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["SEC Region","Organization CRD#","Additional CRD Number","Total number of additional CRD numbers","SEC#","Firm Type","Umbrella Registration","Total number of relying advisers","CIK#","Total number of CIK numbers","Primary Business Name","Legal Name","Main Office Street Address 1","Main Office Street Address 2","Main Office City","Main Office State","Main Office Country","Main Office Postal Code","Main Office Private Residence Flag","Main Office Telephone Number","Main Office Facsimile Number","Total number of offices, other than your Principal Office and place of business","Mail Office Street Address 1","Mail Office Street Address 2","Mail Office City","Mail Office State","Mail Office Country","Mail Office Postal Code","Mail Office Private Residence Flag","SEC Current Status","SEC Status Effective Date","Jurisdiction Notice Filed-Effective Date","Latest ADV Filing Date","Form Version","1I","Website Address","Total Number of Website Addresses","1L","Location of Books and Records Street Address 1","Location of Books and Records Street Address 2","Location of Books and Records City","Location of Books and Records State","Location of Books and Records Country","Location of Books and Records Postal Code","Total Number of Books and Records Locations","1M","1N","1O","1O - If yes, approx. amount of assets","1P","2A(1)","2A(2)","2A(4)","2A(5)","2A(6)","2A(7)","2A(8)","2A(9)","2A(10)","2A(11)","2A(12)","2A(13)","3A","3A-Other","3B","3C-State","3C-Country","4A","Acquired Firm","Acquired Firm SEC#","Acquired Firm CRD#","Total Number of Acquired Firms","4B","5A","5B(1)","5B(2)","5B(3)","5B(4)","5B(5)","5B(6)","5C(1)","5C(1)-If more than 100, how many","5C(2)","5D(1)(a)","5D(1)(b)","5D(1)(c)","5D(1)(d)","5D(1)(e)","5D(1)(f)","5D(1)(g)","5D(1)(h)","5D(1)(i)","5D(1)(j)","5D(1)(k)","5D(1)(l)","5D(1)(m)","5D(1)(m)-Other","5D(2)(a)","5D(2)(b)","5D(2)(c)","5D(2)(d)","5D(2)(e)","5D(2)(f)","5D(2)(g)","5D(2)(h)","5D(2)(i)","5D(2)(j)","5D(2)(k)","5D(2)(l)","5D(2)(m)","5D(2)(m)-Other","5D(a)(1)","5D(a)(2)","5D(a)(3)","5D(b)(1)","5D(b)(2)","5D(b)(3)","5D(c)(1)","5D(c)(2)","5D(c)(3)","5D(d)(1)","5D(d)(3)","5D(e)(1)","5D(e)(3)","5D(f)(1)","5D(f)(3)","5D(g)(1)","5D(g)(2)","5D(g)(3)","5D(h)(1)","5D(h)(2)","5D(h)(3)","5D(i)(1)","5D(i)(2)","5D(i)(3)","5D(j)(1)","5D(j)(2)","5D(j)(3)","5D(k)(1)","5D(k)(2)","5D(k)(3)","5D(l)(1)","5D(l)(2)","5D(l)(3)","5D(m)(1)","5D(m)(2)","5D(m)(3)","5D(n)(1)","5D(n)(2)","5D(n)(3)","5D(n)(3) - Other","5E(1)","5E(2)","5E(3)","5E(4)","5E(5)","5E(6)","5E(7)","5E(7)-Other","5F(1)","5F(2)(a)","5F(2)(b)","5F(2)(c)","5F(2)(d)","5F(2)(e)","5F(2)(f)","5F(3)","5G(1)","5G(2)","5G(3)","5.G.(3) - Total number of RICs or BDCs","5.G.(3) - Total amount of Parallel Assets","5G(4)","5G(5)","5G(6)","5G(7)","5G(8)","5G(9)","5G(10)","5G(11)","5G(12)","5G(12)-Other","5H","5H-If more than 500, how many","5I(1)","5I(2)(a)","5I(2)(b)","5I(2)(c)","5.I.(2) - Total number of wrap fee programs","5J(1)","5J(2)","5K(1)","5.K.(1)(a)(i) midyear percentage","5.K.(1)(a)(ii) midyear percentage","5.K.(1)(a)(iii) midyear percentage","5.K.(1)(a)(iv) midyear percentage","5.K.(1)(a)(v) midyear percentage","5.K.(1)(a)(vi) midyear percentage","5.K.(1)(a)(vii) midyear percentage","5.K.(1)(a)(viii) midyear percentage","5.K.(1)(a)(ix) midyear percentage","5.K.(1)(a)(x) midyear percentage","5.K.(1)(a)(xi) midyear percentage","5.K.(1)(a)(xii) midyear percentage","5.K.(1)(a)(i) end year percentage","5.K.(1)(a)(ii) end year percentage","5.K.(1)(a)(iii) end year percentage","5.K.(1)(a)(iv) end year percentage","5.K.(1)(a)(v) end year percentage","5.K.(1)(a)(vi) end year percentage","5.K.(1)(a)(vii) end year percentage","5.K.(1)(a)(viii) end year percentage","5.K.(1)(a)(ix) end year percentage","5.K.(1)(a)(x) end year percentage","5.K.(1)(a)(xi) end year percentage","5.K.(1)(a)(xii) end year percentage","5.K.(1)(a)(xii)  - Other description","5.K.(1)(b)(i) end year percentage","5.K.(1)(b)(ii) end year percentage","5.K.(1)(b)(iii) end year percentage","5.K.(1)(b)(iv) end year percentage","5.K.(1)(b)(v) end year percentage","5.K.(1)(b)(vi) end year percentage","5.K.(1)(b)(vii) end year percentage","5.K.(1)(b)(viii) end year percentage","5.K.(1)(b)(ix) end year percentage","5.K.(1)(b)(x) end year percentage","5.K.(1)(b)(xi) end year percentage","5.K.(1)(b)(xii) end year percentage","5.K.(1)(b)(xii)  - Other description","5K(2)","5K(3)","5.K.(2)(a)(i)(1) less 10","5.K.(2)(a)(i)(1) 10-149","5.K.(2)(a)(i)(1) over 150","5.K.(2)(a)(i)(2) less 10","5.K.(2)(a)(i)(2) 10-149","5.K.(2)(a)(i)(2) over 150","5.K.(2)(a)(i)(3)(a) less 10 percentage ","5.K.(2)(a)(i)(3)(b) less 10 percentage ","5.K.(2)(a)(i)(3)(c) less 10 percentage ","5.K.(2)(a)(i)(3)(d) less 10 percentage ","5.K.(2)(a)(i)(3)(e) less10 percentage ","5.K.(2)(a)(i)(3)(f) less 10 percentage ","5.K.(2)(a)(i)(3)(a) 10-149 percentage ","5.K.(2)(a)(i)(3)(b) 10-149 percentage ","5.K.(2)(a)(i)(3)(c) 10-149 percentage ","5.K.(2)(a)(i)(3)(d) 10-149 percentage ","5.K.(2)(a)(i)(3)(e) 10-149 percentage ","5.K.(2)(a)(i)(3)(f) 10-149 percentage ","5.K.(2)(a)(i)(3)(a) over 150 percentage ","5.K.(2)(a)(i)(3)(b) over 150 percentage ","5.K.(2)(a)(i)(3)(c) over 150 percentage ","5.K.(2)(a)(i)(3)(d) over 150 percentage ","5.K.(2)(a)(i)(3)(e) over 150 percentage ","5.K.(2)(a)(i)(3)(f) over 150 percentage ","5.K.(2)(a)(ii)(1) less 10","5.K.(2)(a)(ii)(1) 10-149","5.K.(2)(a)(ii)(1) over 150","5.K.(2)(a)(ii)(2) less 10","5.K.(2)(a)(ii)(2) 10-149","5.K.(2)(a)(ii)(2) over 150","5.K.(2)(a)(ii)(3)(a) less 10 percentage ","5.K.(2)(a)(ii)(3)(b) less 10 percentage ","5.K.(2)(a)(ii)(3)(c) less 10 percentage ","5.K.(2)(a)(ii)(3)(d) less 10 percentage ","5.K.(2)(a)(ii)(3)(e) less10 percentage ","5.K.(2)(a)(ii)(3)(f) less 10 percentage ","5.K.(2)(a)(ii)(3)(a) 10-149 percentage ","5.K.(2)(a)(ii)(3)(b) 10-149 percentage ","5.K.(2)(a)(ii)(3)(c) 10-149 percentage ","5.K.(2)(a)(ii)(3)(d) 10-149 percentage ","5.K.(2)(a)(ii)(3)(e) 10-149 percentage ","5.K.(2)(a)(ii)(3)(f) 10-149 percentage ","5.K.(2)(a)(ii)(3)(a) over 150 percentage ","5.K.(2)(a)(ii)(3)(b) over 150 percentage ","5.K.(2)(a)(ii)(3)(c) over 150 percentage ","5.K.(2)(a)(ii)(3)(d) over 150 percentage ","5.K.(2)(a)(ii)(3)(e) over 150 percentage ","5.K.(2)(a)(ii)(3)(f) over 150 percentage ","5.K.(2)(b)(1) less 10","5.K.(2)(b)(1) 10-149","5.K.(2)(b)(1) over150","5.K.(2)(b)(2) less 10","5.K.(2)(b)(2) 10-149","5.K.(2)(b)(2) over150","5K(4)","5L(1)(a)","5L(1)(b)","5L(1)(c)","5L(1)(d)","5L(1)(e)","5L(2)","5L(3)","5L(4)","6A(1)","6A(2)","6A(3)","6A(4)","6A(5)","6A(6)","6A(7)","6A(8)","6A(9)","6A(10)","6A(11)","6A(12)","6A(13)","6A(14)","6A(14)-Other","6B(1)","6B(2)","6B(3)","7A(1)","7A(2)","7A(3)","7A(4)","7A(5)","7A(6)","7A(7)","7A(8)","7A(9)","7A(10)","7A(11)","7A(12)","7A(13)","7A(14)","7A(15)","7A(16)","Count of IA Affiliates","Count of IA/BD Affiliates","Count of BD Affiliates","Control/Controlled by Related Person","Under Common Control","Share Supervised Persons","Share Location","7B","Count of Private Funds - 7B(1)","Any PFs a Master","Any Hedge Funds","Total number of Hedge funds","Any Liquidity Funds","Total number of Liquidity funds","Any PE Funds","Total number of PE funds","Any Real Estate Funds","Total number of Real Estate funds","Any Securitized Funds","Total number of Securitized funds","Any VC Funds","Total number of VC funds","Any Other Funds","Total number of Other funds","Total Gross Assets of Private Funds","Count of Private Funds - 7B(2)","8A(1)","8A(2)","8A(3)","8B(1)","8B(2)","8B(3)","8C(1)","8C(2)","8C(3)","8C(4)","8D","8E","8F","8G(1)","8G(2)","8H","8H(1)","8H(2)","8I","9A(1)(a)","9A(1)(b)","9A(2)(a)","9A(2)(b)","9B(1)(a)","9B(1)(b)","9B(2)(a)","9B(2)(b)","Total Custody Amount","9C(1)","9C(2)","9C(3)","9C(4)","9C Unqual Opinion","9D(1)","9D(2)","9E","9F","10A","Count of Control person Public Reporting Company",11,"11A(1)","Count of 11A(1) disclosures","11A(2)","Count of 11A(2) disclosures","11B(1)","Count of 11B(1) disclosures","11B(2)","Count of 11B(2) disclosures","11C(1)","Count of 11C(1) disclosures","11C(2)","Count of 11C(2) disclosures","11C(3)","Count of 11C(3) disclosures","11C(4)","Count of 11C(4) disclosures","11C(5)","Count of 11C(5) disclosures","11D(1)","Count of 11D(1) disclosures","11D(2)","Count of 11D(2) disclosures","11D(3)","Count of 11D(3) disclosures","11D(4)","Count of 11D(4) disclosures","11D(5)","Count of 11D(5) disclosures","11E(1)","Count of 11E(1) disclosures","11E(2)","Count of 11E(2) disclosures","11E(3)","Count of 11E(3) disclosures","11E(4)","Count of 11E(4) disclosures","11F","Count of 11F disclosures","11G","Count of 11G disclosures","11H(1)(a)","Count of 11H(1)(a) disclosures","11H(1)(b)","Count of 11H(1)(b) disclosures","11H(1)(c)","Count of 11H(1)(c) disclosures","11H(2)","Count of 11H(2) disclosures","12A","12B(1)","12B(2)","12C(1)","12C(2)"]
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["PLRO",319,null,null,"801-67696","Registered","N",null,37846,1,"FOLGER NOLAN FLEMING DOUGLAS INCORPORATED","FOLGER NOLAN FLEMING DOUGLAS INCORPORATED","725 15TH STREET NW",null,"WASHINGTON","DC","United States","20005-2109","N","202-626-5300","202-783-3461",2,{"$nulls":7},"Approved","2007-04-24","CA-01/07/2014, DC-04/24/2007, DE-02/17/2009, GA-01/07/2014, MD-04/24/2007, NC-01/07/2014, VA-02/06/2009","2024-09-03","2021-10-01","Y","HTTP://WWW.FNFD.COM",1,"N",{"$nulls":6},0,"N","N","N",null,"254900DD93O7YH65O708","Y","N","N","N","N","N","N","N","N","N","N","N","Corporation",null,"DECEMBER","DE","United States","N",{"$nulls":3},0,null,52,25,35,25,0,15,0,700,null,2,{"$nulls":28},563,null,{"v":158669613,"d":"158,669,613.00"},104,null,{"v":804820799,"d":"804,820,799.00"},0,null,null,0,null,0,null,0,null,4,null,{"v":865644,"d":"865,644.00"},24,null,{"v":54901122,"d":"54,901,122.00"},0,null,null,0,null,null,0,null,null,0,null,null,0,null,null,2,null,{"v":4201560,"d":"4,201,560.00"},"INVESTMENT CLUB","Y","N","N","N","N","N","N",null,"Y",0,{"v":1023458738,"d":"1,023,458,738.00"},{"v":1023458738,"d":"1,023,458,738.00"},0,697,697,{"v":10000000,"d":"10,000,000.00"},"N","Y","N",null,null,"N","Y","N","Y","N","N","N","N","Y","RECOMMEND WRAP FEE MANAGEMENT PROGRAMS OF OTHER REGISTERED INVESTMENT ADVISERS",null,null,"Y",{"v":136084208,"d":"136,084,208.00"},0,{"v":317529818,"d":"317,529,818.00"},7,"N","N","Y",{"$nulls":25},43,0,2,2,0,8,0,0,38,0,5,2,"FIXED AND VARIABLE ANNUITIES, LISTED OPTIONS","N","N",{"$nulls":54},"Y","N","N","N","N","N",null,"N","N","Y","N","N","N","N","N","N","N","N","N","N","N","N","N",null,"N",null,"Y","N","Y","N","N","N","N","N","N","N","N","N","Y","N","N","N","N",1,0,0,"Y","Y","Y","Y","N",0,"N","N",null,"N",null,"N",null,"N",null,"N",null,"N",null,"N",null,0,0,"N","Y","N","N","N","N","Y","Y","N","N",null,"Y","Y","N",null,null,"N","N","N","N","N",null,null,"N","N",{"$nulls":3},"N","N","N","N","N","N","N",null,null,"N",2,"Y","N",0,"N",0,"N",0,"N",0,"N",0,"Y",1,"N",0,"Y",1,"Y",1,"N",0,"N",0,"N",0,"N",0,"N",0,"N",0,"Y",1,"N",0,"N",0,"N",0,"N",0,"N",0,"N",0,"N",0,"N",0]
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["NYRO",361,null,null,"801-16048","Registered","N",null,769993,4,"GOLDMAN SACHS & CO. LLC","GOLDMAN SACHS & CO. LLC","200 WEST STREET",null,"NEW YORK","NY","United States",10282,"N","212-902-1000",null,24,{"$nulls":7},"Approved","1981-05-13","AK-11/21/1997, AL-10/28/1992, AR-10/19/1988, AZ-11/26/1997, CA-07/08/1997, CO-04/30/2001, CT-09/26/1997, DC-04/30/2001, DE-01/24/2011, FL-06/14/1993, GA-02/27/2003, HI-11/14/1997, IA-01/01/1999, ID-11/14/1997, IL-12/12/1988, IN-09/06/1988, KS-11/18/1997, KY-11/24/1997, LA-10/08/2001, MA-04/30/2001, MD-01/01/1992, ME-01/20/1989, MI-04/30/2001, MN-01/02/1998, MO-11/19/1997, MS-11/17/1997, MT-11/26/1997, NC-04/03/2001, ND-10/18/1988, NE-11/24/1999, NH-10/26/1988, NJ-09/15/1988, NM-01/25/1989, NV-01/02/1991, NY-10/26/1988, OH-11/19/1999, OK-01/01/1998, OR-11/18/1988, PA-01/01/1998, PR-11/01/1996, RI-11/17/1997, SC-10/24/1988, SD-10/21/1988, TN-09/19/1997, TX-04/30/2001, UT-10/09/1997, VA-02/03/1998, VI-02/28/2008, VT-11/24/1997, WA-12/29/1998, WI-11/17/1997, WV-09/06/1988, WY-01/16/2018","2024-11-19","2021-10-01","Y","HTTPS://WWW.LINKEDIN.COM/COMPANY/GOLDMAN-SACHS",9,"Y","P.O. BOX 309, UGLAND HOUSE","SOUTH CHURCH STREET","GEORGE TOWN",null,"Cayman Islands","KY1-1104",64,"Y","N","Y","More than $50 billion","FOR8UP27PHTHYVLBNG30","Y","N","N","N","N","N","N","N","N","N","N","N","Limited Liability Company",null,"DECEMBER","NY","United States","N",{"$nulls":3},0,null,3689,2406,1988,0,0,42,2,1849,null,1,{"$nulls":28},39635,null,{"v":693164657,"d":"693,164,657.00"},24083,null,{"v":38761646977,"d":"38,761,646,977.00"},0,"Fewer than 5 clients",0,0,0,0,0,337,{"v":78697636623,"d":"78,697,636,623.00"},7,null,{"v":2837532,"d":"2,837,532.00"},1015,null,{"v":13890407903,"d":"13,890,407,903.00"},2,"Fewer than 5 clients",{"v":4794836,"d":"4,794,836.00"},0,"Fewer than 5 clients",0,24,null,{"v":621587089,"d":"621,587,089.00"},2,"Fewer than 5 clients",{"v":3060135,"d":"3,060,135.00"},424,null,{"v":11553103782,"d":"11,553,103,782.00"},13223,null,{"v":78516358681,"d":"78,516,358,681.00"},"GS TRUST COMPANY, INDIAN TRIBES","Y","N","N","Y","Y","Y","Y","EXECUTION CHARGES, CUSTODY, MANAGEMENT FEE","Y",{"v":217363811220,"d":"217,363,811,220.00"},{"v":5380786995,"d":"5,380,786,995.00"},{"v":222744598215,"d":"222,744,598,215.00"},{"v":77227,"d":"77,227"},20,{"v":77247,"d":"77,247"},{"v":68824611944,"d":"68,824,611,944.00"},"Y","Y","N",null,null,"Y","Y","N","Y","Y","N","N","Y","N",null,"1-10",null,"Y",0,0,0,null,"Y","Y","Y",11,1,0,0,0,0,0,0,63,3,3,18,10,1,0,0,0,0,0,0,64,3,3,19,"5.K.(1)(A)(VIII) INCLUDES DERIVATIVE POSITIONS CLASSIFIED AS ASSETS FOR FINANCIAL ACCOUNTING PURPOSES ONLY AND DERIVATIVES REFLECTED AS ASSETS ON FINANCIAL STATEMENTS. PWM DERIVATIVE POSITIONS CLASSIFIED AS LIABILITIES ARE REFLECTED IN \"OTHER\". SEE SCHEDULE D MISC. FOR MORE INFORMATION. \"OTHER\" ALSO INCLUDES STRUCTURED NOTES.",{"$nulls":13},"Y","Y",{"v":84531382548,"d":"84,531,382,548.00"},{"v":8382968623,"d":"8,382,968,623.00"},{"v":19767383,"d":"19,767,383.00"},0,{"v":88354,"d":"88,354.00"},{"v":1059945,"d":"1,059,945.00"},null,0,null,0,{"$nulls":3},0,null,33,{"$nulls":3},827,null,5985,null,null,{"v":90063990409,"d":"90,063,990,409.00"},{"v":8149038091,"d":"8,149,038,091.00"},{"v":432370742,"d":"432,370,742.00"},0,{"v":9421,"d":"9,421.00"},{"v":1466379,"d":"1,466,379.00"},null,0,null,0,{"$nulls":3},4,null,34,{"$nulls":3},17,null,447,{"$nulls":8},"Y","Y","Y","Y","N","Y","Y","Y","N","Y","N","Y","Y","N","N","N","N","Y","Y","N","N","N","N",null,"Y","N","Y","Y","Y","N","Y","N","Y","Y","Y","Y","N","N","Y","Y","N","N","Y",22,13,17,"Y","Y","Y","Y","Y",171,"Y","Y",3,"N",null,"Y",127,"Y",40,"N",null,"N",null,"Y",1,{"v":62290811606,"d":"62,290,811,606.00"},2,"Y","Y","Y","Y","Y","Y","Y","Y","Y","Y","Y","Y","Y","Y","Y",null,"Y","Y","N","Y","Y",{"v":140090854247,"d":"140,090,854,247.00"},{"v":38957,"d":"38,957"},"Y","Y",{"v":2556112565,"d":"2,556,112,565.00"},207,{"v":142646966812,"d":"142,646,966,812.00"},"Y","Y","Y","Y","Y","Y","Y","2023-07-01",98,"N",1,"Y","N",0,"N",0,"Y",1,"Y",1,"Y",3,"Y",33,"N",0,"Y",22,"Y",29,"Y",109,"Y",165,"N",0,"Y",76,"Y",6,"Y",1,"Y",296,"N",0,"N",0,"Y",1,"Y",5,"Y",7,"Y",6,"Y",1,"Y",3]
["PLRO",396,null,null,"801-66333","Registered","N",{"$nulls":3},"SECURITY CAPITAL MANAGEMENT","HAZLETT, BURT & WATSON, INC.","1300 CHAPLINE STREET",null,"WHEELING","WV","United States",26003,"N","304-233-3312","304-233-3870",3,{"$nulls":7},"Approved","2006-03-29","FL-01/15/2020, GA-03/29/2021, IN-03/29/2021, KY-03/10/2022, NC-01/15/2020, NJ-06/18/2020, OH-03/29/2006, PA-03/29/2006, SC-06/18/2020, TX-03/16/2020, VA-03/16/2020, WV-03/29/2006","2024-12-18","2021-10-01","Y","HTTP://WWW.HAZLETTBURT.COM",1,"Y","179 EAST MAIN STREET","FIRST FLOOR","BARNESVILLE","OH","United States",43713,3,"N","N","N",null,null,"Y","N","N","N","N","N","N","N","N","N","N","N","Corporation",null,"DECEMBER","WV","United States","N",{"$nulls":3},0,null,21,16,21,21,0,12,0,0,null,0,{"$nulls":28},1731,null,{"v":400765279,"d":"400,765,279.00"},517,null,{"v":567020112,"d":"567,020,112.00"},{"$nulls":9},15,null,{"v":30464570,"d":"30,464,570.00"},19,null,{"v":12974042,"d":"12,974,042.00"},{"$nulls":12},9,null,{"v":7399003,"d":"7,399,003.00"},{"$nulls":4},"Y","N","N","N","N","N","N",null,"Y",{"v":501960874,"d":"501,960,874.00"},{"v":516662132,"d":"516,662,132.00"},{"v":1018623006,"d":"1,018,623,006.00"},948,{"v":1343,"d":"1,343"},{"v":2291,"d":"2,291"},0,"Y","Y","N",null,null,"N","Y","Y","Y","N","N","N","N","N",null,"251-500",null,"Y",0,0,{"v":1018623006,"d":"1,018,623,006.00"},2,"N","N","Y",{"$nulls":25},79,0,0,0,0,0,0,0,18,0,3,0,null,"N","N",{"$nulls":54},"N","N","N","N","N","N",null,"N","N","Y","N","N","N","N","Y","N","N","N","N","N","N","N","N",null,"N",null,"Y","N","N","N","N","N","N","N","Y","N","N","N","N","N","N","N","N",0,0,0,"Y","N","Y","Y","N",0,"N","N",null,"N",null,"N",null,"N",null,"N",null,"N",null,"N",null,0,0,"Y","Y","N","Y","N","Y","Y","Y","N","N",null,"Y","Y","Y","Y",null,"N","N","N","Y","Y",{"v":992630443,"d":"992,630,443.00"},{"v":2274,"d":"2,274"},"Y","Y",{"v":23745324,"d":"23,745,324.00"},17,{"v":1016375767,"d":"1,016,375,767.00"},"N","N","Y","Y","Y","N","N","2023-09-01",3,"N",0,"N","N",0,"N",0,"N",0,"N",0,"Y",1,"Y",1,"N",0,"Y",1,"Y",1,"N",0,"N",0,"N",0,"N",0,"N",0,"N",0,"N",0,"N",0,"N",0,"N",0,"N",0,"N",0,"N",0,"N",0,"N",0]
["PLRO",463,null,null,"801-7258","Registered","N",null,200401,2,"JANNEY MONTGOMERY SCOTT LLC","JANNEY MONTGOMERY SCOTT LLC","1717 ARCH STREET",null,"PHILADELPHIA","PA","United States",19103,"N","215-665-6000","215-665-0824",130,{"$nulls":7},"Approved","1971-03-08","AK-07/01/2005, AL-09/13/1996, AR-07/06/2005, AZ-06/30/2005, CA-07/08/1997, CO-06/30/2005, CT-10/11/2001, DC-01/01/1994, DE-06/30/2003, FL-12/10/1992, GA-01/05/1998, HI-06/30/2005, IA-06/30/2005, ID-06/30/2005, IL-12/28/1993, IN-06/30/2005, KS-06/30/2005, KY-06/30/2005, LA-06/30/2005, MA-04/04/2006, MD-01/08/1992, ME-10/25/1995, MI-01/05/1998, MN-01/02/1998, MO-06/30/2005, MS-06/30/2005, MT-06/30/2005, NC-05/30/2001, ND-06/30/2005, NE-06/30/2005, NH-03/03/1992, NJ-09/26/1991, NM-06/30/2005, NV-06/30/2005, NY-01/13/1983, OH-06/25/2002, OK-06/30/2005, OR-06/30/2005, PA-10/11/2001, PR-06/30/2005, RI-10/11/2001, SC-06/25/2002, SD-07/06/2005, TN-01/01/1998, TX-07/21/1983, UT-06/30/2005, VA-02/19/1992, VI-03/15/2007, VT-12/09/1994, WA-12/13/2000, WI-03/19/1997, WV-06/22/2005, WY-03/29/2018","2024-08-29","2021-10-01","Y","HTTPS://WWW.LINKEDIN.COM/COMPANY/JANNEY-MONTGOMERY-SCOTT/",5,"Y","2500 HENDERSON DRIVE",null,"SHARON HILL","PA","United States",19079,14,"N","N","Y","$1 billion - $10 billion","549300QQRY1JCFQHYS08","Y","N","N","N","N","N","N","N","N","N","N","N","Limited Liability Company",null,"DECEMBER","DE","United States","N",{"$nulls":3},0,null,2295,1239,1727,1309,0,1081,14,2265,null,0,{"$nulls":28},143386,null,{"v":20017269272,"d":"20,017,269,272.00"},78817,null,{"v":53042447938,"d":"53,042,447,938.00"},0,null,0,0,0,0,0,0,0,760,null,{"v":8785833819,"d":"8,785,833,819.00"},1653,null,{"v":1611223472,"d":"1,611,223,472.00"},114,null,{"v":550080231,"d":"550,080,231.00"},0,null,0,0,"Fewer than 5 clients",{"v":9038426,"d":"9,038,426.00"},0,null,0,1303,null,{"v":1879277267,"d":"1,879,277,267.00"},{"$nulls":4},"Y","N","N","Y","Y","N","Y","FEE PLUS COMMISSION","Y",{"v":54649177208,"d":"54,649,177,208.00"},{"v":31245993217,"d":"31,245,993,217.00"},{"v":85895170425,"d":"85,895,170,425.00"},{"v":168288,"d":"168,288"},{"v":57746,"d":"57,746"},{"v":226034,"d":"226,034"},{"v":303205970,"d":"303,205,970.00"},"Y","Y","N",null,null,"N","Y","Y","Y","N","N","N","Y","N",null,"More than 500",16000,"Y",{"v":6795179911,"d":"6,795,179,911.00"},0,{"v":71485808607,"d":"71,485,808,607.00"},11,"N","N","Y",58,1,2,4,0,2,0,0,26,0,6,1,58,1,2,4,0,3,0,0,25,0,6,1,"ONLY ANNUITIES ARE LISTED IN THE OTHER CATEGORY.",{"$nulls":13},"Y","Y",{"v":3093688834,"d":"3,093,688,834.00"},{"v":158610778,"d":"158,610,778.00"},0,{"v":432842,"d":"432,842.00"},{"v":41603359,"d":"41,603,359.00"},0,0,0,0,0.08,0,0,0,0,0,5.2,0,0,0,0,0,0,0,0,{"v":3652556794,"d":"3,652,556,794.00"},{"v":169108320,"d":"169,108,320.00"},0,{"v":369063,"d":"369,063.00"},{"v":55033896,"d":"55,033,896.00"},0,0,0,0,0.15,0,0,0,0,0,6.58,0,0,0,0,0,0,0,0,{"$nulls":6},"N","Y","Y","Y","Y","Y","Y","Y","N","Y","N","N","N","N","Y","N","Y","Y","N","N","N","N","N",null,"N",null,"Y","Y","Y","Y","N","N","N","N","N","Y","N","N","Y","N","N","N","N",2,1,0,"Y","Y","Y","Y","N",0,"N","N",null,"N",null,"N",null,"N",null,"N",null,"N",null,"N",null,0,0,"Y","Y","Y","N","Y","Y","Y","Y","Y","Y","Y","N",null,"Y","Y",null,"Y","Y","Y","Y","Y",{"v":78055377376,"d":"78,055,377,376.00"},{"v":225736,"d":"225,736"},"N","N",null,null,{"v":78055377376,"d":"78,055,377,376.00"},"N","N","Y","Y","N","Y","N","2022-06-01",45,"N",0,"Y","N",0,"N",0,"N",0,"N",0,"N",0,"Y",4,"N",0,"Y",3,"Y",4,"N",0,"Y",12,"N",0,"Y",13,"Y",1,"N",0,"Y",18,"N",0,"N",0,"N",0,"N",0,"N",0,"N",0,"N",0,"N",0]
["PLRO",519,null,null,"801-14059","Registered","N",null,5954,1,"LINCOLN INVESTMENT","LINCOLN INVESTMENT PLANNING, LLC","601 OFFICE CENTER DRIVE","SUITE 300","FORT WASHINGTON","PA","United States","19034-3232","N","215-887-8111","215-376-1057",325,{"$nulls":7},"Approved","1978-09-11","AK-04/13/1999, AL-02/02/2001, AR-07/02/1992, CA-07/08/1997, CO-01/01/1999, CT-12/16/1997, DC-02/02/1994, DE-06/20/2003, FL-09/26/1988, GA-11/01/1990, HI-09/21/1995, IA-01/01/1999, ID-03/08/1989, IL-05/26/1983, IN-02/05/2001, KS-12/08/1998, KY-04/08/1999, LA-10/10/2001, MD-03/28/1991, ME-01/01/1998, MI-04/12/1999, MN-01/02/1987, MO-03/09/1988, MS-12/05/1997, MT-01/02/1998, NC-05/30/2001, ND-11/22/2000, NE-08/27/2001, NH-11/25/1991, NJ-06/27/2002, NM-01/03/1989, NV-11/27/1990, NY-06/28/1982, OH-05/07/1999, OK-01/01/1998, OR-04/19/1999, PA-03/31/2011, PR-04/16/2024, RI-01/01/1993, SC-01/26/2001, SD-01/27/1989, TN-04/08/1999, TX-01/30/1985, UT-07/05/1994, VA-08/23/1989, VT-12/14/1994, WA-09/20/1988, WI-12/10/1990, WV-07/29/1986","2024-11-25","2021-10-01","Y","https://www.linkedin.com/company/lincoln-investment-planning/",7,"Y","6220 LOWER YORK RD","STE E","NEW HOPE","PA","United States",18938,11,"N","N","N",null,null,"Y","N","N","N","N","N","N","N","N","N","N","N","Limited Liability Company",null,"DECEMBER","PA","United States","N",{"$nulls":3},0,null,1297,883,868,872,673,686,2,679,null,1,{"$nulls":28},134236,null,{"v":14797695746,"d":"14,797,695,746.00"},3111,null,{"v":2222229202,"d":"2,222,229,202.00"},null,"Fewer than 5 clients",{"$nulls":7},19,null,{"v":30459989,"d":"30,459,989.00"},36,null,{"v":10074795,"d":"10,074,795.00"},null,"Fewer than 5 clients",null,null,"Fewer than 5 clients",null,null,"Fewer than 5 clients",null,null,"Fewer than 5 clients",null,168,null,{"v":157683409,"d":"157,683,409.00"},{"$nulls":4},"Y","Y","N","Y","Y","N","N",null,"Y",{"v":8252609515,"d":"8,252,609,515.00"},{"v":8965533626,"d":"8,965,533,626.00"},{"v":17218143141,"d":"17,218,143,141.00"},{"v":83897,"d":"83,897"},{"v":119530,"d":"119,530"},{"v":203427,"d":"203,427"},{"v":10244005,"d":"10,244,005.00"},"Y","Y","N",null,null,"N","Y","N","Y","N","N","N","N","N",null,"251-500",null,"Y",{"v":207295469,"d":"207,295,469.00"},0,{"v":3533783,"d":"3,533,783.00"},1,"N","Y","Y",2,0,0,0,0,0,0,0,97,0,1,0,1,0,0,0,0,0,0,0,97,0,2,0,{"$nulls":14},"Y","Y",{"$nulls":54},"Y","Y","N","Y","Y","Y","Y","N","N","Y","N","N","N","N","Y","N","N","N","N","N","N","N","N",null,"N",null,"Y","N","Y","N","N","N","N","N","N","N","Y","Y","N","N","Y","N","N",11,0,0,"Y","N","Y","Y","N",0,"N","N",null,"N",null,"N",null,"N",null,"N",null,"N",null,"N",null,0,0,"N","Y","Y","N","N","N","Y","Y","N","N",null,"Y","N","N",null,null,"Y","Y","Y","Y","Y",{"v":16713356777,"d":"16,713,356,777.00"},{"v":136394,"d":"136,394"},"N","N",null,null,{"v":16713356777,"d":"16,713,356,777.00"},"N","N","Y","Y","Y","Y","N","2023-05-01",16,"N",0,"Y","N",0,"Y",2,"N",0,"N",0,"Y",1,"Y",1,"N",0,"Y",1,"Y",1,"N",0,"Y",1,"N",0,"N",0,"N",0,"N",0,"Y",6,"N",0,"N",0,"N",0,"N",0,"N",0,"N",0,"N",0,"N",0]
["BRO",594,null,null,"801-48726","Registered","N",{"$nulls":3},"MOORS & CABOT, INC","MOORS & CABOT, INC.","ONE FEDERAL STREET","19TH FLOOR","BOSTON","MA","United States","02110","N","800-426-0501","617-904-1889",13,{"$nulls":7},"Approved","1995-03-30","AL-09/18/2015, AZ-09/25/2023, CA-07/19/2002, CO-01/03/2007, CT-01/25/2006, DC-03/06/2012, FL-10/04/2000, GA-01/03/2007, IA-08/01/2014, IL-03/10/2006, IN-08/01/2014, LA-03/10/2006, MD-03/06/2012, ME-01/03/2007, MI-01/03/2007, MN-09/23/2016, MO-09/18/2015, MT-09/27/2022, NC-01/07/2003, NH-10/05/2004, NJ-01/16/2007, NM-10/19/2016, NY-01/07/2003, OH-01/07/2003, OK-03/10/2006, OR-03/06/2012, PA-01/03/2007, RI-01/03/2007, SC-01/03/2007, TN-09/29/2006, TX-03/10/2006, VA-01/03/2007, VT-01/03/2007, WA-09/18/2015, WI-09/18/2013","2024-09-27","2021-10-01","Y","https://www.linkedin.com/company/moors-&-cabot/",5,"Y","ONE FEDERAL STREET","19TH FLOOR","BOSTON","MA","United States","02110",1,"N","N","Y","$1 billion - $10 billion",null,"Y","N","N","N","N","N","N","N","N","N","N","N","Corporation",null,"JUNE","MA","United States","N",{"$nulls":3},0,null,145,73,145,73,4,70,1,15,null,0,{"$nulls":28},4168,null,{"v":2214181771,"d":"2,214,181,771.00"},115,null,{"v":550000665,"d":"550,000,665.00"},{"$nulls":9},128,null,{"v":67324521,"d":"67,324,521.00"},75,null,{"v":232941001,"d":"232,941,001.00"},{"$nulls":12},23,null,{"v":30361109,"d":"30,361,109.00"},{"$nulls":4},"Y","Y","N","Y","Y","N","N",null,"Y",{"v":2873458372,"d":"2,873,458,372.00"},{"v":221350695,"d":"221,350,695.00"},{"v":3094809067,"d":"3,094,809,067.00"},{"v":4288,"d":"4,288"},593,{"v":4881,"d":"4,881"},0,"Y","Y","N",null,null,"N","Y","Y","Y","N","N","N","N","N",null,"101-250",null,"Y",{"v":3094809067,"d":"3,094,809,067.00"},{"v":3094809067,"d":"3,094,809,067.00"},{"v":3094809067,"d":"3,094,809,067.00"},1,"N","N","Y",{"$nulls":25},64,0,7,6,0,5,0,0,11,0,6,1,"VARIABLE ANNUITIES, WARRANTS, OPTIONS, UIT, PREFERRED STOCK",{"$nulls":57},"N","N","N","N","N",{"$nulls":3},"Y","N","N","N","N","Y","N","N","Y","N","N","N","N","N",null,"N",null,"Y","Y","Y","Y","N","N","N","N","N","N","N","N","Y","N","N","N","N",1,1,0,"Y","Y","Y","Y","N",0,"N","N",null,"N",null,"N",null,"N",null,"N",null,"N",null,"N",null,0,0,"N","Y","N","N","N","N","Y","Y","Y","Y","Y","Y","Y","N",null,null,"Y","N","N","N","Y",{"v":11664894,"d":"11,664,894.00"},4,"N","N",null,null,{"v":11664894,"d":"11,664,894.00"},"N","N","Y","N","N","N","N","2023-10-01",1,"N",0,"Y","N",0,"N",0,"N",0,"N",0,"N",0,"Y",1,"N",0,"Y",1,"Y",1,"N",0,"Y",2,"N",0,"Y",1,"N",0,"N",0,"Y",13,"N",0,"N",0,"N",0,"N",0,"N",0,"N",0,"N",0,"N",0]
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["NYRO",8174,null,null,"801-7163","Registered","N",{"$nulls":3},"UBS FINANCIAL SERVICES INC.","UBS FINANCIAL SERVICES INC.","1200 HARBOR BOULEVARD",null,"WEEHAWKEN","NJ","United States","07086","N","201-352-3000",null,369,"1000 HARBOR BLVD., 8TH FLOOR",null,"WEEHAWKEN","NJ","United States","07086","N","Approved","1971-01-22","AK-08/14/1991, AL-07/01/1991, AR-06/12/1991, CA-07/08/1997, CO-01/01/1999, CT-07/02/1997, DC-02/19/1995, DE-09/11/2003, FL-09/10/1986, GA-09/03/1991, HI-10/18/1991, IA-01/01/1999, ID-09/17/1991, IL-09/22/1989, IN-05/23/1989, KS-08/01/1997, KY-01/05/2004, LA-10/18/2001, MD-07/24/1991, ME-01/30/2002, MI-03/31/2010, MN-05/26/1989, MO-05/17/1989, MS-08/15/1997, MT-11/26/1997, NC-03/23/2001, ND-05/26/1989, NE-07/31/1997, NH-09/26/1986, NJ-04/03/1993, NM-02/07/1992, NV-12/14/1990, NY-01/01/1974, OH-08/09/1999, OK-01/01/1998, PA-11/10/2005, PR-03/30/2018, RI-01/01/1993, SC-07/06/1989, SD-08/29/1991, TN-07/28/1997, TX-12/01/1970, UT-09/20/1991, VA-02/13/1989, VI-05/21/2007, VT-01/03/1995, WA-04/24/1990, WI-01/30/1996, WV-06/24/1991, WY-03/31/2021","2024-12-05","2021-10-01","Y","https://www.linkedin.com/in/jason-chandler-aa26186/",13,"Y","440 MONTICELLO AVENUE","SUITE 2000","NORFOLK","VA","United States",23510,353,"Y","N","Y","More than $50 billion",null,"Y","N","N","N","N","N","N","N","N","N","N","N","Corporation",null,"DECEMBER","DE","United States","N",{"$nulls":3},0,null,12701,9213,11070,9213,0,6195,129,21125,null,1,{"$nulls":28},307630,null,{"v":54848620221,"d":"54,848,620,221.00"},738112,null,{"v":527605476069,"d":"527,605,476,069.00"},11,null,{"v":66561491,"d":"66,561,491.00"},0,0,0,0,57,{"v":128254374,"d":"128,254,374.00"},10756,null,{"v":23138276740,"d":"23,138,276,740.00"},7158,null,{"v":16225393514,"d":"16,225,393,514.00"},354,null,{"v":2235317353,"d":"2,235,317,353.00"},0,null,0,390,null,{"v":971668128,"d":"971,668,128.00"},45,null,{"v":317338273,"d":"317,338,273.00"},25909,null,{"v":71569984933,"d":"71,569,984,933.00"},3064,null,{"v":5280191819,"d":"5,280,191,819.00"},"OTHER INCLUDES TRIBAL ENTITIES AND INVESTMENT CLUBS","Y","Y","N","Y","Y","N","Y","SEE SCHEDULE D - MISCELLANEOUS","Y",{"v":317310737726,"d":"317,310,737,726.00"},{"v":385076345189,"d":"385,076,345,189.00"},{"v":702387082915,"d":"702,387,082,915.00"},{"v":429100,"d":"429,100"},{"v":664386,"d":"664,386"},{"v":1093486,"d":"1,093,486"},{"v":13946847958,"d":"13,946,847,958.00"},"Y","Y","N",null,null,"N","Y","Y","Y","Y","Y","N","Y","N",null,"More than 500",1121,"Y",{"v":218581547567,"d":"218,581,547,567.00"},0,{"v":472337420069,"d":"472,337,420,069.00"},8,"Y","N","Y",41,0,4,8,0,3,1,0,41,0,2,1,40,0,4,8,0,4,0,0,40,0,2,1,"OTHER INCLUDES: CDS, DEBT, COMMODITIES, PRECIOUS METALS, STRUCTURED NOTES, SOME ALTERNATIVE INVESTMENTS, AND ASSETS HELD AWAY FROM UBS FOR WHICH WE DID NOT RECEIVE SUFFICIENT INFORMATION TO CLASSIFY.",{"$nulls":13},"Y","Y",{"v":662349636,"d":"662,349,636.00"},{"v":1366088553,"d":"1,366,088,553.00"},{"v":341521787,"d":"341,521,787.00"},0,{"v":4127647,"d":"4,127,647.00"},{"v":146709940,"d":"146,709,940.00"},{"$nulls":3},4.54,{"$nulls":5},54.32,{"$nulls":5},405.56,null,null,{"v":2665338952,"d":"2,665,338,952.00"},{"v":2774278172,"d":"2,774,278,172.00"},{"v":52380673,"d":"52,380,673.00"},{"v":18883932,"d":"18,883,932.00"},{"v":99611500,"d":"99,611,500.00"},{"v":22196816,"d":"22,196,816.00"},{"$nulls":3},0.91,{"$nulls":5},14.85,{"$nulls":5},71.79,{"$nulls":8},"N","Y","Y","Y","Y","Y","Y","Y","Y","Y","N","N","Y","N","Y","N","N","N","N","N","N","N","N",null,"N",null,"Y","Y","Y","N","Y","N","Y","Y","Y","Y","N","N","Y","Y","Y","Y","Y",2,3,0,"Y","Y","Y","N","N",0,"N","N",null,"N",null,"N",null,"N",null,"N",null,"N",null,"N",null,0,0,"Y","Y","Y","Y","Y","Y","Y","Y","Y","Y","Y","N",null,"N",null,null,"Y","Y","Y","Y","Y",{"v":719678260221,"d":"719,678,260,221.00"},{"v":1106050,"d":"1,106,050"},"Y","N",{"v":15500000000,"d":"15,500,000,000.00"},{"v":1106050,"d":"1,106,050"},{"v":735178260221,"d":"735,178,260,221.00"},"N","N","Y","Y","Y","Y","N","2023-12-01",1,"N",1,"Y","Y",5,"Y",12,"Y",8,"Y",4,"Y",10,"Y",54,"Y",1,"Y",51,"Y",44,"Y",111,"Y",261,"Y",2,"Y",210,"Y",24,"Y",2,"Y",239,"N",0,"Y",13,"Y",1,"Y",14,"Y",6,"Y",5,"Y",8,"Y",5]
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