|
Shareholder servicing agents Record:
1 |
i. Full name | Cannon Securities, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-68437 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
GEORGIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
2 |
i. Full name | Rehmann Financial Network, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-69134 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
MICHIGAN
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
3 |
i. Full name | Cetera Investment Services LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 254900HBKNJ13M56N432 |
Description of other identifying number | |
iii. State, if applicable |
MINNESOTA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
4 |
i. Full name | Signal Securities, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-32948 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
TEXAS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
5 |
i. Full name | GW & Wade Asset Management Company, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-42013 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
MASSACHUSETTS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
6 |
i. Full name | Worth Financial Group Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-29827 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
TEXAS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
7 |
i. Full name | Mutual Trust Company of America Securities |
ii. LEI, if any, or provide and describe
other
identifying number | 254900PUBUB7IS4GNY27 |
Description of other identifying number | |
iii. State, if applicable |
FLORIDA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
8 |
i. Full name | NewEdge Securities, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 549300HJL2LPNSC0JX96 |
Description of other identifying number | |
iii. State, if applicable |
PENNSYLVANIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
9 |
i. Full name | The Huntington Investment Company |
ii. LEI, if any, or provide and describe
other
identifying number | 5493004MEJ6IU9SR1R78 |
Description of other identifying number | |
iii. State, if applicable |
OHIO
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
10 |
i. Full name | Akar Capital Management, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-28026 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
FLORIDA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
11 |
i. Full name | Professional Trading Services Brokerage, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-65173 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
NEW JERSEY
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
12 |
i. Full name | Kovack Securities Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 25490070RG17Z4I70I82 |
Description of other identifying number | |
iii. State, if applicable |
FLORIDA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
13 |
i. Full name | The Vanguard Group, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 5493002789CX3L0CJP65 |
Description of other identifying number | |
iii. State, if applicable |
PENNSYLVANIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
14 |
i. Full name | Bradesco Investments Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 254900CAF9OPVE8VT408 |
Description of other identifying number | |
iii. State, if applicable |
FLORIDA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
15 |
i. Full name | Mutual of Omaha Investor Services, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-47290 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
NEBRASKA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
16 |
i. Full name | COUNTRY Capital Management Company |
ii. LEI, if any, or provide and describe
other
identifying number | 8-12645 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
ILLINOIS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
17 |
i. Full name | Charles Schwab Bank, SSB (San Francisco, CA, US, Branch) |
ii. LEI, if any, or provide and describe
other
identifying number | 549300INFJ8TYNZ1G568 |
Description of other identifying number | |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
18 |
i. Full name | SEI Private Trust Company |
ii. LEI, if any, or provide and describe
other
identifying number | 254900F25IGTY0ETFV15 |
Description of other identifying number | |
iii. State, if applicable |
PENNSYLVANIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
19 |
i. Full name | Eagles Coast Capital, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-70137 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
SOUTH CAROLINA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
20 |
i. Full name | InSight Securities, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 2549007I5MCG270G9341 |
Description of other identifying number | |
iii. State, if applicable |
ILLINOIS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
21 |
i. Full name | AssetMark Trust Company |
ii. LEI, if any, or provide and describe
other
identifying number | N/A |
Description of other identifying number | |
iii. State, if applicable |
ARIZONA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
22 |
i. Full name | The Leaders Group, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-47639 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
COLORADO
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
23 |
i. Full name | First Citizens Investor Services, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-50696 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
NORTH CAROLINA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
24 |
i. Full name | Sanders Morris LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 254900ZNPYV465D1NZ47 |
Description of other identifying number | |
iii. State, if applicable |
TEXAS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
25 |
i. Full name | Sorrento Pacific Financial, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-66046 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
26 |
i. Full name | Genworth Life Insurance Company of New York |
ii. LEI, if any, or provide and describe
other
identifying number | E5VAS7I8GX5B0SDBX010 |
Description of other identifying number | |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
27 |
i. Full name | Mid Atlantic Clearing & Settlement Corporation |
ii. LEI, if any, or provide and describe
other
identifying number | 8-47758 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
PENNSYLVANIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
28 |
i. Full name | Sammons Financial Network, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-68905 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
IOWA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
29 |
i. Full name | XP Investments US, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 549300HDFLS7P433PO89 |
Description of other identifying number | |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
30 |
i. Full name | Gradient Securities, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-66032 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
MINNESOTA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
31 |
i. Full name | The Guardian Insurance & Annuity Company, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | TGIU5N0SIMULU6I57R64 |
Description of other identifying number | |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
32 |
i. Full name | Northland Securities, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 254900ZIK4MLVQAWLS15 |
Description of other identifying number | |
iii. State, if applicable |
MINNESOTA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
33 |
i. Full name | Callaway Financial Services, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 549300UNHHMAHA7IYO12 |
Description of other identifying number | |
iii. State, if applicable |
TEXAS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
34 |
i. Full name | Hornor, Townsend & Kent, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-14715 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
PENNSYLVANIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
35 |
i. Full name | Private Client Services, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-68183 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
KENTUCKY
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
36 |
i. Full name | PNC Bank, National Association (Pittsburgh, PA, US, Branch) |
ii. LEI, if any, or provide and describe
other
identifying number | AD6GFRVSDT01YPT1CS68 |
Description of other identifying number | |
iii. State, if applicable |
PENNSYLVANIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
37 |
i. Full name | Neuberger Berman BD LLC |
ii. LEI, if any, or provide and describe
other
identifying number | PWDS3JJ631D5N70JXG61 |
Description of other identifying number | |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
38 |
i. Full name | Dinosaur Financial Group, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 549300CCV3H232GBUN83 |
Description of other identifying number | |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
39 |
i. Full name | Rockefeller Financial LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-70054 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
40 |
i. Full name | MGO Securities Corp. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-47814 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
OHIO
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
41 |
i. Full name | Principal Securities, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-13975 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
IOWA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
42 |
i. Full name | Concorde Investment Services, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-68388 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
MICHIGAN
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
43 |
i. Full name | Andbanc Brokerage LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 213800E4CWGFMCDQZ792 |
Description of other identifying number | |
iii. State, if applicable |
FLORIDA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
44 |
i. Full name | UnionBanc Investment Services LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 254900Y9HI2TG6D79N41 |
Description of other identifying number | |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
45 |
i. Full name | Capital City Securities, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-67771 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
OHIO
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
46 |
i. Full name | Parkland Securities, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-53482 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
MICHIGAN
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
47 |
i. Full name | Allianz Life Financial Services, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 5493008TSI0TRWDDGW79 |
Description of other identifying number | |
iii. State, if applicable |
MINNESOTA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
48 |
i. Full name | Liberty Capital Investment Corp. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-42051 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
OREGON
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
49 |
i. Full name | McDonald Partners LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-66985 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
OHIO
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
50 |
i. Full name | SCF Securities, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-51760 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
51 |
i. Full name | Harbor Investment Advisory, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-68334 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
MARYLAND
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
52 |
i. Full name | N.E. Private Client Advisors, Ltd. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-66968 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
RHODE ISLAND
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
53 |
i. Full name | Athena Wealth Management |
ii. LEI, if any, or provide and describe
other
identifying number | N/A |
Description of other identifying number | |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
54 |
i. Full name | Sycamore Financial Group Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-30302 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
INDIANA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
55 |
i. Full name | Planned Financial Programs, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-5727 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
56 |
i. Full name | Carty & Company, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 2549004VW1160A0HAR55 |
Description of other identifying number | |
iii. State, if applicable |
TENNESSEE
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
57 |
i. Full name | Chauner Securities, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-33980 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
ILLINOIS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
58 |
i. Full name | Westco Investment Corp. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-38452 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
59 |
i. Full name | John Hancock Life Insurance Company of New York |
ii. LEI, if any, or provide and describe
other
identifying number | 5493007RYG4GXIKSQI18 |
Description of other identifying number | |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
60 |
i. Full name | SagePoint Financial, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-66771 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
ARIZONA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
61 |
i. Full name | MWA Financial Services, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-53255 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
ILLINOIS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
62 |
i. Full name | PNC Investments LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-66195 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
PENNSYLVANIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
63 |
i. Full name | Principal Life Insurance Company |
ii. LEI, if any, or provide and describe
other
identifying number | SDCMU2LVKGV2AF1KWP64 |
Description of other identifying number | |
iii. State, if applicable |
IOWA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
64 |
i. Full name | Omega Securities, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-20225 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
TEXAS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
65 |
i. Full name | Wintrust Investments, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 254900VR9KGJNQBQZA90 |
Description of other identifying number | |
iii. State, if applicable |
ILLINOIS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
66 |
i. Full name | Altruist Financial LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 549300DKQZ64IQE9A857 |
Description of other identifying number | |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
67 |
i. Full name | Samuel A. Ramirez & Company, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 254900CBKVW7O2ENQA21 |
Description of other identifying number | |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
68 |
i. Full name | Capital Synergy Partners, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-68060 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
69 |
i. Full name | Pinnacle Investments, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-67515 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
70 |
i. Full name | VectorGlobal WMG Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 254900K52VRYBHUGBC64 |
Description of other identifying number | |
iii. State, if applicable |
FLORIDA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
71 |
i. Full name | Benchmark Investments, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-52280 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
GEORGIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
72 |
i. Full name | Buell Securities Corp. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-22058 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
CONNECTICUT
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
73 |
i. Full name | Michigan Securities Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-52094 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
MICHIGAN
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
74 |
i. Full name | Kingswood Capital Partners LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 5493000S7S0ZD3E40797 |
Description of other identifying number | |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
75 |
i. Full name | Monex Securities, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 254900VTZ3HYHNEJRX35 |
Description of other identifying number | |
iii. State, if applicable |
TEXAS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
76 |
i. Full name | Voya Financial Partners, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-46451 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
CONNECTICUT
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
77 |
i. Full name | American National Trust And Investment Management Company |
ii. LEI, if any, or provide and describe
other
identifying number | 28-00344 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
INDIANA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
78 |
i. Full name | Commerce Brokerage Services, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 549300158KXZEDLDQA22 |
Description of other identifying number | |
iii. State, if applicable |
MISSOURI
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
79 |
i. Full name | TD Private Client Wealth LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-69105 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
80 |
i. Full name | American United Life Insurance Company |
ii. LEI, if any, or provide and describe
other
identifying number | 549300T82H2DXU80LV98 |
Description of other identifying number | |
iii. State, if applicable |
INDIANA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
81 |
i. Full name | Boreal Capital Securities, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 549300NMHK6HTSKCG696 |
Description of other identifying number | |
iii. State, if applicable |
FLORIDA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
82 |
i. Full name | Hancock Whitney Corporation |
ii. LEI, if any, or provide and describe
other
identifying number | 549300GRNBWY8HIICT41 |
Description of other identifying number | |
iii. State, if applicable |
MISSISSIPPI
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
83 |
i. Full name | HighTower Securities, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 549300F189LKWDZLP954 |
Description of other identifying number | |
iii. State, if applicable |
ILLINOIS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
84 |
i. Full name | Great Pacific Securities |
ii. LEI, if any, or provide and describe
other
identifying number | 254900QRZ90SUI8C4W84 |
Description of other identifying number | |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
85 |
i. Full name | Truist Investment Services, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-35355 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
GEORGIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
86 |
i. Full name | ARIVE Capital Markets LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-43350 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
87 |
i. Full name | Investment Network, Inc |
ii. LEI, if any, or provide and describe
other
identifying number | 8-66036 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
OHIO
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
88 |
i. Full name | Insigneo Securities, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 254900P4TTO6PU1VDH88 |
Description of other identifying number | |
iii. State, if applicable |
FLORIDA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
89 |
i. Full name | International Assets Advisory, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 254900ARMOHQNS987S09 |
Description of other identifying number | |
iii. State, if applicable |
FLORIDA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
90 |
i. Full name | National Financial Services LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 549300JRHF1MHHWUAW04 |
Description of other identifying number | |
iii. State, if applicable |
MASSACHUSETTS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
91 |
i. Full name | Innovation Partners, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 549300IEQ78ON1HMTU71 |
Description of other identifying number | |
iii. State, if applicable |
NORTH CAROLINA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
92 |
i. Full name | First Republic Securities Company, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 5493000IMDFZDQYB2Q11 |
Description of other identifying number | |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
93 |
i. Full name | Diversified Resources, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-45497 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
RHODE ISLAND
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
94 |
i. Full name | Great Point Capital LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 254900HN4IGCO53HDK23 |
Description of other identifying number | |
iii. State, if applicable |
ILLINOIS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
95 |
i. Full name | Herold & Lantern Investments, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 254900J6QB9C3UNBJJ49 |
Description of other identifying number | |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
96 |
i. Full name | Concourse Financial Group Securities, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-32590 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
ALABAMA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
97 |
i. Full name | USI Securities, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-50429 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
CONNECTICUT
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
98 |
i. Full name | Somerset Securities, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-11539 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
OREGON
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
99 |
i. Full name | Investors Brokerage of Texas, Ltd. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-28644 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
TEXAS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
100 |
i. Full name | McLaughlin Ryder Investments, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-67911 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
VIRGINIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
101 |
i. Full name | LifeMark Securities Corp. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-33478 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
102 |
i. Full name | Beaconsfield Financial Services, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-30993 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
PENNSYLVANIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
103 |
i. Full name | FSC Securities Corporation |
ii. LEI, if any, or provide and describe
other
identifying number | 8-21770 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
GEORGIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
104 |
i. Full name | MMC Securities LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 2549001ZA93O65N2ZM60 |
Description of other identifying number | |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
105 |
i. Full name | TD Ameritrade Clearing, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | MRK678VXOI09YSSN8X19 |
Description of other identifying number | |
iii. State, if applicable |
NEBRASKA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
106 |
i. Full name | Rodgers Brothers, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 254900LRFV1CEITPX737 |
Description of other identifying number | |
iii. State, if applicable |
PENNSYLVANIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
107 |
i. Full name | First Command Brokerage Services, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-07072 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
TEXAS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
108 |
i. Full name | Wellington Shields & Co., LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 254900ULLOEJ3RYQ9S69 |
Description of other identifying number | |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
109 |
i. Full name | BNA Wealth, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-48642 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
SOUTH CAROLINA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
110 |
i. Full name | D.H. Hill Securities, LLLP |
ii. LEI, if any, or provide and describe
other
identifying number | 8-49475 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
TEXAS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
111 |
i. Full name | Equity Services, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-14286 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
VERMONT
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
112 |
i. Full name | Bestvest Investments, Ltd. |
ii. LEI, if any, or provide and describe
other
identifying number | 254900SL6FW130BMS922 |
Description of other identifying number | |
iii. State, if applicable |
PENNSYLVANIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
113 |
i. Full name | The Jeffrey Matthews Financial Group, L.L.C. |
ii. LEI, if any, or provide and describe
other
identifying number | 25490086M6MGMYYVOJ50 |
Description of other identifying number | |
iii. State, if applicable |
NEW JERSEY
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
114 |
i. Full name | Trade-PMR Group, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-51390 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
FLORIDA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
115 |
i. Full name | WesBanco Securities, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-50220 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
OHIO
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
116 |
i. Full name | Citizens Bank |
ii. LEI, if any, or provide and describe
other
identifying number | 38-0421450 |
Description of other identifying number | Tax ID |
iii. State, if applicable |
MICHIGAN
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
117 |
i. Full name | Girard Investment Services, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-14145 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
PENNSYLVANIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
118 |
i. Full name | Sanctuary Securities, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 2549007WBAL2Z578XQ34 |
Description of other identifying number | |
iii. State, if applicable |
ILLINOIS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
119 |
i. Full name | Wall Street Access Corporation |
ii. LEI, if any, or provide and describe
other
identifying number | 549300Z0MOT47D6OQV22 |
Description of other identifying number | |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
120 |
i. Full name | Ausdal Financial Partners, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-24519 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
IOWA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
121 |
i. Full name | Ballew Investments, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-45660 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
MISSISSIPPI
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
122 |
i. Full name | Investments For You, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-44179 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
OHIO
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
123 |
i. Full name | Kestra Investment Services, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-49672 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
TEXAS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
124 |
i. Full name | Leo Brokerage, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-53487 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
TEXAS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
125 |
i. Full name | Chelsea Morgan Securities, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-51916 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
126 |
i. Full name | Aon Securities LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 549300JF73MZNI4CMN58 |
Description of other identifying number | |
iii. State, if applicable |
ILLINOIS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
127 |
i. Full name | WBB Securities, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-53660 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
128 |
i. Full name | Folio Investments, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-52009 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
VIRGINIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
129 |
i. Full name | GLP Investment Services, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-41868 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
MICHIGAN
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
130 |
i. Full name | Amegy Investments, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-65399 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
TEXAS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
131 |
i. Full name | DMK Advisor Group, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-49279 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
COLORADO
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
132 |
i. Full name | Hancock Whitney Investment Services, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 254900PJ7SNKYPK21W02 |
Description of other identifying number | |
iii. State, if applicable |
LOUISIANA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
133 |
i. Full name | MML Distributors, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-48203 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
CONNECTICUT
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
134 |
i. Full name | McClurg Capital Corporation |
ii. LEI, if any, or provide and describe
other
identifying number | 8-34473 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
135 |
i. Full name | Sunbelt Securities, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-49748 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
TEXAS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
136 |
i. Full name | Alliant Securities, Inc. Turner, Nord, Kienbaum |
ii. LEI, if any, or provide and describe
other
identifying number | 8-23305 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
WASHINGTON
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
137 |
i. Full name | Madison Avenue Securities, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-40426 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
138 |
i. Full name | First Western Securities, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-37613 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
TEXAS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
139 |
i. Full name | American Enterprise Investment Services Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 549300NT7GLLVGTH0249 |
Description of other identifying number | |
iii. State, if applicable |
MINNESOTA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
140 |
i. Full name | Leigh Baldwin & Co., L.L.C. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-48385 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
141 |
i. Full name | Cetera Advisor Networks LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-29577 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
142 |
i. Full name | Corecap Investments, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-47783 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
MICHIGAN
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
143 |
i. Full name | Ceros Financial Services Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 549300N2YQ0P5G0WE562 |
Description of other identifying number | |
iii. State, if applicable |
MARYLAND
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
144 |
i. Full name | Cape Securities, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-20747 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
GEORGIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
145 |
i. Full name | B.B. Graham & Company, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-49477 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
146 |
i. Full name | Moloney Securities Co., Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-48326 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
MISSOURI
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
147 |
i. Full name | Heim, Young & Associates, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-48500 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
MISSOURI
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
148 |
i. Full name | Integrity Investments, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-45302 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
FLORIDA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
149 |
i. Full name | Santander Securities LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-49571 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
MASSACHUSETTS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
150 |
i. Full name | Transamerica Financial Advisors, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 549300JW32XCZSHI0878 |
Description of other identifying number | |
iii. State, if applicable |
FLORIDA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
151 |
i. Full name | Woodbury Financial Services, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-13846 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
MINNESOTA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
152 |
i. Full name | Herbert J Sims & Co. Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 254900SV6UESQBS8XP98 |
Description of other identifying number | |
iii. State, if applicable |
CONNECTICUT
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
153 |
i. Full name | TradeUP Securities Inc |
ii. LEI, if any, or provide and describe
other
identifying number | 254900LJV422VU8GR603 |
Description of other identifying number | |
iii. State, if applicable |
NEW JERSEY
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
154 |
i. Full name | Fintrust Brokerage Services, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-49514 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
GEORGIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
155 |
i. Full name | Bankoh Investment Services, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-44201 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
HAWAII
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
156 |
i. Full name | Capital Investment Brokerage, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-49118 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
NORTH CAROLINA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
157 |
i. Full name | Park Avenue Securities LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-51324 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
158 |
i. Full name | B. C. Ziegler and Company |
ii. LEI, if any, or provide and describe
other
identifying number | 549300NLEOFP92P38Q71 |
Description of other identifying number | |
iii. State, if applicable |
ILLINOIS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
159 |
i. Full name | Coker & Palmer, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 254900V1KTPDN88TDS68 |
Description of other identifying number | |
iii. State, if applicable |
MISSISSIPPI
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
160 |
i. Full name | Hand Securities, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-51001 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
TEXAS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
161 |
i. Full name | Ace Diversified Capital, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-49555 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
162 |
i. Full name | ViewTrade Securities, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 549300CHLQDUD0NL5851 |
Description of other identifying number | |
iii. State, if applicable |
FLORIDA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
163 |
i. Full name | Integrated Financial Planning Services |
ii. LEI, if any, or provide and describe
other
identifying number | 8-35120 |
Description of other identifying number | SEC File Number |
iii. State, if applicable | |
iv. Foreign country, if applicable |
GERMANY
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
164 |
i. Full name | Vorpahl Wing Securities, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-51823 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
WASHINGTON
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
165 |
i. Full name | Charles Schwab & Co., Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 549300ZP8XN77GK5BS04 |
Description of other identifying number | |
iii. State, if applicable |
TEXAS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
166 |
i. Full name | Oriental Financial Services LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-44516 |
Description of other identifying number | SEC File Number |
iii. State, if applicable | |
iv. Foreign country, if applicable |
PUERTO RICO
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
167 |
i. Full name | American Heritage Securities, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-44466 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
OHIO
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
168 |
i. Full name | Osaic Institutions, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-46661 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
CONNECTICUT
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
169 |
i. Full name | Arthur W. Wood Company |
ii. LEI, if any, or provide and describe
other
identifying number | 98450095C1A5707C4I40 |
Description of other identifying number | |
iii. State, if applicable |
MASSACHUSETTS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
170 |
i. Full name | MSEC, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 2549009EK3GVO5B3DK31 |
Description of other identifying number | |
iii. State, if applicable |
KANSAS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
171 |
i. Full name | James I. Black & Company |
ii. LEI, if any, or provide and describe
other
identifying number | 8-12077 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
FLORIDA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
172 |
i. Full name | CFS Securities, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-51330 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
CONNECTICUT
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
173 |
i. Full name | Zions Direct, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 254900VGN65XF3JVA633 |
Description of other identifying number | |
iii. State, if applicable |
UTAH
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
174 |
i. Full name | Sisung Securities Corporation |
ii. LEI, if any, or provide and describe
other
identifying number | 254900KJI3EYKKPWT989 |
Description of other identifying number | |
iii. State, if applicable |
LOUISIANA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
175 |
i. Full name | First Southern LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 5493006LKFHMTRXT7796 |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable |
PUERTO RICO
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
176 |
i. Full name | Davenport & Company LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 254900GN2SAXJGLMS075 |
Description of other identifying number | |
iii. State, if applicable |
VIRGINIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
177 |
i. Full name | United Brokerage Services, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-48685 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
WEST VIRGINIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
178 |
i. Full name | United Advisor Group, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 801-127090 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
MISSOURI
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
179 |
i. Full name | BOK Financial Securities, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 5493008UZFTI4G7UQ733 |
Description of other identifying number | |
iii. State, if applicable |
OKLAHOMA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
180 |
i. Full name | T.R. Winston & Company, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-27519 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
NEW JERSEY
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
181 |
i. Full name | Blakeslee & Blakeslee, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-32071 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
182 |
i. Full name | Lincoln Financial Advisors Corporation |
ii. LEI, if any, or provide and describe
other
identifying number | 8-14685 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
INDIANA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
183 |
i. Full name | Dominari Securities LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-37105 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
CONNECTICUT
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
184 |
i. Full name | Verity Investments, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-49474 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
NORTH CAROLINA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
185 |
i. Full name | M. E. Allison & Co., Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 2549001B1UO62MZQWQ16 |
Description of other identifying number | |
iii. State, if applicable |
TEXAS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
186 |
i. Full name | Crescent Securities Group, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-53457 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
TEXAS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
187 |
i. Full name | RNR Securities, L.L.C. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-50366 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
188 |
i. Full name | Midland Securities, Ltd. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-40685 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
TEXAS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
189 |
i. Full name | Cadaret, Grant & Co., Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 2549003ZDQPBPYR9KD35 |
Description of other identifying number | |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
190 |
i. Full name | Sorsby Financial Corp. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-48718 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
ILLINOIS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
191 |
i. Full name | Independent Financial Group, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 254900KYWXHSQ7RMNP09 |
Description of other identifying number | |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
192 |
i. Full name | Roberts and Ryan Investments Incorporated |
ii. LEI, if any, or provide and describe
other
identifying number | 254900A6VIVO4DP1T126 |
Description of other identifying number | |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
193 |
i. Full name | Mutual Securities, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 254900UQFSLK9OUNAC76 |
Description of other identifying number | |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
194 |
i. Full name | Bley Investment Group, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-42701 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
TEXAS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
195 |
i. Full name | Alexander Capital, L.P. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-48957 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
196 |
i. Full name | CreativeOne Securities, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-68494 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
KANSAS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
197 |
i. Full name | Sunset Financial Services, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-14148 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
198 |
i. Full name | Morgan Stanley Smith Barney LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 7PDDXEMZ0ZV0CEDU4D16 |
Description of other identifying number | |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
199 |
i. Full name | Capital Investment Group, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-31225 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
NORTH CAROLINA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
200 |
i. Full name | Perryman Securities, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-53546 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
TEXAS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
201 |
i. Full name | Allegiance Capital, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-52978 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
MINNESOTA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
202 |
i. Full name | Camden Financial Services |
ii. LEI, if any, or provide and describe
other
identifying number | 8-37303 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
203 |
i. Full name | The Windmill Group, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-25280 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
204 |
i. Full name | Cabot Lodge Securities LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-69009 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
205 |
i. Full name | Packerland Brokerage Services, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-47572 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
WISCONSIN
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
206 |
i. Full name | TFS Securities, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-38377 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
NEW JERSEY
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
207 |
i. Full name | Oberweis Securities, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 5493008EZH6DO1631P71 |
Description of other identifying number | |
iii. State, if applicable |
ILLINOIS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
208 |
i. Full name | E*TRADE Securities LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 549300PJRJFMBCDPWR57 |
Description of other identifying number | |
iii. State, if applicable |
NEW JERSEY
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
209 |
i. Full name | FMN Capital Corporation |
ii. LEI, if any, or provide and describe
other
identifying number | 8-48082 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
210 |
i. Full name | Geneos Wealth Management, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-65357 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
COLORADO
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
211 |
i. Full name | Capital Institutional Services, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 54930061X8RDWFDJIS05 |
Description of other identifying number | |
iii. State, if applicable |
TEXAS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
212 |
i. Full name | Navigator Securities Limited |
ii. LEI, if any, or provide and describe
other
identifying number | 8-39700 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
TEXAS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
213 |
i. Full name | Polar Investment Counsel, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-50039 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
MINNESOTA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
214 |
i. Full name | Transamerica Advisors Life Insurance Company |
ii. LEI, if any, or provide and describe
other
identifying number | F1PLTWZ8OU4HQGZQAP31 |
Description of other identifying number | |
iii. State, if applicable |
ARKANSAS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
215 |
i. Full name | Independence Capital Co., Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-41331 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
OHIO
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
216 |
i. Full name | Allegheny Investments, Ltd. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-22183 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
PENNSYLVANIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
217 |
i. Full name | MML Investors Services, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-27250 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
MASSACHUSETTS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
218 |
i. Full name | ACA Prudent Investors Planning Corp. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-51899 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
NEW JERSEY
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
219 |
i. Full name | TCAdvisors Network Inc |
ii. LEI, if any, or provide and describe
other
identifying number | 8-46909 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
COLORADO
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
220 |
i. Full name | Associated Investment Services, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-00099 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
WISCONSIN
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
221 |
i. Full name | Western Equity Group, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-66403 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
222 |
i. Full name | Middlegate Securities Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 549300ZVONUQ845QCH95 |
Description of other identifying number | |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
223 |
i. Full name | Amuni Financial, Inc |
ii. LEI, if any, or provide and describe
other
identifying number | 8-25338 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
FLORIDA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
224 |
i. Full name | Jacques Financial, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-52675 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
MARYLAND
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
225 |
i. Full name | FSB Premier Wealth Management, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-44865 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
IOWA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
226 |
i. Full name | Great American Investors, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-44380 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
KANSAS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
227 |
i. Full name | Digital Retirement Solutions, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 84-1477138 |
Description of other identifying number | Tax ID |
iii. State, if applicable |
COLORADO
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
228 |
i. Full name | Newport Group Securities, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 801-60427 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
FLORIDA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
229 |
i. Full name | Landolt Securities, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 254900B2XEQ2HZGN7K90 |
Description of other identifying number | |
iii. State, if applicable |
ILLINOIS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
230 |
i. Full name | American Global Wealth Management, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 39-1259164 |
Description of other identifying number | Tax ID |
iii. State, if applicable |
GEORGIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
231 |
i. Full name | Mesirow Financial, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 549300BIV46SUHPOFE54 |
Description of other identifying number | |
iii. State, if applicable |
ILLINOIS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
232 |
i. Full name | PTI Securities & Futures, L.P. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-44412 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
ILLINOIS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
233 |
i. Full name | Raymond James Financial, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | RGUZHJ05YTITL6D76949 |
Description of other identifying number | |
iii. State, if applicable |
FLORIDA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
234 |
i. Full name | CIBC World Markets Corp. |
ii. LEI, if any, or provide and describe
other
identifying number | 549300445CON3DBMU275 |
Description of other identifying number | |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
235 |
i. Full name | XML Securities, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-67776 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
VIRGINIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
236 |
i. Full name | Advanced Advisor Group, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-67313 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
MINNESOTA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
237 |
i. Full name | World Equity Group, Incorporated |
ii. LEI, if any, or provide and describe
other
identifying number | 25490078J1OM7KOXR686 |
Description of other identifying number | |
iii. State, if applicable |
ILLINOIS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
238 |
i. Full name | Buckman, Buckman & Reid, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 254900D688L15B5HJB06 |
Description of other identifying number | |
iii. State, if applicable |
NEW JERSEY
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
239 |
i. Full name | LPL Financial LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 5493005NM7F0H1N3EQ39 |
Description of other identifying number | |
iii. State, if applicable |
MASSACHUSETTS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
240 |
i. Full name | The Strategic Financial Alliance, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-65885 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
GEORGIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
241 |
i. Full name | Talcott Resolution Life Insurance Company |
ii. LEI, if any, or provide and describe
other
identifying number | 8CE7JPU9IU72L3PPD756 |
Description of other identifying number | |
iii. State, if applicable |
CONNECTICUT
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
242 |
i. Full name | New England Pension Plan Systems, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | N/A |
Description of other identifying number | |
iii. State, if applicable |
RHODE ISLAND
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
243 |
i. Full name | L.S.Y. Incorporated |
ii. LEI, if any, or provide and describe
other
identifying number | 8-17613 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
244 |
i. Full name | Maine Securities Corporation |
ii. LEI, if any, or provide and describe
other
identifying number | 01-0411722 |
Description of other identifying number | Tax ID |
iii. State, if applicable |
MAINE
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
245 |
i. Full name | Sammons institutional Group, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | BBG00LBNPZL2 |
Description of other identifying number | Bloomberg Global ID |
iii. State, if applicable |
IOWA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
246 |
i. Full name | Lesko Securities, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-26408 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
247 |
i. Full name | USAA Investment Services Company |
ii. LEI, if any, or provide and describe
other
identifying number | 549300VSPLQ1XBNPD479 |
Description of other identifying number | |
iii. State, if applicable |
TEXAS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
248 |
i. Full name | Veritas Independent Partners, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-69363 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
ARKANSAS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
249 |
i. Full name | Grove Point Investments, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-31165 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
MARYLAND
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
250 |
i. Full name | Colorado Financial Service Corporation |
ii. LEI, if any, or provide and describe
other
identifying number | 8-52817 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
COLORADO
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
251 |
i. Full name | Conduent HR Services, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 84-06035 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
252 |
i. Full name | Fiduciary Trust Company International |
ii. LEI, if any, or provide and describe
other
identifying number | N1YKEWO2IYPRS4742F57 |
Description of other identifying number | |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
253 |
i. Full name | Horan Securities, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-49192 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
OHIO
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
254 |
i. Full name | TradeStation Securities, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 549300T08P71XXBYLW62 |
Description of other identifying number | |
iii. State, if applicable |
FLORIDA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
255 |
i. Full name | Global Brokerage Services Ltd |
ii. LEI, if any, or provide and describe
other
identifying number | 8-47763 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
MARYLAND
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
256 |
i. Full name | San Blas Securities LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 25490079436TZN10JD83 |
Description of other identifying number | |
iii. State, if applicable |
GEORGIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
257 |
i. Full name | Citigroup Global Markets Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | MBNUM2BPBDO7JBLYG310 |
Description of other identifying number | |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
258 |
i. Full name | G. A. Repple & Company |
ii. LEI, if any, or provide and describe
other
identifying number | 8-35315 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
FLORIDA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
259 |
i. Full name | Center Street Securities, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-42786 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
TENNESSEE
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
260 |
i. Full name | Monere Investments, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 2549004LPCIR92BLYF90 |
Description of other identifying number | |
iii. State, if applicable |
ILLINOIS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
261 |
i. Full name | Buckram Securities Ltd. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-65939 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
262 |
i. Full name | Colliers Securities LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 549300OD1C69R64IVC38 |
Description of other identifying number | |
iii. State, if applicable |
MINNESOTA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
263 |
i. Full name | AGES Financial Services, Ltd. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-32155 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
MASSACHUSETTS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
264 |
i. Full name | CC Capital Advisors, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-44574 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
MISSOURI
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
265 |
i. Full name | Smith, Brown & Groover, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-13079 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
GEORGIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
266 |
i. Full name | Abacus Investments, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-46571 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
WISCONSIN
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
267 |
i. Full name | Valley National Investments, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-34427 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
PENNSYLVANIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
268 |
i. Full name | Mutual Funds Associates, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-13026 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
269 |
i. Full name | BTG Pactual US Capital, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 549300EUEDL5GKQW8U35 |
Description of other identifying number | |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
270 |
i. Full name | Institutional Securities Corporation |
ii. LEI, if any, or provide and describe
other
identifying number | 2549007EJ1PSLA8XVA50 |
Description of other identifying number | |
iii. State, if applicable |
TEXAS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
271 |
i. Full name | BNY Mellon Securities Corporation |
ii. LEI, if any, or provide and describe
other
identifying number | 801-54739 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
272 |
i. Full name | Strategic Wealth Capital, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 801-127930 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
273 |
i. Full name | Citizens Securities, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 2138006RAPI5PE2ZGW36 |
Description of other identifying number | |
iii. State, if applicable |
MASSACHUSETTS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
274 |
i. Full name | Harold W. Dance, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-12160 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
UTAH
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
275 |
i. Full name | IDB Capital Corp. |
ii. LEI, if any, or provide and describe
other
identifying number | 254900SH3QL0IL3S9R34 |
Description of other identifying number | |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
276 |
i. Full name | ACP Securities, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 254900GHLAGD9J81O211 |
Description of other identifying number | |
iii. State, if applicable |
FLORIDA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
277 |
i. Full name | Feltl and Company, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-18435 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
MINNESOTA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
278 |
i. Full name | Ashton Thomas Private Wealth LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 801-71512 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
ARIZONA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
279 |
i. Full name | Davinci Capital Management, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-51580 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
MASSACHUSETTS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
280 |
i. Full name | Security Distributors, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-10781 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
KANSAS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
281 |
i. Full name | Jefferies LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 58PU97L1C0WSRCWADL48 |
Description of other identifying number | |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
282 |
i. Full name | Safra Securities LLC |
ii. LEI, if any, or provide and describe
other
identifying number | E51AOUORNWWT747CBW71 |
Description of other identifying number | |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
283 |
i. Full name | Hilltop Securities Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 549300IXU82PMU6XZT45 |
Description of other identifying number | |
iii. State, if applicable |
TEXAS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
284 |
i. Full name | Trustmont Financial Group, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-36439 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
PENNSYLVANIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
285 |
i. Full name | Abacus International Capital Corp. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-46418 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
286 |
i. Full name | Globalink Securities, Inc |
ii. LEI, if any, or provide and describe
other
identifying number | 8-44509 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
287 |
i. Full name | Etico Partners, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 254900YC5I0IY6GSBI85 |
Description of other identifying number | |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
288 |
i. Full name | APW Capital, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-50433 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
NEW JERSEY
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
289 |
i. Full name | Silver Oak Securities, Incorporated |
ii. LEI, if any, or provide and describe
other
identifying number | 8-51601 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
TENNESSEE
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
290 |
i. Full name | International Money Management Group, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-30417 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
MARYLAND
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
291 |
i. Full name | Teachers Insurance and Annuity Association of America |
ii. LEI, if any, or provide and describe
other
identifying number | O06XD7BJ4EPXNABVFN69 |
Description of other identifying number | |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
292 |
i. Full name | Intervest International Equities Corporation |
ii. LEI, if any, or provide and describe
other
identifying number | 8-38156 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
COLORADO
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
293 |
i. Full name | Genworth Life and Annuity Insurance Company |
ii. LEI, if any, or provide and describe
other
identifying number | TAI340D9BWT9R77O0P03 |
Description of other identifying number | |
iii. State, if applicable |
VIRGINIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
294 |
i. Full name | Independent Brokerage Solutions LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-68549 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
295 |
i. Full name | Huntleigh Securities Corporation |
ii. LEI, if any, or provide and describe
other
identifying number | 894500C7FPHBY5AKXH71 |
Description of other identifying number | |
iii. State, if applicable |
MISSOURI
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
296 |
i. Full name | Equitable Advisors, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-17883 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
297 |
i. Full name | Deutsche Bank Securities Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 9J6MBOOO7BECTDTUZW19 |
Description of other identifying number | |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
298 |
i. Full name | Maxim Group LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 254900OJ6JZO6SDMHQ83 |
Description of other identifying number | |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
299 |
i. Full name | Variable Investment Advisors, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-50699 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
SOUTH DAKOTA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
300 |
i. Full name | Mcnally Financial Services Corporation |
ii. LEI, if any, or provide and describe
other
identifying number | 8-65388 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
TEXAS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
301 |
i. Full name | Lombard Securities, Incorporated |
ii. LEI, if any, or provide and describe
other
identifying number | 8-43340 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
MARYLAND
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
302 |
i. Full name | Grant Williams L.P. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-51249 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
PENNSYLVANIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
303 |
i. Full name | Flagstar Advisors, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 254900KRZU45UT6QSG35 |
Description of other identifying number | |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
304 |
i. Full name | Vision Financial Markets LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 549300J0X8HK9GUADL55 |
Description of other identifying number | |
iii. State, if applicable |
CONNECTICUT
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
305 |
i. Full name | Dorn & Co., Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-08707 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
MINNESOTA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
306 |
i. Full name | First Asset Financial Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-67191 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
KANSAS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
307 |
i. Full name | ICMA-RC Services, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-40268 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
DISTRICT OF COLUMBIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
308 |
i. Full name | S.L. Reed & Company |
ii. LEI, if any, or provide and describe
other
identifying number | 8-49178 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
309 |
i. Full name | R. Seelaus & Co. Inc |
ii. LEI, if any, or provide and describe
other
identifying number | 2138004J7AJDLCOJYA06 |
Description of other identifying number | |
iii. State, if applicable |
NEW JERSEY
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
310 |
i. Full name | BBVA Securities Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 549300RJFN0Z663VE860 |
Description of other identifying number | |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
311 |
i. Full name | Portsmouth Financial Services |
ii. LEI, if any, or provide and describe
other
identifying number | 8-30097 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
312 |
i. Full name | USCA Securities LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 254900GBMSP1Y45THR66 |
Description of other identifying number | |
iii. State, if applicable |
TEXAS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
313 |
i. Full name | UBS Financial Services Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | ETYRV6ORNFJB5NONI676 |
Description of other identifying number | |
iii. State, if applicable |
NEW JERSEY
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
314 |
i. Full name | Merrill Lynch, Pierce, Fenner & Smith Incorporated |
ii. LEI, if any, or provide and describe
other
identifying number | 8NAV47T0Y26Q87Y0QP81 |
Description of other identifying number | |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
315 |
i. Full name | Fidelity Investments Institutional Operations Company LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 549300XVSM8LN3LQOK63 |
Description of other identifying number | |
iii. State, if applicable |
MASSACHUSETTS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
316 |
i. Full name | Hazard & Siegel, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-13942 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
317 |
i. Full name | SWBC Investment Services, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 254900YIJJWABADWZ455 |
Description of other identifying number | |
iii. State, if applicable |
TEXAS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
318 |
i. Full name | Horace Mann Investors, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 254900OFJVU7T8WTK224 |
Description of other identifying number | |
iii. State, if applicable |
ILLINOIS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
319 |
i. Full name | Raymond James & Associates, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | U4ONQX15J3RO8XCKE979 |
Description of other identifying number | |
iii. State, if applicable |
FLORIDA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
320 |
i. Full name | William Blair & Company, L.L.C. |
ii. LEI, if any, or provide and describe
other
identifying number | 549300J0P7XYE8BMZ775 |
Description of other identifying number | |
iii. State, if applicable |
ILLINOIS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
321 |
i. Full name | Tradition Securities and Derivatives LLC |
ii. LEI, if any, or provide and describe
other
identifying number | WRYEFMSVQCH0EMD08461 |
Description of other identifying number | |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
322 |
i. Full name | Oscar Gruss & Son Incorporated |
ii. LEI, if any, or provide and describe
other
identifying number | 549300V78DH9XCK5UI63 |
Description of other identifying number | |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
323 |
i. Full name | Hennion & Walsh, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 2549007B0CCUSX9P2580 |
Description of other identifying number | |
iii. State, if applicable |
NEW JERSEY
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
324 |
i. Full name | Mercer HR Services, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 20-1932099 |
Description of other identifying number | Tax ID |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
325 |
i. Full name | Money Concepts Capital Corp |
ii. LEI, if any, or provide and describe
other
identifying number | 8-29671 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
FLORIDA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
326 |
i. Full name | Hudson Heritage Capital Management Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-50648 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
327 |
i. Full name | Avondale Partners, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 254900799PKXEPTDRJ40 |
Description of other identifying number | |
iii. State, if applicable |
TENNESSEE
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
328 |
i. Full name | Sovereign Legacy Securities, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-00621 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
NORTH CAROLINA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
329 |
i. Full name | Griffinest Asia Securities, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-66571 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
330 |
i. Full name | VALIC Retirement Services Company |
ii. LEI, if any, or provide and describe
other
identifying number | 84-06057 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
TEXAS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
331 |
i. Full name | Holistic Brokerage, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 254900EMZBEIM1FAO022 |
Description of other identifying number | |
iii. State, if applicable |
FLORIDA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
332 |
i. Full name | Portfolio Resources Group, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 549300TKCYL1XNXOL896 |
Description of other identifying number | |
iii. State, if applicable |
FLORIDA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
333 |
i. Full name | Quincy Cass Associates |
ii. LEI, if any, or provide and describe
other
identifying number | 8-5743 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
334 |
i. Full name | VALIC Financial Advisors, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-50018 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
TEXAS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
335 |
i. Full name | Glen Eagle Wealth LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 549300KIBM3JOKOD9P59 |
Description of other identifying number | |
iii. State, if applicable |
NEW JERSEY
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
336 |
i. Full name | T.S. Phillips Investments, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-65661 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
OKLAHOMA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
337 |
i. Full name | Bolton Securities Corporation |
ii. LEI, if any, or provide and describe
other
identifying number | 8-68187 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
MASSACHUSETTS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
338 |
i. Full name | Founders Financial Securities, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-67137 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
MARYLAND
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
339 |
i. Full name | Stifel Independent Advisors, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-43514 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
MISSOURI
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
340 |
i. Full name | North South Capital LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 549300ODEKJCRN2AM859 |
Description of other identifying number | |
iii. State, if applicable |
ILLINOIS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
341 |
i. Full name | J.P. Morgan Institutional Investments Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-52182 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
342 |
i. Full name | Joseph Gunnar & Co., L.L.C. |
ii. LEI, if any, or provide and describe
other
identifying number | 2549001XBRI5XQ0ZDA12 |
Description of other identifying number | |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
343 |
i. Full name | Infinity Securities, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-67647 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
344 |
i. Full name | First Manhattan Co. |
ii. LEI, if any, or provide and describe
other
identifying number | 549300NNJKVSO48I3G76 |
Description of other identifying number | |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
345 |
i. Full name | Allstate Financial Services, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-36365 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
NEBRASKA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
346 |
i. Full name | Darwood Associates, Incorporated |
ii. LEI, if any, or provide and describe
other
identifying number | 8-16560 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
NEW JERSEY
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
347 |
i. Full name | Thurston, Springer, Miller, Herd & Titak, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 549300VFTCJPQNF6P182 |
Description of other identifying number | |
iii. State, if applicable |
INDIANA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
348 |
i. Full name | M&T Securities, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 254900VRUF9FN7AZI864 |
Description of other identifying number | |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
349 |
i. Full name | NEXT Financial Group, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-51356 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
TEXAS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
350 |
i. Full name | Steward Partners Investment Solutions, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 25490043UEOX7JZ3AC58 |
Description of other identifying number | |
iii. State, if applicable |
OREGON
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
351 |
i. Full name | L.O. Thomas & Co., Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-40875 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
NEW JERSEY
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
352 |
i. Full name | Prudential Investment Management Services LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-36540 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
NEW JERSEY
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
353 |
i. Full name | Regal Securities, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-21765 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
ILLINOIS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
354 |
i. Full name | Essex Securities LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 254900RAMRWZOR870Q30 |
Description of other identifying number | |
iii. State, if applicable |
NEW JERSEY
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
355 |
i. Full name | N.I.S. Financial Services, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-15919 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
MISSOURI
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
356 |
i. Full name | American Equity Investment Corporation |
ii. LEI, if any, or provide and describe
other
identifying number | 8-49078 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
INDIANA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
357 |
i. Full name | Arlington Securities, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-38098 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
MISSOURI
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
358 |
i. Full name | Carl M. Hennig, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-14509 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
WISCONSIN
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
359 |
i. Full name | Symphonic Securities LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-67220 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
360 |
i. Full name | Arete Wealth Management LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 254900PEVHP73QVT1G09 |
Description of other identifying number | |
iii. State, if applicable |
ILLINOIS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
361 |
i. Full name | Navy Federal Investment Services, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-67161 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
VIRGINIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
362 |
i. Full name | Gill Capital Partners, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-30563 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
COLORADO
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
363 |
i. Full name | Alight Solutions LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 84-01996 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
ILLINOIS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
364 |
i. Full name | SPIRE Securities, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-67635 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
VIRGINIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
365 |
i. Full name | Lincoln-Douglas Investments, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-68728 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
OHIO
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
366 |
i. Full name | ADP Broker-Dealer, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-47885 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
NEW JERSEY
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
367 |
i. Full name | Dempsey Lord Smith, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-67469 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
GEORGIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
368 |
i. Full name | U.S. Bancorp Investments, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | H85Z6XZP8B10ES0M2G89 |
Description of other identifying number | |
iii. State, if applicable |
MINNESOTA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
369 |
i. Full name | Classic, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-68981 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
NORTH DAKOTA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
370 |
i. Full name | Ameriprise Financial Services, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-16791 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
MINNESOTA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
371 |
i. Full name | Gregory J. Schwartz & Co., Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-20955 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
MICHIGAN
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
372 |
i. Full name | Allen C. Ewing & Co. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-42393 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
FLORIDA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
373 |
i. Full name | USA Financial Securities Corporation |
ii. LEI, if any, or provide and describe
other
identifying number | 8-52342 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
MICHIGAN
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
374 |
i. Full name | Oak Tree Securities, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-36138 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
375 |
i. Full name | Emerson Equity LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-66296 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
376 |
i. Full name | Hartford Funds Management Company, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 549300P3DI8LOUAPBT80 |
Description of other identifying number | |
iii. State, if applicable |
PENNSYLVANIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
377 |
i. Full name | TrustFirst, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-48509 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
TENNESSEE
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
378 |
i. Full name | Muriel Siebert & Co., Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 254900ILZFIE2ULRPV24 |
Description of other identifying number | |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
379 |
i. Full name | Teckmeyer Financial Services, L.L.C. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-48501 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
NEBRASKA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
380 |
i. Full name | Crews and Associates, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 5493001BWSV3E82LZ446 |
Description of other identifying number | |
iii. State, if applicable |
ARKANSAS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
381 |
i. Full name | Anovest Financial Services, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-66742 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
GEORGIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
382 |
i. Full name | Western Growers Financial Services |
ii. LEI, if any, or provide and describe
other
identifying number | 8-53458 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
383 |
i. Full name | Empower Financial Services, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-33854 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
COLORADO
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
384 |
i. Full name | Massachusetts Mutual Life Insurance Company |
ii. LEI, if any, or provide and describe
other
identifying number | R6ZXK5P01NP6HXSY1S07 |
Description of other identifying number | |
iii. State, if applicable |
MASSACHUSETTS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
385 |
i. Full name | Ascensus Financial Services, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-67891 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
PENNSYLVANIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
386 |
i. Full name | CapFinancial Securities, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-65870 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
NORTH CAROLINA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
387 |
i. Full name | Axxcess Wealth Management, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 35-2436156 |
Description of other identifying number | Tax ID |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
388 |
i. Full name | Voya Investments Distributor, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 549300UXSQ6ZVMSJFH64 |
Description of other identifying number | |
iii. State, if applicable |
ARIZONA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
389 |
i. Full name | Navaid Financial Services, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-49897 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
NEW JERSEY
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
390 |
i. Full name | United States Life Insurance Company in the City of New York |
ii. LEI, if any, or provide and describe
other
identifying number | 549300C1JQGJ0MNUMG79 |
Description of other identifying number | |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
391 |
i. Full name | The GMS Group, L.L.C. |
ii. LEI, if any, or provide and describe
other
identifying number | 254900OXZT27TA5CGU56 |
Description of other identifying number | |
iii. State, if applicable |
NEW JERSEY
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
392 |
i. Full name | Devenir, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-65837 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
MINNESOTA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
393 |
i. Full name | J.W. Cole Financial, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-65698 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
FLORIDA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
394 |
i. Full name | R. F. Lafferty & Co., Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 254900KLPTMWPBZWH264 |
Description of other identifying number | |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
395 |
i. Full name | Parkmount Financial Partners LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 801-127185 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
MASSACHUSETTS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
396 |
i. Full name | Brokers International Financial Services, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-67239 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
IOWA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
397 |
i. Full name | Laidlaw & Company (UK) Ltd. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-53731 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
398 |
i. Full name | Capital Portfolio Management, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-44225 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
MARYLAND
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
399 |
i. Full name | Investment Placement Group |
ii. LEI, if any, or provide and describe
other
identifying number | 5493005L3RL45FY4HR07 |
Description of other identifying number | |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
400 |
i. Full name | S.G. Long & Company |
ii. LEI, if any, or provide and describe
other
identifying number | 8-51816 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
MONTANA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
401 |
i. Full name | Cardinal Investments, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-47493 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
ILLINOIS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
402 |
i. Full name | United Planners Financial Services of America A Limited Partnership |
ii. LEI, if any, or provide and describe
other
identifying number | 8-38485 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
ARIZONA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
403 |
i. Full name | GAINLINE FINANCIAL PARTNERS, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 801-128065 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
COLORADO
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
404 |
i. Full name | Pensionmark Securities, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-69773 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
405 |
i. Full name | Standard Insurance Company |
ii. LEI, if any, or provide and describe
other
identifying number | 549300KVA8DBYKHPXO21 |
Description of other identifying number | |
iii. State, if applicable |
OREGON
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
406 |
i. Full name | Moors & Cabot, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 254900SDQ5IONENQ7U67 |
Description of other identifying number | |
iii. State, if applicable |
MASSACHUSETTS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
407 |
i. Full name | B. Riley Wealth Management Holdings, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-31206 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
TENNESSEE
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
408 |
i. Full name | The Logan Group Securities |
ii. LEI, if any, or provide and describe
other
identifying number | 8-48995 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
409 |
i. Full name | Intercarolina Financial Services, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-37519 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
NORTH CAROLINA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
410 |
i. Full name | Commonwealth Equity Services, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 254900TMHIZZ1AGR7A95 |
Description of other identifying number | |
iii. State, if applicable |
MASSACHUSETTS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
411 |
i. Full name | Oakwood Capital Securities, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-38631 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
MINNESOTA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
412 |
i. Full name | L.M. Kohn & Company |
ii. LEI, if any, or provide and describe
other
identifying number | 8-43303 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
OHIO
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
413 |
i. Full name | Intercam Securities, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 254900YUQYHGAT6VVA56 |
Description of other identifying number | |
iii. State, if applicable |
FLORIDA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
414 |
i. Full name | Securities America, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-26602 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
NEBRASKA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
415 |
i. Full name | Hanson McClain Retirement Network, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-52250 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
416 |
i. Full name | Bolton Global Capital, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 2549009M08YVOG46LO79 |
Description of other identifying number | |
iii. State, if applicable |
MASSACHUSETTS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
417 |
i. Full name | LPL Enterprise, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-26037 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
PENNSYLVANIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
418 |
i. Full name | American Capital Partners, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 254900I8NH46ZJJ4Z956 |
Description of other identifying number | |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
419 |
i. Full name | World Capital Brokerage, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-06805 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
COLORADO
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
420 |
i. Full name | Union Capital Company |
ii. LEI, if any, or provide and describe
other
identifying number | 8-53127 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
ARIZONA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
421 |
i. Full name | LaSalle St. Securities, L.L.C. |
ii. LEI, if any, or provide and describe
other
identifying number | 254900T7U4ODG86YRV13 |
Description of other identifying number | |
iii. State, if applicable |
ILLINOIS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
422 |
i. Full name | Multiple Financial Services, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-52017 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
423 |
i. Full name | SFA Financial, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-68156 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
SOUTH CAROLINA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
424 |
i. Full name | Voya Financial Advisors, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-13987 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
IOWA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
425 |
i. Full name | Regulus Financial Group, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-68275 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
MICHIGAN
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
426 |
i. Full name | Securities Equity Group |
ii. LEI, if any, or provide and describe
other
identifying number | 8-51706 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
427 |
i. Full name | Stifel, Nicolaus & Company, Incorporated |
ii. LEI, if any, or provide and describe
other
identifying number | 5WUVMA08EYG4KEUPW589 |
Description of other identifying number | |
iii. State, if applicable |
MISSOURI
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
428 |
i. Full name | White Mountain Capital, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-52572 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
429 |
i. Full name | Triad Advisors, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-42007 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
GEORGIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
430 |
i. Full name | Cedar Brook Financial Partners, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 801-112173 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
OHIO
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
431 |
i. Full name | Impact U. Investments, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-65527 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
432 |
i. Full name | Stonecrest Capital Markets, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 25490062H4ICVOPZ2X80 |
Description of other identifying number | |
iii. State, if applicable |
TEXAS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
433 |
i. Full name | Brighton Securities Corp. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-14599 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
434 |
i. Full name | Amerant Investments, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 254900M8G8SSAIMHET60 |
Description of other identifying number | |
iii. State, if applicable |
FLORIDA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
435 |
i. Full name | Horace Mann Life Insurance Company |
ii. LEI, if any, or provide and describe
other
identifying number | 5493000HR2JKKNH2FL09 |
Description of other identifying number | |
iii. State, if applicable |
ILLINOIS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
436 |
i. Full name | Janney Montgomery Scott LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-00462 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
PENNSYLVANIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
437 |
i. Full name | Principled Advisors, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-66451 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
438 |
i. Full name | Lion Street Financial, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-69183 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
TEXAS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
439 |
i. Full name | PNC Capital Markets LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 7OGNSSLOQJ8U3B9Y5F18 |
Description of other identifying number | |
iii. State, if applicable |
PENNSYLVANIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
440 |
i. Full name | Caldwell Securities Ltd. |
ii. LEI, if any, or provide and describe
other
identifying number | 549300ORF2FMHXODHJ66 |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable |
CANADA (FEDERAL LEVEL)
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
441 |
i. Full name | Benefit Plans Administrative Services, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | BBG002ZR1639 |
Description of other identifying number | Bloomberg Global ID |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
442 |
i. Full name | The Oak Ridge Financial Services Group, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 2549003647MDU9F6QN39 |
Description of other identifying number | |
iii. State, if applicable |
MINNESOTA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
443 |
i. Full name | Capital Management Securities, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-27779 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
MINNESOTA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
444 |
i. Full name | Crown Capital Securities, L.P. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-17264 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
445 |
i. Full name | Aventura Securities, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-67458 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
FLORIDA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
446 |
i. Full name | FNBB Capital Markets, L.L.C. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-66553 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
ALABAMA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
447 |
i. Full name | Investment Security Corporation |
ii. LEI, if any, or provide and describe
other
identifying number | 8-51832 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
448 |
i. Full name | Sabadell Securities USA, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 2549002UK8JK82ABGD45 |
Description of other identifying number | |
iii. State, if applicable |
FLORIDA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
449 |
i. Full name | Tocqueville Securities L.P. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-42223 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
450 |
i. Full name | Purshe Kaplan Sterling Investments, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-46844 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
451 |
i. Full name | Coinbase Capital Markets Corporation |
ii. LEI, if any, or provide and describe
other
identifying number | 8-28032 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
452 |
i. Full name | Coordinated Capital Securities, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-31173 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
WISCONSIN
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
453 |
i. Full name | Syndicated Capital, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-44162 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
454 |
i. Full name | First Horizon Advisors, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-35061 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
TENNESSEE
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
455 |
i. Full name | Comerica Securities, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 5493009QV211JEW7ZV59 |
Description of other identifying number | |
iii. State, if applicable |
MICHIGAN
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
456 |
i. Full name | Stephens Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 213800LH6T9XDYZCA534 |
Description of other identifying number | |
iii. State, if applicable |
ARKANSAS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
457 |
i. Full name | Henley & Company LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-66463 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
458 |
i. Full name | Brooklight Place Securities, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-32673 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
ILLINOIS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
459 |
i. Full name | Morgan Stanley & Co. LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 9R7GPTSO7KV3UQJZQ078 |
Description of other identifying number | |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
460 |
i. Full name | Northwestern Mutual Investment Services, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | CYO86L8D7HTXW9SOZX28 |
Description of other identifying number | |
iii. State, if applicable |
WISCONSIN
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
461 |
i. Full name | Reliance Trust Company |
ii. LEI, if any, or provide and describe
other
identifying number | 549300NV8FSQRNOUQO50 |
Description of other identifying number | |
iii. State, if applicable |
GEORGIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
462 |
i. Full name | Woodmen Financial Services, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-53592 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
NEBRASKA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
463 |
i. Full name | T. Rowe Price Retirement Plan Services, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 84-06219 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
MARYLAND
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
464 |
i. Full name | Signature Estate Securities, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-37065 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
465 |
i. Full name | &Partners |
ii. LEI, if any, or provide and describe
other
identifying number | 8-3774 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
TENNESSEE
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
466 |
i. Full name | DWS Distributors, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 5299007T18XBURKJ1V64 |
Description of other identifying number | |
iii. State, if applicable |
ILLINOIS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
467 |
i. Full name | Cresap, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-42117 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
PENNSYLVANIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
468 |
i. Full name | Stonebridge Wealth Management LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 801-112745 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
ILLINOIS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
469 |
i. Full name | Ni Advisors |
ii. LEI, if any, or provide and describe
other
identifying number | 8-66841 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
470 |
i. Full name | Avisen Wealth Management, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-65833 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
471 |
i. Full name | Interactive Brokers LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 50OBSE5T5521O6SMZR28 |
Description of other identifying number | |
iii. State, if applicable |
CONNECTICUT
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
472 |
i. Full name | Exeter Trust Company |
ii. LEI, if any, or provide and describe
other
identifying number | 28-04279 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
473 |
i. Full name | CFD Investments, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-41727 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
INDIANA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
474 |
i. Full name | Westminster Financial Securities, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-38426 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
OHIO
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
475 |
i. Full name | D.M. Kelly & Company |
ii. LEI, if any, or provide and describe
other
identifying number | 254900MPA2M5G6DL5C63 |
Description of other identifying number | |
iii. State, if applicable |
IOWA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
476 |
i. Full name | Saturna Brokerage Services, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-36558 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
WASHINGTON
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
477 |
i. Full name | Sage Rutty and Company, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-00533 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
478 |
i. Full name | Harbour Investments, Inc |
ii. LEI, if any, or provide and describe
other
identifying number | 8-37373 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
WISCONSIN
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
479 |
i. Full name | Smith, Moore & Co. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-27480 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
MISSOURI
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
480 |
i. Full name | Empire Asset Management Company, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-67520 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
481 |
i. Full name | Healthcare Community Securities Corp. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-46981 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
482 |
i. Full name | Apex Clearing Corporation |
ii. LEI, if any, or provide and describe
other
identifying number | 5493000418CITRF5BO80 |
Description of other identifying number | |
iii. State, if applicable |
TEXAS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
483 |
i. Full name | Sunstreet Securities, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-67541 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
ARIZONA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
484 |
i. Full name | Wright Investors' Service Distributors, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 06-1071596 |
Description of other identifying number | Tax ID |
iii. State, if applicable |
CONNECTICUT
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
485 |
i. Full name | J. Alden Associates, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-48938 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
PENNSYLVANIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
486 |
i. Full name | VBC Securities, L.L.C. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-44141 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
NEW JERSEY
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
487 |
i. Full name | Profinancial, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-32026 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
LOUISIANA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
488 |
i. Full name | Volition Financial Network, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 83-4714227 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
OHIO
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
489 |
i. Full name | Fifth Third Bank, National Association |
ii. LEI, if any, or provide and describe
other
identifying number | QFROUN1UWUYU0DVIWD51 |
Description of other identifying number | |
iii. State, if applicable |
OHIO
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
490 |
i. Full name | Lincoln Financial Securities Corporation |
ii. LEI, if any, or provide and describe
other
identifying number | 8-14609 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
INDIANA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
491 |
i. Full name | John Hancock Trust Company LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 549300W205WZCFZS6R51 |
Description of other identifying number | |
iii. State, if applicable |
MASSACHUSETTS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
492 |
i. Full name | Wells Fargo Securities, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | VYVVCKR63DVZZN70PB21 |
Description of other identifying number | |
iii. State, if applicable |
NORTH CAROLINA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
493 |
i. Full name | State Street Bank and Trust Company |
ii. LEI, if any, or provide and describe
other
identifying number | 571474TGEMMWANRLN572 |
Description of other identifying number | |
iii. State, if applicable |
MASSACHUSETTS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
494 |
i. Full name | Arvest Investments, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 254900F30H09HHDIEI45 |
Description of other identifying number | |
iii. State, if applicable |
ARKANSAS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
495 |
i. Full name | KW Securities Corporation |
ii. LEI, if any, or provide and describe
other
identifying number | 8-24792 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
496 |
i. Full name | E*TRADE Savings Bank |
ii. LEI, if any, or provide and describe
other
identifying number | 549300DXPO50FJ75QA85 |
Description of other identifying number | |
iii. State, if applicable |
VIRGINIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
497 |
i. Full name | OneAmerica Securities, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-15009 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
INDIANA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
498 |
i. Full name | American Trust Investment Services, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-14394 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
INDIANA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
499 |
i. Full name | Northern Trust Securities, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 3CHSO99JSPHD9HGNYJ46 |
Description of other identifying number | |
iii. State, if applicable |
ILLINOIS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
500 |
i. Full name | UBS AG (New York, NY, US, Branch) |
ii. LEI, if any, or provide and describe
other
identifying number | BFM8T61CT2L1QCEMIK50 |
Description of other identifying number | |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
501 |
i. Full name | Wells Fargo Clearing Services, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 88KRVSOEKUGQZJ3DKW55 |
Description of other identifying number | |
iii. State, if applicable |
MISSOURI
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
502 |
i. Full name | SA Stone Wealth Management Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-36638 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
ALABAMA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
503 |
i. Full name | UBATCO & Co. |
ii. LEI, if any, or provide and describe
other
identifying number | N/A |
Description of other identifying number | |
iii. State, if applicable |
NEBRASKA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
504 |
i. Full name | Axiom Capital Management, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 254900WW7SK1IMK6NO54 |
Description of other identifying number | |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
505 |
i. Full name | SG Americas Securities, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 549300F35UE0BOM1WJ55 |
Description of other identifying number | |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
506 |
i. Full name | Calamar Financial Group, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-69777 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
507 |
i. Full name | Dominion Investor Services, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 8-39029 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
TEXAS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
508 |
i. Full name | Lockton Investment Securities, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 8-67090 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
MISSOURI
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
|