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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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["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","2024-05-24","2021-10-01","Y","https://www.linkedin.com/showcase/marcus-by-go",16,"Y","1001 WOODWARD AVE",null,"DETROIT","MI","United States",48226,64,"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,{"$nulls":28},39635,null,{"v":693164657,"d":"693,164,657.00"},24083,null,{"v":38761646977,"d":"38,761,646,977.00"},0,"Fewer than 5 clients",0,0,0,0,0,337,{"v":78697636623,"d":"78,697,636,623.00"},7,null,{"v":2837532,"d":"2,837,532.00"},1015,null,{"v":13890407903,"d":"13,890,407,903.00"},2,"Fewer than 5 clients",{"v":4794836,"d":"4,794,836.00"},0,"Fewer than 5 clients",0,24,null,{"v":621587089,"d":"621,587,089.00"},2,"Fewer than 5 clients",{"v":3060135,"d":"3,060,135.00"},424,null,{"v":11553103782,"d":"11,553,103,782.00"},13223,null,{"v":78516358681,"d":"78,516,358,681.00"},"GS TRUST COMPANY, INDIAN TRIBES","Y","N","N","Y","Y","Y","Y","EXECUTION CHARGES, CUSTODY, MANAGEMENT FEE","Y",{"v":217363811220,"d":"217,363,811,220.00"},{"v":5380786995,"d":"5,380,786,995.00"},{"v":222744598215,"d":"222,744,598,215.00"},{"v":77227,"d":"77,227"},20,{"v":77247,"d":"77,247"},{"v":68824611944,"d":"68,824,611,944.00"},"Y","Y","N",null,null,"Y","Y","N","Y","Y","N","N","Y","N",null,"1-10",null,"Y",0,0,{"v":728383127,"d":"728,383,127.00"},1,"Y","Y","Y",11,1,0,0,0,0,0,0,63,3,3,18,10,1,0,0,0,0,0,0,64,3,3,19,"5.K.(1)(A)(VIII) INCLUDES DERIVATIVE POSITIONS CLASSIFIED AS ASSETS FOR FINANCIAL ACCOUNTING PURPOSES ONLY AND DERIVATIVES REFLECTED AS ASSETS ON FINANCIAL STATEMENTS. PWM DERIVATIVE POSITIONS CLASSIFIED AS LIABILITIES ARE REFLECTED IN \"OTHER\". SEE SCHEDULE D MISC. FOR MORE INFORMATION. \"OTHER\" ALSO INCLUDES STRUCTURED NOTES.",{"$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,{"$nulls":8},"Y","Y","Y","Y","N","Y","Y","Y","N","Y","N","Y","Y","N","N","N","N","Y","Y","N","N","N","N",null,"Y","N","Y","Y","Y","N","Y","N","Y","Y","Y","Y","N","N","Y","Y","N","N","Y",22,13,17,"Y","Y","Y","Y","Y",171,"Y","Y",3,"N",null,"Y",127,"Y",40,"N",null,"N",null,"Y",1,{"v":62290811606,"d":"62,290,811,606.00"},2,"Y","Y","Y","Y","Y","Y","Y","Y","Y","Y","Y","Y","Y","Y","Y",null,"Y","Y","N","Y","Y",{"v":140090854247,"d":"140,090,854,247.00"},{"v":38957,"d":"38,957"},"Y","Y",{"v":2556112565,"d":"2,556,112,565.00"},207,{"v":142646966812,"d":"142,646,966,812.00"},"Y","Y","Y","Y","Y","Y","Y","2023-07-01",98,"N",1,"Y","N",0,"N",0,"Y",1,"Y",1,"Y",3,"Y",32,"N",0,"Y",22,"Y",28,"Y",109,"Y",164,"N",0,"Y",76,"Y",6,"Y",1,"Y",289,"N",0,"N",0,"Y",1,"Y",8,"Y",7,"Y",6,"Y",1,"Y",3]
["PLRO",396,null,null,"801-66333","Registered","N",{"$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,{"$nulls":7},"Approved","2006-03-29","FL-01/15/2020, GA-03/29/2021, IN-03/29/2021, KY-03/10/2022, NC-01/15/2020, NJ-06/18/2020, OH-03/29/2006, PA-03/29/2006, SC-06/18/2020, TX-03/16/2020, VA-03/16/2020, WV-03/29/2006","2024-03-26","2021-10-01","Y","HTTP://WWW.HAZLETTBURT.COM",1,"Y","179 EAST MAIN STREET","FIRST FLOOR","BARNESVILLE","OH","United States",43713,3,"N","N","N",null,null,"Y","N","N","N","N","N","N","N","N","N","N","N","Corporation",null,"DECEMBER","WV","United States","N",{"$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","2024-03-28","2021-10-01","Y","HTTPS://WWW.LINKEDIN.COM/COMPANY/JANNEY-MONTGOMERY-SCOTT/",5,"Y","5560 SHAWLAND ROAD",null,"JACKSONVILLE","FL","United States",32254,14,"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,{"$nulls":7},"Approved","1978-09-11","AK-04/13/1999, AL-02/02/2001, AR-07/02/1992, CA-07/08/1997, CO-01/01/1999, CT-12/16/1997, DC-02/02/1994, DE-06/20/2003, FL-09/26/1988, GA-11/01/1990, HI-09/21/1995, IA-01/01/1999, ID-03/08/1989, IL-05/26/1983, IN-02/05/2001, KS-12/08/1998, KY-04/08/1999, LA-10/10/2001, MD-03/28/1991, ME-01/01/1998, MI-04/12/1999, MN-01/02/1987, MO-03/09/1988, MS-12/05/1997, MT-01/02/1998, NC-05/30/2001, ND-11/22/2000, NE-08/27/2001, NH-11/25/1991, NJ-06/27/2002, NM-01/03/1989, NV-11/27/1990, NY-06/28/1982, OH-05/07/1999, OK-01/01/1998, OR-04/19/1999, PA-03/31/2011, PR-04/16/2024, RI-01/01/1993, SC-01/26/2001, SD-01/27/1989, TN-04/08/1999, TX-01/30/1985, UT-07/05/1994, VA-08/23/1989, VT-12/14/1994, WA-09/20/1988, WI-12/10/1990, WV-07/29/1986","2024-04-18","2021-10-01","Y","https://www.linkedin.com/company/lincoln-investment-planning/",7,"Y","11766 WILSHIRE BLVD","SUITE 1120","LOS ANGELES","CA","United States",90025,11,"N","N","N",null,null,"Y","N","N","N","N","N","N","N","N","N","N","N","Limited Liability Company",null,"DECEMBER","PA","United States","N",{"$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",2110,"N","800-426-0501","617-904-1889",12,{"$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","2024-04-22","2021-10-01","Y","https://www.linkedin.com/company/moors-&-cabot/",5,"Y","ONE FEDERAL STREET","19TH FLOOR","BOSTON","MA","United States",2110,1,"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,137,67,134,67,4,70,1,18,null,0,{"$nulls":28},3812,null,{"v":1790016767,"d":"1,790,016,767.00"},86,null,{"v":413587352,"d":"413,587,352.00"},{"$nulls":9},124,null,{"v":59676382,"d":"59,676,382.00"},71,null,{"v":201272887,"d":"201,272,887.00"},{"$nulls":12},26,null,{"v":27830803,"d":"27,830,803.00"},{"$nulls":4},"Y","Y","N","Y","Y","N","N",null,"Y",{"v":2329755761,"d":"2,329,755,761.00"},{"v":162628430,"d":"162,628,430.00"},{"v":2492384191,"d":"2,492,384,191.00"},{"v":3887,"d":"3,887"},232,{"v":4119,"d":"4,119"},0,"Y","Y","N",null,null,"N","Y","Y","Y","N","N","N","N","N",null,"101-250",null,"Y",{"v":2492384191,"d":"2,492,384,191.00"},{"v":2492384191,"d":"2,492,384,191.00"},{"v":2492384191,"d":"2,492,384,191.00"},1,"N","N","Y",{"$nulls":25},64,0,7,6,0,4,0,0,11,0,7,1,"VARIABLE ANNUITIES, WARRANTS, OPTIONS, UIT, PREFERRED STOCK",{"$nulls":57},"N","N","N","N","N",{"$nulls":3},"Y","N","N","N","N","Y","N","N","Y","N","N","N","N","N",null,"N",null,"Y","Y","Y","Y","N","N","N","N","N","N","N","N","Y","N","N","N","N",1,1,0,"Y","Y","Y","Y","N",0,"N","N",null,"N",null,"N",null,"N",null,"N",null,"N",null,"N",null,0,0,"N","Y","N","N","N","N","Y","Y","Y","Y","Y","Y","Y","N",null,null,"Y","N","N","N","Y",{"v":15110057,"d":"15,110,057.00"},7,"N","N",null,null,{"v":15110057,"d":"15,110,057.00"},"N","N","Y","N","N","N","N","2021-09-01",1,"N",0,"Y","N",0,"N",0,"N",0,"N",0,"N",0,"Y",1,"N",0,"Y",1,"Y",1,"N",0,"Y",2,"N",0,"Y",1,"N",0,"N",0,"Y",13,"N",0,"N",0,"N",0,"N",0,"N",0,"N",0,"N",0,"N",0]
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["CHRO",4173,null,null,"801-56819","Registered","N",null,8486,2,"ONEAMERICA SECURITIES, INC.","ONEAMERICA SECURITIES, INC.","ONE AMERICAN SQUARE",null,"INDIANAPOLIS","IN","United States",46282,"N","877-285-3863","317-285-4050",127,"P.O. BOX 1984",null,"INDIANAPOLIS","IN","United States","46204-1984","N","Approved","1999-09-13","AK-03/30/2012, AL-08/30/2000, AR-07/31/2003, AZ-03/22/2000, CA-01/10/2000, CO-10/14/1999, CT-03/18/2009, DC-03/31/2000, DE-01/01/2006, FL-08/15/2000, GA-01/27/2000, HI-03/30/2012, IA-01/29/2001, ID-05/15/2001, IL-01/07/2000, IN-02/28/2001, KS-01/21/2000, KY-03/30/2007, LA-08/15/2001, MA-01/29/2001, MD-01/31/2000, ME-03/18/2009, MI-01/06/2000, MN-01/02/2000, MO-05/07/2003, MS-02/26/2001, MT-03/18/2009, NC-05/10/2002, ND-10/16/2001, NE-03/18/2009, NH-03/18/2009, NJ-03/18/2009, NM-06/17/2004, NV-03/18/2009, NY-02/01/2001, OH-02/15/2000, OK-10/02/2001, OR-03/18/2009, PA-03/06/2001, RI-03/18/2009, SC-03/18/2009, SD-07/10/2003, TN-01/11/2000, TX-04/28/1970, UT-01/29/2001, VA-01/31/2000, VT-03/18/2009, WA-05/15/2001, WI-12/07/2000, WV-03/18/2009, WY-07/03/2017","2024-03-27","2021-10-01","Y","HTTP://WWW.ONEAMERICASECURITIES.COM/",1,"N",{"$nulls":6},0,"N","N","N",null,null,"Y","N","N","N","N","N","N","N","N","N","N","N","Corporation",null,"DECEMBER","IN","United States","N",{"$nulls":3},0,null,353,282,353,340,0,282,0,7938,null,0,{"$nulls":28},2746,null,{"v":235848239,"d":"235,848,239.00"},58,null,{"v":28470487,"d":"28,470,487.00"},0,null,0,0,0,0,0,0,0,null,null,0,null,null,0,0,null,0,0,null,0,0,null,0,0,null,0,null,"Fewer than 5 clients",{"v":59207,"d":"59,207.00"},0,null,0,null,"Y","Y","N","Y","N","N","N",null,"Y",{"v":8399503,"d":"8,399,503.00"},{"v":255978430,"d":"255,978,430.00"},{"v":264377933,"d":"264,377,933.00"},73,{"v":2731,"d":"2,731"},{"v":2804,"d":"2,804"},0,"Y","Y","N",null,null,"N","Y","Y","Y","N","N","N","Y","N",null,"26-50",null,"Y",{"v":255978430,"d":"255,978,430.00"},0,0,null,"N","N","Y",{"$nulls":25},100,0,0,0,0,0,0,0,0,0,0,0,null,"N","N",{"$nulls":54},"Y","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,"N","Y","Y","N","N","N","N","N","N","N","N","N","Y","Y","N","N","N",2,0,0,"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","Y","N","N","Y","Y","Y","N","N","N","N",null,"N",null,null,"N","N","N","N","N",null,null,"N","N",{"$nulls":3},"N","N","N","N","N","N","N",null,null,"N",0,"Y","N",0,"N",0,"Y",1,"Y",1,"N",0,"N",0,"N",0,"N",0,"N",0,"Y",1,"Y",4,"N",0,"N",0,"Y",2,"N",0,"Y",4,"N",0,"Y",1,"N",0,"N",0,"N",0,"N",0,"N",0,"N",0]
["PLRO",5009,null,null,"801-70438","Registered","N",null,34985,2,"FEDERATED SECURITIES CORP.","FEDERATED SECURITIES CORP.","1001 LIBERTY AVENUE",null,"PITTSBURGH","PA","United States","15222-3779","N","(412) 288-1900","(412) 288-3939",0,{"$nulls":7},"Approved","2009-08-17","AK-08/17/2009, AL-08/17/2009, AR-08/17/2009, AZ-08/17/2009, CA-08/17/2009, CO-03/30/2015, CT-08/17/2009, DC-08/17/2009, DE-08/17/2009, FL-08/17/2009, GA-08/17/2009, HI-08/17/2009, IA-08/18/2009, ID-08/17/2009, IL-10/01/2009, IN-08/17/2009, KS-08/17/2009, KY-08/17/2009, LA-08/17/2009, MA-08/17/2009, MD-08/17/2009, ME-08/17/2009, MI-08/17/2009, MN-08/17/2009, MO-08/17/2009, MS-08/17/2009, MT-08/17/2009, NC-08/17/2009, ND-08/17/2009, NE-08/17/2009, NH-08/17/2009, NJ-08/20/2009, NM-08/17/2009, NV-08/17/2009, NY-08/17/2009, OH-08/17/2009, OK-08/17/2009, OR-08/17/2009, PA-08/17/2009, PR-08/17/2009, RI-08/17/2009, SC-08/17/2009, SD-08/21/2009, TN-08/17/2009, TX-08/17/2009, UT-08/17/2009, VA-08/17/2009, VT-08/17/2009, WA-08/17/2009, WI-08/17/2009, WV-08/17/2009, WY-07/25/2017","2024-03-27","2021-10-01","Y","HTTPS://WWW.LINKEDIN.COM/COMPANY/FEDERATED-HERMES",6,"Y","1201 FREEDOM ROAD",null,"CRANBERRY TOWNSHIP","PA","United States",16066,3,"N","N","N",null,"254900FMT7XR4QROXG14","N","N","N","N","N","N","Y","N","N","N","N","N","Corporation",null,"DECEMBER","PA","United States","N",{"$nulls":3},0,null,278,202,201,195,194,0,0,0,null,0,{"$nulls":68},"N","N","N","N","N","N","Y","INTER-COMPANY CREDIT BASED ON AGREED UPON METRIC","N",0,0,0,0,0,0,null,"N","N","N",null,null,"N","N","N","N","N","N","N","Y","Y","SOLICITATION SERVICES & INVESTMENT ADVICE ON BEHALF OF AFFILIATED ADVISERS TO THEIR CLIENTS",null,null,"N",{"$nulls":4},"N","N","N",{"$nulls":38},"N","N",{"$nulls":54},"N","Y","N","N","N","N","N","Y","N","Y","N","N","N","N","N","N","N","N","N","N","N","N","Y","SOLICITATION FOR ADVISORY AFFILIATES TO THEIR CLIE","N",null,"N","Y","Y","N","N","N","Y","N","N","Y","N","N","N","N","N","Y","Y",16,1,0,"Y","N","Y","Y","N",0,"N","N",null,"N",null,"N",null,"N",null,"N",null,"N",null,"N",null,0,0,"N","Y","Y","N","Y","Y","Y","Y","Y","Y","N","N","N","Y","Y",null,"Y","Y","Y","N","N",null,null,"N","N",{"$nulls":3},"N","N","N","N","N","N","N",null,null,"N",1,"N","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,"N",0,"N",0,"N",0,"N",0,"N",0,"N",0,"N",0,"N",0,"N",0,"Y"]
["BRO",5251,null,null,"801-130044","Registered","N",{"$nulls":3},"U. S. BOSTON CAPITAL CORPORATION","U. S. BOSTON CAPITAL CORPORATION","55 OLD BEDFORD ROAD","SUITE 202","LINCOLN","MA","United States",1773,"N","781-259-1144","781-259-1166",0,{"$nulls":7},"120-Day Approval","2024-04-26","MA-04/26/2024","2024-05-02","2021-10-01","Y","https://www.usboston.com",1,"Y","55 OLD BEDFORD ROAD",null,"LINCOLN","MA","United States",1773,3,"N","N","N",null,null,"N","N","N","N","N","N","N","Y","N","N","N","N","Corporation",null,"SEPTEMBER","MA","United States","N",{"$nulls":3},0,null,5,1,2,0,0,0,0,0,null,0,{"$nulls":68},"Y","Y","N","N","N","N","N",null,"Y",0,0,0,0,0,0,0,"N","Y","N",null,null,"N","N","N","N","N","N","N","N","N",null,"1-10",null,"N",{"$nulls":4},"N","N","N",{"$nulls":95},"N","N","N","N","N","N","N","N","Y","N","N","N","N","N","N","N","N","N","N","N","N","N",null,"N",null,"N","Y","Y","N","N","N","N","N","N","N","N","N","Y","N","N","Y","N",2,0,0,"Y","N","Y","Y","N",0,"N","N",null,"N",null,"N",null,"N",null,"N",null,"N",null,"N",null,0,0,"N","N","N","N","N","N","N","N","N","N",null,"N",null,"N",null,null,"N","N","N","N","N",null,null,"N","N",{"$nulls":3},"N","N","N","N","N","N","N",null,null,"N",0,"N","N",0,"N",0,"N",0,"N",0,"N",0,"N",0,"N",0,"N",0,"N",0,"N",0,"N",0,"N",0,"N",0,"N",0,"N",0,"Y",1,"N",0,"N",0,"N",0,"N",0,"N",0,"N",0,"N",0,"N",0,"N","N","N","Y","N"]
["SFRO",5393,null,null,"801-29938","Registered","N",null,87634,3,"CHARLES SCHWAB & CO., INC.","CHARLES SCHWAB & CO., INC.","211 MAIN STREET",null,"SAN FRANCISCO","CA","United States",94105,"N","415-667-7000","415-667-0170",448,{"$nulls":7},"Approved","1987-07-24","AK-08/18/1987, AL-03/10/1991, AR-08/04/1989, AZ-03/31/2023, CA-07/08/1997, CO-01/01/1999, CT-12/24/1997, DC-12/24/1993, DE-01/24/2011, FL-11/05/1987, GA-01/07/1990, HI-04/02/2002, IA-01/01/1999, ID-11/08/1995, IL-07/02/1987, IN-02/06/2001, KS-02/10/1998, KY-01/12/1999, LA-10/01/2001, MD-03/05/1991, ME-04/06/1995, MI-01/04/2008, MN-09/21/1987, MO-12/01/1997, MS-04/05/2002, MT-12/15/1995, NC-01/16/2001, ND-04/05/2002, NE-01/01/2002, NH-06/27/1988, NJ-03/14/1996, NM-01/27/1988, NV-12/05/1990, NY-11/10/1987, OH-01/01/2000, OK-01/01/1998, OR-01/04/2008, PA-01/04/2008, PR-09/14/1988, RI-03/26/1996, SC-09/23/2003, SD-09/17/1987, TN-03/31/2004, TX-09/02/1983, UT-11/17/1993, VA-07/15/1987, VI-03/30/2012, VT-02/07/1995, WA-06/27/1988, WI-05/16/1996, WV-09/03/1987, WY-07/10/2017","2024-06-03","2021-10-01","Y","HTTPS://WWW.SCHWAB.COM",14,"Y","4150 KINROSS LAKES PARKWAY",null,"RICHFIELD","OH","United States",44286,5,"N","N","Y","More than $50 billion","549300ZP8XN77GK5BS04","N","N","N","N","N","N","Y","N","N","N","N","N","Corporation",null,"DECEMBER","CA","United States","N",{"$nulls":3},0,null,29350,3564,15186,3564,0,2919,1,919128,null,1,{"$nulls":68},"N","N","N","Y","N","N","Y","ASSET BASED FEES FOR WRAP PGRMS & SUBSC PRICING FOR FIN PLANNING","N",0,0,0,0,0,0,null,"Y","N","N",null,null,"N","N","N","Y","N","N","N","N","Y","WRAP FEE PROGRAM SPONSOR AND FINANCIAL PLANNING ADVISOR REFERRAL PROGRAM","More than 500",35500,"Y",0,0,0,null,"N","N","N",{"$nulls":38},"N","N",{"$nulls":54},"N","Y","N","Y","Y","Y","N","Y","Y","Y","N","N","N","N","Y","N","N","N","N","N","N","N","N",null,"N",null,"Y","Y","Y","N","N","N","Y","Y","Y","Y","N","N","Y","N","N","N","N",2,0,3,"Y","N","Y","Y","N",0,"N","N",null,"N",null,"N",null,"N",null,"N",null,"N",null,"N",null,0,0,"Y","Y","Y","N","Y","Y","Y","Y","Y","Y","Y","Y","Y","Y","Y",null,"Y","Y","Y","Y","Y",{"v":326733059888,"d":"326,733,059,888.00"},{"v":796219,"d":"796,219"},"Y","N",{"v":8145491845,"d":"8,145,491,845.00"},{"v":419103,"d":"419,103"},{"v":334878551733,"d":"334,878,551,733.00"},"N","N","Y","Y","Y","Y","Y","2023-09-01",4,"Y",1,"Y","N",0,"N",0,"Y",1,"N",0,"Y",1,"Y",2,"N",0,"Y",2,"Y",2,"Y",1,"Y",2,"N",0,"Y",1,"Y",3,"N",0,"Y",6,"N",0,"N",0,"N",0,"Y",1,"Y",1,"Y",1,"Y",1,"N",0,"Y"]
["FWRO",5475,null,null,"801-126328","Registered","N",null,847866,3,"USAA INVESTMENT SERVICES COMPANY","USAA INVESTMENT SERVICES COMPANY","9800 FREDERICKSBURG ROAD",null,"SAN ANTONIO","TX","United States","78288-0227","N","210-456-4218",null,13,{"$nulls":7},"Approved","2022-08-03","AK-10/26/2022, AL-10/19/2022, AR-10/26/2022, AZ-08/03/2022, CA-10/05/2022, CO-08/03/2022, CT-10/26/2022, DC-10/26/2022, DE-10/26/2022, FL-08/03/2022, GA-10/26/2022, HI-10/26/2022, IA-10/26/2022, ID-10/26/2022, IL-10/25/2022, IN-10/26/2022, KS-10/26/2022, KY-10/26/2022, LA-10/19/2022, MA-10/26/2022, MD-10/05/2022, ME-10/26/2022, MI-10/19/2022, MN-10/26/2022, MO-10/26/2022, MS-10/26/2022, MT-10/26/2022, NC-10/05/2022, ND-10/26/2022, NE-10/19/2022, NH-10/19/2022, NJ-10/26/2022, NM-10/05/2022, NV-10/26/2022, NY-10/26/2022, OH-10/26/2022, OK-10/26/2022, OR-10/26/2022, PA-10/19/2022, RI-10/19/2022, SC-10/26/2022, SD-10/26/2022, TN-10/26/2022, TX-08/03/2022, UT-10/26/2022, VA-10/05/2022, VT-10/26/2022, WA-10/05/2022, WI-10/26/2022, WV-10/26/2022, WY-10/26/2022","2024-03-29","2021-10-01","Y","HTTPS://WWW.SNAPCHAT.COM",10,"Y","925 W. MAUDE AVE.",null,"SUNNYVALE","CA","United States",94085,4,"N","N","N",null,"549300VSPLQ1XBNPD479","N","N","N","N","N","N","N","N","Y","N","N","N","Corporation",null,"DECEMBER","DE","United States","N",{"$nulls":3},0,null,154,109,150,109,0,112,0,1609,null,0,{"$nulls":28},1486,null,0,123,null,0,0,null,0,0,0,0,0,0,0,0,null,0,0,null,0,0,null,0,0,null,0,0,null,0,0,null,0,0,null,0,0,null,0,null,"N","N","N","N","N","N","Y","REFERRAL FEES PURSUANT TO A REFERRAL AGREEMENT","N",0,0,0,0,0,0,null,"Y","N","N",null,null,"N","N","N","N","N","N","N","N","Y","REFERRALS","More than 500",1500,"N",{"$nulls":4},"N","N","N",{"$nulls":38},"N","N",{"$nulls":54},"N","N","N","N","N","Y","N","N","N","Y","N","N","N","N","N","N","N","N","N","N","N","N","N",null,"N",null,"Y","N","N","N","N","N","N","N","Y","N","N","N","Y","N","N","N","N",0,0,0,"Y","Y","Y","Y","N",0,"N","N",null,"N",null,"N",null,"N",null,"N",null,"N",null,"N",null,0,0,"N","N","N","N","N","N","N","N","N","N",null,"Y","N","N",null,null,"N","N","Y","N","N",null,null,"N","N",{"$nulls":3},"N","N","N","N","N","N","N",null,null,"N",0,"Y","N",0,"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,"N",0,"Y",2,"N",0,"N",0,"N",0,"N",0,"N",0,"Y"]
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["CHRO",6363,null,null,"801-28543","Registered","N",null,1543099,2,"AMERIPRISE FINANCIAL SERVICES, LLC","AMERIPRISE FINANCIAL SERVICES, LLC","707 2ND AVENUE SOUTH",null,"MINNEAPOLIS","MN","United States",55402,"N","612-671-3131","612-671-4929",150,"5227 AMERIPRISE FINANCIAL CENTER",null,"MINNEAPOLIS","MN","United States",55474,"N","Approved","1986-12-05","AK-12/15/1986, AL-05/03/1991, AR-12/31/1986, AZ-11/22/2005, CA-07/08/1997, CO-01/01/1999, CT-01/16/1998, DC-02/25/1994, DE-07/03/2003, FL-04/03/1987, GA-04/05/1989, HI-02/09/1987, IA-01/01/1999, ID-07/17/1991, IL-12/04/1986, IN-11/08/2000, KS-12/19/1997, KY-11/22/2005, LA-01/18/2001, MD-11/19/1990, ME-01/01/1998, MI-11/22/2005, MN-12/01/1986, MO-07/17/1974, MS-01/18/2001, MT-12/22/1997, NC-10/19/2000, ND-07/14/1989, NE-12/31/1997, NH-01/01/1987, NJ-11/04/2005, NM-12/09/1986, NV-12/10/1990, NY-11/18/1986, OH-07/06/1999, OK-01/01/1998, PA-07/02/1974, PR-12/17/2008, RI-01/01/1995, SC-12/06/1986, SD-12/16/1986, TN-11/10/1997, TX-01/01/1983, UT-12/23/1991, VA-11/22/2005, VI-09/18/2009, VT-01/20/1995, WA-01/01/1987, WI-01/01/1986, WV-10/02/1997, WY-07/05/2017","2024-03-28","2021-10-01","Y","https://www.linkedin.com/company/ameriprise-financial-services-llc",10,"Y","340 MADISON AVE","8TH FLOOR","NEW YORK","NY","United States",10005,13,"N","N","Y","$1 billion - $10 billion",null,"Y","N","N","N","N","N","N","N","N","N","N","N","Limited Liability Company",null,"DECEMBER","DE","United States","N",{"$nulls":3},0,null,13903,12518,13881,12435,2,11732,185,140938,null,1,{"$nulls":28},1134264,null,{"v":249835107731,"d":"249,835,107,731.00"},116610,null,{"v":219098760507,"d":"219,098,760,507.00"},0,null,null,0,null,0,null,0,null,6934,null,{"v":4043300070,"d":"4,043,300,070.00"},2236,null,{"v":2372969115,"d":"2,372,969,115.00"},568,null,{"v":1125986631,"d":"1,125,986,631.00"},0,null,null,16,null,{"v":16694287,"d":"16,694,287.00"},0,null,null,3083,null,{"v":3292349091,"d":"3,292,349,091.00"},10,null,{"v":8614995,"d":"8,614,995.00"},"TRUSTS/ESTATES","Y","Y","N","Y","N","N","N",null,"Y",{"v":245416154667,"d":"245,416,154,667.00"},{"v":234377627760,"d":"234,377,627,760.00"},{"v":479793782427,"d":"479,793,782,427.00"},{"v":1333556,"d":"1,333,556"},{"v":951365,"d":"951,365"},{"v":2284921,"d":"2,284,921"},{"v":4171610431,"d":"4,171,610,431.00"},"Y","Y","N",null,null,"N","Y","Y","Y","Y","N","N","Y","Y","ASSET ALLOCATION SERVICES","More than 500",624500,"Y",{"v":474207829030,"d":"474,207,829,030.00"},0,{"v":5585953397,"d":"5,585,953,397.00"},1,"N","N","Y",19,0,1,1,0,0,0,0,47,27,4,1,19,0,1,1,0,0,0,0,46,27,4,1,"ASSET TYPES INCLUDED IN \"OTHER\" INCLUDE MEDIUM-TERM NOTES, PRIVATE PLACEMENTS, AND STRUCTURED PRODUCTS.",{"$nulls":13},"Y","Y",{"v":445000504110,"d":"445,000,504,110.00"},{"v":4610342423,"d":"4,610,342,423.00"},{"v":138538940,"d":"138,538,940.00"},{"v":27539366,"d":"27,539,366.00"},{"v":488094910,"d":"488,094,910.00"},{"v":6435055,"d":"6,435,055.00"},0,0,0,0.01,0,0,0,0,0,29.1,0,0,0,0,0,410.27,0,0,{"v":478307228240,"d":"478,307,228,240.00"},{"v":4338718113,"d":"4,338,718,113.00"},{"v":248760716,"d":"248,760,716.00"},{"v":27563315,"d":"27,563,315.00"},{"v":447888156,"d":"447,888,156.00"},{"v":3959484,"d":"3,959,484.00"},0,0,0,0.01,0,0,0,0,0,30.42,0,0,0,0,0,340.83,0,0,{"$nulls":6},"Y","Y","N","Y","Y","Y","Y","Y","N","Y","N","Y","N","N","Y","N","N","N","N","N","N","N","N",null,"N",null,"Y","Y","Y","N","N","N","Y","N","Y","Y","N","N","Y","N","N","N","Y",18,0,7,"Y","N","Y","Y","N",0,"N","N",null,"N",null,"N",null,"N",null,"N",null,"N",null,"N",null,0,0,"Y","Y","Y","Y","Y","Y","Y","Y","Y","Y","Y","Y","Y","Y","Y",null,"Y","Y","Y","N","N",null,null,"Y","Y",{"v":479793782427,"d":"479,793,782,427.00"},{"v":2284921,"d":"2,284,921"},{"v":479793782427,"d":"479,793,782,427.00"},"N","N","Y","Y","Y","N","Y","2023-06-01",1,"N",1,"Y","Y",5,"Y",12,"Y",1,"Y",1,"N",0,"Y",2,"N",0,"Y",2,"Y",2,"Y",16,"Y",42,"N",0,"Y",45,"Y",29,"Y",3,"Y",37,"N",0,"Y",27,"N",0,"Y",4,"Y",3,"Y",1,"Y",1,"Y",2]
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["CHRO",8158,null,null,"801-7571","Registered","N",null,810972,2,"ROBERT W. BAIRD & CO. INCORPORATED","ROBERT W. BAIRD & CO. INCORPORATED","777 E. WISCONSIN AVENUE",null,"MILWAUKEE","WI","United States","53202-5391","N","414-765-3500","414-298-7800",179,{"$nulls":7},"Approved","1971-07-14","AK-04/09/1992, AL-05/27/1992, AR-05/18/1992, AZ-01/15/2016, CA-07/08/1997, CO-06/23/1999, CT-07/15/1997, DC-12/31/1995, DE-03/10/1992, FL-03/09/1982, GA-05/15/1992, HI-05/08/1998, IA-01/01/1999, ID-05/06/1992, IL-10/28/1976, IN-02/06/2001, KS-12/22/1997, KY-03/05/2002, LA-10/16/2001, MA-03/17/2004, MD-05/18/1992, ME-06/15/1992, MI-03/05/2002, MN-08/08/1988, MO-05/01/1978, MS-12/09/1998, MT-12/23/1997, NC-01/25/2001, ND-05/28/1992, NE-07/31/1997, NH-06/08/1992, NJ-06/28/1996, NM-04/16/1992, NV-11/26/1990, NY-11/22/1991, OH-09/01/1999, OK-01/01/1998, OR-03/31/2010, PA-03/08/2002, PR-10/09/1992, RI-01/01/1993, SC-11/12/1997, SD-03/04/1992, TN-08/04/1997, TX-07/06/1983, UT-04/22/1992, VA-05/19/1988, VI-04/12/2005, VT-01/19/1995, WA-06/23/1998, WI-06/23/1988, WV-03/04/1992, WY-07/03/2017","2024-03-21","2021-10-01","Y","https://twitter.com/bairdconference",15,"Y","535 FIFTH AVENUE","4TH FLOOR","NEW YORK","NY","United States",10017,39,"N","N","Y","$1 billion - $10 billion","549300772UJAHRD6LO53","Y","N","N","Y","N","N","N","N","N","N","N","N","Corporation",null,"DECEMBER","WI","United States","N",{"$nulls":3},0,null,4069,2966,3313,2382,0,1536,30,11103,null,1,{"$nulls":28},149378,null,{"v":32490829719,"d":"32,490,829,719.00"},60342,null,{"v":95134275200,"d":"95,134,275,200.00"},26,null,{"v":417085686,"d":"417,085,686.00"},18,{"v":109571842792,"d":"109,571,842,792.00"},null,null,8,{"v":979488547,"d":"979,488,547.00"},1710,null,{"v":10705940592,"d":"10,705,940,592.00"},1333,null,{"v":5923343446,"d":"5,923,343,446.00"},72,null,{"v":4520120569,"d":"4,520,120,569.00"},195,null,{"v":536887699,"d":"536,887,699.00"},23,null,{"v":8595068667,"d":"8,595,068,667.00"},{"$nulls":3},1565,null,{"v":15938880131,"d":"15,938,880,131.00"},20,null,{"v":2701192405,"d":"2,701,192,405.00"},"TAFT HARTLEY, UNION PENSION PLANS","Y","Y","N","Y","Y","Y","Y","HARD DOLLAR PAYMENTS FOR RESEARCH","Y",{"v":211546872096,"d":"211,546,872,096.00"},{"v":75968083357,"d":"75,968,083,357.00"},{"v":287514955453,"d":"287,514,955,453.00"},{"v":190204,"d":"190,204"},{"v":141296,"d":"141,296"},{"v":331500,"d":"331,500"},{"v":345833676,"d":"345,833,676.00"},"Y","Y","Y",4,88243018156,"Y","Y","Y","Y","Y","N","N","Y","Y","SEE SCHEDULE D","More than 500",500,"Y",{"v":54254771629,"d":"54,254,771,629.00"},{"v":205283746,"d":"205,283,746.00"},{"v":78164404464,"d":"78,164,404,464.00"},19,"N","N","Y",28,1,8,4,0,7,0,0,46,0,4,2,29,1,8,4,0,7,0,0,46,0,3,2,"THE ASSETS GENERALLY INCLUDE ASSET-BACKED AND MORTGAGE-BACKED SECURITIES.",{"$nulls":13},"Y","Y",{"v":193128926,"d":"193,128,926.00"},{"v":164630693,"d":"164,630,693.00"},{"v":17503584,"d":"17,503,584.00"},{"v":5122,"d":"5,122.00"},0,0,{"$nulls":3},6,null,8,{"$nulls":3},44,{"$nulls":5},389,null,null,{"v":303092085,"d":"303,092,085.00"},{"v":127764827,"d":"127,764,827.00"},{"v":56159648,"d":"56,159,648.00"},{"v":565573,"d":"565,573.00"},{"$nulls":5},1,null,7,{"$nulls":3},25,null,7,{"$nulls":3},160,{"$nulls":8},"Y","Y","Y","Y","Y","Y","Y","Y","Y","Y","N","Y","N","N","N","N","N","Y","N","N","N","N","N",null,"Y","N","Y","Y","Y","N","N","N","Y","N","N","Y","N","N","Y","N","Y","N","Y",15,2,2,"Y","Y","Y","Y","Y",3,"N","Y",1,"N",null,"N",null,"N",null,"N",null,"N",null,"Y",2,{"v":172662706,"d":"172,662,706.00"},0,"Y","Y","Y","Y","Y","Y","Y","Y","Y","Y","N","Y","N","Y","Y",null,"Y","Y","Y","Y","Y",{"v":152745863234,"d":"152,745,863,234.00"},{"v":212951,"d":"212,951"},"N","N",null,null,{"v":152745863234,"d":"152,745,863,234.00"},"Y","Y","Y","Y","Y","Y","N","2023-07-01",62,"N",0,"Y","N",0,"N",0,"Y",2,"N",0,"N",0,"Y",4,"N",0,"Y",3,"Y",4,"Y",1,"Y",3,"N",0,"Y",2,"N",0,"N",0,"Y",13,"N",0,"Y",4,"N",0,"N",0,"N",0,"N",0,"N",0,"N",0]
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