
8-66968
SEC File Number
N
N
IDB Capital Corp.
254900SH3QL0IL3S9R34
N
N
United Planners Financial Services of America, A Limited Partnership
8-38485
SEC File Number
N
N
White Mountain Capital, LLC
8-52572
SEC File Number
N
N
KW Securities Corporation
8-24792
SEC File Number
N
N
Pruco Securities, LLC
8-16402
SEC File Number
N
N
Gerwin Group, Inc.
8-40282
SEC File Number
N
N
CIBC World Markets Corp.
549300445CON3DBMU275
N
N
ING Financial Markets LLC
KBVRJ5K57JZ3E2AVWX40
N
N
Thurston, Springer, Miller, Herd & Titak, Inc.
8-25452
SEC File Number
N
N
Andbanc Brokerage LLC
213800E4CWGFMCDQZ792
N
N
SPIRE Securities, LLC
8-67635
SEC File Number
N
N
Ceros Financial Services Inc.
549300N2YQ0P5G0WE562
N
N
T. Rowe Price Retirement Plan Services, Inc.
84-06219
SEC File Number
N
Y
Lincoln-Douglas Investments, LLC
8-68728
SEC File Number
N
N
Concorde Investment Services, LLC
8-68388
SEC File Number
N
N
Westport Resources Investment Services, Inc.
8-40904
SEC File Number
N
N
TRIAD ADVISORS, INC.
8-42007
SEC File Number
N
N
MHA Financial Corp.
8-21836
SEC File Number
N
N
Sigma Financial Corporation
8-30466
SEC File Number
N
N
ETRADE Securities Limited
8-44112
SEC File Number
HK
N
N
Sorsby Financial Corp.
8-48718
SEC File Number
N
N
Lincoln Financial Advisors Corporation
8-14685
SEC File Number
N
N
World Capital Brokerage, Inc.
8-06805
SEC File Number
N
N
Sanders Morris Harris LLC
254900ZNPYV465D1NZ47
N
N
Avalon Investment & Securities Group, Inc.
8-17078
SEC File Number
N
N
CBIZ Financial Solutions, Inc.
8-34205
SEC File Number
N
N
Herndon Plant Oakley Ltd.
8-50912
SEC File Number
N
N
Eastern Point Securities, Inc.
8-39398
SEC File Number
N
N
Monere Investments, Inc.
8-52982
SEC File Number
N
N
Summit Equities, Inc.
8-27556
SEC File Number
N
N
Sunstreet Securities, LLC
8-67541
SEC File Number
N
N
Navaid Financial Services, Inc.
8-49897
SEC File Number
N
N
SDDCO Brokerage Advisors LLC
8-68549
SEC File Number
N
N
Anovest Financial Services, Inc.
8-66742
SEC File Number
N
N
R.M. Stark & Co., Inc.
8-22543
SEC File Number
N
N
The Investment Center, Inc.
8-35826
SEC File Number
N
N
Essex Financial Services, Inc.
8-66015
SEC File Number
N
N
Lincoln Financial Securities Corporation
8-14609
SEC File Number
N
N
LaSalle St. Securities, L.L.C.
8-18860
SEC File Number
N
N
Meridien Financial Group, Inc.
8-26090
SEC File Number
N
N
DWS Distributors, Inc.
5299007T18XBURKJ1V64
N
N
TD Ameritrade Clearing, Inc.
MRK678VXOI09YSSN8X19
N
Y
Crown Capital Securities, L.P.
8-17264
SEC File Number
N
N
Allegheny Investments, Ltd.
8-22183
SEC File Number
N
N
Nations Financial Group, Inc.
8-50588
SEC File Number
N
N
L.S.Y. Incorporated
8-17613
SEC File Number
N
N
Dominick & Dominick Securities Inc.
8-21076
SEC File Number
CA
N
N
Cetera Advisors LLC
8-26892
SEC File Number
N
N
Sovereign Legacy Securities, Inc.
8-00621
SEC File Number
N
N
Calamar Financial Group, LLC
N.A.
Bloomberg Global ID
N
N
ADP Broker-Dealer, Inc.
8-47885
SEC File Number
N
Y
Gold Coast Securities Limited
8-53148
SEC File Number
GH
N
N
Charles Schwab & Co., Inc.
549300ZP8XN77GK5BS04
N
Y
Cascade Investment Group, Inc.
8-46943
SEC File Number
N
N
Crestone Securities LLC
8-52463
SEC File Number
N
N
Bestvest Investments, Ltd.
254900SL6FW130BMS922
N
N
Thoroughbred Financial Services, LLC
8-51944
SEC File Number
N
N
Arkadios Capital, LLC
8-69729
SEC File Number
N
N
NYLIFE Distributors LLC
8-46655
SEC File Number
N
N
Saturna Brokerage Services, Inc
8-36558
SEC File Number
N
N
GW & Wade Asset Management Company, LLC
8-42013
SEC File Number
N
N
BB&T Securities, LLC
2549000IB2PRJ20M2Q93
N
N
Alight Solutions LLC
84-01996
SEC File Number
N
Y
Whitney National Bank
72-0352101
Tax ID
N
N
Newport Group, Inc.
27-2037969
Tax ID
N
Y
Voya Financial Advisors, Inc.
8-13987
SEC File Number
N
N
Snowden Account Services LLC
254900WVSS0BX602UF45
N
N
Professional Trading Services Brokerage, LLC
8-65173
SEC File Number
N
N
International Assets Advisory, LLC
254900ARMOHQNS987S09
N
N
Global Brokerage Services Ltd
8-47763
SEC File Number
N
N
SagePoint Financial, Inc.
8-66771
SEC File Number
N
N
Buckram Securities Ltd.
8-65939
SEC File Number
N
N
Morris Group, Inc.
549300JWKS0KMDOX5G12
N
N
Madison Avenue Securities, LLC
8-40426
SEC File Number
N
N
Vision Financial Markets LLC
549300J0X8HK9GUADL55
N
N
Investors Brokerage of Texas, Ltd.
8-28644
SEC File Number
N
N
Ohanesian / Lecours, Inc.
8-40729
SEC File Number
N
N
B. C. Ziegler And Company
549300NLEOFP92P38Q71
N
N
L.O. Thomas & Co., Inc.
8-40875
SEC File Number
N
N
Transam Securities, Inc.
8-37065
SEC File Number
N
N
Century Securities Associates, Inc.
8-43514
SEC File Number
N
N
Abacus Investments, Inc.
8-46571
SEC File Number
N
N
First Kentucky Securities Corporation
8-22224
SEC File Number
N
N
Tocqueville Securities L.P.
8-42223
SEC File Number
N
N
Standard Insurance Company
549300KVA8DBYKHPXO21
N
Y
Crews and Associates, Inc.
5493001BWSV3E82LZ446
N
N
Silver Oak Securities, Incorporated
8-51601
SEC File Number
N
N
Colorado Financial Service Corporation
8-52817
SEC File Number
N
N
Ladenburg Thalmann & Co. Inc.
2549000V3L2KK4L76W91
N
N
AqGen Ascensus, Inc.
549300K5MHNFPEU2RK82
N
Y
The Prudential Insurance Company of America
X574KRZ6V5A7UBU45C31
N
Y
Keystone Capital Corporation
8-28032
SEC File Number
N
N
Invex, LLC
NPOTUCXQYGXX5PO6VH74
N
N
Securian Financial Services, Inc.
8-31955
SEC File Number
N
N
Mcnally Financial Services Corporation
8-65388
SEC File Number
N
N
Capital Investment Brokerage, Inc.
8-49118
SEC File Number
N
N
Royal Alliance Associates, Inc.
8-40218
SEC File Number
N
N
Integral Financial LLC
2549000I2CBZTJRHG786
N
N
Crescent Securities Group, Inc.
8-53457
SEC File Number
N
N
First Manhattan Co.
549300NNJKVSO48I3G76
N
N
LPL Financial LLC
5493005NM7F0H1N3EQ39
N
Y
E*TRADE Savings Bank
549300DXPO50FJ75QA85
N
Y
Arvest Investments, Inc.
8-49677
SEC File Number
N
N
Hennion & Walsh, Inc.
8-41988
SEC File Number
N
N
Edward D. Jones & Co., L.P.
YZRCLX72FTV74B522G90
N
N
Independent Financial Group, LLC
8-22870
SEC File Number
N
N
Trade-PMR Group, Inc.
8-51390
SEC File Number
N
N
Sammons Financial Network, LLC
8-68905
SEC File Number
N
N
Independence Capital Co., Inc.
8-41331
SEC File Number
N
N
CFS Securities, Inc.
8-51330
SEC File Number
N
N
SCF Securities Inc
8-51760
SEC File Number
N
N
Securities Research, Inc.
8-23699
SEC File Number
N
N
Cabot Lodge Securities LLC
8-69009
SEC File Number
N
N
Arque Capital, Ltd.
8-65390
SEC File Number
N
N
CFD Investments, Inc.
8-41727
SEC File Number
N
N
SG Americas Securities, LLC
549300F35UE0BOM1WJ55
N
N
Queens Road Securities, LLC
8-52737
SEC File Number
N
N
Nationwide Securities, LLC
8-12500
SEC File Number
N
N
RIM Securities LLC
8-36759
SEC File Number
N
N
Coastal Equities, Inc.
8-40822
SEC File Number
N
N
Cetera Financial Specialists LLC
8-27082
SEC File Number
N
N
Means Investment Co., Inc.
8-27458
SEC File Number
N
N
Schlitt Investor Services, Inc.
8-34202
SEC File Number
N
N
Exeter Trust Company
28-04279
SEC File Number
N
N
Investacorp Inc.
8-22598
SEC File Number
N
N
Western Growers Financial Services
8-53458
SEC File Number
N
N
FSB Premier Wealth Management, Inc.
8-44865
SEC File Number
N
N
Sabadell Securities USA, Inc.
2549002UK8JK82ABGD45
N
N
BTS Securities Corporation
8-26818
SEC File Number
N
N
Nicol Investors Corporation
8-65566
SEC File Number
N
N
Jacques Financial, LLC
8-52675
SEC File Number
N
N
TimeCapital Securities Corporation
8-18248
SEC File Number
N
N
USCA Securities LLC
254900GBMSP1Y45THR66
N
N
Oppenheimer & Co. Inc.
254900VH02JQR2L8XD64
N
N
Forest Securities, Inc.
8-33568
SEC File Number
N
N
Garden State Securities Inc.
8-25790
SEC File Number
N
N
Saperston Asset Management, Inc.
8-50658
SEC File Number
N
N
Piper Jaffray & Co.
549300GRQCWQ3XGH0H10
N
N
Park Avenue Securities LLC
8-51324
SEC File Number
N
N
TradeStation Securities, Inc.
549300T08P71XXBYLW62
N
N
Larson Financial Securities LLC
8-68456
SEC File Number
N
N
TD Ameritrade, Inc.
CWQYQU0TV2NLMLZKNB44
N
Y
Quest Capital Strategies, Inc.
8-34532
SEC File Number
N
N
Kalos Capital, Inc.
8-50630
SEC File Number
N
N
S.L. Reed & Company
8-49178
SEC File Number
N
N
Tradition Securities and Derivatives Inc.
WRYEFMSVQCH0EMD08461
N
N
Financial Services International Corp
8-48032
SEC File Number
N
N
Repex & Co., Inc.
8-26431
SEC File Number
N
N
Symphonic Securities LLC
8-67220
SEC File Number
N
N
Coordinated Capital Securities, Inc.
8-31173
SEC File Number
N
N
Somerset Securities, Inc.
8-11539
SEC File Number
N
N
Nestlerode & Loy, Inc
8-12629
SEC File Number
N
N
NYLIFE Securities LLC
8-15517
SEC File Number
N
N
MML Distributors, LLC
8-48203
SEC File Number
N
N
Globalink Securities, Inc
8-44509
SEC File Number
N
N
Fieldpoint Private Securities, LLC
8-37105
SEC File Number
N
N
PlanMember Securities Corporation
8-25065
SEC File Number
N
N
GRF Capital Investors, Inc.
8-41494
SEC File Number
N
N
Legacy Asset Securities, Inc.
8-51871
SEC File Number
N
N
L.M. Kohn & Company
8-43303
SEC File Number
N
N
E-W Investments, Inc.
8-35259
SEC File Number
N
N
Sunset Financial Services, Inc
8-14148
SEC File Number
N
N
APW Capital, Inc.
8-50433
SEC File Number
N
N
Aventura Securities, LLC
8-67458
SEC File Number
N
N
STIFEL NICOLAUS & CO INC.
5WUVMA08EYG4KEUPW589
N
Y
J. D. Seibert & Co., Inc.
8-23604
SEC File Number
N
N
Lincoln Investment Planning, LLC
8-14354
SEC File Number
N
N
Folger Nolan Fleming Douglas Incorporated
8-03335
SEC File Number
N
N
Benjamin F. Edwards & Company, Inc.
8-68023
SEC File Number
N
N
Omega Securities, Inc.
8-20225
SEC File Number
N
N
Bolton Global Capital, Inc.
2549009M08YVOG46LO79
N
N
Pershing LLC
ZI8Q1A8EI8LQFJNM0D94
N
Y
TCFG Wealth Management, LLC
8-69089
SEC File Number
N
N
Trustfirst, Inc.
8-48509
SEC File Number
N
N
Regal Securities, Inc.
8-21765
SEC File Number
N
N
Hunter Associates, Inc.
8-44779
SEC File Number
N
N
Huntleigh Securities Corporation
8-21893
SEC File Number
N
N
Akar Capital Management, Inc.
8-28026
SEC File Number
N
N
Wintrust Investments, LLC
8-484
SEC File Number
N
N
Hartford Funds Management Company, LLC
801-77209
SEC File Number
N
Y
Insigneo Securities, LLC
254900P4TTO6PU1VDH88
N
N
Bley Investment Group, Inc.
8-42701
SEC File Number
N
N
Geoffrey Richards Securities Corp.
8-65251
SEC File Number
N
N
Woodmen Financial Services, Inc.
8-53592
SEC File Number
N
N
Axiom Capital Management, Inc
254900WW7SK1IMK6NO54
N
N
Capital One Investing, LLC
8-51160
SEC File Number
N
N
Benchmark Investments, Inc.
8-52280
SEC File Number
N
N
Loring Ward Securities Inc.
8-51381
SEC File Number
N
N
First Command Financial Planning, Inc.
8-07072
SEC File Number
N
N
Visun Securities Corporation
8-31907
SEC File Number
N
N
Detwiler Fenton & Co.
8-16324
SEC File Number
N
N
Alexander Capital, L.P.
8-48957
SEC File Number
N
N
Cetera Advisor Networks LLC
8-29577
SEC File Number
N
N
ProEquities, Inc.
8-32590
SEC File Number
N
N
TRG Advisors Inc
8-50449
SEC File Number
N
N
Calton & Associates, Inc.
254900TDJ7LH64ZKRY86
N
N
PTI Securities & Futures, L.P.
8-44412
SEC File Number
N
N
Thompson Davis & Co., Inc.
8-49386
SEC File Number
N
N
UnionBanc Investment Services LLC
254900Y9HI2TG6D79N41
N
N
TCM Securities, Inc.
8-50313
SEC File Number
N
N
Lion Street Financial, LLC
8-69183
SEC File Number
N
N
Purshe Kaplan Sterling Investments, Inc.
8-46844
SEC File Number
N
N
Arthur W. Wood Company
8-3368
SEC File Number
N
N
Invicta Capital LLC
549300QY87LR84LRLL97
N
N
Place Trade Financial, Inc.
8-65915
SEC File Number
N
N
Saturna Trust Company
26-3918998
Tax ID
N
Y
American Portfolios Financial Services, Inc.
8-37085
SEC File Number
N
N
Kercheville & Company
8-32795
SEC File Number
N
N
The Oak Ridge Financial Services Group, Inc.
2549003647MDU9F6QN39
N
N
SWBC Investment Services, LLC
254900YIJJWABADWZ455
N
N
Investshares, Inc
8-68365
SEC File Number
N
N
Parkland Securities, LLC
8-53482
SEC File Number
N
N
Arive Capital Markets LLC
8-43350
SEC File Number
N
N
Berthel Fisher & Company Financial Services, Inc.
8-29426
SEC File Number
N
N
UBATCO & Co.
00000000000000000000
N
Y
Robinson And Robinson, Inc.
8-17109
SEC File Number
N
N
Oberweis Securities, Inc.
5493008EZH6DO1631P71
N
N
Great-West Financial Retirement Plan Services, LLC
84-1233483
Tax ID
N
Y
Finance 500, Inc.
8-28302
SEC File Number
N
N
Vestor Capital Securities, LLC
8-32743
SEC File Number
N
N
American Wealth Management, Inc
8-41807
SEC File Number
N
N
Loria Financial Group, LLC
8-52128
SEC File Number
N
N
Hudson Heritage Capital Management, Inc.
8-50648
SEC File Number
N
N
Petersen Investments, Inc.
8-48306
SEC File Number
N
N
Aufhauser Securities, Inc
8-48786
SEC File Number
N
N
J. Alden Associates, Inc.
8-48938
SEC File Number
N
N
Kovack Securities Inc.
25490070RG17Z4I70I82
N
N
Intervest International Equities Corporation
8-38156
SEC File Number
N
N
Centennial Securities Company, Inc.
8-23406
SEC File Number
N
N
Ross, Sinclaire & Associates, LLC
8-41740
SEC File Number
N
N
Security Distributors, LLC
8-10781
SEC File Number
N
N
Callaway Financial Services, Inc.
8-52474
SEC File Number
N
N
Shareholders Service Group, Inc.
8-65778
SEC File Number
N
N
Chapin, Davis & Co., Inc.
8-43485
SEC File Number
N
N
Gradient Securities, LLC
8-66032
SEC File Number
N
N
PWA Securities, Inc.
8-67700
SEC File Number
N
N
Highlander Capital Group, Inc.
8-37169
SEC File Number
N
N
Pacific Financial Associates, Inc.
8-40712
SEC File Number
N
N
Wiley Bros. - Aintree Capital, LLC
8-3774
SEC File Number
N
N
P. R. Herzig & Co. Inc.
8-22589
SEC File Number
N
N
Robert W. Baird & Co. Incorporated
8-00497
SEC File Number
N
N
Northern Capital Securities Corporation
254900ZANH7XTB94LS53
N
N
E.E. Powell & Company, Inc.
8-1893
SEC File Number
N
N
D.A. Davidson & Co.
549300094RQ5A7DYLF51
N
N
Griffinest Asia Securities, LLC
8-66571
SEC File Number
N
N
Gladowsky Capital Management, Corp.
8-51017
SEC File Number
N
N
Nationwide Financial Services, Inc.
5493001H7AZNDS6BKJ36
N
Y
VBC Securities, L.L.C.
8-44141
SEC File Number
N
N
Stonnington Group, LLC
8-66919
SEC File Number
N
N
Money Concepts Capital Corp
8-29671
SEC File Number
N
N
Girard Investment Services, LLC
8-14145
SEC File Number
N
N
American Century Investment Services, Inc.
8-35220
SEC File Number
N
N
Ausdal Financial Partners, Inc.
8-24519
SEC File Number
N
N
Feldstein Financial Group, L.L.C.
8-53388
SEC File Number
N
N
ViewTrade Securities, Inc.
549300CHLQDUD0NL5851
N
N
First Asset Financial Inc.
8-67191
SEC File Number
N
N
RBC Capital Markets, LLC
549300LCO2FLSSVFFR64
N
Y
The Tavenner Company
8-41206
SEC File Number
N
N
Horan Securities, Inc.
8-49192
SEC File Number
N
N
Allstate Financial Services, LLC
8-36365
SEC File Number
N
N
Barclays Capital Inc.
AC28XWWI3WIBK2824319
N
N
Family Investors Company
8-11190
SEC File Number
N
N
Register Financial Associates, Inc.
8-45012
SEC File Number
N
N
Apex Clearing Corporation
5493000418CITRF5BO80
N
N
FSC Securities Corporation
8-21770
SEC File Number
N
N
S F Sentry Securities, Inc.
8-43101
SEC File Number
N
N
Stephens Inc.
213800LH6T9XDYZCA534
N
N
Allegis Investment Services, LLC
8-69318
SEC File Number
N
N
National Financial Services LLC
549300JRHF1MHHWUAW04
N
Y
Liberty Group Limited
549300A9S9G4AXVWP181
ZA
N
N
Advanced Advisor Group, LLC
8-67313
SEC File Number
N
N
Roberts and Ryan Investments Incorporated
254900A6VIVO4DP1T126
N
N
The GMS Group, L.L.C.
254900OXZT27TA5CGU56
N
N
Hancock Whitney Corporation
549300GRNBWY8HIICT41
N
N
Allen & Company of Florida, Inc.
8-09877
SEC File Number
N
N
Darwood Associates, Incorporated
8-16560
SEC File Number
N
N
Bruderman Brothers, LLC
8-51974
SEC File Number
N
N
Trustcore Investments, LLC
8-32152
SEC File Number
N
N
Cambridge Investment Research, Inc.
8-48740
SEC File Number
N
N
StockCross Financial Services, Inc.
254900E1U348OMY1L886
N
N
Watermark Securities, Inc.
8-43902
SEC File Number
N
N
Citizens Bank
38-0421450
Tax ID
N
N
Zions Direct, Inc.
8-35721
SEC File Number
N
N
ACA Prudent Investors Planning Corp.
8-51899
SEC File Number
N
N
Merrill Lynch, Pierce, Fenner & Smith Incorporated
8NAV47T0Y26Q87Y0QP81
N
N
M. Griffith Investment Services, Inc
8-2259
SEC File Number
N
N
ABD Retirement Services, Inc.
8-69271
SEC File Number
N
N
Superior Financial Services, Inc.
549300BK1DNLS1A2MZ43
N
N
CHALICE CAPITAL PARTNERS, LLC
8-69967
SEC File Number
N
N
Comerica Securities, Inc.
5493009QV211JEW7ZV59
N
N
Diversified Resources, LLC
8-45497
SEC File Number
N
N
UBS Financial Services Inc.
ETYRV6ORNFJB5NONI676
N
N
Signator Investors, Inc.
8-13995
SEC File Number
N
N
Northland Securities, Inc.
254900ZIK4MLVQAWLS15
N
N
Portsmouth Financial Services
8-30097
SEC File Number
N
N
G. A. Repple & Company
8-35315
SEC File Number
N
N
Hornor, Townsend & Kent, LLC
8-14715
SEC File Number
N
N
Northwest Investment Advisors, Inc.
8-65282
SEC File Number
N
N
Union Capital Company
8-53127
SEC File Number
N
N
First Western Securities, Inc.
8-37613
SEC File Number
N
N
Transamerica Advisors Life Insurance Company
F1PLTWZ8OU4HQGZQAP31
N
N
SECU Brokerage Services, Inc.
8-37927
SEC File Number
N
N
Ameritas Investment Corp
549300913B54XKSRM258
N
N
Access Investments, Inc.
8-49750
SEC File Number
N
N
HighTower Securities, LLC
549300F189LKWDZLP954
N
N
H. Beck, Inc.
8-31165
SEC File Number
N
N
Infinex Investments, Inc.
8-46661
SEC File Number
N
N
Cadaret, Grant & Co., Inc.
8-27844
SEC File Number
N
N
Wheelhouse Securities Corporation
8-68105
SEC File Number
N
N
Bodell Overcash Anderson & Company, Inc.
8-15775
SEC File Number
N
N
Excel Securities & Associates, Inc.
8-34261
SEC File Number
N
N
UBS AG (New York, NY, US, Branch)
BFM8T61CT2L1QCEMIK50
N
N
Boenning & Scattergood Inc.
2549005FER5A7K7II574
N
N
Conover Securities Corporation
8-35085
SEC File Number
N
N
First Heartland Capital, Inc.
8-46008
SEC File Number
N
N
Cantella & Co., Inc.
254900Z33Q34HCFGHO19
N
N
J. J. B. Hilliard, W. L. Lyons, LLC
254900HZY78ZQW2G2X35
N
N
Mack Investment Securities, Inc.
8-35536
SEC File Number
N
N
SunTrust Investment Services, Inc
801-56443
SEC File Number
N
N
Mesirow Financial, Inc.
549300BIV46SUHPOFE54
N
N
Securities Equity Group
8-51706
SEC File Number
N
N
Philip J. Greenblatt Securities, Ltd.
8-30725
SEC File Number
N
N
Innovation Partners, LLC
549300IEQ78ON1HMTU71
N
N
Supreme Alliance LLC
N.A.
Bloomberg Global ID
N
N
American Enterprise Investment Services Inc.
549300NT7GLLVGTH0249
N
N
Saxony Securities, Inc.
8-53490
SEC File Number
N
N
InSight Securities, Inc.
2549007I5MCG270G9341
N
N
American Heritage Securities, Inc.
8-44466
SEC File Number
N
N
HSBC Securities (USA) Inc.
CYYGQCGNHMHPSMRL3R97
N
N
KCD Financial, Inc.
8-66005
SEC File Number
N
N
BFT Financial Group, LLC
8-53487
SEC File Number
N
N
Prudential Investment Management Services LLC
8-36540
SEC File Number
N
N
Western Equity Group, Inc.
8-66403
SEC File Number
N
N
Key Investment Services LLC
8-66999
SEC File Number
N
N
Ustocktrade Securities, Inc.
8-33132
SEC File Number
N
N
Synovus Securities, Inc.
254900CM2K7N1E0JF171
N
N
SunTrust Bank
IYDOJBGJWY9T8XKCSX06
N
N
Sweney Cartwright & Company
549300CTOIWXJCKTPS87
N
N
USI Securities, Inc.
8-50429
SEC File Number
N
N
Gilbert, Doniger & Co., Inc.
8-22326
SEC File Number
N
N
McLaughlin Ryder Investments, Inc.
8-67911
SEC File Number
N
N
American United Life Insurance Company
549300T82H2DXU80LV98
N
Y
1st Discount Brokerage, Inc.
8-48557
SEC File Number
N
N
First Allied Securities, Inc.
8-46167
SEC File Number
N
N
Advisory Group Equity Services, Ltd.
8-32155
SEC File Number
N
N
BCG Securities, Inc
8-12680
SEC File Number
N
N
Pensionmark Securities, LLC
8-69773
SEC File Number
N
N
T.S. Phillips Investments, Inc.
8-65661
SEC File Number
N
N
Packerland Brokerage Services, Inc.
8-47572
SEC File Number
N
N
Planned Financial Programs, Inc.
8-5727
SEC File Number
N
N
Bill Few Securities, Inc.
8-49625
SEC File Number
N
N
The Capital Group Securities, Inc.
8-52512
SEC File Number
N
N
Etico Partners, LLC
8-65500
SEC File Number
N
N
Veritas Independent Partners, LLC
8-69363
SEC File Number
N
N
Sorrento Pacific Financial, LLC
8-66046
SEC File Number
N
N
Bankers Life Securities, Inc.
549300YBBLCDP5GDSH97
N
N
M&T Securities, Inc.
254900VRUF9FN7AZI864
N
N
Genworth Life Insurance Company of New York
E5VAS7I8GX5B0SDBX010
N
Y
Allegiance Capital, LLC
8-52978
SEC File Number
N
N
Concord Wealth Partners, LLC
8-41511
SEC File Number
N
N
BPU Investment Management, Inc
8-34979
SEC File Number
N
N
Kestra Investment Services, LLC
8-49672
SEC File Number
N
N
Capital Investment Group, Inc.
8-31225
SEC File Number
N
N
William C. Burnside & Company, Inc.
8-21242
SEC File Number
N
N
Cardinal Investments, Inc.
8-47493
SEC File Number
N
N
The Guardian Insurance & Annuity Company, Inc.
TGIU5N0SIMULU6I57R64
N
Y
Morgan Stanley Smith Barney LLC
7PDDXEMZ0ZV0CEDU4D16
N
N
NBC Securities, Inc.
254900GIP7RJQGHH5S19
N
N
Woodstock Financial Group, Inc.
8-48080
SEC File Number
N
N
Brighton Securities Corp.
8-14599
SEC File Number
N
N
Nest Investments BD, LLC
8-70117
SEC File Number
N
N
Sterling Monroe Securities, LLC
8-65527
SEC File Number
N
N
Principal Life Insurance Company
SDCMU2LVKGV2AF1KWP64
N
Y
Hapoalim Securities USA, Inc.
549300DX255OQ4DT2K44
IL
N
N
Vaughan & Company Securities, Inc.
8-36916
SEC File Number
N
N
GLP Investment Services, LLC
38-3544062
Tax ID
N
N
Navy Federal Brokerage Services, LLC
8-67161
SEC File Number
N
N
Liberty Partners Financial Services, LLC
8-66335
SEC File Number
N
N
EK Riley Investments, LLC
8-65369
SEC File Number
N
N
Integrated Financial Planning Services
8-35120
SEC File Number
DE
N
N
Despain Financial Corporation
8-37056
SEC File Number
N
N
Mutual Securities, Inc.
8-28580
SEC File Number
N
N
Voya Investments Distributor, LLC
8-48020
SEC File Number
N
N
Waddell & Reed, Inc.
8-27030
SEC File Number
N
N
Pension Dynamics Securities Corporation
8-52535
SEC File Number
N
N
Foresters Financial Services, Inc.
8-13891
SEC File Number
N
N
C. R. Davis & Company, Investment Securities
8-859
SEC File Number
N
N
GWFS Equities, Inc.
8-33854
SEC File Number
N
N
World Equity Group, Incorporated
25490078J1OM7KOXR686
N
N
Pyramid Funds Corporation
8-12769
SEC File Number
N
N
Beaconsfield Financial Services, Inc.
8-30993
SEC File Number
N
N
Rothschild Investment Corporation
8-16429
SEC File Number
N
N
ARCA Capital Investments, Inc.
2549005WYCFSTWHCXF92
N
N
Hazlett, Burt & Watson, Inc.
8-17737
SEC File Number
N
N
Treasure Financial Corp.
8-48165
SEC File Number
N
N
JPMorgan Chase Bank, National Association
7H6GLXDRUGQFU57RNE97
N
N
Goldman Sachs & Co. LLC
FOR8UP27PHTHYVLBNG30
N
N
J.P. Morgan Institutional Investments Inc.
8-52182
SEC File Number
N
N
Northern Trust Securities, Inc.
3CHSO99JSPHD9HGNYJ46
N
N
Summit Brokerage Services, Inc
254900G2LJJ0YJVV6908
N
N
Hefren-Tillotson, Inc.
8-10646
SEC File Number
N
N
People's Securities, Inc.
8-29667
SEC File Number
N
N
Hilltop Securities Inc.
549300IXU82PMU6XZT45
N
N
Capital City Securities, LLC
8-67771
SEC File Number
N
N
Corinthian Partners, L.L.C.
8-48461
SEC File Number
N
N
Deutsche Bank Securities Inc.
9J6MBOOO7BECTDTUZW19
N
N
Variable Investment Advisors, Inc
8-50699
SEC File Number
N
N
Donegal Securities, Inc.
8-66137
SEC File Number
N
N
Primerica Shareholder Services, Inc.
84-01499
SEC File Number
N
Y
Western International Securities, INC.
8-48572
SEC File Number
N
N
Ascensus Financial Services, LLC
8-67891
SEC File Number
N
N
Signature Securities Group Corporation
8-52697
SEC File Number
N
N
RJJ Pasadena Securities, Inc.
8-25324
SEC File Number
N
N
The Vanguard Group, Inc.
5493002789CX3L0CJP65
N
Y
MWA Financial Services, Inc.
8-53255
SEC File Number
N
N
Jefferies LLC
58PU97L1C0WSRCWADL48
N
N
International Money Management Group, Inc.
8-30417
SEC File Number
N
N
Podesta & Co.
8-28860
SEC File Number
N
N
Nationwide Planning Associates Inc.
8-45310
SEC File Number
N
N
Peak Brokerage Services, LLC
8-68829
SEC File Number
N
N
Safra Securities LLC
E51AOUORNWWT747CBW71
N
N
Fidelity Investments Life Insurance Company
54930024AKTQGTIV1P93
N
N
Broadridge Business Process Outsourcing, LLC
8-53412
SEC File Number
N
Y
Avondale Partners, LLC
254900799PKXEPTDRJ40
N
N
Healthcare Community Securities Corp.
8-46981
SEC File Number
N
N
Titleist Asset Management, Ltd.
8-65859
SEC File Number
N
N
H. C. Denison Co.
8-00044
SEC File Number
N
N
Riversource Distributors, Inc.
8-67196
SEC File Number
N
N
AXA Advisors, LLC
8-17883
SEC File Number
N
N
First State Financial Management Inc.
8-34201
SEC File Number
N
N
Financial Planning Consultants, Inc.
8-25384
SEC File Number
N
N
Charles Schwab Bank
549300INFJ8TYNZ1G568
N
Y
Buckman, Buckman & Reid, Inc.
254900D688L15B5HJB06
N
N
Lebenthal Financial Services, Inc
8-67140
SEC File Number
N
N
Investment Security Corporation
8-51832
SEC File Number
N
N
Hanson McClain Retirement Network, LP
8-52250
SEC File Number
N
N
Hazard & Siegel, Inc.
8-13942
SEC File Number
N
N
John Hancock Trust Company LLC
549300W205WZCFZS6R51
N
Y
Carl M. Hennig, Inc.
8-14509
SEC File Number
N
N
The Lawrence D. Vitez Corporation
8-48642
SEC File Number
N
N
Oriental Financial Service Corp.
8-44516
SEC File Number
PR
N
N
United Brokerage Services, Inc.
8-48685
SEC File Number
N
N
Folio Investments, Inc.
8-52009
SEC File Number
N
N
Dinosaur Financial Group, LLC
549300CCV3H232GBUN83
N
N
International Research Securities, Inc.
8-37954
SEC File Number
N
N
M.S. Howells & Co.
8-52558
SEC File Number
N
N
Planners Financial Services, Inc.
8-18027
SEC File Number
N
N
Essex Securities LLC
8-51472
SEC File Number
N
N
David Lerner Associates, Inc.
8-20746
SEC File Number
N
N
Avisen Securities, Inc.
8-65833
SEC File Number
N
N
FNBB Capital Markets, L.L.C.
8-66553
SEC File Number
N
N
Harbour Investments, Inc
8-37373
SEC File Number
N
N
Sammons Retirement Solutions
N.A.
Bloomberg Global ID
N
Y
Cft Securities, LLC
8-51345
SEC File Number
N
N
Sage, Rutty & Co., Inc.
8-00533
SEC File Number
N
N
John Hancock Life Insurance Company
5493007TRSDJMZ8TBY32
N
Y
Citigroup Global Markets Inc.
MBNUM2BPBDO7JBLYG310
N
N
Glen Eagle Wealth LLC
8-65678
SEC File Number
N
N
Valmark Securities, Inc.
8-45463
SEC File Number
N
N
MV Securities Group, Inc.
8-47827
SEC File Number
N
N
Sycamore Financial Group
8-30302
SEC File Number
N
N
The Jeffrey Matthews Financial Group, L.L.C.
25490086M6MGMYYVOJ50
N
N
Moloney Securities Co., Inc.
8-48326
SEC File Number
N
N
Midland Securities, Ltd.
8-40685
SEC File Number
N
N
Middlegate Securities Ltd.
549300ZVONUQ845QCH95
N
N
Geneos Wealth Management, Inc.
8-65357
SEC File Number
N
N
Worth Financial Group Inc.
8-29827
SEC File Number
N
N
Sisung Securities Corporation
254900KJI3EYKKPWT989
N
N
DFPG Investments, LLC
8-68730
SEC File Number
N
N
TIAA-CREF Individual & Institutional Services, LLC
8-44454
SEC File Number
N
N
Infinity Securities, Inc.
8-67647
SEC File Number
N
N
Financial Northeastern Securities, Inc.
549300QRRF2NAV5G3869
N
N
CUNA Brokerage Services, Inc.
549300G6Y6BPF9ZL4706
N
N
Fidelity Investments Institutional Operations Company, Inc
549300XVSM8LN3LQOK63
N
Y
GWN Securities, Inc.
8-66185
SEC File Number
N
N
SA Stone Wealth Management Inc.
8-36638
SEC File Number
N
N
U.S. Bancorp Investments, Inc.
H85Z6XZP8B10ES0M2G89
N
N
B. Riley Wealth Management Holdings, Inc
8-31206
SEC File Number
N
N
Rodgers Brothers, Inc.
8-33475
SEC File Number
N
N
BOSC
254900J9GWVYU3XX0614
LU
N
N
Fintrust Brokerage Services, LLC
8-49514
SEC File Number
N
N
Center Street Securities, Inc.
8-42786
SEC File Number
N
N
AssetMark Trust Company
00000000000000000000
N
N
Laidlaw & Company (UK) Ltd.
8-53731
SEC File Number
N
N
Sunbelt Securities, Inc.
8-49748
SEC File Number
N
N
Neuberger Berman BD LLC
PWDS3JJ631D5N70JXG61
N
N
PNC Bank, National Association
AD6GFRVSDT01YPT1CS68
Y
N
CRI Securities, LLC
8-39877
SEC File Number
N
N
USAA Investment Management Company
0000000000
N
N
Lara, May & Associates, LLC
8-67776
SEC File Number
N
N
Aon Benfield Limited
5493002ME0O127QJJG03
GB
N
N
Dempsey Lord Smith, LLC
8-67469
SEC File Number
N
N
Securities America, Inc.
8-26602
SEC File Number
N
N
TD Ameritrade Trust Company
28-15163
SEC File Number
N
N
Caldwell Securities Ltd.
549300ORF2FMHXODHJ66
CA
N
N
Capital Synergy Partners, Inc.
8-68060
SEC File Number
N
N
James I. Black & Company
8-12077
SEC File Number
N
N
Davinci Capital Management, Inc.
8-51580
SEC File Number
N
N
JHW Financial Services, Inc.
8-45304
SEC File Number
N
N
The O. N. Equity Sales Company
8-14161
SEC File Number
N
N
LANDAAS & COMPANY, LLC
8-51826
SEC File Number
N
N
Brazos Securities, Inc.
8-39119
SEC File Number
N
N
Mutual of Omaha Investor Services, Inc.
8-47290
SEC File Number
N
N
Fidelity Brokerage Services LLC
549300OQFQ4NFIOD5695
N
Y
Cetera Investment Services LLC
254900HBKNJ13M56N432
N
N
ACP Securities, LLC
254900GHLAGD9J81O211
N
N
Planned Investment Co Inc
8-15266
SEC File Number
N
N
Jack V. Butterfield Investment Company
8-12454
SEC File Number
N
N
Janney Montgomery Scott LLC
8-00462
SEC File Number
N
N
FTB Advisors, Inc.
8-35061
SEC File Number
N
N
SFA Financial LLC
8-68156
SEC File Number
N
N
Empire Asset Management Company, LLC
8-67520
SEC File Number
N
N
NTB Financial Corporation
8-21884
SEC File Number
N
N
H.D. Vest, Inc.
8-29533
SEC File Number
N
N
J.W. Cole Financial, Inc.
8-65698
SEC File Number
N
N
MMA Securities LLC
8-50591
SEC File Number
N
N
Ameriprise Financial Services, Inc.
8-16791
SEC File Number
N
N
Wescom Financial Services, LLC
8-66189
SEC File Number
N
N
Country Club Financial Services, Inc.
8-44574
SEC File Number
N
N
Lieblong & Associates, Inc.
8-49880
SEC File Number
N
N
Woodlands Securities Corporation
8-39700
SEC File Number
N
N
1st Global Capital Corp.
8-44870
SEC File Number
N
N
OFG Financial Services, Inc.
8-40770
SEC File Number
N
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Wellington Shields & Co., LLC
8-68098
SEC File Number
N
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Arlington Securities, Inc.
8-38098
SEC File Number
N
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Actinver Securities, Inc.
254900FT947VQZ1WHT28
N
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Investment Professionals, Inc.
8-44786
SEC File Number
N
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Digital Retirement Solutions, Inc.
84-1477138
Tax ID
N
Y
Associated Investment Services, Inc.
8-00099
SEC File Number
N
N
Y
State Street Bank and Trust Company
571474TGEMMWANRLN572
N
Y
BlackRock Advisors, LLC
5493001LN9MRM6A35J74
Y
N
N
BlackRock Investments, LLC
8-48436
000038642
00000000000000000000
0
BlackRock Execution Services
8-48719
000039438
549300HFCRQ0NT5KY652
0
Morgan Stanley & Co. LLC
8-15869
000008209
9R7GPTSO7KV3UQJZQ078
909080.91
BofA Securities, Inc.
8-69787
000283942
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1087279.61
Deutsche Bank Securities Inc.
8-17822
000002525
9J6MBOOO7BECTDTUZW19
200978.28
Credit Suisse Securities (USA) LLC
8-422
000000816
1V8Y6QCX6YMJ2OELII46
726264.49
J.P. Morgan Securities LLC
8-35008
000000079
ZBUT11V806EZRVTWT807
1276786.99
Macquarie Capital (USA) Inc.
8-47198
000036368
549300670K07JRB5UQ40
232303.73
UBS Securities LLC
8-22651
000007654
T6FIZBDPKLYJKFCRVK44
889760.98
Citigroup Global Markets Inc.
8-8177
000007059
MBNUM2BPBDO7JBLYG310
872470.62
Goldman Sachs & Co. LLC
8-129
000000361
FOR8UP27PHTHYVLBNG30
506375.39
CLSA Americas, LLC
8-69166
000165533
213800M2DXATWY7JMS07
363099.38
8347016.39
U.S. Bancorp Investments, Inc.
8-35359
000017868
H85Z6XZP8B10ES0M2G89
4724527337
Mizuho Securities USA LLC
8-37710
000019647
7TK5RJIZDFROZCA6XF66
5204212592
Nomura Securities International, Inc.
8-15255
000004297
OXTKY6Q8X53C9ILVV871
6823318211
HSBC Securities (USA) Inc.
8-41562
000019585
CYYGQCGNHMHPSMRL3R97
7628647272
J.P. Morgan Securities LLC
8-35008
000000079
ZBUT11V806EZRVTWT807
14605422865
BofA Securities, Inc.
8-69787
000283942
549300HN4UKV1E2R3U73
13445917721
Citigroup Global Markets Inc.
8-8177
000007059
MBNUM2BPBDO7JBLYG310
12406577019
Morgan Stanley & Co. LLC
8-15869
000008209
9R7GPTSO7KV3UQJZQ078
9890592931
Wells Fargo Securities, LLC
8-65876
000126292
VYVVCKR63DVZZN70PB21
2891244951
Goldman Sachs & Co. LLC
8-129
000000361
FOR8UP27PHTHYVLBNG30
9334605230
102085558406.51
Y
27461656897.31
Committed
1750000000
N
N
N
N
true
true
INTERNAL CONTROL RPT
2
NCEN_4449707578688507.txt
REPORT OF INDEPENDENT REGISTERED PUBLIC
ACCOUNTING FIRM
To the Shareholders and the Board of Directors of
BlackRock Global Allocation Fund, Inc.:
In planning and performing our audit of the consolidated
financial statements of BlackRock Global Allocation Fund, Inc.
(the "Fund"), as of and for the year ended October 31, 2019, in
accordance with the standards of the Public Company
Accounting Oversight Board (United States) (PCAOB), we
considered the Fund's internal control over financial reporting,
including controls over safeguarding securities, as a basis for
designing our auditing procedures for the purpose of expressing
our opinion on the financial statements and to comply with the
requirements of Form N-CEN, but not for the purpose of
expressing an opinion on the effectiveness of the Fund's
internal control over financial reporting. Accordingly, we
express no such opinion.
The management of the Fund is responsible for establishing and
maintaining effective internal control over financial reporting.
In fulfilling this responsibility, estimates and judgments by
management are required to assess the expected benefits and
related costs of controls. A company's internal control over
financial reporting is a process designed to provide reasonable
assurance regarding the reliability of financial reporting and the
preparation of financial statements for external purposes in
accordance with generally accepted accounting principles. A
company's internal control over financial reporting includes
those policies and procedures that (1) pertain to the
maintenance of records that, in reasonable detail, accurately
and fairly reflect the transactions and dispositions of the assets
of the company; (2) provide reasonable assurance that
transactions are recorded as necessary to permit preparation of
financial statements in accordance with generally accepted
accounting principles, and that receipts and expenditures of the
company are being made only in accordance with
authorizations of management and directors of the company;
and (3) provide reasonable assurance regarding prevention or
timely detection of unauthorized acquisition, use, or disposition
of a company's assets that could have a material effect on the
financial statements.
Because of its inherent limitations, internal control over
financial reporting may not prevent or detect misstatements.
Also, projections of any evaluation of effectiveness to future
periods are subject to the risk that controls may become
inadequate because of changes in conditions or that the degree
of compliance with the policies or procedures may deteriorate.
A deficiency in internal control over financial reporting exists
when the design or operation of a control does not allow
management or employees, in the normal course of performing
their assigned functions, to prevent or detect misstatements on a
timely basis. A material weakness is a deficiency, or a
combination of deficiencies, in internal control over financial
reporting, such that there is a reasonable possibility that a
material misstatement of the company's annual or interim
financial statements will not be prevented or detected on a
timely basis.
Our consideration of the Fund's internal control over financial
reporting was for the limited purpose described in the first
paragraph and would not necessarily disclose all deficiencies in
internal control that might be material weaknesses under
standards established by the PCAOB. However, we noted no
deficiencies in the Fund's internal control over financial
reporting and its operation, including controls for safeguarding
securities, that we consider to be a material weakness, as
defined above, as of October 31, 2019.
This report is intended solely for the information and use of
management and the Board of Directors of the Fund and the
Securities and Exchange Commission and is not intended to be
and should not be used by anyone other than these specified
parties.
/s/ Deloitte & Touche LLP
Boston, Massachusetts
December 20, 2019
LEGAL PROCEEDINGS
3
NCEN_2806341989074355.txt
In re: BlackRock Mutual Funds Advisory
Fee Litigation, 3:14-cv-01165-FLW-TJB
(D.N.J.), 19-1557 (3d Cir.)
On May 27, 2014, Owen Clancy, Timothy
Davidson, Cindy Tarchis and Brendan
Foote, investors in the BlackRock Global
Allocation Fund, Inc. ("Global Allocation")
and the BlackRock Equity Dividend Fund
("Equity Dividend") filed a consolidated
complaint in the United States District Court
for the District of New Jersey against
BlackRock Advisors, LLC, BlackRock
Investment Management, LLC and
BlackRock International Limited
(collectively, the "Defendants") under the
caption In re BlackRock Mutual Funds
Advisory Fee Litigation. In the lawsuit, which
purports to be brought derivatively on behalf
of Global Allocation and Equity Dividend,
the plaintiffs allege that the Defendants
violated Section 36(b) of the Investment
Company Act by receiving allegedly
excessive investment advisory fees from
Global Allocation and Equity Dividend. On
June 13, 2018, the court granted in part and
denied in part the Defendants' motion for
summary judgment. On July 25, 2018, the
plaintiffs served a pleading that
supplemented the time period of their
alleged damages to run through the date of
trial. The lawsuit seeks, among other things,
to recover on behalf of Global Allocation
and Equity Dividend all allegedly excessive
advisory fees received by the Defendants
beginning twelve months preceding the start
of the lawsuit with respect to each of Global
Allocation and Equity Dividend and ending
on the date of judgment, along with
purported lost investment returns on those
amounts, plus interest. The Defendants
believe the claims in the lawsuit are without
merit. The trial on the remaining issues was
completed on August 29, 2018. On
February 8, 2019, the court issued an order
dismissing the claims in their entirety. On
March 8, 2019, the plaintiffs provided notice
that they are appealing both the February 8,
2019 post-trial order and the June 13, 2018
order partially granting Defendants' motion
for summary judgment.